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Putting Knowledge to Use:
A Distillation of the Literature
Regarding Knowledge Transfer
and Change
Human Interaction Research Institute
in collaboration with the
National Institute of Mental Health
This study was funded as a collaborative project by the Department
of Health, Education, and Welfare, National Institute of Mental
Health, Mental Health Services Development Branch, Grant No.
5 RO1 MH 22683-03 MHS
Putting Knowledge to Use:
A Distillation of the Literature Regarding
Knowledge Transfer and Change
REC
T
HC
APR C 1977
Д.М.
7/8/9/10
4
Human Interaction Research Institute
10889 Wilshire Boulevard
Los Angeles, California 90024
*** in collaboration with ***
National Institute of Mental Health
Mental Health Services Development Branch
5600 Fishers Lane, Rockville, Maryland 20852
1976
i
TABLE OF CONTENTS
Foreword
vii
Preface and Acknowledgements
viii
Distillation
I.
INTRODUCTION TO THE PROBLEM OF KNOWLEDGE UTILIZATION
1
Adoption Time-Lag
1
The Field of Knowledge Utilization
2
Outline of the Distillation
3
II.
DETERMINANTS OF KNOWLEDGE UTILIZATION
5
An Overview of Change Variables
5
The A VICTORY Formulation of Change Factors
5
The CORRECT List of Change Factors
6
The Zaltman List of Innovation Attributes
7
The HELP-SCORES Change Variables
8
Adoption Factors Charted
8
Other Suggested Change Factor Listings
8
Project Variables
10
Advantage
10
Conformity
11
Comprehensibility
12
Capability
12
Demonstrability and Revocability
12
Championship
13
Communication Variables
13
Organization Variables
14
Organizational Goals
16
Clarity of goals
16
Statement of goals versus job descriptions
17
Social expectancies
17
Organizational Structure
18
Distribution of power
18
Bureaucratic structure
19
Occupational specialization
20
Size, affluence, and capacity
21
Organizational inertia
21
Self-renewal
21
Miscellaneous factors
22
Organizational Communication and Decision Making
22
Open communication
23
Administrative and colleague-support
23
Participation in decision making
23
Organizational Leadership and Staff
24
The personality and role of leaders
24
Tenure and vested interests
26
Staff morale and cohesiveness
26
Professional qualities
26
Miscellaneous factors affecting staff
27
iii
Personal Variables
27
Age
27
Economic and Social Status
27
Professional Considerations
27
Psychological Factors
28
III.
STAGES IN THE PROCESS OF KNOWLEDGE UTILIZATION
31
Concern and Awareness of Need
33
Diagnosis: Problem Clarification
34
Search for Pertinent Knowledge
35
Consideration of Alternative Solutions
35
Implementation: Change Strategies
37
Some General Principles Illustrated
37
Power
39
Persuasion
39
Resistance to Change
40
Reducing Resistance to Change
42
The Place of Leaders in Influencing Adoption
43
Follow-Through: Evaluation
44
IV.
RESEARCH-PRACTICE LINKAGE: DISSEMINATION AND THE
CHANGE AGENT
47
Practitioner-Researcher Relationships
47
Differences Between Researchers and Practitioners
47
Collaboration Between Researchers and Practitioners
49
Information Retrieval and Dissemination
50
Printed Materials
51
Improved Reports
52
People to People
53
Demonstrations and Visits
54
Conferences and Seminars
55
Mass Media
56
Multiple Methods
56
Change Agent Linkage
56
Change Agent Roles and Functions
57
Concept of the change agent
57
Functioning of the change agent
58
Consultation
59
Applicational fields
60
Training of change agents
61
Change Agencies
62
V.
THE SEARCH FOR MODELS OF RESEARCH UTILIZATION
65
Types of Models Illustrated
65
Separate Factors or Variables
65
Process Elements or Stages
66
Borrowed-Theory Models
66
Systematic Models
66
iv
Descriptions of Research Utilization Models
66
Six Widely Quoted Models
66
Function-Type Formula Models
67
The National Institute of Education Model
68
Miscellaneous Contributions to Model Building
68
VI.
CONCLUDING COMMENTS
73
Future Prospects
74
Summaries of Selected Literature
Summaries
77
Bibliography
Bibliography
417
Indexes to Summaries
Indexes
451
V
FOREWORD
The knowledge industry must surely be considered one of the majors in the nation. In
research and development alone the Federal investment amounts to some $20-billion an-
nually. Curiously, it is an industry where astonishingly little attention has been dedicated
to the marketing of its product. In these days of accountability, many persons are asking
"How have these products been used to help us?" For example, public interest groups and
their Washington lobbyists are formally asking the question with implications of skepticism.
But there is a still more compelling reason for defending a more systematic facilitation of
knowledge utilization: in human services the well-being of millions of American citizens
depends in part on the effectiveness and efficiency of those services. The effectiveness and
efficiency, in turn, depend in part upon optimum input of relevant knowledge. The record
has it that common influencers of policies and practices are socio-political pressures, per-
sonal predilections, and persistence of the way things have been done before. The use of new
knowledge trails along behind. There is a responsibility for better knowledge transfer on the
parts of both the knowledge producers and the policy and practice people.
But how can responsibilities for improved knowledge utilization be carried out? The liter-
ature on the topic offers advice. In fact, a surfeit of it. In the past 20 years the number of cita-
tions in the knowledge utilization field has grown from some 400 to an estimated 20,000
plus. If you venture into this literature in a quest for guidance, you stagger out reeling. The
field abounds with assertions, conceptual models for analysis, and contradictory observa-
tions. But sound research information seems to remain in hiding.
Dr. Edward Glaser and his colleagues at the Human Interaction Research Institute
(HIRI)-Drs. Harold Abelson, Michael McKee, Goodwin Watson, Ms. Kathalee Garrison,
and Ms. Molly Lewin-have marshalled an assault, as it were, upon literature. They have
ferreted out sounder facts pertaining to the process of knowledge utilization and driven out
the seemingly useless material. And beyond that, they have distilled the essence of knowl-
edge on knowledge utilization. The result is perhaps not quite a technology manual in itself,
but it certainly does represent an orderly presentation of rich information that will be essen-
tial to anyone planning and developing better ways of knowledge transfer.
From the standpoint of NIMH's services research and development program, I should like
to point out that HIRI material of this sort has been used as a basis for research utilization
policy and practice decisions for eight years. During that time the "utilization rate" of pro-
jects has increased some eight-fold. In this program alone, it has led to fruitfulness of multi-
ple millions in research investments. We are grateful to HIRI for its signal contribution. We
hope others will find this newly revised material to be similarly beneficial.
Howard R. Davis, Ph.D.
Chief, Mental Health Services Development Branch
National Institute of Mental Health
vii
PREFACE AND ACKNOWLEDGEMENTS
The present book is a revision of an earlier (1971) two-volume publication entitled Plan-
ning for Creative Change in Mental Health Services: A Distillation of Principles on Research
Utilization.
The current publication omits the Annotations section of the earlier version but has added
several hundred items to the bibliography; increased the number of summaries of books,
articles, and studies by approximately 100; and reorganized and augmented the Distillation
section. The following features are provided to assist readers in locating material of particu-
lar interest: a more detailed table of contents; clearer indication of topic and subtopic head-
ings in the Summaries section; and assignment of a serial number to each summary as a
reference aid when using the newly prepared indexes. There are three indexes to summaries,
as follows:
1. Index to Change Aspects of the Development-Dissemination-Utilization Continuum
2. Index to Summary Study Mode or Type
3. Index to Areas of Application
We are grateful to Drs. Ronald G. Havelock and Thomas J. Kiresuk for their very valuable
editorial critique and suggestions.
We are deeply appreciative of the help from Mrs. Susan Salasin, Chief, Research Diffu-
sion and Utilization Section, who was the NIMH project officer on this effort. Her guidance
with the initial planning of the revision, and her sustained counsel, together with similar
support from Dr. Howard R. Davis, have contributed greatly to the development of the final
product.
Edward M. Glaser
viii
INTRODUCTION
TO THE PROBLEM OF
KNOWLEDGE UTILIZATION
Adoption Time-Lag
else has found a remedy.
The gap be-
tween what we know and what we put to
The problem of knowledge utilization emerges
effective use bedevils many fields of human
fundamentally from man's dual effort to maintain
activity-science, teaching, business man-
what he already has achieved and to improve upon
agement, and organizations which provide
it in the interest of enhancing the quality of life for
health and welfare services.
himself or others. In today's rapidly changing world,
The time-lag between the conception of a desir-
the need for more effective ways to meet new or con-
able new idea and its adoption often occurs within
tinuing problems calls for the identification and
the span of the research and development process
rapid dissemination of the fruits of research, experi-
itself as distinguished from time-lag in the utiliza-
mental, and demonstration projects. To paraphrase
tion of the fully developed innovation. Thus, for
H. G. Wells' well-known reference to the importance
example, A. Klein (1972) depicts the long struggle
of education, civilization is a race between knowl-
against polio-from the 1916 epidemic to the 1955
edge utilization and catastrophe.
acceptance of the Salk vaccine; what was required
In a very practical way, the matter has been put
was not merely a scientific advance, but also accep-
succinctly by Glaser and Marks (1966):
tance by the health professions and finally adoption
by the people as a whole. The Battelle Columbus
All over the world people struggle with prob-
Laboratories (National Science Foundation, 1973)
lems and seek solutions. Often those who
struggle are unaware that others face simi-
documented the amount of time required for ten
lar problems, and in some instances, are
innovative processes, products or techniques to
solving them. It is destructive and wasteful
move from the point of conception to the point of
that people should be frustrated and often
realization or culmination in terms of readiness for
defeated by difficulties for which somebody
acceptance in the marketplace:
Year of
Year of
First
First
Duration
Innovation
Conception
Realization
in Years
Heart Pacemaker
1928
1960
32
Input-Output Economic
Analysis
1936
1964
28
Hybrid Corn
1908
1933
25
Electrophotography
1937
1959
22
Magnetic Ferrites
1933
1955
22
Hybrid Small Grains
1937
1956
19
Green Revolution: Wheat
1950
1966
16
Organophosphorus
Insecticides
1934
1947
13
Oral Contraceptive
1951
1960
9
Video Tape Recorder
1950
1956
6
Average Duration
19.2
PROBLEM OF KNOWLEDGE UTILIZATION
1
Though the consequences of scientific develop-
The Field of Knowledge Utilization
ment lag are unfortunate enough, they are com-
pounded by needless delays in the application of
Knowledge utilization as a field of study is con-
knowledge and wisdom already available for use.
cerned with: (a) developing insights on the part of
Of such delay there is ample evidence, as the follow-
both knowledge producers and knowledge users into
ing examples from the field of education indicate.
the underlying processes of knowledge develop-
W. McClelland (1968b) reminds us of the slow
ment, dissemination and implementation; (b) iden-
acceptance of kindergartens over half a century. As
tifying factors that account for delay in adaptation
noted by R. Lippitt (1965a): "A great proportion of
or adoption following the development stage; and
the significant new inventions [in education]
(c) generating strategies or measures for enhancing
...
remain quite invisible, undocumented, inaccessible
appropriate and timely utilization.
for consideration by potential adopters." When a
Many principles of knowledge utilization are
number of teachers were given special stimulation
almost universally applicable to various subject
and aid in developing classroom innovations, all of
matter fields, and many others can be linked by
them introduced changes in their own classrooms,
analogy or suggestion to fields other than those spe-
but few of these new procedures were adopted by or
cifically studied. Therefore, this distillation of lit-
even known to other teachers in the system (Fox &
erature on barriers and gateways to knowledge
Lippitt, 1964). A study of reading texts used to teach
utilization includes studies referring to general pro-
elementary school children showed that few of the
cesses for facilitating knowledge validation and
findings from a generation of very active research
utilization, and to specific efforts in the mental
into the learning and teaching of reading had been
health field and various other fields of endeavor.
incorporated into these tools for instruction (Barton
The distillation and the accompanying literature
& Wilder, 1964).
summaries are designed to bring together the find-
Many research findings that could improve prac-
ings and implications contained in several hundred
tice are virtually unknown to the professionals
articles and treatises on various phases of the
because these findings never see the light of day.
knowledge transfer problem. With so many authors
Halpert (1966) has observed that "innovators fre-
involved, it is not surprising to find not only dif-
quently do not write up their findings."
ferent approaches and different conclusions, but
Glaser (1968) inventoried major advances in the
also different conceptions of various terms em-
comprehensive care and rehabilitation of persons
ployed. For example, the term "research" may
suffering from chronic obstructive pulmonary dis-
refer to anything from objectively and experi-
ease and found that many of the most promising
mentally determined findings, to empirical sur-
programs in current use had never been described
veys of subjective judgment, to informed expert
in publications. Sometimes innovators, as they
consensus, to conventional wisdom, to generaliza-
struggle to cope with difficult situations, are actu-
tion from a single striking case. Unverified knowl-
ally unaware that they have introduced a note-
edge, as such, is rarely differentiated from validated
worthy innovation, so that no one ever reports the
knowledge derived from credible research studies
new design (Manela, 1969). In other cases, the
or careful, repeated observations. Innovation based
research investigator is concerned with getting on
on new research is not always distinguished from
to the next phase of his work and often begrudges
innovation based on the transfer of practice from
the time required to write up his preliminary find-
one situation to another. These distinctions may
ings (Archibald, 1968; Bassett, Davison & Hopson,
not always be made when assigning the designation
1968).
of innovation, as noted by Zaltman, Duncan, and
Concern for utilization tends to be neglected
Holbek (1973), who stress the importance of taking
when universities and other research units that
these and other differentiations into account when
train and reward researchers fail to emphasize
interpreting research. There also are differences in
applications. In their efforts to keep studies "uncon-
underlying schools of thought on many central is-
taminated" by practical considerations, they may
sues regarding strategies of knowledge utilization.
at times concern themselves only with the value of a
These are exemplified in the "power versus persua-
study for improving future research. If implementa-
sion" controversy; cognitive appeals versus "atti-
tion were given more attention by those who fund,
tudinal messages" in reducing resistance to change;
guide and influence research training, the lag in
the varied recommendations regarding the extent
adoption time might conceivably be significantly
of participation in decision making within an or-
decreased.
ganization in order to achieve unbegrudged compli-
2
PUTTING KNOWLEDGE TO USE
ance; the placement of initiative for utilization in
zation into adoption. Change and innovation are
the researcher versus the user; the diverse roles
related concepts. Organizational change and atti-
suggested for and by change agents; etc. A useful
tudinal modification go hand in hand.
question to bear in mind is: "Under what condi-
This interrelationship had to be simplified in
tions does this or that strategy or procedure seem
order to organize the material under topical head-
to be effective?"
ings. Thus, Chapter II examines variables singly
Despite the limitations in the "state of the art"
even though in live situations they always interact.
we hope that this distillation will provide the reader
Chapter III, which arranges the material under
with an abundance of useful information, insightful
separate stages through which knowledge utiliza-
understanding, and stimulating leads to new ideas.
tion proceeds, necessarily underemphasizes over-
lappings and interrelationships that normally
occur. Chapter IV similarly separates the usual
Outline of the Distillation
network of linkage phenomena. Chapter V focuses
on the extent to which elements of the research-
The problems and processes of knowledge utili-
development-dissemination-utilization process
zation are essentially of one piece as they apply to
have been synthesized and theorized to form co-
various fields of endeavor. The various aspects of
herent models, thereby furthering an awareness
the process defy clear separation. Research devel-
of the limitations of a piecemeal approach. Chapter
opment shades into dissemination; dissemination
VI briefly summarizes what went before and offers
into diffusion; diffusion into utilization; and utili-
a forward glance at needed research to come.
PROBLEM OF KNOWLEDGE UTILIZATION
3
DETERMINANTS
OF KNOWLEDGE
UTILIZATION
The effective use of knowledge or research to
sary and sufficient to account for organizational
bring about needed improvements in conventional
behavior related to the utilization of promising new
practice is determined by many variables, often
knowledge. These A VICTORY factors have been
functioning in combination. The present chapter
derived from a variety of sources, such as R&D
sorts out these potential determinants as they
projects, case studies, clinical experience, integra-
apply to (a) the characteristics, as the case may be,
tion of conclusions about current state-of-the-art
of the information or innovation or the change it-
knowledge and practice in given fields, etc. They
self; (b) the characteristics of the information
may be seen as determinants of how a given organi-
transfer process; (c) the characteristics of the or-
zation will respond to a particular proposed inno-
ganization or community or situation in which the
vation. Thus, they constitute a tool to identify an
desired information or improvement would be
organization's readiness for adoption of a given
expected to take root; and (d) the personal charac-
change. They also constitute relevant considera-
teristics of those involved in adoption of the change.
tions to keep in focus during the process of imple-
Evidential data and speculative analyses are in-
menting a given change or innovation.
cluded in the discussion. Treated individually in
The A VICTORY formulation evolved from a
the present section, the factors are considered more
behavioral model of change, in turn adapted from
fully in terms of patterns and change models in a
learning theory embracing such considerations
later section.
as drive or motivation, the ability or capacity of the
learner, and circumstances or stimulus conditions.
An Overview of Change Variables
A fuller treatment of the original mathematical
Lists of change variables, whether applied to
form of the model is presented in Chapter V. Re-
projects, organizations, or concerned persons, have
sults from a number of experiments on barriers and
multiple purposes. Such lists focus the attention of
gateways to knowledge transfer, as well as from
change agents-researchers, knowledge dissemi-
literature surveys, have been matched with the
behavioral factors.
nators, the practitioners alike-on key aspects of
the total situation affecting change or innovation.
The factors, or elements, of the model are defined
They permit predictions of probable success and
briefly as follows:
anticipation of obstacles to success. They aid in
A = Ability, the resources and capabilities of the
devising and applying practical measures and
organization to implement and subsequently
evaluate the innovation; sanctions of deci-
strategies for controlling the change process. They
sion makers to adopt the innovation.
facilitate an orderly study of the subject and en-
V = Values, the degree of accord with the organ-
hance the likelihood that meaningful conceptual
ization's philosophy and operating style.
models will emerge from such study.
I = Idea, the adequacy of knowledge about the
The multiplicity of determining factors has led
innovative procedure and the proposed ac-
various writers to devise acronymic summarizing
tion steps.
lists. These factors are listed and identified briefly
C = Circumstances, features of the organization
on the following pages to provide the reader with a
environment relevant to successful adoption
quick overview of likely influences affecting inno-
or adaptation of the innovation.
vation. A given factor may apply to a project out-
T = Timing, readiness to consider the innova-
come or innovation, to an organization, or to per-
tion; the particular combination of events at
sons-or to two or three of these categories.
a given time that might affect the likelihood
of implementation.
THE A VICTORY FORMULATION
O = Obligation, the felt need to change from
OF CHANGE FACTORS
existing modus operandi-or at least to try
the proposed change.
H. Davis (1971) has proposed the acronym A
R = Resistances, inhibiting factors-the organi-
VICTORY as a convenient memory device for en-
zational or individual disinclination to
compassing the eight factors he considers neces-
change, for whatever reasons.
DETERMINANTS OF KNOWLEDGE UTILIZATION
5
Y = Yield, the benefits or payoff from the inno-
funds and staff appeared to be so imminent
vation as perceived by potential adopters
at that point. Perhaps for that reason the
and by those who would be involved with
proposed evaluation system was perceived
implementation at the operating level.
as being potentially threatening and even
As the A VICTORY technique has been applied
detrimental to maintaining program per-
in a variety of studies and programs, particularly
formance. There was little chance of gain-
those associated with the improvement of mental
ing personal benefits from the proposed
system. Subsequent discussions with per-
health services, both the richness and the potential
sonnel precisely confirmed these impres-
effectiveness of the model have been demonstrated
sions, gross as the assessment had been. In
(Davis & Salasin, 1975). The eight components of
consequence, the change process was slowed
the model, for example, have been extended into a
until environmental circumstances became
set of over 40 questions one may ask concerning a
more sanguine, the system was redesigned
potential change situation and a basic working list
to require far fewer resources, participative
of about 50 prescriptive suggestions to which
planning was followed, and director-level
change agents may turn when approaching the task
staff gave individual reinforcement to per-
of achieving action or implementation of an ac-
sons engaged in maintaining the system.
ceptable idea for change (H. Davis, 1973). NIMH
Administratively, from the short view,
also employed the technique as a basis for organ-
addressing the views of personnel meant
izing questions that may be asked in the conduct of
that implementation of the system fell
months behind schedule. And its final form
program evaluation studies and, in collaboration
differed from the initial plan. But from the
with other agencies, has developed schedules or
long view, the modified plan proved to be
scales that may be used in assessing the likelihood
both more effective and efficient than the
of adoption of innovative programs by organiza-
initial one would have been
tions or individuals (Davis & Salasin, 1975).
As an example of the use of the aforementioned
THE CORRECT LIST OF CHANGE FACTORS
set of 40 questions pertaining to the eight com-
An acronymic list of characteristics of a research
ponents of A VICTORY, a division of NIMH was
finding or innovative procedure that may affect its
considering the adoption of a new operational eval-
adoption/implementation by others has been pro-
uation system. One hundred persons in five affected
posed by Glaser (1973) under the title, CORRECT.
program components were invited to rate (adoption
It entails the following attributes, some of which
of) the proposed change with reference to the 40
were previously identified by E. Rogers (1962a):
questions. The results were as follows (Davis &
Salasin, 1975):
1. Credibility-stemming from the soundness
of evidence for the innovation's value or
Total scores for each of the five program
from its espousal by highly respected per-
components matched precisely the overall
sons or institutions.
ratings of adoption by the five respective
2. Observability-the opportunity for potential
components.
Responses were consis-
users to see a demonstration of the innovation
tently on the positive side on such dimen-
or its results in operational practice.
sions as Idea, Obligation, Values, and Yield
3. Relevance-to coping with a persistent or
insofar as the program benefits were con-
bothersome problem of concern to many or to
cerned. They were consistently negative on
influential people.
the side of Ability, Circumstances, Timing,
4. Relative advantage-cost-benefit or other
and Yield in terms of personal benefits.
advantages over existing practices; the con-
The persons to be involved with the change
viction that improvement will more than off-
were saying, in effect, that the new system
set additional effort which may be required to
was clear, that they had no intention about
adopt or adapt the change.
rebelling against any instructions to adopt
5. Ease in understanding and installation-as
the system, that it was the thing to do and
contrasted with difficulty of putting into
finally that the program would benefit from
operation or transplanting from another set-
such adoption. But at the same time they
ting.
were saying that it was a time-consuming
6. Compatibility-with potential user's values,
endeavor to maintain, perhaps one for
norms, procedures, and facilities.
which the payoff was not commensurate
7. Trialability, divisibility, or reversibility-
with the time and energy demanded. That
which permits a pilot tryout one step at a time
particular point in time was a poor one to
and does not call for an irreversible commit-
initiate such a system because cutbacks in
ment.
6
PUTTING KNOWLEDGE TO USE
In the same source Glaser sets forth a number of
THE ZALTMAN LIST OF
determinants of the likelihood of successful trans-
INNOVATION ATTRIBUTES
fer of an innovative practice. Several of these refer
Zaltman et al. (1973) offer the following list of
primarily to characteristics of potential users to
attributes that are relevant to describing, explain-
whom the information or innovation is addressed.
ing, and predicting responses to innovations:
(These determinants readily can be translated into
Davis' A VICTORY factors; they simply were
1. Cost-financial and social, initial and con-
formulated independently and thus described in
tinuing.
slightly different terms):
2. Returns to Investment-tangible and intan-
gible.
1. Leadership's willingness to entertain and re-
spond nondefensively to internal or external
3. Efficiency-overall timesaving and avoid-
ance of bottlenecks.
challenge of its operation or practices.
2. The capability of staff and the availability of
4. Risk and Uncertainty-on the part of early
adopters, lessened for later adopters.
necessary resources.
3. Sensitivity to context factors such as clients,
5. Communicability-ease of dissemination
communities, governmental control, and pub-
and clarity of results.
lic opinion-to outside pressures and to envi-
6. Compatibility-consistency with "existing
ronmental and administrative changes.
values, past experiences, and needs of re-
4. Skill in working through resistances.
ceivers."
Other factors noted in Glaser's 1973 paper refer
7. Complexity-of ideas and in actual imple-
mentation.
to the information transfer process. For example:
8. Scientific Status-reliability, validity, gen-
1. Early involvement of influential potential
erality, etc.
users in the planning, research, and develop-
9. Perceived Relative Advantage-its visibility
ment of the innovative practice.
2. Supplementary support concerning the inno-
and demonstrability.
vation beyond informational communications,
10. Point of Origin-whether from within or from
such as providing technical assistance, semi-
without the organization.
nars, packaged material, etc.
11. Terminality-point beyond which adoption
3. Personal contact, including solicitation of
becomes less rewarding, useless, or even im-
assistance from "gatekeepers."
possible.
4. Suitable timing in the application of dissem-
12. Status Quo Ante-reversibility and divisi-
ination strategies.
bility.
Still other determinants that tend to represent
13. Commitment-prior attitudinal or behav-
facilitating forces for application of a promising
ioral acceptance.
innovation are:
14. Interpersonal Relationships-impact on a
disruptive-integrative continuum.
1. A climate of trust within which the change
15. Publicness versus Privateness-availability
advocate endeavors to function.
to all members of the social system.
2. Critical information regarding anomalies in
16. Gatekeepers-number of approval channels.
what heretofore have been accepted as"truths";
17. Susceptibility to Successive Modification-
inadequacies, or widespread feelings of need
ability to refine, elaborate, or modify innova-
for corrective action to overcome conditions
tion.
that seem seriously undesirable.
3. An incentive system providing rewards for cer-
18. Gateway Capacity-opening of avenues to
other innovations.
tain changes or types of behavior.
4. Stimulation of shared interest in solving com-
19. Gateway Innovations-instrumental setting
monly recognized problems (sometimes
of stage for large-scale innovations.
achieved through systematic feedback of goal-
These authors note that the attributes may apply
attainment progress).
5. Structural changes, or organizational rear-
differently to the different stages of the innovative
rangements that require adoption of certain
process and to different organizations with diverse
procedures or action, e.g., an administrative
characteristics.
ruling or law that requires a child-care institu-
An essentially similar set of characteristics is
tion, nursing home, or whatever, to comply
presented in Lin and Zaltman (1973), with a chart
with certain explicit and ascertainable stan-
listing characteristics of innovations as discussed
dards if it wishes to be certified as eligible to
in a number of articles published between 1962 and
receive referrals from given public agencies.
1971.
DETERMINANTS OF KNOWLEDGE UTILIZATION
7
THE HELP-SCORES CHANGE VARIABLES
centage of decisive events to which they applied,
Another set of project or change variables has
the 21 identified factors were:
been proposed by Havelock and Lingwood (1973) as
1. Recognition of technical opportunity.
a rating schema for diagnosing problems in the
2. Recognition of the need.
communication of new knowledge or innovations
3. Internal R&D management.
from any sender to any receiver. This set of con-
4. Management venture decision.
5. Availability of funding.
cepts follows the acronymic designation, H-E-L-P
6. Technical entrepreneur.
S-C-O-R-E-S:
7. In-house colleagues.
1. Homophily: Similarity of characteristics of
8. Prior demonstration of feasibility.
sender and receiver.
9. Patent/license considerations.
2. Empathy: Understanding and feeling for the
10. Recognition of scientific opportunity.
other and the other's situation.
11. Technology confluence.
3. Linkage: Contact or relationship between
12. Technological gatekeeper.
persons or groups.
13. Technology interest group.
4. Proximity: Placement of persons or groups
14. Competitive pressures.
near each other.
15. External direction to R&D personnel.
5. Structuring: Evidence of planning, order-
16. General economic factors.
ing, systematic arrangement.
17. Health and environmental factors.
6. Capacity: Sign of affluence, talent, experi-
18. Serendipity.
ence, wisdom, etc.
19. Formal market analysis.
7. Openness: Sign of willingness to listen, re-
20. Political factors.
ceive, give, tell, etc.
21. Social factors.
8. Reward: Provision of financial support, se-
The authors group or relate the factors to each
curity, esteem, status, etc.
other as follows:
9. Energy: Investment of time and effort, per-
sistence, aggressiveness.
Factors 1, 2, and 10 are related to various motiva-
10. Synergy: Coming together of forces, orches-
tional influences.
tration, synchronization, etc.
Factors 3, 4, 5, and 19 involve action taken con-
sciously by management.
High ratings on each of these dimensions are re-
Factors 6, 8, 9, and 12 may involve management
lated to more successful communication and util-
in some sense, but do not necessarily imply spe-
ization of research knowledge.
cific action by management.
ADOPTION FACTORS CHARTED
Factors 7, 13, 14, and 15 describe peer-group
forces that impinge on the R&D scientist.
Although all four listings of factors that may in-
Factors 11 and 18 are circumstances that are
fluence likelihood of adoption of an innovation are
usually unplanned or accidental.
couched in different terms, they are related in
Factors 16, 17, 20, and 21 refer to the general en-
many respects, as Table 1 suggests. The table pre-
vironment within which the innovative process
sents the terms in juxtaposition with the A VIC-
takes place.
TORY list. To be sure, the meanings differ some-
The above order of importance ascribed by the
what from list to list, but nevertheless there is ap-
Battelle study to the 21 identified factors probably
preciable overlap.
is specific to scientific and technical innovations.
Havelock's factors. In another study that may
OTHER SUGGESTED CHANGE-FACTOR
be cited in contrast, Havelock (1974b) asked school
LISTINGS
superintendents to rate a series of statements per-
The Battelle list. The Battelle Columbus Labor-
taining to innovative procedures.
atories (National Science Foundation, 1973) stu-
The listing of procedures affecting the success of
died 21 factors of probable importance to the direc-
innovative projects in education, according to
tion and rate of the innovative process. These
Havelock's factor analysis of superintendents'
factors were selected from the general literature on
ratings, is as follows:
the subject of variables influencing the adoption of
1. Factor I: Problem-solver perspective:
innovations. Each factor was rated for degree of
a. Maximizing chances of participation by
importance to each decisive event in the history of
many groups.
ten outstanding scientific or technical innovations.
b. Finding shared values as a basis for work-
In the order of significance, as measured by the per-
ing.
8
PUTTING KNOWLEDGE TO USE
c. Providing a climate conducive to sharing
e. Adequate diagnosis of the real educational
ideas.
need.
d. Stressing self-help by the users of the inno-
vation.
3. Factor III: Strategic manipulation:
a. Participation by key community leaders.
2. Factor II: RD&D perspective:
b. Taking advantage of crisis situations.
a. Systematic evaluation.
c. Involvement of informal leaders of opinion
b. Solid research base.
outside the schools.
c. Systematic planning.
4. Factor IV: Open advocacy and humane di-
d. Adequate definition of objectives.
alectic:
TABLE 1
Factors Influencing the Likelihood of Adoption or Adaption of a Seemingly
Promising Innovation by an Organization: Integrated Findings
H. Davis
E. M. Glaser
G. Zaltman et al.
R. Havelock et al.
(8 Factors)
(20 Factors)
(Condensation of 19 Factors)
(10 Factors)
Ability to carry out the change
Capability and resources
Financial and social costs
Structuring
Capacity
Values or self-expectancy
Compatibility
Compatibility
Homophily
Publicness vs. Privateness
Empathy
Impact on interpersonal
relations
Idea or information about the
Credibility
Communicability
Openness
qualities of the innovation
Ease in understanding and
Divisibility
installation
Reversibility
Observability
Complexity of concept or
Trialability
implementation
Divisibility
Susceptibility to successive
Reversibility
modifications
Scientific status
Point of origin
Terminality
Circumstances which
Willingness to entertain
Proximity
prevail at the time
challenge
A climate of trust
Structural reorganization
Timing or readiness for con-
Sensitivity to context factors
Linkage
sideration of the idea
Early involvement of potential
Synergy
users
Suitable timing
Obligation, or felt need to
Relevance
Degree of commitment
Energy
deal with a particular
Widespread felt need to
problem
correct undesirable conditions
Shared interest in solving
recognized problems
Resistance or inhibiting
Skill in working through
Risk or uncertainty of various
factors
resistances
kinds
Number of gatekeepers or
approval channels
Yield, or perceived prospect
Relative advantage
Efficiency of innovation
Reward
of payoff for adoption
An incentive system
Perceived relative advantage
Gateway to other
innovations
DETERMINANTS OF KNOWLEDGE UTILIZATION
9
a. Confrontation of differences.
tions by which to work. Researchers in the area of
b. Resolution of interpersonal conflicts.
change phenomena may wish to explore the possi-
c. Creating awareness of the need for change.
bilities of a larger number of variables, including
d. Creating an awareness of alternative solu-
those regarding which validity has not yet been
tions.
fully established.
e. Providing a climate conducive to risk
Researchers and practitioners will have to con-
taking.
sider the problem of interaction among variables in
5. Factor V: Financial capacity.
producing innovative effects; that is, in studying
6. Complex items:
forces operating for or against change. Further, the
a. Selecting a competent staff to implement
relation between a variable and its change effect
change.
need not be linear; there may be sharp cut-off
b. Utilizing a number of different media to
points marking change from nonchange. Variables
get new ideas across.
may have to be studied in combinations, in keeping
c. Persistence by those who advocate the in-
with a multiple regression model.
novation.
Considerations such as these need to be kept in
Rothman's list. Perhaps the largest list of po-
mind as studies of single variables are reported.
tential change factors has been assembled by Roth-
man and his staff (Rothman, 1974) in a study spon-
Project Variables
sored by the National Institute of Mental Health.
From a pool of 921 carefully chosen research reports
In this section an attempt is made to distill from
on planning and organizing for social change, some
the literature those analyses and suggestions hav-
228 "generalizations" relative to change variables
ing to do with project variables that affect change.
were derived. For example, a generalization rel-
The term "project" is used in the sense of a desig-
ative to personnel notes that role orientations may
nated innovation or an instance of knowledge
be differentiated depending on whether the milieu
transfer. Three subsequent sections present sep-
is professional, bureaucratic or client centered. The
arate distillations of communications variables, or-
descriptive statements, which are accompanied by
ganizational variables, and of personal variables
"action guidelines" and supportive material from
that bear upon knowledge utilization/change.
the sources examined, are presented in chapters
In considering project characteristics that may
bearing the following titles:
affect change or innovation, the following headings
are used for convenience:
1. Practitioner roles: variables affecting role
performance.
1. Advantage (awareness of relative benefits)
2. Practitioner roles: some dynamics of role
2. Conformity (compatibility with established
performance.
values)
3. Organizational behavior: contextual factors.
3. Comprehensibility (ease of understanding
4. Organizational behavior: technology and
and implementing; teachability)
personnel.
4. Capability (fiscal, manpower and physical re-
5. Political and legislative behavior.
sources)
6. Participation: voluntary associations and
5. Demonstrability/Revocability (observable
primary groups.
gains/trialability; reversibility)
7. Participation: social movements, political
6. Championship (advocacy by influential per-
action, client organization.
sons or sources)
8. The diffusion and adoption of innovations.
9. Movement and assimilation of populations.
As evident from Table 1 previously presented, dif-
10. Research utilization as a process.
ferent terms as used by various authors may be
translated into a common framework such as that
The aforementioned lists of change factors differ
proposed by H. Davis (1971).
from one another in their relative emphasis on de-
terminants of change as they affect a particular
ADVANTAGE
innovative project, its organizational setting, and
the persons who are concerned with the change, as
An innovation which offers promise for achieving
has been noted. But they also vary in respect to
desired results in dealing with a persistent and vex-
their usefulness to the several types of persons who
ing problem of concern to a great many people is
may be interested in change processes. Those who
more likely to spark interest than one which either
are engaged in an immediately practical field situa-
is not of general concern or pertains only to a rela-
tion may require a pithy, succinct set of considera-
tively small number of potential beneficiaries
PUTTING KNOWLEDGE TO USE
10
(Miles, 1964c; Glaser & Taylor, 1969).
grams: (a) practical value in the minds of profes-
Innovations that appear to potential adopters to
sionals; and (b) ease of communication to other
have relative advantage over existing practices,
professionals. On the other hand, six negative cri-
especially when espoused by highly respected opin-
teria are indicated, as follows: (a) represented a
ion leaders, are more readily adopted (Barnett,
major departure from traditional public health
1953; Hovland, Janis & Kelly, 1953; E. Rogers,
activity; (b) conflicted with important values in
1962; Bright, 1964; Coleman, Katz & Menzel,
the health field; (c) might be opposed by the
1966a). A certain change in factory machinery
county medical society; (d) might be opposed by
might be an improvement, but one which would be
interested groups in the community; (e) if adopted,
worth less than it would cost to introduce; thus, it
would threaten the health officer's reputation; and
would have no relative advantage.
(f) if adopted, would threaten or conflict with es-
Changes that are inexpensive and can be accom-
tablished economic interests.
plished with already available materials, persons
Compatibility appears to be an important vari-
and skills can be quickly introduced. Those that
able in the adoption of innovations in the field of
require large investments of money, time and
mental health. For example, one study based on
energy will necessarily come more slowly (Miles,
interviews with 25 practicing psychiatrists found
1964c).
very little impact of recent developments in neuro-
Innovations in the social services may be hin-
physiological research upon private practice
dered in this respect since their relative advantage
although the psychiatrists were generally aware of
is often difficult to assess (E. Rogers, 1968). "Ad-
these recent developments. This finding was attrib-
vantage" includes psychological as well as eco-
uted to the fact that the theoretical framework of
nomic or material factors. For example, an inno-
the psychiatrists (psychodynamic) was not com-
vation also may have consequences for prestige,
patible with the theoretical assumptions on which
convenience, and satisfaction that are perceived as
the research was based (Rose & Esser, 1960).
advantageous by the adopter. Or an innovation
A number of writers (e.g., Zander, 1962; Bright,
may subsequently require changes in the power
1964; R. Lippitt, 1965a, 1965b, 1966) note that
structure or social structure of an organization
innovative practices are frequently in conflict with
that might well be perceived as disadvantageous to
existing attitudes, customs, and values of both the
those who feel their status might be adversely af-
researcher and the practitioner. When this is so, it
fected. Bowman (1959), analyzing the motivation
serves to discourage adoption. In terms of conflict
for community action in mental health, discovered
with the values and behavior of practitioners,
that sometimes the beneficial "side effects" be-
Rosenblatt (1968), Berlin (1969), and Matheson
came important enough to obscure the original
and Sunderland (1969) note that much basic re-
goals. For example, the allowance for "overhead"
search is considered inapplicable in many settings,
in a research grant may be more important in the
thus is incompatible and unlikely to have much
mind of an administator than the ostensible pur-
impact.
pose of the research.
Glaser and Ross (1971) comment that for an
CONFORMITY
innovation to be acceptable, it must be assimilated
within the professional ideology of the potential
Innovations are more acceptable if they seem
adopter. They note that the field of mental health
compatible with the user's previously established
service delivery tends to be characterized by
values, norms, procedures, and facilities (Guest,
schools or ideologies to which staff are committed;
1962; E. Rogers, 1962a; Katz, 1963a; Miles, 1964c;
for example, psychoanalysis, nondirective counsel-
Niehoff, 1966; W. McClelland, 1968; Zaltman et
ing, or behavior modification. The ideological
al., 1973). A new drug "fits in" easily with custo-
orientation of an agency implies a coherent and
mary medical practice; the use of subprofessional
congruent set of principles and techniques with
staff is a different matter. Relatedly, a potential
which the proposed innovation must be compatible.
adopter's main occupational interest seems to have
Suggested changes to improve effectiveness of
a "halo" effect in contributing to rapid adoption of
administration, intake procedures, or treatment
innovations most closely allied to that interest
scheduling that do not challenge the prevailing
(Fliegel & Kivlin, 1966).
ideology may sometimes be made by administra-
To cite findings from still another field, M.
tive fiat; but those that run counter to the existing
Becker (1970) presents two positive criteria in
school of thought, such as the introduction of
determining the adoptive potential of medical pro-
group procedures in an agency oriented toward
DETERMINANTS OF KNOWLEDGE UTILIZATION
11
individual psychoanalytic therapy, would require a
importance and in application than those dealing
change in ideological acceptance prior to intro-
with curricular selection, organization, or sequen-
duction.
cing. However, since the last-named group was also
According to Mackie (1974), human learning
more technical, as independently judged, than the
research has had relatively low applicational
first two categories, it is possible that technicality
potential. Mackie notes a number of considerations
may be a concurrent factor in accounting for the
that relate to the lack of conformity between the
ratings obtained, and that this factor also may
conditions underlying research experiments and
apply to the characteristics of other ideas under
applicational conditions. These have to do with:
consideration for adoption. Thus, the need to make
the technical content of innovative material as
1. The basic motivation of the experimenter as
clear as possible under given circumstances is
compared with the practitioner.
affirmed to the extent that the several sets of judg-
2. The experimenter's selection of tasks in terms
of his theoretical position and/or how conven-
ments described in the study reflect objective con-
iently they can be generated by the types of
ditions.
available equipment.
Zaltman et al. (1973) note (as have other authors)
3. The stimulus and response characteristics of
that complexity of ideas as well as difficulty in
the tasks employed.
their implementation are deterrents to the adop-
4. The limitation in the response repertoire per-
tion of innovations.
mitted.
5. The motivation of the participating subjects.
CAPABILITY
6. Time compression.
As noted by H. Davis (1973), for a desired change
7. Difference in experimental environment.
to become actualized, there must be staff skills and
Using a semantic and logical analysis, Barnett
knowledge appropriate to the change. In general,
(1964) has developed a paradigm in which change
where skills are not already available, it is neces-
acceptance-rejection possibilities in any given con-
sary to examine a projected innovation in terms of
frontation of a person with a message may be
its teachability or its learnability.
systematically and exhaustively explored. Whether
Argyris (1974) has attributed the failure of most
a new message (an innovation) will be accepted or
innovative experimental schools largely to the fact
rejected depends on many factors. First, it depends
that those staff and board members who espouse
on the structural demands of the language and the
freedom, mutual trust and community decision
resultant relationships inherent in the message.
making are usually unaware that they have been
Second, and most important, the message must
"programmed" throughout their lives to "Model I"
"make psychological contact with some antecedent
(controlling, winning, avoiding negative criticism)
experience of its potential acceptor." In addition,
and in their actual behavior they contradict their
the author discusses the concept of "values" and
proclaimed values. He documents his thesis from
points out that actual acceptance or rejection is
analysis of the minutes of staff and board meetings
based on the individual's values and preferences.
in three experimental schools. In a later work,
Argyris and Schon (1974) offer a prescription for
COMPREHENSIBILITY
the training necessary to bring actual behavior of
Other things being equal, a change that is easy
teachers and administrators into accord with their
to understand and to implement is more likely to
espoused theories.
be adopted than one which is complex and difficult
to learn or put into operation. Replication requires
DEMONSTRABILITY/REVOCABILITY
feasibility for transfer to other settings (E. Rogers,
Innovations also differ in the extent to which
1967a; Rogers & Svenning, 1969).
rewards are observable. The more obvious and tan-
Abelson (1970) reports that the technicality of a
gible the gains, the greater the probability of adop-
prescriptively stated psychoeducational idea, as
tion (Flanagan, 1961; Mansfield, 1963b; Glaser &
judged by the investigator, is inversely related to
Taylor, 1969). E. Rogers refers to this as communi-
its importance and its application to teaching prac-
cability (1962a, 1967a). When people can see the
tice, as judged by teachers; i.e., the higher the
results of using a new idea, they are more apt to
technicality, the lower the two criterial ratings.
adopt. Hence, at least within the practical frame of
When 120 statements of ideas were sorted accord-
reference of these studies, nonmaterial ideas have
ing to the aspect of the teaching-learning process
been found to diffuse more slowly than material
to which they applied, those pertaining to pupils
innovations.
and to teaching procedures were rated higher in
Changes that can be tried on a pilot basis in a few
PUTTING KNOWLEDGE TO USE
12
situations are more readily accepted than those
have a more intimate and continuing relationship
which make an all-or-none demand on the entire
with the R&D team, one might expect his influence
system. This characteristic, sometimes called
to be higher than the technical entrepreneur, but
"trialability," reduces the perceived risk of an inno-
the data show otherwise.
vation and lessens resistance (Bright, 1964; Rogers
If an innovation is espoused by an eminent,
& Svenning, 1969).
highly respected person or group, at least its initial
The extent to which a proposed change is known
acceptance is more likely than if the same innova-
to be reversible if it does not prove desirable may
tion were espoused by a less eminent person or
affect its adoption. Not all innovations can be dis-
group. For example, when Linus Pauling, Nobel
carded later with impunity. The bridges back to
prizewinner in biochemistry, published Vitamin C
the status quo ante may have been burned. Situa-
and the Common Cold in January 1970, there was a
tions in which the user need not "play for keeps"
mass surge toward "instant adoption" (at least at
provide more opportunity for innovation (Miles,
the time, or for a tryout). Drugstore shelf stocks of
1964c; Lippitt & Havelock, 1968; Zaltman et al.,
vitamin C tended to be sold out across the country
1973).
within a few days. Enhanced credibility afforded
In a socio-technical worklife research study con-
by Dr. Pauling's status, was, to be sure, aided by
ducted in Norway under a steering committee of
other factors such as relevance to a common,
the national unions, the national employers con-
bothersome problem; simplicity; trialability; etc.
federation, and the government, it is interesting to
Fairweather's studies (1971, 1973; Fairweather et
note that the researchers protected both the work-
al., 1974) indicate that change is unlikely without
ers and management by minimizing the extent to
outside pressure and guidance as well as inside
which either would be committed to long-term
championship. H. Davis (1972) came to a similar
acceptance of experimental changes (Thorsrud,
conclusion based on a study of NIMH projects. He
1968).
found a need for outside pressure or advocacy from
If a proposed change is divisible, so that it can be
the beginning if the projects are even to be reported
introduced one step at a time, with opportunity to
in full, much less adopted. For example, before
assimilate each stage before the next comes on, it
1966, no grant project monitoring or control system
will arouse less resistance than would more whole-
was in use for applied research at NIMH after the
sale change (E. Rogers, 1962a; Fliegel & Kivlin,
grant award determination. An attempt to assem-
1966).
ble all of the findings of mental health projects
CHAMPIONSHIP
funded by the Institute yielded final reports from
Championship (or advocacy by influential per-
only 40 percent. By beginning (in 1966) to institute
sons), which may be internal or external, may be
outside pressure in the form of program monitoring
added to the list of characteristics affecting the
at the outset of project activities, the percentage of
adoption of innovation. W. McClelland (1968b)
final reports submitted gradually rose to 95 percent,
where it has remained.
notes that almost no ideas or projects are accepted
Numerous authors (e.g., Halpert, 1966, 1972;
solely on their own merits. The study by Fair-
Fairweather, 1971; H. Davis, 1972) have com-
weather, Sanders, and Tornatzky (1974) concludes
mented that many of the persons involved in test-
that "it appears necessary to locate small change-
ing or demonstrating innovative mental health
oriented groups within an organization that wish to
delivery techniques are practitioners rather than
change it, and then to constantly reinforce their
scientists, and their primary goal is to provide good
movement toward change. No change occurs with-
service, and not to assess and disseminate project
out persevering action behaviorally directed toward
results, according to the Davis findings. Continued
change."
reminders of the importance of the project payoff
Of special relevance to championship is the point
are more important in service research than in
made in the Battelle study previously cited that a
fundamental research. Thus, the external cham-
technical entrepreneur (an individual within the
performing organization who champions a scientific
pion needs to supplement the other project factors
discussed above.
or technical activity) ranked sixth in importance
for innovation, considerably higher than the twelfth-
Communication Variables
ranked technological gatekeeper (an individual
who identifies scientific or technical information of
How new ideas or practices are presented af-
relevance to the interests and activities of the
fects acceptance. Often there is perceived or
researchers). As the technological gatekeeper would
vaguely felt threat by recipients with regard to
DETERMINANTS OF KNOWLEDGE UTILIZATION
13
new information or proposed change from con-
cing the innovation backwards to the
ventional practice. Some reasons for such resis-
source of the information. Results of the
tance, and factors bearing upon it, already have
study indicate that the primary source
been discussed. Two process elements which
for innovative ideas was personal con-
have been found to reduce resistance are: (a) the
tact. Formal communication channels
use of person-to-person communication, es-
(e.g., books, journals, speeches) played a
much lesser role.
pecially when emanating from respected or in-
fluential peers, and (b) the solicitation of in-
The potential value of person-to-person
communication as a mechanism for fa-
volvement or collaboration in the development of
cilitating change seems well established.
the information or innovation by respected rep-
Another characteristic which may facili-
resentatives of potential user groups.
tate change is collaboration between de-
John Salasin, in a personal communication to
velopers and users of knowledge. Ideally,
the author, has summarized some key research
in considering researcher-practitioner
results bearing upon the above observations:
exchange, collaboration should include
One study of change (Coleman, Katz and
problem formulation, study design, data
Menzel, 1966) focused on the introduc-
collection, interpretation of results, and
tion of a new drug and its acceptance,
application of findings. The
study
through time, among prescribing phy-
[Glaser and Taylor, 1969]
of suc-
sicians. The study's findings indicate
cessful as opposed to unsuccessful ap-
that, while several channels of influence
plied research projects emphasized the
value of collaboration between know-
usually preceded use of the new drug by
a physician, a social intermediary (de-
ledge developers and knowledge users.
tail man or colleague) rather than im-
The study found that successful research
personal media (journals, house organs,
projects were characterized by a high
level of communication with and in-
etc.) was frequently indicated as the
major source of information leading to
volvement by potential users. The pro-
prescription of the drug. The sources of
ject staff of successful projects made ef-
information reported by the physicians
forts to induce interest and cooperation
were as follows: 57 percent said they
from a wide group of supporters and po-
tential users. Potential obstacles became
first learned of the drug from the detail
shared concerns. Resolution of these ob-
man, 18 percent learned from direct mail
from drug houses, 7 percent named a
stacles, by both research project staff
professional journal, and 7 percent
and potential users, often provided un-
named another physician. Almost 90 per-
anticipated benefits which strengthened
cent of the doctors sought or awaited
the project.
word from at least one source before first
Scientific meetings can provide a means
using the drug; 62 percent indicated that
for such collaboration. A meeting (Gla-
they received the information from three
ser, 1968) to examine patient regimens
or more sources before use.
for chronic obstructive pulmonary dis-
A study on the diffusion of hybrid seed
ease resulted in the conferees achieving
corn (Ryan and Gross, 1943) indicated
a sharper identification of unresolved
that almost one-half of the farmers in-
questions that needed further experimen-
terviewed cited personal contacts with
tal study. Meeting attendees expressed
salesmen as the earliest source of in-
a willingness to collaborate following
formation. Ten percent named radio ad-
the meeting in seeking further know-
vertising as their first source. About 15
ledge. The meeting promoted awareness
percent indicated that neighbors had
of treatment programs, some of which
provided the information while 11 per-
had never before been described or pub-
cent named farm journals. The findings
lished in detail. Finally, the meeting re-
indicated that, while professional sales-
sulted in the strengthening of an interdisci-
men served the introductory function,
plinary network of communication regard-
neighbors were the most influential in
ing the diagnosis and treatment of chronic
activating adoption of the hybrid corn.
obstructive pulmonary disease.
A retrospective study (Roberts and Lar-
sen, 1971) was conducted by identifying
Organizational Variables
innovative programs already introduced
Kogan (1963) and others have noted that the
in mental health institutions and tra-
likelihood of successful innovation depends in part
14
PUTTING KNOWLEDGE TO USE
on an organization's openness to change. Thus, or-
sider the helpful analysis of the concept of organ-
ganizational variables themselves are often most
izational health, as presented by Benedict et al.
influential in determining utilization of research
(1966). Grouped under three headings, ten "di-
(Kogan, 1963).
mensions" of organizational health are listed, as
In the study of the relation of these variables to
follows:
innovative change or to knowledge utilization the
1. Task accomplishment:
"organizations" referred to range from definitive
a. Reasonably clear, accepted, achievable,
units such as offices or factories, to social institu-
and appropriate goals.
tions such as a school system. The studies here re-
b. Relatively undistorted communication flow
ported deal mainly with the smaller, more concrete
horizontally, vertically, and to and from
settings, but reflect general principles of organiza-
the environment.
tional functioning.
c. Optimal power equalization, collaborative
E. Rogers (1973b), based upon evidence he has
and based on competence rather than posi-
tion.
accumulated, places emphasis on the importance
of the effect of a system's social structure upon the
2. Internal integration:
diffusion of innovations. He sums up his position in
a. Resource utilization, reflecting a good fit
nine propositions, as follows:
between personal dispositions and role de-
mands.
1. Social structure acts to impede or facilitate
b. Cohesiveness, or "organizational identity".
the rate of diffusion and adoption of new ideas
C. Morale, feelings of well-being and satis-
through system effects.
faction.
2. Diffusion can change the social structure of a
social system.
3. Growth and active changefulness:
3. Power elites act as gatekeepers for entering a
a. Innovativeness, tendency to grow, change,
social system, while favoring functioning in-
diversify.
novations that do not immediately threaten to
b. Autonomy, ability to act "from its own
change the system's structure.
center outward."
4. A system's social structure helps determine
C. Adaptation, changes in response to organi-
the nature and distribution of an innovation's
zation-environment contact.
d. Problem-solving adequacy, ability to sense
consequences.
problems and effect solutions.
5. Top-down change in a system, which is initi-
ated by the power elites, is more likely to suc-
The following five organizational factors are pre-
ceed than bottom-up change.
sented by Zaltman et al. (1973) as affecting the in-
6. Bottom-up change involves a greater degree of
novative process:
conflict than top-down change.
7. Bottom-up change is more likely to be suc-
1. Complexity-the number of occupational spe-
cessful at times of perceived crisis in a sys-
cialties and their professionalism.
tem.
2. Formalization-emphasis placed within the
8. Bottom-up change is more likely to be suc-
organization on following specific rules and
cessful when a social movement is headed by a
procedures in performing one's job.
charismatic leader.
3. Centralization-the locus of authority and
9. The role of the charismatic leader in a social
decision making within the organization.
movement decreases as the movement be-
comes institutionalized into a more highly
4. Interpersonal relations-including degree of
structured organization.
impersonality,
Rogers indicates that his propositions are not lim-
5. Ability to deal with conflict-as to whether to
ited in their applicability to such specific behaviors
innovate and how to innovate; differences in
goals, perceptions, etc.; intrapersonal, inter-
as the diffusion of innovations, social movements,
personal, organizational, interorganizational,
and the like, but deal with change and structure in
etc.
a more general sense, including broad social move-
ments.
Walton (1975) studied the extent to which evi-
Organization variables in this chapter are pre-
dently successful experiments in work restructuring
sented under four headings: goals; structure; com-
involving organizational change that had been ap-
munication and decision making; leadership and
plied to one section of eight large firms in the
staff. However, several writers offer approaches
United States, Great Britain, Canada, Norway,
that cut across these divisions. As reflective of the
and Sweden were subsequently adopted by other
overlappings among these headings, one might con-
units of the respective firms. He found that the ex-
DETERMINANTS OF KNOWLEDGE UTILIZATION
15
tent of diffusion varied widely within the eight
are discussed in the sections that follow. Implied in
firms. In four companies, diffusion was found to be
the treatment of the material is the distinction be-
nonexistent or small. In three companies, some-
tween utilizing the characteristics of an organiza-
what more diffusion occurred; however, the rate
tion to produce change, and utilizing change fac-
either was slow or had not been sustained. Only in
tors to alter the characteristics of an organization.
one company was diffusion found to be truly im-
ORGANIZATIONAL GOALS
pressive.
Elements that were considered relevant to the
Whether goals are set for an organization or by
overall failure of diffusion were as follows:
an organization, certain considerations apply.
1. Regression in the pilot project itself.
Clarity of goals. As conceived by Miles (1965),
2. Use of a poor model for change.
in a healthy organization, which also provides for
3. Confusion as to what is to be diffused.
distortion-free communication and an equitable
4. Inappropriateness of the concepts employed.
distribution of influence, the goals of the system
5. Deficient implementation and follow-
are reasonably clear to the system members and
through.
reasonably well accepted by them. Goals also
6. Lack of top management commitment.
should be achievable with existing or available re-
7. Union opposition.
sources, and should be appropriate. The ambiguity
8. Bureaucratic barriers.
and diffuseness of educational goals, for example,
9. Threatened obsolescence.
diminish the effectiveness of educational organiza-
10. Self-limiting dynamics, such as envy of re-
tions and impede institutional change (Halpin,
wards to the experimental group ("star"
1962; Miles, 1965; Sieber, 1968). Two consequences
envy).
The author concludes his article with a number
of goal diffuseness in relation to education are iden-
of observations:
tified by Sieber (1968) as (a) reinforcement of the
effects of status insecurity and vulnerability con-
1. An important reason for the unimpressive rate
of diffusion in the eight companies studied is
cerning innovation; (b) difficulty in measuring the
that the innovations had many attributes
attainment of goals, which makes it hard to reach
that made their diffusion inherently slow,
consensus regarding the efficacy of particular pro-
such as low communicability and incon-
grams, methods, or skills.
gruence with existing norms and values.
As an aid toward the setting of group goals, Jenks
2. A further reason relates to barriers the dif-
(1970) recommends the use of a Q-sort, a technique
fusion efforts encountered and the efficacy of
whereby respondents sort statements of possible
the companies' strategies and tactics.
goals according to their degree of acceptability. The
3. Careful and extensive planning is required to
resultant judgments may then be subjected to dis-
assure positive results.
cussion and reconciliation.
4. The problems of increased local autonomy
Another aid toward the setting of group goals is
and threatened roles are not easily resolved.
5. The self-limiting dynamics of pilot projects
the use of a modified form of the Delphi technique.
are often unexpected; awareness may lead to
This technique was originally developed by Olaf
greater success.
Helmer and his associates at the Rand Corporation
6. While the author expects little diffusion of po-
to facilitate the arrival at a consensus of expert
tentially significant restructuring in the work
judgment. As its name signifies, it is ordinarily
place in the short run, he is hopeful that for
applied to the prediction of developments and
the long run, future experiments will profit
events in the future. It entails a procedure of writ-
from the pioneering efforts.
ten feedback regarding given questions which is
Rothman (1974), in an extensive survey of litera-
iteratively shared anonymously among a group of
ture, depicts organization variables of many kinds.
knowledgeable and concerned persons, leading to
In keeping with his interest in social work on a
reevaluation and further refinement. This proce-
broad community-action level, the relations of
dure, however, can be applied to other matters,
organizations to their environments are considered
such as the clarification of the goals of a society,
along with the usual concerns regarding organiza-
institution, organization or project.
tional goals, structure, bureaucracy, and opera-
In terms of the clarity and appropriateness of
tions. The role of both professionals and parapro-
organizational goals, E. Rogers (1967a) raises an
fessionals is given considerable prominence in the
interesting point about how the "closure" orienta-
discussion of organizational change phenomena.
tion of vocational rehabilitation agencies serves to
These and a good many other organizational
divert attention from consideration of innovative
characteristics that bear upon receptivity to change
ideas. An emphasis on the quantity of closed cases
16
PUTTING KNOWLEDGE TO USE
rather than the quality of services rendered leaves
expectancy undoubtedly varies with the innovation
counselors with little time to "fool around" with
under consideration. For example, in the Battelle
research results, and also supports a focus on short-
Columbus Laboratories study (National Science
range goals, whereas the more significant gains
Foundation, 1973) of factors associated with tech-
from innovations are more likely to refer to long-
nological innovations, such external considerations
range results.
as political and social factors and health and envi-
Statement of goals versus job descriptions.
ronmental factors ranked relatively low. However,
When an organization such as a rehabilitation
as Schon (1967) points out, this matter is a function
agency can: (a) hammer out its own optimal pro-
of the country involved. In some countries (Japan,
gram outcomes, (b) set up process or time dimen-
the Soviet Union, Great Britain) the government is
sions for instituting agreed-upon specific controls
a leading participant in technical innovation; in
or performance criteria related to those optimal
the United States, on the other hand, the govern-
program outcomes, (c) measure performance, (d)
ment tends to set rules and policies that may affect
provide timely feedback, and (e) offer rewards for
innovation, and only rarely participates in the
superior performance in terms of goal attainment,
actual technical effort. It should be noted that
the agency then has an input-process-output frame
Schon published his views in 1967. Subsequently
of reference which provides a system of account-
there was evidence of greater technical participa-
ability. This is likely to result in a closer relation
tion by the United States, as witness the govern-
between goals and the means of achieving them
ment's concern with the issue of productivity
(Glaser, Coffey, Marks, & Sarason, 1967).
culminating with such reports as the following:
Written statements of organizational goals and
(a) Report on Federal Productivity, Vol. I and II,
proximate targets have been found helpful in reduc-
Joint Financial Management Improvement Pro-
ing anxiety about change and in imparting a sense
gram, June 1974; (b) Report on Activities to the
of security during the introduction of new proce-
President and Congress, National Commission on
dures (Watson & Glaser, 1965; Miles, 1965; Fair-
Productivity and Work Quality, July 1967; and
weather, 1967; Howard, 1967; Bobbe & Schaffer,
(c) Report to National Commission on Productivity
1968; Schmuck, 1968).
re: Diagnostic/Job Enrichment Study in Social
In contrast to written goals, sharply defined job
Security Administration, David Sirota Associates,
descriptions have been found to characterize organ-
Inc., June 1974.
izations which are reluctant to innovate (Aiken &
Organizations obviously differ in their vulner-
Hage, 1968). In the situations studied, the two
ability to pressures from environmental forces.
observations combine readily in the idea that the
Vulnerability may be defined as the degree to which
best work is done when everyone shares the objec-
an organization is subject to powerful influences
tives, but each is relatively free to do his share of
from its environment irrespective of organizational
the common task in his own preferred way.
goals and resources (Sieber, 1968). For example,
Social expectancies. Organizations of whatever
health agencies dependent on voluntary local sup-
type are seldom, if ever, wholly autonomous. They
port must be concerned with public opinion and
operate within a context of customers or clients,
politics more than those agencies privately en-
communities, governmental controls, and public
dowed or nationally financed. Some good examples
opinion. The way in which an organization per-
of the effects of organizational vulnerability are
ceives its relationship to its larger social context is
provided by Sieber, e.g., (a) changes in practice
an important determinant of the kinds of change it
that might disturb the local community tend to be
wants or can accept (Lippit, Watson & Westley,
shunned; (b) the adoption of innovation often
1958). Each social agency must protect ties to a
depends more upon political feasibility than educa-
supporting population and a client population.
tional value; (c) innovations receiving wide pub-
These relationships set limits beyond which the
licity through the mass media become candidates
institution cannot go and survive. The perception
for adoption, irrespective of their educational value;
of the limits may, however, be inaccurate. One ser-
and (d) internal relationships of a vulnerable sys-
vice of a change agent is sometimes to investigate
tem may be so affected as to limit the planned
the validity of the perceived limits. Professor Wil-
experimentation.
liam H. Kilpatrick (Teachers College, Columbia
It is interesting to consider the factor of organiza-
University) used to tell teachers: "Your have more
tional vulnerability in relation to that of autonomy,
leeway than you suppose."
which has been identified as a major dimension of a
The pressure of social or political demand or
healthy organization (Miles, 1965). According to
DETERMINANTS OF KNOWLEDGE UTILIZATION
17
Miles, the healthy organization has a sense of inde-
ORGANIZATIONAL STRUCTURE
pendence from the environment. Thus, vulner-
The critical examination of the structure of an
ability would appear to be in direct opposition to
organization includes not only the distribution of
organizational autonomy, and hence to organiza-
power within it, but also its bureaucracy, occupa-
tional health.
tional specialties, size and capacity, organizational
The characteristics of the community served by
inertia, and capability for self-renewal. A summary
an organization affect its ability to innovate (Have-
of these factors is presented below.
lock, 1970). Not infrequently, the leaders of a school
Distribution of power. Power and status distri-
or a church or other social agency outrun the toler-
bution within the organization affect its ability to
ance of the constituency and they are then repri-
innovate (Lippitt et al., 1958; Miles, 1964d; Rubin,
manded, constrained, or discharged (D. Ross, 1958).
Plovnik & Fry, 1974). The organization may be too
Organizations pursuing objectives that are con-
centralized, or too diffuse or spotty. The literature,
troversial in the larger setting have a conflict
however, is less than conclusive regarding this vari-
between their goals and their desire to be accepted
able. Chesler and Fox (1967), for example, urge the
in the community. A study of local affiliates of
decentralization of administrative decision making
planned parenthood concluded that those units
in educational institutions in order to accommo-
which were most concerned with keeping on good
date greater participation by staff. Similarly, both
terms with other community agencies were less pro-
E. Rogers (1967a) and Havelock (1969a) indicate
ductive in achieving the objectives of planned par-
that a highly developed organizational hierarchy
enthood. A degree of independence in pursuing the
impedes communication necessary for diffusion.
organization's own targets was deemed more effec-
Griffiths (1964) forthrightly states that: the
tive and congruent with its functions (Rein, 1964).
more hierarchical the structure of an organization,
Based on a conference of social scientists princi-
the less the possibility of change" (p. 434). On the
pally concerned with the manpower laboratory,
other hand, Sapolsky (1967) concludes that the
Manela (1969) reported that some organizations
decentralized structure of the department store
(some persons and teams within the same organiza-
may serve as a major barrier to the institution of
tion) are oriented primarily toward output and
change. When interunit communication is good in
reception of their product by clients. Others attend
such an organization, it allows for mobiliza of
mainly to the internal operations and bureaucratic
forces against the tactics used to reduce resistance.
functioning. Those persons, sections, and institu-
Still another study reported that, possibly because
tions which, by choice or by necessity, attend care-
adoption entails less risk than innovation, teachers
fully to the market are apt to be more responsive to
in schools with a diffuse social structure innovated
the need for change. The more an organization is
more, while those in a hierarchical structure adopted
wrapped up in its own machinery and operations,
more (Lippitt et al., 1967). (To be sure, some
the less likely it will be to innovate.
changes may have foreseeable undesirable conse-
Even in carrying on the process of knowledge
quences, and should be resisted.)
utilization, Paisley (1969) who examined studies
Barnes (1969), after pointing out that there are
on information needs and uses in 1967, views the
four main variables in an organizational change
person as being part of a "system," whether he be a
(the task, the technology, the people, and the struc-
knowledge producer, middleman, or user. This
ture), notes that differences in power distribution
"knowledge system" is affected by other systems
can affect how changes can be initiated and imple-
such as the cultural and political systems, the
mented. Two typologies of change style are pre-
legal and economic systems, and one's member-
sented. These approaches differ with regard to uni-
ship and reference groups.
lateral power versus mutually shared power.
Approaching social change in terms of wide par-
Although the former approach is more prevalent in
ticipation, Rothman (1974) devotes several chapters
industry, a survey shows increasing emphasis on
of his book to political and social behavior, volun-
the value of shared power. Or, as Maier (1963) has
tary associations and primary groups, social move-
expressed it, ED = QxA (an Effective Decision
ments, political action, and client organizations.
equals its Quality times Acceptance by those
Action guidelines as to how these forces may influ-
required to implement it).
ence change accompany sets of descriptive state-
H. Davis (1973) offers advice concerning a bal-
ments, or "generalizations" derived mainly from
anced attitude toward the use of power on the part
social science periodicals published during the
of the mental health administrator faced with the
period 1964-1970.
need to induce organizational change commensu-
18
PUTTING KNOWLEDGE TO USE
rate with the increasing tempo of societal and indi-
those rules; and (d) its general purposes. Downs has
vidual change. He points to the assumption made
set down over 180 propositions or hypotheses re-
by some administrators that using power, authority,
garding the life cycle, characteristics, officials,
or money is easier than employing what might
communication patterns, control problems and
seem to be more tedious change management tech-
processes, search and change mechanisms, and
niques. Simplistic adherence to this viewpoint,
other ideological factors in the operation of bureau-
however, often has resulted in false economy. On
cracies. Many of Downs' principles and hypotheses
the other hand, he asserts, the belief that a suffi-
have a bearing on innovation and change in organi-
ciently worthy innovation will naturally be adopted
zations.
on its own merits fails to take into account the hid-
In a June 1975 conference sponsored by the
den jungle of conflicting personal motives that can
Human Interaction Research Institute on "Plan-
subvert even the most promising innovation.
ning for Change in State Hospitals," one of the
Bureaucratic structure. V. Thompson (1965,
subjects that surfaced was that in connection with
1969) makes the point that modern bureaucratic
state hospitals, the bureaucratic machinery is the
organizations, theoretically considered, are intrin-
principal conduit through which the more funda-
sically resistant to innovation because they are
mental change programs must pass. Therefore, a
monocratic, stress conformity rather than creativity,
question that came into focus was how best to deal
and are conservative in orientation. He believes
with state bureaucracies in ways most likely to con-
that the bureaucratic structure is slowly evolving
tribute to successful change. One view offered was
in the direction of greater flexibility. He suggests
the virtue of a cooperative stance oriented to work-
that this trend toward flexibility could be acceler-
ing with the bureaucracy. Another was an adversary
ated by looser structure, freer communications,
stance oriented to working around the bureaucracy.
decentralization, greater reliance on group pro-
A third and most generally accepted view at the
cesses, and modification of the incentive system
conference was that working with the bureaucracy
(stressing the internal rewards of gratification
may be the most appropriate strategy under given
rather than such external rewards as upward move-
conditions, while subverting it may be the most
ment in the hierarchy).
appropriate under other conditions, and the change
Bennis (1971) basically agrees with Thompson,
agent's objective should be to identify the condi-
believing that the bureaucratic form of organization
tions under which one or another strategy is the
is out of joint with contemporary realities and that
most effective.
drastic changes in the conduct of corporations and
Another subject that came into focus at the con-
managerial practices are necessary. He argues that
ference was a discussion of the efficacy, stated in
managerial goals should be integrated with indi-
oversimplified terms, of authoritarian versus par-
vidual needs, and sources of power redistributed.
ticipative leadership styles in the management of
Bennis predicts that the bureaucratic structure of
change programming. There was a good deal of con-
organizations will be replaced by adaptive, prob-
sensus among the conferees based upon first-hand
lem-solving temporary structures with diverse
experience that what works best in promoting effec-
specialists linked together by coordinating and
tive change is likely to be a function of the hospital's
task-performance-evaluating professionals.
"level of development." As one conferee put it:
According to Abbott (1965), there exists in educa-
If you have an organization of open-minded
tion a hierarchical bureaucratic structure that
rational people, you can start your change
makes it difficult to decide when new programs are
program with problem identification in
needed and inhibits their generation. This struc-
which everyone participates; but if your
ture tends to undermine the development of the
organization has not achieved that level, if
teaching role. In order to produce a more innovative
you are dealing with people who are suspi-
educational structure it will be necessary to alter
cious, not very sensitive, punitive, not very
the traditional hierarchical organization, wherein
competent, rigid, you cannot start at the
the status of the administrative personnel is ele-
level of changing procedures but must start
vated above that of the teachers.
further back-changing attitudes-and
sometimes be sneaky in the process
In
In analyzing the often overlooked consideration
our hospital, at a given stage, if we had
of "depth of change" Downs (1967) recognizes four
allowed people to ventilate resistance we
"organizational layers": (a) specific actions taken
would have spent years making minor
by the bureau; (b) the decision-making rules it
changes.
There was a time at our hos-
uses; (c) the institutional structure it uses to make
pital when staff beat up patients, and one
DETERMINANTS OF KNOWLEDGE UTILIZATION
19
was killed. I think the only way we could
According to these studies, such intraorganizational
have dealt with that situation was by fiat.
diversity appears to foster creative exchange among
At a later time, SO many people were
staff.
trying to make changes that they were can-
Contrariwise, however, Havelock (1969a) con-
celling each other out. We had to insist on
siders division of labor (specialization) to impede
consensus decision-making with a group of
14 or 15 program directors. In short, what
communication between organizational subunits in
works best is likely to depend on the state
three ways: It fosters the formation of unique cod-
of development.
ing schemes, it stimulates interunit competition,
and it encourages the formation of separate and
One additional aspect of democratization that was
incompatible group norms. A key factor in deter-
explored was the opportunity for getting patients
mining the effects of specialization might be that of
more meaningfully involved as agents in the change
the extent to which specialized organizational sub-
process than had generally been the case heretofore:
units are autonomous or interdependent. Thus, the
Somebody decided we should let patients
Carrole (1967) study found that the innovative
write in their own charts. This had the
medical schools reflected a lessening of the tradi-
effect of upgrading the progress notes enor-
tional departmental autonomy. The fading of
mously, because they would write all kinds
departmental autonomy was attributed to shift
of nasty things and the staff would have to
from the allocation of funds to departments, to allo-
account for that with another note to cover
cation to the broader school unit. Similarly, the
themselves. That worked so well we decided
agencies in the Aiken and Hage (1968) study that
to let patients read their own charts. That
had a high number of different occupational spe-
again upgraded services more than our staff
development program ever did. If the staff
cialties and were the most innovative, were also
wrote "paranoid reaction based on latent
those most likely to have many cooperative relation-
homosexualty," the patient would write
ships with other agencies. This might suggest that
"bullshit." So people started writing in
the focus of staff was on professional or organiza-
English. Then, since we had a problem-
tional goals rather than departmental self-interests.
oriented medical records, we decided people
In a later study (1970) Hage and Aiken pointed out
should enter their own problems. They
that organizational complexity and emphasis on
entered really "inappropriate" problems
job satisfaction were positively correlated with a
like "I don't have money, or a job, or a high
high rate of change; centralization, formalization,
school diploma." This had the effect of
stratification, and concern with volume production
increasing enormously the referrals to Voca-
and efficiency were positively correlated with a low
tional Rehabilitation
employment
ser-
vices, etc. I think there is something to
rate of change. (One should not assume here that
direct involvement of the consumer-I'm
high rate of change is necessarily better or more
not sure it does a great deal of good for the
productive than low rate. High rate may make for
consumer directly, but what it does is up-
instability and inefficiency in some situations.)
grade the staff. The point is, there really
Viewed from another angle, the matter of occu-
are some concrete mechanisms and change
pational specialization ties in with the experimental
processes in which you can involve the
socio-technical system such as has been sponsored
patient as change agent.
by the Tavistock Institute in England whereby rela-
Occupational specialization. Another factor
tively small work groups are given responsibility for
of the organizational structure that appears related
relatively large tasks. In the socio-technical system
to innovation is that of occupational specialization.
there is emphasis on optimizing the social (human)
A study of vocational rehabilitation agencies, for
and mechanical components of work systems to
example, determined that there was a high positive
enhance both. One such experiment entailing the
correlation between the rate of acceptance and
redistribution of specialized jobs in a loom weaving
implementation of new programs and the number
factory in India is reported as successful by A. Rice
of occupational specialties within the organization
(1971). In Norway, Thorsrud (1968) describes sev-
(Aiken & Hage, 1968). Moreover, the number of
eral equally successful experiments in the regroup-
occupational specialties was one of the best pre-
ing of job activities and skills involving increased
dictors of future program innovation. Similarly, a
responsibility (job enrichment and job enlargement
study of medical schools found that innovative
by smaller, more autonomous work groups) by less-
schools had a larger number of departments in the
supervised workers. "Successful" in this context is
basic sciences and clinical areas (Carrole, 1967).
defined in terms of greater job satisfaction and
20
PUTTING KNOWLEDGE TO USE
greater productivity. Glaser (1976) has summarized
already. The other is the "risk capital"
many such experiments in the U.S., Europe, and
factor which also comes into play as a force
Japan.
for innovation when organizations are func-
Size, affluence, and capacity. In spite of the
tioning at a high level. Which of these
popularly held assumption that larger organizations
opposing forces is dominant in a given sit-
are slow and cumbersome in changing, evidence
uation probably is determined by addition-
al factors such as attitude and structure
indicates that more change actually takes place in
larger organizations. For example, Carrole (1967)
Organizational inertia. This is the character-
found that larger medical schools were more inno-
istic that has given large organizations a "bad
vative. Mansfield (1963b), in a study of 294 indus-
name" with regard to organizational size and inno-
trial firms, found that when profitability was held
vation. Actually, organizational inertia, which
constant, the chances were good that a large firm
might in part result from an institutional harden-
would be quicker to use a new technique than a
ing of the arteries, appears to be largely a function
small firm. In a later study (1968), he suggests that
of the age of the organization and failure to deliber-
the largest organizations will do a disproportion-
ately encourage a spirit of self-renewing challenge
ately large share of the innovating under the fol-
from its own staff and from those it serves. Large
lowing conditions: (a) when the investment required
institutions appear most susceptible to this con-
to innovate is large relative to the size of the organ-
dition. Over a period of time, procedures, regula-
ization that could use the innovation; (b) when the
tions, activities, and attitudes become routine,
minimum size of the organization required to use
habitual, and cemented (Glaser, 1965; Havelock,
the innovation is large relative to the average size of
1969a).
similar organizations; and (c) when the average
Guest (1962) points out that the length of time
size of the largest organizations is much greater
required for an organization to improve its perform-
than the average size of all potential users of the
ance as it moves from one pattern of behavior to
innovation.
another is a function of: (a) its size in terms of num-
Schon (1967) notes that innovation within the
ber of staff; (b) the number of specialized service,
textile industry is quite limited because the indi-
reporting, and control groups; (c) the number of
vidual firms are too small to support research and
levels in the hierarchy; (d) the complexity of tech-
development; consequently, new developments
nical operations; and (e) the intensity of personal
come from outside the industry, i.e., from related
insecurity and interpersonal hostility.
feeder industries such as chemicals.
The bringing in of new blood may be significant
Generally it would seem logical that the more
in achieving innovation, as is illustrated in the case
successful, internally secure, and financially pros-
of the National Teachers Corps, where the conven-
perous organization would be in a better position to
tional organization was "invaded by liberal, cre-
risk innovation. Havelock (1969a) refers to this as a
ative, and unconventional outsiders with fresh per-
"capacity factor." Several studies have related
spectives" (Corwin, 1972).
organizational affluence to innovativeness (Rich-
Complex organizations are described by Hage and
land, 1965; W. McClelland, 1968b). The findings of
Aiken (1970) as having a pervasive static or dynam-
Mansfield's (1963b) extensive empirical investiga-
ic "style" reflecting the distinction between the
tion of industrial firms, however, cast serious doubt
"mechanical" and the "organic" models commonly
on the certainty of this relationship. In his study of
used in the sociology of organizations. Inertia may
294 organizations, it was found that a firm's finan-
be viewed as a manifestation of static style ordi-
cial health as measured by profitability, liquidity,
narily related to an overall static environment.
and growth rate, bears no close relationship to how
Schon (1967) sees the corporation as caught in a
long it waits before introducing a new technique.
dramatic ambivalence regarding innovation. At the
Havelock (1969a) makes note of this ambiguity in
same time, the social system within the corporation
the findings related to the variable of organizational
attempts to maintain a stable state while under
affluence and makes the following suggestion:
pressure for technical change that might be destruc-
It seems reasonable to suppose that two
tive of the stable state. Internal dissension between
conflicting forces in organizational dynam-
the R&D and the marketing arms of the corpora-
ics are operating against each other to pro-
tion often reflects this ambivalent condition. This
duce these confusing results. On the one
conflict tends to reduce innovation.
hand we have the complacency factor
as an "inhibitor" when organizations see
Self-renewal. A characteristic related to organ-
themselves as functioning at a high level
izational structure is the concept of organizational
DETERMINANTS OF KNOWLEDGE UTILIZATION
21
self-renewal, or the organization's adaptability to
Miscellaneous factors. A number of other fac-
our rapidly changing world. The concept of self-
tors directly or indirectly related to organization
renewing institutions builds on the idea of plural-
have been studied in relation to innovation and
ism; each such organization is "characterized by
change. For example, in a survey of several hundred
variety, alternatives, choice, and multiple foci of
school districts, Havelock (1973a), found a number
power and initiative" (Gardner, 1964). Instead of
of variables to have a low but statistically signifi-
blaming outside factors-science, technology, or
cant correlation with an index of school district
the Establishment-for lack of change, Gardner
innovativeness, notably: the number of pupils, per-
asserts that we must learn to "organize for free-
pupil expenditure, the utilization of media special-
dom," that is, design and build organizations that
ists and centers, in-service training, the utilization
help individuals to develop themselves.
of lay advisory groups, the frequency of teacher
Self-renewing organizations provide structures
strikes, and student unrest. (The last five variables
for sensing internal and external changes which call
might well constitute "pressure forces" which in
for creation of new procedures (Watson, 1973).
turn lead to responsive change by the school dis-
Miles (1965) identifies a similar characteristic as a
trict.)
dimension of the healthy organization which he
The Institute for Development of Educational
terms "problem-solving adequacy." This includes
Activities (I/D/E/A), in its 1970 annual report,
structures and procedures for detecting problems,
addressed itself to problems of inducing change by
inventing possible solutions, choosing solutions,
setting up demonstration schools rather than work-
implementing them and evaluating their effective-
ing for reform within the school system. The prob-
ness. This may take the form of an office for re-
lems in the latter case are considered at least as
search and development; or a setup for problem
formidable as those of developing an alternative
sensing, such as an ombudsman, or interview sur-
educational program. In either case, however, the
vey, or a regular consultant service. The absence in
school and the school system need to be viewed as
an agency of any unit that is designed especially to
social systems in which the introduction of isolated
detect internal trouble before it becomes serious,
new programs, curriculum packages, changes in
and external trends before they become generally
time and scheduling, etc., are vitiated without
evident, makes it unlikely that the organization
comprehensive changes in other aspects of the total
will succeed in continuous self-renewal. It can only
system. Further, successful programs tend to have
alternate between costly lag and overdue spurts of
considerable autonomy, to have entailed a long-
reorganization.
term financial stake, to have employed a widely
Related to self-renewal is self-examination. H.
spread expenditure of energy, and to have devel-
Davis (1972) found that organizations which carry
oped a local constituency of parents, students,
out program evaluation tend to be more innovative
teachers, administrators, and community members.
than those which do not. On the other hand, Have-
ORGANIZATIONAL COMMUNICATION
lock and Havelock (1973b) found a slight negative
AND DECISION MAKING
relationship between emphasis on evaluation and
An organizational climate that supports the con-
number of reported innovations in U.S. school
cept of self-challenge in a quest for renewal, and
districts.
rewards the contribution of new ideas is conducive
In a study in which the focus was explicitly the
to successful innovation. Marcum (1968), for exam-
mental health service delivery agency, Glaser and
ple, compared the organizational climates of high-
Ross (1971) formulated a set of operating condi-
and low-innovating schools and found that the
tions that would provide an organizational vehicle
schools involved in innovating showed more open
for effecting change: carrying out periodic reviews
climates. Numerous others affirm and confirm this
of agency mission, assessing program effectiveness,
principle (McGregor, 1960; Likert, 1961; Costello &
disseminating knowledge about promising alterna-
Zalkind, 1963; Miles, 1964c, 1964d; Schein & Ben-
tive practices for carrying out various types of func-
nis, 1965; Schoenfeld, 1965; Watson & Glaser, 1965;
tions, providing opportunity for advocacy, provid-
Bennis, 1966; Julian, 1966; Cawleti, 1967; Chesler
ing a means for input to decision making by all
& Fox, 1967; Glaser et al., 1967, Greiner, 1967; Wat-
concerned insofar as practicable, providing a way
son, 1967a; Schmuck, 1968; Glaser & Taylor, 1969).
of sustaining commitment, having control over suf-
Several features of organizational climate con-
ficient resources. These conditions can be consid-
ducive to open-minded consideration of ideas for
ered functions of organizational climate and goals
change relate to communication and decision mak-
as well as structure.
ing.
22
PUTTING KNOWLEDGE TO USE
Open communication. An essential ingredient
ical: organizational norms must support asking for
of a healthy climate for change is free communica-
and giving help. Thus, not only is the quantity,
tion, of both a formal and informal nature, flowing
form, and direction of communication important,
up and down the hierarchical lines and horizontally
but the content must relate to the desired goals of
among colleagues (Costello & Zalkind, 1963; Dykens,
problem solving in order for the organizational cli-
Hyde, Orzack, & York, 1964; Miles, 1965; Becker &
mate to be conducive to change.
Stafford, 1967; Chesler & Fox, 1967; Evan & Black,
Administrative and colleague support. An
1967; Marcum, 1968).
administrative system of rewards or sanctions that
Paisley (1969) draws attention to the fact that
motivate problem-solving efforts should exist, point
public health and education are unique in having
out Costello and Zalkind (1963), who describe the
stratified audiences for information, i.e., different
administrator as a reinforcement agent. They state
kinds of experts at many levels, thus contributing
that positive reinforcement of correct responses is
to the difficulty of vertical communication.
essential and recommend that the administrator
Survey feedback, a special form of communica-
place emphasis on intrinsic reinforcements such as
tion (discussed e.g., by Mann, 1971), involves sys-
salary and fringe benefits. R. Lippitt, Benne, and
tematically reporting results of surveys of employee
Havelock (1966) found that teachers who perceive a
and management attitudes and perceptions on such
principal as supporting innovation did, in fact,
issues as employee-management relations and work
innovate more often. That the perception of admin-
conditions. The feedback system was found to be a
istrative support is related to supportive activity
highly effective method for increasing understand-
(not just words) is also suggested by this same
ing and communication between employees and for
study which found that more than one-third of the
modifying supervisory behavior.
teachers who viewed the principal as bringing edu-
A process of survey feedback wherein a client sys-
cational literature to their attention adopted new
tem examines data about itself is analyzed by Miles,
practices, while those who viewed him as never
Hornstein, Calder, Callahan, and Schiavo (1971).
bringing such literature to their attention did not
They found that meetings to consider such data
adopt new classroom practices.
with a view toward making and implementing
The attitude of colleagues toward change can
action decisions have the effect of encouraging new
exert a strong force that inhibits or facilitates inno-
behaviors and developing norms that facilitate pro-
vativeness within an organization. Chesler and Fox
ductive work.
(1967), for example, point out that new teachers in
Gross, Giacquinta, and Bernstein (1971) report
a system, fresh from college or advanced training,
on an educational change study in which staff were
may enter a school eager to try new ways only to be
highly motivated to attempt implementation of a
blocked by an established culture dominated by
"catalytic role model" by which teachers were to
older teachers who do not welcome the suggestions.
become less directive. A major reason for unsuc-
R. Lippitt et al. (1967) found that teachers who
cessful results (at least during an initial period of
perceived colleague support in adoption efforts
several months) was the failure to establish and use
were more likely themselves to be adopters of new
feedback mechanisms to uncover barriers to change
practices.
that arose during the attempted implementation,
according to the authors. Also responsible was the
Participation in decision making. Extensive
director's failure to bring into the open the several
participation by all persons concerned in the identi-
types of difficulty the teachers were likely to en-
fication and solution of organizational problems is
counter in the ghetto elementary school in which
conducive to change (Watson & Glaser, 1965; Ches-
the experiment was conducted.
ler & Fox, 1967; Aiken & Hage, 1968; Glaser & Ross,
Dykens et al. (1964), while advocating the impor-
1971). On the other hand, rigid, authoritarian struc-
tance of informal channels of communication, point
tures and coercive controls reduce trust and retard
out that a system of informal exchanges among staff
innovation. Forced or authoritative decisions are
is probably by itself unlikely in any systematic or
more likely to be circumvented and/or discontin-
important way to either generate change or compel
ued; group decision making is a longer process, but
interest in change; nor, they maintain, is it by itself
is more likely to result in lasting change (E. Rogers,
likely to encourage creativity in thinking about
1967a). Coch and French (1948) conducted a classic
long-range, complex, and demanding goals. In-
experiment on this thesis which involved the intro-
formality would seem to be adaptive rather than
duction of a changed product in a textile factory.
stimulating. R. Lippitt et al. (1967) mention a vari-
Later replication supported the conclusion that the
able related to communication which may be crit-
greater the involvement of workers in planning the
DETERMINANTS OF KNOWLEDGE UTILIZATION
23
coming change, the better their acceptance of it
tended to occur when the leader in the discussion
(French, 1960; Marrow, 1969).
group was permissive. The authors conclude that
Dykens et al. (1964) in a study of strategies of
the multiple, small-group form of role playing,
mental health change conclude that mutual partic-
when followed by a discussion in the larger group,
ipation in change efforts may lead to positive and
reduces embarrassment, widens participation, and
constructive feelings and can further enthusiasm
results in better decision making.
for change.
Although studies indicate that in most situations
A follow-up study after four years of a two-year
wide participation in decision making is preferable,
organizational change program in a company that
Watson and Glaser (1965) suggest that the judi-
shifted from a highly centralized, authoritarian
cious use of executive or administrative power can
system toward a participation system (Seashore &
be successful in what is referred to as the "fait
Bowers, 1970) revealed an evidently continuing pro-
accompli". This can be considered suitable when
gression toward the participative pattern, accom-
an authoritative decision is needed to overcome
panied by an increase in profitability. Suggested
emotional rather than rational resistance to a
explanations for the success of the program included
change. An example cited is President Truman's
the thesis that reasonable assumptions about values
order to integrate personnel in the Armed Forces
and motives of individual workers were taken into
and to open advancement opportunities for quali-
account in making structural changes in the organi-
fied members of minority groups.
zation, thus "locking in" the central characteristics
But enforced changes can backfire. Sometimes,
of the system.
the greater the push, the stronger the opposition
In an earlier work, a change program initiated
pull, as Marmor, Bernard, and Ottenberg (1960)
when a successful manufacturer acquired a less
observe. Enforced change can succeed only when
successful competitor is reported by Marrow,
opposition is relatively weak compared to the
Bowers, and Seashore (1967). Changes introduced
cut across organizational structure, policies, work
strength of the promoters.
methods and technology, and included the building
ORGANIZATIONAL LEADERSHIP
of a new organizational climate with the introduc-
AND STAFF
tion of participative management at all levels. The
Many studies have dealt with the role of organi-
treatise carefully documents how applied behav-
zational leadership and staff in the achievement of
ioral science brought about change and provides a
productively innovative performance.
comparative study of the effects of two differing
The personality and role of leaders. Mansfield
managerial styles on human behavior and task
(1963b, 1968), after extensive studies of innovation
performance. As noted earlier, participation by
among industrial firms, suggests that "the person-
workers in decision making is exemplified in the
ality attributes, interests, training, and other char-
"sociotechnical" experiments conducted in Nor-
acteristics of top and middle management may
way by a committee of workers, management, and
play a very important role in determining how
government (Thorsrud, 1968). These experiments
quickly a firm introduces an innovation." The
lessened supervision by foremen and increased
same is true of knowledge dissemination, according
worker responsibility through small group operation
to Havelock (1969a) and Glaser (1973).
on larger-scale tasks.
In studying a plant in which successful change
More effective decision making among super-
occurred, Guest (1962) placed considerable stress
visors results from multiple role-playing experi-
on the role of a new manager, since in this instance
ences as distinguished from ordinary role playing,
the formal structure of the plant and a number of
according to Maier and Zerfoss (1971). In their
other features remained unchanged. Based on his
experiment with what they termed multiple role
experience in studying this plant and on his review
playing, that is, entailing multiple groups, a large
of the literature, Guest concluded that: (a) the head
group of supervisory personnel was divided into
small groups of six members, each with an addi-
of an organization should induce all concerned to
tional reporting observer. One member acted as a
focus on organizational requirements rather than
foreman; the remaining members, as truck repair-
personal requirements of the head man; (b) the
men. The problem used in the session described
achievement of goals requires an interdependence
had to do with the best way of assigning a new
between the leader and subordinates; (c) to achieve
truck. A solution that involved the exchanging of
results, the leader has to integrate other needs of
trucks among the workers was considered to be the
subordinates with the requirements of top manage-
best type of solution. This approach to the problem
ment; (d) the leader's authority needs to be exer-
24
PUTTING KNOWLEDGE TO USE
cised in playing the dual role of the group's repre-
change (Likert & Lippitt, 1953; Flanagan, 1961;
sentative to higher management, and higher man-
Glock, 1961; Mansfield, 1963a; Richland, 1965;
agement's representative to the group; (e) he should
Sieber, 1968).
be aware of and utilize horizontal as well as vertical
If there is a sensing unit to report emerging needs
communication; (f) he should encourage the en-
for change, the critical question then becomes the
largement of his own "span of cognition" as well as
relationship of this intelligence service to the re-
that of subordinates; and (g) he should encourage
sponsible decision makers who are the gatekeepers
the generation of many decisions from the inter-
of innovation (Glock, 1961; Paisley, 1968). If the
action of primary groups within the organization.
gatekeepers of innovation (often top management
Whether the manager or the organization should
of the organization) truly provide a nondefensive
be the primary target for change is the subject of an
climate which encourages and rewards challenge
article by Burke and Schmidt (1971). While com-
from within, and at all levels, then essentially all
paring the respective difficulties and characteris-
members of the organization are encouraged to be-
tics of the two thrusts, the authors stress the re-
come sensing units, and further, to participate in
ciprocal relation between the two, and the impor-
developing responses to identified problems or
tance of attending to both the manager and the
needs (Glaser, 1969).
organization.
Glaser and Ross (1971), aware of the need for in-
The context in which a leader functions is further
ternal advocacy to overcome barriers, note that
considered by Rubin et al. (1974), who comment
adoption strategy should be designed with the cre-
that the leader's role as an innovator may be cir-
ation of internal advocacy in mind. Effective inno-
cumscribed by various conventions and circum-
vation is seen as involving intervention by leaders
stances. Thus, the role of administration in a com-
who focus staff attention on agency problems, stim-
munity health center may be influenced by the fact
ulate initiative, support risk-taking and experi-
mentation, and provide recognition of innovative
that the administrator, if he is not a physician, may
staff members. In formulating innovation and utili-
be subordinated to an M.D. with set views. Feed-
zation strategies, the inclusion of leaders skilled in
back is usually limited to responses of individual
these practices is an important consideration.
patients who are not likely to be aware of larger-
Along with effective internal leadership, cham-
scale organizational matters. Moreover, in such
pionship and support by an outside change agent or
agencies the bringing out into the open of any exist-
knowledge specialist is helpful (Fairweather et al.,
ing conflicts is seldom good politics or an effective
1974). The combination of innovative leadership
way of raising needed funds.
involving outside and inside personnel was found to
Although the characteristics of organizational
be the leading factor in a list of factors studied by
leaders appear to significantly influence organiza-
Corwin (1972) in conjunction with a review of 10
tional innovation, it is perhaps erroneous to regard
Teacher Corps programs in urban and rural areas.
the "innovativeness" of an official as only a matter
The significance of the role of opinion leaders in
of his own personal traits. He occupies a certain
furthering innovation is treated in a number of
position in a system, and is expected to act the cor-
studies, including for example, Becker (1970a),
responding role (Sieber, 1968). He is subject to
who investigated ways of identifying such leaders
sanctions for unacceptable deviations (Rubin et al.,
through the use of questionnaires and a long follow-
1974). He is required to be a functionary. L. Carter
up telephone interview.
(1968a) observes that all too often the "gatekeeper"
Andrews and Farris (1967) report the results of
of change in educational and other social institu-
two analyses exploring the relationship between
tions is politically rather than professionally ori-
supervisory practices and scientific performance.
ented. That he must be alert to shifting pressures,
The findings suggest that the supervisor may play
but not necessarily to research findings, would
an important role in enhancing or depressing in-
seem to follow.
novation. Greatest innovation occurred under
In any hierarchical organization subordinates be-
supervisors who knew the technical details of their
come highly sensitive to the values and preferences
subordinates' work, who could critically evaluate
of persons in higher positions. E. Rogers (1962a)
that work, and who could influence work goals. If a
asserts that "the rate of collective innovation is
supervisor's technical competence has become ob-
positively related to the degree of power concentra-
solete or if less favorable conditions surround the
tion in a system." In any case, support by top lead-
work situation, the data suggest providing substan-
ership will be a strong factor in bringing about
tial freedom to subordinates. Further, freeing
DETERMINANTS OF KNOWLEDGE UTILIZATION
25
supervisors from responsibilities in the human re-
satisfying social relations among staff may operate
lations and administrative areas may enhance in-
against change and is characteristic of a "closed"
novation.
organizational climate (Aiken & Hage, 1968; Mar-
Waxing philosophical, Schon (1967) contrasts
cum, 1968).
attitudes toward change held since the time of the
As even this brief reference to the relation of
ancient Greeks. He compares the "stable reality"
interpersonal considerations to change potential
view of Parmenides with the "reality is change"
may suggest, behavior is likely to be influenced in
view of Heraclitus. Schon favors the idea that only
subtle ways by social relationships. Although gen-
change is constant. The distinction has a bearing
eralizations may not be in order, an indirectly con-
on leadership attitudes. Only by seeing innovation
firming study by Mann (1971) notes that class-
as an adaptive way of life, he maintains, can we
room-type training in human relations does not
cope with our rapidly changing environment, and
assure translation of such learning to job per-
leaders should be wedded to this idea.
formance, and, in the situation studied, had little
Tenure and vested interests. Few reports were
effect on the behavior of plant foremen. Related to
located on the debatable question of the relation-
this is the observation by Fairweather (1973; Fair-
ship of tenure to innovativeness. In a theoretical
weather et al., 1974) that change-oriented attitudes
discussion, Griffiths (1964) sets forth the proposi-
do not necessarily result in change-oriented be-
tion that "the number of innovations is inversely
havior.
proportional to the tenure of the chief administra-
Professional qualities. The characteristic of
tor" in an organization. He also asserts that
staff professionalism appears to be positively re-
"change in an organization is more probable if the
lated to organizational innovativeness. To il-
successor to the chief administrator is from outside
lustrate, a survey of a sample of the most and least
the organization than if he is from the inside."
innovative schools from five states found that the
Strong vested interests obviously can constitute
most innovative showed the larger number of pro-
powerful barriers to the introduction of change
fessional staff (Marcum, 1968). E. Rogers (1967a)
(Watson & Glaser, 1965; Glaser & Ross, 1971). A
suggests that the professionalism of potential
tendency to preserve the status quo in methods of
adopters is an important influence on diffusion of
operation, whether for psychological, economic,
innovation. An interesting twist is suggested by a
ideological, political, or other reasons, may be
study of organizational factors affecting the success
present at various levels within an organization.
of innovative staff proposals submitted to line
Staff morale and cohesiveness. Several studies
management in business organizations. Among the
relate high staff morale to organizational inno-
characteristics of organizations in which proposals
vativeness (Miles, 1965; Chesler & Fox, 1967; Aiken
were more likely to be successful were: (1) a higher
& Hage, 1968; Marcum, 1968; Glaser & Ross, 1971).
degree of professionalization of staff personnel, and
Actually, high morale would appear to be another
(2) a lower degree of professionalization of man-
effect of the same factors noted above which facili-
agement (Evan & Black, 1967).
tate organizational innovativeness. Level of staff
Havelock (1969a) indicates that the main effect
morale, then, might serve as a good indicator of
of professionalism of staff is the entry or input of
organizational climate.
new knowledge into the organization. Further sup-
Staff cohesiveness appears positively related to
port for this idea is provided by Aiken and Hage
innovative organizations (Miles, 1965). Like high
(1968). These investigators found that the amount
staff morale, this characteristic would seem to be a
of extra-organizational professional activity was
product of a positive organizational climate.
highly and positively correlated with organizational
Miles et al. (1971) in a study of survey feedback
rate of new program implementation. Amount of
meetings of "family work groups" also found that
professional training, in itself, however, did not
the resultant interaction increased liking for one
appear significantly associated with rate of inno-
another among the interacting parties, and at the
vation.
same time, increased pressure for conformity to
Regarding commitment to innovative practice,
group norms. Physical and social distance between
professional attitudes appear to be somewhat com-
members and subunits of an organization and be-
plicated, as a study by R. Lippitt and Fox (1967)
tween sources of innovation and potential adopters
discovered. When a group of teachers was sent a
impedes innovation and diffusion (R. Lippitt et al.,
catalogue of thirty carefully selected "promising
1967; E. Rogers, 1967a; Havelock, 1969a).
practices" and asked to respond to the catalogue
A qualifying consideration is the finding that
by postcard indicating the suggested practices they
PUTTING KNOWLEDGE TO USE
26
planned to use, the response was quite poor, both in
personal competence for effective innovation and
the number returning the postcard and, among
problem solving in organizations. Results of studies
those who did, in the indication of practices that
made by questionnaires, interviews, and problem-
would be tried. However, when a "sharing insti-
solving meetings are outlined. A model of probable
tute" was held in which the practices were dis-
relationship between interpersonal competence, in-
cussed via lectures and small group sessions, the
ternal organization, and innovation is proposed.
response was much more favorable.
In the previously mentioned study by Fair-
In a similar situation, growing out of an R&D
weather et al. (1974), among the factors serving to
experiment in the Northwest, an attempt was
facilitate adoption of a "lodge" program were:
made to encourage directors of sheltered workshops
(1) nonpassive (in fact, aggressively active) pre-
to consider the adoption of a very successful in-
sentation of the new idea, such as through demon-
novative practice for rehabilitation of the adult
stration projects, (2) small change-oriented groups
mentally retarded. When the set and setting be-
within the organization, fortified with the assis-
came one where each person was invited to serve in
tance of outside change agents, and (3) organiza-
the role of teacher as well as learner-where each
tions where many people made the decisions rather
participant could receive ego rewards as a contrib-
than only a few at the top.
utor of promising new practices as well as a stu-
dent-there was demonstrably greater readiness
Personal Variables
seriously to consider the ideas of others (Glaser et
Miscellaneous studies have touched on a number
al., 1967).
of personal characteristics of an individual that
A further treatment of professional considera-
may be related to his responses with respect to new
tions will be found in the section on personal vari-
ideas and procedures.
ables.
AGE
Multiple factors affecting staff. The literature
Several studies (e.g., E. Rogers, 1962a) report
calls attention to a number of additional staff fac-
that younger people are more attracted by innova-
tors. For example, sufficient time should be pro-
tion than are their elders. The stereotype of senior
vided for problem solving and change-related ac-
citizens is that they believe in the good old days.
tivities. In order to create an organizational climate
Marcum (1968) found younger educators in the
conducive to innovation and change, staff must
more innovative schools; R. Lippitt et al. (1967),
have some time free from the pressures of routine in
however, report more response to innovative pro-
which to engage in communication, problem solv-
posals from older as well as younger teachers, with
ing, or pursuit of research input (Costello & Zal-
the middle range most tradition minded.
kind, 1963; Dykens et al., 1964; R. Lippitt et al.,
ECONOMIC AND SOCIAL STATUS
1967; Marcum, 1968).
Comparable to the "capacity factor" in organiza-
Staff who operate in organizations in which there
tions, an above-average economic status seems
have been changes are more open to further change
favorable to the innovative personality. Studies of
(Bright, 1964). This seems particularly true when
revolution have shown that leadership does not
subsequent innovations are closely related to those
come from the most deprived individuals, but from
preceding (Sapolsky, 1967). Innovations seem to
those already on their way up. Preoccupation with
come in clusters (Little, 1963). On the other hand
survival exhausts the energies of the very poor. E.
Mansfield (1963b) found that a firm that is a leader
Rogers (1962a) found that persons with higher
in introducing one innovation may be slow to intro-
social status and more education were more likely
duce the next.
to learn of an innovation and to try it.
Organizational forces are patently interactive.
The fact that the National Teachers Corps
Glaser (1973) comments on the interplay of such
(which was set up to train teachers for and im-
factors as: a leadership open to change; outside
prove the quality of education in low-income area
pressures for change; aroused will to change in re-
schools) attracted young, liberal, and unconven-
sponse to crises; information feedback that stim-
tional trainees outside the usual group of prospec-
ulates desire for goal attainment; incentive sys-
tive teachers is said to have contributed to the in-
tems; organizational rearrangements; shared in-
novativeness of the program (Corwin, 1972).
terest in learning and problem solving; and even
PROFESSIONAL CONSIDERATIONS
the increased readiness for change born of boredom
R. Lippett et al. (1960) found professionalism to
or discontent with current commitments.
affect innovation and diffusion, and pointed out
Argyris (1965) stresses the importance of inter-
that teachers with a high professional commitment
DETERMINANTS OF KNOWLEDGE UTILIZATION
27
appear more willing to engage in discussions about
PSYCHOLOGICAL FACTORS
their profession and professional activities than
Halpin (1962) suggests that a high need for affili-
teachers who are not so highly committed.
ation on the part of many teachers and school
Successfulness in one's work is like a coin, both
administrators acts as a barrier to change. Need-
sides of which must be examined. Although se-
affiliation produces a desire for sameness or equal-
curity is a prerequisite to accepting innovation,
ity among practitioners, who are unwilling to be
successful practitioners in any profession usually
different for fear it will affect their status in the
feel little need to change (LaPiere, 1965; Berlin,
peer group. Innovators, on the other hand, appear
1969). A man may be eager for innovative change
to have a high need for achievement, according to
because he has been unsuccessful in the status quo,
D. McClelland (1969). They may often be regarded
but, more frequently, it is because his earlier in-
as deviates, or marginal, within their organization
novative efforts have attracted attention and
and less concerned with conformity to traditional
helped his upward mobility (LaPiere, 1965).
patterns.
The successful scientist or professional tends to
become an opinion leader, and hence exerts an in-
Programs for heightening a sense of personal se-
fluence on innovative adoption, as observed by M.
curity and an openness to ideas and for fostering
Becker (1970a) in a study of public health officers.
personal and professional growth are often integral
"Cosmopoliteness," or orientation and contact
parts of research utilization strategies. R. Lippitt et
outside a particular social system, is another char-
al. (1967) emphasize that innovators initially are
acteristic of innovative persons (E. Katz, 1961; E.
open to adapting and modifying practices. They
Rogers, 1962a; Marquis & Allen, 1966; M. Becker,
are relatively nondefensive and are not afraid of
1970a). E. L. Thorndike once observed: "The
evaluation or possible failure. They are low in dog-
mother of invention is not necessity; it is the knowl-
matism, and are oriented toward personal and
edge of other people's inventions." Contact with a
professional growth.
stimulating number and variety of persons and
Security is a factor closely related to the mood
institutions provides a good background for con-
which favors creativity. When men feel anxious
ceiving fresh combinations. Coleman et al. (1966a,
and threatened they tend to regress to past pat-
1966b) found that earlier adopters of a new thera-
terns of action associated with more security.
peutic drug were doctors who read more journals
Change easily seems threatening: even new in-
and went to more professional meetings. A similar
formation which disagrees with previous assump-
point was made about school superintendents by
tions may be upsetting (Spicer, 1952; Marmor et
Hemphill, Griffiths, and Fredericksen (1962). A
al., 1960; Zander, 1962; Watson & Glaser, 1965;
study of university faculty found the pro-innovation
National Science Foundation, 1969). Most psycho-
faculty had taught at more institutions (Evans &
therapists recognize that while patients remain
Leppman, 1968).
fearful and anxious they cling to well-worn de-
R. Lippitt et al. (1967) and W. McClelland
fenses. Only after they achieve a sense of security
(1968b) both note that innovators are aware of
in the therapeutic relationship are they free to
more sources of information and are more familiar
build new responses (e.g., C. Rogers, 1969a).
with research than non-innovators. It may be that
Referring to high achievement motive, D. Mc-
the higher sense of personal security that tends to
Clelland (1969) describes the motive acquisition
characterize innovators is in part based on a sense
process in terms of input, intervening, and out-
of knowledgeability.
put variables. The input variables include ref-
Keeping up with the literature in one's field is
erence group support, feedback on progress,
evidently related to professional attitude. In a sur-
personal and objective goal setting, building
vey of some 3000 engineers and scientists, mainly
achievement-oriented conceptual networks and
for the purpose of determining the means by which
linking this network to reality, self and cultural
scientists and engineers in industrial research and
values. Intervening variables are described in terms
development acquire technical information useful
of characteristics of associative networks. Twelve
in their work, Rosenbloom and Wolek (1970) found
propositions are detailed for implementing a de-
that those with a high degree of commitment to
velopmental program based on outcome or depen-
the job tended to pursue formal education and to
dent variables such as job improvement, use of
use professional publications more often, and local
time and money, nature of job and rewards, use of
sources of information less often, than the average
feedback, risk-taking, and achievement-associated
respondent.
concepts.
PUTTING KNOWLEDGE TO USE
28
Viewing the problem of self-renewal on a grand
the need for a consensus of values in the society. He
scale, Gardner (1964) analyzes the individual as a
sees the productive individual as facing problems
source of change. He stresses commitments beyond
with moral seriousness, and insists that society
oneself that presume an optimistic but not unreal-
must help him to find constructive outlets for his
istic attitude toward the future. Also emphasized is
commitments.
DETERMINANTS OF KNOWLEDGE UTILIZATION
29
STAGES IN THE
PROCESS OF
KNOWLEDGE UTILIZATION
Several behavioral scientists have outlined the
action or implementation phase; and all see a need
phases of the change process within organizational
for follow-through.
settings. Several such outlines are presented in
Others have set forth the stages or elements of
Table 2. Although there are differences in termin-
the change process in relation to special considera-
ology, the parallels are substantial: nearly all begin
tions such as program adoption, problem solving,
with a need, a concern, a problem, a discrepancy
idea or knowledge utilization, message transmis-
between ideals and practice, or some other pres-
sion, and project development.
sure; all move to diagnosis, analysis, or clarifica-
Beal, Rogers, and Bohlen (1957) empirically vali-
tion; all recognize a need for obtaining pertinent
dated the presence of the following five stages on
knowledge and see a stage of creating and consider-
the part of farmers in adopting the practice of feed-
ing alternative courses of action; all describe an
ing antibiotics to swine: (a) awareness; (b) infor-
TABLE 2
Stages of Successful Organizational Change
Author
Date
Concern:
Diagnosis:
Consideration
Action:
Follow-through:
Awareness
Knowledge Search
of Alternatives
Implementation
Evaluation
Lippett et al
1958
Need for
Clarification
Examination of
Actual change
Stabilize
change
of problem
alternatives
Get consultant
Jenkins
1962
Analyze
Determine
Make the change
Stabilize
Jung, Lippitt
1966
Identify concern
Diagnosis
Retrieve relevant
Adopt the
Diffusion
knowledge
innovation
Formulate
alternatives
Determine
feasibility (tests)
Watson
1967
Sensing problem
Diagnosing
Inventing possible
Implementing
Evaluating
solutions
Comparing
Revising
Weighing
Deciding
Greiner
1967
Pressures
Diagnosis
Specific
Experiment
Search for
Arousal
problems
results
Intervention
Invention
Reinforcement
Reorientation
Commitment
Acceptance
Rubin
1968
Diagnosis
Alternative
Strategy
Support
Selection
situation
transition
Action
link to
Initiate
permanent
Install
system
STAGES IN KNOWLEDGE UTILIZATION
31
mation; (c) application; (d) trial; and (e) adoption.
ing, and (e) resolution. Problems are seen as emerg-
Different sources of information were used in con-
ing from the matrix of daily living and as being
junction with the several stages. There was an aver-
resolved, for the time being at least, when the per-
age reported time lag of 1.54 years between aware-
son "has had enough of the problem", and is ready
ness and adoption.
to apply a chosen solution, or pseudosolution, either
Zaltman et al. (1973) distinguish between the
in a real life situation or simply in a mental rather
initiation stage and the implementation stage of
than an actional context.
the innovative process. They also suggest substages
In conjunction with a study of teachers' respon-
as follows:
siveness to psycho-educational ideas, Abelson
1. Initiation stage:
(1970) analyzed the problem of transforming ideas
a. Knowledge-awareness substage.
into practice, noting the need to consider the fol-
b. Formation of attitudes toward the innova-
lowing elements:
tion substage.
1. The ideas themselves: their soundness, valid-
c. Decision substage.
ity, significance, relevance, realism, complex-
2. Implementation stage:
ity, source of support, relation to other ideas.
a. Initial implementation substage.
2. Communication and dissemination of the
b. Continued-sustained implementation sub-
ideas: complexity, precision, expansiveness
stage.
in expression; generalizability; overtness, ease
In relating information search to decision making
of practical illustration; manner of linguistic
and change in governmental bureaus, Downs (1967)
expression, style; form of publication; prestige
of communicator.
asserts that a decision maker generating a new non-
programmed action goes through the following
3. Educational or training modes: the teaching
steps: (a) perception of new information; (b) assim-
or supervisory role of the transmitter; recipient
ilation; (c) performance assessment; (d) formula-
roles; human and nonhuman media of com-
tion of alternatives; (e) analysis of alternatives;
munication; characteristics of the teacher and
the learner; attitudes towards ideas, old and
(f) evaluation of alternatives; (g) strategy formula-
new; style of coping with learning tasks, cur-
tion; (h) action selection; (i) continuous data acqui-
ricular sequencing; preservice and in-service
sition; (j) action impact; (k) action feedback; (1)
training; readiness and ability to translate
assimilation of feedback; and (m) performance
ideas into behavior.
assessment. The motivation to search for alterna-
tive actions arises from a significant discrepancy
4. Feasibility of executing the ideas: sufficient
between what the bureau is doing and what it
time, money, effort, human resources; avail-
able logistics for delivery services embodying
"ought" to be doing. Four classes of events are
the ideas.
noted as causing "performance gaps" to arise in the
eyes of the bureau members: (a) inevitable internal
While not component stages of the idea-utiliza-
personnel turnover; (b) internal technical changes;
tion progressions, these elements may serve as a
(c) external environmental changes; and (d) reper-
checklist for examining the movement from idea to
cussions of a bureau's performance or its functions,
realization. In view of the complexity of the trans-
such as completion of a finite task or the discovery
formation process, the task of applied ideational
of something unexpected in a routine process.
innovation is viewed as requiring serious, long-
Hage and Aiken (1970) envisage four stages of
range, programmatic planning.
organizational change: (a) evaluation, in which the
Paisley (1969) distinguishes ten stages through
need for a new program is assessed; (b) initiation,
which a message goes from the initial awareness
management's decision to implement the program;
that a message is being sent to the complete adop-
(c) implementation, the actual carrying out of an
tion of the ideas in the message following their trial
innovation; and (d) routinization, the organiza-
and evaluation. These stages are enumerated in
tion's attempt to stabilize the effects of the new
Chapter IV in the treatment of information re-
trieval and dissemination.
program.
In an unpublished paper, Abelson (1964), build-
Glaser (1973) spells out "steps in the production
ing on Dewey's five-stage analysis of problem
process" that bear upon the likelihood of eventual
solving, has attempted to incorporate psycho-
successful transfer of promising grant-supported
dynamic factors in the consideration of the five
R&D findings. He organizes these steps under the
stages, designating them: (a) perplexity, (b) prob-
following five headings: (a) writing the proposal;
lem viewing, (c) solution seeking, (d) solution test-
(b) negotiating the grant or contract; (c) carrying
PUTTING KNOWLEDGE TO USE
32
out the project; (d) writing the final report; and
court failure (Coe & Bernhill, 1967). Fairweather et
(e) if warranted, carrying out postproject cross
al. (1974) stress the role that an outside agent and
validation, replication, or diffusion activities. In
knowledge specialist can play in helping to nourish
Havelock (1974a), Glaser presents three checklists
a sense of need for change. The best type of consul-
as practical aids in (a) the review of grant/contract
tation is that which starts from the client's needs
applications or of research utilization proposals;
and which helps him to become an effective user of
(b) the application of criteria for potential adop-
relevant R&D findings to meet those needs (R. Lip-
tion of an innovation; and (c) the consideration of
pitt, 1962). The importance of practitioners' trans-
change efforts through research utilization.
mitting their problematic concerns to researchers
Studies relative to the several stages of the
is shown in the emphasis Havelock and Lingwood
problem-solving and knowledge-utilization process
(1973) give to two sets of criteria they used in the
are reported on in the sections that follow. While
critical analysis of four research and dissemination
these sections pursue somewhat the scheme out-
agencies. One set had to do with the agency's con-
lined in Table 2, the diversity of material found in
cern for developing the user's need awareness, self-
the summarized literature required the sacrifice of
sensing, and related qualities of problem sensi-
a consistent, logical-stage approach for the advan-
tivity. The other set related to the definition, trans-
tage of covering potentially useful, although at
mission, and transformation of user needs in such a
times tangential, ideas.
manner as to further appropriate knowledge utili-
zation.
Concern and Awareness of Need
The intriguing title, Developing a Sensing Net-
One of the most frequently advocated principles
work for Information Needs in Education, be-
regarding innovation and change is that in order for
speaks the significance Paisley et al. (1972) ascribe
change to be successful it must be in response to a
to awareness of the concerns of practitioners. Five
felt need (Spicer, 1952; E. Rogers, 1962a; Zander,
alternative methods of ascertaining information
1962; Costello & Zalkind, 1963; Gallaher, 1965;
needs bearing on the educational process, educa-
R. Lippitt, 1965b; Watson & Glaser, 1965; Coe &
tional content, and human variables were employed
Bernhill, 1967; R. Lippitt et al., 1967; Glaser &
and analyzed by Paisley and his colleagues. The
Taylor, 1969). R. Lippitt et al. (1958) identify three
five procedures were as follows:
aspects of the development of a need for change: an
1. Statewide surveys in which questionnaires
awareness of the problem, a recognition that the
were distributed to personnel in selected
condition might be improved as the result of
school districts and state educational agencies.
change, and a willingness to seek outside help in
2. A "follow-up" investigation in which educa-
bringing about the change.
tors who had requested information from cen-
Niehoff (1966) proposes that there are three
tral and local information centers were sur-
types of felt need: (a) solicited-a need of which the
veyed by means of questionnaires.
recipients are fully aware to the extent that they
3. An "information specialists" study in which
solicit assistance from the change agent; (b) demon-
expert personnel of ERIC clearinghouses and
strated-a need in which the recipients have
local information centers attempted to project
demonstrated their interest to the extent that they
the needs of their clients.
have tried to solve their problem by their own
4. A "hot-line" study in which educators across
efforts without outside assistance; (c) ascertained
the country were invited to call a toll-free
-a need which, although already existing when
long distance number to request information.
the change agent arrives, is only latent within the
5. An "educational serials topic trends" study in
local social group and must be ascertained by both
which the periodical literature of the field of
the innovator and the recipient. Thus, the change
education was monitored at four time points
agent might have to foster or develop the awareness
so as to detect changes in topic preference
of need. Both administrators and practitioners
rankings.
must perceive a need. R. Lippitt et al. (1958) state
With reference to the five procedures sum-
that outside help must be viewed as meaningful.
marized above, the statewide surveys, the follow-
In terms of research utilization, practitioners may
up study, and the information specialist study
require persuasion in order to perceive research
showed high consistency in results. The hot-line
findings as potentially helpful.
studies and the educational serials topic trends
The evidence is persuasive that to try to intro-
studies tended to agree with one another (but to a
duce new methods where there is no felt need is to
lesser degree) in reflecting the nature of the infor-
STAGES IN KNOWLEDGE UTILIZATION
33
mation needs across method of data collection and
8. Consideration of major curriculum revisions
in respect to the characteristics of the respondents
in medical education.
(teacher, principal, counselor, etc., on the one
9. Greater opportunities for women and for
hand, and school level on the other).
minority groups in medicine.
Garner (1972) carries the problem of ascertaining
10. New organizational patterns in health care
schools.
the problems of users back further to the very initi-
ation of scientific research. Garner believes that too
Beckhard also presents illustrative problems as
many researchers, in focusing their interest on sup-
seen from different vantage points, i.e., by deans of
posedly "pure" research, overlook the potentially
medical schools, directors and faculties of other
stimulating effect of responsiveness to user prob-
health schools, hospital administrators, commun-
lems. He seeks to break down what he regards as a
ity health center directors, and hospital interns and
false dichotomy between pure and applied research,
residents. He finds a "tremendous interest in the
noting that applied research also can have generic
application of behavioral science and technology
value. The same is true of serendipitous findings.
but has "also found tremendous suspicion and
In support of this position, he cites a number of
doubt about the practicality and relevance of this
instances in the field of experimental psychology
knowledge." The report reveals a flesh-and-blood
where research, originally stimulated by here-and-
picture of problems and perceptions of problems
now practical problems, has led to a resurgence of
confronting the prospective innovator.
basic scientific development in related areas.
Although specifically concerned with the adop-
Some studies have revealed that the need for in-
tion process as applied to a mental hospital treat-
formation sometimes is recognized only after the
ment innovation, Fairweather et al. (1974) also are
information has been encountered. For example,
interested in the current social problems that call
Rosenbloom and Wolek (1966), in a study of engi-
for a more effective process of decision making than
neers, requested that the respondents identify a
they consider to be in vogue. They urge the experi-
recent instance of technical information that they
mental tryout of model social programs as part of a
learned about from a source outside their immed-
new problem-solving social change mechanism, to
iate section or workgroup, and which proved valu-
be institutionally supported by centers for social
able in their job. The study reports that in one-
innovation.
sixth of the instances where useful information had
been received, the need for (or appreciation regard-
Diagnosis: Problem Clarification
ing the value of) that information was recognized
In this phase, original perceptions concerning the
only after it had been encountered.
problem are sharpened, relevant data are collected,
Kelman (1962), in a pluralistic model of the use
the problem is redefined, and the organization
of research, emphasizes the process of internaliza-
takes a new look at it (R. Lippitt et al., 1958; Jen-
tion in which the user accepts influence because it
kins, 1962; Jung & Lippitt, 1966; Watson, 1967a;
facilitates what he himself wants to do, thus stress-
Greiner, 1967; Rubin, 1968). Several diagnostic pos-
ing the value of entering into the user's frame of
sibilities are outlined by R. Lippitt (1962): (a) an
reference as an important factor.
inappropriate distribution of power, too diffuse or
Trends in health care systems focus on specific
too centralized, (b) blockage and immobilization of
needs which suggest the direction of possible inno-
productive energy, (c) lack of communication
vation in that field. Beckhard (1974) lists the fol-
between the subparts of the system, (d) lack of
lowing trends that may reflect such needs:
correspondence between external reality and the
situation as perceived by the organization, (e) lack
1. An increasing concern with total care of the
of clarity or commitment to goals for action, (f)
total patient.
lack of decision-making and action-taking skills.
2. A growing trend toward helping patients to
Halpert (1972) suggests that researchers and
manage their own health.
administrators should get together and think hard
3. A growing number of health care activists.
about the questions that need to be answered by
4. Large segments of the population without
research before the former conduct studies and the
adequate medical care.
5. New categories of health workers.
latter try to apply the resultant findings. Research
6. The family instead of the individual as the
workers often focus on answerable questions that
patient unit.
are not relevant to the critical issues confronting
7. More delivery of primary health care by
program administrators. Program people are some-
interdisciplinary teams.
times dazzled by the hardware of research and fail
34
PUTTING KNOWLEDGE TO USE
to specify their real information needs. A number of
4. Researchers discover and identify useful pub-
writers (Havelock & Lingwood, 1973, for example)
lications outside the library (the most fre-
draw especial attention to the importance of trans-
quent question they put to reference librari-
forming user needs into problem statements and
ans is whether the library has a given title).
researchable questions. In outlining the attributes
5. Information flow within and without the
of social innovative experiments, Fairweather
laboratory is mediated by "gatekeepers", i.e.,
(1971) indicates that besides defining the social
by persons to whom others most frequently
turn for technical advice and consultation.
problem speculatively, naturalist field observa-
tions should be made to describe its parameters in
Patterns of information use by vocational-tech-
the actual community setting. In reading the
nical educators in seven job classifications were
account of innovations in Gabor (1970), it becomes
determined through a questionnaire survey by
evident that vitally important human problems or
Magisos (1971). The educators were found to spend
"side effect" problems are often hidden and fre-
much time gathering information in their work, but
quently go unheeded in man's interactive rush to
not always efficiently. For example, few had been
initiate change, to react to the consequences of
taught to use the Educational Resources Informa-
change, and to adapt to changing circumstances.
tion Center (ERIC) properly, though it is better
Techniques may be employed within an organi-
designed to serve their needs than other more
zation to bring out into the open the way in which
widely used sources. Many vocational-technical
different categories of personnel perceive problems,
educators have never received, requested, or used
or the issues implicit in them. The Q-sort procedure
ERIC materials. These educators often prefer
advocated by Jenks (1970) is a device that may be
direct, personal contact with familiar and con-
used for this purpose, along with other forms of
venient sources of information.
problem identification. Technology assessment
Rosenbloom and Wolek (1970) found that scien-
constitutes a systematic effort to foresee and take
tists tend to make substantially more use than do
account of social consequences stemming from the
engineers of sources outside the corporation in
introduction of new techniques (Coates, 1971).
which they work. For industrial scientists, only
Havelock (1973a) states that the change agent,
about half the information gathered resulted from a
after having established an appropriate relation-
specific search by the respondent. In nearly one-
ship, must guide the client in making a diagnosis
third of the cases, the information was acquired
which involves identifying the problems, identify-
because someone pointed it out without being re-
ing the opportunities that are open, and insuring
quested to do so. In about one-fifth of the cases, the
that the agent thoroughly understands the client's
respondent's intent in seeking information was to
system. Common pitfalls of the diagnostic stage in-
develop his general competence, rather than to ac-
clude: spending too much time on diagnosis; using
quire some particular knowledge. The authors con-
destructive confrontation; imposing the change
clude that "information looking for the man" is
agent's favorite diagnosis; and responding to the
nearly as frequent as "man looking for informa-
client's pressure for a crash program.
tion." It is an unfortunate but understandable
commentary on human nature that in a crisis situa-
Search for Pertinent Knowledge
tion, a diligent search for pertinent research is sel-
dom made (Havelock & Lingwood, 1973).
In studying the methods and devices used by
In his wide-ranging analysis of knowledge pro-
scientists and technologists in seeking information,
duction and utilization, Short (1973) states that
Herner and Herner (1967) reviewed investigations
of the subject that employed standard information-
the knowledge utilization process involves the
user's knowledge structure, his motivation, his esti-
seeking media, namely: records, interviews, obser-
mate of the source's credibility, the social sanctions
vation, questionnaires, and bibliographic tech-
niques. They found a miscellany of facts concern-
for or against use of the knowledge, the availability
ing information seeking, as, for example:
and appropriateness of the form of the knowledge,
and the existence of linkage agents or systems. A
1. Time and effort consumption discourages the
detailed treatment of information retrieval, as well
use of certain means.
as its dissemination, will be found in Chapter IV.
2. The larger the firm, the more formal the ap-
proaches employed.
Consideration of Alternative Solutions
3. Pure scientists are more dependent on the
literature than are industrial scientists and
In the matter of generating alternate solutions to
technologists.
problems, a solid background of knowledge is con-
STAGES IN KNOWLEDGE UTILIZATION
35
sidered necessary along with qualities of open-
once considered the epitome of progress, is pres-
mindedness and ingenuity. This stage of the pro-
ently being documented in an expanding literature
cess requires the translation of diagnostic data and
on futurology and technology assessment. Thus,
insight into possible strategies of action, and selec-
Bell (1973) analyzes the economic, social, and in-
tion of the most feasible strategy (R. Lippitt et al.,
tellectual shifts that may be expected to occur with
1958; Havelock, 1970).
"the coming of the postindustrial society."
Rogers and Svenning (1969) identify two steps
Governmental concern with the difficulties of
which might be incorporated into this phase;
decision making in a technologically expanding
(a) define, distinguish, and analyze the target
world is evidenced in the establishment of the Of-
decision and adoption audiences; and (b) define
fice of Technology Assessment of the Subcommittee
the steps that must be taken with each of these
on Science, Research, and Development of the
audiences to reach a decision, secure adoption, and
Committee on Science and Astronautics of the U.S.
achieve the objectives of change.
House of Representatives, as described by Coates
Rubin (1968) states that the selection of strategy
(1974). In an earlier article Coates (1971) presents a
is based on consideration of: (a) the kind of innova-
succinct account of the rationale and scope of tech-
tion being installed, (b) the characteristics of the
nology assessment (this term includes social tech-
organization, and (c) the individual engineering
nologies), and presents an illuminating chart
the change.
illustrating a series of first-to sixth-order conse-
Varying degrees of objectivity have been recom-
quences of three technological advances: the auto-
mended in assessing the comparative consequences
mobile, improved refrigeration, and television.
of various courses of action. The optimization of
The spreading network of the consequences of
the benefit/cost ratio, notably with regard to tech-
technological developments, both physical and
nological developments, has been a favorite ap-
social, is made the subject of a penetrating analysis
proach of those who engage in technological assess-
by Hetman (1973). Citing numerous references, in-
ment (H. Green, 1973).
cluding a highly pertinent set of papers presented
at an international seminar on technology assess-
The consideration of alternative solutions is ob-
ment conducted under the auspices of the Organi-
viously linked with the process of decision making,
zation for Economic Cooperation and Development
which in turn is tied in with experimental or other
forms of evaluation as applied to proposed changes.
(1972), Hetman offers a highly systematic and de-
tailed account of the premises, concepts, meth-
In a monograph by Alkin, Kosecoff, Fitz-Gibbon,
and Seligman (1974), the Center for the Study of
odology, experiments, and areas of application of
Evaluation at the University of California at Los
the subject of "society and the assessment of tech-
nology." He raises the question as to the extent to
Angeles presents the results of an analysis of the
which technology can be guided in its development
variables related to the impact of evaluation on
into desirable directions without stifling innova-
decision making as evidenced in the evaluation of
tion.
42 projects dealing with bilingual education that
were sponsored by Title VII of the Elementary and
Building on his conceptual treatment of starting
Secondary Education Act. Much emphasis is
points and approaches, Hetman proceeds to set
placed on the distinction between formative and
forth in technical detail a number of methods for
summative evaluation. In the former case the eval-
conducting assessments of technologies with
uative effort is designed to aid in decision making
special reference to their social impacts and their
in the course of the development or application of
total implications in terms of indirect, delayed, and
the program under consideration; in the latter in-
noneconomic consequences along with their direct,
stance, only after the program has completed a
immediate, and economic effects; in other words,
stated experimental period.
in relation to a holistic cost/benefit system.
It should be noted that the study of alternative
The need to go beyond immediate outcomes in
solutions to current problems is becoming in-
evaluating alternatives is pointedly developed by
creasingly complex. The consequences of new
Locatis and Gooler (1975) in a review-type article
knowledge and its accompanying technology are
on the inclusion of second-order consequences of
seen as entailing indirect, far-ranging, and future
technology as applied to education considered as a
outcomes of often uncertain and sometimes poten-
prototype of technology assessment in general. The
tially harmful significance to the physical environ-
idea of pursuing the consequences of technological
ment and/or the welfare of individuals or society as
developments well into the future has been made
a whole. The dilemma of rapid knowledge growth,
the subject of extensive speculation and study.
PUTTING KNOWLEDGE TO USE
36
Considering the impact of technological change on
6. Both the formal and the informal organiza-
values, Baier and Rescher (1969), together with a
tions of an institution must be considered in
number of distinguished colleagues, present a high-
planning change.
ly comprehensive treatment, both conceptual and
7. The effectiveness of planned change is related
empirical, of the subject of values and value change
to degree of participation of all hierarchical
in the future. The well-formulated ideas, accom-
levels in fact finding, diagnosis of needed
panied as they are by illustrative applications of a
change, and the formulation and testing of
program goals.
variety of research methods, offer the prospective
The need for a broad, systematic, and thorough
researcher much needed help in this difficult field.
The choice of courses of action in the face of
program of diversified types of efforts, if significant
changes are to be implemented, is recognized by
expanding technical knowledge requires clear
the National Institute of Education (1973) in the
criterial guidelines. Inherent in this approach, as in
all assessment, is the underlying theme of value
description and prospectus of its program pre-
sented elsewhere in this document.
judgment and the continuing attempts to objectify
its application to an extent that is both appropriate
There are three types or categories of strategies
and feasible.
for change, as presented by Chin and Benne (1969),
each with its historical and philosophical base.
Implementation: Change Strategies
Empirical-rational strategies are based on the
assumption of the rational man who changes his
The implementation of an innovative program
behavior on the basis of proper information and
requires planning on a number of fronts. As noted
knowledge in response to environmental stimuli.
in another section of this document, several basic
Normative-reeducative strategies are based on the
models have been developed with respect to knowl-
view of man's transactional relationship with the
edge dissemination and utilization in organiza-
environment. Power-coercive approaches view
tional change. Specific strategies that may be used
power as a source of all human action and seek to
by change agents or change agencies are also dis-
mass economic and political power behind change
cussed elsewhere. The present section: (a) illus-
goals by nonviolent tactics, use of political institu-
trates the bearing of various general principles on
tions, and recomposition and manipulation of
implementation in several fields; (b) stresses the
power elites. Methods for implementing the above
place of power and persuasion in achieving change;
strategies are presented and discussed, and rela-
(c) considers resistance to change; (d) reviews
tionships among the strategic types are delineated.
modes of reducing resistance; and (e) closes with
Drawing on several sources, Zaltman (1973) pre-
an account of studies on the role of leadership in
sents a "typology of change strategies" that in-
accomplishing innovative adoption.
cludes, in addition to the three strategies men-
SOME GENERAL PRINCIPLES ILLUSTRATED
tioned above by Chin and Benne, the following
groupings: (a) normative, coercive, and adminis-
Applying Kurt Lewin's model of social change to
trative strategies; (b) power, persuasive, and
organizational settings, Benne and Birnbaum
reeducative strategies; (c) individual change, data-
(1960) suggest three strategies for achieving change:
based presentations regarding the system, organi-
(a) increase the driving forces; (b) decrease the
zational development, violent and nonviolent
restraining forces; and (c) combine the two. From
direct action strategies; and (d) manipulation, per-
the model the authors extrapolate a number of
suasion, and facilitation strategies.
principles for effecting institutional change:
The distinction as to power, persuasive, and re-
1. To change a subsystem, relevant aspects of its
educative strategies is made the basis for organ-
environment must be changed.
izing a large section comprising 19 articles on strat-
2. To change behavior at one hierarchical level,
egies for social change in a book of readings by
complementary and reinforcing changes at
Zaltman et al. (1972). Political activity, both non-
other levels are necessary.
3. The place to begin is at points where strain
violent and violent, is given major emphasis in the
exists and dissatisfaction with the status quo
treatment of power strategies. Under the persua-
is a motivating factor.
sive strategies, stress is placed on propaganda,
4. In diagnosing possibility for change the de-
communication, and the allied fields of advertising
gree of stress and strain where change is sought
and mass media. Reeducative efforts are presented
needs to be assessed.
largely as applying to specific target groups such as
5. In a bureaucratic structure, change should
juvenile offenders, occupants of skid row, and pris-
ordinarily start with the policy-making body.
oners of war.
PUTTING KNOWLEDGE TO USE
37
G. Jones (1965b) notes six interrelated elements
management; conflict resolution through training
in the deliberate planning for social change: (a)
in problem solving; developing a view of organiza-
agent change; (b) client system; (c) goals; (d)
tion as an organic system marked by mutual trust,
strategies and tactics; (e) structuring of change;
interdependence, multigroup membership and
and (f) evaluation. His article examines success-
shared responsibility.
ful cases on planned organizational change in tra-
The process of implementation includes the fol-
ditional societies, and isolates, defines, and classi-
lowing necessary elements: client understanding;
fies strategies and tactics which performed critical
control and trust; self-motivated change effort
roles in the change processes. His strategies are
through legitimation and reinforcement of the
grouped as follows:
change by top levels of the organization; inclusion
of emotional and value elements in the change pro-
Coercive Strategies
Strategy of Pressure
gram; and the change agent-client relationship.
Strategy of Stress Induction
In a treatise that deals with social change and
the mental health of children, the Joint Commis-
Normative Strategies
sion on Mental Health of Children (1973c) outlines
Strategy of Participation
Strategy of Education/Training
a broad program, one that reflects an analysis by
Ronald Lippitt of barriers to change as existing in
Utilitarian Strategies
our assumptions, in our institutional and pro-
Strategy of Placement
fessional practices, and in the deficiencies of our
Strategy of Empiricism
knowledge and skills. The proposals for program
Other Change Techniques
development contain several special features:
Tactic of Action Research
Tactic of Technical Modification
1. A design for youth involvement and participa-
Tactic of Marginality
tion in program planning and implementa-
tion.
The author firmly believes that modern man can
2. The education of the young for participation
to a considerable extent control and direct organi-
in adult roles.
zational change rationally, intelligently, and effec-
3. The recruiting and training of volunteers and
tively toward the goal of a better life.
paraprofessionals.
The final sections of the book of readings by
4. The application of a self-renewal model for
Zaltman et al. (1972) dealing with the management
the development and maintenance of the sev-
of social change cover the following topics:
eral programs.
1. Planning for social change:
In sum, along with the more traditional ap-
(a) Establishing objectives.
proaches, the report advocates an approach to
(b) Seeking "shortcuts" to social change.
mental health implementation with special ref-
(c) Utilizing social research to improve social
erence to developmental and preventive functions.
practice.
After outlining the many areas in which mental
(d) Employing a marketing approach to
health programs need to be expanded and im-
planned change.
proved, Robinson, DeMarche, and Wagle (1960)
(e) Coping with ethical problems by social
scientists.
note certain propositions regarding the implemen-
tation of the proposed lines of change. For example,
2. Implementing change programs:
they suggest that in keeping with the diversity of
(a) Reaching target audiences.
settings, community programs design and treat-
(b) Meeting resistance.
ment methods vary considerably. Consultation
3. Controlling change programs:
with knowledgeable persons in the several com-
(a) In terms of evaluation of action programs.
munities and utilization of voluntary agency con-
(b) In terms of reforms as experiments.
sultants are considered necessary to good program
The elements of planned organization change,
building. The development of qualified manpower
and more specifically those involved in the process
of various types is also essential to an effective
of implementation, are noted by Bennis (1969b) as
program. They add that, while most of the pro-
follows: Planned organizational change involves
posed lines of action do not need to await further
interpersonal competence of managers; legitima-
research, a broad, concurrent research program is
tion of values concerning human factors and feel-
desirable.
ings; reduction of inter- and intra-group tension by
Concerned with problems of educational innova-
increased understanding; development of team
tion, Pincus (1974) asserts that while commercial
38
PUTTING KNOWLEDGE TO USE
or industrial firms are more likely to adopt innova-
1. To use the two strategies in sequence, as in
tions that promote economic efficiency, schools are
the freeze-thaw tactics in international rela-
more likely to seek innovations that promote
tions.
bureaucratic interests and social stability. At the
2. To have the contradictory strategies imple-
same time, he notes that schools are often hard
mented by different persons or subgroups.
pressed for funds, and hence system maintenance
The dilemma can be minimized further by selecting
is a realistic concern. The federal aid system is
tactics from each of the strategies that reinforce
seen to have a number of attributes which dis-
rather than detract from the alternate strategy.
courage innovation in school systems. Among
these, for example, are the following:
PERSUASION
1. Frequent changes in program priorities.
An alternative to the power approach is the psy-
2. Provision of seed money rather than continu-
chological persuasion of facilitation strategy, in
ing funds.
which potential users are perceived as clients
3. Small-scale support compared with other
(Guba, 1968). Glaser and his associates (1967) used
programs.
4. The ignoring, at times, of evaluation reports
a number of methods of persuasion in inducing re-
(although he suggests many are not worth
habilitation agencies to consider the applicability
heeding).
of a new technique developed by Tacoma Goodwill
To the extent that these assertions are true, the
Industries for training retarded persons for work.
They then assessed the effectiveness of each
course of implementation is likely to be uncertain.
method of communicating the procedures and re-
POWER
sults of the Tacoma R&D project. A popularly
A careful analysis of the uses of different kinds of
written, easily understandable description of the
power in implementing organizational change has
new practice was somewhat effective, but a con-
been made by Greiner (1967). He describes:
ference coupled with a visit to the demonstration
(a) unilateral power, in which the executive de-
site followed by discussion not only of the model
cides; (b) shared power, in which decisions are
practice but also of the promising innovations de-
jointly made; and (c) delegated power, in which
veloped by each agency represented at the confer-
decisions are turned over to subordinates, either
ence, was more effective. Visits to various agencies
singly or in groups. While executive power by itself
by a traveling consultant added little to these two
is thought often to be ineffective, the commingling
strategies for facilitating utilization.
of the several kinds of power is considered most
There are several of what might be classified as
effective for promoting change. Too often, the
"cookbook"-type summaries on methods for get-
decision is permitted to fall between unilateral and
ting under-utilized knowledge applied more widely,
delegated power, without the kind of interchange
although in fact they involve much more than "per-
that shared power entails.
suasion" strategies: Rubin (1968) in educational
Mann and Neff (1961) indicate different types of
organizations; Watson and Glaser (1965) in busi-
power that the change agent needs to understand
ness; Niehoff (1966) in developing countries; and
and be able to use: legitimate power-based on
American Institutes of Research (1973) in the area
obligation or duty; reward power-ability to give or
of mental health centers.
withhold reward; coercive power-potential for
Zander (1962), noting that the common denom-
punishment; expert power-based on greater
inator of examples of resistance to change rests on a
knowledge or ability; and, referent power-based
self-protective mechanism, gives a list of some of
on attraction and/or identification.
the obstacles persuaders may encounter and suit-
According to Walton (1969), there are two sys-
able strategies for overcoming them. Among the
tems of ideas about social change that often pre-
scores of empirical studies reported, one by Ander-
sent a dilemma to the practitioner. First is the tac-
son and McGuire (1965) found that persuasion is
tic of power strategy, which has as its objective the
more likely to succeed if the persuader first shows
obtaining of concessions; second is the tactic of
that he sees the logic of the current way of doing
attitude change, which aims to reduce intergroup
things, and only later presents the seeming ad-
hostility. The two tactics can be further delineated
vantages of the proposed change. Maier (1963) sug-
in terms of contrasts such as: emphasis on power to
gests using what he calls the "risk technique" in
coerce versus trust; threat versus conciliation; and
which potential adopters of a proposed change are
stereotyping versus differentiation. Two solutions
first invited to identify all the risks or possible ob-
to the dilemma are proposed:
jections they can think of and, after discussion of
STAGES IN KNOWLEDGE UTILIZATION
39
these, asked to consider offsetting or trade-off cost-
pendence, illusion of impotence, superego, self-
benefits.
distrust, insecurity and regression, deprivation,
Lewin and some of his followers have provided an
and anxiety. Factors in social systems that con-
explicit theory of persuasion (Lewin, 1962; Lewin &
tribute to the resistance of change are listed as:
Grabbe, 1962; Jenkins, 1962). Essentially, this en-
conformity to norms, systemic and cultural co-
tails taking action to reduce the resistance to
herence, the sacrosanct, rejection of "outsiders,"
change and/or the attachment to the present way of
hierarachy, affluence and leeway, restricted com-
doing things. Rather than attempting to make the
munication, and the nature of the innovation.
new seem more attractive at once, the client is in-
One of the most frequently found generalizations
duced to look more critically at the old. The forces
regarding resistance is that resistance occurs when
making for stability and those impelling change
those affected by a change perceive it as threaten-
are analyzed. Then steps are taken to unfreeze the
ing (Spicer, 1952; Bright, 1964; Havelock, 1969a;
present situation, move it to a new level, and then
M. Becker, 1970b). In this context, resistance is
stabilize the situation at the improved level. They
viewed as a device that functions to protect the in-
see this as a process of reeducation, and suggest
dividual against fears and anxieties aroused by the
that cognitive changes, changes in values, and
implications of the proposed change. More specific
changes in actions occur-pretty much in that
instances of resistance based on fear are suggested
order.
by the literature.
As noted elsewhere, Fairweather et al. (1974)
Fear of loss of status or prestige or power is often
found that active persuasion intervention by the
cited as a major reason for resistance (Spicer, 1952;
change agent coupled with having a group of
Marmor et al., 1969; Bright, 1964; La Piere, 1965;
"champions" within the hospital to spearhead the
Berlin, 1969). Persons who have benefited the most
change effort were the essential ingredients in the
from an existing order are unlikely to welcome a
successful adoption of an innovative procedure and
major change (Costello & Zalkind, 1963). In a
program in returning mental hospital patients to
study of staff response to a mental health innova-
the community. In a study by Mann (1971), the di-
tion, it was concluded that the intensity of the neg-
dactic, or classroom, training approach to human
ative reaction of professionals appears related to
relations proved inferior to an interactive feedback
the extent to which the power and prestige of local
procedure whereby attitudinal survey data were fed
service chiefs are threatened, the extent to which
back to workers and supervisors. The latter tech-
existing informal work relations are disrupted, and
nique was also used effectively by Miles et al.
the extent that coercive pressures are applied, to re-
(1971).
quire marked deviations from traditional pro-
An interesting point of view regarding the use of
cedures (Blum & Downing, 1964). Fear of loss of
persuasion rather than power in applying revolu-
status and prestige appeared to be a significant fac-
tionary strategies is expressed by Freire (1972). He
tor in a study of a hospital practices innovation
states that revolutionaries are prone to use the tac-
which, despite initial acceptance and apparent
tics of conquer, divide and conquer, manipulate,
technical success, was ultimately rejected after
and invade culturally. He proposes, instead, co-
several months. One possible explanation offered
operation and cultural synthesis as the only true
by the authors is that the innovation disrupted the
sources of liberation.
social organization of the nursing unit and resulted
in some loss of authority for the head nurse (Coe &
RESISTANCE TO CHANGE
Bernhill, 1967).
Change is often accepted with little or no objec-
Persons resist changes that threaten job security
tion (Spicer, 1952). However, when resistance does
(Spicer, 1952; Bright, 1964). Innovation may
occur, it may seriously block or undermine an inno-
threaten devaluation of the knowledge or skills
vation. An understanding of the possible sources of
presently required (Bright, 1964; LaPiere, 1965).
resistance may thus be critical to the success of
This, plus threatened status, may be the source of
efforts to implement innovation.
the frequently found resistance of mental health
In an overall analysis of factors accounting for
professionals to the employment of subprofession-
resistance to change Watson (1973) distinguishes
als.
between resistance in personality and resistance in
To support an innovation may mean to others
social structure. Under the former rubric he con-
that they will be seen as deviant (Cartwright, 1962;
siders the following factors: homeostasis, habit,
E. Rogers, 1962a; Borman, 1965) and spotlighted as
primacy, selective perception and retention, de-
targets for attack (Cawelti, 1967).
PUTTING KNOWLEDGE TO USE
40
Resistance is aroused when proposed change
reviewed through a rather famous illustration of
threatens or challenges currently held beliefs and
research designed to influence practice reported by
values (Hovland et al., 1953; Anderson & McGuire,
Marrow and French (1962). Top management
1965). Some persons cannot seem to hear or under-
worked with a behavioral scientist in a study of the
stand proposals that appear to run counter to
productivity of older women in a factory. The results
long and firmly held beliefs (Lewin & Grabbe, 1962;
convinced both the researcher and the president
Watson, 1973). Berlin (1969) points out that
that these women were excellent employees, but
"learning new methods of working and especially
supervisors still retained their old prejudices in spite
using new models like public health concepts, are
of this new information and resisted hiring older
threatening to our established and already learned
women. Not until the whole issue was opened to a
theoretical frameworks and practices." Since the
group discussion of the supervisors, and they them-
practitioner's theoretical framework is essentially
selves were allowed to come to a group decision, did
his professional value system, he is likely to protect
they decide to give the new personnel policy a fair try.
all components with some fervor. Moreover, inno-
LaPiere (1965) distinguishes between rational
vations backed by research findings may be partic-
resistance, whether overtly or covertly expressed,
ularly threatening to mental health professionals,
and irrational antagonisms. A rational objection
since much of the theory in this area has not itself
would be, for example, that others who tried an in-
been tested empirically.
novation have abandoned it. Irrational factors in-
Fears of loss of self-esteem or sense of compe-
clude apprehension about the unknown, or rigid
tency and/or fear of exposure of weak points can
adherence to certain traditions. A threat to vested
arouse very strong resistance (Berlin, 1969; Have-
interests is rational; suspicion of a secret, world-
lock, 1969a; Glaser & Ross 1974). Similarly, one
wide conspiracy may border on the paranoid.
study in a mental health setting reports that re-
Klonglan and Coward (1970) offer additional in-
sistance emerged because of the researchers' failure
sights into resistance through their analysis of
to outwardly acknowledge currently successful ef-
adoption as a two-phase process, symbolic adop-
forts (Poser, Dunn, & Smith, 1964). This source of
tion (acceptance of the idea) and use adoption.
resistance may be an important factor in the diffi-
This suggests that the source of resistance might be
culties often encountered in the conduct and sub-
pinpointed: symbolic rejection would be related to
sequent application of evaluative research.
sociological variables (compatibility, etc.), while
Another fundamental generalization is that peo-
economic variables would be involved in resistance
ple resist changes which they don't understand
to use adoption (trial rejection).
(Spicer, 1952). LaPiere (1965) points out that there
In an organization, desired changes in one part
is a pervasive fear of the unfamiliar among hu-
may bring corresponding but unwelcome changes
mans. "Fear of the unknown," he states, "can even
elsewhere in the system. These side effects may not
override the certainty of acute physical pain." Re-
have been anticipated and they may stir strong re-
latedly, studies of teacher rejections of innovations
sentment (Costello & Zalkind, 1963; Katz, 1963;
in teaching media found that some rejections oc-
Miles, 1965; Wiles, 1965; J. Taylor, 1968). Sieber
curred because of lack of adequate information. In-
(1968) warns that resistance may be seen as having
novations were claimed to be too complex to be
personal sources when it is actually imposed by
understood (Eichholz, 1963; Eichholz & Rogers,
system, position, and role. Moreover, resistance
1964). This might suggest that resistance can stem
may indicate a real impracticality of the proposed
from either a lack of understanding of the effects of
change (Spicer, 1952). Rogers and Shoemaker
a change, or from inadequate understanding of the
(1971) cite the hazards of overadoption, because of
nature of the change itself.
insufficient knowledge, inability to predict conse-
In some enterprises there is a kind of resistance
quences, or a mania for the new.
which is called N.I.H. (Not Invented Here!) One
Factors affecting resistance to innovation are
department may be proud of its own achievements
presented by Zaltman et al., (1973) as follows:
and resentful of designs coming from "outside."
1. Among the possible determinants of resistance
Fox and Lippitt (1964) found teachers feeling that
are: (a) the need for stability; (b) the use of
it would be beneath their professional status to bor-
foreign jargon; (c) impact on existing social
row from others.
relationships; (d) personal threat; (e) local
A fundamental principle of resistance is that
pride; (f) felt needs; and (g) economic factors.
2. Structural factors affecting resistance include:
people resist being forced to change (Spicer, 1952).
(a) stratification; (b) division of labor; and
The importance of this source of resistance can be
(c) hierarchical and status differentials.
STAGES IN KNOWLEDGE UTILIZATION
41
3. Individual resistance factors include: (a) per-
The life cycle of resistance is seen as entailing the
ception; (b) motivation; (c) attitude; (d) legit-
following:
imization; (e) accompaniments of trial; (f) re-
1. Undifferentiated resistance.
sults of evaluation; (g) actual adoption or
2. Differentiated resistance.
rejection; and (h) manner of dissonance res-
3. Mobilized resistance, resulting in a show-
olution.
down.
Barriers to the implementation of an innovation
4. Sufficient success so that only conspicuous
in an experimental low-income school whereby
error could re-mobilize the resistance, with
teachers were to adopt a "catalytic role model," as
supporters of change taking power.
contrasted with the more traditional, authoritarian
5. One-time advocates of change becoming re-
approach, are listed by Gross et al. (1971) as follows:
sisters of emerging change.
Sources of resistance in individuals and social
1. The teachers' lack of clarity about the innova-
systems are spelled out. Thirteen recommenda-
tion.
2. The teachers' lack of required capabilities.
tions about resistance to change grouped under
3. The unavailability of necessary instructional
three categories are given: (a) Who brings the
materials.
change? (b) What kinds of change succeed? (c) How
4. The incompatibility of organizational arrange-
is it best done?
ments with the innovation.
Judson (1966) points out that almost every nega-
The authors comment that the literature on change
tive response to change can be converted into an
tends to focus on organizational conditions existing
opposite and equal positive response; for example,
prior to the planned effort, but gives relatively little
the person who fears loss of status can be shown
attention to the period during which the implemen-
that, in truth, the change could eventually enhance
tation effort takes place. A continuing concern with
his status. Judson admits that resistance to change
the acceptance level of the participants is suggested.
can, in some settings, be offset by compulsion, but
that more compatible long-term strategies might
REDUCING RESISTANCE TO CHANGE
include: to persuade that the rewards of the change
Most persons and organizations are in "quasi-
counterbalance or outweigh the reasons for resis-
stationary equilibrium," with some forces driving
tance; to dispel fear through specific reassurances;
them toward change and others resisting it. To re-
to develop a full understanding of the change; to
duce the resistance creates forward movement with
provide opportunity for personal involvement in
less tension than if effort is made only to override it
making decisions related to change; to avoid impli-
(Lewin, 1962; Miles, 1964c; Cottle, 1969; Watson,
cations of criticism as change is charted; to install
1973).
change with flexibility so that those who are af-
It is often hard for the advocates of a new idea to
fected have the opportunity to modify the innova-
empathize with those who don't go along. It is help-
tion to meet their specific work situation.
ful to recognize the important social role of the de-
Lippitt and Fox (1967) found an increase in re-
fenders who try to conserve the valuable elements
sponse by teachers to proposed innovations when
of the old in the face of a tumult of change (H.
comparing the effectiveness of face-to-face group
Klein, 1968). Empathizing with them, the pro-
discussion of innovative possibilities with that of
gressives can enter a dialogue that may result in
an impersonal appeal through the mails.
amendments which permit broader support of the
Hovland et al. (1953) identify the kinds of com-
new idea. Failure to respect differences in values is
munication appeals that provide strong incentives
likely to bring a backlash of increased resistance.
for acceptance of change: substantiating argument;
In his article on "how to change things", Reddin
positive appeals calling attention to rewards to be
(1969) cites seven techniques for overcoming re-
gained from acceptance (in contrast to fear ap-
sistance: (a) diagnosis; (b) mutual setting of ob-
peals); congruence with group norms; explicit
jectives; (c) group emphasis; (d) maximum in-
statement of conclusions (rather than reliance
formation; (e) discussion of implementation; (f) use
upon recipient to draw his own conclusions).
of ceremony (ritual); and (g) resistance interpre-
In many organizations, the techniques of group
tation.
dynamics create a climate of mutual trust and
In discussing resistance to change, Watson
openness which dramatically dissipates resistance
(1973) outlines the life cycle of resistance to an in-
to change. Procedures for developing this kind of
novation and the psychological factors of individ-
relationship are variously called T-groups, L (for
ual and groups that affect resistance.
laboratory learning about leadership) groups, sen-
PUTTING KNOWLEDGE TO USE
42
sitivity training, and encounter groups. The usual
1965; Moriarty, 1967; Havelock, 1968b, 1969a,
procedures are well described in E. Rogers (1968),
1969b) to free up communication, enhance trust,
and in Schein and Bennis (1965). Case studies of
and build more productive cooperation is widely
its uses are offered by Beckhard (1966, 1971).
advocated. Collaboration between research work-
Another treatment of group dynamics will be found
ers and practitioners can be facilitated by a few
in Cartwright (1962).
days of meeting together, away from their offices
An increase in the effectiveness of individuals
and duties, with the help of a skilled professional to
or teams as agents of planned social change in local
guide the group growth processes (Schein & Benne,
communities was demonstrated by Schindler-
1965; Havelock, 1969b). Likewise, the wish of man-
Rainman and Lippitt (1972), indicating the need
agement to introduce innovation can be much bet-
for concerted effort in overcoming community
ter accepted by other personnel if the decisions are
resistance to change. As a result of the team train-
reached after some team training (Marrow, 1969).
ing of professionals, paraprofessionals, and volun-
Miles sees the special advantages of a temporary
teers from a community working together to effect
system in the fact that it is held only for a short
social changes in specific problem areas, per-
time, at a place separate from the daily office
formance was found to improve notably. The train-
pressure, SO people may experiment with new be-
ing consisted of guidance and feedback from pro-
havior under conditions of low risk and high learn-
fessional trainers, interaction among team mem-
ing. The norms which develop in such groups favor
bers, and consultation between and among teams.
openness, authenticity, sharing, inquiry, and mu-
In a study of the effects of various incentives for
tual aid. Periods of good experience in temporary
overcoming resistance to family planning in Asia,
systems can enable work teams to deal better with
Rogers (1973a) compared the use of incentives of-
real problems in a constructive, creative way.
fered directly to potential adopters of innovations
in contradistinction to those diffusers who provided
intermediary influence upon adopters. In effect, the
THE PLACE OF LEADERS IN
intermediaries served as a continuing bridge to
INFLUENCING ADOPTION
persuasive communication.
In any hierarchical organization subordinates
Carmack (1965) cites the preparation of the com-
become highly sensitive to the values and prefer-
munity for desegregation of public schools in Dal-
ences of persons in higher positions. In some cases,
las, Texas, as a case study of the practical applica-
if the man at the top desires an innovation he can
tion of communication theory. He gives meticulous
bring it about by fiat (Greiner, 1967). "The rate of
attention to: source credibility; cooperation of
adoption of collective innovations is positively re-
opinion leaders of all relevant community groups;
lated to the degree of power concentration in a sys-
person-to-person communication among peers;
tem" (E. Rogers, 1962a). In every case, support of
effective utilization of channels for mass communi-
top leadership will be a strong factor in bringing
cation; and the central theme of the message to be
about change (Flanagan, 1961; Glock, 1961; Likert
communicated. The Dallas experience illustrates
& Lippitt, 1963; Mansfield, 1963a, 1963b; Rich-
the knowledgeable and planned use of mass media,
land, 1965; Sieber, 1968).
opinion leadership, and intergroup cooperation in
Persuasion to change behavior can operate at
the accomplishment of a general community goal.
three different levels. Kelman (1958) has called
It is particularly important that participants feel
these: compliance, identification, and internaliza-
free to express their doubts and negative feelings.
tion. One complies when one must: this usually
Some promoters of a change find it hard to believe
means enforcement by sanctions and close super-
that a frank facing of disagreement and obstacles
vision. Identification with an admired person may
may win more converts than does eloquent exhorta-
lead to a change which persists only so long as that
tion in favor of their proposal. Yet this has been the
attraction remains salient. Internalization, the
experience of many consultants on change (Zander,
most powerful and stable change pattern, requires
1962; Benne, 1962a; Glaser, 1967; Glaser & Taylor,
that the individual really believe the message.
1969). Conflict of opinion followed by sincere, skill-
Then he will need no policing or approval from
ful attempts at conflict resolution may be more
authority figures. Glidewell (1962) has designated
productive than is bland agreement, which often is
the same three patterns for conversion alliter-
unaccompanied by any sense of concern or com-
atively as: bargaining, belonging, and belief.
mitment.
Some steps top leadership can take to facilitate
The use of "temporary systems" (Miles, 1964d;
use of research findings are:
STAGES IN KNOWLEDGE UTILIZATION
43
1. Clearly advocate, in principle, self-renewal of
Edison's slogan for his laboratory: There is a better
individuals, departments, and the total organ-
way-find it!
ization (Gardner, 1964).
2. Permit experimenting persons and groups to
Follow-Through: Evaluation
make some mistakes without reprisals (Agnew
If research is to result in improvement of per-
& Hsu, 1960; Zander, 1962; Bright, 1964; Wat-
son & Glaser, 1965; Cawelti, 1967).
sonal and organizational services, it is not enough
3. Provide for pilot experiments (Berlin, 1969).
to identify real problems, to design jointly excellent
4. Arrange rewards, recognition, and promotion
research plans, to evaluate and interpret findings,
for successful experimenters (Bowman, 1959;
and to introduce promising innovations. Innova-
Benne, 1962b; Eichholz, 1963; Howard, 1967;
tions require time to prove their worth and to win
L. Carter, 1968a; Berlin, 1969). Wolfensberger
acceptance. Some early disappointments are al-
(1969) suggests that innovative ideas be re-
most inevitable. Hence the importance of continu-
warded, whether they are actually accepted or
ing support and consultation. Jenkins (1962) points
not.
out that whenever planned change occurs, care
5. Encourage attendance at conferences and
must be taken to insure that the new condition is
workshops where new ideas are likely to be
stabilized; otherwise the resistant forces may push
generated (Menzel, 1966c; Mackie & Chris-
back toward the former condition.
tensen, 1967; Cady, 1968; L. Carter, 1968a;
Glaser & Taylor, 1969; National Science
In discussing his A VICTORY model for organ-
Foundation, 1969).
izational change, H. Davis (1973) notes that four
Somewhat offsetting the strategy of change from
steps are involved, the last of which is follow-
the top down, is the fact that subordinates often
through, including evaluation and recycling de-
can and do subvert changes of which they dis-
signed to maximize the benefits of the change.
approve, while appearing to conform. "Changes
Similarly, Paisley (1969), in his analysis of the
brought about by the authoritative approach are
stages of message transmission and acceptance,
more likely to be discontinued than are those which
provides for posttrial evaluation following the ten-
come from a participative approach," and "an in-
tative trial of the new idea by the message receiver.
dividual's acceptance of an authority innovation
In Project Changeover (Union for Experimenting
decision is positively related to his part in innova-
Colleges and Universities, 1967) after faculty mem-
tive decision making" (E. Rogers, 1962a; Rogers &
bers had been promised administrative support for
Shoemaker, 1971).
carefully worked out ideas and plans for better
Leadership in the diffusion of innovation is not
teaching, a substantial number felt frustrated be-
limited to hierarchical leadership. Certain influen-
cause the necessary space and supplies were not
tial individuals within colleague reference groups
provided. In particular, it was hard to persuade
or peer groups function in the role of opinion
university officials that teaching a highly innova-
leaders. Involvement of opinion leaders as advo-
tive course takes at least twice as much time as
cates of new ideas is an effective strategy of plan-
does more conventional instruction, and teaching
ned change (E. Rogers, 1962a; Burke, 1968; Rogers
loads need to be correspondingly adjusted.
& Shoemaker, 1971).
Every significant innovation is likely to run into
Another potential source of prestigious leader-
some difficulties. There are "bugs" in the first
ship that can influence adoption can be found in
model of every invention. Support from top man-
the governmental agencies which support research
agement can be a key factor in giving the new en-
(Havelock, 1969a). They can encourage collabor-
terprise time and leeway to adjust and to survive.
ative projects between researchers, developers, and
Without sympathetic encouragement from the
users. Indeed, Havelock suggests that government
chief, the innovators usually succumb to the hos-
agencies should not only encourage research utili-
tility of opponents of the change. They leave the
zation but should insist on it by requiring that dis-
organization or lose heart in further efforts to im-
semination and utilization plans be part of the
prove. Research utilization has inevitable elements
contract in projects funded by these agencies.
of risk (R. Lippitt, 1965b), and corresponding need
Leaders or managers of an organization can best
for extra encouragement. It is realistic to keep in
assure responsiveness to changing needs and
mind that not all acceptance of innovation is en-
capitalize on emerging opportunities by non-de-
during (and in many cases it may not deserve to be
fensively inviting, respectfully hearing, and clearly
enduring). An innovation may be discontinued be-
rewarding the expression of constructively creative
cause it has been replaced by a better idea or be-
discontent; by encouraging the spirit of Thomas
cause of disenchantment with the results of the
PUTTING KNOWLEDGE TO USE
44
innovation or because of greater comfort with or
be limited to the final stage in the process of insti-
vested interest in the previously established ways
tuting an innovative program. Rather, evaluative
of performing the given function, etc. (Rogers &
criteria based on clearly specified goals and ob-
Shoemaker, 1971).
jectives should be applied in the course of innova-
A key element in the follow-through stage is
tion and be accompanied by mechanisms for
evaluation (R. Lippitt et al., 1958; Benne, 1962a;
making modifications when a program begins to go
Miles, 1964c; Watson, 1964; Bobbe & Shaffer, 1968;
off course. According to Halpert, insufficient at-
Rogers & Svenning, 1969). Innovation should be
tention is given to achieving a consensus on clearly
introduced in a way which provides for evaluation
stated goals, which, he believes, should precede
as a matter of course, and for the expectation that
research or action.
the first model will not be and need not be the last
word. The "adoption" of a recommended innova-
In one of the few longitudinal studies of organiza-
tion should not be a finished act; it should be only
tional change, Seashore and Bowers (1970) re-
the beginning of a continuing process which may
viewed the effects of an innovative program after
lead to something much better than the original
four years. The maintenance of the obtained re-
design. This recommendation of continuing search
sults may well reflect the interest in open concern
for and openess to improvements for carrying out
and willingness to evaluate, implicit in the follow-
any given function or meeting any objective is im-
ing quote from their report: "An organization ha-
plicit in the whole literature of technological de-
bituated at all levels to think about, discuss openly,
velopment and social change. It is explicit, for
and to weigh properly the full range of elements in
example, in Likert and Lippitt, 1963; E. Wilson,
the organizational system might well have unusual
1961; Watson, 1967a, 1967b; and in Lippitt and
capacities for self-maintenance and self-develop-
ment."
Havelock, 1968. It is part of the essence of John
Gardner's concepts (1961, 1964) of pursuing "ex-
The follow-through of evaluation itself, as ex-
cellence" and "renewal."
pressed in a concern with the utilization of evalua-
The evaluation of an innovation may be an im-
tion, is made the subject of a penetrating analysis
portant key to the long-range success of the effort.
by Davis and Salasin (1975). After a review of ref-
D. Campbell (1969) points out that without objec-
erences to the two terms in the literature, they cite
tive evaluation the effects of an innovation might
evidence to show a very small percentage of over-
easily be misinterpreted, and suggests ways in
lapping between the two concepts. Although there
which social reforms can be staged as experiments.
may be problems in an inappropriate fusing of the
Havelock (1970) perceives, as a segment of follow-
two functions, the authors propose that evaluators
through, the change agent's development of his
follow through in their evaluative efforts by assum-
client's continuing capacity for self-renewal.
ing more of a combined evaluator/change consul-
Halpert (1972) states that evaluation should not
tant role.
STAGES IN KNOWLEDGE UTILIZATION
45
RESEARCH-PRACTICE
LINKAGE: DISSEMINATION
AND THE CHANGE AGENT
The present section zeroes in on the problem of
Practitioner-Researcher Relationships
the linkage of knowledge with innovative practice.
Three considerations are discussed: (a) the rela-
DIFFERENCES BETWEEN RESEARCHERS AND
tion between researchers and practitioners; (b) the
PRACTITIONERS
retrieval and dissemination of information; and
Researchers and practitioners, especially in the
(c) the linking roles of change agents and change
social sciences, seem to inhabit two very different
agencies.
professional "worlds." An investigator seeking
By way of overall reference to the matter of link-
truth has a different set of values, problems, norms,
age, three large-scale studies of outstanding re-
and reference groups from those of a practitioner
search dissemination systems are first cited.
seeking to help clients. This point has been made
The National Institute of Education (1973), in
by numerous analysts of the lag between research
reporting its program for enhancing knowledge
and practice (Cohen, 1959; Guetzkow, 1959; Joint
production and utilization in education, provides
Commission on Mental Illness and Mental Health,
a chart of linkage relationships among various in-
1961; Dexter, 1965; Schoenfeld, 1965; Marquis &
stitutions representing the external resource sys-
Allen, 1966; Barbichon, 1968; Rubin, 1968). The
tem and the internal operating educational system.
extent of the distance between the worlds of re-
The former is comprised of universities, nonprofit
search and practice is reflected in one author's
institutions, profit institutions, and the federal
description of these areas as "two solitudes" (Joly,
government; the latter, of state and local educa-
1967).
tional units. Linkage and support functions, ex-
In discussing the relation of research to practice,
ternal and internal, are appropriately related to
Short (1973) describes the mismatch between the
each unit. Internal problem solving is stressed as a
knowledge produced by researchers and that re-
function linked to the several sources of research
quired by practitioners. He suggests that research-
and development information.
ers should try to understand the complex ways in
In a questionnaire study reported by Havelock
which knowledge is used in practice.
and Lingwood (1973), respondents drawn from four
Garvey and Griffith (1971) found that "pro-
research dissemination and utilization agencies
ductive" researchers in psychology are highly or-
indicated the linkages to and from persons or
ganized into small clusters that maintain continual
groups with respect to who was involved, the fre-
informal contact with each other's work. At the
quency of contact, the medium employed, the type
planning stage and while carrying out the research,
of information transmitted, and the use to which
the researcher tends to interact and communicate
the information was put. What emerges from the
only with immediate colleagues. This is followed by
data is the possibility of drawing network maps,
a series of increasingly formal presentations of the
together with a strong belief in the importance of
work, including oral reports, preprints, etc., cul-
bolstering linkage apparatus and procedures.
minating in journal article publication. The em-
For each of the four alternative model systems
phasis is on researcher-researcher contact.
for research utilization discussed in the extensive
Many researchers feel it necessary to communi-
report by Havelock (1974a), the linkage between
cate only with narrow publics of their intellectual
the research and the utilization functions is given
discipline (U. S. Department of Health, Education,
an important place. Basically, according to the
and Welfare, 1963; Marquis & Allen, 1966; Bassett
consensus of the proposed models, the research and
et al., 1968; Rosenblatt, 1968; Matheson & Sund-
the user "communities" are viewed as separate
land, 1969). As a result, the written reports of in-
problem-solving systems that require two-way
progress or completed research appearing in jour-
communication between them as a prelude to the
nals make excessive use of academic jargon pe-
event called "research utilization (RU)". Alterna-
culiar to a particular specialty (Halpin, 1962;
tive operational modes employed in the RU sys-
Kogan, 1963). The written reports are often of in-
tems vary according to the manner in which ini-
ferior quality (Schoenfeld, 1965), and hence not
tiative is carried out on the part of the researchers
very readable (Glaser & Marks, 1966). The limited
on the one hand, and the users on the other.
academic orientation of many researchers, accord-
DISSEMINATION AND THE CHANGE AGENT
47
ing to Archibald (1968), signifies their evident be-
kind of problem arises in attempts to replicate a
lief that they have completed their commitment
social experiment (Manela, 1969). It is usually im-
when they have reported to the funding agency or
possible to find a second setting which is enough
have published an article in an academic journal.
like the original to warrant the expectation that the
Joly (1967) recognizes the gap between the re-
changes just like those found in the first project
searcher's language and that of the practitioner,
should appear also in the attempted replication.
and how it may result in mutual distrust and lack
Scientists seek rigor; managers must be realistic.
of communication.
The most regrettable outcome of this difference
Rodman and Kolodny (1965) describe the re-
in viewpoint is that the problems attacked in most
search investigator as logical; the practitioner as
research studies appear trivial to most managers of
intuitive. Nagi (1965) contrasts the statistical skills
human welfare (Rosenblatt, 1968), while attempts
of the research scientist with the clinical skills of
to interpret and to apply significant research con-
the practitioner. Research attempts to discover
clusions in realistic social settings are viewed by
common patterns in a population; the clinician
most "pure" scientists as mere vulgar populariza-
views each case as unique. The scientist can live
tions (Archibald, 1968; National Science Founda-
indefinitely with the tentative and hypothetical;
tion, 1969). The general tendency of each side to
the administrator wants to act with confidence. As
stereotype, to belittle and to reject the work of the
pointed out by Likert and Lippitt (1963), the re-
other leads to avoidance and/or overt hostility
search worker asks his questions in the form of
(Schmuck, 1968). The problem is intensified when
"Why?" while the practitioner wants to know
individuals feel personally inadequate to cope with
"How?"
the latest concepts of an ever-advancing frontier of
behavioral science, be they communicating with
Similarly, the manager or operator tends to seek
practitioners, or utilizing research findings (Cohen,
a prescription-what to do (Glock, 1961). Careful
1959; Rosenblatt, 1968).
tests of credibility are commonly used in research,
In order to better understand linkage issues be-
less applied by practitioners (Flanagan, 1961). It
seems that the practitioner, in order to improve his
tween R&D professionals and decision makers in
service, is likely to interpret and apply research
highway safety, Havelock and Markowitz (1973)
findings beyond their limits of reliability and
used a questionnaire to ascertain the comparative
validity; then he may be disappointed and disil-
perspectives of the two groups. Also studied were
the attitudes of researchers (including research
lusioned.
opinion leaders, a subgroup who form a bridge be-
Practitioners tend to rely on precedent, common
tween researchers and decision makers) and of the
sense, and intuition much more than they do on
decision makers toward a series of "myths" regard-
research findings (Pellegrin, 1965; Rose & Esser,
ing highway safety. The report cites specific points
1960). The effects of this lack of appreciation for
of agreement and disagreement on the part of the
and understanding of the value of research are de-
two basic groups. For the most part, no dramatic
fined by one author who describes a vicious circle
differences in the beliefs of researchers and decision
existing in the field of education: "(a) Many educa-
makers considered as total groups were apparent,
tors do not conceive of the scientific method and
but subgroups among researchers and decision
research as being of primary significance to their
makers had distinctive viewpoints. In spite of
work; (b) this state of mind creates an atmosphere
this diversity it is possible to identify an "old
in which low priority is given to the conduct or
guard" attitude syndrome that blames the driver,
utilization of research; (c) because of low evalua-
and a "new guard" syndrome that puts more stress
tion and neglect, research continues to be a dubious
on a variety of factors, including the vehicle. The
enterprise; and (d) because condition (c) exists,
old guard are more likely to be based in industry
condition (a) is perpetuated." (Pellegrin, 1965.)
and in state and local government agencies; the
Another example of the contrast in viewpoints
new guard are more likely to be located in universi-
arises when the behavioral scientist tries to set up
ties and the federal government.
"control groups." He soon discovers that agencies
The authors found all the elements present for an
and situations vary in so many dimensions that to
effective system of research and decision making in
control all but one factor would mean to fetter and
the highway safety field but, unfortunately, do not
cripple normal operations. Managers understand-
consider them to be properly linked with one
ably resist such imposition (Nagi, 1965). The same
another.
48
PUTTING KNOWLEDGE TO USE
Drawing on experiences in working with both
COLLABORATION BETWEEN
health centers and medical schools, Beckhard
RESEARCHERS AND PRACTITIONERS
(1974) notes the clusters of perceptions, defenses,
The collaboration of research scientists and prac-
traditions, and stereotypes that impede collabora-
titioners in joint research projects appears to pro-
tion between health workers and behavioral scien-
vide the greatest potential for maximum utilization
tists. The former, for example, see the latter as
of research findings. The strength of this potential
missionaries rather than as hard scientists, as per-
stems from the fact that successful collaboration
sons seeking to introduce change for its own sake,
optimally results in research findings which are not
whereas the latter assert that health systems do not
only immediately available and understandable to
welcome their intervention and are run by doctors
the practitioner, but are relevant to the realities of
who do not respect nonmedical disciplines.
the practice situation. Havelock (1969a) points out
Using a semantic differential approach, Tiffany,
that, in many instances, the practitioner himself is
not the ultimate user but serves as linker with the
Tiffany, and Cowan (1969) had research workers,
administrators, and consultants, all of whom were
consumer (a physician's patients, for example, or a
participants in a two-day workshop, rate research
teacher's pupils).
workers, research work, administrators, and ad-
Of primary importance is the identification and
ministrative work on a seven-point scale with re-
development of a research problem that reflects the
gard to the following polarities: (a) useful-useless;
interests and concerns of those affected by the re-
(b) relevant-irrelevant; (c) action-oriented/thought
search project (Fairweather, 1967; Glaser & Taylor,
oriented; (d) active-passive; (e) visible-invisible;
1969; Havelock 1969a; Garner, 1972; Mackie, 1974;
(f) authoritative-indecisive; (g) progressive-tra-
Hodgkin, Balchum, Kass, Glaser, Miller, Haas,
ditional; (h) simple-complicated; (i) deep-shallow;
Shaw, Kimbel & Petty, 1975). Glock (1961) states,
(j) socially undesirable-socially desirable; (k) un-
furthermore, that maximal utilization is likely to
favorable-favorable; (1) acceptable-unacceptable;
occur when researcher and practitioner interests
(m) unreliable-reliable; and (n) honest-dishonest.
are parallel, such as when both share a humani-
The article presents detailed comparisons of the
tarian concern for a client group.
three groups of raters on each characteristic. On
Another basic principle is that practitioners
the whole, while consultants did not differ sig-
should be involved in all phases of the research.
nificantly from the other two groups, administra-
Once an area of research need is identified, the
tors tended to rate themselves more positively than
collaboration should continue through problem
they rated research workers. The data reflect the
formulation, study design, data collection, inter-
lack of shared values between researchers and ad-
pretation of findings, and application of the results
ministrators, and point up the need for a strong
(Croker, 1961; Kogan, 1963; Likert & Lippitt, 1963;
linking process between the two groups.
Van den Ban, 1963; Nagy, 1965; Rodman & Ko-
dolny, 1965; Halpert, 1966; Glaser et al., 1967;
Engstrom (1970) finds that there is considerable
Moriarty, 1967; Glaser, 1968; Glaser & Taylor,
evidence to indicate that part of the gap between
1969). Not only can the practitioner make signif-
research and practice is directly attributable to the
icant contributions to each of the research phases,
difference in the value systems or orientation of re-
but also effect participation of the eventual bene-
searchers and administrators, and an accompany-
ficiaries of research in its design, conduct, and
ing lack of communication between them. Halpert
evaluation. Those who have a significant part in
(1972) attributes the gap in mental health services
planning and decision making are not only better
to a failure on the part of both researchers and
informed but are more committed to making use of
mental health administrators to analyze questions
findings (Spicer, 1952; Lippitt et al., 1958; Agnew
fully before looking to research for the answers.
& Hsu, 1960; Rosenfeld & Orlinsky, 1961; Benne,
Normally the flow of communication is pre-
1962a; E. Rogers, 1962a; Zander, 1962; Costello &
sumably from the researcher to the practitioner. It
Zalkind, 1963; Dykens et al., 1964; Gardner, 1964;
might be useful to try a reverse communication
Watson & Glaser, 1965; Wiles, 1965; Niehoff, 1966;
process-informing behavioral scientists on "the
Cawelti, 1967; Chesler & Fox, 1967; Glaser et al.,
existing state of the [practical] art" (Glaser &
1967; Greiner, 1967; Howard, 1967; Likert, 1967a,
Wrenn, 1966). Gaps in existing knowledge, or un-
1967b; Watson, 1967a; Aiden & Hage, 1968; Glaser
met needs for additional knowledge, might be
& Taylor, 1969).
pointed out; subsequent research then might have
An important consideration is the need for the
more to say to practitioners.
research team to contain a representative of the
DISSEMINATION AND THE CHANGE AGENT
49
agency's top management. Fairweather (1967) and
ment of the pupils seemed to be an important
Glock (1961) emphasize that the person represent-
factor in bringing about change.
ing administration must have policymaking power.
The organization of more research around issues
Flanagan (1961) compares two studies, both of
of practical decision is a two-way process: The
which included the users in the planning, but one
practitioners should try to present their quandries
of which was better utilized than the other, and
in researchable form; the investigators should more
attributes the superior utilization to the origin of
often choose problems that have clear implications
that study with the prospective user and the great-
for practice (Lazarsfeld, Sewell, & Wilensky, 1967;
er involvement of the management.
Argyris, 1969). If research scientists spent more
Frequent honest and open communication be-
time in the field, they would better understand the
tween researchers and practitioners reduces the
situation, but they are usually reluctant to leave
likelihood of the emergence of stumbling blocks in
their laboratories. One suggestion is that sponsors
the study and enhances the chances that research
who fund projects should require some fieldwork by
findings will be put to use (Glock, 1961; Poser et
the investigators (Mackie & Christensen, 1967).
al., 1964; Fairweather, 1967; Mackie, 1974).
Field research usually has implications which can
Another important step in preventing the de-
more readily be utilized in practice (Guetzkow,
velopment of later problems is early clarification of
1959; Guba, 1968a).
practitioner and administrator expectations of the
A special need exists to increase practitioners'
research (Chesler & Flanders, 1967; Fairweather,
appreciation of good theory. Theory is too often
1967; Wolfensberger, 1969). Chesler and Flanders
seen as the antithesis of practice (Pellegrin, 1965;
(1967) suggest that it is important for the research-
Jung & Lippitt, 1966). Kurt Lewin's observation
ers to make clear to the practitioners at the be-
that nothing is so practical as a good theory war-
ginning that the outcome will not be clear dicta on
rants reiteration. Experience alone does not yield
how they should run the organization.
concepts or wisdom (Lewin & Grabbe, 1962). Too
Glaser (1973) addresses the lag between the de-
often, a piece is chosen out of a whole research en-
velopment of seemingly significant research find-
terprise and treated as an innovative "gimmick"
ings and their cross-validation, dissemination, and
apart from the theory which makes it meaningful
ultimate utilization. Intensive and supportive joint
(Dexter, 1965). Goldin et al. (1969) recommend
action is advocated between researcher and funding
that training be designed for practitioners which
agency to facilitate effective, end-product utiliza-
would focus on the understanding and application
tion, and a number of specific strategies are ad-
of research results. On the other side of the coin,
vanced. Case material from an ongoing demonstra-
they also suggest that the training of researchers
tion project is presented to illustrate how research
should include content on the principles of research
utilization can be strengthened through a collabor-
utilization with emphasis on the psychosocial as-
ative partnership among funding agency, research-
pects of innovation and change. Wolfensberger
ers, linking agents, administrators and potential
(1969) recommends that before supporting intra-
users.
agency research, the administrator engage in self-
Research is also more likely to proceed smoothly
scrutiny concerning his own attitudes toward re-
when, before starting the project, there is a very
search, what are sanctified areas in his own
explicit understanding between researchers and
agency in which he cannot tolerate investigation,
agency administrators regarding reciprocal re-
how well his agency can survive controversy, and
sponsibilities (Fairweather, 1967; Glaser & Taylor,
how prepared he is to absorb a divergent, non-con-
1969).
formist creative researcher.
Collaboration between scientist and practitioner
For each of a series of barriers to collaboration
need not necessarily take the form of a joint re-
between social scientists and community social
search project. For example, in studying the op-
work practitioners, including such considerations
timal conditions for implementation of existing
as communication difficulties, interprofessional
educational research into classroom practice, Eash
conflicts, and methodological assumptions, Roth-
(1968) favors a "coaction" model which engages the
man (1974) proposes "action guidelines" designed
researcher and practitioner in a mutual problem-
to achieve increased collaborative results.
solving task. Interestingly, both case studies used
Information Retrieval and
to support this model involved the participation of
Dissemination
not only the practitioners (teachers), but the con-
The transmission of knowledge from producer to
sumers (pupils) as well. The additional involve-
user may be viewed either from the vantage point
50
PUTTING KNOWLEDGE TO USE
of the user in search of needed knowledge or from
The issue of active promotion versus passive dis-
that of the producer seeking to make knowledge
semination is referred to by Wright (1966), who re-
available to potential users. The process as a whole
ports on a two-phase program of the Office of In-
entails the interaction of the two thrusts.
dustrial Application (OIA) at the University of
An earlier section of this document treats of the
Maryland which seeks to study the transfer of tech-
search for pertinent information on the part of the
nical information to industry from the National
user. The present section principally considers the
Aeronautics and Space Administration (NASA).
dissemination of knowledge via the several trans-
OIA examined the factors that impede and those
mission media.
that facilitate such transfers. Findings indicate
Nonetheless, the user is not out of the picture in
that a critical point in the transfer and utilization
the consideration of dissemination media. Thus,
mechanism is frequently the personal interaction
the matter of targeting information toward specific
between the intended user and the innovator.
audiences to serve distinctive needs has received
Major reasons for rejection and inaction, accord-
the attention of investigators, for example, Magisos
ing to Wright, were technical and associated with
(1971) and Crowe and Madancy (1974). In a
indeterminate applicability and uncertain market
number of studies, questionnaires have been sub-
potential. Almost eight times as much interest was
mitted to various categories of potential users of
generated by the possibility of improving an exist-
research or knowledge to ascertain their needs.
ing product or process as by the chance of acquiring
Sieber, Louis, and Metzger (1974) report on the
a completely new addition to the inquirer's pro-
procedures and problems of retrieving and trans-
cesses and products.
mitting information from educational sources (e.g.,
ERIC) by means of field agents assigned to two
PRINTED MATERIALS
rural-area and one urban-area school systems as
While not the only source of knowledge, printed
part of a pilot state dissemination program. The
materials represent a voluminous repository.
authors note three aspects of the success of the
Responding to the need to bring selected materials
agency program: (a) the program developed a
to the attention of users, disseminators have recog-
model for future extension and retrieval programs
nized the importance of periodic readable reviews
in education; (b) field agent generalists were shown
to be superior to subject-matter specialists; and
of relevant literature (Kadushin, 1964; Halpert,
1966; and others). H. Klein (1968) reports on a Mis-
(c) the majority of clients in all areas (76-90 per-
souri system which condenses new findings in men-
cent) not only expressed the intention of using the
service again, but also recommended it to others.
tal health, translates them into lay language, and
To be effective, the disseminator needs to be
makes them available to mental hospital workers.
Another report (Matheson & Sunderland, 1969)
sensitive to the stages through which a message
describes how a central information agency sent
goes as the receiver reacts to it. In this regard,
notices followed by photocopies of published reports
Paisley (1969) distinguishes the following ten
to individuals according to their stated field of
stages through which a message progresses:
1. Awareness that a message is being sent.
interest. Individuals using the dissemination ser-
2. Attention: the receiver tunes in.
vice reported a dual benefit: to themselves in terms
3. Exposure: transference via the receiver's
of time conservation, and to colleagues to whom
sense organs.
they passed on pertinent information. NIMH's
4. Comprehension: cognition as to what is be-
recent initiation of the publications Mental Health
ing communicated.
Digest, Innovations, and Evaluation is but one
5. Retention: the message is kept-or lost-in
example of an effort to provide mental health
competition with other messages.
workers with needed information. NIMH also pub-
6. Motivation: potential for acceptance.
lishes Information Sources and How To Use Them
7. Pretrial evaluation: judgment as to whether
(prepared for NIMH by the Human Interaction
to put it to use.
Research Institute) as an aid to locating new know-
8. Trial: tentative tryout of idea.
ledge in the literature.
9. Posttrial evaluation: examination of the re-
sults of the tryout.
Hodgkin et al. (1975) have developed a model for
10. Complete adoption: use of the idea after de-
preparing state-of-the-art papers that involve a
cision to adopt it.
large (8-9 person) writing team of knowledgeable
It is evident that the mere sending of a message
and eminent researchers-practitioners in a specific
does not automatically assure acceptance and ap-
field, who in turn iteratively invite successive
plication.
groups of knowledgeable others to critique drafts of
DISSEMINATION AND THE CHANGE AGENT
51
the paper, until the version finally considered satis-
recommends applying relatively active modes of
factory for publication is submitted to the entire
dissemination to carefully selected targets, such as
profession for their invited critique, leading to
following up the persons to whom a monograph had
another revision into the final booklet for wide dis-
been mailed with a questionnaire requesting their
tribution.
reactions to the report and its findings (Goldin et
Information sources such as these do not force
al., 1969). This contrasts with the more common
decisions on the user; they merely provide him with
practice of sending out a research finding, via an
knowledge that may aid his decision making.
article or monograph to the world in general
There also have been efforts on the part of aca-
(Archibald, 1968). Retrieval systems can be de-
demic groups to publish somewhat popularized
signed to bring each practitioner the information
renditions of research findings. Scientific American
best adapted to his needs (Kadushin, 1964;
is one example. An early instance in the social sci-
Thomas, 1964; R. Lippitt, 1965b; Schoenfeld,
ence field is the Journal of Social Issues, published
1965; Mackie & Christensen, 1967; Cady, 1968;
by the Society for the Psychological Study of Social
H. Klein, 1968; Matheson & Sundland, 1969).
Issues, which was founded in 1936 to serve a mid-
One suggestion for improving reports is that they
dleman function between research psychologists
should not begin with the usual review of the litera-
and public officials.
ture, but should capture the interest of practition-
Other publications appeared later in sociology
ers in their first few pages, stating problems in
and anthropology. In the mid-sixties several jour-
forms the user will recognize as familiar, and per-
nals were launched to convey to practitioners as-
haps summarizing some main findings (Goldin et
pects of behavioral science research which might
al., 1969). Some consultants to a college adminis-
prove useful to them; notably, Society (formerly
tration who reviewed how many of their recom-
Trans-action); Journal of Applied Behavioral
mendations had been followed a year later found
Science; Journal of Human Resources; Social
that (a) major points should have been put at the
Policy in the Public Interest; Policy Sciences;
beginning rather than at the end of their report;
Public Interest; Human Behavior; and Psychology
(b) too many minor recommendations had been
Today. H. Klein (1968) sees a need for a pocket-size
made, which lessened the impact of their main
magazine, as readable as the Readers Digest, to tell
findings; (c) there should have been a more careful
social workers what the scientists have recently
appraisal of the costs (in time as well as money) of
been discovering.
the innovations proposed; and (d) the bulky appen-
dix was a liability (E. Wilson, 1961).
IMPROVED REPORTS
The publication of research findings does not
A study of the readership of two research mono-
necessarily result in the widespread absorption of
graphs (relevant to rehabilitation) led to the con-
these findings by practitioners. It is estimated that
clusion that most readers who made any use of the
half the articles in "core" scientific journals are
findings did so in some speech rather than in any
each read by no more than 200 persons, although
modification of agency practice (Goldin, Margolin,
distribution of preprints and reprints augments
& Stotsky, 1969).
this total exposure (Garvey & Griffith, 1964a).
Research reports are seen as more useful if they
Monographs, like books, usually attract the more
are brief and readable (Glaser et al., 1967; L. Carter,
academic reader and have a limited distribution.
1968a). The vocabulary of the specialist needs to be
Thus, the potential for dissemination of new know-
translated into lay language (Dahling, 1962; H.
ledge through the professional literature appears
Klein, 1968). The same finding has more impact if
limited because of the relatively small size of the
it reaches the practitioner several times in slightly
audience in proportion to the actual number of
differing forms (U.S. Department of Health, Edu-
practitioners in the given field.
cation and Welfare, 1963; Halpert, 1966; Garvey &
An article by Greenberg (1967) reveals limited
Griffith, 1967a, 1971).
use of NASA materials by commercial firms in cer-
A report is more effective if it focuses directly
tain areas, as reported by the Denver Research
and explicitly on a decision which the professional
Institute's report "The Channels of Technology
or manager must make (Glaser, 1968; Rosenblatt,
Acquisition in Commercial Firms and the NASA
1968). It is important to get the right bit of informa-
Dissemination Program". Surveys were conducted
tion to the right person at the right time (Paisley,
of 62 firms in four industries-electric batteries,
1968).
printing and reproduction, industrial controls, and
The New England Rehabilitation Institute
medical electronics-and 11 "vocational-technical
52
PUTTING KNOWLEDGE TO USE
schools". Few, if any, of these organizations were
9. Pretest the coherence and credibility of the
vigorously seeking to utilize directly the vast out-
communication in draft form before it is put
pouring of science and technology that the federal
in final form.
government is underwriting. Instead, the tech-
One should, however, have realistically limited
nologist with a problem is inclined to fall back on
expectations of the effectivenss of even good reports
the standard manuals and textbooks with which he
in gaining acceptance for an innovation; at best,
is already familiar. Government publications are
they stimulate interest; rarely do they create active
not perceived as major channels for acquiring
advocacy, particularly if the innovation presents
technological information. The preferred channels
discernible difficulties (Glaser & Ross, 1971).
were found to be professional journals and face-to-
Time-lag is another deterring factor with regard
face contacts, especially in conventions and sym-
to published reports. A logjam exists in the formal
posia. Highly specific subject matter conferences
communications system; i.e., the flow of informa-
were valued most.
tion through the professional journals. The process
Dissemination to practitioners is further hindered
between the generation of a research development
by the fact that research reports are usually read
and its appearance in professional journals and
and used by other researchers; seldom by practi-
abstracts can consume months or even years (B.
tioners (Havelock, 1969b). Roberts and Larsen
Kaplan, 1958). In the field of psychology, for exam-
(1971) report that few mental health practitioners
ple, Garvey and Griffith (1967a) found roughly a
make any large-scale and systematic effort to un-
nine-month delay between submission of a journal
cover research results which could serve as a basis
article and its publication. Moreover, considerable
for change; instead they rely heavily on contact
time may elapse between the completion of a study
with colleagues to stimulate innovation. Further,
and development of a manuscript for journal publi-
most innovations which are adopted emerge from
cation. Once submitted, the scarcity of journal
the work experience of practitioners rather than
space often results in rejection of the article (B.
from research results. Practitioners tend to be
Kaplan, 1958).
"doers" and not "readers"; hence, they tend to rely
The common delay in research publication may
more on oral communication than on publications
not always be bad. Delayed formal publication has
(Halpert, 1966; Paisley, 1968). This difference in
the merit of being monitored or filtered information,
information-seeking behavior between researchers
which, when selectively cited in such reviews as the
and practitioners leads us into another major dimen-
Annual Review of Psychology perhaps two or three
sion of the research utilization problem.
years after publication, achieves acceptance as part
One of the problems with most reports of research
of the pool of recognized knowledge. Garvey and
is that they strike the practitioner as unaware and
Griffith (1971) note the different functions of for-
unappreciative of what already has been achieved.
mal and informal information transfer in psychol-
The reader will be in a more receptive frame of
ogy, viewed in terms of the published report and
mind if the report begins by recognizing the suc-
the working paper or technical report respectively.
cessful work that has already been done (Likert &
The authors consider the working paper important
Lippitt, 1963).
because it often gives the most detailed account of
Techniques of communication designed to influ-
procedures, instruments, etc., and, because it is
ence the behavior of others are summarized in a
informal, it permits the researcher to speculate and
number of studies of attitude, advertising, and
to theorize more than does the published article.
propaganda (Hovland et al., 1953; Katz & Lazars-
feld, 1955; Schramm, 1963; Watson, 1966). Among
PEOPLE TO PEOPLE
the techniques empirically found to be effective are:
Most practitioners learn mainly from face-to-face
contact with other people (D. Clark, 1962; E. Rogers,
1. Identify the communicator with his audience.
1962a; Coleman et al., 1966; Niehoff, 1966; Have-
2. Present the communicator as trustworthy.
3. Use positive reinforcement rather than threat.
lock & Mann, 1968; Rubin, 1968; Roberts & Larsen,
4. Suggest that people of prominence and influ-
1971). They learn most readily from "influentials"
ence agree.
in their profession (Watson, 1966; Lazarsfeld et al.,
5. If objections are likely to arise later, it is more
1968; M. Becker, 1970b); from persons with conta-
effective to take account of them at once.
gious enthusiasm (Bowman, 1959); and from those
6. Combine logical and emotional appeals.
with whom they feel easy rapport.
7. Use pictures as well as words.
Tracing the diffusion of knowledge of a new
8. Repeat, reiterate, say it again.
hybrid seedcorn and of a new antibiotic, E. Katz
DISSEMINATION AND THE CHANGE AGENT
53
(1961) found that information moved through pre-
tions among scientists, Swanson (1966) urges that
viously established channels of personal communi-
informal information practices be aided and ampli-
cation. Salesmen played an important role, but,
fied, first by identifying the information-exchang-
"Commercial sources inform; informal (neighbor,
ing groups, and second, by improving and expand-
professional colleague) sources legitimate." (Also
ing the selective communication systems within
Ryan & Gross, 1943).
these groups, with a high level of feedback to check
Crane (1970) notes that the use of formal or infor-
on the value of the information dissemination.
mal channels of information by scientists depends
Swanson states that as much as 85 percent of useful
on whether they are searching for knowledge in their
scientific information is exchanged informally be-
specialized area or outside of it. The scientific liter-
fore the usual bibliographical sources are consulted
ature itself is seen as consisting of tightly knit cores
to ascertain whether or not published information
which the scientist explores through directive search-
is available. A future information system should
ing for specialized and specific information. Links
seek out its customers. Its activity should be di-
to other cores result from random searching. How
rected and purposeful, and should have continuous
information moves from one group to another, the
feedback of its own actions.
phenomenon of "scatter of knowledge", which the
author regards as necessary for cross-fertilization,
DEMONSTRATIONS AND VISITS
is revealed in studies of "invisible colleges", an
Many innovations are most convincing when
"elite of mutually interactive, productive scientists
demonstrated (Niehoff, 1966). One suggestion is
in an area". Crane recommends that isolated scien-
that the added cost of such a demonstration project
tists be brought into closer contact with scientists
be built into the funding of a research proposal
who are the foci of communication networks.
(U.S. Department of Health, Education, and Wel-
Rosenbloom and Wolek (1970) distinguish between
fare, 1963; Glaser & Wrenn, 1966). It has been
formal information sources (principally the pub-
found, however, that most observers who visit and
lished literature) and informal sources. They note
admire radical innovations of experimental schools
that professional orientation is usually associated
and colleges do not adopt them (Watson, 1964).
with the use of formal sources, whereas mission
They see their own situation as basically different.
orientation is related to the employment of informal
Visits to situations very like those in which the
ones. The authors suggest that managers should
visitor works back home, but where something new
exert effort toward the linking of professionally
is being done, have greater transfer value (Costello
oriented and mission-oriented activity.
& Zalkind, 1963; Brickell, 1964; Miles, 1964d; R.
After reviewing relevant literature on factors
Lippitt, 1965b; Wiles, 1965; Cawelti, 1967; L. Car-
related to the successful transfer of R&D findings,
ter, 1968b; Mackie & Christensen, 1967). Glaser
Glaser (1973) concludes that, at least in some fields,
and Ross (1971) found that a site visit sometimes
the greatest single means for increasing information
engenders enough advocacy so that the visitor may
may be personal interaction, and that the strategic
aggressively sponsor the innovation when he gets
contact is the "gatekeeper", or well informed col-
back to his home agency. Such sponsorship prob-
league. Roberts and Larsen (1971) report a similar
ably would be more productive if two or more per-
finding. Obviously, the process of consultation
sons from the same agency visited the demonstra-
places major emphasis on person-to-person com-
tion site and thus could reinforce each other upon
munication, as is noted in G. Caplan's (1970) trea-
return to their own setting. Exchange of profes-
tise on mental health consultation, which discusses
sional workers would facilitate this kind of diffusion
this mode of knowledge and judgment transmission
(Cady, 1968), as would more released time and
in great detail.
travel funds.
Parker and Paisley (1966) report that research
Richland (1965) reports a traveling seminar,
workers depend heavily on informal information
arranged by the System Development Corporation
networks: interpersonal systems, "accidental"
for 120 educators. After visiting schools where var-
acquisition of useful information, "inefficient" and
ious innovations were in operation, the tour mem-
"irrational" information seeking, etc. Accidental
bers had a day together to review, discuss, and
discovery of information in stimulating environ-
generalize their observations. The project was eval-
ments, with many dissimilar colleagues, unre-
uated by visits one year later to the schools con-
stricted long-distance telephoning and travel, is
ducted by these educators. In comparison with
especially useful to applied scientists.
plausible control schools, the tour participants had
Writing about the improvement of communica-
introduced many more innovations.
54
PUTTING KNOWLEDGE TO USE
Glaser and Wrenn (1966), following the model so
other centers are more likely to consider innova-
successful in the work of agricultural county agents,
tions than those which do not support such contact,
suggest that where possible, demonstrations be set
appropriate written material and outside consul-
up within some influential institutions which might
tants add to the likelihood of carrying forward the
profit by adoption of the innovation. Another pro-
innovative process.
posal is that pilot laboratories be established and
assigned responsibility to try out development
based on recent research, and to publish practical
CONFERENCES AND SEMINARS
operating guidelines for use by other institutions
Personal contact between potential users and
(Engstrom, 1969).
innovators may be a crucial condition for the opti-
Rein and Miller (1966) point out that in the area
mal dissemination of new ideas (Glaser et al. 1967).
of social action, demonstration projects often serve
Conferences in which research reports are pre-
to postpone change rather than to facilitate it. They
sented and discussed with practitioners are more
do, however, suggest that success of demonstration
influential than publications or other one-way
efforts can be enhanced by better planning with
reports (Glaser & Wrenn, 1966; Halpert, 1966;
regard to the kind of influence a project is intended
Chesler & Fox, 1967; L. Carter, 1968a; Engstrom,
to have, the target group to be influenced, and how
1969). A good illustration of the use of a conference
influence will be exerted. Similarly, R. Lippitt and
is the report by Glaser (1968) on promoting the use
Butman (1969), in a study of mental health demon-
of systematized care programs for chronic obstruc-
stration projects, reported that all projects need to
tive pulmonary disease. In another study, Glaser et
have more awareness of the needs of potential adop-
al. (1967) report the effectiveness of a combined
ters and the means to assess and evaluate ways of
conference/site visit approach.
communicating with them, and that projects need
Cooper and Archambault (1968) report the suc-
help with planning and carrying out spread activ-
cess of a conference conducted in two parts sepa-
ities.
rated by a 4-month period during which reading
In a major study supported by the National Insti-
lists and materials were distributed. They also
tute of Mental Health, the American Institutes for
reported that providing the participants with an
Research (AIR) (Larsen, Arutunian, and Finley,
opportunity to determine the program for the sec-
1974) provided expense-paid visits to be made by
ond part of the conference increased their involve-
community mental health center staff to other cen-
ment with the issues being considered.
ters to determine the effect upon innovation of (a)
Spooner and Thrush (1970) found that an inter-
site visitation alone as compared with (b) the trans-
agency conference regarding a particularly success-
mission of pertinent written material and (c) the
ful innovation, during which implementation plans
concurrent use of consultant assistance along with
were worked out, with personal follow-up, aided
site visits. A careful experimental design was em-
appreciably in the dissemination of the particular
ployed as well as thoroughly prepared question-
findings and was instrumental in initiating institu-
naires and interview schedules. The written mate-
tional change.
rial was specifically designed to encourage innova-
Garvey and Griffith (1967a) recommended that
tive programs in mental health services.
the effectiveness of conferences would be enhanced
The researchers reported that staff reaction to all
by advance distribution of papers to be presented
three diffusion techniques was extremely positive,
to interested participants.
ratings of "useful to some degree" ranging from 86
Conferences have a two-way impact (Nagi, 1965).
percent for the consultant's visit to 94 percent for
Practitioners face up to the implications of research
the site visit. As to preference regarding type of
findings but researchers also profit from the feed-
diffusion technique, 79 percent indicated preference
back from those who would like more practical
for interpersonal techniques as against 19 percent
assistance.
for written techniques, with 2 percent citing other
Havelock and Markowitz (1973) found that well-
techniques. The improvement of methods of com-
organized topic-centered conferences on highway
municating information about new practices to
safety matters were a key element in binding to-
capture user interest was undertaken in a collabora-
gether this applied R&D community. Such meet-
tive effort of NIMH and AIR to develop Innovations
ings were heavily attended both by R&D opinion
as a publication dedicated to the description of inno-
leaders and by key national decision makers. Thus,
vative programs. It was evident from the study
they were a major factor in linking research to
that, while centers which encourage staff visits to
practice.
DISSEMINATION AND THE CHANGE AGENT
55
MASS MEDIA
Agency to achieve technology transfer in the matter
The media of mass communication have not
of municipal waterwaste treatment facilities, as
often been utilized to convey research findings.
described by Crowe and Madancy (1974). The total
These media reach too broad a public, and there is
program, whose success has been demonstrated, in-
not enough opportunity for feedback, with give-
cluded seminars; publications in the form of design
and-take (Niehoff, 1966). Paisley (1968) observes
manuals, technical capsule reports, seminar publi-
that ideas are more likely to be accepted if they
cations, handbooks, process brochures, project bro-
come via respected channels, but that actual appli-
chures, newsletters; audiovisual media, including
cation of innovative ideas depends more on ease of
technical videotapes and nontechnical films; and
use than on the medium.
presentations at professional conferences.
Mass media are helpful in making many aware
As part of an overall plan for achieving research
of a problem or new approach; interpersonal com-
utilization, Lippitt, in a report by Havelock (1974a),
munication can build more credibility (E. Rogers,
suggests the following implementation mecha-
1962a; Menzel, 1966c; Rogers & Svenning 1969).
nisms:
An informative review of "powerful research tra-
1. Conference of technical resource people.
ditions" relative to mass media is provided in an
2. A technical resources panel on a regional basis.
article on communication and social change by
3. An advisory committee.
Westley (1973). Among the "traditions" discussed
4. Telephone contact.
is research on the diffusion of innovations. Of par-
5. A regional interagency exchange-of-practice-
and-planning meeting.
ticular interest is an account of research on the
6. Annual visiting committees.
relative effectiveness of mass media versus inter-
7. Annual regional conference.
personal communication as manifested in diverse
8. National products report.
social settings. Although mass media and inter-
It is evident that a diversified approach emphasiz-
personal communication are not competitors in
ing interpersonal contact is favored.
persuasion but rather supplementary to one another,
In surveying information needs and uses in
the role of interpersonal communication is often
science and technology Herner and Herner (1967)
the critical force in many social settings.
referred to studies which themselves utilized a vari-
MULTIPLE METHODS
ety of information-seeking techniques. These in-
cluded: reference to diaries and other records,
It is apparent that dissemination efforts are fre-
observation, interviews, questionnaires, biblio-
quently not limited to a single medium. The present
graphic reference, and combination techniques.
section cites but a few of the many examples of
Similarly, in surveying information needs in edu-
multiple methods.
cation, Paisley (1972), as previously noted, em-
The channels of communication are not mutually
ployed a variety of methods: state questionnaire
exclusive and several together are likely to have
surveys, a follow-up investigation of educators who
more impact than any one alone (Menzel, 1966c;
had requested information from central and local
Havelock, 1970). Designs for communicating sig-
information centers, a collation of views of "infor-
nificant research findings may include a combina-
mation specialists", a "hotline" facility whereby
tion of T-groups to improve mutual trust, factual
educators across the country call a long-distance
presentations, discussion, brainstorming, role play-
toll-free number for information, and a monitoring
ing, and planning for action.
of topics in educational serial publications.
The concept of multi-media packaging of social
Other illustrations of multiple strategies, to-
science knowledge for dissemination purposes has
gether with their effects, will be found in Glaser et
been developed by Manpower Science Services,
al. (1967) and Fairweather et al. (1974), as noted in
Inc. (1974). In devising a manual on role modeling
Chapter II.
and role playing, for example, the agency assembled
a set of audiotapes, workbooks on simulation, and
Change Agent Linkage
a multi-media collection of workshop materials on
group leadership techniques. The preparation of
Of all the suggestions for obtaining research
the package is based on a model comprising infor-
utilization, the establishment of a linkage mech-
mation retrieval, communication, diffusion, and
anism in the form of a change agent or agency is the
adoption principles.
most strongly advocated by many writers. Linkage
A "total dissemination push" is illustrated in the
is basically a series of two-way interactions that
efforts of the U.S. Environmental Protection
connect user systems with resource systems (Have-
56
PUTTING KNOWLEDGE TO USE
lock, 1969a). The articulating force can either over-
Common to most of the job-portraits of the mid-
lap the two sides, or bridge the gap between the
dleman is an analogy with the outstanding achieve-
researcher and the practitioner (Bhola, 1965a).
ments of the county agent in linking agricultural
Suggestions concerning the affiliation or position of
science to farm practices (D. Clark, 1962). Earlier
the person(s) providing the linkage function range
attempts to improve farming by well-edited bulle-
from having an individual within the organization
tins and excellent State college demonstration
serve this purpose, to the development (as in agri-
farms did not bring much change in the practices
culture) of individuals or groups whose mission is
of the average farmer. The genius of the county
that of translating research and helping practi-
agent was that he lived close to his clients and ran
tioners to adapt it to their situations, operating
the kind of homey local demonstration projects
from outside the organization. In either case a
which utilized well-known and well-trusted neigh-
"middleman" objective is served.
bor farmers.
Havelock (1969a) asserts that the notion of the
CHANGE AGENT ROLES AND FUNCTIONS
change agent is moving away from that of the agent
Concept of the change agent. The titles which
as the conveyor of new facts, innovations, and re-
are used for "middleman" vary and suggest differ-
search, as in the country agricultural agent model,
ent concepts. Among the earliest was social engi-
toward a concept of the agent as consultant, facili-
neer (Watson, 1945; Guetzkow, 1959). R. Lippitt
tator, and catalyst. This would imply that the mid-
(1965b) suggested linking agent. Schwartz (1966)
dleman would be serving much broader objectives
called for a popularizer and suggested the name
than simply the spread of information and its link-
knowledge linker. A frequently used name for the
age to practice.
middleman role is that of change agent (E. Rogers,
The central focus of the volume by Lazarsfeld et
1962a). Mackie and Christensen (1967) and also
al. (1967) is the problem of collaboration between
Mackie (1974) used research translator and also
clients and sociologists. The two central issues that
learning engineer. Archibald (1968) favors applied
the authors analyze are: (a) difficulties of trans-
behavioral scientist while Riley, Hooker & Masar
lating practical issues into research problems; and
(1968) and Engstrom (1969) prefer research utiliza-
(b) unavoidable intellectual gaps between research
tion specialist (RUS). Glaser (1973) suggested
findings and advice for action. The authors envision
knowledge utilization specialist (KUS) on the
a new profession developing that may be considered
ground that many superior practices or procedures
a third force, in the form of a middleman who
for meeting given problems arise from the creative
mediates between the sociologist and the client.
efforts of practitioners or responders to the prob-
This person would be able to understand the social
lem, not necessarily from research. Such demon-
scientist and be well acquainted with the practical
strations, if replicable in diverse settings, constitute
problems of the sponsor. Most of all, he would have
credible knowledge rather than research findings
the talent and the training "to take the knowledge
per se.
which is delivered to him and to draw more conclu-
Croker (1961), considering utilization of research
sions from it than could either of the two partners
by military personnel, suggests that officers be
upon whom we have concentrated so far."
trained to be quasi-social engineers. Glaser et al.
Practitioners (who may be citizen groups) are
(1967) speak of a missionary to assist potential
conceived in the role of the change agent by Roth-
users in relating to some promising, research-
man (1974), who attempts to depict the social
validated demonstration project findings. Glaser
change roles of social work professionals, of para-
and Wrenn (1966) refer to a human link between
professionals, and of lay groups.
the researcher on manpower issues and the policy-
The functions of the middleman are numerous
makers. They envision also a change aid team
and tend to vary according to the nature of the role
which might go to any city or institution to help in
which is assumed. Havelock (1969a), in a typology
the process of implementing research results by
of knowledge-linking roles, suggests the following
system changes. The use of a consultant in this
possible functions: conveyor (transfers knowledge
middleman role is proposed by Lippitt and Have-
from producers to users); consultant (assists users
lock (1968). Havelock (1969b) suggests the value of
in identification of problems and resources, pro-
further development of human resources banks
vides linkage to appropriate resources, assists in
which might enable agencies or change agents to
adaptation to use, serves as facilitator, objective
locate experts who could select and interpret re-
observer, process analyzer); trainer (instills in the
search, and could assist in the processes of change.
user an understanding of an entire area of know-
DISSEMINATION AND THE CHANGE AGENT
57
ledge or practice); leader (effects linkage through
greater in treating new issues than in resolving old
power or influence in one's own group); innovator
ones, and that increasing interdependence among
(initiates diffusion in the user system); defender
groups also can breed hostility and disruptive con-
(sensitizes the user to the pitfalls of innovation,
flict.
mobilizes public opinion, public sensitivity and
R. Lippitt (1962) identifies seven phases of the
public demand for adequate applications of scien-
change agent's activities: (a) the development of a
tific knowledge). Havelock sees marginality and
need for change; (b) establishment of a consulting
overload as the endemic problems of the linking
relationship; (c) clarification of the client problem;
role.
(d) examination of alternative solutions and goals;
The linker operates between the resource system
(e) transformation of intentions into actual change
and the client system and serves both a knowledge/
efforts; (f) generalization and stabilization of a new
education function and a motivation function
level of functioning or group structure; (g) achiev-
(Bowman, 1959; Benne, 1962a; Havelock, 1967a;
ing a terminal relationship with the consultant and
Sieber et al., 1974). The role of the middleman may
a continuity of changeability.
take several forms: technical, professional, or ap-
Bennis and Schein (1969) suggest that the role of
plied scientific. Whether an applied-oriented
change agent includes the following elements: He is
scientist or a theory-oriented practitioner, he must
a professional, guided by certain ethical principles,
understand the ongoing change process in the
and acting in the client's interests rather than his
organization, and must present himself in such a
own; he is marginal, without formal membership in
way as to be credible (Halpin, 1962; Dykens et al.,
the target system and often without the immediate
1964; Gallagher, 1965; Lundberg, 1966).
supporting presence of colleagues; his role is am-
In comparing five change models (identified in
biguous, not widely understood, often lacking in
Chapter V), Sashkin, Morris, and Horst (1973)
legitimacy and credibility, sometimes viewed with
place particular emphasis on the change agent's
suspicion and hostility; his role is insecure-he
linking function, i.e., his mode of handling infor-
may be considered expendable, there are few guide-
mation and data. For example, in the research,
lines for his actions, and he is almost certain to
development, and diffusion model the key ques-
encounter resistances; and his role is potentially
tion is: how can the disseminator identify the user
risky, both to the target system and to his profes-
population and select a means of communication
sional status.
that will result in acceptance of his information;
Havelock (1970) weighs the relative advantages
whereas in the action research model the change
of the internal change agent versus the outside
agent tends to fuse with the researcher in an on-
consultant. The former has immediacy in his know-
going interaction between knowledge production
ledge of the problems and has commitment; the
and user needs. What this analysis signifies is that
latter is more likely to have perspective and exper-
a discussion of change agent functions and roles
tise. The insider may be handicapped by past
should be qualified by the prevailing change model.
enmities, the outsider by being perceived as a
Functioning of the change agent. According to
stranger.
Blake, Mouton, and Sloma (1969), labor-manage-
Mackie (1974) stresses the importance in in-
ment conflicts and cleavages may be converted
creasing application potential of (a) collation and
into a problem-solving approach on both sides by a
interpretation of research; and (b) the translation
change agent team involving management and
of research into practical terms. He considers the
labor in face-to-face confrontation. An educational
especially trained middleman as essential to the
laboratory was held based on behavioral science
performance of these two activities.
concepts. Eight phases of the conflict-resolving
The job of the change agent, then, would appear
process were included: orientation of participants
to be difficult and demanding. According to Bennis
to the laboratory; intergroup development of self-
and Schein (1969), the competence of the change
image and counter-image; exchange of images by
agent should encompass: conceptual diagnostic
management and union; clarification of image;
knowledge cutting across all behavioral sciences;
intragroup diagnosis to achieve self-insight and un-
knowledge of theories and methods of organiza-
derstanding; consolidation of key issues; and plan-
tional change; knowledge of sources of help; orien-
ning for the next steps. The authors conclude that
tation to the ethical and evaluative functions of the
correcting a situation of long-term, chronic hostility
change agent's role; possession of operational and
requires continuous and diligent follow-up efforts.
relational skills; recognition of his own motivations.
They also found that the impact of the sessions was
In a paper designed to develop a model of change
58
PUTTING KNOWLEDGE TO USE
management that might provide change agents
Distinctions as to types and levels of change that
with a managerial approach in directing social
may be of concern to change agents are referred to
change, Kaufman (1972) presents, with charts, a
by several authors. For example, Morgan (1972)
change management system that comprises organi-
distinguishes among four types of change: (a) in
zational, communications, and change target sub-
technology; (b) in working methods; (c) in organi-
systems.
zations; and (d) in people.
Burke and Schmidt (1971) point out that the
Beckhard (1975) differentiates among organiza-
change agent may function in the development of
tional targets that may be stressed by a consultant
either the organization or the manager. They assert
by listing the following ongoing social processes
that staff requirements are more severe in the case
that may be affected:
of the former; the practice of organizational devel-
opment requires a wider range of skill and know-
1. Interaction among individuals.
ledge than does the development of management.
2. Interaction among groups.
Consultation. Beckhard (1971) describes the
3. Procedures for transmitting information,
making decisions, planning actions, and set-
process of consultation as entailing: (a) initial con-
ting goals.
tact by the client system; (b) defining the problem
4. Strategies and policies guiding the system, the
and establishing the relationship; (c) planning the
norms, or the unwritten ground rules or values
first action steps; (d) assessing the facts; and (e)
of the system.
replanning and reestablishing the relationship. As
5. Attitudes of people toward work, the organi-
a result of experience in a given case situation, he
zation, authority, and social values.
concluded that:
6. The distribution of effort within the system.
1. It is necessary to establish a relationship with
He also distinguishes between early intervention
the several parts of the system before any
and maintaining change. In the former aspect, he
effective problem solving can get under way.
suggests a number of possibilities as to where or
2. It is important to establish a climate and pro-
cedures for feedback, both between the helper
how to start, such as: with the top team in the sys-
and the client system and among the parts of
tem, with a pilot project, with hurting systems,
the client system.
with the reward system, with educational interven-
3. The readiness and capacity of the client sys-
tions, and the like. An organization-wide confron-
tem to change needs to be assessed by the con-
tation may prove helpful in determining the first
sultant.
steps toward improvement.
4. Since the change situation is primarily one of
With respect to maintaining change in a large
learning, the consultant should create condi-
system it is necessary to have conscious procedures
tions that favor learning.
and clear commitment. Among a number of inter-
5. Help offered should be in terms of client, not
ventions that are possible at this stage, perhaps the
consultant, need.
most important single requirement is for a con-
6. The consultant should be able to withdraw
from the relationship, if necessary, to permit
tinued feedback and information system, including
independence.
such elements as: periodic team meetings, organi-
7. Provision should be made for evaluation.
zational meetings to sense needs, problems, op-
Argyris (1969) analyzes the often tenuous posi-
portunities-or employee perception and opinion
tion of the consultant who may face difficulties be-
surveys for this purpose, meetings between interde-
cause of his marginal place in an organization. The
pendent units of the organization, renewal con-
invited consultant frequently has to straddle a
ferences, performance reviews, and periodic visits
series of overlapping, conflicting, and at times an-
from outside consultants.
tagonistic subcultures.
Four types of consultation are outlined by G.
Organizations should develop a climate where
Caplan (1970):
consultants can express their values. Conditions
1. Client-centered case consultation, in which
that promote a good relationship for the consul-
the consultee and consultant discuss a partic-
tants include: (a) may never become part of line
ular case or group of cases.
management; (b) may have their own professional
2. Consultee-centered case consultation, which
salary scale as do medical directors; (c) may never
focuses on the consultee's difficulties in hand-
ling a case or cases.
be fired for focusing on such processes as openness
3. Program-centered administrative consulta-
and authenticity; (d) may be dismissed if they are
tion, which aims at planning or improving a
judged by their professional colleagues to be in-
program.
competent.
4. Consultee-centered administrative consulta-
DISSEMINATION AND THE CHANGE AGENT
59
tion, which deals with organizational diffi-
Social and Rehabilitation Service from 1969-1974.
culties, such as leadership or communication
Six of the nine RUS programs were successful
problems.
enough to warrant continued funding by their host
Caplan differentiates consultation from other
state agency, beginning in June 1974. Activities of
the RUSs have been described by Hamilton and
specialized methods such as supervision, educa-
Muthard (1975).
tion, psychotherapy, casework, and counseling, re-
A three-year evaluation study of the national
garding it as the interaction between two profes-
RUS demonstration program was conducted by
sionals concerning a lay client, or program for such
Glaser and Backer (1974a). The evaluation re-
clients. He sees it also in an institutional sense, as
search included two series of field visits to the nine
when he discusses steps in formulating a consulta-
project states, plus a national questionnaire survey
tion program in a community. The building of rela-
to learn what impact RUSs had on rehabilitation
tionships, whether it be with an institution or an
personnel. Results of the Glaser and Backer study
individual, is considered to be of paramount im-
suggest that RUSs have indeed had impact on the
portance. He notes that working with a community
operation of their host agencies, particularly in
requires different theory and techniques from those
setting up information-dissemination systems, and
used with formal organizations. He offers several
in facilitating actual service improvements through
approaches that mental health workers might use
small-scale change projects based on exemplary
in the face of community conflicts and confronta-
R&D findings. RUSs also faced many barriers and
tions.
constraints to effective utilization of new know-
In discussing the teaching of consultation, Berlin
ledge: lack of financial resources, resistance by
(1964) states that mental health consultation is
practitioners to use of research findings, diversion
different from consultation in agencies of an educa-
of the RUS's energies to nonutilization work re-
tive or technical nature. Mental health consultants
quired by his superiors, and poor definition of the
need to unlearn generic methods and acquire an
RUS's role at the outset of the demonstration.
indirect method of helping an agency worker with
Following the end of the five-year demonstra-
problems produced by internal conflicts. Consul-
tion period, a conference was held to encourage
tant-anxiety is an expected part of the process be-
additional state vocational rehabilitation agencies
cause of the many and varied implicit and explicit
to adopt the RUS model. Fifty-five persons repre-
demands of the consultee. Administrators may be
senting 30 state agencies attended this meeting,
particularly difficult to engage in consultation be-
and at least five adaptations of the RUS model fol-
cause they may see it as a threat to their facade of
lowed after the conference (Glaser & Backer, 1975).
adequacy. Problems of teaching center around
Recommendations for implementing an RUS in
helping the trainee to live through the inevitable
service delivery settings were formulated as part of
frustration as he learns a new technique.
the evaluation study (Glaser & Backer, 1974b).
Applicational fields. In the vocational rehabili-
Increasingly, the federal government has spon-
tation field, the linkage role has found expression in
sored the knowledge-linking agent/specialist role.
the form of the Research Utilization Specialist
Glaser (1973) remarks that "with the advent of
(RUS). Usdane (1971), summarizes development of
revenue sharing, there has come into being a new
the RUS linkage role, noting that it was necessary
partnership between the federal government and
to provide specific training to enable the RUSs to
the states and localities." This partnership sug-
acquire skills in teamwork, orientation toward
gests that the federal government will be assisting
problem identification and solution, and sensitivity
state and local governments to develop their ca-
toward and knowledge about resources useful in
pacity to assess and assimilate scientific R&D
efforts to improve services to the disabled. Goals for
knowledge applicable to local needs.
the RUSs were defined by Riley et al. (1968) as fol-
lows: (a) to assess existing or foreseeable needs in
The concept of knowledge production, once con-
the field or in the state agency; (b) to identify
fined to the researcher, is broadened by Short
usable research results; (c) to bring them to the
(1973) to cover the integrator, who as a synthesizer
attention of practitioners; and (d) to promote the
or interpreter brings together findings of a large
application of worthwhile research findings to the
number of studies; the translater, who identifies
improvement of services to the handicapped.
particular operational problems and invents solu-
RUSs were installed in nine state vocational re-
tions by transmitting, translating, or transforming
habilitation agencies to achieve these goals, with
already existing solutions; and the knowledge link-
demonstration project funding provided by the
er, who bridges the gap between researcher and
PUTTING KNOWLEDGE TO USE
60
practitioner. He adds that the roles are not mu-
man and Schild (1966). Most of the factors associ-
tually exclusive.
ated with deficient planning represent misconcep-
Havelock (1973b) notes that school superinten-
tions in the agents' implicit theory of human be-
dents report a great deal of innovative adoptions in
havior. Thus, for example, there is a tendency to
school districts, but the utilization of innovative
overemphasize formal as against informal social
resources is uneven. For example, the influence of
structure. Perceptions of motives tend to be stereo-
universities and other outside formal agencies was
typed and undifferentiated. Conformity pressures
less evident than that of certain internal factors.
are insufficiently recognized, as is the need for
The Battelle Columbus Laboratories study for
status on the part of changees. It is asserted that
the National Science Foundation (1973) in explor-
these and other sources of error can be reduced
ing the many factors that influence the decisive
through specific training.
events leading to technological and scientific adop-
Two types of patterns for utilizaton of social re-
tions, concludes with the belief that innovation
search are described by R. Lippitt (1969a): (a) bring-
cannot be completely controlled or programmed by
ing into the science consumer system knowledge
a change agent. While the research knowledge
and validated practice from outside the system for
"gatekeeper" and the technical entrepreneur both
use in solving problems; and (b) developing scien-
exerted some influence on adoption, a number of
tific knowledge within the system in order to utilize
factors (see Chapter II) were found to be higher on
it as a basis for improvement of practice. Three
the list of determinants of change.
extra-system patterns and three inner patterns are
The role definition of change agents is treated in
spelled out. Training of linking agents must in-
detail by Havelock (1973a), who has prepared a
clude new skills needed for utilizing these six
guide for people working for reform at all levels of
patterns.
the educational system. Change agent roles are dis-
Harrison and Hopkins (1969) present a detailed
cussed, including those of process helper, catalyst,
analysis of the inadequacies of conventional Amer-
advocate, solution-giver, and resource linker. The
ican higher education for training change agents
change agent is viewed as being involved in six
where the ability to adapt to or act in unfamiliar
stages of the change process which are designated:
and ambiguous social situations is required. In-
(a) relationship; (b) diagnosis; (c) acquiring rele-
cluded in this category are all types of community
vant resources; (d) choosing the solution; (e) gain-
development or community action work, at home
ing acceptance; and (f) stablizing the innovation
or abroad. Principles embodied in a suggested in-
and insuring self-renewal.
ductive approach are listed:
Training of change agents. In a companion
work, Havelock and Havelock (1973b) take up
1. Exposure to situations which require diag-
nosis, definition of problems, devising solu-
more specifically the training of change agents,
tions, and taking action.
particularly in the field of education. The topics in-
2. Immediate data orientation as distinguished
cluded are as follows:
from second-hand and abstract sources of in-
1. Our contemporary knowledge of the change
formation.
process.
3. Exposure to situations where competing cul-
2. Goals of training.
tural values are involved.
3. Some principles of good training design.
4. Experience and action as distinguished from
4. A framework for training designs.
understanding only.
5. Self-renewal within the school system.
5. Use of authority to promote experimentation,
6. Linking schools to outside resources.
risk-taking, and self-expression in the learner.
7. Effecting political and structural change in
6. Use of expertise to teach problem-solving pro-
schools.
cesses rather than supplying information.
8. Changing the larger system.
9. Sample model of a fully developed training
Thus, the roles and functions of the change agent
design.
have been the subject of much discussion and
study. He goes under various titles and operates in
That the book is an outgrowth of a conference of 50
different status positions. His work relates to per-
nationally known leaders in the field of training
sons at various points in the continuum from know-
and educational change is evidence of the expand-
ledge or research production to practical applica-
ing acceptance of the work of the change agent.
tion. His degree of aggressive participation in
The causes of deficient planning and hence
enterprises varies. He needs to undergo training for
sources of error in the training of social change
his work, and needs to be expert in training others
agents in Israel are presented in detail in Kahne-
in their functioning. His influence is variously
DISSEMINATION AND THE CHANGE AGENT
61
transmitted through cognitive knowledge transfer,
less extensive basis) of the extension program of the
attitudinal reeducation, and behavioral perfor-
Department of Agriculture (Sieber et al., 1974).
mance modification. He may be part of the knowl-
The concept of the Research Utilization Labora-
edge-producing system. the knowledge-user sys-
tory as a change agency has been sponsored by the
tem, or both systems, not to mention the contextual
Social and Rehabilitation Service, according to
social system. In short, he is a catalyst of change,
Usdane (1971), to select approved and effective re-
and a potentially powerful linking force in the con-
search outcomes within a certain category, adapt
tinuous effort to put knowledge to practical and
them to a laboratory setting, and with at least one
innovative use.
other similar agency, replicate the findings. The
major concern is to simplify the recommended pro-
CHANGE AGENCIES
cedures and to make innovations more widely
Many of the functions and activities of change
adaptable. The laboratories established have been
agents have been institutionalized in the form of
essentially field-testing stations where outcomes of
recognized change agencies of one kind or another.
significant research are incorporated into ongoing
The importance that agencies of various kinds can
service systems with a minimum of additional staff.
play in "building capacity for renewal and reform"
Engstrom (1970) also describes the work of the
and in stimulating knowledge production and utili-
Social and Rehabilitation Service as an agency
zation is indicated in a report of the Task Force on
whose mission has included the dissemination of
Resources Planning and Analysis of the National
new knowledge and the stimulation of research
Institute of Education (NIE) Office of Research
utilization and program change. A Task Force on
and Development (National Institute of Educa-
Research Utilization in 1966 made some 13 recom-
tion, 1973). The report is designed to describe the
mendations, 11 of which were adopted. Among
initiative of the Institute in its attempt to build
these were publications and demonstrations bear-
organizational capacity of the R&D community: to
ing on practical applications of research.
create information and alternative practices and
The program mechanisms of the U.S. Environ-
products of value to educators, to increase the ca-
mental Protection Agency (EPA) operating as a
pacity of a variety of agencies to link research to
technology transfer agent are outlined by Crowe
practice, and to enhance the capability of schools
and Madancy (1974) to include the following:
and state agencies to engage in a process of con-
1. Organization mechanisms:
tinuous improvement that makes the most effective
a. The Technology Transfer Program func-
use of local resources as well as products of external
tions as an office in the EPA's Head-
R&D. The report presents a series of recommenda-
quarters Research and Development Or-
tions under four categories:
ganization.
b. Each of 10 EPA regions has a contact man
1. Developing a monitoring system within NIE
for technology transfer.
2. Strengthening the external R&D system
3. Building a linkage and support system
2. Production mechanisms:
4. Building problem-solving capacity in the
a. Needs are identified.
operating system
b. Careful evaluation is employed with re-
spect to technology transfer products.
The underlying philosophy expressed by the
3. Dissemination mechanisms:
Task Force is evident in its belief that "the revised
a. Dissemination process is accomplished by
concept of the 'R&D system' must include attention
means of Headquarters staff and budget.
to how and by whom problems get formulated in the
b. The process is controlled to assure rapid
first place; to what might be a range of likely re-
and efficient response to requests from
sources for solving them, whether through sys-
users.
tematic external development or some other
Employing a set of "maximal" criteria derived
means; and to the organizational life of operating
from a "problem-solving dialogue" model, Have-
systems which will affect the possibility of implant-
lock and Lingwood (1973) made a detailed analysis
ing the solution to a problem."
of the four following important research dissemina-
The Pilot State Dissemination Program (referred
tion and utilization agencies:
to earlier in this chapter) was established in 1970 to
1. Division of R&D Utilization, Manpower Ad-
try out an educational extension and retrieval sys-
ministration, U.S. Department of Labor.
tem on a scale large enough to derive guidelines for
2. Research Utilization Branch, Social and Re-
future State-level projects. The employment of
habilitation Service, U.S. Department of
field agents in several states is reminiscent (on a
Health, Education, and Welfare.
62
PUTTING KNOWLEDGE TO USE
3. Mental Health Services Development Branch,
staffed with information specialists who would be
National Institute of Mental Health, U.S.
familiar with all the large information services,
Department of Health, Education, and Wel-
would know the operational requirements of the
fare.
systems, would act as intermediary between the
4. National Center for Educational Communica-
tion, Office or Education, U.S. Department
user and the systems, and be able to give feedback
of Health, Education, and Welfare, later
to the systems about information requirements of
transferred to the National Institute of Ed-
the user.
ucation.
While not representing change agencies in the
usual sense, two well-supported commissions on
The studies included interviews with staff, ques-
mental health sponsored by a host of mental health
tionnaires, documented conferences, and literature
associations and organizations as well as by the
survey. Criteria were applied to six areas of con-
federal government have served as powerful forces
sideration:
for change. These are: the Joint Commission on
1. User self-service.
Mental Illness and Health (e.g., Robinson et al.,
2. Need processing.
1960) and the Joint Commission on Mental Health
3. Solution building.
of Children (e.g., Joint Commission, 1969, 1973a,
4. Solution processing.
1973c). Hundreds of specialists were involved in
5. Microsystem building.
each case, comprehensive surveys were undertaken,
6. Macrosystem building.
and scores of recommendations were made in the
Recommendations for the improvement of the sev-
two sets of reports. Although one-shot affairs, they
eral agencies in each of these areas are provided.
carried out on a grand scale the monitoring func-
As the Coordinator for Educational Communica-
tion so often associated with change agencies.
tions, Bureau of Elementary and Secondary Edu-
An indispensable reference tool for those seeking
cation, U.S. Office of Education, Hearn (1971) is
information about research utilization programs
concerned with the linkage of research with educa-
within the federal government is the Directory of
tional practice. He raises three questions regarding
Federal Technology Transfer (1975), prepared
the role of various agencies in this regard:
under the auspices of the Federal Council for Sci-
ence and Technology's Committee on Domestic
1. Can the roles of universities and colleges be
articulated and coordinated so as to develop
Technology Transfer. This volume presents capsule
mutually supportive systems?
summaries of virtually every currently operating
2. Can the efforts of various units in the U.S.
unit within a federal agency that is concerned with
Office of Education and related educational
application of R&D findings or spread of existing
agencies be coordinated so as to provide a na-
technology. Both hard sciences (Department of
tional focus?
Defense, Energy Research and Development Ad-
3. Can the state educational agencies fulfill a
ministration) and social sciences (National Insti-
knowledge utilization role by taking the
tute of Education, Manpower Administration) are
leadership in evaluating, validating, and dis-
included. Each summary presents a brief history of
seminating promising programs?
the technology transfer program, its current staff-
ing and funding status, and a description of service
Burchinal (1967) proposes that in addition to in-
efforts or research studies it has undertaken. The
formation services such as ERIC, there is need for
name and address of a contact person from whom
small local information services. These would be
further information can be sought also is provided.
DISSEMINATION AND THE CHANGE AGENT
63
THE SEARCH
FOR MODELS OF
KNOWLEDGE UTILIZATION
Types of Models Illustrated
SEPARATE FACTORS OR VARIABLES
Much of the literature on the subject deals with
Many of the studies in Chapter II of the present
empirical and applicational ideas and suggestions.
document reflect the use of the model concept in
At the same time, there is evidence of a strong in-
the first sense; that is, they serve to identify certain
terest in digging into the underlying principles
key variables, grouped perhaps, but not described
upon which practical suggestions may be based,
as dynamically interrelated or connected with
and in building systematic models of the utiliza-
underlying principles, except by implication. These
tion process.
listings of variables, nonetheless, are not the result
It is true that the term "model" is used in a
of casual choice; one can readily "read between the
number of different senses, and that the model-
lines" to sense, in most cases, a good deal of
building enterprise is in a fluid state. In attempting
theoretical underpinning. Thus, in the case of the
to put models to work, it is well to remember that
A VICTORY list of change factors proposed by
they do not necessarily represent established laws.
Davis (1973), the author indicates its basis in a
Ordinarily the model builder draws on theory, ex-
behavioral model of change adapted from learning
perience, and, to a degree, validated evidence
theory (later to be described). In conjunction with
concerning relationships of one kind or another; but
the CORRECT list of project variables (Glaser,
the model itself is to be judged in terms of its
1973), concepts from social psychology, cognitive
fruitfulness in leading to useful knowledge and de-
psychology, and management theory are in evi-
pendable outcomes, and it is not in any a priori
dence. The H-E-L-P S-C-O-R-E-S set of project
sense offered as reflecting truth itself.
change variables (Havelock & Lingwood, 1973),
In some instances the model refers to the state-
which incorporate elements espoused by Have-
ment of selected, separate factors or variables
lock (1969a) and by Rogers and Shoemaker (1971),
deemed important to one or more phases of the pro-
is related to analytical models developed by these
cess of research or knowledge development, dis-
authors. The Battelle Columbus Laboratories (Nat-
semination (or diffusion), and utilization. One
ional Science Foundation, 1973) list of 21 factors of
may infer that those who confine their attention to
probable importance to the direction and rate of in-
this relatively restricted use of the concept of a
novative adoption processes were selected from the
model reflect a down-to-earth concern with either
general literature, and hence relied on more diverse
empirical proof or concrete applicability, or both,
theoretical sources, but the very nature of the items
with respect to the characteristics that bear on
suggests the influence of motivational theory,
effective research utilization.
management theory, interpersonal psychology, and
In other instances the models go further in con-
social theory.
necting the specified elements, but do little more
Employing an empirical, factor-analysis ap-
than arrange the elements in a series of steps or
proach, Havelock (1974b) attempted to relate judg-
stages through which a process of utilization may
ments concerning the importance of various inno-
proceed. This too, is useful in directing one's atten-
vative procedures, as made by school superinten-
tion in an orderly way toward the examination of
dents, to certain formulated models of the research
the components of a generally complex phenomenon.
Other users of the model concept go still further
development-to-utilization spectrum.
into systematic consideration of research utiliza-
And so with many of the organizational variables
tion by applying theories and models borrowed
referred to in Chapter II. Here one recognizes the
from related disciplines, such as communications
behind-the-scene influence of organizational
theory or social psychology, to elements of the
theory, management theory, interpersonal psy-
utilization process.
chology, motivational psychology, psychology of
Finally, a number of models found in the litera-
thought processes, social and political theory, com-
ture reflect in varying degree the constructs and
munications theory, and industrial psychology.
principles of systems theory, particularly as it
The tenets of personnel psychology are seen in
bears on dynamic, transactional relationships
the discussion of personal variables affecting inno-
among system elements.
vative behavior. While these variables are not
MODELS OF KNOWLEDGE UTILIZATION
65
ordinarily treated in an organismic, clinical fashion,
the model concept of the fourth type, namely that
dynamic implications can at times be seen behind
embodying the principles of systems theory. Among
the essentially "trait-type" treatment of the
this type are the Havelock and Lingwood (1973)
subject.
model used to describe four research and utiliza-
tion linkage agencies, and the elaborate knowledge
production and the utilization system of the Na-
PROCESS ELEMENTS OR STAGES
tional Institute of Education (1973), both of which
The opening pages of Chapter III of the present
will be further described at a later point.
document illustrate in good part a move into the
second type of model building, namely the depic-
Description of Knowledge Utilization
tion of stages in the research utilization process.
Models
Thus, the introductory chart showing the stages of
SIX WIDELY QUOTED MODELS
successful organizational change based on the work
of Lippitt et al. (1958), Jenkins (1962), Jung and
Six models stressing one or more phases of the
Lippitt (1966), Watson (1967), Greiner (1967), and
research - development dissemination utilization
Rubin (1968) divides the process into recognizable
continuum have received notable attention in the
stages akin to John Dewey's five-stage analysis of
literature. The first three to be described have been
problem solving. Other stage-oriented presenta-
set forth by Havelock (1969a), among others, and
tions are referred to: Dewey's analysis tinged with
the next two by Sashkin et al. (1973), also among
psychodynamic considerations (Abelson, 1964); the
others. The sixth has been described in great detail
four-stage analysis of organizational change by
in Havelock and Lingwood (1973). There is much
Hage and Aiken (1970); the ten stages of message
overlapping of ideas among the models.
communication by Paisley (1969); the five-fold
1. The first is the research, development, and
listings of factors related to successful transfer of
diffusion model. This model assumes there is a
R&D findings by Glaser (1973); and a four-stage
relatively passive target audience of consumers
approach (analysis, goal definition, action, and
which will accept an innovation if it is delivered
follow-through) to the application of the A VIC-
through a suitable medium, in the right way, at the
TORY change model (Davis, 1973; Davis & Salasin,
right time. It calls for a rational sequence of
1975).
activities from research to development to pack-
aging before dissemination takes place. It assumes
BORROWED-THEORY MODELS
large-scale planning, and requires a division of
labor and a separation of roles and functions. Eval-
Illustrations of models of the third type, namely
uation is particularly emphasized in this model, in
those that reflect models or parts of models from
which there is a high initial development cost and
related disciplines, often in the form of what might
which anticipates a high payoff in terms of the
be called mini-models, may be found, for example,
quantity and quality of long-range benefit through
in the Implementation section of Chapter III. Here
its capacity to reach a mass audience.
we find, for instance, an adaptation by Benne and
2. The second is the social interaction model,
Birnbaum (1960) of Lewin's model of social change.
which is more sensitive to the complex and intri-
Chin and Benne (1969) borrow from social theory
cate set of human relationships, substructures and
to give us a three-fold perspective on change strate-
processes that are involved in the dissemination
gies: (a) the empirical-rational, based on an
phase, and which stresses the importance of face-
assumption of the rational man; (b) the normative-
to-face contacts. This model implies that a user can
reeducative, based on the view of man's relation-
hold a variety of positions in the communication
ship to his social environment; and (c) the power-
network, and that people tend to adopt and main-
coercive, based on the view of power as the source
tain attitudes and behavior which they perceive as
normative for their psychological reference group.
of all human action.
The size of the adopting group is basically irrele-
vant in this model, which follows essentially the
SYSTEMATIC MODELS
process stages of knowledge and research diffusion,
Perhaps because the subjects of linkage and dis-
with appropriate influencing strategies used at
semination lend themselves to the formulation of
each stage. The "configurational" theory model
interlocking arrangements of elements and to inter-
of Bhola (1965) later referred to may be said to fit
personal communication processes affecting the
under the social interactive perspective.
flow and feedback of signals, Chapter IV provides
3. Third is the problem-solving model, which
illustrations that reflect, along with other types,
starts with the user's needs as a beginning point for
66
PUTTING KNOWLEDGE TO USE
research, with diagnosis as an essential first step in
appropriate manner. Research surveys may be
the search for solutions. The outside helper, or
made to cover designated provinces of the entire
change agent, in this model, is largely nondirective,
system, and sets of recommendations can be gen-
mainly guiding the potential user through his own
erated concerning chosen parts of the model.
problem-solving processes and encouraging him to
utilize internal resources. The model assumes that
This model has been used as the framework for
self-initiated and directed change has the firmest
studying four federal research dissemination agen-
motivation and hence the best prospect for main-
cies (Havelock & Lingwood, 1973), for charting
tenance.
eight "operational modes" reflecting various pos-
sible emphases by a research development, dis-
4. In the fourth model, the planned change
semination, and utilization agency (Havelock et al.,
model, information is considered useful only if it
1974a), in examining resource linkage in educa-
leads to action, and is shared between the change
tional innovations (Havelock, 1973a), and in deter-
agent and the client. The assumptive basis of this
mining the extent to which highway safety research
model is that change occurs through a consciously
communication may be considered as representing
controlled, sequential, and continuous process of
an effective system (Havelock & Markowitz, 1973).
data generation, planning, and implementation.
The changes made need to be stabilized and sup-
All six of the models may entail the use of a con-
ported.
sultant. External data sources are used in the first
two models. The problem-solving model uses in-
5. The fifth model is the action research model.
ternal data sources. The last three models employ
Although similar in some respects to the problem-
both external and internal sources.
solving and planned change models, it is most dis-
tinctive in emphasizing the development of re-
FUNCTION-TYPE FORMULA MODELS
search within the organization. The type of research
and its methodology are influenced by its concur-
Two models employ a function-type formula as
rent conduct with the ongoing activity of the
the basis for expressing the relationship among
organization. The results of the research, while
operational elements.
primarily intended for the organization itself, may
1. Davis (1971, 1973, 1975) has formulated eight
prove useful to others and contribute to behavioral
considerations, under the acronym A VICTORY,
science itself. The model assumes the action
which have been found very useful as a framework
research to be a continuous process of research,
for assessing an organization's readiness to seriously
action, evaluation, and more research.
consider the adoption of new policies or practices,
6. The problem-solving dialogue or linkage
for identifying areas of possible nonreadiness that
model may be described in terms of four compo-
may need attention before directly embarking on a
nents: (a) the client or user system, represented
change effort, and for guiding implementation.
diagrammatically by a circle at the right: (b) the
The A VICTORY formulation evolved from a be-
knowledge or research resource system, represented
havioral model of change adapted from learning
by a circle at the left; (c) a need processing system,
theory embracing such considerations as drive or
represented by an arrow leading from the user sys-
motivation, the ability or capacity of the learner,
tem to the resource system; and (d) a solution-
and circumstances or stimulus conditions. Results
processing system, represented by an arrow lead-
from a number of experiments on adoption of inno-
ing from the resource system to the user system.
vations, as well as from literature surveys, have
The first two, it may be noted, are problem-solving
been matched with the behavioral factors.
systems; the last two represent the dialogue be-
The formula is:
tween the first two.
B (behavior) = Es + T + Sc + (P + Hₛ) (DxC) I
One may designate the system as a whole, with all
In the equation, Es = self-expectancy; T = timing;
the relationships among the subsystems depicted
Sc = stimulus conditions; P = pattern for behavior;
above, as the province of macrosystem building.
Hₛ = habit strength; D = drive; C = capacity to
The process is termed microsystem building when
perform behavior; and I = inhibitors.
one considers actions in which many elements of
The equivalencies of the A VICTORY factors with
the problem-solving dialogue are present simul-
the terms of the formula are briefly stated as fol-
taneously and are permitted to interact on a small
lows:
scale.
A (Ability) = (Capability: relevant sanctions;
Each of the components of the total dialogue sys-
fiscal, manpower and physical re-
tem can be analyzed in great detail, according to
sources)
one's purpose. Correspondingly, any real-life sys-
V (Values) =Eₛ (Self-expectancy: perceptions,
tem can be described in terms of the dialogue sys-
personal beliefs and attitudes
tem, elaborated to any degree or expressed in any
toward the innovation)
MODELS OF KNOWLEDGE UTILIZATION
67
I (Idea)
=P (Pattern: adequacy of knowledge
deal of problem-solving activity occurs-aided and
about the innovative procedure,
abetted by the other subsystems of the Institute.
and idea for proposed action steps)
Hence the interest in "how and by whom problems
C (Circum-=Sc (Stimulus conditions: forces af-
get formulated in the first place" and "the organi-
stances)
fecting the agency's reaction to
zational life of operating systems which will affect
change; circumstances that pre-
the possibility of implanting the solution to a prob-
vail at the time)
lem."
T (Timing)
(Timing: synchrony with other
Some of the considerations affecting the program
significant events)
and plan of the National Institute of Education
O (Obli-
=D (Drive: the felt need or motivation
may be noted:
gation)
to act on the particular problem)
R (Resis-
=I
(Inhibitors: rational or irrational
1. The literature on social indicators provides a
tances)
fears and obstructions, as they are
source for use in the monitoring system, as
relevant to the desired change)
does multidisciplinary knowledge. Surveys of
Y
(Yield) =Hₛ (Habit strength: perceived bene-
educational practice and R&D impact thereon
fits or rewards that the anticipated
represent the subject matter of the monitor-
changes may bring about)
ing process.
2. The tendency of R&D models to borrow from
The A VICTORY factors are described more fully
the "hard sciences" may not be suited to the
on p. 5.
needs of complex social situations. A con-
2. A "configurational" theory of innovation dif-
certed series of long-range and short-range
fusion has been proposed by Bhola (1965) which
programs and projects is necessary to the
can be stated as a function (f) in accordance with
realization of the system's R&D mission.
the following formula:
3. The building of the linkage and support sys-
tem requires a consumer information strategy,
D = f(CᵢₜLER)
an information dissemination strategy, and a
where Diffusion (D) of innovation is a function (f)
product delivery strategy.
of the Configuration (C) relationship between the
4. In building problem-solving capacity in the
Initiator (i) from a class of such initiators and the
operating system, it is necessary to provide
Target (t) from a class of such targets: the extent
support at the teacher level, the school level,
and nature of Linkage (L) between and within con-
the school district level, and the school/com-
figurations; the Environment (E) in which the con-
munity level.
figurations are located; and the Resources (R) of
both the initiator and target configurations. (An
The model clearly encourages widespread in-
initiation configuration acting on another target
volvement in the educational improvement pro-
configuration together make a configurational rela-
cess, emphasizes a problem-solving approach, and
tionship, symbolized by Cᵢₜ.) Bhola also suggests
calls for well-supported, coordinated effort.
that the initiator (i) and the target (t) configura-
tions may need an articulating force, an adapter
MISCELLANEOUS CONTRIBUTIONS TO
(A) that either overlaps or bridges the gap between
MODEL BUILDING
the initiator and the target.
In the discussion that follows, the term, model,
This theory, like that of Davis' (but not nearly so
is used in a broad sense to represent approaches,
easy to apply as Davis' A VICTORY factors), serves
strategies, or ideologically connected sets of tech-
to draw the attention of producers and users of
knowledge, in a systematic fashion, to components
niques, as well as models in their full-blown mean-
of the diffusion or adoption processes.
ing.
It has been noted that the process of model
THE NATIONAL INSTITUTE OF EDUCATION
building with respect to research utilization is in
MODEL
a fluid state. The literature abounds with many
According to a National Institute of Education
ideas that may prove helpful in carrying the pro-
Task Force on Resources Planning and Analysis
cess to a higher level of integration and to greater
(National Institute of Education, 1973), the under-
fruitfulness of conceptualization. Some of the addi-
lying model of the Institute calls for the coordi-
tional notions regarding model building that have
nated operation of four subsystems: (a) a monitor-
come to light in the preparation of the distillation
ing system; (b) an external R&D system; (c) a
are presented below.
linkage and support system; and (d) an internal,
problem-solving operating system. The last named
1. Several writers sought to set down the types
is the school system, in which, it is posited, a good
or categories of models.
68
PUTTING KNOWLEDGE TO USE
a. According to Chin (1969), there are two major
change as well as between stable and unstable
categories of models the practitioner may use
environments.
as a diagnostic tool for planning change: the
systems model and the developmental model.
d. Zaltman et al. (1973) present their model, or
Chin defines the major terms used in each
theory of the innovative process at the level
type of model. For the systems model these
of the organization, as distinguished from
include: system; boundary; tension, stress,
that of specific innovative ideas, practices, or
and conflict; equilibrium and steady state;
material artifacts. A major feature of their
and feedback. The terms defined in conjunc-
model is an attempt to relate organizational
tion with the developmental model are: direc-
factors of complexity, centralization, inter-
tion; identifiable state; form of progression;
personal relations, and capacity for dealing
forces; and potentiality.
with conflict to the initiation and implemen-
Chin raises five questions regarding the re-
tation stages of the innovation-adoption
lationship of the change agent to the model:
process. They also relate some 19 attributes of
Does the model account for stability and
innovation to the decision stages through
change?
which an innovation progresses. (See Chapter
Where does the model locate the source of
II, page 7.)
change?
e. In his discussion of the diffusion of innova-
What does the model assume about the de-
tions with special reference to social change,
termination of goals and directions?
Schon (1971) distinguishes between the
Does the model provide levers for effecting
center-to-periphery model and the more re-
change?
cently developed systems model. This differ-
How does the model place the change agent
ence is related to Schon's analysis of the shift
in the scheme of things?
in business firms from instances in which the
Each model is examined in the light of these
unit of innovation was a product or technique
questions. Chin asserts that a third model for
to those involving a functional system. The
change is emerging, one that incorporates fea-
greater complexity of the latter conception
tures from both the systems and develop-
implies a state and feeling of uncertainty in
mental models. In this model, direct attention
man's role and the presence of strong, con-
is paid to the induced forces producing
current dynamic forces directed toward main-
change.
taining conservatism. To counteract the dis-
crepancy between man's inner stability needs
b. Bennis (1963) refers to three approaches to
and the demands of changing situations,
planned organizational change: (a) the equi-
Schon stresses the importance of the develop-
librium model, according to which the mecha-
ment of effective learning systems in govern-
nism for change is tension release through
ment and in society in general.
anxiety reduction; (b) the organic model, in
which the mechanism for change is power re-
f. Organizing for social change is treated as a
distribution and conflict resolution; and (c)
major section of the book of readings by Zalt-
the developmental model, whereby the mech-
man et al. (1972). Rothman (1968) sets forth
anism for change is the transformation of
the characteristics of three models of com-
values.
munity change: (a) locality development;
(b) social planning; and (c) social action. The
All three approaches have a deep concern
theme of social action is developed in an
with applying social knowledge to create
article by Pruger and Sprecht (1969), as a
more viable social systems, a commitment to
case in point, and also by Dubey (1970), who
action, as well as a research role for the social
stresses community action programs and
scientist, and a belief that improved inter-
citizens' participation.
personal and group relationships will ulti-
mately lead to better organizational perfor-
g. In their introductory statement to an overview
mance.
of social change Zaltman et al. (1972) identify
six types of social change according to a grid
c. Hage and Aiken (1970) distinguish between
reflecting a short- and long-term dimension
the "mechanical model" and the "organic
on one axis, and a threefold distinction as to
model" commonly referred to in the sociology
level of society (micro, or individual; inter-
of organizations in describing two "ideal"
mediate, or group; and macro, or society) on
types of organizations manifesting, respec-
the other. At the individual level, Type 1
tively, "static style" and "dynamic style",
refers to short-term attitudinal or behavioral
reflecting a distinction between slow and fast
change, while Type 2 implies a change in life
MODELS OF KNOWLEDGE UTILIZATION
69
cycle. At the group level, Type 3 deals with
through the process of comparison, whereby
short-term normative or administrative
an experiment is designed to determine the
change, while Type 4 relates to organizational
efficacy of the different subsystems in solving
change. At the societal level, Type 5 en-
the social problem. The innovative subsettings
compasses short-term invention-innovation
are implanted in appropriate social contexts
or revolution, while Type 6 signifies long-term
so that they can be evaluated in their natural
socio-cultural evolution.
habitat. In the evaluation phase, the sub-
2. A number of writers have presented models
systems are continued in operation for several
depicting particular aspects of the research develop-
months or even years to allow for adequate
ment, dissemination, and utilization process.
outcome and process evaluation.
Throughout, participants in the subsystems
a. Glaser and Ross (1971), for example, identify
are responsibly included, and a cross-
four models of advocacy formation: (a) the
disciplinary approach is employed, the social
fiat model; (b) the platonic (rational appeal)
problem determining the fields and subject
model; (c) the apostolic model; and (d) the
matter encompassed. Fairweather et al.
conversion model.
(1974) consider social innovative research
to be the only humanitarian approach with
Advocacy by fiat, or change by force of
social subsystems in which individuals func-
power, administrative regulation, or law,
tion. While the model utilizes research in a
leads to change resulting from decisions of
natural setting, it follows the logical stages of
those in authority, as in military, hier-
(1) concern; (2) diagnosis; (3) formulation of
archical, and bureaucratic organizations.
alternatives; (4) implementation; and (5)
The platonic model assumes that potential
evaluation.
users can be persuaded through education
c. Scientific communication as a system is sum-
and rational appeal to use particular re-
marized by Menzel (1966c) under five topical
search-based information or innovative pro-
statements:
cedures. As evidenced by both Fairweather
Acts of scientific communication constitute
(1973) and Glaser and Ross (1971), this ap-
a system.
proach apparently leads to intellectual adop-
Several channels may act synergistically to
tion more than to behavioral modification.
bring about effective transmission of a
The apostolic model attempts to stimulate
message.
conviction and motivation toward behavioral
Informal and unplanned communication
change through testimony and personal pre-
plays a crucial role in the science informa-
sentation and discussion in addition to written
tion system.
persuasion. Glaser and Ross (1971) found that
Scientists constitute publics.
many potential innovators appeared to
Science information systems serve multiple
functions, including exhaustive search,
appreciate intellectual stimulation afforded
reference, research stimulation, and scien-
by such discussions, but the discussions did
tist re-education.
not necessarily dissipate the participants'
doubts concerning implementation.
d. The Unco, Inc. study (Unco, Inc., 1973a) of
The conversion model has a stronger emo-
the utilization of four advanced management
tional component, seemingly based on a more
techniques in state welfare departments
profound re-ordering of the conceptual frame
attempted to incorporate a communication
of reference, with conversion facilitated by
model into an adaptation of the problem-
first-hand participation in an experience with
solving model of research utilization. From
a mutually reinforcing group of peers.
the combined model and from interviews with
welfare personnel in three states, the investi-
b. Fairweather (1971) has developed a model of
gators devised a set of 25 principles of research
experimental social innovation. In his delinea-
utilization which they subsequently presented
tion of the attributes of social innovative
in a separate report (Unco, Inc., 1973b). These
experiments, he starts with the definition of
principles, or guidelines, deal with various
a significant social problem; this process in-
aspects of the communication-utilization
cludes engaging in naturalistic field observa-
process.
tions (diagnosis) to describe the parameters
of the problem in its actual community set-
With regard to the utilization cycle, the
ting. The next step, innovation, creates and
guidelines draw attention to the awareness of
formulates different solutions as innovative
user need and to the articulation of the prob-
subsystems. These subsystems then go
lem, to the necessity to choose solutions with-
70
PUTTING KNOWLEDGE TO USE
in the constraints of the user's organization,
Specific "helping methods" applicable to
ones that are responsive to economic, political,
each phase.
and social conditions, and that are technically
The authors stress the need for a unified
valid. Demonstrations need to be realistic as
theory of change and changeability.
well as technically valid, and to be responsive
both to the user's methods of operation and
b. A recent, succinct summary of many of the
to changing situations. The same is true of
facets of the knowledge transfer and institu-
the implementation stage proper, following
tional change process is offered by Glaser
demonstration. User involvement and con-
(1973). His factor categories include the major
tingency planning are also stressed.
components of a comprehensive model:
With respect to the communication cycle,
Characteristics of the innovation.
the content of the messages needs to be clear
Characteristics of potenial users.
to users of innovations, although excessive
Manner and extent of dissemination.
communication should be avoided. Suitable
Facilitating forces.
language needs to be employed, and written
messages used with a realization of their limi-
C. Stressing a taxonomic approach, Kotler
tations. A well-specified communication
(1973) has organized his presentation of the
structure is critical for effective communica-
elements of social action under five categories:
tion. Definite links must be provided, and
(a) causes; (b) change agencies; (c) change
feedback made an intrinsic part of the pro-
strategies; (d) channels; and (e) change tar-
cess. The translator role is significant in
gets. By combining elements from each of the
achieving effectiveness.
five categories, patterns of change situations
may be specified. A useful chart lists the ele-
e. Shannon's information theory is used by
ments under each rubric and suggests a flow
Dahling (1962) to illustrate the spread of an
from the first, namely cause, to the last one
idea through an amazing number of discip-
listed, namely change targets.
lines, including: computer science, elec-
tronics, psychiatry, psychology, engineering,
d. The Kotler paradigm is employed as the basis
educational psychology, biology, physiology,
for organizing a large section of a book of
radar, linguistics, biosociology, library science,
readings on the creation of social change by
optics, education, statistics, social science,
Zaltman et al. (1972). Included in this section
and journalism, in the order enumerated.
is a careful analysis by Rogers (1969) of the
relations among change agents and clients.
f. The application of sociometry to a communi-
cation network is employed by M. Becker
A classic example of systematic exposition
(1970a, 1970b) in his study of the diffusion
of elements that lend themselves to model
of innovation among health professionals.
building will be found in Hovland et al.
(1953) in their treatise on communication and
g. Stiles and Robinson (1973) depict three
persuasion, in which they discuss the follow-
models of educational change: (a) the poli-
ing components of the process:
tical process model; (b) the research and
The communicator.
development model; and (c) the systems
The communication.
analysis model. Flow charts are presented
The audience.
for each of the models.
Response factors.
3. Several writers have furthered the work of
Emerging areas of research.
model building by setting forth quite fully the com-
Each of the elements is analyzed in detail,
ponent topics and elements that need to be con-
and pertinent research is noted in relation to
sidered in developing a systematic model.
each.
a. One report of this type is the book by Lippitt,
f. Davis (1973) sets forth 12 characteristics that
et al. (1958), which presents a development in
detail of the following six elements that go
a model of change should have if it is to be of
into the dynamics of planned change:
use in everyday organizational situations,
noting that his A VICTORY model is an at-
Problems of internal relationship within
tempt to incorporate all 12 characteristics:
client systems.
The model, above all, should be practical.
Problems of external relationships of client
The parts of the model should be manipu-
systems.
lable.
Change forces and resistance forces to
Economy of use should be a primary con-
which client systems are exposed.
sideration.
The role of the change agent.
Ease of communication is important.
Phases in the process of planned change.
The model should be comprehensive.
MODELS OF KNOWLEDGE UTILIZATION
71
Synergism-the force of factors working
bility of each subsystem and the linkage of
together-is important to consider.
the subsystems to the system as a whole.
The model should lend itself to intervening
h. Rothman (1974) puts what is essentially a re-
in phases.
search retrieval-diffusion-utilization model
Differential investment in working with the
to use in the very conduct of his extensive
components of the model should be pos-
attempt to achieve a fuller utilization of social
sible.
science studies relative to the planning and
The model should call attention to how the
organizing for social change. The earlier
change process influences the rest of the
stages of the model were actually employed
system.
by Rothman and his associates. The full
The model should be flexible and versatile
model consists of the following components:
enough to apply to different organizational
systems.
A basic research pool is postulated.
The model should provide a basis for a sub-
Retrieval, codification, and generalization
sequent evaluation of the effectiveness of
activities are undertaken, resulting in:
change.
Consensus findings in the form of generali-
The model should recognize the human-
zations (abstract statements).
ness of the participants involved.
Through a translation and conversion pro-
g. Presenting a model with special regard to
cess there result:
early interventions in a large system on the
Generalized applicational principles (ab-
part of a consultant, Beckhard (1975) sets
stract statements).
forth the following four phases:
These are operationalized to yield:
Applicational principles in delimited form
Defining the change problem, including the
(concrete statements).
organizational change needed or desired
Initial implementation through field test-
and the type of change desired.
ing is attempted, resulting in:
Determining readiness and capability for
Practical and policy outcomes, refined and
change, including motivation and capa-
elaborated applicational principles, and the
bility, and entailing a diagnosis of dissatis-
construction of diffusion media.
faction.
Wide diffusion follows, leading to:
Identifying the consultant's own resources
Broad use in practice by clients, consumers,
and motivations for change, including con-
constituents, etc.
gruence with organizational needs.
Determining the intermediate change stra-
It is evident from the diversity of efforts in the
tegies and goals, including an indication of
search for effective systems models that the nature
targets and measuring points en route to
of such models, as well as their substance, has come
the larger change objectives.
under scrutiny. Though much progress has been
With regard to the foregoing, Beckhard con-
made, the search for better models is likely to
siders it important to examine the accessi-
continue.
PUTTING KNOWLEDGE TO USE
72
CONCLUDING
COMMENTS
In preparing this report we have reviewed a large
tropism," by which he refers to the evaluator's
number of publications bearing on the general sub-
being drawn into the future, or into forward orien-
ject. Many of these are listed in the accompanying
tation, through the concrete, specific expectations
bibliography. From those listed, 267 have been
surrounding evaluation, and this in turn facilitates
summarized and are presented in the Summaries
the change process.
section of this volume. As might be expected, even
With regard to the able characterization, the
those so selected vary considerably in the substan-
persons concerned, whether as individuals or as
tive basis submitted for the generalizations, con-
extensions of an organization, must have the
ceptualizations or insights offered.
capacity for understanding and executing the pro-
The studies and articles summarized in this
posed innovation. The individuals who are to
document point up the complex interaction of the
"own" the new way of doing something must have
determinants bearing upon effective use of knowl-
the emotional commitment, feelings of security,
edge. At the risk of oversimplification, these deter-
openness of attitude toward and feeling of readi-
minants may be subsumed under four basic
ness for the change if it is to take root. The poten-
requirements: the innovation itself must seem rela-
tial users must have the capabilities required to
tively worthwhile to those who have the power to
implement it. And potential user organizations or
opt for adoption (for whatever reasons); and the
institutions need the leadership qualities and inter-
innovative person, agency, or organization must be
nal advocacy or "championship" necessary for
able, willing, and informed if the innovation is to
sustaining new procedures or new forms of behav-
be viable without the sustained imposition of exter-
ior. Evidence of greater efficacy than available
nal overpowering force. The scope of these four
alternative, habitual procedures often is not by
terms requires some stretching to include the many
itself sufficient. To adopt certain kinds of changes,
variables bearing on knowledge utilization.
organizations must have structures that can func-
It may be self-evident to note that the innova-
tion effectively toward carrying out the tasks re-
tion must be found worthwhile, and if it is to be
quired for goal attainment, unhampered by (or able
sustained, worthwhile by the test of time/exper-
to get around) excessive bureaucratic inhibitors or
ience. It must be effective for its purpose, generally
external restraints. Similarly, the organizational
more cost-effective than available alternatives for
climate, with the implications of that climate for
the same purpose, and reasonably "debugged" of
reducing communication barriers, stimulating
significant negative qualities or undesirable side
productive thinking and timely action, and sus-
effects.
taining employee concern for effective task perfor-
To determine worthwhileness, both formative
mance, can contribute much to facilitate the inno-
and summative evaluations are useful. Conducted
vative process. Further, the requirement of organi-
before (to establish baseline conditions), during,
zation capability implies the ability to carry out
and after the implementation of an innovation,
the several stages or phases of the knowledge-
evaluation can offer needed evidence regarding
utilization process. Whole sets of specific compe-
whether a change is positive, is congruent with
tencies are required for the successful execution
organizational or individual goals, and meets or
of each step, from problem awareness to follow-
exceeds expectations. It also can serve to identify
through.
problems or negative effects; if these are found,
Willingness, the motivational sphere, has a num-
feedback of that information can be used construc-
ber of ramifications. The user's goals, values, sen-
tively to bring about adjustments for improvement.
sitivities, preferences, and interests are all involved.
Howard Davis* in fact cites the positive inter-
The potential user (or his organizational counter-
action effect between evaluation and change. In
part) must find the innovative project credible,
describing this effect he uses the term "target-
relevant to his needs or wants, and seeming to pos-
*Stated at an NIMH-sponsored Conference for the Study of
sess some relative advantage over alternative ways
Evaluation and Planned Change, held at Palo Alto, California,
of satisfying that need-to borrow from the COR-
February, 1976.
RECT list of proposals by Glaser (1973). The A
CONCLUDING COMMENTS
73
VICTORY list of Davis (1971, 1973, 1975) focuses
capability and motivation of both the developers/
on similar considerations, such as values, feeling of
senders and the receivers of the information. The
obligation to undertake the change, and yield.
concept of motivation in this context suggests that
From the H-E-L-P S-C-O-R-E-S list reported by
information about a problem or about an innova-
Havelock and Lingwood (1973) come such terms
tion which might better solve a problem is not
as: homophily, empathy, reward, and energy,
likely to be impactful-nor likely to be transformed
which all relate to motivational considerations
into a felt "need" unless it (somehow) becomes
that influence the likelihood of adoption of a given
charged with concern. To know and to feel are the
innovation.
ingredients likely to make for adoptive action. As
Motivational factors also are included in the set
long as knowledge is untouched by concern, there
of probable influences on adoption of scientific and
is no stake in what the knowledge reveals.
technological innovations as presented by the Bat-
Model building offers further opportunity for
telle Columbus Laboratories (National Science
examining the place of the fundamental factors of
Foundation, 1973). M. Becker (1970a) studying
ability, willingness (including deliberate efforts to
knowledge utilization by health professionals, and
involve potential users as contributors or "co-
other investigators conducting similar studies in
architects" of the R&D effort), and information
other fields, support the high place assigned self-
(including provision of technical assistance con-
interest, achievement drives, openness, and related
sultation, if desired, to assist in the process of intro-
motivational factors as influencing the acceptance
ducing an innovation) in the research utilization
of innovative proposals.
process. It may suffice to note that each model or
Information in this context would include a full
quasi-model assigns varying weight to each of the
range of content, from abstract to concrete and
key elements. Of special interest, perhaps, is the
subjective to objective, as well as a full range of
observation that some of the models include provi-
methods of presentation, from descriptive to com-
sion, not simply for enhancing information flow,
parative to analytical. It may derive from inter-
but also for increasing capability and willingness,
personal contacts, printed materials, or personal
particularly of potential users, and for cross-
experience. Once information is obtained, its
validating innovations to verify their efficacy under
appropriate dissemination provides the basis for
varied conditions of application.
linking research with practice. Thus, it would seem
to be an obvious consideration that potential users
Future Prospects
should receive information concerning a projected
innovation, yet studies show research centers and
Despite an increasing store of practical wisdom
other agencies are not always effective in seeing
concerning the subject of change, innovation, and
that such information reaches the consumer, or
knowledge utilization, as well as a recent expansion
that it does SO in attention-arresting form. This has
of an interest in conceptual models, there are many
been noted in the case of low level of awareness on
unexplored areas and untested fields.
the part of many commercial firms about seem-
What, then, is the state of the art and its pros-
ingly relevant NASA materials. Theoretically they
pects for the future? As previously noted, the sum-
might be expected to exploit the findings derived
marized reports vary in character from statements
from the space program, obtained at tremendous
of "conventional wisdom" to statistically or experi-
expense and available through NASA (Greenberg,
mentally controlled empirical investigations. The
1967).
resultant "findings" reflect this mixture of intuitive
Capability, willingness and information are
and objective inputs. One is left with the overall
closely linked. Insufficient motivation may inhibit
impression that whatever the underlying rational-
informational linkage between researchers and
intellectual basis for utilization behavior when
users, but equally important may be the inappro-
innovations offer objective evidence of relative
priateness or the inadequacy of the communication
efficacy, there also is needed an essentially subjec-
media employed.
tive overlay of sensitive interpersonal relations that
The role of the change agent or the change
serve as strong links between researchers-adminis-
agency does not obviate the need for developers of
trators-practitioners. That this is so can be gleaned,
promising new knowledge to think about how to
in part, from the character of proposals for the
increase the capability and the motivation of poten-
training of change agents or knowledge linkers.
tial users of an innovative program to perceive its
Further, one may inquire as to the state of devel-
areas of relevant, cost-beneficial application. The
opment in which the art finds itself. One is tempted
efficacy of information flow is dependent in part on
to borrow a conceptualization from Piaget, namely,
PUTTING KNOWLEDGE TO USE
74
to speak of the advice offered regarding research
ables call for investigation. Untested hypotheses
utilization strategies as reflecting the develop-
abound in the literature. In particular, there is a
mental stage of concrete operations. Pragmatic
need for competent strategy evaluation studies.
experience seems to lie largely at the base of the
Large-scale cooperative studies that tap the tal-
operative mode. And yet, there are evidences, as
ents of seasoned researchers in the field of know-
noted earlier, of excursions into operational thought
ledge utilization seem especially promising. One
embodying complex relationships, the use of
such study sought to find out how three teams of
abstract constructs and theoretical models, and the
specialists in problems of knowledge utilization
employment of research validation of hypotheses
might address a given problem (Edward Glaser and
and theories.
colleagues, Ronald Lippitt and colleagues, Everett
Further conceptualization and additional em-
Rogers and colleagues), first working indepen-
pirical research seem both to be required and to be
dently, then coming together in conference. This
in the works, while at the same time there appears
approach was tried by Havelock in the course of an
to be widening interest and increasing formal sup-
attempt to suggest an "ideal" research utilization
port in the matter of applying already known prin-
pattern for the Social and Rehabilitation Service
ciples for putting knowledge to use.
(Havelock, 1974a). The three approaches were both
With regard to conceptualization, the trend calls
overlapping and different, with a good deal of inte-
for further exploitation of ideas derived from sys-
gration growing out of the exposition and critical
tems theory. Already, a number of models of re-
review of the separate position papers at a two-day
search utilization recognize the existence of sub-
conference.
systems and suprasystems among the phenomena
Glaser (1973) has suggested what might be
of change and utilization processes. This is true in
termed a strategy or "theorem" bearing upon re-
the case of the model reported by Havelock and
search utilization that can have relevance to many
Lingwood (1973), which, as previously noted, pro-
fields of operation in our own society, namely:
vides for a user system, a resource system, a need-
For any problem that is confronted by
processing system, a solution-processing system, a
many individuals, groups, organizations or
microsystem, and a macrosystem.
institutions, the range of response-effec-
At the level of empirical research, there are
tiveness approximates the normal bell-
countless specific topics that invite investigation.
shaped distribution curve. If we can iden-
The number of empirical studies reported in the
tify the qualities that characterize the most
distillation is relatively small compared to non-
exemplary practices-the upper 1-2 per-
cent of that curve-and determine the con-
empirical studies. And many of the empirical in-
ditions that seem to account for this rela-
vestigations could well warrant replication, if not in
tive excellence, we may find generaliza-
their original form, then modified in one way or
tions that perhaps can be applied or
another. Studies conducted with respect to one
adapted by others, replacing the less effec-
area of application may warrant repetition in each
tive modes of response. If so, the quality of
of a number of other fields. For example, in a study
life in many functional areas can be up-
now in process by Hodgkin et al. (1975) which ex-
graded rather quickly. At the same time,
plores the value of developing a comprehensive,
even the best available knowledge and
repeatedly refined state-of-the-art paper in the
practice may be deficient in various ways,
biomedical field contributed to by successive
thus calling for a continuing search for new
and greater knowledge.
groups of potential users, there is evidence of very
considerable impact in terms of interested response
This concept and strategy seem to have promise
(requests for over 7,000 reprints within three
for facilitating the spread of relatively superior
months following publication, plus many letters of
ways of dealing with many existing problems. Mer-
comment for interaction with the authors). If the
ton (1962) offers a related observation:
strategy does prove useful for spreading "best
In the world laboratory of the sociologist,
known practices" in relation to this particular
as in the more secluded laboratories of the
problem (diagnosis and comprehensive care for
physicist and chemist, it is the successful
persons with chronic obstructive airway diseases),
experiment which is decisive [if it can be
might it be equally useful for other biomedical
cross-validated] and not the thousand-and-
one failures which preceded it. More is
problems such as arthritis, or for problems in edu-
learned from the single success than from
cation, rehabilitation, mental health, criminal jus-
the multiple failures. A single success [of a
tice, etc.? Numerous other differentiations in vari-
controlled experiment, not a chance hap-
CONCLUDING COMMENTS
75
pening] proves it can be done. Thereafter,
technical assistance consultation, or further link-
it is necessary only to learn what [condi-
ing-agent service between researchers, practi-
tions] made it work.
tioners and administrators may well result.
Finally, the monitoring, in the sense of federal
The contemporary pace and scale of change in
agency support of research on research utilization
our society may continue to accelerate, as Toffler
itself, is much needed and has been manifested in
and others have suggested. If this is found to be
the past few years. Monitoring should prove useful
true, then a problem already with us-and likely to
in establishing priorities for evaluation of RU
become of increasing concern-may be that of
efforts and "plowing back" what is learned into the
achieving reasonable stability and conservation of
various stages of the R&D process. It may be car-
those things that seem good, rather than just the
ried out with governmental and nongovernmental
problem of searching for promising innovative
agencies, and perhaps lead to the development of
programs. In some areas of our lives it would appear
new R&D support systems-for client-users and for
that a most welcome change would be stability-
the R&D community. Increased availability of
for a change!
PUTTING KNOWLEDGE TO USE
76
SUMMARIES
OF SELECTED
LITERATURE
Arrangement, Headings, and Indexes
The summaries are arranged alphabetically by author, and are numbered serially, the
number appearing above the name of the author.
To assist the reader in locating desired material, headings at top right of each summary
indicate the following:
1. First entry, in capital letters: the principal topic covered by the summary
2. Subsequent entries, above the line: the secondary topics covered in the summary
3. Below the line, in capitals: the type of study summarized
To further assist the reader, three outline indexes have been prepared, as follows:
1. An index of summaries grouped according to the change aspects discussed (change
resistance, linkage process, etc.), pp. 417 to 418.
2. An index of summaries grouped according to the type or mode of the summarized
studies (case study, review of literature, analysis, etc.), p. 418.
3. An index of summaries grouped according to the area of application to which the
articles refer (education, mental health, social work, etc.), p. 418.
The numbers in the Indexes refer to the serial number (not page number) of each
summary.
1
ORGANIZATIONAL FACTORS
Innovation: education
Resistance to change
ANALYSIS
Abbott, Max C. Hierarchical impediments to innovation in educational organizations. In M. C. Abbott and
J. T. Lowell (Eds.), Change perspectives in educational administration. Auburn, Alabama: Auburn
University, 1965.
Purpose
Findings and Conclusions
The article seeks to indicate how the hierarchial
1. The authority in a bureaucratic structure is
bureaucratic structure in educational organiza-
often based on charismatic characteristics. Em-
tions tends to impede decision making regarding
phasis is placed on the "rights" of administrators
the need for new programs and when they should
and the "obligations" of teachers. The structure
be instituted, and inhibits program development.
tends to undermine the professional development
of the teaching role.
2. In calling for a new conceptualization of the
structure of the educational organization the
Method
author argues that it is necessary first to modify
the ideology which permeates the institution. In
The author uses Weber's bureaucratic paradigm
particular, he challenges that part of the ideology
in describing typical school organization. Further
that supports and encourages the appropriation
interpretations are based on the author's observa-
of hierarchical prerogatives to enhance the personal
tion and judgment.
status of those in administrative positions.
SUMMARIES
77
2
KNOWLEDGE UTILIZATION
Innovation characteristics
Research-practitioner gap
Information needs
EMPIRICAL STUDY
Abelson, Harold H. Teachers' responsiveness to selected psycho-educational ideas. (Report No. 70-1) New
York: Division of Teacher Education, The City University of New York, 1970.
Purpose
acteristic, and F values determined by a computer-
ized analysis-of-variance program. The inter-
Concerned with the wide discrepancy between
relationships among the item characteristics were
available psycho-educational ideas on the one
also determined in an effort to sort out possible
hand and teaching practice on the other, the study
indirect sources of influence on the ratings assigned
surveys the way a small sample of young teachers
the items by the teachers.
judge selected ideas with respect to their impor-
Mean item ratings for each of the criteria were
tance for teaching, their current application, and
obtained as well for various subgroups of the
their comprehensibility. These perceptions are re-
respondents.
lated to certain characteristics of the stated ideas
A speculative analysis was made of the elements
in order to suggest hypotheses as to why some of
that may go into the process of transforming ideas
the ideas are found more acceptable and applicable
into practice.
than others. As a pilot investigation, the study is
also concerned with the refinement of instruments
Findings and Conclusions
and techiques, and with the presentation of a con-
ceptual model of the process whereby ideas may be
Results of the statistical analyses are presented
transformed into practice.
first, followed by the author's suggestions for fur-
ther research, and concluding with his analysis of
Method
the process whereby ideas are transformed into
practice.
Based on reference to various psychological
1. The mean rating of the importance of the
sources over a long period of years, the author pre-
ideas for teaching was markedly higher than the
pared a varied list of prescriptive statements em-
mean rating assigned the application of the ideas to
bodying psycho-educational principles. An initial
teaching. This was true for every subgroup of tea-
group of 20 and a replication group of 30 teachers
chers, whether subdivided according to grade
rated the 120 items on a three-point scale with
taught, amount of teaching experience, socio-
respect to: importance for successful teaching;
economic level of pupils taught, or number of
application in current practice; and comprehensi-
psychology courses taken.
bility. Mean item ratings according to each of the
2. The correlations of the mean item ratings for
three criteria were determined, and correlations
paired criteria were uniformly high: .865 between
were computed between them for paired criteria.
Importance and Application; 879 between Impor-
Each item was independently examined by the
tance and Comprehensibility; and .844 between
author and categorized under a number of charac-
Application and Comprehensibility. When the
teristics, including the following:
maximum influence of halo effect is taken into
1. Sentence complexity (as possibly being a
account (by determining comparable correlations
spurious influence).
between different groups of respondents) the co-
2. Cognitive versus actional stress.
efficients drop, on the average, to 708-still ap-
3. Technicality.
preciably high.
4. Psychological school of thought implied.
3. The technicality of an item showed, far and
5. Aspect of the teaching-learning process to
away, the highest relationship with the mean item
which it refers.
ratings for each criterion, the higher the techni-
The mean of the mean item ratings was calcu-
cality, the lower the rating of the idea. The sen-
lated for each subgroup of items under each char-
tence complexity of the statement of the idea
78
PUTTING KNOWLEDGE TO USE
showed a relatively slight relationship in the same
(4) The further characterization of ideas in
direction-one, however, that was hardly sufficient
terms of their origin, assumptive basis,
to affect the result with respect to the technicality
sources of support, and relation to other
of the idea itself.
ideas within the framework of a theory,
4. The aspect of the teaching-learning process
school of thought, or discipline.
referred to showed the second highest relationship
(b) Communication and dissemination of ideas:
with criterial ratings of the ideational statements.
(1) Communicability in terms of abstract-
Items referring to pupils and to teaching proce-
ness, complexity, precision, expansive-
dures were rated notably higher in all three criteria
ness, overtness, and ease of practical
than principles of curricular selection, organiza-
illustration.
tion, or sequencing, on the average.
(2) Manner of linguistic expression suited to
5. Statements calling for action, as distinguished
the dissemination of the idea, including
from cognitive consideration, were assigned some-
writing, style, appropriateness of con-
what higher ratings, in general, on all three criteria.
ventional forms used in research reports,
6. As regards psychological school of thought,
textbooks, syllabi, feature articles, etc.
psychodynamic references were rated higher, on
(3) The nature of communication in terms
the average, on all criteria as compared with ideas
of the status and prestige of the trans-
related to either cognitive or behavioral psychology.
mitter of the idea, group identifications,
7. The close interrelationships in the placement
and accepted teaching and supervisory
of items according to the several item characteristics
roles.
suggest that high technicality of an item may well
(c) Professional education, supervision, and
be a cause of lower ratings with respect to other
growth as related to the transmission and
item characteristics, such as aspect of the teaching-
implementation of the ideas, including:
learning process, or school of psychological thought.
(1) The identification of persons who may
8. Since technicality may be a key to the extent
assume the role of recipients.
to which an idea is applied in practice, further
(2) The place of human and nonhuman
research is needed to determine the extent to which
media of communication, including the
the problem rests with the intrinsic abstractness,
potential use of the hardware and soft-
complexity, or subtlety of the idea, the manner of
ware of instructional technology.
its communication, or the increase in comprehen-
(3) The characteristics of teachers as learn-
sibility through improved training of potential
ers: their capability and readiness for
users of the idea.
grasping new ideas, their motivation and
9. However, despite its apparent centrality,
professional outlook, their beliefs as to
technicality is but one of a number of factors that
the relevancy and importance of the
may determine the acceptability of application in
ideas, their style of coping with learning
practice of psycho-educational ideas.
tasks, their ability to translate ideas into
10. An item data bank of criterial ratings by
behavior, etc.
potential users of ideas and information concerning
(4) The sequencing of ideas in the profes-
the expert categorization of items in terms of their
sional curriculum, including pre-service
characteristics may prove useful in planning train-
and in-service, formal and informal, op-
ing programs calculated to narrow the gap between
portunities for instruction and growth.
ideas and their application.
(d) The feasibility of executing the stated idea
11. The problem of transforming ideas into prac-
under given conditions dependent on factors
tice may be viewed speculatively as entailing a
such as the following:
transactional process analysis involving aspects or
(1) Sufficient time to carry out its dictates.
elements such as the following:
(2) Amount of money, effort, or human re-
(a) Description of the ideas themselves:
sources necessary to execute the idea.
(1) The identification and selection of per-
(3) The overall logistics of delivering the
tinent ideas.
educational service implicit in the idea.
(2) The statement of the ideas in manage-
12. In view of the complexity of the process of
able (usually prescriptive) terms.
transforming ideas into practice, in place of quick,
(3) The application to the ideas of criteria of
ad hoc solutions to problems applied in a piece-
soundness, validity, significance, rele-
meal manner, it is essential that the (innovative)
vance, realism, and generality.
task be viewed in terms of a meaningful conceptual
SUMMARIES
79
model, preferably reflecting the principles of sys-
characterized by programmatic, long-range
tems theory, and that research on the problem be
planning.
3
RESISTANCE TO CHANGE
Innovation: mental hospital
Resistance reduction
CASE STUDY
Agnew, P. C., and Hsu, F. L. K. Introducing change in a mental hospital. Human Organization, 1960, 19,
195-198.
Purpose
jections to the change stopped a week or so after
the change had been instituted.
The authors describe the processes involved in
introducing an innovation and overcoming the
3. Analysis of Shift in Acceptance-in their
resistance to the innovation.
analysis of the shift from resistance to acceptance,
the authors focus on two aspects; (1) the tech-
Method
niques used by the psychiatrists in dealing with the
resistance, and (2) the deeper emotional sources
This is an observational study in which the
of the resistance.
authors describe and analyze the changes they
saw occurring. The setting for the study was a 34-
(a) The psychiatrists' techniques involved en-
bed psychiatric ward of a 516-bed general and
couraging the personnel to express their
surgical Veterans Administration hospital. The
hostile feelings, while presenting in a calm
innovation studied was: patients wearing their own
way detailed solutions to the real problems
clothing throughout their stay in the hospital.
involved in implementing the change.
(b) The deeper emotional sources of resistance
Findings and Conclusions
are related to the theory of American self-
reliance. Americans are likely to resist
1. Staff acceptance-with the presentation of
change imposed on them by authority from
the proposed change came immediate resistance.
above. The authors suggest that the basis of
Many and varied reasons why the change could not
the resistance to the change was the per-
be carried out successfully were outlined by
ceived lack of involvement in the decision-
opposing staff members.
making process. Blind acceptance of author-
(a) A series of six meetings, held over a 4-month
ity would mean reduction of self-respect, and
period, developed several proposals for deal-
self-reliance.
ing with the problems arising from the adop-
The authors argue that through the meet-
tion of the proposed change.
ings the involved staff began to internalize
(b) In these meetings, free and open discussion
the change, feeling they themselves had
prevailed among involved staff members,
something to do with its origination. It was
and over the course of the meetings there was
no longer seen as threatening to their self-
a shift from seeing the proposal as totally
reliance and self-respect. The authors felt
impossible to reaching workable solutions for
that the patients came to accept the change
the problems involved with adoption of the
because the idea of increased individuality
innovation.
provided fresh support and new directions
for their self-esteem.
2. Patient Acceptance-the staff were not the
only individuals involved. The patients also had
4. Authors' Discussion of Implications-the
to accept the change. When the idea was outlined
authors feel that the implications of their study are
at the patients' weekly forum, the patients also
particularly important for the administration of
expressed immediate objections; however, their ob-
large, bureaucratic organizations in which the
PUTTING KNOWLEDGE TO USE
80
profit motive is absent and in which job security
is taken into consideration. A series of con-
does not fluctuate directly with production. Emerg-
ferences avoiding any show of authority and
ing from this study are the following conclusions:
emphasizing the independence of all partici-
pants seems an effective method.
(a) When an innovation is introduced into an
(c) A balance between maximized feeling of
organization, resistance is to be expected.
independence and the need for enforcing
(b) This resistance can be reduced or eliminated
policy and authority is the most essential
if the American culture pattern of equiva-
part of administrative technique in American
lence between self-reliance and self-respect
society.
4
ORGANIZATIONAL FACTORS
Innovation: welfare agencies
Implementation of programs
EMPIRICAL STUDY
Aiken, M., and Hage, J. The relationship between organizational factors and the acceptance of new
rehabilitation programs in mental retardation. Washington, D.C.: Social and Rehabilitation Service
(formerly Vocational Rehabilitation Administration), report of project RD-1556-G, Jan. 1, 1968.
Purpose
amount of professional training, amount of hier-
archy of authority, amount of rule observation,
The two major objectives of this research study
had little or no association with the program rate
were to determine on the one hand those organiza-
change.
tional characteristics that affect the rate of pro-
gram innovation in welfare agencies and, on the
4. Several personality variables were considered
other hand, those that affect the extent of coopera-
and were only weakly associated with organiza-
tional innovation.
tion among them.
5. The best predictors for future innovation,
Method
even after controlling for factors of organizational
size, age, etc., are the number of occupational
This is an intensive longitudinal study of 16
specialties and the extent of extra-organizational
rehabilitation organizations.
professional activity.
Findings and Conclusions
6. Those organizations most likely to have many
cooperative relationships have the following
1. The rate of new program implementation was
characteristics:
highly and positively correlated with the following
(a) A high number of different occupational
staff characteristics:
specialties.
(a) The number of occupational specialties.
(b) A high rate of program innovation.
(b) The amount of extra-organizational profes-
(c) A high degree of extra-organizational pro-
sional training.
fessional activity.
(c) The amount of participation and decision-
(d) A high degree of participation by staff in
making.
decision making.
(d) The amount of job morale.
(e) A high frequency of committee meetings.
2. It was negatively correlated with:
7. From a practical point of view, this suggests
(a) The amount of job codification.
that government agencies interested in increasing
(b) The satisfaction with expressive relation-
the likelihood of successful demonstration grants
ships.
should look to organizations with a wide number
of organizational specialties and a previous his-
3. Other factors that were considered, such as
tory of successful program change. For those
SUMMARIES
81
leaders of health and welfare organizations inter-
boards of directors of private agencies had little or
ested in increasing program implementation, an
no relationship to organizational innovation. In
increase in the following characteristics of their
terms of cooperation, the authors note that joint
organizations is recommended.
programs are more likely to occur in research and
(a) Number of occupational specialties.
education areas than in various kinds of service
(b) Amount of extra-organizational professional
activities and are more likely to occur between
activity.
complex organizations.
(c) Amount of participation in organizational
11. The authors' final conclusion is: "Together
decision making.
these findings might suggest it would be better to
(d) The amount of job morale.
develop cooperative relationships among organiza-
tions by granting funds for the development of
8. Closeness of supervision should be decreased
new programs and allowing increasing complexity
as should specification of role requirements of jobs.
to lead to spontaneous cooperative relationships;
9. The rate of program implementation should
or by granting funds to several private agencies
not be accelerated too rapidly, even given avail-
simultaneously. At the same time, this is unlikely
ability of additional funds. Growth without in-
to achieve the goal of coordination of community
ternal strains is best achieved at a constant pace.
efforts. Indeed the problems that emerge from the
10. Frequency of committee meetings and num-
needs from organizational autonomy are likely to
ber of informal contacts of lower status staff with
make such a project highly problematic."
higher status staff, especially with departments
12. The third objective of this study was to test
other than their own, are correlated with program
predictions on joint programs, but this has not
implementation. Also, if the staff perceives an
been possible yet because the project has not de-
emphasis on new programs, new programs are more
veloped any joint programs with the 16 organiza-
likely. On the other hand, characteristics of the
tions in the sample.
5
RESISTANCE TO CHANGE
Change in beliefs
Resistance reduction
EXPERIMENTAL STUDY
Anderson, L. R., and McGuire, W. J. Prior reassurance of group consensus as a factor in producing resis-
tance to persuasion. Sociometry, 1965, 28, 44-56.
Purpose
because their free hours coincided with laboratory
This study was designed to test the notion that a
schedules. They were divided into three groups and
highly reassuring defense confers less resistance to
each group was exposed to a different type of writ-
a subsequent persuasive attack than does a more
ten message concerning generally, strongly held
threatening defense. The authors suggest than an
beliefs* concerning health practices. The three
individual's ignorance of opposing beliefs and/or
prepersuasion treatments were: (1) a message sup-
arguments against his makes him overconfident
portive of currently held beliefs, (2) a message con-
about his beliefs; hence he is little motivated to
taining arguments that were to be used later in an
absorb a defense even when one is presented to him.
attempt to change currently held beliefs, and (3) a
What he needs in order to develop resistance is not
message that was generally contrary to currently
a reassuring defense telling him the reasons his
held beliefs but that did not contain the actual
belief is true, but a threatening defense that makes
arguments to be used in the later change attempt.
him realize the belief's vulnerability.
Following the initial exposure all subjects were
exposed to the same attempt to change their beliefs.
Method
*These were determined from a preexperiment survey of
A total of 96 students from a general psychology
beliefs and issues concerning commonly accepted health prac-
class were selected from 1,500 possible subjects
tices.
82
PUTTING KNOWLEDGE TO USE
Findings and Conclusions
ments held against their beliefs, even if the argu-
ments are not the ones used in the persuasion
1. Individuals exposed to messages containing
attempt.
supportive arguments for currently held beliefs are
3. When individuals are presented with argu-
more vulnerable to attempts made to change their
beliefs.
ments that are to be used again in attacking their
beliefs, they are most resistant to attempts to per-
2. Individuals become more resistant to persua-
suade them to a position other than the one they
sion attempts when they are presented with argu-
hold.
6
INNOVATION: SCIENTIFIC
Organizational climate
Interpersonal relations
ANALYSIS AND SUGGESTIONS
Andrews, F. M., and Farris, G. F. Supervisory practices and innovation in scientific teams. Personnel Psy-
chology, 1967, 20, 497-516.
Purpose
visors who knew the technical details of their
The paper explores the relationship between
subordinates' work, who could critically evaluate
supervisory practice and scientific performance.
that work, and who could influence work goals. On
the other hand, if the supervisor's technical com-
Method
petence has become obsolete or if the work situa-
tion is surrounded by obsolete or less favorable
Twenty-one teams of non-supervisory scientists
conditions, the data suggest that it is better to pro-
were observed.
vide substantial freedom for subordinates. Free-
dom is seen as a partial substitute for supervision.
Findings and Conclusions
For freedom to be effective, the supervisor must
1. When performance was measured in terms of
consult with his subordinates before certain kinds
innovation, systematic differences between super-
of decisions are made.
visory groups were clearly evident, and these differ-
3. It was found that innovation tended to be low
ences were related to supervisory practices. The
when supervisors were considered effective at
findings suggest that the supervisor may play an
human relations or administration. Freeing super-
important role in enhancing or depressing innova-
visors from responsibilities in the human relations
tion.
and administrative areas may enhance innovation,
2. Greatest innovation occurred under super-
according to the data obtained in this study.
7
RESEARCH UTILIZATION:
MILITARY
Change agent
ANALYTICAL MODEL
Archibald, Kathleen. The utilization of social research and policy analysis. (Doctoral dissertation, Wash-
ington University) Ann Arbor, Mich.: University Microfilms, 1968, No. 68-10, 771.
Purpose
The author explores the diverse approaches to
systematic and generalized description of the ra-
the activity termed social science. She provides a
tionales, structural opportunities, tactics, and
SUMMARIES
83
consequences of the activities of applied social
(2) focused interviews with 34 staff members of the
scientists. This is used as a basis for answering the
U.S. Disarmament Administration, and more
question: How can the social sciences be more ef-
open-ended and intensive interviews with 13 ex-
fectively utilized in the formulation of policy?
perts; and (3) observation of several meetings be-
tween disarmament personnel and social scientists.
Method
Findings and Conclusions
The author focuses on the policy area of arms
1. The author assumes that many of the prob-
control, disarmament, and defense. Her main point
lems arising in the applied social sciences can best
of reference when discussing the applied social
be understood as problems of the role of the applied
scientist is the expert with reformist interest (ex-
social scientist. Three basic orientations of applied
perts who both seek knowledge and seek to have it
social scientists which can be thought of as "ideal
used in the service of desired changes).
types" are identified: the academic, the clinical,
The data for the analysis come from: (1) a
and the strategic. The differentiating characteris-
thorough review and analysis of the literature re-
tics of the three orientations are summarized in
lated to policy analysis and applied social science;
Figure 1.
FIGURE 1
Summary of Typology of Orientations
Academic orientation
Clinical orientation
Strategic orientation
Applied activities bounded by
Applied activities bounded by
Applied activities bounded by problem.
discipline.
alter.¹
Nonspecific diagnosis.
Specific diagnosis concerning
Specific diagnosis concerning alter's
Works in arca defined by policy
alter, that is, the user audience
resources and/or environment.
concerns, but on problems chosen
itself. Talks about policymakers
Talks about policy, content of policy.
in terms of disciplinary criteria.
or policy process.
Alter assumed to know own
Alter assumed not to understand
Alter may or may not know own prob-
problem, or at least not the
own problem ; expert performs
lem, but assumed to often ask the
expert's worry if alter does not.
interpretive function.
wrong questions about it.
Contributes to alter: Conceptual
Contributes to alter: New way
Contributes to alter: Analysis of prac-
framework, general principles,
of approaching reality, self-
tical problem as it "should" confront
and/or empirical information.
understanding, and/or techniques.
alter, explication of alternatives,
and/or specific recommendations.
Disciplinary colleagues remain
User audiences at least as
User audiences at least as important
the primary audience, user
important as disciplinary
as disciplinary colleagues.
audiences secondary.
colleagues.
Insignia of expertise: precision
Insignia of expertise: perhaps
Insignia of expertise: precision on the
on disciplinary details.
careful specification of intentions
details of alter's data.
and values.
Expert feels he or his discipline
Expert feels it is his responsibility,
Responsibility defined in terms of
has some responsibility to con-
and his discipline's, to contribute
being careful and precise when
tribute to the solution of practical
as much as possible to the solution
working on practical problems and
problems.
of practical problems.
when interacting with user
audiences.
Stated interest in communicating
States interest in helping alter.
Stated interest in influencing alter.
to alter, often through
Asymmetrical.2
Symmetrical2
intermediary.
Alter seen as different.
Alter seen as often irrational,
Alter seen as usually rational but not
Nonutilization explained by cultural
constrained. Nonutilization
always intelligent. Nonutilization
gap, missing middlemen, or fact
explained by resistance and/or
explained by misunderstanding,
that expert contribution is only
nonsupportive environment.
ignorance, parochial interests,
one of many inputs.
and/or inertia.
1 Alter is a synonym of client, user, target, or practitioner.
2 An asymmetrical relationship implies help for the alter; the expert does not expect to be helped in return. A
symmetrical relationship with the alter means the expert expects to influence the alter and he expects the alter to
influence him, in turn. It implies the probability of mutual influence.
84
PUTTING KNOWLEDGE TO USE
2. The norms, values, and incentives of pure
science provide the basis for the social structure of
Future
Implementors
the science system. Applied science is a low-status
Educator
and marginal member of the science system be-
Public
Publicist
Applied
Audiences
Social
cause many of its norms are different. The applied
Scientists
scientist's orientation to some kind of user audi-
Advisor
Implementors
ence other than fellow scientists or students is the
Crienge Agent
Clients
essential distinguishing characteristic of applied
social science.
Direct
Targets
Client-
Indirect
Targets
3. Of the structured sources of potential influ-
Direction of
ence on the applied social scientist, the greatest
potential influence
influence comes from pure science. Another pos-
FIGURE 2.
sible source of influence for the applied scientist is
Possible Role Relationships for the Applied
Social Scientist in Utilization Activities
a reference group of other applied scientists. Were
such a reference group to develop, it could serve the
6. The author specifies the conditions under
following functions: (a) provide criteria of legiti-
which one orientation (academic, clinical, or stra-
macy for applied science, (b) provide some criteria
tegic) is more appropriate than another.
for evaluating the quality of applied science, (c)
establish ethical behavior codes, and (d) prescribe
(a) The role of the change agent-any of the
efficacious behavior vis-a-vis clients.
three orientations may be useful to the
4. Several different consumer roles of applied
change agent, depending on the situation.
social science research are defined:
(1) A clinical orientation in the change agent
role is appropriate when three conditions
(a) Targets or target systems are the entities
are met. (a) The client perceives a need
which are supposed to be changed, or im-
for change; (b) when the change agent is
proved, or otherwise affected by the expert's
viewed as being fully the agent of the
contribution. A target may or may not be in
client target (is trusted); and (c) when
direct contact with the expert.
the change agent has sufficient access to,
(b) Implementers are all those persons or social
and leverage with, the client target.
units who, as relatively autonomous deci-
The clinical orientation is particularly
sion-making units, give practical effect or ex-
appropriate in the following situations:
pression to an expert's knowledge.
(a) when severe conflict between two or
(1) Clients or client systems are those social
more social units exists, (b) when by
units which utilize the expert's knowl-
adopting a clinical orientation the change
edge and are at some point in direct con-
agent can effect change in one member of
tact with the expert or expert system.
a group and thereby affect change
(2) Client targets or client-target systems are
throughout the group, (c) when an orga-
those social units implementing the ex-
nization recognizes itself in a state of dire
pert's knowledge and being changed by
crisis, and (d) when it is a case of limited
it.
and specific change.
(c) The public audience are those role others who
(2) An academic orientation to the change
are neither implementers nor targets, but ra-
agent role may be appropriate if the
ther are transmission channels. The applied
client target does not feel a strong need
social scientist is enacting a publicist role
for help, if it has a favorable view of social
when he communicates with the public
science, and if the collection of data
audience.
causes little inconvenience to the client
(d) Future implementers are those individuals
target. An academic orientation may lead
who may eventually produce long-term, non-
to a better understanding of the client
specific applied payoffs. Students would be a
target's problems, but it will not produce
good example of future implementers. The
change unless both the change agent and
applied scientist is enacting an educator role
the client are able and eager to make it.
in this instance.
(3) A strategic orientation is appropriate
5. The possible role relationships between ap-
when a symptomatic analysis of the alter
plied scientists and the various consumers audi-
situation is required; i.e., the diagnosis is
ences are summarized in Figure 2.
made in terms of the alter's resources and
SUMMARIES
85
environment. In many instances the most
applied scientist is advocated which focuses
fruitful change agent approach may in-
on applied social research as a sequential
volve first a strategic orientation to get
transaction. This focus suggests looking at
the ball rolling, then a clinical orienta-
applied science as a relationship or trans-
tion to apply leverage and secure change.
action between a scientist and some user
(b) The role of advisor-in the advisory situa-
audience. For the transaction to be complete
tion, the strategic orientation is most appro-
there must be some utilization of the knowl-
priate. The probability of mutual influence
edge produced. The transaction sequence is
inherent in the strategic orientation is most
affected by the openness or "closedness" of
suited to the advisory situation. The aca-
the communication. The more closed a trans-
demic orientation is not often effective be-
action the more limitations on the applied
cause it is not likely to produce a specific
scientist. This applies particularly to limi-
diagnosis of a client's situation, and the clini-
tations imposed by either the client or the
cal orientation is usually inappropriate as the
scientist on the scientist's ability to com-
client is treated in a way he does not expect.
municate the knowledge he has produced to
(c) The role of educator-the academic orienta-
other audiences.
tion is most appropriate in the situation
where the applied scientist's "role others"
(b) The critical trade-off: felt autonomy versus
are not current implementors. General knowl-
felt influence-autonomy is the salient vari-
edge is provided in the hope that it will be-
able in the production of knowledge, and in-
fluence is the most salient variable in the use
come relevant at some later date.
of knowledge phase. Although the academic
7. The consequences of the applied social scien-
orientation is least costly and least risky of
tist's orientation are discussed in terms of trans-
all the orientations on the autonomy-
actions and trade-offs.
influence interchange, both the clinical and
(a) Transactions-a new view of the essential
strategic orientations offer a greater oppor-
processes or sequences of activities of the
tunity to influence.
8
RESEARCHER CHARACTERISTICS
Innovation factors
Interpersonal competence
EMPIRICAL STUDY
Argyris, Chris. Organization and innovation. Homewood, Illinois: Richard D. Irwin, 1965.
Purpose
ual and group interpersonal competence is also
studied.
The treatise seeks to show the relation between
interpersonal competence and problem-solving ef-
Findings and Conclusions
fectiveness by applying a new set of categories of
1. The categories of human behavior considered
human behavior to studies of research and develop-
helpful to scientists are: (a) openness; (b) risk
ment organizations.
taking; (c) internal commitment; (d) individuality;
and (e) concern for truth. Detrimental values in-
Method
clude conformity and the suppression of feeling.
Studies made by questionnaires, interviews, and
2. A model of probable relationship between in-
problem-solving meetings are outlined. An attempt
terpersonal competence, internal organization, en-
to change the values and behavior of a board of di-
vironment, and innovation is proposed.
rectors is described. The proposed set of categories
3. Individual and group interpersonal compe-
is subjected to inter-observer reliability study. The
tence is held crucial to creativity and innovation in
use of the system of categories to quantify individ-
a research organization.
PUTTING KNOWLEDGE TO USE
86
9
CONSULTANT ROLE
Change agent
Resistance to change
ANALYSIS & SUGGESTIONS
Argyris, Chris. Explorations in consulting-client relationships. In W. G. Bennis, K. D. Benne, and R. Chin
(Eds.), The planning of change (2nd ed.). New York: Holt, Rinehart & Winston, 1969, pp. 434-456.
Purpose
gain acceptance by adopting the client's values, he
The article attempts to analyze the difficulties
risks failure. Thus a major dilemma is created.
faced by consultants and to suggest ways to over-
2. In addition to a discrepancy in values, another
come these difficulties.
factor which influences the consultant-client rela-
tionship is the division of the organization into
Method
those who are aware of and wish to bring about
effective change and those who are and do not. The
The analysis and suggested measures are based
invited consultant often has to "straddle" over-
on the author's experience and judgment. Two case
lapping, and at times antagonistic, subcultures.
histories are used as illustrations.
3. Organizations should develop a climate in
Findings and Conclusions
which consultants can express their values. Good
relationships tend to be promoted under conditions
1. The objective of consultants is to promote
whereby consultants: (a) may not become part of
interpersonal competence. To succeed, the consul-
line management; (b) may have their own profes-
tant himself must be able to give and receive feed-
sional salary scale; (c) may not be fired for focusing
back with a minimum of defensiveness. Consultant
on openness and authenticity; (d) may, however,
behavior is often threatening to the client. If the
be dismissed if judged incompetent by their pro-
consultant acts in a defensive manner in order to
fessional colleagues.
10
DIFFUSION: SCIENTIFIC
KNOWLEDGE
Practitioner attitudes
Knowledge transmission
ANALYSIS
Barbichon, Guy. The diffusion of scientific and technical knowledge. Journal of Social Issues, 1968, 24,
5-12.
Purpose
Method
Barbichon asserts that in order to examine the
The ideas in this paper are based on the broad
problems raised by: (a) the acceptance of informa-
experience and observations of the author.
tion likely to modify attitudes and knowledge, and
(b) the intensity and specificity of these modifica-
Findings and Conclusions
tions, we first need to analyze the attitudes toward
1. Many studies indicate scientific notions and
knowledge and sources of knowledge. Further, we
ideas acquired during formal education prevent the
need to examine the cognitive processes by which
integration of new scientific information into the
we integrate scientific and technical knowledge.
practice of one's profession.
This article is directed toward an analysis of these
2. There are three types of knowledge: theoret-
factors and how an awareness of them can be
ical, technical, and practical. The cognitive ex-
utilized in mass media campaigns in developing
ploration involved in the acquisition of new knowl-
countries.
edge depends on both individual and social sys-
SUMMARIES
87
tem norms concerning each of the three types of
(c) the ideas pertaining to the possession of
knowledge. Variations in the desirability of scien-
knowledge (erudition versus encyclopedism
tific exploration among cultures characterize the
versus ability to solve problems).
exploration models of the individuals functioning
4. The individual's cognitive style and that of
in that culture.
the social system within which he operates both
3. The existence of both interindividual and in-
affect his receptivity to new knowledge.
tercultural differences in cognitive styles makes it
5. Other factors affecting knowledge transmis-
necessary to identify the components of these
sion are the attitudes of the knowledge emitter
styles. The author suggests three basic elements—
toward his potential receivers. The knowledge
emitter's image of the receiver's needs, cognitive
(a) the relative importance of analytical and
styles, abilities, etc., affects the communication
synthetic processes, of differentiation and in-
process. Restrictions placed by the emitter may be
tegration;
due to size of audience, content of the message, or
(b) the normative form of access to knowledge
cognitive supports of the message, as well as his
(memorization, library, etc.); and
image of the potential receiver.
11
ORGANIZATIONAL CHANGE
Organizational factors
Organizational climate
ANALYSIS
Barnes, Louis B. Approaches to organizational change. In W. G. Bennis, K. D. Benne, and R. Chin (Eds.),
The planning of change (2nd ed.). New York: Holt, Rinehart & Winston, 1969, pp. 79-84.
Purpose
interrelated factors: (a) task; (b) people; (c) tech-
nology; and (d) structure. Various writers have
The article purports to review several typological
tended to stress one or another of these.
analyses of organizational change that may be
helpful to those responsible for coping with changes
3. Shifting from what is being changed to how
the changes are introduced and implemented, Ben-
that might affect an industrial organization.
nis (1966) has constructed a typology consisting of
Method
eight approaches that differ according to power dis-
tribution, goal setting, and change implementa-
Several taxonomies are described and related to
tion: (a) planned change; (b) indoctrination change;
differences in power distribution in an organization
(c) coercive change; (d) technocratic change; (e) in-
that can affect the way in which changes will be
teractional change; (f) socialization change;
initiated and implemented.
(g) emulative change; and (h) natural change.
4. Greiner (1965) identified the most common
Findings and Conclusions
approaches as follows: (a) the decree approach;
1. The dynamics underlying change processes in
(b) the replacement approach; (c) the structural
organizations are understood only in a rough, un-
approach; (d) the group decision approach; (e) the
defined way. The complexity of the phenomenon is
data discussion approach; (f) the group problem-
due to the fact that a change in technology may re-
solving approach; and (g) the T-group approach.
sult in management changes which may lead to
This taxonomy, too, reflects variations in power
new procedures and policies which may again re-
distribution. Not only is an increase in shared con-
sult in new technologies, and SO on.
trol reported, but such control has been found to be
2. In an effort to choose a limited number of
more efficacious when successful and less success-
variables to work with, Leavitt (1965) selected four
ful large-scale change efforts are studied.
88
PUTTING KNOWLEDGE TO USE
12
INNOVATION ACCEPTANCE/
REJECTION
Attitudes toward change
Communication process
ANALYTICAL MODEL
Barnett, Homer G. The acceptance and rejection of change. In G. K. Zollschan and W. Hirsch (Eds.), Ex-
plorations in social change. Boston: Houghton Mifflin, 1964, pp. 345-367.
Purpose
(a) The structural demands of the language and
To develop a paradigm in which the acceptance-
the resultant relationships inherent in the
rejection possibilities in any given psychological
message.
confrontation of a person with a message may be
(b) The message's "psychological contact" (most
systematically and exhaustively explored.
important) with antecedent experiences of
Method
the potential acceptor or rejector.
The author applies semantic and logical analysis
(c) The relation between the terms of the mes-
to the possible responses a person may make to an
sage and the mental background of the re-
innovative idea, such as "Scientists to experiment
ceiver (shared elements, projected meanings,
on condemned criminals." Expressions of this type
and the like).
are analyzed epistemologically as prototypes of in-
novations in general, ideologically interpreted. An
(d) The values assigned elements in the message,
investigation designed to identify the psychological
or their associated interpretations by the re-
components of decisions in favor of or opposed to
cipient.
television is cited as an illustration of the possible
application of the mode of analysis employed.
2. A nine-by-nine matrix giving the 81 "inflec-
tions on the rejection-acceptance process" is pre-
Findings and Conclusions
sented and illustrated to demonstrate how the sev-
1. Whether a new message (or innovation) will
eral psychological-logical combinations may be
be accepted or rejected will depend on a number of
formed to reflect the possibilities for acceptance or
factors:
rejection of a message or innovation.
13
DIFFUSION: SOCIAL SCIENCE
Communication media
Researcher attitudes
EMPIRICAL STUDY
Bassett, G., Davison, W. P., and Hopson, A. L. Social scientists, university news bureaus, and the public:
Some factors affecting the communication of social science information. New York: Graduate School
of Journalism, Bureau of Applied Social Research, Columbia University, 1968.
Purpose
Method
This report is primarily concerned with mass
Members of the sociology departments at six
media communication. The authors examine fac-
universities listed as having superior social science
tors affecting the flow of social science information
faculties were interviewed.
to the mass media, and suggest ways to facilitate
the flow.
SUMMARIES
89
Findings and Conclusions
quote: "If the sociologist is really concerned
about scholarship, it's going to be a full-time
1. Almost all of these sociologists felt ambivalent
proposition. His scholarship is bound to suf-
about. communicating the results of their work to
fer if he makes forays into the world."
the public.
2. The ambivalence disappeared when it came
(a) On the one hand, there was a widespread
to communicating with colleagues. Sociologists feel
feeling among the scholars that the public
a powerful motivation to communicate with their
had a right to know what they were doing and
colleagues. This is indeed a central role obligation.
thinking. A sample quote is, "I think most
Sometimes the reference group is very small, con-
research is significant and the public ought
sisting of only a handful of people working in the
to be informed about it. I think scholars have
same specific field. Some sample quotes: "I com-
the obligation to communicate."
municate by writing articles that only a couple of
(b) On the other hand, many of those inter-
hundred people read." "We're trying to communi-
viewed said they simply could not find time
cate to people with a more narrow interest." Fur-
for communicating, and finding time is a
thermore, there seems to be a group norm against
good index of basic commitment. A sample
public communication.
14
ADOPTION PROCESS
Innovation: agriculture
Knowledge utilization
EMPIRICAL STUDY
Beal, G., Rogers, E., and Bohlen, J. Validity of the concept of stages in the adoption process. Rural Soci-
ology, 1957, 22, 166-168.
Purpose
(c) Application: The individual is concerned
with applying the idea to his present or pre-
To conduct a study of the diffusion and adoption
dicted situation. A decision to try or not to
of farm and home practices that was designed to
try the new practice is made.
determine whether five conceptualized stages in
(d) Trial: The individual is interested in trying
the adoption process could be validated empir-
out the idea in his own situation and seeks
ically.
the specifics of how, what, when and where.
Method
(e) Adoption: The thought process at this stage
consists of evaluation, satisfaction with the
The five stages are described, and the field obser-
trial, and the decision for continued use.
vations of the interviewers are analyzed in relation
2. The practice selected for testing the stages
to them.
was the feeding of antibiotics to swine. Data on in-
formation sources for this practice were obtained
Findings and Conclusions
from 148 farmers residing in the trade area com-
1. The five stages:
munity of a central Iowa town. Questions were
asked about information sources at each of the five
(a) Awareness: The individual is exposed to the
assumed stages, and each farmer was also asked to
new practice.
recall the dates when he became aware of, tried,
(b) Information: The individual is motivated by
his curiosity and interest in the new prac-
and adopted the practice.
tice to obtain general information about it-
3. In general, the data from the study tends to
the kind of information that will help him re-
validate the stages. Four types of evidence are
late it to other experiences.
available:
90
PUTTING KNOWLEDGE TO USE
(a) Interviewers' field observations. Most of the
used for each of the stages. This indicates
adopters of the practice were aware that they
more differentiation between stages than if
did go through a series of stages as they
the same source had been used for several
moved toward the adoption of antibiotics.
stages.
(b) Consistency of stages sequence. Of the 105
(d) Time span between stages. There was an
farmers who had adopted the practice, all
average reported time lag of 1.54 years be-
indicated that they had passed through the
tween awareness and adoption. About three-
stages.
fourths of the farmers gave different years for
the awareness and trial stages, and aware-
(c) Different sources for different stages. In most
ness and adoption. Trial and adoption tended
cases, different sources of information were
to take place in the same year.
15
INNOVATION ADOPTION:
HEALTH FIELD
Innovation characteristics
Adopter characteristics
EMPIRICAL STUDY
Becker, Marshall H. Factors affecting diffusion of innovations among health professionals. American
Journal of Public Health, 1970, 60(2), 294-304.
Purpose
the communication network. (Centrality is desig-
nated as an attribute of the health officer who is
The objective of the study was to identify factors
facilitating or inhibiting adoption of new programs
frequently contacted by other health officers for
by administrators of local health departments.
information and advice, in contradistinction to the
"marginality" of those who are rarely contacted.)
Method
This correlation was more pronounced for the HAP
innovations than the LAP; the assumption is that
Data were gathered from 95 local health officers
when an innovation conflicts with prevailing norms,
from three States (Michigan, Illinois, and New
the marginal person (with less at risk) is more likely
York) by a combination of self-administered mailed
to pioneer the adoption. The investigator points out
questionnaires and a follow-up telephone interview
the following implications of this finding:
lasting about an hour. Two kinds of innovations
(a) It supports the two-step flow hypothesis: new
were studied: Those having a high-adoption poten-
ideas are first received and tried out by per-
tial (HAP) and those having a low-adoption poten-
sons exposed to and influenced by informa-
tial (LAP). The first category was innovations which
tion coming from outside the group; because
required no real departure from traditional pat-
they have this information, they are seen by
terns of operation (measles immunization in two
their peers as opinion leaders.
States, topical application of fluoride in the third);
(b) Peer influence is important not only in pass-
the second category required substantial departure
ing along information about new programs
operationally (diabetes screening for all three
but also in legitimating these programs.
States).
(c) In developing strategies for introducing a
The focus of the study was on the communica-
desirable innovation, it is crucial to be
tions network among health officers.
familiar with the communication network for
Findings and Conclusions
a given group of professionals.
2. There was high correlation between the cen-
1. There was a high positive correlation between
trality of a health officer in the communication net-
early adoption and the health officer's centrality in
work and his cosmopoliteness. The cosmopolite
SUMMARIES
91
looks outside the community for new ideas and
(b) Centrality may be a result rather than a
seeks approval of his professional colleagues; the
cause of early adoption; it is because they
localite is more oriented toward his own depart-
are early adopters that influential profes-
ment and places greater value on the approval of
sionals are sought by their peers. Having
his own staff and the local community.
tried the innovation first, the early adopters
3. When health officers were asked to identify
will know where the "bugs" are; their less
their most valued source of information concerning
adventuresome colleagues are eager to bene-
innovations in public health, the early adopters
fit from their experience.
favored professional meetings outside the State,
(c) In his selection of information sources and
professional journals, and postgraduate courses;
adoption times, the professional is motivated
those slower to adopt placed greater value on local
by a desire to maintain or increase prestige
sources (voluntary health agencies, local medical
and professional status.
societies).
4. The following professional and attitudinal
6. The following implications for action are
characteristics were found to be positively corre-
cited:
lated with centrality and cosmopoliteness: rank in
(a) Opinion leaders among health professionals
medical school graduating class, degree of political
should be identified and their exposure to
liberalness, number of professional degrees earned
innovation should be facilitated (attendance
beyond baccalaureate; in addition, recency of
at out-of-State professional meetings, re-
graduation from medical school and possession of
gional conferences, continuing education
specialty training were associated with cosmo-
programs).
politeness.
(b) The risks of innovation should be reduced by
5. The following interpretations are advanced by
ample support in terms of funds and per-
the investigator:
sonnel.
(a) For LAP innovations, normally early adop-
(c) All members of a communications network
ters hold back until the initial risks have
should be informed of the actions of early
been taken by others.
adopters as soon as possible.
16
DIFFUSION MODEL
Innovation: medical
Adoption characteristics
Communication process
EMPIRICAL STUDY
Becker, Marshall H. Sociometric location and innovativeness: Reformulation and extension of the diffu-
sion model. American Sociological Review, 1970, 35, 267-282.
Purpose
Because of its stress on the first objective, the
present report, while employing the same data,
The primary purpose of this report of the study
procedures, and findings described in the pre-
was to evaluate and extend the current theoretical
ceding summary, presents a fuller discussion of
explanation of the diffusion process, particularly
previous conceptual studies and of the implica-
as applied to the behavior of professionals, not-
tions of the study findings for the development of
ably to chief administrators of local health depart-
a revised model of the diffusion process.
ments. A second objective, namely to obtain infor-
mation that might be employed in enhancing the
Method
probability of success of attempts to achieve
program acceptance, has been treated in another
Aside from fuller conceptual treatment, the
report (Becker, 1970), which is reviewed in sum-
method employed in the study is described in the
mary #15.
preceding summary, to which the reader is re-
92
PUTTING KNOWLEDGE TO USE
ferred. A deeper interpretation of causal relation-
lation of the place where the health officer spent
ships among the variables studied is attempted
his teens, year of graduation from medical school,
through speculative analysis and the use of partial
standing in medical school graduation class, years
correlational techniques.
in present position, number of out-of-state meet-
The variables studied include the following:
ings attended in an average year, most-valued
1. Time of adoption (TOA) of a medical pro-
source, and political choice.
gram (presumably attributable to the efforts of the
chief health officer).
Findings and Conclusions
2. Whether the program had a high adoptive
As noted in the preceding summary:
potential (HAP) or a low adoptive potential (LAP)
1. A high positive correlation was found between
according to the judgments of five experts em-
early adoption (TOA) and the health officer's
ploying the following eight criteria ranging from
centrality in the communication network, more so
positive to negative considerations:
for HAP innovations than for LAP innovations.
(a) was of obvious practical value in the minds
2. There was a high correlation between the cen-
of most professionals in the field;
trality of a health officer in the communication net-
(b) might be easily communicated to other
work and his cosmopoliteness as determined by the
professionals;
degree of generality of the sources of information he
(c) represented a major departure from tradi-
values (as distinguished from locality of sources).
tional health activity;
3. Early adopters found general sources of infor-
(d) conflicted with important values in the
mation more valuable than local sources.
health field;
4. Certain professional and attitudinal char-
(e) might be opposed by the county medical
acteristics were found to be positively correlated
society;
with centrality and cosmopoliteness.
(f) might be opposed by interested groups in
the community;
The present report goes on to interpret these and
(g) if adopted, would threaten the health
other detailed findings more fully, arriving at the
officer's position or reputation; and
following conclusions regarding the probable
(h) if adopted, would threaten or conflict with
diffusion model applicable to professional public
health leaders:
established major economic interests.
1. The present research suggests an altered
3. The centrality or the marginality of the health
model for the diffusion of innovations among pro-
officers in the sociometric or communication net-
fessionals whereby the professional's innovative-
work, as determined by questionnaire and tele-
ness determines his centrality in the communica-
phone interview responses to items relative to:
tion network (the reverse of the current theory).
(a) discussion contacts;
2. A desire to maintain and increase prestige and
(b) sources of information and advice; and
professional status motivates the professional to
(c) friendships.
seek "early" information sources (presumably
those of the general or cosmopolite variety).
4. Judgments as to the scientific and innova-
3. The perceived risk of adoption of an innova-
tive quality of nine sources of information varying
tion determines the earliness of the source of in-
in their general versus local coverage, as follows:
formation selected.
(a) meetings outside the state;
4. Hence, the order of presumed influence may
(b) professional journals;
be pictured thus: Desire to obtain, maintain, or
(c) postgraduate courses;
increase prestige-with risk of adoption taken into
(d) mail/visits from State Health Department;
account-influences the most valued source of in-
(e) drug or other industries;
formation, which influences earliness of adoption,
(f) other health officers;
which influences centrality in the communication
(g) health department staff;
network, which influences prestige status.
(h) voluntary health agencies; and
5. The apparent exceptional finding that with
(i) local medical society.
respect to low adoptive innovations, "marginals"
in the communication network, who also value
5. Characteristics of the chief public health
local sources, were also in evidence as early innova-
officer, including various factors such as the popu-
tors was explained in terms of two concepts:
SUMMARIES
93
(a) "system delay" whereby it is suggested that
In addition, it is posited that LAP-innovation
pioneers of LAP innovations may actually be
pioneers innovate to obtain prestige in their com-
late adopters relative to the time the innova-
munities, while HAP innovation pioneers adopt
tion could have been adopted, and that their
earliest to gain the admiration of their professional
appearance as earliest adopters relative to
peers.
others in their group (presumably of LAP
As a caution, the investigator notes that, while
adopters) is caused by the influence system's
partial correlations and secondary evidence from
deliberate postponement of adoption of LAP
the study support the revised model, in a nonex-
innovations until others have assumed the
perimental design with an absence of information
high risks involved in its trial; and
regarding time-order relationships among the vari-
(b) contrary to the current view in diffusion-
ables, it is more appropriate to conclude that the
research literature, time of adoption is more
current research found no evidence which contra-
likely to be a cause than a result of centrality
dicted the proposed causal relationships. Hence
in information networks.
further, more controlled research is recommended.
17
ORGANIZATIONAL FACTORS
Innovation: business
EMPIRICAL STUDY
Becker, S. W., and Stafford, F. Some determinants of organizational success. Journal of Business, 1967,
40, 511-518.
Purpose
munity. This was negatively correlated with inno-
vation.
The authors of this article set out to investigate
2. After this easy growth period (growth in terms
the variance in organizational efficiency. The vari-
of adding surplus to their funds), there was usually
ables considered to be most importantly related to
an increase in administrative staff. With this in-
efficiency were: (a) organization size, (b) adoption
crease in administrative staff came an increase in
of innovation, (c) psychological distance in the
innovation.
management team, (d) administrative size, and
(e) the state of the organization's surrounding
3. In studying the communication within the
environment.
management group of these organizations, the
authors found that organizations with good com-
munication within the managerial group and low-
Method
growth rate of the surrounding community are
The study was based on a sample drawn from the
about as efficient as those in rapidly growing com-
140 savings and loan associations in Cook County,
munities with poor communication.
Ill.
4. The group with good communication also had
a higher rate of efficiency and a significantly high-
er rate of innovations.
Findings and Conclusions
5. The authors conclude that good group atmos-
1. Initial growth of the organizations was highly
phere generates communication within the man-
related to the growth of the surrounding com-
agerial group about how to improve business.
94
PUTTING KNOWLEDGE TO USE
18
CHANGE AGENT
Organizational change
Consultant role
CASE STUDY-ANALYSIS
Beckhard, Richard. Helping a group with planned change: A case study. In H. A. Hornstein, B. B. Bunker,
W. W. Burke, M. Gindes, and R. J. Lewicki (Eds.), Social intervention: A behavioral science
approach. New York: The Free Press, 1971.
Purpose
Step 3: Planning the first action step.
To report a one-year consultation effort to assist
Step 4: Assessment of facts.
a small industrial organization to diagnose man-
Step 5: Replanning and reestablishing the rela-
tionship.
agement communications and to plan system-
atically a change in relationships among the key
3. Suggestions:
executives, the department heads, and their dif-
ferent departments.
(a) It is necessary to establish a relationship with
the several parts of the system before any
Method
effective problem solving can be started.
(b) It is important to establish a climate and
Case study/analysis, beginning with a descrip-
procedures for feedback both between the
tion of the company prior to intervention by the
helper and the client system and among the
consultant, followed by the planning and imple-
parts of the client system if effective change
mentation stages of the consultation, plus sugges-
is to take place.
tions for facilitating the process.
(c) It is necessary to continuously assess the
Findings and Conclusions:
readiness and the capacity of the client sys-
tem to change.
1. The consultant brought three assumptions to
the relationship:
(d) It is incumbent on the consultant to create a
series of conditions in which the client sys-
(a) There are several developmental phases in a
tem can learn, because a change situation of
client-consultant relationship which more or
this kind is primarily a learning situation.
less follow in sequence and are repeated.
(b) If persons involved in the client system are to
(e) It is necessary for the consultant to be critical
change in their behavior toward each other
of his own motivations in terms of types of
and for relationships therefore to improve,
material presented or help offered. He must
individuals in the system must learn some
be sure that the material is designed to meet
new diagnostic skills, some new behaviors,
both perceived and real client needs, not only
and some new ways of getting information
the consultant's perception of client needs.
about the effects of their own behavior on
(f) It is important that the consultant be aware
other members in the system.
at all times that in a healthy change relation-
(c) A major function of the consultant is to help
ship the client should always be able to reject
the client collect appropriate and correct in-
the ideas, the help, and the relationship.
formation about feelings in the situation and
(g) It is desirable to create conditions where the
then to help create a training or learning sit-
consultants can withdraw, at least tem-
uation in which those concerned could, in a
porarily, so that the group can become inde-
supportive climate, look at this information
pendent and can grow.
and work jointly on ways of dealing with it.
2. The process of consultation:
(h) It is equally important after an initial change
effort that some procedural planning be done
Step 1: Initial contact by client system.
for reestablishing the relationship, evalu-
Step 2: Defining the problem and establishing
ating the interim action, and evaluating the
the relationship.
consultant's role.
SUMMARIES
95
19
RESEARCH-PRACTITIONER GAP
Research utilization
Information needs
EMPIRICAL STUDY
Beckhard, Richard. ABS in health care systems: Who needs it? Journal of Applied Behavioral Science,
1974, 10, 93-106.
Purpose
ing community volunteers, building a man-
agement team, handling role conflicts and
The author does not propose to develop a general
intergroup conflicts, managing conflicts of
strategy but rather to speak to five themes: the
values.
needs of health system leaders; some unfortunate
(e) Hospital interns and residents: How can we
negative perceptions held by health workers and
exert more influence on shaping our learning
some held by behavioral scientists; the changing
environment?
health care situation today; some experiences in
collaboration; some thoughts about what behav-
2. Clusters of perceptions, defenses, traditions
ioral science practitioners can do.
and stereotypes that impede collaboration:
Method
(a) As seen by health practitioners:
(1) Behavioral scientists are fuzzy; mission-
The author, currently a senior lecturer at Sloan
aries rather than hard scientists.
School of Management, M.I.T., draws upon a
(2) They introduce sensitivity training and
quarter century of experience as a consultant to
other quasi-psychological procedures.
management and especially on experiences of the
(3) They try to carry over experience from
past three years in working with health centers and
the business world which is very different
with medical schools preparing doctors for new
from the health world.
roles.
(4) They seek change for the sake of change.
(5) They are too theoretical; use too much
Findings and Conclusions
jargon.
The author has found not only great interest in
(b) As seen by behavioral science practitioners:
the application of behavioral science knowledge to
(1) Health systems do not welcome our inter-
health education and health care systems but also
vention; they are full of resistance.
much suspicion and doubt regarding the practi-
(2) The systems are run by doctors who have
cality and relevance of this knowledge.
little respect for non-medical disciplines.
1. Some of the problems identified by various
health system leaders:
3. The health situation today:
(a) Deans of medical schools: How to manage
(a) Increasing numbers of health workers are
the complex relationships among basic scien-
concerned with total care of the total patient.
tists, clinical department heads, hospital
(b) A growing trend toward helping patients
staffs, other units of the university, local
manage their own health.
legislatures, funding sources, other govern-
(c) A growing number of health care activists.
ment agencies.
(d) A skewed distribution of health workers
(b) Directors and faculties of other health schools:
large segments of the population without
How to increase collaboration, interface, and
adequate medical care.
appropriate decision making among medi-
(e) New categories of health workers are evolv-
cal, dental, nursing and other allied health
ing to take over some activities previously
schools.
reserved for M.D.'s.
(c) Hospital administrators: New skills de-
(f) In many situations the family rather than the
manded by relationships with community
individual, is being seen as the patient unit.
health centers.
(g) More delivery of primary health care is done
(d) Community health center directors: Manag-
by interdisciplinary teams.
PUTTING KNOWLEDGE TO USE
96
(h) Most institutions responsible for medical
helper's personal investment in health care sys-
education are actually considering major cur-
tems, as contrasted to the "professional distance"
riculum revisions.
found in much consulting. Clients often seek a
(i) Advocacy of more opportunities for women
doctor-patient relationship between the organiza-
and for minority sections of the population.
tion and the helper, and have a high, but masked,
(j) New organization patterns are emerging in
need for personal support. If the attitude of the
health care schools; the management of resis-
health care helper is one of "Look, there's enough
tance to change is a key issue for health
to do. Why work with nonready clients?" he should
administrators.
not be in the field. Perhaps the helper himself has
The author emphasizes the importance of the
the most difficulty in receiving help.
20
CHANGE STRATEGIES
Organizational change
Change agent
ANALYTICAL MODEL
Beckhard, Richard. Strategies for large system change. Sloan Management Review, 1975, 16, 43-55.
Purpose
2. The suggested model is designed to enable one
to ask the "right" questions, especially with regard
The article is designed to describe a model of
to early interventions into the large system. It is
change planning applicable to large and complex
presented under four headings:
organizations, to present specific intervention strat-
egies for accomplishing change, and to pinpoint
(a) Defining the change problem. This includes
where in the organization to begin a change effort
the consideration of the organizational
and how to maintain change once successfully ini-
change needed or desired and the type of
tiated.
change desired, such as in attitudes, be-
havior, knowledge, organizational procedure,
and work practices. The organizational sys-
Method
tem and subsystems need to be studied.
The author bases his analysis and suggestions on
(b) Determining readiness and capability for
extensive study and experience as a consultant.
change. Readiness refers to attitudinal or
Several illustrations are presented.
motivational energy. Capability signifies
physical, financial, or organizational ca-
Findings and Conclusions
pacity to make the change. An early diag-
nosis of dissatisfactions is helpful.
1. Intervention is defined as affecting ongoing
(c) Identifying the consultant's own resources
social processes that include:
and motivations for change. Clear under-
(a) Interaction between individuals.
standing with the client regarding the former
(b) Interaction between groups.
is important. Concerning motivations, con-
(c) Procedures used for transmitting informa-
gruence or incongruence needs to be estab-
tion, making decisions, planning actions, and
lished and clarified.
setting goals.
(d) Determining the intermediate change strat-
(d) Strategies and policies guiding the system,
egy and goals. Intermediate goals provide a
the norms, or the unwritten ground rules or
target and measuring point en route to larger
values of the system.
change objectives.
(e) Attitudes of people toward work, the organ-
As part of the diagnostic aspect of the model the
ization, authority, and social values.
subsystems should be examined in terms of readi-
(f) The distribution of effort within the system.
ness to be influenced by the consultant, accessi-
SUMMARIES
97
bility of each subsystem, and the linkage of the
(d) Change in the ways work is done. Special
subsystems to the total system of the organization.
efforts are in order to improve the meaning-
3. The consideration of intervention strategies in
fulness as well as the efficiency of work.
large systems entails five change components:
Much latent energy is released by people all
(a) Change in the relationship of the organiza-
over the organization who feel responsible
tion to the environment. Organizations are in-
and appreciated for their management of
creasingly being recognized as open systems
their work.
subject to outside demands. Having identi-
(e) Change in the reward system. Inappropriate
fied these, management can turn its energies
reward systems do much to sabotage effec-
toward the integration of such items as
tive work as well as organizational health.
standards, communication systems, etc.,
The reward system needs to be clear, and to
which relate to the multiple interfaces with
include long-range as well as short-range de-
the environments. There is an increasing
terminants.
demand for the training of change agents
4. Concerning early intervention, there are a
with respect to these macro-organization
number of possibilities as to where or how to start,
issues.
such as with the top team in the system, with a
(b) Change in managerial strategy. Change in
pilot project, with "hurting" systems, with the re-
the style of managing the human resources of
ward system, with educational interventions, and
the organization is called for, whether it be
the like. An organization-wide confrontation may
working with top leaders, assessing middle
prove helpful in establishing the first steps toward
management attitudes, unfreezing old atti-
improvement.
tudes, developing credibility down the line,
5. In order to maintain change in a large system
or dealing with interface organizations,
it is necessary to have conscious procedures and
unions, regulatory agencies, etc. Help needs
commitment. Again, a number of interventions are
to be provided in organization diagnosis, job
possible. Perhaps the most important single re-
design, goal setting, team building, and
quirement for continued change is a continued
planning. Among key aspects of managerial
feedback and information system. Among the ele-
strategy are the handling of conflicts, de-
ments of such a system may be included periodic
cision making, rewards, and feedback sys-
team meetings, organizational sensing meetings,
tems.
meetings between interdependent units of an or-
(c) Change in organizational structures. The
ganization, renewal conferences, performance re-
structures, or the formal ways that work is
views, and periodic visits from outside consultants.
organized, need to reflect the actual work to
6. The author concludes that the demand for
be done rather than the authority system.
assistance in organizational intervention and large
Temporary structures as well as the more
system organization change is increasing at a fast
general ones need to be reflected in flow
rate. Skill available to facilitate these functions
charts for specifie jobs to be accomplished.
will be in increasingly greater demand.
98
PUTTING KNOWLEDGE TO USE
21
ORGANIZATIONAL FACTORS
Barriers to change
Problem solving
ANALYSIS
Benne, Kenneth D. Deliberate changing as the facilitation of growth. In W. G. Bennis, K. D. Benne, and
R. Chin (Eds.), The planning of change: Readings in the applied behavioral sciences. New York: Holt,
Rinehart & Winston, 1962, pp. 230-234.
Purpose
(d) Problem solving should be educational and/
or therapeutic for individual participants in
The author analyzes the relationship between a
the change.
change agent and a client system that has solicited
help in effecting change and/or solving problems.
(e) Effective and efficient problem solving re-
quires channels of communications within
the system that make available for public
Method
decision and choice, in undistorted form, all
The ideas in this paper are based on the broad
relevant data, including data concerning
experience and observations of the author.
feelings and evaluations (negative and posi-
tive) from each and every subpart of the
system.
Findings and Conclusions
3. Barriers to growth in social systems.
1. The direction of the change is defined by
the concept of growth, which in turn is defined as
(a) Confusion of the ideological image of the sys-
increased ability on the part of the client to face
tem with the actual behaviors of the system.
and solve its problems.
(b) Lack of quality control over the feedback
2. A major goal of the agent of change is, there-
processes that provide information on which
fore, facilitation of the institutionalization of
controlling decisions are based.
appropriate methodology for adaptation and ad-
(c) Suppression of dominant feelings of some
justment by the client system. Norms consonant
or all parts of the system in processes of
with growth are:
decision making.
(d) Narrow time perspective within the decision-
(a) Problem solving should be experimental-
making processes-a lack of perception of
growth cannot be achieved in a social system
long-range consequences of action as relevant
that is stereotyped and inflexible in its modes
to immediate decision-tends toward a pat-
of response to difficulties. Experimentation
tern of living from crisis to crisis in the life of
requires sensitization to and institutionaliza-
the system.
tion of feedback mechanisms regarding
external impacts and internal functioning of
(e) Inadequate and/or unbalanced role differen-
parts.
tiation in system functioning and in pro-
cesses of decision making.
(b) Problem solving should be collaborative-
all parts of the system ideally cooperate in
(f) Inadequate and inaccurate interpretive pro-
identifying difficulties in operation, in in-
cesses for coding and weighting information
creasing the internal and external meaning
received through feedback.
and validity of alternative adaptive and
(g) Inaccurate definition of limits and alterna-
adjustive responses to the situation.
tives in decision situations.
(c) Problem solving should be task (and reality)
(h) Lack of adequate mechanisms for mediation
oriented rather than oriented to the mainte-
and adjustment of conflicts between parts of
nance of the prestige of some parts of the sys-
system and between the system and other
tem over other parts.
systems in the environment.
SUMMARIES
99
22
PLANNED CHANGE
Research-practitioner collaboration
Value criteria
ANALYSIS AND SUGGESTIONS
Benne, Kenneth D. Democratic ethics and human engineering. In W. G. Bennis, K. D. Benne, and R. Chin
(Eds.), The planning of change: Readings in the applied behavioral sciences. New York: Holt, Rine-
hart & Winston, 1962, pp. 141-152.
Purpose
2. The engineering of change must be educational
for the participants. Essentially, the change agent
Operating under the assumption that change
should be training the individuals or organizations
agents should incorporate democratic norms or
involved to be their own change agents, to be able
principles into their strategies and plans for intro-
to solve subsequent problems requiring change.
ducing change, Benne offers the following princi-
ples or methodological norms as guides to planned
3. The engineering of change must be experi-
change efforts.
mental. Planned arrangements must be seen by
those who make them as arrangements to be tested
Method
in use and to be modified in terms of the situation.
The author has based his analysis on his own
knowledge, experiences, and observations.
4. The engineering of change must be task
oriented; that is, controlled by the requirements
Findings and Conclusions
of the problem confronted and its effective solution,
rather than oriented to the maintenance or exten-
1. The engineering of change and the meeting of
sion of the prestige or power of those who originate
pressures on a group or organization toward change
contributions.
must be collaborative. Two kinds of collaboration
are suggested: (a) collaboration across lines on
5. The engineering of change must be anti-
divergent action interests in a given situation
individualistic, yet provide for the establishment
requiring change; (b) collaboration across lines of
of appropriate areas of privacy and for the develop-
"theory" and "practice," between researchers and
ment of persons as creative units of influence in our
practitioners.
society.
23
CHANGE STRATEGIES
Planned change
Organizational factors
ANALYTICAL MODEL
Benne, K. D., and Birnbaum, M. Change does not have to be haphazard. School Review, 1960, 68, 283-297.
Purpose
ity, supervisor-teacher-pupil relations in the school,
etc.)
The author applies Lewin's model of social
change to organizational settings in which struc-
Method
tural change and implementation or utilization of
new policies might be required (e.g., production
Lewin's model of behavior in institutional set-
levels in industry, discrimination in the commun-
tings conceptualizes behavior as a dynamic balance
100
PUTTING KNOWLEDGE TO USE
of forces working in opposite directions. These
tions in the role of lieutenant, private and
forces are characterized as either "driving forces"
corporal).
(e.g., the desire for individual workers to attract
(c) The place to begin change is at those points
favorable attention for personal advancement) or
in the system where some strain exists. Stress
"restraining forces" (e.g., poor worker-supervisor
may give rise to dissatisfaction with the
relations). Forces are postulated as remaining in a
status quo and thus become a motivating
state of "quasi-stationary equilibrium" as long as
factor.
the status quo is maintained. According to the
(d) In diagnosing the possibility for change in a
model, change takes place when an imbalance
given institution, it is always necessary to
occurs between the sum of the restraining forces
assess the degree of stress and strain at points
and the sum of the driving forces. Such imbalances
where change is sought. Initiating change at
unfreeze the pattern; changes are then sought or
the point of greatest stress should ordinarily
initiated so as to restore the system to a state of
be avoided (e.g., the implementation of inno-
equilibrium.
vations at a point of maximum stress tends
to lower morale and create more imbalance.)
(e) If changes in a hierarchical structure are de-
Findings and Conclusions
sired, change should ordinarily start with the
1. Three strategies for achieving change are sug-
policy-making body, since sanction by the
gested: increase the driving forces; decrease the re-
ruling body lends legitimacy to any institu-
straining forces; combine these techniques.
tional change (e.g., community resistance to
2. From the model, the authors extrapolate a
efforts to desegregate schools in localities
number of principles for effecting institutional
where boards of education had not publicly
change:
agreed to the change).
(f) Both the formal and informal organizations
(a) To change a subsystem or a part of it, rele-
of an institution must be considered in plan-
vant aspects of the environment also must be
ning any process of change. Cliques and in-
changed (e.g., if you desire to change the
formal groupings can exert strong restrain-
roles of teachers, principals must adjust their
ing influences on changes initiated by formal
roles SO as to complement and reinforce the
authority; thus their power must be har-
change).
nessed by including these groups in planning
(b) To change behavior on any one level of a
and initiating changes.
hierarchical organization, it is necessary to
(g) The effectiveness of planned change is related
achieve complementary and reinforcing
to the degree to which members at all levels
changes in the organizational levels above
of an institutional hierarchy take part in the
and below the level being changed (e.g., at-
fact finding and diagnosing of needed
tempts to change the role of the sergeancy
changes, as well as the formulation and test-
after World War II led to unavoidable altera-
ing of program goals.
24
ORGANIZATIONAL CHANGE
Change models
Change strategies
ANALYTICAL MODEL
Bennis, Warren G. A new role for the behavioral sciences: Effecting organizational change. Administrative
Science Quarterly, 1963, 8, 125-166.
Purpose
The paper discusses the function of the behav-
viewpoint, models, dilemmas, and issues relatiave
ioral scientist in effecting organizational change. It
to the change process.
seeks to make explicit various approaches, biases in
SUMMARIES
101
Method
(c) Developmental model. This model is asso-
ciated with Chris Argyris. The mechanism
Analysis and discussion of change models.
for change is transformation of values.
Findings and Conclusions
All three approaches have a deep concern with
the application of social knowledge to create more
1. Traditional approaches to change are listed
viable social systems; a commitment to action, as
as follows:
well as a research role for the social scientist; and a
(a) Exposition and propagation
belief that improved interpersonal and group rela-
(b) Power elite corps
tionships ultimately will lead to better organiza-
(c) Psychoanalytic insight
tional performance.
(d) Staff
5. Some of the dilemmas these approaches face
(e) Scholarly consultations
are noted:
(f) Circulation of ideas to the elite
(a) How do these ideas link with other theories of
2. Each of these modes differ in many ways, but
social change in the more traditional socio-
they are similar in wanting to use knowledge to
logical and psychological disciplines?
gain some socially desirable end. However, four sig-
(b) What can be done about "fade-out" of train-
nificant biases can be identified:
ing and transfer of laboratory training to
(a) Rationalistic bias: no program. Knowledge
other settings?
about something does not necessarily lead to
(c) Will the new organizational values lead to
intelligent action.
improved performance? Are there some needs
(b) Technocratic bias: no collaboration. Presen-
which can best be met through the bureau-
tation of a program does not mean that the
cratic mechanism?
client can carry it out.
(d) What are the methods of studying the change
(c) Elite bias: no organizational strategy. This
process?
accepts the notion of a unified and willfully
(e) What is the unit of change?
coordinated power elite and ignores organi-
(f) How are change agents to be trained?
zational forces and norms.
In addition, all three models tend to de-empha-
(d) Insight bias: no manipulability. Insight does
size the cognitive processes of problem solving and
not necessarily lead to more effective func-
fail to include some criterion of objective perform-
tioning.
ance.
3. Bennis describes planned change as a delib-
erate and collaborative process involving a change
6. Issues relative to dilemmas in the new action
agent and client systems. The objective is to solve
role for the behavioral sciences are presented as
a problem and/or to achieve an improved state of
follows:
functioning in the client system by utilizing and
(a) Detachment versus Involvement. How is the
applying valid knowledge.
conflict between commitment to the client
4. Concerning the uses of knowledge in effecting
system and preserving ethical and effective
organizational change, three approaches are de-
neutrality to be managed?
scribed:
(b) Help versus Study. The change agent may
(a) Equilibrium model. This model is associated
acquire knowledge which is private and yet
with Cyril Safer and the Tavistock Institute.
possibly helpful. How is this conflict to be
The mechanism for change is tension release
resolved?
through anxiety reduction.
(c) Boldness versus Caution. What is the best
(b) Organic model. This model is associated with
approach?
R. R. Blake and H. Shepherd. The mecha-
(d) Relationships versus Knowledge. How can a
nism for change is power redistribution and
collaborative relationship between these
conflict resolution.
considerations be developed?
PUTTING KNOWLEDGE TO USE
102
25
ORGANIZATIONAL CHANGE
Planned change
Change agent
ANALYSIS
Bennis, Warren G. Theory and method in applying behavioral science to planned organizational change. In
W. G. Bennis, K. D. Benne, and R. Chin (Eds.), The planning of change (2nd ed.). New York: Holt,
Rinehart & Winston, 1969, pp. 62-78.
Purpose
The former is concerned with: (a) the identification
of mission and values; (b) collaboration and con-
The paper focuses on the emerging role of the
flict; (c) control and leadership; (d) resistance and
behavioral scientist in his attempt to apply socio-
adaptation to change; (e) utilization of human re-
logical and psychological knowledge toward the im-
provement of human organizations.
sources; (f) communication; and (g) management
development; whereas operations research tends
Method
toward economic and engineering variables that are
more quantitative, measurable, and linked to pro-
The author fortifies his own theoretical analysis
fit and efficiency.
with numerous references to the literature of organ-
4. Eight types of change programs, all of which
izational change.
are subject to intrinsic biases and flaws, may be
Findings and Conclusions
identified: (a) exposition and propagation; (b) elite
corps programs; (c) human relations programs;
1. The manipulative standpoint as distinguished
(d) staff programs; (e) scholarly consultation;
from the contemplative standpoint is evidenced in
(f) circulation of ideas; (g) developmental research;
the emerging action role of the behavioral scientist.
and (h) action research.
Notwithstanding, the "newer" theories tend to ex-
plain the dynamic interactions of a system without
5. The goals of change agents are multiple, rang-
ing from improving the interpersonal competence
providing clues to the identification of strategic
leverages for alteration.
of managers and increasing understanding among
2. A theory of changing must: (a) include
working groups to training in problem solving.
manipulative variables; (b) not violate the client
Change agents are concerned with training, consult-
system values; (c) not be prohibitive in cost;
ing, and applying research. They employ a variety
of strategies.
(d) provide a reliable basis for diagnosing the
strength and weakness of conditions facing the
6. The aspect of the planned change process we
client system; (e) develop time estimates of phases
know least about is implementation. Nonetheless,
and termination of change agent intervention;
a number of necessary elements in implementation
(f) be communicable to the client system; and
may be set down as follows:
(g) permit assessment of the appropriateness of the
(a) The client system should have as much
theory for different client systems.
understanding of the change and its conse-
3. The notion of planned change can be viewed
quences as possible.
as the linkage of knowledge and action which in-
(b) The change effort should be as self-moti-
volves a change agent, a client system, and the
vated and voluntary as possible.
collaborative attempt to apply knowledge to the
(c) The change program must include emotional
client's problems. Planned change differs from
and value elements, as well as cognitive ones.
operational research perhaps most crucially with
(d) The change agent can be crucial in reducing
regard to the identification of strategic variables.
resistance to change.
SUMMARIES
103
CHANGE PROCESS: SOCIAL
26
Organizational factors
Innovations: bureaucracy
ANALYSIS
Bennis, W. G. Changing organizations. In H. A. Hornstein, B. B. Bunker, W. W. Burke, M. Gindes, and
R. J. Lewicki (Eds.), Social innovation: A behavioral science approach. New York: The Free Press,
1971.
Purpose
1. Emergence of human sciences with an in-
creased understanding of and emphasis on
The author develops and substantiates the prem-
man's complexity (i.e., his need to be dealt
ise that the bureaucratic form of organization is
with in a humane rather than machine-like
"out of joint" with contemporary realities, and that
fashion).
drastic changes in the conduct of corporation and
2. Separation of management from ownership.
managerial practices are necessary. He also spec-
3. The rise of trade unions.
ulates about the changes in organizational struc-
4. A rapid increase in the educational attain-
ture that might evolve.
ments of the population at large.
5. Specialization and professionalization, with
Method
an accompanying need for interdependence
among disciplines.
The author's analysis is based on his own knowl-
6. Rapid changes in technologies, manpower,
edge, experience and observations.
norms and values of society, goals of enter-
prise and society at large.
Findings and Conclusions
On the basis of these and other 20th-century
situational contingencies, the author formulates
The author outlines two main reasons for the
the following predictions:
proposed changes in organizational structure:
1. The tasks of the business firm will become
(1) population and knowledge explosions, and
(2) "organizational revitalization," a complex
more technical, complicated and unpro-
social phenomenon conceptualized by the author
grammed.
as a deliberate and self-conscious examination of
2. Because of (1) above there will be more con-
flict and contradiction among diverse cri-
organizational behavior and a collaborative rela-
tionship between managers and scientists to im-
teria of organizational effectiveness (e.g., the
present conflict between the research and
prove performance.
instructional roles of the university will in-
Organizational problems faced by any bureau-
crease).
cratic system include:
3. The bureaucratic structure of organizations
1. How to integrate individual needs and man-
will be replaced by adaptive, problem-solving,
agement goals.
temporary structures of diverse specialists
2. How to distribute power and sources of
linked together by coordinating and task-
power and authority in a bureaucratic system.
evaluating specialties.
3. How to manage and resolve conflicts.
4. The new structure should enhance motiva-
A number of situational characteristics exist
tion and thereby effectiveness since it will
which present difficulties for bureaucratic systems:
enhance satisfactions intrinsic to the task.
104
PUTTING KNOWLEDGE TO USE
27
PLANNED CHANGE
Change process: social
Change agent
Persuasion process
ANALYTICAL MODEL
Bennis, W. G., Benne, K. D., and Chin, R. (Eds.) The planning of change (2nd ed). New York: Holt,
Rinehart & Winston, 1969.
Purpose
propriate to a specific local situation in terms
of its values, ethics, and moralities; (5) an
Change is with us. The major purpose of this
book is to provide a basis for the application of
applied social science that is pluralistically
systematic and appropriate knowledge to human
"real," accepting the premise that groups
and organizations are units that are amenable
affairs for the purpose of creating intelligent action
and change.
to empirical and analytical treatment; (6) an
applied social science that can take into ac-
The authors define planned change as "a con-
scious, deliberate, and collaborative effort to im-
count "external" social processes of change
as well as the interpersonal aspects of the
prove the operations of a system, whether it be
collaborative process; (7) an applied social
self-system, social system, or cultural system,
through the utilization of scientific knowledge"
science that includes propositions suscep-
(p. 3).
tible to empirical test, focusing on the dy-
namics of change.
The emphasis is on how change is created, im-
plemented, evaluated, maintained, and resisted.
(b) The authors concentrate on the change
The authors emphasize the role of the change
agent, contending that a client system must
build into its own structures a vigorous
agent, examining the relationships between the
change agent and client, and among change agents.
change agent function in order to develop
the capability to adapt to a continually
changing environment.
Method
2. Conceptual Tools for the Change Agent: So-
The ideas in this book are based on the broad
cial Systems and Change Models.
experience and observations of the authors.
(a) The readings in this section deal with social
systems in stability, change and conflict; the
Findings and Conclusions
small group and change; characteristics of
1. The Roots of Planned Change.
other client systems; and some strategic lev-
erage points that can be utilized in planning
(a) The authors trace the development of 20th-
change campaigns. The system is used as a
century man's ability to control, direct, and
focal point because it emphasizes the func-
manage social change. They describe the
tional interrelations between the parts of a
need for a valid framework for an applied
client, be the client a person, group, organi-
social science and suggest the following:
zation, or culture. The small group is an im-
(1) an interdisciplinary applied social science
portant element in the larger social system
that takes into consideration the behavior of
and an important influence on the individ-
persons operating within their specific insti-
ual. Many studies point to the small group as
tutional environments; (2) an applied social
a major tool for all change agents in achiev-
science capable of accounting for the interre-
ing changes. Because the concept of self is
lated levels within the social change context;
relatively accessible for scrutiny, analysis,
(3) an applied social science that includes
and change by change agents, the authors
variables the practitioner can understand,
explore the studies dealing with the self and
manipulate, and evaluate; (4) an applied so-
change. A role is the behavioral patterns ex-
cial science that in specific situations can
pected and enacted in a social interaction,
select from among variables those most ap-
and combines aspects of personality with the
SUMMARIES
105
social settings in which people operate and
strongly internalized, others not; some un-
with the organized structures and larger sys-
conscious, some not; some are adopted out of
tems of which particular social settings are a
fear and intimidation, others out of reality
part. Role is the major bridge for inter-
considerations.
relating ideas from the psychology of indi-
(d) The dialectics considered by the authors are:
viduals and the sociology of groups.
(1) the dialectic between cognition and ex-
(b) The community and organizations are fo-
perience, (2) the dialectic between necessity
cused on in the latter part of this section.
and desirability, (3) the dialectic between
(c) The final portion of this part of the text is de-
self and other, (4) the dialectic between
voted to an analysis of some of the variables
knowledge and action. The last of these is
that have proven to be important factors in
probably the most relevant for those inter-
decisions change agents make concerning the
ested in achieving utilization of research.
avenues they should take in promoting
(e) The response to influence seems to take two
change. These variables can be categorized
basic forms: conformity and revolution.
under the headings of motivation, communi-
4. Programs and Technologies of Planned
cation, and power.
Change.
3. Dynamics of the Influence Process.
(a) Some specific planned change programs are
This part of the book attempts to capture some
explored in this part of the text. Three
of the theoretical and practical significance of the
pivotal functions in planned change are ex-
influence process for the study of human change. If
plored: training, consulting, and applied re-
change is to occur influence must occur. The
search. These functions were chosen because
authors concern themselves with the following
consulting leads to adequate diagnosis; train-
issues: (a) institutional arrangements for influence,
ing to internalization of prerequisite skills;
(b) purposes of influence, (c) kinds of influence pro-
and research to evaluation of the two prior
cesses, (d) dialectics in the influence process, and
steps.
(e) response to influence.
(b) The main question related to training is: How
(a) The kind of institution determines to a large
can a training program provide an opportun-
ity in which individuals can learn new be-
extent the dynamics of influence. The degree
haviors, new perceptions, new orientations—
to which the institution serves as a barrier to
which may require some isolation from the
social intercourse with the outside dictates
everyday pressures of the organization-and
the amount of control the institution wields
still have the learnings feed back into the or-
on the individual members. The degree to
ganization?
which the organization or institution pro-
vides cognitive clarity as to the nature of the
(c) How does the consultant (a stranger) help
relationships between the individual and the
bring about change in an existing social sys-
tem? Focusing on the problem of the client,
organization is still another important factor
rather than on the client, the consultant
in the influence process.
plays an advisory role and does not have to
The three institutional variables that appear
implement a plan to solve the problem. The
to be important are: (1) the degree to which
role of the consultant-trainer appears to re-
the institution is total, (2) the degree to
duce the gap between diagnosis and action
which the relationship between the individ-
and provides what appears to be a reason-
ual and the institution is voluntary, and
able answer to the questions raised dealing
(3) the degree to which the institution's main
with the transferability to the action setting.
goal orientation is indoctrination or change.
(d) The relationship between the researcher and
(b) The authors propose the following as a
the organization under study is considered.
paradigm for examining influence goals: cog-
Applied research is analyzed in terms of a
nitive, affective or emotional, and motoric
complex of relationships: between the ap-
dimensions on one axis, and methodological
plied science and scientific method; between
and content categories on the other.
the applied scientist and his subjects; be-
(c) There appears to be not one kind of influ-
tween the organization and subjects turned
ence, but several; and of these, some are
clients.
106
PUTTING KNOWLEDGE TO USE
28
ORGANIZATIONAL FACTORS
Change agent
Training laboratory
ANALYTICAL MODEL
Bennis, W. G., and Schein, E. H. Principles and strategies in the use of laboratory training for improving
social systems. In W. G. Bennis, K. D. Bennis, and R. Chin (Eds.), The planning of change (2nd ed.).
New York: Holt, Rinehart & Winston, 1969, pp. 335-357.
Purpose
training in a target system which is in
The authors undertake to explore the ways in
the throes of intense conflict.
which the training laboratory can serve as an in-
(4) If laboratory training is applied only to a
strument to aid organizations in meeting the tasks
subsystem, repercussions elsewhere in
of adaptation and collaboration.
the target system can be anticipated.
The internal boundary system of the
Method
target system must be kept in mind.
(5) If laboratory training is to be introduced,
The method is primarily analytical, with the
the target system must have a healthy,
authors drawing on their own extensive experience
realistic understanding of the role of the
in the field. Three case studies are cited, but they
change agent.
elaborate the principles developed here, rather
(c) Key people in the target system must be in-
than serving as the basis for those principles.
formed about and involved in the training
laboratory.
Findings and Conclusions
(d) Members of the target system must be ade-
1. The suitability of a training laboratory for any
quately prepared for and oriented to labora-
specific organization can be assessed in terms of the
tory training. This preparation should be ex-
state of the target system at that specific time. This
periential rather than verbal (pilot projects,
involves such considerations as:
trial runs, etc.).
(e) Participation in laboratory training must be
(a) Are the learning goals of laboratory training
voluntary.
appropriate? Are the outcomes relevant to
the effectiveness of the target system? Is
2. Several models for the change agent are ex-
laboratory training timely, economical, con-
plored:
gruent with the anticipated trends of the
(a) He can be external or internal. The external
target system?
change agent has the advantage of detach-
(b) The values of the target system should not
ment, perspective, and energy not drained off
clash too violently with the values of labora-
by other duties. The internal change agent
tory training (authenticity, choice, collabora-
has the advantage of intimate knowledge of
tion, expression of feelings). Some of the di-
the target system, and of not generating mis-
mensions of the "cultural state" of the target
trust and suspicion.
system:
(b) The source of the change agent's power is a
(1) Interpersonal relationship should be
combination of expert power (skill, compe-
considered legitimate by management-
tence) and line power (status in the organiza-
neither irrelevant nor frivolous nor an
tion which legitimizes his influence).
invasion of privacy.
(c) The authors state that the most common
model is that of the external change agent
(2) If the control and authority system pres-
employing expert power: the consultant
ently employed by the target system is
model.
too rigid and authoritarian, this may
conflict seriously with the values of lab-
3. The role of the change agent includes the fol-
oratory training.
lowing elements:
(3) It is best not to introduce laboratory
(a) He is a professional, guided by certain ethical
SUMMARIES
107
principles, and acting in the client's interests
lational skills, must recognize his own motivations,
rather than his own.
act in a manner consistent with the values he is at-
(b) He is marginal, without formal membership
tempting to impose on the target system. "The
in the target system and often without the
change agent must not impose democratic or hu-
immediate supporting presence of colleagues.
manistic values in an authoritarian or inhuman
(c) His role is ambiguous, not widely under-
manner" (p. 346).
stood, often lacking in legitimacy and credi-
5. Strategies for the implementation of labora-
bility, sometimes viewed with suspicion and
tory training include the following considerations:
hostility.
(a) In the course of the training experience, the
(d) His role is insecure. He may be considered
identity of the client shifts and oscillates-
expendable; there are few guidelines for his
from organization to specific group to par-
actions; he is almost certain to encounter re-
ticular individual within the group.
sistances.
(b) The point of entry is often top management,
(e) His role is potentially risky-both to the tar-
with the assumption that change will per-
get system and to his professional status.
colate down; in some organizational situa-
tions, however, it is less risky to enter at
4. The competence of the change agent should
lower levels.
encompass: conceptual diagnostic knowledge cut-
(c) The interdependencies of the subsystems
ting across all behavioral sciences; knowledge of
within the target systems must be carefully
theories and methods of organizational change;
worked out.
knowledge of sources of help; orientation to the
(d) The change agent should attempt to involve
ethical and evaluative functions of the change
the target system in planning and goal set-
agent's role. He should possess operational and re-
ting for the change program.
CONSULTATION: MENTAL HEALTH
29
Individual reeducation
Consultation measures
ANALYSIS
Berlin, Irving N. Learning mental health consultation history and problems. Mental Hygiene, 1964, 48,
257-266.
Purpose
and practice of this process. The teaching and
learning of mental health consultation is rapidly
To set forth the considerations affecting the
becoming one of the most vital areas in community
learning and teaching of mental health consulta-
and preventive psychiatry.
tion.
2. Such consultation is an indirect method of
focusing on the work problems of an agency worker
Method
to help him with the internalized conflicts related
The author incorporates his own thinking on the
to the problems. It can be described as a process in
subject with the ideas expressed in references by
which a consultant tries to help a consultee from
other writers.
another profession with the latter's work problem.
3. In recent years both the informal and the
Findings and Conclusions
formal teaching of this method has occurred.
1. Mental health consultation, as differentiated
4. Mental health professionals need to unlearn
from consultation to agencies of a technical ad-
their generic methods in some respects, and to sub-
visory nature, was first described in 1947. Since
stitute an indirect method in which satisfactions
then, many others have enunciated the principles
are often delayed. Trainers may find that intro-
108
PUTTING KNOWLEDGE TO USE
ductory contacts with the consultee are frequently
it as a threat to their adequacy.
replete with disappointments. Consultant anxiety
6. Additional problems in consultation relate to
is an expected part of the process because of the
the intrusion of expected direct service to the
many, varied implicit and explicit demands of the
agency involved, uncertainties as to the appropri-
consultee.
ate levels of communication manifested in requests
5. Administrators may prove particularly diffi-
for help, and various obstacles generally pertaining
cult to engage in consultation because they may see
to teaching.
30
RESISTANCE TO CHANGE:
MENTAL HEALTH
Resistance reduction
ANALYSIS AND SUGGESTIONS
Berlin, Irving N. Resistance to change in mental health professionals. American Journal of Orthopsy-
chiatry, 1969, 39, 109-115.
Purpose
(c) Uncertainty-The theories and assumptions
behind most innovations in the mental
In this article the author discusses what he feels
to be some of the major factors inhibiting change in
health field are usually neither explicit nor
carefully tested in practice. These unknown
mental health practice. He suggests some possible
ways in which this resistance can be overcome.
factors produce an uncertainty about use
that most mental health professionals would
Method
rather forego than face. "Uncertainty is
anxiety provoking, questioning of our basic
The ideas in this paper are based on the broad
premises is threatening, and evaluating our
experience and observations of the author.
work so we can continue to learn and grow is
frightening."
Findings and Conclusions
Somewhat related to the uncertainty syn-
1. The following factors are cited as producing
drome is the fear of discovery that one is not
resistance:
so competent or effective as one had hoped.
This also prevents experimentation with in-
(a) Personal satisfactions-the author feels that
novation.
one's personal satisfactions in the mental
health professions depend upon "having
(d) Tendency to guard old statuses-Berlin sug-
learned a certain body of theory and practice
gests that changes can often result in an al-
and becoming fairly proficient in its use."
teration of status, which in turn is threaten-
Experience with learned techniques leads to
ing. The use of subprofessionals is an exam-
proficiency and comfort which would be en-
ple of a status-altering change that has
dangered if individuals were to initiate new
proved threatening to many mental health
theories and techniques. According to Berlin
professionals.
personal satisfaction is likely to decrease
2. Three suggestions are offered for overcoming
during the initiation of innovation practices.
resistance to innovation in mental health pro-
(b) Money and status-the money and status
fessionals. They are:
accorded a mental health professional who
uses tried-and-true techniques becomes en-
(a) Community involvement-through partici-
dangered if he champions new techniques.
pation in community action projects the
Most clients prefer time-tested techniques to
mental health professional may be forced to
innovative practices not yet "proven" totally
reexamine his methods and techniques for
successful.
dealing with mental health problems. Com-
SUMMARIES
109
munity involvement gets him out of the of-
veloping theoretical understanding of new
fice and into the "real world."
ideas.
(b) Pilot programs-through involvement in
(c) Group discussions-regular meetings of men-
pilot projects the mental health professional
tal health professionals in which they can
is given a somewhat "anxiety-free" situation
discuss relevant new ideas may provide
to experiment with and practice new tech-
necessary support for actual experimenta-
niques. Pilot programs can be helpful for de-
tion.
INNOVATION DIFFUSION
31
Research utilization process
Diffusion model
ANALYTICAL MODEL
Bhola, Harbans S. A configurational theory of innovation diffusion. Columbus, Ohio: Bureau of Educa-
tional Research, College of Education, Ohio State University, 1965.
Purpose
3. Linkage is communication. Two configura-
tions are in linkage when they are in communica-
The theory presented in this paper is designed to
tion with each other.
explain the process of innovation diffusion and to
4. Bhola adapts Guba's and Clark's theory-into-
predict success or failure of innovation diffusion
action model by adding another phase after imple-
plans and projects.
mentation called service and support (see Fig. 1).
Bhola sees diffusion carried through the implemen-
Method
tation phase as functional diffusion. It becomes
The author has based his analysis on his own
total diffusion when carried through the support
knowledge, experiences, and observations.
phase.
5. The environment in which diffusion takes
Findings and Conclusions
place can be supportive, neutral, or inhibiting.
The supportive and inhibiting environments can
1. The configurational theory of innovation dif-
be either weak or powerful.
fusion can be stated as a function (f) symbolized as:
D=f(Cᵢₜ LER). Diffusion (d) of innovation is a func-
tion (f) of the Configurational (C) relationship be-
SUPPORTIVE
NEUTRAL
INHIBITING
tween the Initiator (i) from a class of such initia-
POWERFUL WEAK
WEAK POWERFUL
tors and the Target (t) from a class of such targets;
the extent and nature of Linkage (L) between and
6. Bhola suggests that the initiator (I) and target
within configurations; the environment (E) in
(T) configurations may need an articulating force,
which the configurations are located; and the re-
an adapter (A) that either overlaps or bridges the
sources (R) of both the initiator and target con-
gap between the initiator and the target.
figurations.
A
T
I
A
T
2. Configurations are social units within which
individuals play a variety of formal and informal
overlapping
bridging
social rules. These roles may be played by individ-
uals in groups, in institutions, or in cultures. An
7. The resources necessary for innovation dif-
initiation configuration acting on another target
fusion are: material resources, resources of con-
configuration together make a configurational rela-
ceptual skills, resources of personnel, and resources
tionship, symbolized by Cᵢₜ.
of influence.
110
PUTTING KNOWLEDGE TO USE
FIGURE 1
Change in a Social Process Field
Research
Development
Dissemination
Demonstration
Implementation
Service and
Support
Objective
Advance
Apply
Distribute
Build
Facilitate
Consolidation of
knowledge.
knowledge.
knowledge.
conviction.
action.
adoption.
Criteria
Validity of
Feasibility
Intelligibility
Credibility
Effectiveness
Generalizibility.
knowledge
Performance.
Fidelity.
Efficiency.
Acceptibility.
produced.
Comprehensive-
Accessibility.
ness.
Pervasiveness.
Relation to
Provides
Produces
Informs
Promotes
Incorporates
Integrates inno-
change.
basis for
innovation.
about
innovation.
innovation.
vation.
innovation.
innovation.
32
CHANGE STRATEGIES
Intergroup relations
Training laboratory
CASE STUDY-ANALYSIS
Blake, R. R., Mouton, J.S., and Sloma, R. L. The union-management intergroup laboratory: Strategy for
resolving intergroup conflict. In W. G. Bennis, K. D. Benne, and R. Chin (Eds.), The planning of
change (2nd ed.). New York: Holt, Rinehart & Winston, 1969, pp. 176-191.
Purpose
(d) Clarification of images.
The article seeks to throw light on an approach to
(e) Intragroup diagnosis of present relationship.
the resolution of conflict and hostility between
(f) Consolidation of key issues and sources of
friction.
labor and management in a given plant. The
approach involved a carefully designed, two-day
(g) Planning next steps.
educational laboratory based on behavioral science
concepts.
Findings and Conclusions
Method
1. Increasing interdependence among groups in
carrying out various functions can aid organiza-
The strategy for conflict management that was
tions in the accomplishment of mutual goals, but
developed combined the application of basic re-
can also breed hostility and disruptive conflict.
search findings and a technology of face-to-face
2. Holding a two-day educational laboratory in
confrontation, in open conflict, of the images each
which differences between representatives of labor
party held of the other and itself. In the two-day
and management presented images of themselves
series of conferences the two groups met together at
and of one another led to a slow movement toward
times, and at times separately. The role of the
better understanding. Subsequently, the impact of
change agent is described in detail. The union-
the sessions was found to be greater in treating new
management laboratory included the following
issues than in resolving old ones.
phases:
3. Correcting a situation of long-standing,
(a) Orientation.
chronic hostility requires continuous and diligent
(b) Intragroup development of own image.
follow-up efforts, lasting over as many as a five-
(c) Exchange of images across groups.
year span in some instances.
SUMMARIES
111
INNOVATION: MENTAL HEALTH
33
Resistance to change
EMPIRICAL STUDY
Blum, R. H., and Downing, J. J. Staff responses to innovation in a mental health service. American Jour-
nal of Public Health, 1964, 54, 1230-1240.
Purpose
instruments: records of complaints and termina-
tions, records of activity and efficiency, a ques-
This paper was developed to shed light on the
tionnaire to all staff members shortly after plans
following questions: What varieties of professional
for the innovations had been announced, a ques-
response to innovation must be anticipated and
tionnaire one year after the new programs were
under what conditions is a given response most
underway.
likely to occur? How can change be introduced so
as to minimize resistance? If resistance to change
Findings and Conclusions
occurs, is the administrator more likely to achieve
his goals by increasing coercive pressures or by
1. Staff terminations were most frequent in the
yielding to some degree in the face of determined
service that experienced the most forcibly imposed
staff opposition? Just how should the psychiatric
change (the special treatment team in the adult
administrator go about introducing change and
clinic).
what can he expect as a result?
2. In the administrator's judgment, there were
more staff complaints and special administrative
problems in this same service unit during the 12
Method
months following the innovation.
The setting for the study was a county (San
3. There was a greater time-lag in the adult
Mateo County, Calif.) in which three administra-
clinic than in the other new services between staff-
tively autonomous mental health services were
ing and the delivery of services.
centralized in one division and put under the direc-
4. Response to the initial questionnaire indi-
tion of a newly created administrative section.
cated that the new treatment team in the adult
Three innovations were introduced to achieve the
clinic had the most intense emotional reaction to
following goals: immediacy of treatment, conti-
the innovation and were particularly suspicious of
nuity of care, diversity of treatment, more efficient
the "real" motive of the administrator in making
use of staff time, improved record keeping, and sys-
the change.
tematic evaluation. Each of the three innovative
5. Response of the one-year-later questionnaire
activities was introduced in a different setting and
indicated that much of the hostility toward the
in a different manner, ranging from high to low
innovation on the part of the adult clinic team had
degree of central control and coercion.
subsided.
1. A new treatment team in the adult unit was
6. On the basis of the foregoing findings, the
initiated without support or approval of the chief
authors conclude: The intensity of the negative
of service, and outside personnel were brought in to
reaction of professionals appears related to the
staff it. This new team differed markedly from the
extent to which the power and prestige of local
parent unit in its work patterns.
service chiefs are threatened, the extent to which
2. A new treatment team in the child guidance
control is taken out of their hands, the extent to
clinic was completely integrated with the ongoing
which existing informal work relations are disrup-
program; and the chief of service, though he had
ted, and the extent that coercive pressures are
some initial resistance, was given full responsibility
applied to require marked deviations from tradi-
for the new unit.
tional procedures.
3. The third innovation was an alcohol unit, a
7. Despite its resistance to change, the innova-
new service with a new staff; no coercion was in-
tive team in the adult clinic was more successful
volved in its installation.
in achieving the goals of the innovative approach
The response of mental health professionals to
than were the other two units; the fact that they
these innovations was measured by the following
had the aid of outside experts contributed to this.
PUTTING KNOWLEDGE TO USE
112
Conclusion: Goals can be achieved in spite of staff
significant factors in their decision to disband.
resistance, providing administrative support and
9. The adult team had a greater impact on its
sanctions are firm.
parent unit after reabsorption than did the chil-
dren's team; it should be remembered that it de-
8. At the end of a year, the innovative treatment
parted more drastically from traditional pro-
teams in both the adult and children's units elected
cedures. In short, the innovation which produced
to dissolve, and personnel of both teams were re-
the most resistance and the greatest disruption was
absorbed into their respective parent units. Peer
the one which best achieved its goals and which
pressure plus lack of tolerance for autonomy were
was most copied after its successful operation.
PLANNED CHANGE
34
Change strategies
ANALYSIS AND SUGGESTIONS
Bobbe, R. A., and Schaffer, R. H. Mastering change: Breakthrough projects and beyond. American Man-
agement Association Bulletin, 1968.
Purpose
(e) Providing methods for reviewing and con-
trolling the work.
A prescription for achieving change.
(f) Instituting steps to create an expanding sus-
taining process.
Method
3. An elaboration of these steps follows:
The ideas in this article are based on the broad
(a) Breakthroughs - a breakthrough project
experience and observations of the authors.
should respond to an immediate need of the
Findings and Conclusions
organization. It should be achievable with
the current resources of the organization. It
1. There are five characteristic responses to the
should be a tangible step toward key long-
need for change:
range objectives.
(a) Concentration on preparing for a change.
(b) Written assignment-it should contain at
(b) Delegation of organizing and carrying out
least the following elements: a general state-
change to consultants or to staff.
ment of long-term objectives; a clear defini-
(c) Focusing on one element of change alone.
tion of the assignment with specific responsi-
(d) Deferring action for a more auspicious time.
bilities; a request for a work plan outlining
(e) Major surgery.
specific steps; a detailing of resources and
methods available; specific measures of prog-
2. These responses are all inadequate either be-
ress; checkpoints and completion dates;
cause they take too little action too slowly or too
methods of reporting progress.
much action too hastily. The only reasonable ap-
proach is a gradual expansion of management's
(c) Written work plan-this outlines how the in-
capacity to carry out change while also performing
dividual or group intends to accomplish the
the present job. In industry, this approach char-
goals. It should include specific steps in the
acterizes organizations which survive and prosper
assignment, names of those responsible for
for generations.
each step, dates by which each step is to be
completed, and clear statements of how per-
The essential ingredients in this strategy are:
formance of each step will be measured. This
(a) Developing achievable breakthrough projects.
is the action phase of the initial planning
(b) Giving written assignments.
written assignment.
(c) Requiring written work plans.
(d) Instituting innovative action-success here
(d) Instituting innovative action.
requires people to experiment with new ways
SUMMARIES
113
of collaborating to plan work and get it done.
example of a community hospital that had
Often it is desirable for task forces to repair
come to a standstill because its doctors, ad-
to an extra-work setting to get the project
ministrators, and trustees could not collab-
started.
orate. To help overcome this, projects were
(e) Reviewing-reviews should be periodic,
organized around three problem areas where
keyed to checkpoints in the work plans. In-
all agreed action was needed. A task force
formal review sessions might well occur more
with representatives from each group were
frequently than formal reviews. When road-
given written assignments. All groups made
blocks are encountered, as they always will
useful progress and gained positive exper-
be, methods of dealing with them must be
ience in working together. It was felt the
developed; this leads to the next stage of ex-
logjam had been broken; however, nobody
panding the process.
did anything to take the next step, and over
(f) Expanding the process-the assignment
time the momentum faded and the old fric-
may need to be reshaped or added to; the
tions reappeared. Luckily, one trustee seized
time dimension may need to be altered; the
the initiative and got the hospital leadership
manager may need to expand his control.
together to plan the next steps, which were to
The whole move toward creative, innovative
move into tougher, more far-reaching de-
management can be fostered by adding proj-
cision areas in the same task force method
ects related to the initial breakthrough proj-
involving more people. This procedure of se-
ect. Involving other departments and other
lecting increasingly ambitious goals did, in
people over the course of time also fosters
fact, move the hospital to a creative stance.
this innovative process. The authors cite the
Success fosters success.
35
INNOVATION: MENTAL HOSPITAL
Innovation and marginality
Innovative transfer
CASE STUDY
Borman, Leonard D. The marginal route of a mental hospital innovation. Paper presented at the annual
meeting of the Society for Applied Anthropology, Lexington, Ky., April 1965.
Purpose
Method
Borman analyzes the effects of a marginal* pop-
Observation seems to be the principal method
ulation introducing an innovation to the more in-
used in gathering information for analysis. The au-
fluential and socially accepted members of a social
thor describes the "nonthreatening" manner in
system.
which the patient councils were introduced and the
In essence this is a report of a case study that in-
processes involved in moving the innovation from
volves an innovation (a novel form of a patient
marginal acceptability to system acceptability.
council) which was initiated in a mental hospital
by socially marginal professionals (members of the
Findings and Conclusions
recreation and anthropology departments). The
groups of patients through which they initiated
1. The innovation was introduced among the
their innovation were also marginal in that they
"discarded" patients so that this would not pose a
were considered backward and chronic.
serious threat to the customary values and prac-
tices of the hospital. Since to many the patient
council appeared to resemble play activities, few of
*Marginal individuals are those who are perceived as deviat-
the "prestigeful" professionals attended patient
ing from the norms of a given system.
council sessions.
114
PUTTING KNOWLEDGE TO USE
2. Four processes played important roles in
(c) Many of the hospital staff were disillusioned
transforming this marginal innovation to one of
with some of the arrangements for treating
higher regard and acceptability.
and organizing the care of patients. (A felt
need for improvement was obvious.) Patient
(a) Shortly after the initial patient council the
councils helped to symbolize one kind of res-
chief of the recreation department encour-
olution to some of the dilemmas; thus, more
aged the spread of patient councils through-
interest was stimulated.
out the hospital. The chief prodded all rec-
(d) The patient council innovation also became
reation specialists to establish these councils.
more important through its identification
Eventually a hospital-wide advisory council
with the outside therapeutic community
was established, with weekly meetings. This
movement. The local patient council innova-
council further served to stimulate other
tions became identified with this outside
wards and units to adopt the innovation.
movement in two ways: (1) through the dis-
Since it was still perceived as a play activity
tribution within the hospital of literature
much of the threat that often accompanies
drawn from the larger movement, and
an innovation was reduced.
(2) through consulting visits and lectures by
(b) Eventually the research interest in patient
many of these same professionals.
councils and the resulting activities stimu-
3. Borman stresses the importance of the role the
lated further acceptance. The university
researchers played in this case study. Their rather
students involved in researching the effects
undefined roles made it possible for them to com-
served a linking function, in that they made
municate freely with all segments of the hospital
the innovation understandable to others in
bureaucracy. They played a vital role in gaining
the hospital.
system acceptance for the innovation.
36
CONSULTANT ROLE
Change motivations
Community research
ANALYSIS AND SUGGESTIONS
Bowman, Paul H. The role of the consultant as a motivator of action. Mental Hygiene, 1959, 43, 105-110.
Purpose
(a) the knowledge function, which involves an-
Bowman examines the various methods of moti-
alyzing problems and bringing resources to
bear that can help in the solution thereof;
vation used by the consultants to a 10-year com-
and,
munity research project in which the role of the
(b) the motivation function, which involves help-
consultant was a central variable. He explores the
ing individuals define their problems, mobi-
successes and failures of the various methods of
lize their own resources, and carry out action
motivation and suggests optimal uses for the dif-
ferent methods.
programs.
2. The following motivational methods are based
Method
on external factors:
The author's observations and opinions are based
(a) Authority method-the authority of a con-
on his field experience.
sultant comes from the support of influential
persons and the informal authority of his
Findings and Conclusions
position and status. It is based on acceptance
of the consultant by the power structure of
1. Bowman sees two basic functions for the con-
the community. Motivation through exertion
sultant-
of authority is usually most evident in the
SUMMARIES
115
initial phases of project development.
rewards were employed. Academic course
(b) Emotional contagion method-this method
credit was offered, as was aid in helping local
of motivation stems from the enthusiasm of
schools obtain grants, recognition of work
highly involved individuals. These individ-
accomplished in the form of scholarships, in-
uals act as catalysts and stimulate the en-
vitations to speak at the university, and co-
thusiasm and involvement of other com-
authorship of forthcoming articles. The au-
munity members. The author does not see
thor warns that the reward can become more
emotional contagion as a manipulable type
important than the goals.
of motivation, but rather as a natural ex-
3. Internal sources of motivation can also be
pression of feelings toward the goals and ob-
tapped. This method appears to be primarily re-
jectives of the project.
lated to aiding individuals assess their own needs.
(c) Reward and punishment methods-either
Opinion surveys and demonstration activities were
rewards or punishments can be used as moti-
mentioned as possible tools for helping individuals
vating forces. Punishments were not util-
see their own problems and needs and possible
ized in this project. Several different types of
solutions to them.
37
INNOVATION: EDUCATION
Change process
Organizational factors
State organization for change
EMPIRICAL STUDY
Brickell, Henry M. State organization for educational change: A case study and a proposal. In M. B. Miles
(Ed.), Innovation in education. New York: Bureau of Publications, Teachers College, Columbia Uni-
versity, 1964, pp. 493-531.
Purpose
institutions had remained stable and unchanged.
The second study set out to discover the reasons for
This article deals with the second of two related
that structural stability, to identify any forces
studies, with a brief introductory comment about
powerful enough to loosen it, and to suggest a new
the first. The two studies comprised: (1) an inven-
pattern of State organization which would make
tory of new instructional programs being used in
the modification of instructional arrangements ra-
elementary and secondary schools in New York,
tional, rapid, and continuous.
and (2) an analysis of the dynamics of instructional
innovation. They were to lead to recommendations
Method
for statewide action to accelerate the pace of
change, and to improve its direction, without
The writer conducted unstructured interviews in
diminishing local control of education. Both studies
31 public school systems of all types and sizes in
focused exclusively on innovations which require
New York, and five selected districts in other
significant shifts in the normal arrangement of six
States. He visited approximately 100 schools and
major structural elements of a school: teachers,
1,500 classrooms. He visited 13 college and uni-
students, subjects, methods, times, and places;
versity schools of education, nine regional college-
e.g., television, team teaching, ungraded classes.
affiliated school study councils, the New York
The findings of both studies apply to instructional
State Education Department, schools of medicine
programs of that type rather than to classroom
and agriculture, and a wide variety of professional,
practice.
commercial, and school-related citizens' organiza-
The first study determined that while the rate of
tions. The findings and recommendations which
innovation doubled within the 15 months following
follow depend entirely on these interviews for their
Sputnik I, the great bulk of schools as structured
support.
116
PUTTING KNOWLEDGE TO USE
Findings and Conclusions
adopting or adapting something the neighbors are
doing.
1. The key conclusion drawn is that the design,
8. Suspicion is widespread regarding the worth
evaluation, and dissemination of innovations are
of innovations in other schools; the most persuasive
three distinctly different, irreconcilable processes.
way of learning about an innovation is that of visit-
The circumstances which are right for one are es-
ing a successful program and observing it in action
sentially wrong for the others.
(see 1-c above).
(a) The design state requires a specially pre-
9. The most successful innovations are those
pared environment which would not be found
which are accompanied by the most elaborate help
normally: a group of highly intelligent
to teachers as they begin to provide the new in-
people; a limited problem; adequate time,
struction.
money, and resources; and the freedom to ex-
10. Except for their role in training teachers, the
periment with new methods.
colleges and universities have little influence on in-
(b) In the evaluation stage, rather than freedom
structional innovation in elementary and secon-
to experiment, the evaluator needs to be able
dary schools.
to control, or at least to assess accurately,
11. Commercial organizations, such as textbook
those forces which might influence the suc-
publishers, are extremely powerful. When they pro-
cess of the new approach.
mote an instructional change, a great wave of in-
(c) The dissemination stage calls for an "every-
fluence sweeps the schools. On the other hand,
day" situation, in which the observers may
once they begin to market a given product, they
see clearly that the new approach will be ef-
serve as powerful inhibitors of further change, be-
fective in their own schools and communities.
cause they seek volume distribution and repeated
Anything which the observer could label
sales of the same product.
"abnormal" or "unrealistic" is sufficient to
12. Outcome-the report on the dynamics of in-
rob the observed program of persuasive effect.
structional innovation concluded with a new plan
2. Friction is common among people concerned
for State organization, based entirely on the find-
with innovation (e.g., between the State men man-
ings presented in this article.
aging the education department's fund for local ex-
(a) The recommendations made two basic as-
perimentation and the local men spending it).
sumptions: (1) that the solution would have
3. The conclusion reached from adding (1) and
to be accomplished largely with the people
(2) above is that failure to distinguish the three
and the funds already available; and (2) that
phases of change is the most formidable block to in-
the factors influencing instructional change
structional improvement today.
could not be altered appreciably, and that
4. The distinctions between design, evaluation,
they would have to be guided, not opposed.
and dissemination are better recognized and sep-
arated in medicine, agriculture, and industry than
(b) The plan was set up to use generalists to fill
in education.
long-range permanent positions and special-
5. The process of local educational change is de-
ists to fill short-term temporary positions.
termined by the relationships between and within
The heart of the proposal was that separate
two groups: (a) the public and the board of educa-
circumstances be deliberately created for the
tion, external to the institution; and (b) the admin-
design, evaluation, and dissemination of new
istrators and teachers, internal to the institution.
instructional programs.
Rearrangement of the structural elements of the
(c) Dissatisfaction with the recommendations,
institution depends almost exclusively on admin-
within one year after publication of the re-
istrative initiative, because that is the source of
port, was evenly distributed among all types
authority.
of organizations. However, the general re-
6. Classroom teachers can make only three types
action of the people who were not strongly
of instructional change in the absence of admin-
identified with the specific existing struc-
istrative intervention: (a) change in classroom
tures was that although the report was not
practice, (b) relocation of existing curriculum con-
correct in all its conclusions, it merited very
tent, (c) introduction of single special courses at
serious study.
the high school level.
(d) Some ten months after the publication of the
7. Few new instructional programs are invented
report, the commissioner of education an-
in any school system. Most local changes involve
nounced that plans were underway to estab-
SUMMARIES
117
lish a semiautonomous research unit to stim-
of new instructional programs and new
ulate and finance the design and evaluation
methodologies in the schools.
38
RESISTANCE TO CHANGE:
TECHNOLOGICAL
Resistance reduction
Innovation
CASE STUDY
Bright, James R. Research, development, and technological innovation: An introduction. Homewood, Ill.:
Richard D. Irwin, 1964.
Purpose
(h) Because the innovation conflicts with exist-
ing laws or rules.
This book is a compilation of papers dealing with
(i) Because of the rigidity inherent in large,
technological innovations. It is intended to provide
bureaucratic organizations.
case studies and examples of the principles of
(j) Because of personality, habit, fear, equi-
change. The one chapter relevant to mental health
librium between individuals or institutions,
is entitled "Resistance to Technological Innovation."
status, and similar social and psychological
considerations.
Method
(k) Because of the tendency of organized groups
In the chapter on "Resistance to Technological
to force conformity.
Innovation," the author abstracts principles from
(1) Because of reluctance of an individual or
the case studies. This is not a documented analysis,
group to disturb the equilibrium of society or
but a subjective distillation.
the work atmosphere.
2. The first question in a resistance study is to
Findings and Conclusions
consider each of the above categories relative to the
1. Major reasons for resistance to change are:
particular innovation. Then, once you have identi-
fied possible sources of resistance, you can consider
(a) To protect social status or prerogative.
the means useful to minimize resistance.
(b) To protect an existing way of life.
(c) To prevent devaluation of capital invested
in an existing facility.
3. The following recommendations for introduc-
(d) To prevent a reduction of livelihood because
ing change are made:
the innovation would devalue the knowledge
(a) Minimize threat, since resistance will be in
or skill presently required.
proportion to the threat people feel.
(e) To prevent the elimination of a job.
(b) This would thus suggest that innovations
(f) To avoid expenditures, such as the cost of
should be introduced in stages since resis-
replacing equipment, renovating, modifying
tances are lessened if only slight changes are
systems to accommodate the innovation.
required.
(g) Because the innovation opposes social cus-
(c) Innovations should be made in places where
toms, fashion, taste, habits of everyday life.
people are accustomed to frequent changes.
118
PUTTING KNOWLEDGE TO USE
39
KNOWLEDGE DISSEMINATION
Information needs
Change agency
ANALYSIS AND SUGGESTIONS
Burchinal, Lee. Needed: Local, one-stop information centers. Educational Researcher, Special Supple-
ment, 1967, 8-9.
Purpose
(a) Become familiar with all large-scale, perti-
nent sources of knowledge.
To present the need for and the functions of local
(b) Know the operational requirements of the
educational information centers.
several information systems.
(c) Act as intermediary between the user and the
Method
systems.
(d) Be able to provide feedback from the users
The author bases his suggestions on his analysis
to the systems.
of information needs in education.
3. The settings for the centers would be regional
laboratories, State agencies, and large school sys-
Findings and Conclusions
tems. A full-blown center would require several
1. There is need to supplement the services of
full-time specialists and probably a clerk-typist or
ERIC by the establishment of small, local informa-
secretary. Although ERIC service and tools would
tion centers.
comprise an important part of the operation of
local information centers, independent funding
2. These local centers could serve four functions:
would be required.
40
CHANGE STRATEGIES
Individual reeducation
ANALYSIS
Burke, Edmund M. Citizen participation stategies. Journal of American Institutional Planners. September
1968.
Purpose
rationality, the staff has to be sensitive to individ-
This is a rational discussion of five strategies of
ual differences, involve people in organizations and
change.
encourage them to participate in order to allay
their fears, gain their advice and seek their co-
Method
operation. Five strategies of change may be identi-
fied:
The ideas in this article are based on the broad
1. The education therapy strategy, in which
experience and observations of the author.
participation focuses upon the presumed need for
improvement of the individual participants. In this
Findings and Conclusions
instance, task accomplishment is irrelevant; rather
the participants become clients who are the objects
Effective change strategies require knowledge
of treatment. The problem with this strategy is its
and skill in handling the dynamics of individual
inability to accommodate organization demands;
and group behavior. While seeking to maximize
the focus is on the means rather than the end.
SUMMARIES
119
Changes may occur among the individual partici-
3. The strategy of staff supplements involves the
pants but not be translated into organizational
use of skilled volunteers as a supplementary staff.
goals.
This strategy depends upon the classical notions
2. The strategy of behavior change, which is
of rationality and planning about which there is
deliberately aimed at influencing individual be-
now considerable doubt. The advice of a profession-
havior in order to change group behavior. The ob-
al often becomes merely another opinion.
jective is to induce change in a system by changing
4. The strategy of cooptation, despite the usual
the behavior of the system's members in general or
disparaging connotation attached to it, does pro-
of influential members in particular. Since people
vide a means for achieving social goals. Groups not
in groups resist decisions imposed upon them, par-
normally included in policy making are given an
ticipation in the decision-making process can help
entree to the decision-making arena. This also in-
them create commitment to new objectives. The
creases the opportunity for organizations to relate
awareness of the need for change and pressure for
to one another and find compatible goals.
change must come from within the group, from a
shared perception held by the members. Facts,
5. The community power strategy works best for
data, and persuasion are not enough. If system rep-
organizations committed to a cause rather than to
resentatives can influence change in their own
specific issues or services. This strategy essentially
reference groups, this strategy is a highly effective
involves power confrontations. The interpersonal
model for planned change. Experiments in industry
problems in this sort of method usually reduce its
with this strategy have been quite effective.
effectiveness.
ORGANIZATIONAL CHANGE
41
Change strategies
Individual reeducation
ANALYSIS
Burke, W., and Schmidt, W. Primary target for change: The manager or the organization? In H. A. Horn-
stein, B. B. Bunker, W. W. Burke, M. Gindes, and R. J. Lewicki (Eds.), Social intervention: A be-
havioral science approach. New York: The Free Press, 1971.
Purpose
Findings and Conclusions
The author presents a way of comparing two
1. The effective organization must have both
approaches to improvement of managerial effective-
management development and organization de-
ness and organizational functioning: (a) manage-
velopment.
ment development (the educational development
(a) Management development and organization
of individual managers), and (b) organization de-
development are complementary processes.
velopment (the development of the organizational
(b) Management development is seen by the
unit).
authors as only one significant facet of or-
ganization development.
Method
2. Management development strives toward de-
veloping managers who will be able to contribute
Analytic discussion, in which the author com-
more to the organization, while organization de-
pares management development with organization
velopment attempts to create conditions under
development with regard to goals, difficulties in
which managers can make these contributions.
initiating, strategies for change, staff and time re-
3. Organizational development requires total
quirements, and problems involved.
system involvement, commitment to long-term re-
120
PUTTING KNOWLEDGE TO USE
newal efforts, and is accordingly more difficult and
velopment is to develop processes that will assist in
involves greater risk.
the diagnosis of organizational problems, in the
4. The strategy for change in management de-
planning of solutions, and in the implementation
velopment is to improve the individual manager's
of remedial plans.
knowledge and skill, and possibly to change his
6. Staff requirements are more severe in organi-
attitudes. Typical interventions are of an educa-
zational development; the practitioner of organiza-
tional nature, e.g., courses, conferences, seminars,
tion development requires a wider range of skills
etc.
than is required for the practitioner of management
5. The strategy for change in organization de-
development.
42
IN-SERVICE EDUCATION:
HEALTH FIELDS
Individual reeducation
ANALYSIS AND SUGGESTIONS
Cady, Louise L. The philosophy of in-service and continuing education. Mental Hygiene, 1968, 52, 456-461.
Purpose
costs too much to have our staff off a half day
This article is a plea for in-service and continuing
each month for education conferences.' Mrs.
education in health fields. The author analyzes the
Cady points out that while this may be very
current relationships between in-service education
true, community changes, changes in need
and the health fields and then makes a series of
for services, new research developments, etc.,
suggestions for implementing better in-service
all indicate that there must be provisions for
programs.
on-the-job training.
An employee once
trained is not trained 'for always.'
Method
(c) Too many individuals are assigned to jobs for
which they are not specifically trained and
The findings in this article are based upon the
then left to sink or swim. As a result the job,
author's experiences and observations.
the work, or both, suffer.
The author defines in-service education as "ed-
(d) Most individuals being "turned out" of the
ucation that is imparted and obtained while one
schools, are not endowed with the philosophy
performs the task
education for the job with
that education is a continuing process. Indi-
the least practical interruption of performance of
viduals should be trained to think of educa-
the job.'
tion as something they will continue rather
than terminate with graduation.
Findings and Conclusions
(e) Current in-service training is aimed primarily
at individuals assuming new positions. Work-
1. Present Status of In-service Education in
ers already part of the system are not given
Health Fields.
the benefits of in-service education. New de-
(a) There is a limited supply of trained individ-
velopments and discoveries are made of
uals. As the most capable are promoted and
which the "old" worker needs to be made
assume higher duties, gaps in service are cre-
aware.
ated. More and better in-service education is
(f) Often institutions and agencies are defen-
needed to adequately train individuals to
sive about their images. In-service education
assume the responsibilities and duties of
can help such organizations to become in-
vacated positions.
sightful rather than defensive about the dif-
(b) Administrators often argue, "Our people are
ference between the agency's self-image and
needed to do the job. We cannot spare them. It
its true image.
SUMMARIES
121
(g) Often there is an intellectual acceptance by
(b) Encourage staff attendance at educational
the institution or agency directors of the
meetings. Make specific plans designed to
need for continuing education, but no "ar-
suit the particular needs of each division.
rangements" are made to provide such train-
(c) Incorporate 15-minute daily or half-hour
ing. "With no planned direction and super-
weekly sessions into the work schedule. Such
vision, a worker may accumulate year after
sessions should include demonstration and
year of the same experience, with no pro-
practice with new ideas and techniques.
fessional growth or improvement in patient
(d) Use available audiovisual materials such as
care."
educational television and programmed in-
struction. Condense relevant articles in cen-
2. Suggestions.
tral offices and relay to workers via tape re-
(a) Develop exchange programs within or be-
cordings, records, or telephone.
tween agencies to fill training and experi-
ential gaps. "An exchange program cannot
Mrs. Cady concludes, "In mental health there
only increase competencies, but it may also
seem to be two needs: a new pattern for continuing
bring about coordination and continuity of
education, and a new use of the materials at hand
services."
for such education."
43
EVALUATION OF TRAFFIC
REFORM
Social experimentation
Research methodology
CASE ANALYSIS
Campbell, Donald T. Reforms as experiments. American Psychologist, 1969, 24, 409-429.
Purpose
Findings and Conclusions
This is a discussion of the ways in which social
1. There was a striking drop in Connecticut traf-
improvements in a community or in an institution
fic fatalities from 1955 to 1956 but it is possible to
can be evaluated for their effects on a variety of
think of a number of explanations for this besides
indices. Recognizing that administrators need to
the enforcement crackdown:
make their decisions "look good," Campbell, never-
(a) Maturation or preexisting trends in the com-
theless, thinks it is possible to stage reforms in such
munity-it may have been that fatalities
a way that they can serve as experiments. He dis-
were going down anyway and taking one
cusses some of the common sources of misinterpre-
year-to-year segment just capitalizes on a
tation of trends in social indices following a reform
general trend rather than demonstrating the
and proposes ways in which these misinterpreta-
effects of a reform which happened to come
tions can be avoided.
in one of the years when the trend was op-
erative. An analogy from mental health
Method
would be treatment taking credit for all of
the increasing independence we see in young
Campbell uses the enforcement crackdown on
people in the course of their adolescence.
speeders that Governor Ribicoff of Connecticut
(b) Instability of measures-there may be a
instituted in 1953 as an illustration of some of the
great deal of variability in the measure to
possibilities of evaluation of such a reform and
begin with SO that year-to-year variations
some of the difficulties as well. He takes trends in a
may have less significance. Thus, if a num-
number of traffic measures over the period from
ber of measures of ward morale go up and
1951 to 1959.
down in the absence of any planned change,
PUTTING KNOWLEDGE TO USE
122
one would be more cautious in interpreting
(b) If a new policy or treatment is to be intro-
an improvement in morale consequent upon
duced he suggests randomized selection of
the introduction of a new patient policy.
the units which are to try it out.
(c) Regression effects-with an oscillating index
(c) Each pilot unit should be matched with a
the tendency after a high value is toward
control one and the same measures taken be-
a lower one; after a low value toward a higher
fore and after on both. Where this cannot be
one. The speeding crackdown followed a
year of unprecedentedly high traffic fatali-
done it may be possible to have staged inno-
vation within an administrative area so that
ties. Applied to mental health, if we take a
those units which receive the innovation last
group of patients at their most depressed and
can serve as controls for those who receive it
start a new treatment, we should expect im-
first.
provement, but this improvement may be
more a reflection of the regression of mood
(d) Where only some individuals receive a treat-
values toward the mean than any treatment
ment he suggests selecting them randomly SO
effect.
that the remainder are a valid control group.
(d) Instrumentation artifacts-sometimes re-
(e) Where selection for treatment is based upon
forms bring changes in the process of mea-
surement itself. Mental health education
prior measures (as, for example, might occur
with scholastic aptitudes scores in education
may bring about an increase of people seek-
or with ego-strength measures in psycho-
ing treatment, SO that if the number of pa-
therapy), then future achievements or adjust-
tients per capita is our index of general
mental health we may conclude erroneously
ment of the two groups can be compared by a
that the education has worsened mental
regression discontinuity design which he
describes in some detail.
health. This effect is particularly apparent in
crime statistics. An upgrading of the Chicago
(f) It makes little difference whether the best
police force in 1959 made for better recording
bets are selected-as they are in education-
of petty thefts with the results that by this
or the worst bets-as they might be in
index the reform seemed to have increased
psychotherapy. The design enables the ad-
crime!
ministrator to disentangle the effects of pre-
2. To overcome these stumbling blocks in eval-
existing capacities from the effects of treat-
ment.
uation Campbell makes a number of suggestions.
(a) He favors true experiments rather than quasi
3. The article ends with some candid advice for
ones, but recognizes true experiments are not
trapped administrators who have to show
always possible.
good results from their innovations.
44
CONSULTANT ROLE
Change process: mental health
Consultation measures
ANALYSIS AND SUGGESTIONS
Caplan, G. The theory and practice of mental health consultation. New York: Basic Books, 1970.
Purpose
2. To detail techniques of consultation "so that
they can be taught and learned and so that they
1. To describe the boundaries and goals of con-
can be recorded, evaluated, and improved."
sultation between mental health specialists and
3. To formalize and professionalize certain as-
care-giving professionals and organizations.
pects of mental health consultation.
SUMMARIES
123
Method
(b) recognizing obstacles to communication, i.e.,
conflicts of interest and distortions of percep-
Analytic and didactic, based on the author's
tion and expectation;
broad experience in over 20 years of teaching and
(c) dissipating these distortions;
consulting to schools and mental health systems.
(d) arousing trust and respect;
(e) recognizing distortions of the consultant;
Findings and Conclusions
(f) developing a common verbal and nonverbal
language;
1. Definition of mental health consultation-
(g) establishing ground rules for collaboration;
"consultation" refers to the interaction between
(h) perceiving successive stages in the specialist
two professionals concerning a lay client or a pro-
role; and
gram for such clients. Caplan differentiates consul-
(i) pursuing common methodological issues.
tation from other specialized methods, such as
supervision, education, psychotherapy, case-work,
4. Building the relationship with the consultee-
counseling, etc. He summarizes the characteristics
the consultee must be open to the consultant's
of consultation, stressing that (a) it is a coordinate
point of view but, at the same time, must be suf-
or peer relationship between members of two pro-
ficiently independent to accept only that portion
fessions, rather than a profession in itself; and (b) it
which he finds useful. Caplan points out that the
does not focus overtly on personal problems and
consultant serves as a role model and that relation-
feelings of the consultee.
ship building is a directed process. Detailed sug-
There are four types of consultation:
gestions are given, including:
(a) client-centered case consultation, in which
(a) getting to know the consultee;
the consultee and consultant discuss a par-
(b) fostering his self-respect;
ticular case or group of cases;
(c) dealing with his anxiety about the case and
(b) consultee-centered case consultation, which
about the consultant;
focuses on the consultee's difficulties in
(d) clarifying the consultation contract;
handling a case or cases;
(e) maintaining confidentiality;
(c) program-centered administrative consulta-
(f) keeping the consultee from feeling inferior
tion, which aims to plan or improve a pro-
("one-downsmanship"); and
gram; and
(g) avoiding psychotherapy (seven techniques).
(d) consultee-centered administrative consulta-
5. Client-centered case consultation-this is
tion, which deals with organizational diffi-
the traditional type of specialist consultation, as
culties, such as leadership or communication
between doctors consulting on a medical case. The
problems.
process includes: (a) consultation request; (b) as-
2. Developing a consultation program in a com-
sessment of the consultation problem, i.e., assess-
munity-Caplan discusses the following steps in
ment of the client and the consultee setting; (c) the
helping to formulate an institutional plan:
consultation report; (d) implementation of the con-
(a) establishing a basic philosophy and mission;
sultant's recommendations; and (e) follow-up.
(b) developing a conceptual framework (a pur-
6. Consultee-centered case consultation-this
pose statement within which goals may be
type of consultation aims frankly at educating the
formulated);
consultee. Caplan lists four common reasons for the
(c) exploring goals with community leaders;
consultee's needing this kind of consultation:
(d) choosing target institutions for a consulta-
(a) lack of knowledge, (b) lack of skill, (c) lack of
tion program;
self-confidence, and (d) lack of professional objec-
(e) promoting initial contacts; and
tivity.
(f) distributing efforts among community agen-
Lack of professional objectivity often occurs in
cies.
one of five overlapping categories: (a) direct per-
sonal involvement, (b) simple identification,
3. Building relationships with a consultee insti-
(c) transference, (d) characterological distortions,
tution-preparing a consultation program in a care-
and (e) theme interference.
giving institution involves the complicated process
7. Techniques of theme interference reduction-
of building relationships. Caplan discusses this in
a "theme" is a conflict, related to the experience or
detail, including:
fantasies of the consultee, that has not been re-
(a) building channels of communication;
solved and persists in the preconscious or un-
PUTTING KNOWLEDGE TO USE
124
conscious as "an emotionally toned constellation."
munication, (d) reducing perceptual distortions,
These unsolved problems are often displaced onto
(e) improving leadership, (f) bringing personal and
task situations, producing a temporary loss of emo-
organizational needs together, and (g) improving
tional stability or temporarily ineffectual behavior.
interpersonal skills.
Illustrating his explanation with several cases,
10. Evaluation-Caplan's stated purpose in writ-
Caplan details three steps in his techniques: (a) as-
ing is to formalize what is known about mental
sessment of the theme, (b) the consultant's inter-
health consultation so that it can be transmitted
vention, and (c) termination and follow-up.
and improved upon. In this chapter he discusses
8. Program-centered administrative consulta-
how that knowledge is to be gathered. He discusses
tion-focusing on an organization's problems, the
both the practitioner's rough assessments of
consultant assesses the significance of the relevant
changes in consultees, clients, and organizations,
factors, and then reports his recommendations for
and evaluation by research specialists through
dealing with it. As with the other types of consulta-
more systematic procedures.
tion, Caplan presents much detail concerning tech-
niques. In this chapter he also deals with the ques-
11. Training in mental health consultation-the
tion "Why should the administrative consultant be
author describes the formal program which he uses
a mental health specialist?"
at the Harvard Medical School, and discusses vari-
9. Consultee-centered administrative consulta-
ous kinds of seminars, practices, and supervision.
tion-in helping the consultee organization im-
Caplan also discusses informal training programs.
prove its organizational processes, the following
12. Mental health consultation and community
steps are suggested: (a) choosing the consultees,
action-working with a community requires dif-
(b) initiating contact with the organization, (c) build-
ferent theory and techniques than those used with
ing relationships, (d) studying the social system,
formal organizations. Caplan discusses conflicts
(e) planning the intervention.
and confrontations that were beginning to appear
The following are common interventions: (a) ex-
in the community in the late sixties and presents
tending the consultee's cognitive field, (b) in-
several approaches which mental health workers
creasing mastery of feelings, (c) improving com-
might use in these new situations.
45
DIFFUSION RESEARCH
Change process
Innovation: life cycle
Innovation: education
ANALYSIS
Carlson, Richard O. Summary and critique of educational diffusion research. Paper presented at the Na-
tional Conference on the Diffusion of Educational Ideas, East Lansing, Mich., Mar. 26-28, 1968.
Purpose
Findings and Conclusions
Carlson summarizes and critiques the educa-
Adoption is defined as the decision to use a new
tional diffusion research done to date, pointing out
idea or practice, and diffusion as the spread of a
its deficiencies and areas for future research.
new practice to and among potential users. Carlson
maintains that the terms "adoption" and "dif-
fusion" describe only a very narrow slice of the
Method
world of change in education. The life cycle of an
innovation must consist of the story of the inven-
The ideas in this paper are based on the broad
tion, development, promotion, adoption, diffusion,
experience and observations of the author.
and demise of the innovation, along with an ac-
SUMMARIES
125
count of the problems encountered and solutions
of what constitutes a new practice.
developed in introducing and maintaining the in-
4. Adopting units-most studies of educational
novation in the school setting, as well as the un-
diffusion focus on the local school system as the
anticipated consequences growing out of its use.
adopting unit, neglecting the individual teacher,
To date most studies have focused only on the
and the varying adoption rates among individual
adoption and diffusion aspects of the process.
schools within a school system. In addition very
Carlson isolates seven elements in the diffusion
limited attention is paid to concepts related to
process and focuses on current research inade-
organizational theory.
quacies. He points out that no single diffusion
5. Communication channels-Carlson points out
study has taken into account all seven elements.
the difference between diffusion studies and adop-
1. Acceptance-the problems encountered in
tion studies. Adoption studies deal with who
this area are definitional: What is acceptable as
adopts and at what rate. Diffusion studies focus on
evidence of acceptance? Are results comparable?
how an innovation spreads, or the extent to which
Who makes the decision to adopt? What procedure
and the rate at which an innovation spreads from
is followed in the decision-making process? Some
its source to and among potential adopters.
research on decision-making processes in educa-
Educational studies, for the most part, neglect
tion has been computed, but the need for good
the fact that communication plays a different role
descriptive studies of acceptance decisions still re-
in each of these processes.
mains.
6. Social structure-communication and social
2. Time-regardless of the centrality of time in
diffusion studies, few adequately identify the time
structure are closely linked. Only one educational
study involved social structure as an explanatory
of the acceptance decision.
3. The innovation-there are two major prob-
variable both in terms of adoption and diffusion.
lems encountered in specifying new educational
7. System of values or culture-according to
practices to study in diffusion research: (a) the
Carlson, no reseacher has drawn upon culture or
classification of educational innovations in order to
values to aid in accounting for the spread of educa-
make results generalizable, and (b) the definition
tional innovations or rates of adoption.
46
CHANGE PROCESS: SOCIAL
Communication process
Change strategies
Change in attitudes
CASE STUDY-ANALYSIS
Carmack, William R. Communication and community readiness for social change. American Journal of
Orthopsychiatry, 1965, 35, 539-453.
Purpose
Findings and Conclusions
To describe the preparation of the Dallas, Texas,
1. The organization and functioning of an ex-
community for the acceptance of desegregation as a
tensive, nonpolitical citizens' council are described.
case study in the effective application of communi-
Meticulous planning, widespread participation, the
cation theory.
establishment of universally appealing supraordi-
nate goals, and the use of reference groups marked
Method
the effort to influence community acceptance of the
desegregation idea.
The concerted program is presented in detail in
relation to the basic components of the communi-
2. Illustrative applications of the components of
cation process.
the communication process are presented under
PUTTING KNOWLEDGE TO USE
126
the rubrics of: (a) the who; (b) the what; (c) the
tion of the media of films, radio, TV, booklets,
channels; and (d) the to whom of communication.
newspapers, and leaflets, a good deal of personal
3. Noteworthy considerations regarding the source,
contact was employed at various stages of the pro-
or the who, of communication include the use of
cess.
credible sources entailing the cooperation of
opinion leaders of all relevant community groups.
6. The target groups, or the to whom aspect,
4. Civic pride was selected as a central theme
were carefully considered in adapting the means
with regard to content, or the what, of the message.
employed in conveying the intended message.
Detailed positions on crucial issues were worked
7. The Dallas effort is reported as having been
out carefully in advance, and a concerted point of
highly successful at least in its early stages, more SO
view was adopted and expressed.
among the white citizenry than the black. Long-
5. As to the channel, or how, of communication,
range effectiveness was noted as unclear at the time
in addition to the massive and diversified utiliza-
of writing.
47
ORGANIZATIONAL FACTORS
Departmental relations: medical schools
Innovation correlates
EMPIRICAL STUDY
Carrole, Jean. A note on departmental autonomy and innovation in medical schools. Journal of Business,
1967, 40, 531-534.
Purpose
ganized around departments, each with a field of
The author attempts to determine which of a
study in the curriculum. For many years depart-
number of variables are associated with innovation
ment chairmen and certain of their faculty secured
in medical schools.
research funds and thereby wielded the power.
With the entrance of the government into alloca-
Method
tion of research funds, a change was made. The
Medical schools were first classified as either
funds were allocated to the schools themselves,
innovative or conservative on the basis of curric-
rather than to departments or individuals. The
ulum change. To qualify as an innovating school, a
balance of power, therefore, shifted and depart-
medical school must have initiated revision of its
mental autonomy is gradually eroding away in the
curriculum, of broader than departmental scope,
more innovative schools.
between 1959 and 1964. Those not meeting this
2. Innovative schools were found to have the fol-
criterion were classified as conservative schools.
lowing characteristics:
From a population of 85 medical schools, seven
(a) Innovative medical schools have larger facul-
were found to classify as innovating schools.
ties than conservative medical schools.
Measures of 18 variables related to size and
(b) Innovative schools had more part-time facul-
composition of the student body and of faculty and
ty than conservative schools.
administrative personnel, to volume and sources of
(c) Innovative schools had a larger number of
support of research, and to number and location of
departments in the basic sciences and clin-
clinical facilities were obtained from all 85 schools.
ical areas.
Findings and Conclusions
3. Author's discussion of findings-the larger
1. The power structure in many medical schools
faculties of the more innovative schools are more
is changing. In the past medical schools were or-
likely to bring a greater number of innovative ideas
*The basis of selection for inclusion in the 85 schools sur-
and practices into being. The larger number of de-
veyed was not mentioned in the article.
partments within the innovative schools means a
SUMMARIES
127
greater opportunity for interdepartmental ex-
happenings in the practical world of medicine and
changes. The fact that many of the faculty mem-
therefore good links between the medical school
bers in the innovative schools are only part time
and innovations being developed in the "real
means they are probably more in touch with the
world."
48
KNOWLEDGE UTILIZATION
Utilization projects
Utilization measures
CASE ANALYSIS
Carter, Launor F. Knowledge production and utilization in contemporary organizations. In T. L. Eidell
and J. M. Kitchel (Eds.), Knowledge production and utilization in educational administration.
Eugene, Ore.: Center for the Advanced Study of Educational Administration, University of Oregon,
1968, pp. 1-20.
Purpose
or so confined to the laboratory setting that
their implications for real problems are, at
Concerned with the lack of research payoff to the
best, tenuous.
larger community, Carter highlights the problem,
2. Projects Dealing with Research Utilization-
explores the results of four projects that have dealt
in the last few years several research projects have
with research utilization and offers some sugges-
confronted the problem of moving research results
tions on how knowledge can be used in attacking
from the library shelf into a functioning role in
major contemporary problems.
relevant real world situations.
(a) Project Hindsight-done in the Department
Method
of Defense, this research study yielded in-
formation that indicated a lack of orderly
The ideas in this chapter are based on the broad
process from research to development. It was
experience and observations of the author.
found that 91 percent of events could be clas-
sified as science. This finding leads one to the
Findings and Conclusions
almost inescapable conclusion that if a tech-
nical development is to take place and it is
1. Information Transfer as a National Problem-
limited by current technology, then the way
the results of basic and applied research and tech-
to solve the problem is to directly attack it in
nological innovation are reported in numerous doc-
terms of the then-known science and ad-
uments, journal articles, government reports,
vanced technology rather than to hope that
books, etc. The number of these and the difficul-
basic science will, in any short time period,
ties in making them available for use have been in-
provide the new knowledge required to lead
creasing for years. The problems confronting a
to a successful system development.
national document handling system are numerous.
(b) Tacoma Project-this study focused on the
it seems probable that even if they (na-
dissemination of information and adoption of
tional document handling system) were
techniques developed during a successful
successful, we would still be faced with
demonstration project. Glaser and his associ-
serious difficulty in implementing the
ates studied the efficiency of various methods
knowledge which has been gained. Fre-
of communicating the results of this study,
quently, the knowledge available in re-
and reported the following results.
ports is not easily translatable into
practical application. Often the carefully
(1) If promising research or demonstration
reported results are so narrowly restrained
findings are reported in easily readable,
128
PUTTING KNOWLEDGE TO USE
brief and nontechnical form, and are
impact on the educational process
widely distributed to potential users, the
than might reasonably be expected
chances of their having impact and being
The reasons are believed trace-
used will be increased relative to re-
able, in large part, to the research
porting through a formal report.
philosophies of experimental psychol-
(2) If potential users of the research or dem-
ogists. But it was evident also, that
onstration findings attend a conference
potential users have been reluctant to
that involves discussion and a site visit,
make the effort necessary to realize
use of the innovative research or dem-
the benefits of research findings
onstration techniques is significantly
Modern learning research is
facilitated, especially if there is an op-
producing very little impact on edu-
portunity for conferees to exchange in-
cational technology or training prac-
formation about their own innovative
tice.
practices.
3. Using Knowledge in Attacking Major Con-
(3) A visit by a member of the demonstra-
temporary Problems-the points emphasized in-
tion project staff to rehabilitation work-
clude:
ers who have heard about and seen the
(a) The solution should be sought within the
innovation further promotes the use of
context of the problem, rather than hoping
the innovation.
that knowledge developed in basic research
(4) Psychological consultation to manage-
or in other applied areas will have great ap-
ment helps the organization change more
plication to the particular problem needing
rapidly and become more open to change.
solution.
(c) Traveling Seminar Project-the System De-
(b) The solution to contemporary social prob-
velopment Corp. tested the feasibility of con-
lems will be complex and many faceted.
ducting traveling seminars and conferences
(c) Certain critical conditions are essential for
as a technique for increasing innovation in
the successful attack on any major problem:
education. Essentially the treatment consis-
(1) Appropriate acceptance and motivation
ted of groups of 30 educators visiting selected
on the part of the community, the govern-
schools where significant innovations had
ment, and other involved agencies in recog-
been introduced and had been in operation
nizing the need for a concentrated effort
for more than one year, after which they met
toward problem solution must be evidenced;
for a conference on the dynamics of educa-
(2) there must be a trained, motivated, and
tional change. The participants expressed
experienced staff available for long-term
great enthusiasm for this technique. The
application to the problem; and (3) funding
formal evaluation based on informal reports,
must be made available.
and a controlled before-and-after interview
(d) The concept of assessment is fundamental to
and questionnaire indicated that partici-
solving significant problems.
pating districts had a higher innovation score
(e) A new profession of social or educational
than did the nonparticipating districts.
engineering needs to be developed. There
should be a middleman's role between the
(d) Translating laboratory research-working
researcher and practitioner, devoted to solv-
from the field of psychology, Mackie and
ing specific problems.
Christensen undertook the task of describing
(f) Simple solutions and instant experts are
the processes involved in translating the re-
counterproductive.
sults of laboratory research into forms that
would be meaningful and useful in opera-
(g) A special problem exists because of the na-
tional settings. In their findings they state:
ture of the gatekeeper in contemporary
problem areas. Often it is unclear exactly
It was found that the research-to-
what body is responsible for making a given
application process never has properly
decision. Too frequently the gatekeeper in
developed for the psychology of learn-
education and social areas holds his position
ing. Consequently there have been far
due to political abilities rather than trained
fewer applications and much less
professional expertise.
SUMMARIES
129
49
CHANGE THROUGH GROUPS
Change in attitudes
Group dynamics
ANALYSIS AND SUGGESTIONS
Cartwright, Dorwin. Achieving change in people. In W. G. Bennis, K. D. Benne, and R. Chin (Eds.), The
planning of change: Readings in the applied behavioral sciences. New York: Holt, Rinehart & Win-
ston, 1962, pp. 698-710.
Purpose
the greater is the influence that group can exert on
its members.
Since the behavior, attitudes, beliefs, and values
3. In attempts to change attitudes, values, or
of the individual are all firmly grounded in the
behavior the more relevant they are to the basis of
groups to which he belongs, the author focuses on
attraction to the group, the greater the influence
the group as a medium for achieving change in
that the group can exert upon them.
individuals, showing how efforts to change be-
4. The greater the prestige of a group member in
havior can be supported or blocked by group
the eyes of the other members, the greater influence
pressures.
he can exert.
Method
5. Efforts to change individuals or subparts of a
group which, if successful, would have the result of
The principles set forth by the author are drawn
making them deviate from the norms of the group
from research in group dynamics.
will encounter strong resistance.
6. Strong pressure for changes in the group can
Findings and Conclusions
be established by creating a shared perception by
In the following set of principles Cartwright sug-
members of the need for change, thus making the
gests ways in which constructive use can be made
source of pressure for change lie within the group.
of group pressures.
7. Information relating to the need for change,
1. If the group is to be used effectively as a
plans for change, and consequences of change must
medium of change, those people who are to be
be shared by all relevant people in the group.
changed and those who are to exert influence for
8. Changes in one part of a group produce strain
change must have a strong sense of belonging to the
in other related parts that can be reduced only by
same group.
eliminating the change or by bringing about re-
2. The more attractive the group to its members
adjustments in the related parts.
INNOVATION: EDUCATIONAL
50
Innovation correlates
Innovation measures
EMPIRICAL STUDY
Cawelti, Gordon. Innovative practices in high schools: Who does what-and why-and how. Nations
Schools, 1967, 79, 56-88.
vations. The author attempts to highlight the dif-
Purpose
ferences between innovative and noninnovative
This study was undertaken to determine the
schools. Finally he gives the reader some insight
adoption status of 27 important educational inno-
into how to go about change by having some of the
130
PUTTING KNOWLEDGE TO USE
more innovative schools surveyed relate their ex-
(a) School No. 1's advice on change-change is
perience and advice.
a process that takes time. The school offering
these suggestions followed a 3-year plan for
Method
change. In the first year the necessary struc-
This was a nationwide survey of accredited high
tures were changed to accommodate the in-
schools; 7,237 schools contributed response.
novation. The second year was devoted to
changing the people involved, primarily
Findings and Conclusions
through in-service staff training. The third
year focused on changing the curriculum and
1. The major findings of the study were:
learning materials.
(a) The typical high school reporting in the sur-
(1) The factors that were felt to be instru-
vey used only six of the 27 innovations listed.
mental in making the change effective
(b) The most innovative schools were the large
include: (a) Give the teachers plenty
public suburban high schools spending more
of latitude in proposing alternatives.
than $650 per pupil.
(b) Stress the advantages of the innova-
(c) Schools with larger enrollments tend to have
tion. (c) Encourage interaction and open
more innovations.
exchange of differences on change pro-
(d) The diffusion rate for acceptance of new
posals. (d) Use feedback from teachers
ideas is more rapid than previously, but still
and students to locate and correct prob-
slow.
lems. (e) Hold frequent meetings with
(e) Schools and states vary greatly in their in-
teachers and administrators in both large
novative rates, with Connecticut, New York,
and small groups to discuss problems re-
and Rhode Island being the most innovative
lated to the innovations. (f) Exert in-
states and Arkansas, Louisiana, and South
tensive efforts to secure financial support
Dakota being the most laggardly. Cost ap-
for the innovations.
pears to be a retarding factor in many cases.
(2) This school found the following to be per-
However, the study also indicates that cer-
sistent and pervasive problems related to
tain kinds of administrators seem to facili-
innovativeness: (a) Being innovative is
tate innovation, producing change even when
taxing and tiring-everyone has to work
funds are limited.
harder. (b) Teacher morale needs sup-
(f) There is still relatively little known about the
port. They often express feelings that
effects of these different innovations on learn-
there is too much work, too much change,
ing over a meaningful period.
and too much pressure. (c) The innova-
(g) The high-abandonment rate for some inno-
tive school is always in the spotlight. De-
vations, such as certain new science and
fenders of the status quo are quick to at-
math curriculums, television, programmed
tack. (d) Innovative schools tend to over-
instruction, and team teaching stresses the
look mechanics of efficient administra-
need for careful planning before adoption
tion.
and careful attention during the early years.
(3) The following advice is given by the
(h) The haphazard approach to innovation in-
school administrators of school No. 1:
dicated in the responses to the survey, sug-
(a) Be prepared to carry out your own in-
gest that "Continued and intensified efforts
service program. Use faculty meetings to
from school administrators will be needed to
help teachers. Help is most effective, as
clarify the change process and to subject new
is change, when teachers feel the need for
ideas to better scrutiny on a large-scale basis.
it. (b) Develop a systematic plan for
Schools must develop discrete goals, a sys-
change. Have a clear idea where you're
tem for continuous evaluation, and a willing-
going and how to get there by clearly de-
ness to acknowledge weaknesses in planning
fined steps. (c) Run an open school. In-
for change."
vite parents, the press, community lead-
ers. Their observations are the best
2. The author asked several of the most innova-
answer to their skepticism. (d) Share the
tive high schools to outline their strategies for in-
wealth. Find ways for teachers to share in
novations and change. Two of these seem partic-
benefits of innovation, see that they have
ularly relevant.
appropriate tools, support with praise,
SUMMARIES
131
see they have time for developmental
(2) Prepare a position statement setting
work. (e) Change is most successful when
down the guidelines. Let the staff write it
it develops from a base of stability. Be
together; involve as many as possible.
ready for problems-and don't panic
(3) Build a program that fits needs and goals,
when they come.
drawing upon other experiences and de-
(b) School No. 2's advice on change-these sug-
signs.
gestions are directed toward overcoming the
(4) Encourage teachers to visit schools that
rough spots in the change process.
use innovative approaches.
(1) Don't be a plunger. Make changes grad-
(5) Make sure you are adequately staffed to
ually. Move only as far and as rapidly as
provide teachers with the individual
your faculty commitment and facilities
will allow. It's not necessary for all of the
counseling and support needed during
the change.
staff to agree to or be ready for change,
but you must have a clear conception of
(6) Get firm support for the entire program
what it is you're trying to do, how you're
from the board of education. Enlist co-
going to do it, and what the ground rules
operation and support from all depart-
are.
ments.
51
RESEARCH-PRACTITIONER
COLLABORATION
Practitioner attitudes
Consultant role
CASE STUDY
Chesler, M., and Flanders, M. Resistance to research and research utilization: The death and life of a feed-
back attempt. Journal of Applied Behavioral Science, 1967, 3, 469-487.
Purpose
shared information about teaching practices. At
This article is an account of two meetings at
the first meeting some principals were wary of the
which researchers in a school system reported back
feedback, fearing it might reflect negatively on
to school principals about their findings. At the
their own performance; they distrusted the re-
first meeting the researchers were greeted with dis-
searchers and the validity of their data; and they
trust and skepticism, but the principals asked for
expected clear dicta about how schools should be
additional information which had not been in-
run to emerge from the research. When the re-
cluded in the first analysis. The researchers com-
searchers declined to give dogmatic interpretations
plied and found that in the second meeting they
of their findings, the principals asked for more
were able to achieve a collaborative relation with
comparative data about the various schools,
the principals.
which the researchers agreed to give.
2. Luckily this beginning of collaboration, com-
Method
bined with some guilt over the hostility which the
The article analyzed the forces operative in the
principals had shown at the first meeting, the
two meetings and concluded with a summary of
superintendent's support of the project, and the
the "rules of the game" for such planned interven-
completely voluntary nature of the project partici-
tions.
pation, enabled the principals to approach the
second meeting with open minds.
Findings and Conclusions
3. At the second meeting the researchers stepped
1. The research was concerned with teacher at-
off their pedestals, admitted their mistakes and
titudes and feelings and the ways in which teachers
their ignorances, and allowed the principals to
132
PUTTING KNOWLEDGE TO USE
share in the planning for how the reporting back
explains his own values and his acceptance of
should be done. The principals responded with
the client's, is candid about his personal and
greater cordiality and interest and used the data to
professional limitations, demonstrates flex-
extract what would be relevant to them and to help
ibility in adapting to client needs, and dem-
in its interpretation.
onstrates that the practitioner can feel safe in
4. The "rules of the game" which the authors
dealing with sensitive issues.
give apply not only to feedback attempts but to the
(c) Demonstration of valued resources in which
whole process of research in an applied setting.
the scientist presents observations tied to
They suggest four steps:
relevant practitioner criteria, in such a way
(a) Client preparation and contract formation in
that the practitioner can act upon them with
which the scientist explains-what he wants to
the skilled help of the scientist.
do and gains client agreement, exchanges ex-
(d) Facilitation of autonomy in which the scien-
pectations and concerns with the client, and
tist promotes collaboration rather than de-
both give up the expectation that dogma will
pendency and gives the client the encourage-
emerge from the study.
ment and skills to proceed further on his
(b) Establishment of trust in which the scientist
own.
52
ORGANIZATIONAL CLIMATE:
EDUCATION
Innovation
Interpersonal relations
REVIEW OF LITERATURE
Chesler, M. A., and Fox, R. Teacher peer relations and educational change. National Educational Associ-
ation Journal, 1967, 56(5), 25-26.
Purpose
1. The opportunity for formal and informal asso-
The authors explore and stress the importance of
ciations with colleagues encourages teachers to
interpersonal relationships within the school as fac-
share their ideas about change. Teachers who serve
tors in the change process. They feel that the roles
on committees together or who travel to school to-
of the individual teacher and the faculty peer group
gether are more likely to know and support each
in initiating and maintaining the change process
others' innovations than teachers who do not have
have been largely neglected in studies of planned
this kind of association with their fellow workers.
change.
2. Sometimes the faculty is SO organized that it
blocks the sharing and dissemination of new ideas.
Method
New teachers in a system, fresh from college or ad-
vanced training, may enter a school eager to try
Convinced that good relationships between the
new ways only to be blocked by an established cul-
peer group as a whole and the rest of the school
ture dominated by older teachers who do not wel-
structure are essential elements of a healthy cli-
come the suggestions of new recruits. Similarly,
mate for change the authors support their conten-
negative evaluations and lack of support from col-
tion by reviewing the research completed in this
leagues may hinder any teacher from trying out or
area.
continuing personal experiments.
3. When teachers as a group feel powerless,
Findings and Conclusions
isolated, uninvolved, and dissatisfied with their
The generalizations drawn from this research
roles, they are not likely to instigate change.
4. Data indicate that teachers need to feel in-
review include:
volved and potent in their organization in order to
SUMMARIES
133
support educational change. They must know that
novations and change.
they have the backing of their fellow teachers and
6. In-service programs that go beyond the tra-
their administrators before they are willing to try
ditional college extension courses to workshops or
new ideas.
laboratories which help teachers perfect problem-
5. The authors feel that in order to establish a
solving skills and explore their interpersonal pro-
healthy climate for change we first need to develop
cesses are particularly effective means of creating
ways for individual teachers to share new ideas
climates for change. Such sessions may focus on
with other staff members and to gain support for
openness of communication, emphasize sensitivity
worthy innovations. Further, by adopting new
to interpersonal relations factors, and analyze the
administrative styles which decentralize decision
field of forces affecting efforts to change.
making, teachers can be involved in developing in-
CHANGE PROCESSES
53
Change agent
Change models
ANALYTICAL MODEL
Chin, Robert. The utility of systems models and developmental models for practitioners. In W. G. Bennis,
K. D. Benne, and R. Chin (Eds.), The planning of change (2nd ed.). New York: Holt, Rinehart &
Winston, 1969, pp. 297-312.
Purpose
3. The "intersystem model" involves two open
systems connected with each other with the aid of a
The purpose of the paper is to present concepts
change agent. (In a sense, this could be represented
relative to, and benefits to be gained from, using a
by subsystems of a larger system.) However, the
"system" model and a "developmental" model in
change agent, whether external or part of the client
thinking about change phenomena.
system, must remain separate from the two major
systems involved, and is, in a way, an independent
Method
system.
Based on wide reading, the author presents the
4. Each of the models is examined with regard to
rudiments of the system and developmental
the following five questions:
models, and attempts an integrated adaptation of
(a) Does the model account for stability and
the system model in what he calls the "intersys-
change? (Content)
tem" model.
(b) Where does the model locate the source of
change? (Causation)
Findings
(c) What does the model assume about the de-
termination of goals and directions? (Goals)
1. Major concepts or terms of the system model
are defined, including: system; boundary; tension,
(d) Does the model provide levers for effecting
stress, strain, and conflict; equilibrium and "the
change? (Intervention)
steady state"; feedback; and open and closed sys-
(e) How does the model place the change agent
in the scheme of things? (Change agent)
tems.
2. The major terms of the developmental model
5. With their limitations, the several models are
are also defined: direction; identifiable state; form
regarded as helping the change agent to organize
of progression; forces; and potentiality.
his thinking about a given situation.
PUTTING KNOWLEDGE TO USE
134
54
CHANGE STRATEGIES
Change taxonomy
Planned change
ANALYSIS
Chin, R., and Benne, K. D. General strategies for effecting change in human systems. In W. G. Bennis, K.
D. Benne, and R. Chin (Eds.), The planning of change (2nd ed.). New York: Holt, Rinehart & Winston,
1969, pp. 32-59.
Purpose
tems for diffusion of research results; utopian
The article presents general strategies and pro-
thinking as a method of forecasting problems; and
cedures for effecting change with particular ref-
perceptual and conceptual reorganization through
erence to conscious, deliberate, and intended ef-
clarification of language.
forts.
2. Normative-educative strategies are based on
the view of man's transactional relationship to the
Method
environment. Intelligence is developed socially, not
individually. Change is brought about by develop-
The authors classify change strategies under
ing a system's capacity for problem solving by
three headings: (a) empirical-rational, (b) norma-
(a) scanning for the detection of problems, diag-
tive-reeducative, and (c) power-coercive. The phil-
nosing problems to determine relevant changeable
osophical bases for and the functional manifesta-
factors, and encouraging collaborative efforts
tions of each of these modes are presented.
among parts of the system; and (b) fostering growth
Findings and Conclusions
and development in people who make up the sys-
tem to be changed.
1. Empirical-rational strategies are based on the
3. Power-coercive strategies view power as an in-
assumption of the rational man who changes his
gredient of all human action and seek to mass eco-
behavior on the basis of proper information and
nomic and political power behind given objectives
knowledge in response to environmental stimuli.
by the use of nonviolent tactics, employment of
These strategies include basic research and dissem-
political institutions, and recomposition and
ination through education; proper personnel selec-
manipulation of power elites.
tion, assessment, and replacement as the key to
4. Methods of implementing the several strate-
carrying out educational and other enterprises;
gies are presented, as are the relationships among
systems analysis; applied research and linkage sys-
the strategic types.
SUMMARIES
135
RESEARCH UTILIZATION:
55
EDUCATION
Government intervention
Extension service
ANALYSIS AND SUGGESTIONS
Clark, David L. The function of the U.S. Office of Education and the State departments of education in the
dissemination and implementation of educational research. In K. Goldhammer and S. Elam (Eds.),
Dissemination and implementation: Third annual Phi Delta Kappa symposium on educational re-
search. Bloomington, Ind.: Phi Delta Kappa, 1962, pp. 105-127.
Purpose
between the researcher and the practitioner:
(1) The extension specialist who read and
In this paper, the author advocates an extension
translated research for, and (2) the county
service role for the Federal and State Government
agent who in turn made it possible for the
in order to insure the necessary changes in our edu-
farmers to understand its significance for
cational programs and systems.
them. The county agent was encouraged to
make use of demonstration projects to drive
Method
home his points.
The ideas in this paper are based upon the in-
2. The author advocates an extension service in
sights and observations of the author.
education using Federal funds to establish co-
operative programs which could result in a nation-
Findings and Conclusions
wide network of experimentation and demonstra-
tion centers employing the best that is known about
1. Clark compares the diffusion of innovations
the ways in which change in practice can be ef-
and information in agriculture with that in educa-
fected. "The total cost of such an educational ex-
tion, pointing out that the methods utilized by
tension service would not be great. If one-half of 1
agricultural departments are clearly more efficient.
percent of the total cost of education were devoted
(a) Years ago, in agriculture, the primary ve-
to this effort, and much of the expense would be
hicle of communication from the researcher to
met by redeploying existing resources, the exten-
the practitioner was the printed word, and
sion service could be initiated and moved ahead at
the impact was slight. Education today is
a rapid rate."
still too reliant on the printed word as the
3. The extension service is only one way of taking
main communication channel.
into account the passive or slightly resistant role of
(b) In agriculture two levels were interposed
many practitioners.
56
INNOVATION REJECTION
Innovation: hospital
Practitioner attitudes
CASE STUDY
Coe, R. M., and Bernhill, E. A. Social dimensions of failure in innovation. Human Organization, 1967, 26,
149-156.
rejection of a technological innovation in a com-
Purpose
munity general hospital in order to gain some in-
The authors analyze the adoption and eventual
sights into a system's rejection of a technically
PUTTING KNOWLEDGE TO USE
136
sound and successful innovation. They attempt to
areas: ordering and procuring medications. The in-
explain some of the reasons for the failure of a
novation was judged less effective than the old sys-
planned change.
tem in two related areas: distribution and patient
safety. The initial preference, eight months later,
Method
for the ordering and procuring aspects of the new
This study was a before-after longitudinal in-
system had declined significantly, while there was
a less noticeable decline in the other two areas.
vestigation of the accompanying changes in the at-
titudes and practices of nursing personnel when a
3. Despite the technical success of the new sys-
tem, it ultimately failed. Within a few months of
new system of processing medications was intro-
duced at a community general hospital. When the
installation the system virtually reverted to the
before data were collected none of the nursing per-
process it used some three and one-half years
sonnel nor medical staff had any knowledge that
earlier. The authors offer several suggestions on
such a change was being planned. On a standard-
why the innovation failed, and why the predicted
ized questionnaire, respondents were asked to eval-
pattern or response was not found for certain as-
pects of the innovation.
uate four aspects of the traditional system using a
4. The authors noted several reasons for the in-
five-point scale, and to answer an open-ended
question concerning perceived problems with the
novation rejection; lack of perceived need for
present situation. Basically, the same question-
change; inability of the new system to meet per-
naire was used in the two data collections that fol-
sonnel expectations; and hostile attitudes toward
lowed the innovation introduction.
the change agents. The following discussion points
The two-phase design for the collection of post-
are raised in an attempt to explain the adoption re-
data ascertained information just after the initi-
jection process that occurred.
ation and after an interval of time necessary for it
(a) The halo effect-much of the initial approval
to become routinized. All nurses and visiting and
of the system as a whole may have been due
house staff doctors associated with the adoption
to the favorable response to one aspect of the
units were asked to submit questionnaires.
system, procuring. The fact that the new sys-
The attitudes of the nursing personnel toward
tem was not rejected outright may have been
the old system were compared with those of the
partly because of the favorable response to
physicians while it was still in use. The changes in
this aspect of it.
responses from time 1 to time 3, that is, the shifts
(b) The loss of authority-the fact that this inno-
in attitudes over time after the introduction of the
vation disrupted the social organization of
new system, were also analyzed.
the nursing unit and resulted in some loss of
authority for the head nurse may be another
Findings and Conclusions
explanation for its failure. The authors note
that in a separate study of the nurses, the
1. The baseline data indicated that most per-
head nurses were found to be more change
sonnel were relatively satisfied with the then-exist-
resistant than other nurse respondents.
ing medications system. (This suggests that one of
(c) The false positive-the authors suggest that
the elements necessary for successful adoption of
the nurses may have answered the questions
an innovation-a perceived need for the change-
the way they thought the interviewers would
was missing.)
want, thereby creating a false positive. Mem-
2. The authors expected that with the passage of
bers of the planning group were still in direct
time, the positive ratings for the innovation would
relations with the nursing personnel at the
increase as the resistance to the innovation de-
collecting of time 2 data. The fact that the
clined. This did not, however, occur. When the new
ratings at time 3 declined after eight months
medication system was introduced, it was initially
might reflect that the nurses no longer felt
judged to be better than the old system in two
compelled to answer positively.
SUMMARIES
137
57
RESEARCH-PRACTITIONER GAP
Resistance to research utilization
ANALYSIS
Cohen, Julius. Factor of resistance to the resources of the behavioral sciences. Journal of Legal Education,
1959, 12, 67-70.
Purpose
1. The resources of the behavioral sciences have
not been aimed to answer specific and practical
The author identifies and briefly discusses three
problems. The concreteness required by practi-
sources of resistance to behavioral science research
tioners is often viewed as trivial by researchers.
that are common to practitioners in most fields.
Method
2. A feeling that behavioral science resources
have yielded findings that are much too unripe and
The author has based his analysis on his own
too tentative for reliable use in predicting human
knowledge, experiences, and observations.
behavior.
Findings and Conclusions
3. A fear of inability to cope with the enormous
The three identified sources of resistance in prac-
task of mastering these resources and shaping them
titioners are:
to his own needs.
58
INNOVATION: MEDICAL
Innovation correlates
Diffusion process
EMPIRICAL STUDY
Coleman, J. S., Katz, E., and Menzel, H. Medical innovation: A diffusion study. New York: Bobbs-Merrill,
1966.
Purpose
Findings and Conclusions
This book reports the introduction of a new drug,
1. While several channels of influence usually
and its acceptance, through time, among prescrib-
preceded introduction of the new drug, a social in-
ing physicians.
termediary (detail man or colleauge) rather than
impersonal media (journals, house organs, etc.)
was most frequently indicated as the major source
Method
of influence.
Most studies of this kind of process are totally
2. The greater the involvement of the physician
dependent on subjective recollection of adoption.
in the medical community, the more personal and
This study is based on actual data (prescriptions
professional ties he had in the complex network,
written by the physicians during the 16 months
and the more deeply integrated he was in his local
following the introduction of the drug) and the de-
medical community, the greater the likelihood of
termination of the effective social networks opera-
early adoption of the new drug.
tive in terms of friendship, as well as professional
3. There were two distinct patterns of diffusion:
patterns of advice, consultation, and discussion.
(a) cumulative adoption by the physicians well
138
PUTTING KNOWLEDGE TO USE
integrated in the medical community resembled
10. Innovators also typically had a greater num-
the contagion process; (b) the constant rate of
ber of different institutions included within their
adoption among those physicians less integrated
horizon, either as places of past training or as part
into the medical community was typical of individ-
of their current attention span than later users.
ual isolated patterns.
11. Early users frequently attended meetings of
4. The "contagion" pattern of adoption varied
specialty societies but not general medical con-
with the nature of the social interaction. Profes-
ventions.
sional interaction tended to produce similarity of
12. Early users were more likely to subscribe to a
adoption behavior more quickly than did friend-
large number of medical journals than later users.
ship. The analysis of friendship interaction pat-
13. The innovator was more likely to be highly
terns, however, produced greater similarity of
interested in medicine as a science, and more likely
adoption behavior than random pairing of physi-
to orient his work to others within the profession
cians in the community.
than to his patients or other nonmedical people
5. In prescribing new drugs, the doctor must
than later adopters.
cope with the attitudes of the patient (as is the case
14. The innovator was also more likely to select
with many individuals working in related health
colleagues as social companions than was the non-
fields).
innovator.
6. There is too much information, often spelled
15. Sources of information were as follows: 57
out in too highly specialized idiom for practitioners
percent of the doctors said they first learned of the
who are busy practicing to have time to assimilate
drug from the detail man, 18 percent learned from
it.
direct mail from drug houses, 7 percent named a
7. Innovators who first used the drug seemed to
professional journal, 7 percent another physician.
be conservative in the degree of prescription, while
16. Almost 90 percent of the doctors sought or
those who were conservative in time of first use
awaited word from at least one other source before
appear bolder in their degree of prescription.
first use, 62 percent indicated three or more sources
8. Innovators tended to be specialists rather
of confirmation.
than general practitioners. They were not old, but
17. Two communication channels were used by
just as likely to be middle aged as young.
most physicians before adoption. Information was
9. The early users, including innovators, were
most effectively carried through commercial
more likely to visit out-of-town medical institu-
channels; validation was most effectively created
tions than the later users. Innovators could more
through professional channels and colleagues.
often name an institution outside their community
18. Most doctors went through the same se-
that they looked to as a source of medical know-
quence of channels of influence, but at differing
ledge than later users.
rates of speed.
59
UTILIZATION CONFERENCE
Research utilization: rehabilitation
Conference evaluation
CASE STUDY
Cooper, C. R., and Archambault, B. (Eds.) Communication, dissemination, and utilization of research in-
formation in rehabilitation counseling. Proceedings of a regional conference sponsored by the Depart-
ment of Guidance and Psychological Services. Springfield, Mass.: Springfield College, 1968. (In col-
laboration with Rehabilitation Service Administration, Department of Health, Education, and Wel-
fare. Research grant No. RD-2510-G.)
Purpose
trators and practitioners in the communication,
dissemination, and utilization of research results.
The purpose of the conference was to stimulate
This regional conference followed a conference in
the interest of vocational rehabilitation adminis-
1966 held by the Joint Liaison Committee of the
SUMMARIES
139
Council of State Administrators of Vocational Re-
(a) It was felt that the individuals invited should
habilitation and the Rehabilitation Counselor Ed-
be persons who had established a fairly ef-
ucators on the same subject, at which it was sug-
fective and extensive horizontal and vertical
gested that the problems associated with the
communication network within their respec-
utilization of research results be studied at regional
tive settings. That is, participants should be
conferences.
opinion leaders.
(b) It was felt that individuals enrolled in
Method
graduate programs in rehabilitation counsel-
ing should be included as participants, as
The design of the conference incorporated several
well as individuals employed on the counsel-
considerations aimed at maximizing the meaning-
ing staffs of various State or Federal rehabili-
fulness of the experience for participants and se-
tation agencies.
curing long-range results from the effort. The pro-
ceedings serve as a case study of this effort.
6. A postconference follow-up which was con-
ducted two months after the second part of the con-
Findings and Conclusions
ference indicated that participants were favorably
influenced by the conference, specifically in terms
1. Holding the conference in two parts, each
of more interest in and more reading of research
consisting of two days, and separated from one an-
materials. Two State agencies reported projects
other by a period of three to four months, provides
that they had initiated or hoped to initiate as a
a more meaningful experience for participants than
result of the conference:
holding a conference for four consecutive days.
2. Providing the participants with an opportunity
(a) One agency started a program wherein staff
to determine the program for the second part of the
members are regularly selected to present re-
conference increased their involvement with the
search in meetings of agency staff twice a
issues being considered.
month. Specific research is alternatively
3. Providing the participants with research ma-
assigned, chosen, or selected independently
terials between the first and the second parts of the
by the presenting person. A fourth part con-
conference, relevant to topics in which they had
sists of communicating selected experiences
expressed an interest, facilitated the acquisition
to the rest of the staff, and describing how
and reading of research by the participants, and in-
various presentations and/or psychological
creased their receptiveness to such materials after
positions relate to those experiences.
the conference.
(b) Another agency has established a team of
4. Individuals are more stimulated to seek out
interested counselors which is to review cer-
and to read research reports if their participation
tain journals, etc., for research relevant to
at a conference results in their developing guide-
the work of the agency. The more interesting
lines to promote the use of such materials by
items will be listed by summary and source
themselves and by their colleagues in their respec-
in a listing made up every two months. In
tive settings than if they are provided with a rel-
addition, the team plans to list at least two
atively passive experience.
research findings in summary form. A smaller
5. Two assumptions were made in the selection
group will work with the district supervisor to
of participants which the authors felt paid off:
see what ideas might be implemented.
140
PUTTING KNOWLEDGE TO USE
60
INNOVATION: EDUCATION
Change strategies
Organizational factors
EMPIRICAL STUDY
Corwin, R. G. Strategies for organizational innovation: An empirical comparison. American Sociological
Review, 1972, 37, 441-454.
Purpose
competent, flexible socialization agents;
(c) if it is staffed by young, flexible, supportive,
1. To outline aspects of social intervention
and competent boundary personnel, or "gate-
strategies which the sociological literature suggests
keepers";
will be conducive to change. Corwin cites classic
(d) if it is structurally complex and decentral-
works in organizational sociology and postulates
ized;
that certain characteristics of both individuals and
(e) if it has the outside funds to provide the "or-
organizations will be associated with change.
ganizational slack" necessary to lessen the
2. To determine whether postulated character-
cost of innovation;
istics are, in fact, associated with change. Re-
(f) if its members have positions that are suf-
searchers studied ten Teacher Corps programs in
ficiently secure and protected from the
urban and rural areas in every region in the United
status risks involved in change;
States.
(g) if it is located in a changing, modern, urban-
3. To discuss the findings and suggest improve-
ized setting where it is in close cooperation
ments in research methodology.
with other organizations that can supple-
ment its skills and resources.
Method
The Teacher Corps program was a national ex-
2. In the Teachers Corps programs studies, seven
factors resulted from the factor analysis of the 35
periment to train teachers and improve the quality
of education in low-income schools. Ten universi-
indicators. These seven accounted for only 51 per-
ties with Teacher Corps programs and forty-two
cent of the total variance. Of the seven, three ac-
counted for 48 percent of the total variance.
cooperating schools were visited for one week by
teams of interviewers during the fall and winter of
Thus, technological innovation appeared to be
1968-1969. Questionnaires were also administered.
produced by a combination of: (a) a dominant
The dependent variable is the number (and inno-
outside organization staffed by competent and lib-
vativeness) of new technologies introduced into
eral members; (b) competent, receptive boundary
schools through the program. Thirty-five indicators
personnel in the host organization; and (c) func-
were factor analyzed, revealing seven factors asso-
tional interdependence and channels for coopera-
tion to take place.
ciated with change, though regression analysis in-
dicates that only half of the variance in the depen-
3. The author is cautious in generalizing from
dent variable is explained.
the findings but tentatively offers these conclu-
sions:
Findings and Conclusions
(a) The way an innovation is conceived and im-
1. The literature of sociology and human rela-
plemented is a product of a combination of
tions suggests some critical concepts and types of
forces inside and outside the organization.
variables which might help identify effective inter-
(b) Characteristics of both occupation and or-
vention strategies. The author postulates that an
ganization must be taken into account in
organization can be more easily changed:
order to explain innovation.
(a) if it is invaded by liberal, creative, and un-
(c) A split develops between the established
conventional outsiders with fresh perspec-
leaders of a profession and a new generation.
tives;
In view of the small variance explained by the
(b) if these outsiders are exposed to creative,
factors in this research, the author recommends a
SUMMARIES
141
combination of several conceptual approaches to
truth and fiction in the various streams of thought
the study of technological innovation. Corwin
which served as the original guidelines. The various
notes: "It appears that there is a great deal of both
types of variables seem to supplement one another."
61
ORGANIZATIONAL CLIMATE
Change taxonomy
Change process: government
ANALYSIS
Costello, Timothy W. Change in municipal government: A view from inside. Paper presented at the meet-
ing of the American Psychological Association, San Francisco, Calif., September 1968.
Purpose
(c) The constituency of a government agency is
extremely heterogeneous; this tends to delay
This paper analyzes the mechanism of change
the change process and dilute change deci-
within the context of a political setting. The author
sions into compromise.
prepared the material from his vantage point as
(d) Change in the public sector has higher visi-
deputy mayor-city administrator, New York City.
bility (hence it is riskier) than in the private
sector.
Method
(e) Public agencies have less freedom to make
The concepts are formulated partially on the
their own decisions than do private organi-
basis of the literature but principally on the basis of
zations.
Dr. Costello's personal involvement in municipal
(f) Because of the political realities, changes in
government.
public organizations tend to be those with
immediate and politically visible effects;
Findings and Conclusions
these tend to be relatively superficial
changes.
1. Organizational change is classified as either
(g) Within a government unit, vested interests
input or output. Examples of input: changes in
quickly build up around existing programs
leadership, in structure, in process (technical and
and thus the range of change decisions is
social), in resources (fiscal, human, physical).
narrowed.
Examples of output: changed goals, greater effec-
3. The following types of changes are cited by
tiveness in achieving goals, more efficiency, better
the author:
morale, changed relationships with the market (or,
(a) Planned changes-exemplified in reorganiza-
in the case of a governmental unit, the service
tion of governmental structure.
base).
(b) A confluence of force-the school decentrali-
2. There are significant management differences
zation in New York City.
between the public and private sectors which are
(c) Event-dominated change-the changes in
relevant to the subject of change.
the city's relationship to its employees that
(a) Periodic changes in top leadership are more
emerged from the New York sanitation
drastic and far-reaching in the public sector
strike.
than the private. (Sometimes this accelerates
(d) Accidental innovation-the fortuitous modi-
change, sometimes it delays it.)
fication of an air pollution control law.
(b) The products of public agencies (services) are
(e) External intervention-Federal law and
more difficult to quantify than the products
Federal money (as in the model cities pro-
of private enterprise.
gram).
142
PUTTING KNOWLEDGE TO USE
62
ORGANIZATIONAL CHANGE
Change in attitudes
Change agent: administrator
ANALYSIS
Costello, T. W., and Zalkind, S. S. (Eds.) Psychology in administration. Englewood Cliffs, N.J.: Prentice-
Hall, 1963.
Purpose
readier response to the need for change if older
This book presents an application of psycho-
managers were eased into consultative roles and
logical theory and principles to the business
younger managers given increased responsibility
administration setting and the problem of under-
for decision making; if creative staff were given the
standing and facilitating organizational change.
sole job of developing innovative plans and if high
Only those parts of the book dealing with change
need achievement were used as a basis for selecting
are summarized.
entrepreneurs.
3. In considering whether to change, three inter-
Method
acting and interdependent forms of change must be
analyzed: (a) The decision to change can set new
The concepts in this text are based on a review of
overall organizational objectives; (b) the decision
research from various subfields of psychology.
to change can prescribe changes in the organization
itself, in its size, its structure, or its processes; (c)
Findings and Conclusions
the change decision may involve changing signifi-
1. The following forces operate against a ready
cant personnel.
response of an organization to the need for changes:
4. The Administrator as a Reinforcement Agent
-in his role as a change agent, the administrator is
(a) Those in the organization who are high
a manager of reinforcement. He must place empha-
enough to initiate change are the ones who
sis on intrinsic reinforcements such as salary and
have benefited most from the extant order;
fringe benefits.
thus they may be reluctant to change what
has worked well for them.
(a) Positive reinforcement of correct responses is
(b) The group in charge is likely to be an older
essential. Not only must the reinforcement
group with firmly established ways of think-
be appropriate, but the timing and the
ing and doing business.
scheduling of reinforcement is critical. A
(c) In the change process, the hazards may
variable reinforcement schedule related to a
appear early, the rewards late, perhaps even
man's activity rather than to the calendar
after the men at the top of the hierarchy are
would seem appropriate. Reinforcement
gone.
should be seen as linked to desired perfor-
(d) Those men immediately below the top may
mance of change.
oppose change. If they do, they may distort
(b) Punishment, per se, will not work in effecting
data reaching the top. Their resistance may
change. It has the following possible effects:
stem from these reasons:
(1) increasing the occurrence of undesired
(1) They may identify with a particular
behavior, (2) causing undesired behavior to
function rather than with the organiza-
last longer, (3) having a short-lived deterrent
tion as a whole.
effect, (4) causing the individual to vary his
(2) Their role and status relationships in the
behavior but not to control the direction of
group may be carefully worked out and
the variability, (5) arousing negative feelings
they may be threatened by possible dis-
that lead to less desired behavior, and (6)
ruption.
possibly improving behavior by providing
(3) The change might eliminate systems
negative feedback.
they have established.
5. The following factors facilitate learning:
2. In business organizations there might be
(a) Knowledge of results.
SUMMARIES
143
(b) Motivation-the intention to learn.
most appropriately be aroused by the admin-
(c) Set-a specific set as to what is to be learned
istrator. Doing the best job possible might
that will aid learning.
become a superordinate goal.
(d) Attitudes-material consistent with one's at-
(d) Knowledge-serving attitudes-if there is an
titudes will be learned more readily.
ambiguous situation, the need for knowledge
(e) Transfer of training-new procedures, etc.,
may help change attitudes. Under these con-
will be learned more readily if they have sim-
ditions, providing information will be help-
ilar components to already learned tech-
ful.
niques.
8. There are various conditions facilitating atti-
(f) Repetition with reinforcement.
tude change:
(g) Distributed practice will help in learning
(a) Role playing, or the actual provision of a new
complex tasks after an initial period of mass
role for an individual which he chooses to ac-
practice.
(h) Active practice-learning by doing is an often
cept may effectively change attitudes.
(b) Interpersonal pressure is the time-honored
violated principle. Active involvement is
approach of getting a person into a situation
always to be preferred to passive listening or
where others can influence him. This has ex-
watching.
perimental evidence as well as tradition to
(i) Organization-the better organized the ma-
terial, the more meaningful it is, the more
support it.
(c) There is much evidence suggesting that be-
quickly it will be learned.
havior required of an individual can be a
6. Two factors related to attitudes causing resis-
prelude to attitude change. The common
tance to change which must be dealt with if change
view that we cannot legislate attitudes is
is to be successful are: (a) Training for change dis-
both incomplete and incorrect.
rupts the regular work of the individual and may
(d) Information, particularly information that is
cause him to fall behind and to lose the satisfaction
credible, that is relevant to an individual's
of getting the job done; and (b) change may be seen
needs, that comes from a high-status person,
as a move to a more efficient, less personal activity
to people who are willing to expose them-
that will disrupt the social adjustment the individ-
selves to the information, may help in
ual has made.
changing attitudes.
7. In considering attitude change, the basic
(e) Situational changes, such as in record keep-
premise is: for attitude change to occur, need to
ing, may help effect a change.
change must be aroused. This premise can be ap-
(f) Participation often operates to influence be-
plied as follows:
havior as well as attitudes.
(a) Adjustive or utilitarian attitudes-the ad-
9. In summarizing research on dissonance theory,
ministrator must lead the subordinate into
the following guidelines for administrators emerged:
dissatisfaction with the subordinate's own
(a) The administrator should recognize different
current attitude. His attitudes begin to shift
functions or attitudes and know that an indi-
only if alternative attitudes can be seen by
vidual must feel a need to change.
him as moving toward an objective that he
(b) The need to change must be aroused. Other
accepts.
needs, irrelevant, are often induced by spe-
(b) Ego-defensive attitudes-these are the more
cial reward systems.
difficult attitudes to change. Giving new in-
(c) Values important to the person should be
formation and threatening may only stiffen
aroused.
resistance. With these attitudes the admin-
(d) Feelings of threat should not be aroused.
istrator must recognize the time-honored
(e) Individuals or groups should be given a spe-
concept of face-saving. The employee must
cial role leading to behavior arousing feel-
not feel that an attempt to change his atti-
ings of dissonance and leading to attitude
tude is a personal attack on him. Emotional
change.
catharsis or letting off steam, permissive
(f) The groups should be used as a source of sup-
group meetings, or letting people air their
port for attitude change.
objections, etc., may help in overcoming re-
(g) An expression of commitment to change
sistance based on ego-defensiveness.
behavior should be made. The person should
(c) Value-expressive attitudes-these might
make some effort.
PUTTING KNOWLEDGE TO USE
144
(h) The feeling of choice for the individual should
(d) Stimulation from interaction with other pro-
be maximized.
fessions.
(i) The useful limits of information should be
(e) An atmosphere free from rigidity or threat.
recognized.
12. Since many people prefer routine over prob-
(j) Don't be surprised by individual differences.
lem-solving activity, perhaps special problem-
(k) Don't be surprised if after all this, attitudes
solving activities should be assigned.
still don't change much.
13. Two main barriers to effective problem
10. There are three main organized attitude
solving are the wrong set and inadequate or im-
change procedures used in industry: (a) manage-
properly used information. In training or prepar-
ment development, (b) human relations programs,
ing people for problem solving, there are four
and (c) participation methods. A favorable attitude
stages:
toward one's administrative responsibilities is a
(a) Increasing trainee's technical competence.
necessary prerequisite for management develop-
(b) Providing orientation and processes of
ment. The emphasis on the validity of human re-
problem solving.
lations training is problematic. The feedback sys-
(c) Providing practice.
tem, based on orderly collection of information,
(d) Maintaining a training attitude, an evalu-
feeding it back to the system using it in making
ative attitude toward subsequent experi-
adjustments may be more effective. With partici-
ences.
pative methods, it is important that the individual
come to a decision, even if it is not publicly stated.
14. In a concluding statement on the problem-
solving characteristic of an organization it is said,
11. In problem solving, which is often an essen-
"The point for us to consider is that an organiza-
tial part of change, the aspects in the environment
tion's problem-solving system is more likely to be
relevant to success are:
geared for past problems than for current or future
(a) Access to necessary information.
ones. The challenge is to examine and modify con-
ceptual schema, types of information available,
(b) Time free from the pressures of routine.
and assignments made in the light of current and
(c) A system of rewards or sanctions that moti-
future conditions in order to minimize any dys-
vate problem-solving efforts.
functional carryover from the organization's past."
63
RESEARCH COMMUNICATION
Knowledge dissemination: science
Communication media
REVIEW OF LITERATURE
Crane, D. The nature of scientific communication and influence. International Social Science Journal,
1970, 1, 28-41.
Purpose
zation among scientists and its effect on communi-
The author discusses three aspects of scientific
cation and influence in the specific areas of rural
communication: (1) The structure of formal com-
sociology and mathematics.
munication in science; (2) formal and informal
sources of scientific information, and the kinds of
Findings and Conclusions
information each channel brings; and (3) the struc-
1. The Structure of Formal Communication in
ture of social relationships in research areas.
Science-most articles concentrate on a few items,
coupled with a broad scattering of interest beyond
Method
these specialized limits. Any problem area in the
Review of the literature, supplemented by the
literature has many ties with its nearest neighbors
results of the author's own studies of social organi-
and a few ties with more distant neighbors. The
SUMMARIES
145
scientific literature consists of tightly knit cores,
studied research areas concerned with rural
each of which is loosely linked to a large number of
sociology and with mathematics. In both
other cores. According to the author, the question
groups highly productive people were seen as
arises whether this same pattern can be seen in the
being more influential than less productive
social structure of science.
people. Crane discusses how the concepts of
2. Formal and Informal Sources of Information
the "invisible college" (an elite of mutually
-scientists obtain the information they need from
interacting, productive scientists in an area)
journals and from informal communication with
and the "social circle" (where members come
colleagues via verbal reports, correspondence, and
together on the basis of their interest rather
conversation. Their use of formal or informal chan-
than propinquity or ascribed status) fit the
nels depends on whether they are searching for
phenomena she studied.
knowledge in their specialized area or outside it. A
(b) The structure of social relationships between
scientist explores tightly knit cores of knowledge
research areas-studies of "invisible col-
through directive searching for specialized, specific
leges" have produced information on how
information. Links to other cores result from ran-
information moves from one group to an-
dom searching, which reveals unanticipated foci of
other. Communication among groups comes
relevance beyond the core. This searching might be
from a desire for originality on the part of the
less unpredictable if the social ties that link areas
scientist in a problem area. "Scatter" of
of knowledge were better understood.
knowledge is necessary for cross-fertilizing,
3. The Structure of Social Relationships in
just as the existence of a "core" is necessary
Research Areas-the author discusses (a) com-
for the accumulation of knowledge.
munication and influence in research areas and
Crane concludes by recommending that isolated
(b) the structure of social relationships between
scientists be brought into closer contact with scien-
research areas. Each topic is examined from two
tists who are the foci of communication networks.
viewpoints: characteristics of the relationships
The latter, who sift and channel information, are
themselves, and factors associated with growth and
likely to be more useful in orienting their colleagues
development of these relationships.
to research areas than are computers, which are
(a) Communication and influence in research
unable to evaluate the potential relevance of infor-
areas-using sociometric techniques, Crane
mation.
64
RESEARCH UTILIZATION: SOCIAL
Utilization conference
ANALYSIS
Criswell, Joan H. Research utilization in poverty situations. Rehabilitation Record, March-April 1969, 7-11.
Purpose
tion Research Branch, Social and Rehabilitation
Service.
This paper, originally presented at a research
utilization conference on rehabilitation in poverty
Findings and Conclusions
settings, explores ways in which the techniques and
approaches of vocational rehabilitation developed
1. The author identifies the research conference
through research and demonstration projects can
(such as the one in which this paper was presented)
be applied to persons living in poverty.
as an effective utilization technique which "most
typically occurs when one or more projects have
Method
come up with enough promising findings so that
the time seems ripe to take stock of what is known,
The material is, for the most part, drawn from
acquaint the consumer with what is now ready for
Dr. Criswell's experience as chief of the Rehabilita-
application, and point the way to gap-closing or
146
PUTTING KNOWLEDGE TO USE
consumer involvement research projects" (p. 7).
creativity among experimental subjects-"Subject
2. A number of vocational rehabilitation projects
Power." It is pointed out that when potential recip-
have been concerned with dependency behavior
ients of a service take part in the planning of a
and have generated approaches applicable to pov-
demonstration project and help to carry it out, the
erty. For example, the paraprofessional rehabilita-
result is virtually "instant" utilization. This type
tion aide was a forerunner of the "New Careers"
of self-directed activity is particularly appropriate
concept.
for demonstration projects among the economically
3. A new trend is identified: greater freedom and
disadvantaged.
65
RESEARCH UTILIZATION:
MILITARY
Utilization factors
CASE ANALYSIS
Croker, George W. Some principles regarding the utilization of social science research within the military.
In Case studies in bringing behavioral science into use. Studies in the utilization of behavioral science,
vol. 1. Stanford, Calif.: Institute for Communication Research, Stanford University, 1961, pp. 112-125.
Purpose
the results of the research.
3. Effective utilization of social science research
The author undertakes to use the Air Force as a
laboratory in which to examine the process of
which is designed to aid top policymakers must
change. This is particularly appropriate because he
take into consideration the unitary nature of the
examines certain aspects of Air Force activity dur-
total process of national security preparation.
ing a period in which it was undergoing far-reaching
(NOTE-this implication relevant to military
changes and in which it utilized social science re-
setting only.)
4. Effective utilization of social science research
search. Drawing from his experience in a military
setting, he proposes to develop some principles that
is often handicapped by the practitioner's failure to
govern the utilization process-if not social change
understand its nature; that is, he assumes that
itself.
social science is less precise and less reliable than
the physical sciences-which is, in the opinion of
Method
the author, fallacious reasoning.
5. Utilization seldom works on a "shot-in-the-
The paper consists of discussion and analysis of
arm" principle. A decision by a policymaker sel-
four research projects conducted between 1949 and
dom if ever in itself accomplishes change. Positive
1954 under the direction of the Air Force's social
and continued effort must be exerted to accom-
science research agency. On the basis of this dis-
plish the changes that research indicates are de-
cussion, some generalizations are made concerning
sirable.
the problem of utilization of social science research
6. In the Air Force setting, the linkage should be
within a military setting.
provided by the use of officers serving as quasi-
social engineers rather than by use of trained social
Findings and Conclusions
science research personnel for such a purpose be-
1. In the social sciences, utilization of research is
cause: (a) It takes less time and effort to "re-tool"
inseparable from the conduct of the research itself.
the officer than to indoctrinate the social scientist
It must begin when the research begins, run con-
with the complexities of the Air Force; and (b) the
currently with it, and extend beyond it. It cannot
officer exerts a symbolic "plus" for utilization,
be taken for granted or treated passively.
since he is already a member of the "in" group.
2. Effective utilization depends on recognition of
(NOTE-this implication is relevant beyond the
the total situation that can affect or be affected by
military setting.)
SUMMARIES
147
66
RESEARCH UTILIZATION
Knowledge dissemination: technological
Change agency
CASE STUDY-ANALYSIS
Crowe, R. E. and Madancy, R. S. The U. S. Environmental Agency's experience in technology transfer.
Washington, D.C.: Office of Research and Development, U.S. Environmental Protection Agency,
1974.
Purpose
3. Program activities of various kinds were intro-
duced:
The study purports to demonstrate the greater
effectiveness over a passive mass dissemination
(a) A series of pollution control seminars were
program of an active program of information dis-
held throughout the United States. These
semination designed for specific users and employ-
were designed to transfer the latest usable
ing mechanisms calculated to impact the decision-
concepts and design information on water-
making process of targeted users. To this purpose
waste treatment processes and systems.
the program goals, activities, and mechanisms
(b) A continuing series of publications were
employed by the Environmental Protection Agency
circulated for use by various categories of
since 1971 are described.
users. These publications were of the follow-
ing types:
Method
(1) Design manuals.
(2) Technical capsule reports.
The activities and mechanisms of the Agency are
(3) Seminar publications.
set forth by informed members of the staff. The
(4) Handbooks.
impact of the program is assessed by reference to
(5) Process brochures.
the extent of its activities, the responses of inter-
(6) Project brochures.
ested parties, and the increase in the recorded
(7) Newsletters.
number of municipal waterwaste treatment facili-
ties across the country employing the newer tech-
(c) Use of audio-visual media included:
nology as disseminated by the Agency.
(1) Technical videotapes for closed-circuit
viewing by small groups of engineers.
Findings and Conclusions
(2) Nontechnical motion pictures of suc-
cessful full-scale demonstrations of new
1. In 1968 relatively few plants employed an
technology.
advanced municipal waterwaste system despite a
(d) Professional organizational involvement con-
major U.S. Government research, development,
sisted of familiarizing organizations with the
and demonstration program in the water pollution
program and of contributing to major confer-
areas from 1955 to 1970, the findings of which were
ences held by a wide range of organizations.
included in "literally hundreds of research in-
4. Program mechanisms are described under the
formation reports published and made available
following headings:
through the U.S. Government Printing Office at a
modest fee."
(a) Organization mechanisms.
(1) The Technology Transfer Program func-
2. The efforts of Technology Transfer initiated
tions as an office in EPA's Headquarters
in January 1971, however, dealing with the same
Research and Development Organiza-
waterwaste treatment area, showed obvious signs
tion.
of success and acceptance in less than a year of
(2) Ten EPA regions have a contact man for
operation, and was expanded in 1972 to include in-
Technology Transfer.
dustrial pollution control technology transfer ac-
(b) Production mechanisms.
tivities, which included air pollution as well as
(1) Needs are identified.
water pollution control.
(2) A careful evaluation mechanism is em-
148
PUTTING KNOWLEDGE TO USE
ployed with respect to Technology
(2) The process is controlled to assure rapid
Transfer products.
and efficient response to requests from
(c) Dissemination mechanisms.
users.
(1) The dissemination process is accom-
5. Although program impact is difficult to assess,
plished by means of Headquarters' staff
it is obvious that technology transfer has had a
and budget.
major impact on decision making.
67
KNOWLEDGE DIFFUSION
Diffusion factors
Communication theory
CASE STUDY
Dahling, Randall L. Shannon's information theory: The spread of an idea. In Studies of innovation and of
communication to the public. Studies in the utilization of behavioral science, vol. 2. Stanford, Calif.:
Institute for Communication Research, Stanford University, 1962, pp. 117-140.
Purpose
and speed of adoption from the same surrounding
The purpose of the study was to find out how
activity that gave rise to it.
scientific ideas come into use and the way in which
2. The development and adoption of an idea is
they spread.
speeded by a clearly apparent need for the idea.
3. The idea spreads fastest in the discipline in
Method
which it develops because: (a) related work going
on in the discipline presents a more favorable con-
The new idea selected as the basis for this study
dition for the spread, (b) authority of the source of
was Dr. Claude E. Shannon's mathematical theory
of communication, first set forth in two articles
the idea is recognized and accepted, and (c) vocab-
ulary and methods are familiar.
that appeared in the "Bell System Technical Jour-
nal" in July and October of 1948. Dahling charted
4. An idea spreads more rapidly from one disci-
the dissemination of this idea through other pro-
pline to another when it clearly deals with matters
fessional journals between 1949 and 1955. The
of common interest.
disciplines through which the idea spread included
5. An idea spreads more rapidly when it is in a
computer, electronics, psychiatry, psychology,
language common to more than one discipline.
engineering, educational psychology, biology, phys-
6. An idea spreads to other disciplines in propor-
iology, radar, linguistics, biosociology, library
tion to its congeniality with their methods.
science, optics, education, statistics, social science,
7. An idea spreads to other disciplines in propor-
and journalism (in the order enumerated).
tion to its analogic and suggestive value.
Findings and Conclusions
8. An idea often gives rise to research and study
centers which stimulate and shape its development.
1. An idea is often drawn from a flurry of current
9. The spread of a scientific idea via the popular
related activity, and, as it develops, gains impetus
mass media is limited.
SUMMARIES
149
68
CHANGE PROCESS: GOVERNMENT
Change taxonomy
SEMINAR REPORT
David, Paul T. Analytical approaches to the study of change. Public Administration Review, September
1966, 26, 160.
Purpose
(c) It is both possible and important to disen-
tangle the major processes for separate
To present ideas on the processes of change and,
study.
specifically, the changing relationship between
government and the environment.
2. A taxonomy of change processes evolved.
Change processes include: (a) growth processes and
their concomitants; (b) innovative processes of
Method
science, technology, and invention; (c) ideological
processes, belief systems and their impact; (d) con-
The ideas presented in the article were developed
flict processes-mass conflict, revolution, and war;
from a seminar course on the processes of change.
(e) communicative and learning processes; (f) pre-
dictive and policy processes; and (g) leadership and
Findings and Conclusions
control processes.
All of the processes are clearly involved in a com-
1. Three basic assumptions provided the frame-
plex interaction with each other, but each has a
work for further development of ideas. They were:
separate identity. The first four processes are pro-
(a) The more important problems of government
ducers of change (desired or not). They may be
and public policy are typically the product of
influenced, controlled, directed, or conceivably
processes of change.
stopped completely in some circumstances, but to
(b) The major processes of contemporary change
the extent that they operate, change will occur.
are relatively few in number; and each has
The final three processes are preventers of change,
characteristics giving it identity and a degree
channelers of change, or restrictors of change. The
of autonomy, despite the complexity of the
remainder of the article is devoted to a discussion
interaction among the processes and the
of the organization of instructional units utilized
resulting appearance of overlap and con-
in the seminar and a discussion of the importance
fusion.
of structure in learning.
ORGANIZATIONAL CHANGE
69
Innovation factors
Change models
ANALYTICAL MODEL
Davis, H. R. Change and innovation. In S. Feldman (Ed.), Administration and mental health. Springfield,
Ill.: Charles C. Thomas, 1973.
kinds of change that are occurring and examines
Purpose
some of the forces both fostering change and resist-
1. To discuss the increasingly changing environ-
ing it.
ment which confronts the administrator in the
2. To survey models and approaches in the field
mental health field. Davis gives examples of the
of change management. Administrators tend to
150
PUTTING KNOWLEDGE TO USE
produce organizational change either by fiat or, on
may be valid at times, but simplistic adherence to
the other extreme, by letting their behavior speak
it has proved to be a false economy. Other adminis-
for itself. Davis outlines more conscious ways of
trators feel that if an innovation is sufficiently
planning change.
worthy, it will naturally be adopted on its own
3. To present the author's "A VICTORY" model
merits. But the hidden jungle of conflicting per-
of organizational change management. "A VIC-
sonal motives, characteristic of many organiza-
TORY" is an acronym for the various aspects of
tions, can subvert even the most promising inno-
change management which require attention.
vations.
4. To discuss possible uses of the A VICTORY
2. When it comes to planned change manage-
model.
ment, a legitimate question is "Does it work?" A
blanket answer is not easy to produce. Davis cites
Method
evidence that the use of planned change in certain
Davis writes for the mental health administrator
circumstances yields results. Management styles,
who wants to familiarize himself with the outlook
for example, have been shown to be responsive to
and methodology of change measurement. He cites
planned change approaches. In mental health ser-
the increasing pace of change in our society and
vices, the adoption of research results has been
discusses the problems and opportunities which
found to increase dramatically with the use of
the changing environment presents to the mental
techniques to promote their utilization in program
health administrator. He draws extensively from
change.
both popular works on change and the organization
Among models of change, the two most familiar
development literature.
are concerned with structural approaches (e.g.,
The author then outlines one model of organiza-
decentralization) and technological approaches
tion change, the A VICTORY model, in some
(e.g., computerization of management information
detail, illustrating from cases and from his own
systems). But they tend to disregard people.
experience as a consultant. He discusses the use of
"People approaches" involve either manipulation
this model and includes checklists of questions
or equalization of power. Humanistic approaches
about its various parts for the use of those trying to
are becoming more popular now; they feature such
apply it.
techniques as participative management, sensi-
tivity training, and organizational development.
Findings and Conclusions
Another recent model, experimental social inno-
vation, combines aspects of the structural, techno-
1. Administrators of mental health programs
logical, and people approaches.
find themselves continually dealing with problems
3. The author, basing his analysis on criteria
of innovation and change. Success of a mental
suggested by Chin (1969) and others, sets forth
health program may depend upon how skillfully
twelve characteristics that a model of change
the administrator manages change processes within
should have if it is to be of use in everyday organi-
his organization.
zational situations:
An increasing tempo of societal and individual
(a) The model, above all, should be practical.
change can be predicted. There seems to be a grow-
(b) The parts of the model should be manipu-
ing tendency for individuals to want to change
lable.
more as they achieve self-actualization. Another
(c) Economy of use should be a primary con-
clear force for change in the mental health field is a
sideration.
swiftly mounting body of knowledge. Legislation,
(d) Ease of communication is important.
court decisions, crises, and new consciousness of
(e) The model should be comprehensive.
human rights all militate toward change. Techno-
(f) Synergism-the force of factors working
logical developments also foster change: e.g., new
together-is important to consider.
developments in information retrieval and change
(g) The model should lend itself to intervening
techniques.
in phases.
Full use of current change technology appears to
(h) Differential investment in working with the
be hindered by some prevailing assumptions about
components of the model should be possible.
planned change. Some administrators feel that
(i) The model should call attention to how the
using power, authority, or money to bring about
change process influences the rest of the
change is easier than employing more tedious
system.
change management techniques. This assumption
(j) The model should be flexible and versatile
SUMMARIES
151
enough to apply to different organizational
cluding both front-stage and back-stage motiva-
systems.
tions); Resistances (inhibitors of the change, both
(k) The model should provide a basis for a sub-
rational and irrational); Yield (felt benefits from
sequent evaluation of the effectiveness of
participating in the change).
change.
5. Use of the A VICTORY model involves four
(1) The model should recognize the humanness
major steps: (a) looking at the organization's cur-
of the participants involved.
rent status with regard to each factor; (b) goal
The "A VICTORY" model is an attempt to incor-
definition based upon this analysis; (c) action steps
porate all these characteristics.
to modify conditions within each factor; and (d)
4. The author describes his "A VICTORY"
follow-through, including evaluation and recycling
model, the name comprising an acronym for factors
toward maximizing benefits of the change. It is in
he presumes are related to organizational change.
conjunction with the first and the third steps
These factors are: Ability (fiscal, manpower, and
respectively that the author presents very detailed
physical resources required); Values (consonance
sets of questions or suggestions, thus providing the
between the organization's characteristics and the
change practitioner with specific guidelines for
nature of the proposed change); Information (pat-
assessing the potentials of a change situation and
tern for action and its characteristics and com-
for carrying out activities calculated to achieve a
munication); Circumstances (environmental fea-
desired innovative program. In either case, the
tures or events relevant to the change); Timing
numerous listed items are systematically arranged
(critical phases of events relevant to the change);
according to the eight factors comprising the A
Obligation (awareness of the need to change, in-
VICTORY model.
EVALUATION UTILIZATION
70
Innovation adoption process
Change factors
Evaluator/change consultant
ANALYTICAL MODEL
Davis, H. R. and Salasin, S. The utilization of evaluation. In E. Struening & M. Guttentag (Eds.), Hand-
book of evaluation research (Vol. 1). Beverly Hills, Calif.: Sage Publications, 1975.
Purpose
and evaluation of innovative projects in the field of
mental health.
The treatise seeks to place evaluation within the
context of change and knowledge utilization. To
Findings and Conclusions
that end it examines the status of evaluation utili-
zation, depicts the evaluator in a dual evaluation/
1. Evidence indicates that evaluations can ap-
change consultant role, reviews a number of re-
propriately affect the utilization of programs and
search-development-dissemination-utilization mo-
practices, despite the existence of instances where
dels, and gives a detailed account of the ration-
evaluations have been found to be methodological-
ale and the component elements of the A VICTORY
ly and conceptually unsound. Aside from the ap-
model similar in certain respects to the presenta-
propriateness in the use of evaluation, factors
tion in Davis (1973).
affecting effectiveness are mentioned, including a
greater concern with consumer benefits than com-
pliance control as such. The distinction between
Method
summative and formative evaluation has a bearing
The authors draw upon their extensive knowl-
on the appropriateness and the utilization of evalu-
edge of the literature and upon their experience in
ation, as does the extent of collaboration between
endeavoring to enhance both knowledge utilization
the evaluating supra-ordinate agency and the peo-
PUTTING KNOWLEDGE TO USE
152
ple representing the program being evaluated.
though the assumption of a consultant role is not
Since the nature and quality of evaluation is crucial
without problems, a closer liaison is considered
to utilization, there should be more evaluation of
desirable in balance.
evaluations.
4. The treatise presents a summary of materials
2. The significance of utilization in the evalua-
concerning change and information processes
tion field is underlined by the growth of interest in
in terms of various sorts of models. Several pub-
evaluation over the past few years and the con-
lications that attempt to summarize or distill
current insistence on accountability. The maga-
the voluminous literature on the subject are listed.
zine, Evaluation, has attracted a readership far
5. The authors set forth, with illustrations, the
above original estimates. Nevertheless, evaluators
nature and application of the eight components of
often experience frustration in their work because
the A VICTORY model with special reference to
of less-than-hoped-for implementation of evalu-
the assessment and the achievement of programs or
ative findings. It is suggested, on the one hand, that
practices, as previously enunciated in Davis (1973).
evaluators need to modify their expectations, par-
These factors, or characteristics, affecting change
ticularly with the timing and form of the utilization
are reduced to sets of specific questions the evalu-
of evaluative results; and on the other hand, they
ator/change agent may ask in assessing the likeli-
need to extend the range of their roles to encompass
hood for adoption and in enhancing that likelihood.
change consultation.
A scale is presented for facilitating the application
3. The need for an evaluator/change consultant
of criteria in the assessment phase of the four-step
role can be readily demonstrated in terms of the
process of: (a) assessment; (b) goal definition;
relative absence of combined treatment in the lit-
(c) action; and (d) follow-through.
erature. Thus, among 600 references to evaluation,
6. The presentation is concluded with the spec-
only 5 percent pertained to utilization; a review of
ulation that the A VICTORY technique, as a
1,200 references to utilization revealed only half
human action model, may well be "just an ordering
that percentage as pertaining to evaluation. Al-
of common sense."
71
RESEARCH UTILIZATION:
SOCIAL WORK
Researcher-practitioner gap
ANALYSIS
Dexter, Lewis A. On the use and abuse of social science by practitioners. American Behavioral Scientist,
1965, 9(3), 25-29.
Purpose
function and role. The analysis is based on the
The author warns the practitioner of the possible
author's knowledge and experiences.
dangers confronting the user of social science re-
Findings and Conclusions
search.
1. Experts generally tend to assume that the
Method
purposes of those whom they advise are the same
as their own. This frequently is not true.
The paper, originally presented to a group of
2. There is a tendency for practitioners to be-
psychiatric social workers, is developed around
come followers of intellectual fads and fashions.
three themes: (1) dangers facing users of social
Often only a fragmentary part of a given social
science research, (2) the sociology of occupations or
science is in vogue for study; therefore, the prac-
professions as a potentially useful research area for
titioner is likely to be misled by the overemphasis
psychiatric social workers, and (3) the relevance of
on that one aspect.
political theory for increasing awareness of one's
3. There is a tendency for practitioners to make
SUMMARIES
153
use of research findings as universal answers. There
one such area. The author advocates the use of
are very few universal answers. One of the greatest
research findings from this area by psychiatric
needs of social practice is to discover better tech-
social workers.
niques for overcoming the tendency in human be-
ings to find what they are looking for.
5. The field of political philosophy has fallen out
4. The author suggests that in the face of our ten-
of fashion, SO practitioners are hardly aware of its
dencies to follow fashion, many relevant ideas and
tremendous relevance to their decisions, actions,
approaches of considerable pertinence are over-
and policy problems. The author asserts that po-
looked or unknown because they are not fashion-
litical theory is probably the most relevant skill for
able. The sociology of occupations or professions is
increasing awareness about one's function and role.
CHANGE PROCESS: MENTAL
72
HOSPITAL
Change factors
Innovative programs
EXPERIMENTAL STUDY
Dykens, J. W., Hyde, R. W., Orzack, L. H., and York, R. H. Strategies of mental hospital change. Boston:
Commonwealth of Massachusetts, Department of Mental Health, 1964.
Purpose
merated in which the project had participated in
some substantial degree. They included research;
This study describes and analyzes the process of
new patient services; augmentation of existing
innovation in the Northampton mental hospital in
patient services; volunteer acquisition and super-
Massachusetts, from 1960 to 1963. The goal of this
vision; recruitment other than volunteers; educa-
study was to find answers to a variety of questions:
tion of outside students and citizens; in-service
should change come slowly, with maximum con-
education; augmentation of internal communica-
sensus of hospital people, or rapidly with less con-
tion, planning and interdepartmental relation-
sensus? What are the steps in the change process?
ships; and community relations.
Among them, which steps are more important for
A major goal of these programs was the strength-
successful change efforts, and which are less im-
ening of hospital-community relations. Visits were
portant? What are the sociological processes
exchanged in one program with colleges and the
involved in mental hospital change? What are the
university, and student volunteers were recruited.
individual and personal processes related to insti-
To add breadth to the project, it was compared
tution change? What is the effect on staff and
with nine other hospital improvement projects.
patients of the hospital's relationship to the com-
munity?
Findings and Conclusions
Method
1. The assumption that the morale of a hospital
A questionnaire designed to test staff morale in
staff is related to frequency and type of interaction
relation to community involvement was circulated
the staff has with members of the community out-
in 1961. The sample population included all medi-
side the hospital was supported in part by this
cal, social service, and occupational therapy mem-
initial investigation.
bers of the staff, and those nursing service personnel
2. Decision making at the hospital featured
working in the admissions and continued-treatment
informality. Change in such a setting should occur
buildings.
through informal channels when those informal
In addition to the questionnaire, the project was
channels characterize the usual course of events in
devoted to developing a variety of programs. At the
the hospital, and when the value system of the hos-
termination of the project 64 programs were enu-
pital staff does not sanction more directed and
PUTTING KNOWLEDGE TO USE
154
time-limited attempts to induce change rapidly.
improvement projects, it was found that the char-
3. An acceptance of informality and gradualness
acteristics utilized in this one study had quite
does have some drawbacks: (a) a system of infor-
general applicability.
mal exchanges among staff is probably by itself
8. Change efforts ultimately should be directed
unlikely in any systematic and urgent way either to
toward assisting hospital people to become their
generate change or to compel interest in change in
own agents for change.
current programming; (b) informality in exchange
relationships among staff and between institutions,
9. In the change relationship, the strategist
such as a hospital and a university, is not by itself
should place his initial effort in understanding the
likely to encourage creativity in thinking about or
direction, speed, and content of change already
working toward long-range, complex and demand-
occurring in the hospital. Such understanding can
ing goals. Informality would seem to be adaptive
be aimed at helping the hospital reach toward its
rather than stimulating.
own goals. Those goals about which the strategist
4. Careful studies of morale and turnover
and hospital people are later unable to reach con-
showed that morale was high and turnover of per-
sensus can be modified more easily if there is some
sonnel was low.
earlier agreement about other change.
5. State hospitals probably have resources of
10. Hospital people may have difficulty in find-
which they are unaware: the psychologist may have
ing directions or areas for change, time for change,
a good new thought about ward management, the
or skills to effect change. Those difficulties can be
social worker may have a new understanding about
at least partly solved by the strategist and the hos-
a patient's family which could help the psychiatrist
pital people working together.
create a new total plan for his work with the
11. The strategist needs to understand the
patient. Each treatment team member might
meaning of the lack of change efforts, or of the
profitably reflect ideas with colleagues, in order to
factors that have prevented successful and creative
find new solutions to problems.
change efforts. He can profitably look along the
6. State mental hospitals are subject to external
time dimension and thus into the past history of
pressures from a variety of sources, including local
change in the hospital as well as its current and
communities and the supervising central office of
future plans.
the State mental health agency. The external pres-
12. Mutual participation in change efforts may
sures may assist or hinder the creative process
lead to positive and constructive feelings and can
within the institution. Consideration of them
further enthusiasm for change. The process of
should be included in strategies for mental hospital
change is most successful when any of its aspects
change.
arise from within the person or persons the strate-
7. In comparison with nine other hospital
gist would hope to change.
73
RESEARCH UTILIZATION:
EDUCATION
Research utilization models
Researcher-practitioner collaboration
CASE ANALYSIS
Eash, Maurice J. Bringing research findings into classroom practice. Elementary School Journal, 1968,
68(8), 410-418.
Purpose
Method
The purpose of the paper is to examine several
The author presents three models for translating
approaches to applying research findings in the
research into classroom practice. These models
classroom.
reflect data from the literature and from the au-
SUMMARIES
155
thor's experiences. Two case studies are presented
multitude of variables that may not be
in amplification of the preferred model (coaction).
accounted for in the original findings.
Findings and Conclusions
(b) In the interaction between researcher and
practitioner, there is an implication that the
1. The process most widely used in bringing re-
teacher is inadequate-which heightens ten-
search findings into classroom practice is the dis-
sion.
placement model. The desired change is, in effect,
forced upon teachers and pupils because it dis-
(c) When findings are introduced in a group
places a similar component. (Examples: new text-
meeting without follow-up, there is little in-
books, introduction of programmed instruction.)
centive for practitioners to adopt new find-
Among the disadvantages of the displacement
ings that require modification of practice.
model are:
(d) Offsetting the forces that undertake to bring
(a) There is no assurance that the research will
about change through formal channels of
be used with any degree of consistency.
authority, informal structures in the organi-
(b) The displacement procedure usually requires
zation mobilize forces to resist the change.
a heavy economic commitment by the school;
this tends to stifle criticism (including useful
3. The coaction model is based on the assump-
feedback) on the part of the practitioners.
tion that the use of research findings must be a two-
(c) It conceptualizes the instructional process as
way action that engages the researcher and the
an assembly line, overriding the human fac-
practitioner in a mutual task. The author's posi-
tors.
tion is that the element of reciprocity in this model
2. The authority model assumes that the class-
enables it to correct the inadequacies of the other
two models.
room practitioner need only to be exposed to re-
search and he will put it to use. In this approach,
4. The coaction model often involves the inter-
researchers, acting in an authoritative role, bring
vention of an outside agent (change agent) who
the findings to practitioners. The drawbacks to this
should have a broad knowledge of research findings,
model are:
an understanding of classroom functioning, the
(a) Research findings are generally introduced
ability to translate research findings from other
without translating them into the context of
contexts into the classroom setting, and skill in
the classroom practitioner, who works with a
interpersonal relationships.
RESISTANCE TO CHANGE:
74
EDUCATION
Innovation
Innovation rejection
EMPIRICAL STUDY
Eichholz, Gerhard C. Why do teachers reject change? Theory Into Practice, 1963, 2, 264-268.
Purpose
an indifference stage, a denial stage, a trial stage,
and finally rejection.
The author explores the rejection of newer audio-
visual innovations in a school environment in order
Method
to test his theory of rejection. Eichholtz's theory of
SAMPLE
rejection closely parallels commonly accepted
A sample of 45 teachers was drawn from five
adoption models. He postulates an awareness stage,
elementary schools in a large metropolitan school
PUTTING KNOWLEDGE TO USE
156
system. Selection criteria were: grade level (15
4. Although the postulated stages of rejection
teachers from each of the following grade levels:
appeared to hold, it was necessary to revise the
1-2, 3-4, and 5-6); teaching experience (15 teachers
postulated forms of rejection. The new classifica-
from each of the following ranges of experience: 1-3
tion derived was as follows:
years, 7-10 years, and over 15 years); and known
innovation rejector.
Form of rejection Cause of rejection
State of subject
1. Ignorance
Lack of
Uninformed.
PROCEDURE
dissemination
Each teacher included in the sample was inter-
2. Suspended
Data not logically
Doubtful.
judgment
compelling
viewed with an open-ended questionnaire designed
3. Situational
Data not
1. Comparing.
to uncover feelings toward the newer media. All
materially
2. Defensive.
interviews were over an hour in length, tape re-
compelling
3. Deprived.
corded, transcribed, and evaluated in terms of atti-
4. Personal
Data not
1. Anxious
tudes toward specific innovations. These attitude
psychologically
2. Guilty.
compelling.
3. Alienated.
statements were tabulated on the basis of a pre-
5. Experimental
Present or past
Convinced.
viously developed rejection classification system.
trials
An inventory of the newer media available at
each school was also compiled and checked against
5. The following were suggested as ways of over-
the teachers' responses concerning this equipment.
coming resistance:
Findings and Conclusions
(a) Circulate information.
(b) Let innovators lead the way.
1. Attitudes of rejectors were not related to the
(c) Maintain an environment conducive to ex-
grade level at which the teacher taught, or to the
perimentation.
number of years of teaching experience.
(d) Be sympathetic, wait for pressure for innova-
2. Real reasons for rejection and stated reasons
tion to mount.
for rejection were not always the same.
(e) Remain sympathetic to failure, for the at-
3. No teacher rejected all of the new media.
tempt may eventually lead to acceptance.
75
RESISTANCE TO CHANGE:
EDUCATION
Innovation
Innovation rejection
EMPIRICAL STUDY
Eichholz, G., and Rogers, E. M. Resistance to the adoption of audiovisual aids by elementary school
teachers. In M.B. Miles (Ed.), Innovation in education. New York: Bureau of Publications, Teachers
College, Columbia University, 1964, pp. 299-316.
Purpose
who, on the basis of pretesting, were determined to
The purpose of this paper is to illustrate the con-
have rejected electromechanical innovations for
vergence between two major intellectual traditions
classroom use. They were interviewed with an open-
(education and rural sociology) focusing on the dif-
ended questionnaire designed to uncover their feel-
fusion of innovation, using data from an investi-
ings toward audiovisual aids. On the basis of the
gation of the rejection of audiovisual aids by ele-
findings, the authors attempt to formulate a theory
mentary school teachers.
of rejection, in which parallels can be cited for the
Method
five phases previously identified as comprising the
adoption process: awareness, interest, evaluation,
The subjects were 45 elementary school teachers
trial, and adoption.
SUMMARIES
157
Findings and Conclusions
ready knows best way to teach, hence innova-
tion is unnecessary.
1. The following types of rejection responses
(i) Rejection through experience-has tried new
were reported:
techniques and feels they have failed.
(a) Rejection through ignorance-innovation un-
2. On the basis of the foregoing, the authors
known or too complex to be understood.
formulate the following framework for the identifi-
(b) Rejection through default-innovation
cation of forms of rejection:
known but subject not interested in its usage.
(a) Ignorance-caused by lack of dissemination
(c) Rejection by maintaining the status quo-not
of information.
used in the past and accordingly not accept-
(b) Suspended judgment-because the data are
able.
not logically compelling.
(d) Rejection through societal mores-not ac-
(c) Situational-because the data were not ma-
cepted within context of subject's society.
terially compelling.
(e) Rejection through interpersonal relation-
(d) Personal-because the data are not psycho-
ships-friends not using innovation.
logically compelling.
(f) Rejection through erroneous logic-seeming-
(e) Experimental-because past or present trials
ly rational but actually unfounded reasons
were not successful.
given for rejection.
3. Paralleling the above five forms of rejection,
(g) Rejection through substitution-stressing
the authors propose a (tentative) rejection theory
practices which areused, to warrant rejecting
in which the process is made up of the following
innovation.
phases: awareness, indifference, denial, trial, and
(h) Rejection through fulfillment-subject al-
rejection.
RESEARCH UTILIZATION:
76
REHABILITATION
Research dissemination
CASE STUDY
Engstrom, G. A. Where we stand on research utilization. Rehabilitation Record, November-December,
1969, 28-32.
Purpose
Findings and Conclusions
This paper undertakes to examine and account
1. SRS has undertaken a series of publications
for the headway which has been made by the Social
called "Research and Demonstration Briefs,"
and Rehabilitation Service (SRS) in strengthening
which serve as a linking agent between practi-
its efforts in research utilization since the appoint-
tioners and researchers. They present digests of
ment, less than three years ago, of a research utili-
completed projects in which the methodology has
zation task force.
been verified but the findings and implications for
practice need further visibility.
Method
2. The agency is preparing to publish a series of
"Research Trends" which will disclose the prelim-
The paper was developed on the basis of informa-
inary findings of projects currently in progress in an
tion at the disposal of the author in his position as
Chief of the Research Utilization Branch of the
attempt to shorten the time gap between the testing
and the application of those findings.
SRS Division of Research and Demonstration
Grants.
3. Project directors of all SRS-funded projects
PUTTING KNOWLEDGE TO USE
158
are now required to include in final reports a sep-
preparing operating guidelines for their use by
arate listing of significant findings.
agencies and counselors.
4. All final reports, since the inception of the
7. It has introduced a new team member in State
rehabilitation research program, are now being
rehabilitation agencies, the Research Utilization
abstracted; each abstract will describe the problem
Specialist, who will serve as change agent. Nine
studied, how it was investigated, the major results,
State agencies are utilizing this new function on a
and their usage potential.
5-year demonstration basis.
5. SRS is updating bibliographic and indexing
8. It has sponsored a number of research utiliza-
tools for the use of rehabilitation practitioners.
tion conferences, each focused on a specific subject,
6. It is experimenting with the value of a re-
to encourage the researcher, the practitioner and
search utilization laboratory to aid in modification
the administrator to explore the ramifications of
of demonstration projects for widespread adapta-
new findings and to develop recommendations for
tion. The pilot laboratory, conducted by the Chi-
action.
cago Jewish Vocational Service, is taking research
9. It is planning demonstrations of how a variety
results of earlier projects related to sheltered
of media (films, for example) can more effectively
workshops, modifying the programs to make them
be used to achieve better communications for the
applicable to a variety of agency conditions, and
rehabilitation and welfare fields.
77
RESEARCH UTILIZATION
Change agency
Utilization measures
ANALYSIS AND SUGGESTIONS
Engstrom, 1-7. G. A. Research utilization: The challenge of applying SRS research. Welfare in Review, 1970, 2,
Purpose
projects aimed at demonstrating the efficacy of re-
habilitation programs for persons who were totally
The article reviews the development of the Social
and permanently disabled. A formal agreement
and Rehabilitation Service (SRS), discusses the
was developed between the Social Security Admin-
relevancy of its research and demonstrations pro-
istration and state divisions of vocational rehabili-
grams to the SRS community, and points up cur-
tation (DVRs) that provided for the use of social
rent efforts to put into practice research findings
security trust funds to rehabilitate persons who had
that should improve the role of applied research as
been determined to be totally and permanently
an essential component of better service to recipients.
disabled and who were drawing social security
Method
benefits. Since then more than 24,000 persons have
been rehabilitated under the agreement; and cost-
Descriptive analysis.
benefit studies have proved the wisdom of the
action.
Findings and Conclusions
Another VRA-funded project demonstrated the
feasibility of employing mentally retarded persons.
SRS was created in order to unify services that
In addition, the U.S. Civil Service Commission,
previously had been offered separately.
with the advice and cooperation of VRA, estab-
1. The historical perspective: Prior to the crea-
lished a special hiring authority for mentally re-
tion of SRS, the Vocational Rehabilitation Service
tarded persons. Under the program, the Federal
(VRA) and the Welfare Administration (WA), now
employing agency agrees to use the services of state
both parts of SRS, laid the groundwork for SRS'
DVRs in carrying out the hiring authority and, with
research utilization arm.
the help of rehabilitation counselors, to identify
In the first research effort, VRA initiated several
jobs suitable for retarded persons.
SUMMARIES
159
WA's Cooperative Research and Demonstration
es to initiate and support research within
Program initiated a number of significant studies
his agency, what type of research he
to explore the effects of dependency on the popula-
wishes to support, and whether he can
tion at large which were useful in planning new
accept or tolerate research conducted in
programs and drawing up legislative proposals.
the agency by investigators who are not a
The growing body of knowledge created a need
part of the agency system.
for a clearinghouse for research findings, and there
(b) Glaser and Taylor studied factors influencing
was growing concern that effective research find-
the success of applied research. Their study,
ings were not being put into practice. In 1966,
conducted under a grant from NIMH, pro-
Mary Switzer, Commissioner of Vocational Re-
duced 64 findings the investigators thought
habilitation, appointed a Task Force on Research
significant in the life cycle of the projects
Utilization to identify significant research findings
they examined. From these findings, four
to use in rehabilitation programs. Also, a group of
components crucial to a successful outcome
administrators and educators in vocational re-
were identified:
habilitation met in Miami, Florida, to examine the
(1) A good idea soundly conceived and tied
dissemination and use of rehabilitation research
into current agency needs.
information.
(2) Commitment to and energy invested in
The Task Force on Research Utilization made 13
the project by a leading person, usually
recommendations, 11 of which have been adopted
the principal investigator.
and are being followed. One of the most visible
(3) The support of other persons in the en-
results is the Research and Demonstrations Brief,
vironment of the study who need to know
one-sheet, two-page roundups of completed re-
about the research project.
search projects, issued monthly by the SRS' Re-
(4) The ability to obtain the acceptance and
search and Utilization Branch. The R&U Branch
cooperation of others in and out of the
also publishes Research, an annotated list of all
project who are not SO directly involved
projects supported by the Division of Research and
and motivated as the research team
Demonstrations and the Division of Research and
(though they are important to the pro-
Training Centers. Another printed outlet is the
ject's outcome), but who will cooperate if
periodical, Welfare in Review, issued every other
they are treated with respect, courtesy,
month by the office of the administrator, SRS. It
and consideration.
reports on the findings of major studies in social
Though Wolfensberger speaks from the agen-
service and rehabilitation.
cy's view and Glaser from the investigator's,
2. The gap between research and practice: While
they both stress the need for mutually de-
dissemination of knowledge is a vital part of re-
fined and accepted objectives for a study,
search utilization, the diffusion of new ideas is only
commitment from all concerned, the recog-
the initial step of putting them into practice.
nition that change is stressful, and a toler-
ance for the challenge stress introduces. Both
(a) There is considerable evidence that at least
part of the gap between research and practice
report from the premise that the application
of research demands attention from the be-
is directly attributable to the difference in
the value systems of researchers and admin-
ginning to the end of an investigation and
even afterwards.
istrators and an accompanying lack of com-
(c) Glaser conducted an earlier study for SRS on
munication between them.
factors affecting the use of research findings
(1) At a research utilization conference con-
ducted by the Institute for Community
by vocational rehabilitation agencies. The
Studies in Kansas City in 1968, descrip-
study offers promising guidelines for improv-
tive scales were given to administrators
ing the incorporation of findings from R&D
and social scientists. The study conclu-
projects into agency practice. It also demon-
strated the value of a face-to-face enabling
sions indicated that researchers and ad-
ministrators did not have the same val-
process between practitioners, administra-
tors, and researchers. This idea has been re-
ues.
fined and is now called a research utilization
(2) Wolfensberger describes the dilemma of
conference. Havelock provided substantia-
research in "human management agen-
cies." He points out that the agency ad-
tion for Glaser's premise.
ministrator must decide whether he wish-
3. Closing the gap:
PUTTING KNOWLEDGE TO USE
160
(a) The first utilization conference with a dis-
purpose is to take approved and effective
tinct methodology based on objectives in
research within a certain category, adapt it
public welfare was conducted in Minne-
to the laboratory, and replicate the findings
apolis in 1970 by the Demonstration Projects
with at least one other similar agency.
Branch of SRS' Division of Research and
(d) SRS has lacked a central information base
Demonstrations.
for research findings from which generaliza-
tions for practice can be made. To correct
(b) In 1969, SRS made a grant for a 5-year dem-
this deficiency, the Research Utilization
onstration project in one state of each HEW
Branch has a contract to review, abstract,
region to demonstrate the advantages of
and index final reports emanating from all
placing a research utilization specialist
research and demonstrations arms of SRS,
(RUS) in the state vocational rehabilitation
except the Division of Mental Retardation
agency to work for more effective use of re-
which has an abstracting system. This effort
search findings. Some movements toward
will offer for the first time a central register
innovation already have been identified. For
and index of research findings for practi-
example, in California, the RUS helped in-
tioners and administrators.
troduce into the State's in-service training
(e) The new efforts for research utilization ap-
program some of the findings on continuing
pear successful, but further developments
education identified by the University of
are needed. The aspects of SRS responsibil-
Iowa.
ities that require research should be set up in
(c) Often, demonstrations successful in the pro-
the order of their use to guide both the re-
gram of the sponsoring agency are not widely
searcher, and review panels and monitoring
adopted elsewhere because the unusual func-
agents. Program staff members-the poten-
tions or operations of the demonstrating
tial users of the findings-have a key role to
agency cannot be relocated elsewhere with-
play by maintaining a close look at use
out disrupting the operations of the adopter.
throughout the life of the project. Also plans
To circumvent this problem, SRS is support-
must be made as early as possible in the
ing demonstrations of research utilization
demonstration for the dissemination, replica-
laboratories or field testing stations. Their
tion, and implementation of key findings.
78
CHANGE PROCESS: BUSINESS
Planned change
ANALYSIS AND SUGGESTIONS
Erwin, P. H., and Langham, F. W., Jr. The change seekers. Harvard Business Review, January-February,
1966, 44, 81-92.
Purpose
cess, indeed to survival in the future, must surely
A logical analysis of how to plan for change in
be to generate an attitude that change is normal.
business.
Top managers must be change seekers.
2. Any change should be approached simultan-
Method
eously on two fronts, the logical and the psycho-
The ideas in this article are based on the broad
logical. The logical aspects are concerned with de-
experience and observations of the authors.
termination of all the facts, forecasts, alternatives,
and practical advantages and disadvantages of the
Findings and Conclusions
situation. The psychological approach is required
1. Viable organizations must have an attitude
in order to gain acceptance of change with a min-
that change is normal and inevitable. A key to suc-
imum of resistance. While the logical factors are
SUMMARIES
161
often dealt with superficially, too frequently the
ible with organizational wants and needs;
psychological factors are wholly ignored.
and
3. Plan the change far enough in advance so that
(d) receive recognition for improving the total
all people affected will have sufficient lead-time
work situation through solving an interest-
ing and exciting problem that will prove
to:
beneficial to the organization and the society
(a) understand the change and accept the need
in general.
for it;
4. Conflict between administrators and initia-
(b) decide how their individual talents can be
tors must always be expected. To quote Chief Jus-
employed to contribute to the change;
tice Hughes, "Conflict is one of the laws of life. It
can be dangerous or it can be harnessed to pro-
(c) adjust their wants and needs to be compat-
gress."
79
ORGANIZATIONAL FACTORS
Innovation: business
Innovative staff proposals
EMPIRICAL STUDY
Evan, W. M., and Black, G. Innovation in business organizations: Some factors associated with success or
failure of staff proposals. Journal of Business, 1967, 40, 519-530.
Purpose
(b) a higher degree of professionalization of staff
An analysis of some of the factors affecting the
personnel;
success of proposals for innovation submitted pre-
(c) a higher degree of formalization of rules;
dominately by staff specialists to line management.
(d) a higher degree of communication between
staff and line personnel;
Method
(e) a higher degree of quality of proposals;
The findings in this paper are based on a study of
(f) a higher degree of perceived need for pro-
a small sample of business organizations. The di-
posals; and
mensions of the innovation process investigated in
(g) a lower degree of professionalization of man-
this study were:
agement.
(a) Attributes of the proposal for innovation;
2. The variables of: (a) Managerial receptivity to
character of the new idea. For example, does
change, (b) degree of centralization, (c) size of or-
it involve a radical change, is the outgrowth
ganization, and (d) number of proposals per man-
of research of high or low quality, etc.?
ager, were eliminated as being less important in
(b) Attributes of the structure of an organization
discriminating between the success and failure of
that facilitate or inhibit the implementation
staff proposals.
of new ideas. For example, does decentral-
3. The study further found that organizations
ized or centralized structure facilitate inno-
characterized by: (a) a higher degree of formaliza-
vation?
tion and centralization, (b) a higher degree of com-
(c) Attributes of the staff-line relationship that
munication between line and staff, (c) a higher
affect the innovation process. For example,
level of quality proposals, and (d) a higher level of
how adequate are the communication chan-
managerial receptivity to change were likely to re-
nels between staff and line?
ceive administrative proposals.
Findings and Conclusions
4. Organizations that: (a) were larger in size,
1. Staff proposals were more likely to be suc-
(b) had a higher degree of professionalization of
cessful in organizations with:
management, and (c) had a larger number of pro-
posals per manager were likely to receive technical
(a) a higher competitive position;
proposals.
162
PUTTING KNOWLEDGE TO USE
80
INNOVATION: HIGHER
EDUCATION
Resistance to change
Innovator characteristics
EXPERIMENTAL STUDY
Evans, R. I., and Leppmann, P. K. Resistance to innovation in higher education: A social psychological
exploration focused on television and the establishment. San Francisco: Jossey-Bass, 1968.
Purpose
research team, completed a detailed written report
on the quality of each tape and the verbal and non-
This is a social psychological exploration of the
verbal behavior of each participant. Each ex-
role of university faculty in the diffusion of innova-
perimental subject was asked to write a report on
tions in the university. The authors also report the
his experience and his opinion of the video-tape
findings of an experiment designed to determine
recorder as a device for improving teaching.
the effects of actual experience with an innova-
tion or attitude and behavior change.
Findings and Conclusions
Method
1. In comparing those individuals who were pro-
innovation with those who were against the innova-
After reviewing the studies that explore values,
tion the authors found that those in favor of in-
beliefs, and other personality characteristics of uni-
structional television were:
versity faculty and how they affect the process and
function of innovation in higher educational insti-
(a) Less conservative, less traditionally oriented,
tutions, the authors surveyed the faculty of a uni-
and perhaps, in a way, less "scholarly" and
"academic" in the narrow sense of the word.
versity in a metropolitan university where instruc-
tional television was being introduced to ascertain
(b) They tended to feel the university climate
can and should include some noncurricular
attitudes toward instructional television. This
or extracurricular activities.
initial survey indicated that the majority of the
faculty was opposed to the use of television in their
(c) Their attitudes toward teaching and student
classes.
evaluations were also more "positive"-
(1) they were willing to teach on television,
EXPERIMENT
more likely to prefer smaller classes and
1. Subjects-in order to determine the effects of
more likely to be intrigued with teaching
experience with an innovation on change in atti-
methods;
tudes, the authors then conducted an experiment
(2) they were more willing to receive addi-
using 20 faculty members who were almost equally
tional training, and far more eager to ex-
divided into pro-instructional television, anti-in-
periment with various instructional
structional television, and neutral with respect to
methods, such as class demonstrations,
instructional television groups. The remaining 100
field trips, motion pictures, television
members of the faculty served as a control group.
viewing, and even teaching machines and
2. Treatment-those individuals in the experi-
television lectures; and,
mental group were asked to prepare, produce, and
(3) they were willing to utilize student feed-
participate in at least one 45-minute presentation
back and reported more variation in
to be recorded on a video-tape recorder. In addi-
evaluating student performance.
tion, as a means of increasing commitment, all
2. In the interview situation the pro-innovation
members were asked to collaborate in the produc-
faculty were judged to be more tolerant and sophis-
tion of several video tapes, which represented a co-
ticated and less hostile and bland.
operative effort.
3. Pro-innovation faculty had also taught at
3. Data Collected-the subjects were offered
more institutions than those who were against in-
consultation and help in preparation. The tele-
structional television.
vision production coordinator, a member of the
4. The anti-instructional television professors
SUMMARIES
163
were academically oriented, valuing the straight
order to utilize instructional television. * Fur-
lecture method as most significant. They were able
ther evidence suggested that if a complex in-
to state a significantly larger number of disadvan-
novation such as this could be broken down
tages to television instruction than the pro-innova-
into palatable bits it might be more readily
tion faculty.
acceptable.
5. Those faculty who were initially opposed to
(b) The authors also found that the source from
instructional television exhibited an attitude
which the innovation is introduced affects
change in the direction of more positive feelings
the attitudes of the adopters. The degree of
toward it; however, this trend was not statistically
innovation acceptance by professors may
significant. Changes in attitude also occurred
partly depend on whether they viewed the in-
among those members of the control group who had
novations as being instituted or imposed by
heard about the video-taping experiment. There
the university administration or whether
was little or no change in those faculty members
they felt that it originated within their own
who had no contact with the experimental group.
departments.
6. The pro-innovation faculty, in general, pro-
(c) Some institutions seemed to provide a more
duced slightly higher-quality tapes than the anti-
receptive social climate for the introduction
innovation faculty. However, there were some high-
and acceptance of innovations. Some insti-
quality tapes produced by the anti-innovation
tutions appear to encourage innovation by
faculty.
rewarding the innovator through increased
7. The findings and analysis drawn from this in-
rank, salary, or other fringe benefits. These
depth study in one university and the investigation
institutions had a more innovative faculty.
of faculty attitudes on nine other campuses leads
(d) The authors also suspect that job security
the authors to these conclusions:
may be intricately involved in innovation
(a) Many professors seem to think that much
adoption in higher educational institutions.
training, equipment, and general reevalua-
*The authors' conclusions are also in line with those from
tion of teaching goals would be required in
other studies of innovation in organizational settings.
81
APPLIED SOCIAL RESEARCH
Innovation: social
Research-practitioner collaboration
Social experimentation
Research: marginal groups
ANALYSIS AND SUGGESTIONS
Fairweather, George W. Methods for experimental social innovation. New York: Wiley & Sons, 1967.
Purpose
2. How can this be done? The answer to this
question is by the methods of experimental social
The principal purpose of this book is to provide
innovation presented by the author.
possible answers to two questions:
1. How can society effect needed changes in on-
going social processes with a minimum of disrup-
Method
tion? The proposed answer is to create new social
subsystems; their methods would include innovating
The ideas in this book have been developed by
models as alternative solutions to social problems,
the author during the course of 13 years of experi-
experimentally evaluating them, and disseminating
mental work aimed at solving the problems of sev-
the information to those who can make the appro-
eral marginal groups, such as chronic mental and
priate changes.
tubercular patients, criminals, etc.
164
PUTTING KNOWLEDGE TO USE
Findings and Conclusions
In order to prevent such a misunderstanding the
1. Distinguishing features of social innovation
researcher should clearly describe the use of the
experiments are: (a) These experiments create new
research budget to management.
social subsystems which clearly define the statuses
7. Agreement concerning publicity to be given
and roles of the participating members; (b) the new
the project should be made in advance.
subsystems, which are designed as alternative solu-
8. The matter of publication rights should be
tions to significant social problems, are system-
clearly agreed upon prior to the research effort.
atically varied, controlled, and compared; (c) the
9. In order to avoid possible conflicts and estab-
experiments should be imbedded in selected social
lish mutual understanding and agreement, the re-
institutions SO that they are an integral part of that
searcher should raise the following questions to
society and are established SO that society need
management:
only passively accept them and need not support or
(a) What will be the amount of the research
endorse them; (d) social innovative experimenters
budget?
must assume responsibility for the members par-
(b) Will management grant the researcher the
ticipating in the subsystems. This last character-
authority to select institutional residents to
istic is particularly important; social innovative
go to the research unit when this is required
experimental methods are a special combination of
for sampling purposes?
service procedures and research techniques.
(c) If important individuals within the institu-
2. The author discusses the entire research pro-
tion complain about the research unit simply
cess in great depth. Of particular relevance is his
because it receives special consideration, will
analysis of factors relating to obtaining admin-
management continue supporting it?
istrative commitments necessary for the success of
(d) Will management be willing to provide
the effort. One of the first obstacles to social in-
needed personnel?
novative research in a rehabilitation setting is the
(e) Will space be provided the research team?
traditional separation of research and service.
(f) Will there be arrangements for computer
3. Unless the researcher can elucidate how the
analysis of the data?
research might help solve some of the vexing prob-
(g) Will management respect its commitments
lems faced by the organization or aid in the ac-
and not request the researchers to violate the
complishment of institutional goals, it is unlikely
research design or to participate in the
that management will approve of the project.
usual institutional procedures when to do so
4. Care must be exercised in clearly communi-
would curtail their full-time research effort?
cating to management the importance of insulating
10. In return, the researcher should assure man-
the service units involved in the research from any
agement that:
institutional practices that might destroy the re-
search. Management should agree that once ex-
(a) He will not violate any of the existing insti-
perimental procedures have been established, they
tutional norms except those agreed upon by
cannot be changed until the project is completed.
both parties as an inherent part of the re-
5. The tendency of some administrators to agree
search.
to research projects because of the prestige attached
(b) He will give periodic progress reports to man-
without full knowledge or appreciation of their
agement.
obligations can cause numerous problems when the
(c) He will not change any of the agreed-upon
time comes for management to back up their com-
procedures without specific permission from
mitment with space, staff, etc. This "Yes-No"
management; upon the emergence of any un-
phenomenon among administrators is less likely to
foreseen difficulties involving the institution,
occur if the researcher has asked concrete ques-
he will request a meeting with management
tions about administrative obligations.
to discuss these problems.
6. Another common source of difficulty is the
11. Research or social innovation experimenta-
frequently held preconception by institutional
tion conducted in a broader community setting re-
management that research will bring additional
quires the following considerations:
services to the institution without cost to the in-
(a) Agreements should be obtained from and
stitution; i.e., management views the research
goals clearly elucidated to affected commun-
budget as a supplement to the agency budget for
ity institutions, SO that their representatives
use in paying for the existing service programs ra-
can become, if they wish, a part of the inno-
ther than as funds for meeting new research needs.
vative experiment.
SUMMARIES
165
(b) Since superficial boundaries that separate a
recommendations about social change to the in-
community from an isolated institution can-
terested agents of a society.
not be maintained, reciprocities should be
14. Where a recommended solution is adopted
arranged with both a selected institution and
by a society, members of the research team should,
representatives of the larger community.
in addition to publishing written reports, function
12. If a particular successful project is to be con-
as social action consultants to aid in the implemen-
sidered worthy of wider dissemination, a determi-
tation of programs based upon their research re-
nation must be made as to whether or not its re-
sults.
15. The recommendation is made that a number
sults can be generalized to solve the existing
problem in the society. This depends upon three
of centers for experiments and training be estab-
conditions:
lished in universities, industrial institutions, gov-
ernment agencies, or private foundations. Such
(a) How representative the original sample is of
centers would:
the problem population in a society.
(b) How representative the experimental social
(a) Continually initiate new social innovative
context is of the social context in which the
research.
problem is typically found in a society.
(b) Establish a communication system between
(c) How the criterion for evaluating the success
the community and itself and thus be a
of the project compares to society's consensus
mechanism for change.
of the solution to the problem.
(c) Provide a sharing of information and cross-
fertilization of ideas.
13. Following a social innovative experiment,
(d) Help establish administrative procedures for
the researcher must clearly state his inferences,
implementing community and institutional
cite the evidence for his conclusions, and make
reforms.
82
SOCIAL EXPERIMENTATION
Innovation: social
Research methodology
ANALYTICAL MODEL
Fairweather, G. W. Experimental social innovation defined. In H. A. Hornstein, B. B. Bunker, W. W.
Burke, M. Gindes, and R. J. Lewicki (Eds.) Social intervention: A behavioral science approach. New
York: The Free Press, 1971.
Purpose
(a) Definition-defining a significant social
problem.
The author outlines the methodology and qual-
(b) Naturalism-making naturalistic field ob-
ities of experiments in social innovation.
servations to describe the parameters of the
Method
problem in its actual community setting.
(c) Innovation-creating different solutions in
The author defines experimental social innova-
the form of innovative social subsystems
tion by outlining the general attributes or goals of
(i.e., more functional regrouping of social
social innovation experiments, and also by pre-
systems).
senting the various methodological techniques
which may be employed by experimenters in re-
(d) Comparison-designing of experiments to
searching social problems.
compare the efficacy of different social sub-
systems in solving a particular social prob-
Findings and Conclusions
lem.
1. The attributes of social innovative experi-
(e) Context-implantation of the innovated sub-
ments are described as follows:
systems in the appropriate social settings in
166
PUTTING KNOWLEDGE TO USE
order that they may be evaluated in their
(b) Survey-such data-collecting activities as
natural habitat.
demographic studies which serve to define
(f) Evaluation-continuing the operation of the
the variables operating in social problems.
innovated subsystems for several months or
(c) Laboratory studies-artificially created con-
even years to allow adequate outcome and
ditions for learning and performing activities
process evaluations to be made.
centrally related to the social problem (e.g.,
(g) Responsibility-assumption of responsibility
studies of racial identification in children).
by the researchers for the lives and welfare of
(d) Participant observation-such data-gather-
participants in the subsystems.
ing methods as interviews, testing, question-
(h) Cross-disciplinary-using a multidisciplinary
naires, etc., which are primarily employed to
approach, with the nature of the particular
define the variables of the social problem.
social problem determining the subject mat-
ter of the specific discipline(s) invoked, e.g.,
(e) Services-establishing new social subsys-
political science, sociology, etc.
tems by providing services, e.g., Synanon,
Alcoholics Anonymous, etc.
2. The six methodological approaches to the in-
(f) Experimental-a method which may com-
vestigation of social problems are:
bine all the above methods, as well as include
(a) Descriptive-theoretical discussions of or
other procedures. This method is character-
treatises on important social problems which
ized by the author as the one method which
allow the formulation of hypotheses and
encompasses all eight of the attributes or
summarize empirical facts to illustrate the-
goals of social innovation outlined in number
oretical positions about social problems.
one above.
83
ORGANIZATIONAL CHANGE
Innovation: mental health
Change factors
EMPIRICAL STUDY
Fairweather, G. W., Sanders, D. H., and Tornatzky, L. G. Creating change in mental health organizations.
New York: Pergamon Press, 1974.
Purpose
would, with certain assistance by the investigators,
introduce the community lodge innovation. While
Specifically, the book describes an attempt to
a number of respondents permitted intermediate
achieve the acceptance and adoption of an innova-
contact to learn more about the program, only 25
tion in mental hospital after-care treatment known
were actually persuaded to adopt the innovation.
as "the community lodge," and to study factors
Through long telephone interview-conferences,
accounting for such adoption. Broadly extrap-
questionnaires, brochures, tapings of workshop
olated, its purpose is to raise and throw light on the
sessions, and a research diary, information was
question: How does a society change the structure
communicated to and/or from hospital personnel
and function of its complex organizations in an
and patients. The obtained data covered descrip-
orderly way so that much needed problem-solving
tions of the course of adoption and information
social change may continuously occur?
relative to the many factors that might possibly
Method
affect that process.
In a follow-up study all 255 hospitals were con-
Mental hospitals numbering 255-virtually all in
tacted to ascertain the diffusion of the idea of the
the United States-were approached through care-
community lodge, or elements associated with it.
fully designed procedures to find out whether they
The experimental design to ascertain the role of
SUMMARIES
167
the several factors, such as the nature of the ap-
(b) There had to be outside change-agent
proach to the hospitals, the manner of assistance
pressure to help inside workers in initiating
given adopting institutions, the characteristics of
the change.
the institutions, etc., was carefully drawn. It en-
(c) It was necessary to locate and help small
tailed rather precise sampling procedures, a variety
change-oriented groups within the organiza-
of assessment devices, and appropriate statistical
tion.
analysis.
(d) The organizations where many people made
the decisions changed more readily than
Findings and Conclusions
those where only top management was in-
1. For the most part, the community lodge
volved.
adoptions followed the proposed pattern whereby
4. Additional observations concerning the
instead of remaining hospitalized, chronic patients
change process:
lived and worked at a center or lodge in the com-
munity, establishing their own business and gov-
(a) Advocates of change were found about
erning themselves. In some instances they held
equally in each of the professional groups.
jobs in the community. Over a five-year period
(b) Change-oriented attitudes as expressed ver-
their progress compared favorably with that of
bally did not necessarily assure changed be-
matched and randomly assigned patient groups.
havior.
Patient costs were reduced.
(c) Political power contributed little to the
2. A number of factors were found to be unre-
spread of the innovation.
lated to whether or not a hospital adopted the inno-
vation:
5. The above findings and a number of addi-
(a) Financial capability.
tional ideas are presented, if not as principles, then
(b) Size and geographical location.
at least as hypotheses. From these a set of practical
(c) Whether state or federally supported.
pieces of advice for change agents are derived.
3. Observations concerning factors that were
6. Noting a number of deficiencies in the Amer-
found to be related to adoption:
ican pattern of decision making regarding social
(a) The more active approaches, such as demon-
policy problems, the authors urge the experimental
strations, contributed more to willingness to
tryout of model programs as part of a new prob-
introduce the innovation than less active
lem-solving social change mechanism, to be insti-
ones, such as receipt of literature on the pro-
tutionally supported by centers for social innova-
tion.
gram.
84
CONSULTANT ROLE
Linkage functions
ANALYSIS
Ferguson, Charles J. Concerning the nature of human systems and the consultant's role. Journal of Applied
Behavioral Science, 1968, 4(2), 179-193.
Purpose
Method
The article is based on the author's experiences
The author conceptualizes the consultant role in
and intellectual analysis.
a systems framework and describes the processes
that the consultant uses to help the client system
Findings and Conclusions
externalize disruptive tendencies and move toward
1. All human systems, whether individual or
collaboration of its subparts.
collective, consist of a synthesis of subparts and
168
PUTTING KNOWLEDGE TO USE
subsystems. It is the nature of the relationship be-
ical attitudinal data along and spreads
tween subparts or subsystems that makes for col-
awareness.
laboration and health of the system or for imbal-
(f) Suspend animation and analyze the pro-
ance, stress, and dysfunction.
cess-he temporarily neutralizes real au-
2. Every boundary between system parts offers
thority by asserting his own authority as a
an opportunity for collaboration or competition.
consultant SO that the uses and conse-
Collaboration and competition are natural forces;
quences of the real authority may be studied.
interdependent subsystems naturally compete.
Because he is not wrapped up in the prob-
Competition is often stimulating to a system; it is
lem-solving process, he can speak to the need
not undesirable, per se.
to stop the action and analyze the process
3. The consultant's focus is the management of
objectively.
relationships or interfaces between subparts or
(g) Clarify formulation of issues-the consultant
subsystems. He determines what can be done to
cuts through the emotional smoke.
evoke collaborative tendencies among subparts
(h) Release emotional issues-he brings out feel-
and/or to reduce the tendency toward destructive
ings by raising key issues and assists in work-
competition among interdependent subparts.
ing them out; he serves to legitimize discus-
4. The consultant uses himself to help a client
sion and consideration of feeling.
system externalize and explicate "nonfit" between
(i) Make communication congruent-he assists
interfaces or along boundaries. He uses himself to
in evoking more honest, authentic inter-
release forces within the system that move it
changes and can monitor communication
toward balance and health.
and exercise "quality control."
5. A number of functions or activities of the con-
sultant may be identified:
(j) Encourage feedback-he develops two-way
or multichanneled interchanges among sys-
(a) Capture data-the consultant listens and
tem parts.
observes; he finds cause-and-effect relation-
(k) Promote a spirit of inquiry-he promotes the
ships, identifies symptoms of stress, and lo-
examination of data and helps develop in
cates the strengths of the system.
others an ability to dig up data and a spirit
(b) Scan for troubled interfaces-the consultant
of learning.
acts as a radar device; he detects distortions
(1) Coach and build teams-he acts to release
and misinterpretations in the interactions of
the supportive capacity of group members
system components.
(c) Promote psychological bonding-he helps
and fosters the sharing of experiences and
concerns.
establish mutual identification, communi-
cation, understanding, and concern among
(m) Assist in the management of conflicts-
system parts.
he fosters acceptable confrontation and clar-
(d) Act as linking agent-he links people who
ifies the dimensions of conflict.
need to be brought together, arranges con-
(n) Promote a proper psychological climate-by
frontations, and promotes effective inter-
his own attitudes toward conflict and its
personal communication.
resolution he serves as a model.
(e) Serve as communications conveyor-the
(o) Take calculated risks-he is able to take
consultant serves as an auxiliary communi-
risks in stretching perception and creating
cation medium; he can convey data more
awareness that those who are locked into a
freely than formal channels and moves crit-
system may not be SO prepared to take.
SUMMARIES
169
85
RESEARCH UTILIZATION:
BEHAVIORAL SCIENCE
Utilization factors
Evaluation procedures
CASE STUDY
Flanagan, John C. Case studies on the utilization of behavioral science research. In Case studies in bring-
ing behavioral science into use. Studies in the utilization of behavioral science, vol. 1. Stanford, Calif.:
Institute for Communication Research, Stanford University, 1961, pp. 36-46.
Purpose
(c) Those responsible for the ultimate decision
to use the findings were included in the plan-
To report on two studies in the behavioral science
ning.
field that were similar in many ways but differed
(d) Projects selected were not beyond the state
markedly in the extent to which the results have
of the art; effective techniques were available
been utilized.
for carrying them out.
Method
2. The following conditions existed more recog-
Two studies, both carried out by the American
nizably in the project with extensive utilization
than in the one with limited utilization-hence
Institute for Research (of which Dr. Flanagan is
director), were compared with respect to a number
they are assumed to be particularly conducive to
utilization:
of factors. Both studies related to the development
of new evaluation procedures for the client organi-
(a) The requirements of the study originated
zation. In the case of one study (the development of
with the persons responsible for using the
an evaluation procedure for hourly wage employees)
findings.
the findings were extensively utilized. In the other
(b) Top management was sensitive to the need
(the development of an objective proficiency check
for improvements in the area being studied.
for private pilot certification), there was only
(c) The ultimate users took part in collecting
limited utilization. The author draws conclusions
data and evaluating results.
concerning the reasons for the differences.
(d) The decision makers and the ultimate users
perceived the change as resulting in definite
Findings and Conclusions
personal benefits to them.
(e) The potential benefits were tangible and
1. The following conditions were present in both
readily evaluated.
situations and are assumed to be important in de-
termining utilization of research findings:
3. There seemed to be no relationship between
(a) Research was based on data collected from
the conclusiveness of evidence favoring adoption of
actual field operations.
the new procedures and the extent to which they
(b) Procedures which were developed were tried
were actually adopted. That is, credibility may not
out under field conditions.
be as important as other studies indicate.
170
PUTTING KNOWLEDGE TO USE
86
INNOVATION ADOPTION
Innovation characteristics
Innovation: agriculture
EMPIRICAL STUDY
Fliegel, F. C., and Kivlin, J. E. Attributes of innovations as factors in diffusion. American Journal of
Sociology, 1966, 72(3), 235-248.
Purpose
turns) did not seem to be an important factor in
explaining rate of adoption.
The objective of this study was to identify a spe-
6. The saving of worktime was a positive factor
cific set of attributes of innovations and to explore
with respect to rate of adoption, but less so than the
the extent to which these attributes accounted for
investigators had hypothesized.
differences in rate of adoption of innovations in
7. Relief from odious tasks was a relatively un-
modern farm practices.
important factor in this context.
8. Regularity of reward (that is, the perception
Method
that an innovation will produce the desired results
The sample was made up of 229 relatively pros-
over repeated trials) was positively associated with
perous, fairly homogeneous farm operators from a
rate of adoption.
single county in Pennsylvania; they were all sole
9. Divisibility of trial (that is, the extent to
owner-operators of medium-sized, commercial
which the innovation lends itself to small-scale try-
dairy farms. The adoption histories of these farm-
out before full adoption) was an important factor in
ers with respect to 33 innovations was explored. A
encouraging rapid adoption.
list of 15 innovational attributes was drawn up:
10. The perceived complexity of an innovation
initial cost, continuing cost, rate of cost recovery,
was less of a deterrent to rapid adoption by this
payoff, social approval, saving of time, saving of
particular sample than the investigators had an-
discomfort, regularity of reward, divisibility for
ticipated.
trial, complexity, clarity of results, compatibility,
11. Similarly, the clarity of results had a weaker
association with dairying, mechanical attraction,
positive relationship to rate of adoption than had
been anticipated.
pervasiveness. The farmers (by a split sample in-
terview procedure) were asked to rate the 33 inno-
12. Compatibility between the innovation and
vative farm practices with respect to each of the
the traditional way of doing things was not an im-
15 attributes. The investigators were aware of the
portant factor in explaining rate of adoption
possible interrelationships involved in the impact
(though the investigators reported reservations
of the various attributes; partial correlation was
about the validity of their findings in this respect).
used in reporting the outcomes, to isolate the effect
13. Association with dairying was a relatively
of any given attribute on rate of adoption without
important factor in explaining rapid adoption.
disregarding the effects of all the others.
14. Mechanical attraction was not an important
factor in adoption decisions.
Findings and Conclusions
15. Pervasiveness (that is, the possible ramifica-
tions resulting from the acceptance of a given idea)
1. Initial cost involved in adopting an innova-
was not a significant deterrent to rapid adoption.
tion was not a deterrent to rapid adoption for this
16. On the basis of the foregoing findings, the
sample.
investigators advanced the following conclusions:
2. High continuing costs did, to some extent,
(a) In commercially oriented situations, innova-
deter rapid adoption.
tions perceived as most rewarding and in-
3. Rapid recovery of costs was not positively re-
volving least risk and uncertainty are ac-
lated to rate of adoption.
cepted most rapidly.
4. Payoff (magnitude of return) was positively
(b) In situations involving less emphasis on com-
associated with rate of adoption.
mercial considerations, it is logical to expect
5. Social approval (that is, noneconomic re-
that more importance would be attached to
SUMMARIES
171
the communicability of new ideas and their
terest has a "halo" effect in contributing to
effects.
rapid adoption of innovations most closely
(c) A potential adopter's main occupational in-
allied to that interest.
87
INNOVATION: EDUCATION
Change: classroom teaching practices
EXPERIMENTAL STUDY
Fox, R. S., and Lippitt, R. The innovation of classroom mental health practices. In M. B. Miles (Ed.), In-
novation in education. New York: Bureau of Publications, Teachers College, Columbia University,
1964, pp. 271-299.
Purpose
(a) Nine teachers were provided maximum in-
volvement, with a 6-week full-time summer
To study the process involved in the instigation
workshop to sharpen diagnostic skills and
and support of teacher innovation in improving the
plan new programs. This group also had
classroom learning climate.
clinic sessions and consultation throughout
Method
the year.
(b) A total of 10 teachers were provided medium
This experimental study, which was carried out
involvement. They did not attend the sum-
at the University of Michigan, hypothesized that
mer workshop but received a program of
teachers might be encouraged to make changes in
feedback conferences during the school year
their classrooms either by: (1) collaboration with
through area meetings and through consul-
the research team in gathering and interpreting
tation.
data about the state of affairs in the teacher's own
(c) The remaining 11 teachers had minimal in-
classroom, leading to innovations designed to modi-
volvements-no summer workshop, no feed-
fy the situation; or (2) examining the innovative
back and interpretation of their classroom
efforts of other teachers in meeting situations
data, no consultation.
similar to ones believed to exist in one's own class.
The project was carried out in the following
5. A year after the initial recruitment, extensive
remeasurement was carried out.
phases:
1. Conceptualization of the professional growth
6. Planned spread of innovations was carried
process that stimulates the emergence of innova-
out, but at the time the paper was prepared this
tions in teaching practice relevant to improvement
phase was still in process and no data were in-
of mental health and learning conditions; and con-
cluded concerning this aspect of the study.
ceptualization of the conditions within a school
Findings and Conclusions
system necessary to facilitate the spreading of such
innovations.
1. Teachers participating in the intensive sum-
2. Development of a battery of instruments to
mer workshop became the most highly involved, at-
explore aspects of the classroom group structure,
tempted the greatest number of new ideas in their
peer standards toward learning and classroom be-
classrooms, and were most successful in bringing
havior, teachers' self-concept, teaching objectives,
about some changes.
pupil desire for change, etc.
2. A teacher's generalized concern for improve-
3. Recruitment of a sample of 30 collaborating
ment can move toward a more precise attack on a
teachers who underwent an extensive measurement
specific problem as precise facts about the inter-
program.
personal situation in the classroom become avail-
4. Stimulation and support of teachers with
able.
respect to innovative practices, carried out at three
3. The innovative efforts of teachers can be high-
levels:
ly useful to their colleagues who find themselves
PUTTING KNOWLEDGE TO USE
172
facing similar problems in their own classrooms.
leagues of innovators often required value re-
However, the channels of communication are SO
education to overcome the attitude that using
poorly developed that little such sharing takes
someone else's innovation is a better value than
place.
creating one's own.
4. To help make educational innovations visible
6. Innovative efforts by the classroom teacher,
and available to potential adopters usually required
with informed and sympathetic support from
descriptive effort and conceptual help by a trained
school administration, professional colleagues, and
outsider.
outside resource people are much more likely to
5. To stimulate active adoption efforts by col-
succeed than attempts without such support.
88
KNOWLEDGE UTILIZATION
Utilization barriers
Knowledge integration
ANALYSIS
Frank, Lawrence K. Fragmentation in the helping professions. In W. G. Bennis, K. D. Benne, and R. Chin
(Eds.), The planning of change: Readings in the applied behavioral sciences. New York: Holt, Rine-
hart & Winston, 1962, pp. 44-48.
Purpose
Findings and Conclusions
The author draws attention to the barriers raised
There is a lack of integration of knowledge from
by our tendency to specialize.
the various sciences and social sciences. Individ-
Method
uals tend to draw only from their field of "speciali-
zation" when looking for solutions to problems. In
The ideas in this chapter of the book are based on
addition, each specialist, confident of his own
the broad experience and observations of the
knowledge and techniques, tends to ignore the far-
author.
reaching implications of his findings.
89
CHANGE PROCESS: SOCIAL
Change process: education
Innovation: bureaucracy
ANALYSIS
Freire, P. Pedagogy of the oppressed. New York: Herder & Herder, 1972.
Purpose
Method
To present the basic concepts of political con-
Analytical. The author draws on the writings of
sciousness-raising as part of a perpetual revolution;
Hegel, Marx, Sartre, Mao, Guevara and several
to discuss a pedagogy intended to help oppressed
Brazilian writers, focusing their ideas on the sub-
groups become aware of the conditions in which
ject of teaching itself as either repression or revolu-
they live and become able to deal critically and
tion. He developed his teaching method and philos-
effectively with their situation.
ophy by teaching illiterates in the northeast of
SUMMARIES
173
Brazil. He was exiled from Brazil after the coup of
opposite. It presents no content whatsoever. Freire
1964 and continued his revolutionary teaching in
calls this pedagogy "problem-posing." The stu-
Chile and other parts of South America.
dents themselves must define the problem and
find the answer to it. Here the students are the
masses; the classroom is reality outside. The op-
Findings and Conclusions
pressed become more and more conscious through
Two points from the foreword by Richard Schaull
the process of facing real problems. Revolutionary
relate the book to North American realities. First, we
transformation is accomplished not through violent
may be as much oppressed by our own technology and
action but through dialogue, which Freire charac-
by our own organizations as South American masses
terizes as an encounter between men, an existential
are oppressed by the ruling classes; second, "There is
necessity for men who want to achieve significance
no
neutral educational process." What goes on
as men. It cannot occur without faith, love and
in schools either lulls the student into passivity and
hope for mankind-or without critical thinking.
oppression, or awakens him to consciousness and
Freire discusses how the content of education
action.
enters the dialogue. "The starting point for organ-
According to Freire, the great humanistic and
izing the program content of education or political
historical task of the oppressed is to liberate them-
action must be the present, existential, concrete
selves and the oppressors as well. The oppressed
situation, reflecting the aspirations of the people."
are afflicted by "fear of freedom," which causes
He discusses "generative themes" which are the
them not to recognize that they are oppressed and
basic social contradictions present in any situation
to identify with the oppressors rather than with
of oppression and which inspire the oppressed to
their fellow sufferers. The revolutionary teacher
further efforts, once they become aware of them.
seeks to discover two truths, side by side with the
Finally, the author reviews the dialogical and the
oppressed whom he is "teaching." The first is that
anti-dialogical theories. He discusses the following
they are oppressed, and only by gaining critical
tactics associated with oppression: conquest, divide
consciousness will they see the inequities and con-
and conquer, manipulation, and cultural invasion.
tradictions of their situation. The second truth is
Revolutions are always tempted to use these tac-
that they have the power-indeed the historical
tics to further their cause. Freire exposes the con-
role-of transforming their own situation. Along
tradictions in the use of these tactics and argues
with a critical consciousness they gain the confi-
that they should not be used by revolutionaries. He
dence to act. The oppressed do not gain conscious-
presents corresponding tactics of liberation: co-
ness or confidence without the teacher; it is a
operation, unity, organization, and cultural syn-
mutual process.
thesis. According to Freire, these alone further the
Whereas oppressive education presents the pas-
cause of true liberation.
sive student with pure content (solutions without
The book is thought-provoking, and provides
problems), revolutionary education does just the
concepts to be kept in mind in any change process.
90
INNOVATION
Innovation: scientific; technological;
social
CASE STUDY-ANALYSIS
Gabor, Dennis. Innovations: Scientific, technological, and social. New York: Oxford University Press, 1970.
innovations, and 37 social innovations-the book
Purpose
seeks to engender a more knowledgeable view of
In presenting historically and critically 137 in-
future possibilities in order to encourage rational
ventive and innovative developments-73 "hard-
control of the accelerated tendency to innovate
ware" inventions and innovations, 27 biological
that has marked our times.
174
PUTTING KNOWLEDGE TO USE
Method
clusions are offered in the introductory sections of
Aside from his personal background of experi-
the book. They include the following:
ence, which is extensive, the author has drawn his
1. What is now called innovative still has a
set of innovations from a list of one hundred inven-
strong instinctive element in it.
tions and innovations compiled by Herman Kahn
2. Innovations have been devised by two differ-
and Anthony J. Wiener of the Hudson Institute,
ent constructive types of minds, and both were
later incorporated in their book, The Year 2000: A
suppressed for long periods by the third type of
framework for speculation on the next thirty-three
man, who cared neither for technology, nor for
years; from the work of Olaf Helmer, formerly of
social progress, but only for power.
the RAND Corporation and later associated with
3. Modern technology has reached a stage at
the Institute for the Future, which published a list
which it can destroy all civilization, at least tem-
of 76 innovative items; and from contributions
porarily, or create a new and happier world.
from a number of specialists in various fields.
4. Having fought nature and his own kind for
In the summaries the hard, factual material is
perhaps a hundred thousand years, man will have
presented interpretively to draw attention to sig-
to fight his own nature; ultimately this must be the
nificant human issues and to the possibilities for
aim of any far-sighted innovator of our times and in
beneficial and harmful consequences of further
the years to come.
development of the several lines of innovation, or in
5. At present there is a terrifying imbalance in
the social field, reform. In the case of a number of
innovations: innovation of the technological
the innovative trends, prediction of probable date
variety has become compulsive.
of realization is offered based on the application
6. The scientific-technological complex we have
of the DELPHI technique developed by Helmer
created will produce more innovations, almost
and his associates.
automatically, by its own inertia, but novelties far
more important in their human and social implica-
Findings and Conclusions
tions can be expected from the biological sciences,
which as yet have much smaller establishments.
The specific case accounts of inventions and in-
7. Insane quantitative growth must stop; but
novations under the heading of "hardware" cover
innovation must not stop-it must take an entirely
the fields of: materials, power, chemistry, trans-
new direction, namely towards improving the
port, communications, computers and data pro-
quality of life rather than its quantity.
cessing, robots, automation, education and enter-
8. The scientist and the technologist have again
tainment, space, ocean research and exploration,
become united, as they were at certain times in the
and peace inventions.
past.
Biological innovations are presented under two
9. Invention has changed from an individual to a
headings: food, and bio-engineering.
group and mass phenomenon.
Social innovations, or reforms, are considered
10. Historically the change in the intrinsic na-
under the following headings: human ecology and
ture, aims and consequences of the process of in-
ekistics (problems and science of human settle-
vention and innovation entails three factors: the
ment), fighting crime and corruption, monetary
change in the time-scale, the change in the magni-
and economic reforms, internal and international
tude and social consequences of the innovation,
peace, and toward a stable, mature society.
and the change in scope and aim.
While the author's conclusions relative to the
11. It is a commonplace that social development
vast amount of data presented are largely specific
has not kept up with the explosive progress of
to each of the 173 items, a number of general con-
science and technology.
SUMMARIES
175
PLANNED CHANGE: EDUCATION
91
Organizational factors
Innovation
Change agent
ANALYTICAL MODEL
Gallaher, Art, Jr. Directed change in formal organizations: The school system. In R. O. Carlson, et al.,
Change processes in the public schools. Eugene, Ore.: Center for the Advanced Study of Educational
Administration, University of Oregon, 1965, pp. 37-51.
Purpose
grams. They include: (a) the perceived prestige of
the advocate by members of the target system,
The author explores the nature of change from
(b) the dependence upon authority of the members
the viewpoint of the anthropologist, stressing the
of the target system, (c) the expectation of change
importance of the role of an advocate in planned
shared by members of the target system, (d) the
change. He examines the organizational peculi-
target system's felt need for change, (e) the time
arities of school systems and the implications of
factor, and (f) the size and divisibility of the target
these for direct change.
system to be changed.
Method
4. The most significant quality of the school as a
formal organization is that it is a service organiza-
The author has based his analysis on his own
tion.
knowledge, experience, and observations.
(a) "This means that the prime beneficiary of
Findings and Conclusions
the organization is the client group, which in
turn becomes a crucial variable in determin-
1. Change is a natural consequence of human
ing the limits and kinds of authority that are
social life. Change can be either directed or non-
developed, and the goal orientation that the
directed. Directed change is defined as "a struc-
organization will take."
tured situation in which an advocate interferes
(b) "The concern of local client groups in the
actively and purposefully with the culture of the
power to legitimate authority, a centrifugal
potential acceptor."
tendency, contrasted to the centripetal one of
2. There are two major role models for advocacy:
problems in the local system, and the innova-
(a) The pragmatic advocate role model rests on
tions necessary to solve them, deriving from
the premise that success or failure in directed
larger systems-could well be the most diffi-
change is referable mainly to the advocate's
cult problem area for educational innova-
understanding of the content and internal
tors."
organization of the pattern where change is
(c) The task of professional functionaries is
sought. The role behavior prescribed by this
probably more difficult in service organiza-
model is concerned mainly with creating a
tions than in any other kind. They must serve
climate that is conducive to change.
the collective interest of the client group and
(b) The Utopic model is based on the premise
at the same time retain their authority and
that "one can achieve results best by doing
not become subservient to the demands of
things to, or planning for, people rather than
the client group.
with them." It defines the advocate's role as
one of manipulation to gain the acceptance
5. It is important for the advocate to have pres-
of a given innovation. The author views the
tige, and/or that members of the target system de-
pragmatic model as best for achieving gen-
pend upon his authority in matters of change.
uine change.
(a) The school administrator stands between the
3. Gallaher highlights several variables he feels
client group, technically represented by the
are crucial in the success of directed change pro-
school board, and professional and other
PUTTING KNOWLEDGE TO USE
176
functionaries who comprise the educational
flict.
system. His role is essentially a "balancing
(b) Rather than place the burden of change on
role." Were he to assume the role of advocate
the shoulders of the school administrator, the
he might reduce the effectiveness in the bal-
author suggests the development of a special
ancing role, as the role of advocate in the
role function for the management of educa-
change process almost always involves con-
tional change.
92
CHANGE PROCESS: SOCIAL
Organizational change
Individual reeducation
ANALYSIS
Gardner, J. W. Self-renewal: The individual and the innovative society. New York: Harper & Row, 1964.
Purpose
shattering changes or revolutions. Important
change, the author says, can come from successive
Gardner wrote this essay in the mid-sixties to
small innovations or simply from creative, new
encourage social activism. He tries to give a new
ways of thinking about things. The creative per-
perspective on the sources and meaning of turbu-
son is open, independent, flexible, and able to find
lence in the present world.
order in experience. Gardner deemphasizes revolu-
The greater part of the book deals with the pro-
tion. He also cites a problem which recurs in his-
cess of change. The author emphasizes (1) the im-
portance of values in directing change and (2) the
tory: what to do with the revolutionaries when the
revolution is over.
importance of the individual in changing organiza-
2. In considering the processes of change, both
tions and society.
organizational and societal, Gardner focuses first
on obstacles to renewal, most of which are to be
Method
found in the mind rather than in external factors.
To create a new perspective on renewal, the
Sometimes only catastrophes can change habits,
author speaks as a citizen. He draws upon his ex-
attitudes, and belief systems. Rules and customs
perience as an administrator and consultant and
often stultify organization members, but every or-
upon his knowledge of history. Through the use of
ganization must concern itself with how something
diverse examples from art, military history, poli-
is done, not just that it gets done. Regulations often
tics, and science, he demonstrates the challenge of
protect vested interests, which the author classifies
renewal in many situations and the role of the indi-
among the most powerful forces producing rigidity
vidual in meeting the challenge.
and diminishing an organization's capacity to
change.
Findings and Conclusions
Advocates of change often falsely blame some
outside factor: science, technology, or the Estab-
1. The author focuses first on the individual's
lishment. According to the author, the real fault
conception of change, casting a positive light on
lies in our own, inadequate assessment of the sit-
change and renewal. Change is not automatically
uation. We must learn to "organize for freedom,"
symptomatic of decay. In fact, intentional change
that is, to design and build organizations which
is a way of achieving stability and avoiding decay.
help individual members develop themselves.
Just as we narrow the scope and variety of our
The author discusses conditions for social re-
lives by our own acts, SO may we widen our scope
newal: the preservation of individual choice,
through self-renewal. The author discusses the
pluralism, dispersal of and restraints upon power,
functions of courage, love, motivation, and educa-
tolerance of inconsistency and dissent. For or-
tion in self-change. Innovations need not be world-
ganizational renewal, Gardner advocates system-
SUMMARIES
177
atic innovation. This could take many forms, e.g.,
The mature individual makes commitments be-
a department whose job is to motivate continuous
yond himself because man is by his very nature a
renewal, a system of personnel rotation, or a con-
seeker of meanings. Many find meaning by com-
scious effort to find better communications pat-
miting themselves to the well-being of their fam-
terns. Planners and policy makers should, in the
ilies, but some have wider, social commitments.
author's view, get out and see reality in its raw
These commitments presume an optimistic, but
state rather than simply reading reports. Finally,
not unrealistic, attitude towards the future and a
all organizations should combat natural tendencies
consensus of values in the society. This consensus
towards massiveness, immobility, and formality.
deals with the values which govern behavior, e.g.,
To do this, we need new organizational forms.
freedom and justice. In a pluralistic society men
3. In conclusion, the author stresses the impor-
will always disagree about the particulars of be-
tance of the individual as a source of change,
havior and about deep, philosophical questions.
pointing out that we must preserve the individual's
The individual faces complex problems with moral
integrity and help him find a purpose which links
seriousness, and the society must help him find
him to society.
constructive outlets for his commitment.
93
SCIENCE AND PRACTICE
Research-practitioner relationship
Research utilization
ANALYSIS
Garner, Wendell R. The acquisition and application of knowledge: A symbiotic relation. American Psy-
chologist, 1972, 27, 941-946.
Purpose
problems sparked a surgence or resurgence of in-
The author sets out to destroy what he considers
terest in certain basic problems in experimental
to be a myth that favors the separation of scientific
psychology.
research from practical concerns. The scenario of
this myth, or fable, he asserts, runs as follows: Sci-
Findings and Conclusions
entists acquire knowledge; this knowledge is placed
1. Regarding the categorization of research:
in the public domain; when a person with a prob-
(a) There are at least five meaningful distinc-
lem needs knowledge, he extracts it from the pub-
tions that scientists make concerning the re-
lic domain, thereby solving his problem; the sci-
search process, or the acquisition of knowl-
entist's generation of this knowledge takes place in
edge. These are the distinction between:
a mysterious fashion; though mysterious, it is so
(1) Pure and applied research.
effective that no tampering must be allowed, and
(2) General and specific research.
in fact, the less contact the scientist has with the
(3) Experiment and observation.
problems of the problem-solver, the more apt is he
(4) Laboratory and field research.
to fill the public domain with knowledge of ulti-
(5) Analytic and wholistic research.
mately greatest import to the problem-solver.
(b) These five dimensions are not logically or in-
Method
herently correlated. For example, applied
research can be done in order to produce gen-
The procedure employed in demonstrating the
eral results, which are presumed to be of
fallacy of this "mythic" line of thought includes
greater importance than particularized find-
the citing of (a) the overlapping dimensions af-
ings. Further research on an applied prob-
fecting both pure and applied research; and (b) a
lem, carried out in a field setting, may lead to
number of important instances wherein practical
more generalized knowledge than research
178
PUTTING KNOWLEDGE TO USE
done in a laboratory with no foreseeable real-
speech communication could be carried on
life application. Hence, although the five dis-
effectively.
tinctions are correlated to some degree in
(d) Pattern recognition, where it was necessary
practice, this correlation should not lead us
to provide a computer program which could
to evaluate each aspect of the problem (of
read letters of the alphabet.
pure versus applied research) as though the
(e) Absolute judgment, where people interested
correlation were perfect.
in designing radar systems, primarily for use
2. Instances where practical, timely questions
in aircraft control towers, had to study vari-
caused renewed interest in and added to the fruit-
ous stimulus dimensions.
fulness of fundamental research are cited in sup-
In each of these instances, the practically initi-
port of a "symbiotic relation" between practice and
research in the fields of:
ated research led to the development and strength-
ening of basic theoretical knowledge in the respec-
(a) Selective attention, where aircraft control
tive fields of inquiry. The author concludes from
personnel in aircraft control towers had a
the above that the quality of basic research is im-
problem of auditory selection from many
proved by communication between the basic re-
messages.
search scientist and the people who have problems
(b) Space perception, where aircraft pilots were
to solve.
faced with the problem of depth perception
at distances required in flying and landing a
As a parting shot, Garner refers to the argument
plane.
that many great discoveries occur serendipitously
(c) Speech perception, where research had the
while basic research is in progress, enhancing its
very practical goal of telling the engineers
value. Serendipity, he notes, is just as likely with
how to design telephone systems so that
goal-directed research.
94
KNOWLEDGE DISSEMINATION
Innovation: communication, psychology
field
Communication process
ANALYSIS
Garvey, W.D., and Griffith, B. C. Communication in a science: The system and its modification. In A. de
Reuck and J. Knight (Eds.), Communication in science: Documentation and automation. A Ciba
Foundation volume. Boston: Little, Brown, 1967, pp. 16-36.*
Purpose
This is, in effect, a progress report on an ongoing
Association in 1961. It is assumed by the authors
study, initiated by the American Psychological
that the outcomes of the study will ultimately fur-
nish a rationale for the management and future
*Much of what is contained in this presentation overlaps with
development of communication programs in
other publications by the same authors, e.g.: Scientific com-
psychology.
munication: The dissemination system in psychology and a
The specific purposes of the paper are to describe
theoretical framework for planning innovations. American Psy-
chologist, February 1965, 20(2), 157-164; Scientific communi-
the total system of dissemination of scientific in-
cation as a social system. Science, 1967, 157(3792), 1011-1016;
formation in psychology; to point out the order
Scientific information exchange in psychology. Science, 1964,
that exists in the system and identify some of the
149(3652), 1655-1659; and Studies of social innovations in scien-
characteristics that contribute to that order; to
tific communication in psychology. American Psychologist, 1966,
suggest an approach to communication innovation;
21(11), 1019-1036. To avoid redundancy, some of the specific
data from the four journal articles are incorporated in this
and to present examples of three innovations de-
summary.
veloped and applied to test this approach.
SUMMARIES
179
Method
(b) Most of what reaches the public is relatively
old.
The early phases of this study were exploratory,
(c) Scientists actively seek information relevant
designed to generate descriptive data of what oc-
to ongoing or planned work.
curs in the communication process and what roles
(d) There is an impressive degree of orderliness
were played by various media. Subsequent phases
in the communication system.
were analytical, with the purpose of discovering
(e) The outlets chosen by the research workers
and describing the orderly processes involved in the
are often associated with the specific needs of
communication system.
the user and the information is shaped and
Concerning the three innovations reported briefly
reshaped to fit the characteristics of channels
in the paper, two of them (listing of manuscripts
and the needs of audiences.
accepted by journals with long publication lags and
(f) The goal of most scientific information is
preconvention publication of "Proceedings") are
publication in an archival journal; the limi-
described in detail in an earlier journal (see foot-
tations implied by this goal give impetus to
note below). Data for testing these innovations
development of informal channels.
were gathered through questionnaires to both re-
searchers and practitioners, with controls estab-
3. The authors describe the communication sys-
lished in both studies.
tem as a "genuine social system; scientific in-
formation exchange consisted largely of interaction
between scientists; the major elements within the
Findings and Conclusions
system were social institutions. "Further, this sys-
1. The authors delineate the mechanics and flow
tem was a closed social system; not only was the
pattern of information from the time it is generated
scientist a disseminator and user in the very same
by the research worker until it can be retrieved from
system of which he was a creator, but the two gross
a secondary source. The pattern at the time of
products of science, its information and its man-
study included: early informal oral reports at col-
power, interacted and fed back into the system con-
loquia or at small groups of colleagues working in
tinuously to drive it" (p. 10). Its characteristics as a
the same area; formal oral reports at State or re-
social system contributed to its orderly organiza-
gional meetings of psychological societies or at na-
tion.
tional APA meeting (first public announcement of
4. The second characteristic contributing to
work is abstract published in program of national
orderliness was the dynamic interrelationship of
meeting); postmeeting distribution of copies of
the elements within the system. This interaction
presentation; technical reports (often later enlarged
has social, economic, and formal dimensions.
into journal articles); submission of manuscripts to
(a) Illustrative of the social dimensions-if sci-
journal (approximately 9 months before publi-
entists are not satisfied with existing ele-
cation); invited oral presentation at conferences,
ments to meet information needs, they create
etc.; distributions of preprints of journal article;
new elements (such as new publications, new
journal publication; distribution of journal re-
informal channels.) These new elements af-
prints; presentation (sometimes) at an interna-
fect all existing elements in the system.
tional meeting-usually after journal publication;
(b) Illustrative of the economic dimension-dis-
appearance in Psychological Abstracts 15 months
tribution of information without charge by a
after journal publication; later inclusion in publi-
government agency might extinguish use of
cations focusing on review of current work (some-
and need for abstracting journal.
times as long as two years after journal publica-
(c) Distinct functions of the formal and informal
tion). Approximately 200 readers will be exposed to
channels within the system are presented as
a journal article. Monographs, like books, usually
follows:
attract the more academically oriented reader and
have a limited distribution.
(1) Formal elements have a potentially lar-
ger audience, including the public; in-
2. The following features of the communication
formal elements tend to reach a restricted
system are cited:
audience (colleagues, etc.).
(a) The amount of information flowing through
(2) Information disseminated through for-
the system which reaches the public is small,
mal channels is more permanently stored
compared to that which reaches restricted
and more retrievable than that going
audiences.
through informal channels.
180
PUTTING KNOWLEDGE TO USE
(3) Formal channels carry less current in-
the time it is published, they induced long-
formation than do informal channels.
lag journals to publish listings of accepted
(4) Information carried by formal channels
manuscripts SO that potential users would
is more carefully monitored than that
know of the availability of the information
carried by informal channels.
during a period of time when it is, in effect,
(5) Formal channels are user-selected; in-
buried from the public. It was assumed that
formal channels are disseminator-selec-
such early dissemination would be particu-
ted.
larly useful to young scientists who may not
(6) There is considerable redundancy in the
be members of the author's "invisible col-
total system, with informal channels
lege" and hence not hear about the work in-
contributing to this more than the formal
formally; these same young scientists are
ones.
often not the recipients of preprints. The
(7) Exchange of information through infor-
publication of the listing did indeed stimu-
mal channels is more interactive than
late many requests for copies of the manu-
through formal channels-more em-
script; many of the requestors reported that
phasis on relevance, more openended,
their work was modified by contact with the
more conducive to feedback.
manuscript and its author; in a small num-
ber of cases, information flowed from the
5. The authors' approach to designing and test-
requestor back to the author. In short, the
ing innovation in scientific communication encom-
innovation did speed up dissemination and
passes the following elements:
stimulate informal interchange.
(a) Innovation in a science should be preceded
(c) The most ambitious of the three innovations
by a study of the existing system.
was the advance publication of selected
(b) The selected innovation should move the
papers scheduled for presentation at the 1965
entire system in desirable directions.
national APA meeting. Through the precon-
(c) Selected innovations may have an indirect
vention publication of Proceedings, it was
hoped to:
rather than a direct effect in modifying ele-
(1) Establish an early and widely accessible
ments within the system.
(d) Innovation should promote effective combi-
means of disseminating current research
reports in psychology.
nation of formal and informal elements
handling a single body of information.
(2) Offer an alternative to journal publica-
(e) Innovation should take appropriate account
tion, reserving traditional archival pub-
of the economic factors involved-that is, of
lication for long reports of major research
efforts.
the direct and indirect links between infor-
mation flow and the flow of resources.
(3) Facilitate better informal exchange at
(f) Innovations should be SO designed that their
the convention sessions by virtue of the
efficiency and effectiveness can be measured
fact that attendants had the opportunity
to familiarize themselves in advance
in behavioral and economic terms.
(g) An innovation should be seen as a trial only,
with the research being reported. It was
with built-in mechanisms for modifying or
assumed that preconvention publication
would-
terminating it, if evaluation suggests these
courses.
enable those attending convention
sessions to decide which work was
6. The authors identified several critical points
in the system at which breakdown in communica-
relevant to their own;
tion occurred, and developed and tested three
equip scientists with enough advance
information to qualify them to discuss
innovations directed to correcting this breakdown.
specific problems and questions with
(a) By means of changes in the operational struc-
the author at convention sessions or
ture of Psychological Abstracts, the 15-
through correspondence; and
month lag between publication of informa-
free up the convention speaker to dis-
tion in a scientific journal and its availability
cuss the implications of his work,
in abstract was reduced to 4 months.
since a reasonably public and com-
(b) To close the lag between the time a manu-
plete record of his study would have
script is accepted by a scientific journal and
been available.
SUMMARIES
181
7. On the basis of their study of the results of the
defer seeking journal publication since a measure
first year (1965) of publication of Proceedings, they
of dissemination had already been achieved.
concluded that most of the anticipated benefits
8. The authors enumerate the specific ways in
enumerated above did indeed ensue. For example,
which this particular innovation adhered to the
there was improved interaction at convention ses-
seven criteria they had articulated; since one of
sions; considerable interchange of information
those criteria was that the innovation be given a
among scientists in advance of convention; some
genuine trial and subsequent evaluation, they
evidence that respondents' work was in some way
stress the importance of perceiving the 1965
modified as the result of preconvention and con-
experience with the publication of Proceedings as
vention interchange; and a trend among authors to
only one segment of an ongoing process.
95
RESEARCH COMMUNICATION
Diffusion: scientific knowledge
Knowledge dissemination
EMPIRICAL STUDY
Garvey, W.D. and Griffith, B. C. Scientific communication: Its role in the conduct of research and creation
of knowledge. American Psychologist, 1971, 26, 349-362.
Purpose
doubling every 12-15 years; the amount of informa-
tion (measured by number of abstracts or articles
1. To discuss the "communications crisis" in
published) is doubling every 15-20 years. The
science. Many articles are published resulting in SO
major information problem facing psychology,
much information that the individual reader is
according to the authors, is that the individual
overloaded. Yet, few articles contribute substan-
scientist is being overloaded with information.
tially to the pool of psychological knowledge.
Consolidating knowledge in psychology is a com-
Committed researchers are a minority among
plicated process because most of the published
authors of articles.
reports of research are the work of psychologists
2. To describe information exchange patterns
getting their degrees. After graduation, they tend
among highly productive scientists. The authors
to go into work other than research. Thus, there are
trace the course of a typical research project from
many "first steps" in research that are never
its beginning when an idea is under discussion
followed up.
among colleagues, to its culmination as a published
journal article that subsequently is mentioned in
2. Activities of the productive scientist-the
current reviews as contributing to the pool of
exchange of information among the 2,000 "produc-
knowledge.
tive" researchers bears closer investigation, par-
3. To distinguish between the informal, pre-
ticularly because the scientist does not get his ideas
publication system of information flow and the
strictly from published research. The authors
formal, postpublication system of monitoring and
studied over 200 research efforts in psychology and
consolidating knowledge.
found that less than one in seven originated from
ideas obtained from formal sources, such as articles
Method
or presentations at national meetings. Instead, the
productive minority is highly organized into small
The authors summarize findings of a 10-year
clusters of researchers who maintain continual
study on the flow of scientific communication and
informal contact with each other's work. At the
information exchange patterns in psychology.
planning stage and while carrying out the research
(that is, until there is a complete and defensible
Findings and Conclusions
report) the researcher interacts and communicates
1. The communications crisis in science-the
only with immediate colleagues. This is followed by
number of psychologists in the United States is
a series of increasingly formal presentations of the
182
PUTTING KNOWLEDGE TO USE
work, including oral reports, preprint distribution,
it often gives the most detailed account of
etc., culminating in journal publication of the
procedures, instruments, etc. Second, be-
article.
cause it is informal, this kind of paper per-
Because of publication time lag and because key
mits the researcher to speculate and theorize
researchers have already seen the results of the
more than does a published article. It also
study, the published journal article in psychology
allows experienced researchers to keep up;
is no longer an important medium for dissemi-
their own judgment protects them against
nating current findings. Two to three years after
"unreliable" information.
publication, articles that are cited elsewhere and
(b) Formal. The formal transfer system, on the
show evidence of being important are mentioned in
other hand, serves to monitor and filter
the Annual Review of Psychology or other reviews.
information, to make sure of its quality
This mention marks their acceptance as part of the
before including it in the body of commonly
pool of recognized knowledge.
recognized knowledge. The authors note that
3. The information system of psychology-the
the long process of judgment is unique to
authors emphasize the different functions of formal
science and should not be accelerated for the
and informal information transfer in psychology.
sake of improving communication. Rather
the informal communications system should
(a) Informal. The informal system encourages
be recognized as the means by which current
the free flow of ideas in abstracted, colloquial,
advances are disseminated; it should there-
incomplete, or vague form. The authors con-
fore not be formalized or streamlined by
sider the working paper or technical report of
information systems designers who do not
particular importance for two reasons. First
recognize its true function.
96
RESEARCH UTILIZATION:
MEDICAL
Utilization deterrents
Adoption process
Dissemination measures
EMPIRICAL STUDY
Glaser, Edward M. A pilot study to determine the feasibility of promoting the use of a systematized care
program for patients with chronic obstructive pulmonary disease. Los Angeles: Human Interaction
Research Institute, final report to Social and Rehabilitation Service, Department of Health, Educa-
tion, and Welfare, project RD-2571-G-67, July 1968.
Purpose
grams currently (1968) used throughout the country
for the diagnosis, medical treatment, management,
In recent years some exercise programs have been
and rehabilitation of patients with chronic obstruc-
developed which, when used in conjunction with
tive pulmonary disease (COPD).
other appropriate treatment of patients suffering
2. To make site visits to several of the best
from chronic airway obstruction, appear to hold
known comprehensive treatment centers for COPD
promise of contributing significant help. Yet, these
which have published promising results from in-
exercises, as part of a comprehensive systematized
clusion of exercise programs.
care program, are not widely used, despite many
3. To compare programs and try to arrive at a
publications in the medical literature citing evi-
consensus (at a conference of leaders from several
dence of their potential value.
disciplines involved in the treatment of patients
The purposes of this study were:
with COPD) regarding an optimally effective and
1. To determine the methods, facilities, and pro-
widely applicable diagnostic, treatment, and re-
SUMMARIES
183
habilitation schema incorporating the best features
2. The conference achieved general agreement
of existing programs.
concerning principles for the management of pa-
4. To identify systematized care modalities
tients with COPD and, in that sense, also made
which appeared to require further study or cross-
progress in research utilization. The use of breath-
validation.
ing retraining, postural drainage, relaxation exer-
5. To develop strategies for further research into
cises, and graded conditioning exercises-the un-
other important unresolved questions in connection
derutilized physical medicine techniques which
with diagnosis and treatment of COPD. Such re-
had originally motivated this inquiry-was sup-
search would involve both physicians in private
ported. Many of these treatment programs never
practice and systematized care teams in medical
before had been described and published in detail.
centers.
There was unanimous agreement that proper treat-
6. To develop and carry out plans for promoting
ment may relieve or lessen symptoms and improve
dissemination, utilization, and continuing evalua-
a patient's ability to function independently. To be
tion of the refined and validated systematized care
optimally effective, however, the program should
program which should be developed as an out-
provide patient and family education, home follow-
growth of the preceding objectives.
up, and vocational rehabilitation when needed.
3. The conferees also achieved a sharper identi-
Method
fication of important unresolved questions that
need further experimental study, and they ex-
The methodological steps designed to achieve
pressed willingness to collaborate in the future to
the purposes were:
seek further knowledge with regard to those ques-
1. To determine current practice through ques-
tions. This represented another outcome to facili-
tionnaire, literature review, and selected site visits.
tate research utilization.
The questionnaire was mailed to 1,320 physi-
4. A valuable interdisciplinary network of com-
cians-members of the American College of Chest
munication regarding diagnosis and treatment of
Physicians who indicated a specialty of pulmonary
COPD was developed or strengthened in connec-
disease.
tion with the conference (attended by 49 persons).
2. To invite outstanding specialists engaged in
The communication network was further strength-
the study and treatment of patients with COPD-
ened through fairly wide distribution of the final
including chest physicians, pulmonary physi-
report of this pilot study, which constituted still
ologists, thoracic surgeons, nurse specialists, physi-
another outcome in the direction of facilitating in-
atrists, physical therapists, psychiatrists, psychol-
formation spread about promising treatment
ogists, and rehabilitation counselors-to a con-
methods for COPD.
ference where they could discuss and compare pro-
5. A number of deterrents to the utilization of
grams, and try to arrive at consensus regarding an
the recommended systematized care program were
optimum systematized care program.
identified; e.g.:
3. To develop with the conferees planned stra-
tegies for further exploration, research tryout and
(a) The need for answers to a number of still un-
cross-validation of the agreed-upon systematized
resolved questions such as relative contribu-
care program, as well as plan research into other
tion of various treatment components to pa-
important unresolved questions.
tient improvement, methods for evaluating
the results of treatment, methods of patient
selection, significance of home care follow-up,
Findings and Conclusions
etc.
1. Of the 1,320 persons to whom the question-
(b) Practical considerations, such as time re-
naire was sent, 307 or 23 percent responded. They
quired for treatment, necessary facilities,
provided information regarding facilities and pro-
and personnel, need for continuing physician
grams they were using for the diagnosis, treatment,
training, adequacy of dissemination of in-
management, and rehabilitation of patients with
formation, etc.
COPD. (Detailed information and discussion are
(c) Attitudinal deterrents, such as inertia, threat
contained in the report.)
to status, need to learn new skills, etc.
184
PUTTING KNOWLEDGE TO USE
97
RESEARCH UTILIZATION
Planned change
Innovation characteristics
Dissemination factors
REVIEW OF LITERATURE
Glaser, E. M. Knowledge transfer and institutional change. Professional Psychology, 1973, 4, 434-444.
Purpose
assess and assimilate scientific knowledge ad-
1. To offer illustrative evidence for the observa-
dressed to domestic needs. Thus, knowledge trans-
tion by former HEW Secretary Richardson and
fer and institutional change become increasingly
others that too much R&D money "has gone into
important objectives.
poorly conceived projects, too few of the results
The probability of successful transfer of existing
have been rigorously assessed and our means for
knowledge to a new setting depends in part upon
disseminating the worthwhile results have been too
the following factors:
feeble."
1. Characteristics of the innovation-Glaser des-
2. To submit that the problem of transferring
cribes seven attributes subsumed under the acro-
knowledge from R&D settings to other persons
nym CORRECT: Credibility, Observability, Rele-
and places is not just a matter of coherently syn-
vance, Relative advantage over existing practice,
thesizing the findings or providing easier-to-use in-
Ease in understanding and installation, Compati-
formation storage and retrieval arrangements.
bility, and Trialability.
Rather, it involves a more complex human problem
2. Characteristics of the potential user and the
of how to get organizations, institutions and indi-
setting-the leadership style should be one that is
vidual decision makers to develop a climate of non-
defensive, open-minded willingness to review their
open to challenge, facilitates communication, pro-
vides for review of goals, respects staff competence,
standard practices and become receptive to change
and rewards innovative efforts. The organization
that may be required for the adoption of given
must have a capable staff and have access to
promising innovative procedures or policies.
necessary resources. Those directing change must
3. To spell out the factors specifically related to
be sensitive to context: e.g., clients, public opinion,
successful transfer of R&D findings.
governmental control. Organizational leaders must
Method
be skilled in working through resistance to change.
3. Manner and extent of dissemination-the
Glaser reviews relevant literature to support his
author concludes that "a main finding that emer-
analysis of the factors related to successful transfer
ges from this group of studies [namely, the ones he
of R&D findings, and provides a chart summariz-
has reported] is that the greatest single means that
ing some ways of enhancing utilization potential in
can be used to increase information utilization may
designing and carrying out research, beginning
be personal interaction (at least in some fields),
with writing the proposal, negotiating the grant or
and the strategic contact is the well-informed col-
contract, carrying out the project, writing the final
league ('gate-keeper').'' Other means, such as ef-
report, and (if warranted) carrying out postpro-
fective written communication of information (e.g.,
ject cross-validation, replication and diffusion
journal articles, reports, manuals, books) also are
activities.
needed.
4. Facilitating forces-among the interactive
Findings and Conclusions
forces which bear upon achieving planned change
are: leadership openness to new ideas; outside
With the advent of revenue sharing, there has
pressures for change; information-feedback that
come into being a new partnership between the
kindles desire to change; aroused will of key figures,
federal government and the states and localities. A
such as in response to perceived crises; an incen-
role of the federal government will be to assist state
tive system that provides rewards for appropri-
and local governments to develop their capacity to
ate changes or types of behavior; structural re-
SUMMARIES
185
organization or organizational rearrangement;
to increased readiness for a change that promises
stimulation of shared interest in learning about
something better.
how to solve given problems; sufficient resources;
Two examples of careful planning for R&D trans-
and loss of enthusiasm or commitment which leads
fer are provided.
98
RESEARCH UTILIZATION:
REHABILITATION
Innovation
Dissemination of information
Consultation measures
CASE STUDY
Glaser, E. M., Coffey, H. S., Marks, J. B., and Sarason, I. B. Utilization of applicable research and demon-
stration results. Los Angeles: Human Interaction Research Institute, 1967.
gram comparable to the Tacoma project, with five
Purpose
comparable workshops serving as controls. A num-
The purpose of this project was to study the fac-
ber of instruments were designed to assess the im-
tors which impede and those which facilitate the
pact of these strategies; these were augmented by
spread of innovation in the vocational rehabilita-
informal and anecdotal feedback.
tion field; to develop and apply experimentally
strategies for overcoming barriers which block initi-
Findings and Conclusions
ation and adoption of innovation; and to formulate
1. The chances of impact are increased if prom-
a range of strategies intended to stimulate innova-
ising research or demonstration findings are re-
tion.
ported in readable, brief, and nontechnical form
Method
and are widely distributed to potential users, but
this form of information dissemination does not
The investigators selected (with the concurrence
produce as pronounced an effect as had been an-
of VRA) a project of Tacoma Goodwill Industries as
ticipated. Its impact is greatest where interest has
the subject of this study. The Tacoma project
already been established.
demonstrated the feasibility of rehabilitating se-
2. The study clearly demonstrated that if po-
verely retarded young adults to the level of sus-
tential users attend a conference where they can
tained employment. It was hypothesized that more
discuss an innovation and see it in operation,
widespread adoption and/or adaption of this rela-
adoption of the innovation will be significantly
tively effective program might be stimulated by
facilitated.
new techniques of disseminating information con-
3. Potential users who had received the nontech-
cerning the project to potential users and by pro-
nical report and had participated in the site visit/
viding psychological consultation to the manage-
conference were not additionally stimulated, to an
ment staff of potential user agencies. The informa-
appreciable amount, by a "missionary" visit from
tion techniques that were tested were: (1) a brief,
a representative of the Tacoma project.
readable booklet describing the project; (2) a con-
4. Psychological consultation to management of
ference to facilitate an interchange of points of
sheltered workshops helped those organizations
view and experiences related to the project; (3) the
change more rapidly than the control group and
dispatching of an experienced spokesman for the
made them more receptive to innovation.
demonstration project to provide on-site consulta-
5. Beyond the foregoing findings, which stemmed
tion to potential user agencies. Psychological con-
directly from the experimental work carried on in
sultation was provided to five sheltered workshops
the project being reported, the investigators form-
which were perceived as potential users of a pro-
ulated a number of strategies for adoption of inno-
186
PUTTING KNOWLEDGE TO USE
vation in vocational rehabilitation. Among the
project should be invited to participate in the
highlights are the following:
planning of the project.
(a) Innovation does not spread automatically. It
(d) Since there is evidence that personal contact
tends to be impeded by barriers, both in the
with innovators may be a crucial condition
processes of communication and in the atti-
for the optimal dissemination of new ideas, it
tudes of the people and organizations who
might be productive strategy for innovators
can be considered potential users.
of successful projects to meet with others in
(b) Communications concerning innovations
the same and related fields by means of
should be credible and stimulating. These
special regional or national meetings.
communications should be a factor in the
(e) Tandem teams consisting of a rehabilitation
initial planning of a research project, and
expert and a psychological consultant to
should be provided for, in terms of budget
management might effectively serve as
and time.
change agents in the vocational rehabilita-
(c) Potential users of the findings of a research
tion field.
99
INNOVATION ADOPTION
Innovation: mental health
Adoption deterrents
Dissemination strategies
EXPERIMENTAL STUDY
Glaser, E.M., and Ross, H. L. Increasing the utilization of applied research results. Final report to National
Institute of Mental Health, Grant No. 5 R12-MH-09250-02. Los Angeles, Calif.: Human Interaction
Research Institute, 1971.
Purpose
implementation; was credible to agency decision
This study undertook to investigate what deters
makers; was in current operation so that it could be
observed in action.
organizations from putting promising innovations
into practice; to apply and test various strategies
Major categories of users of this treatment
which are designed to make these organizations
modality in the country were identified and
(and their professional leaders) more willing to
assigned to either experimental (80 percent) or
accept a specific innovation; and (as an outgrowth
control (20 percent) status; total N = 1,770.
of the findings of the foregoing) to explore the psy-
The dissemination strategies employed were: a
chological, sociological, economic, and institutional
descriptive pamphlet related to SGT; a consulta-
forces which inhibit or facilitate change.
tion visit to the user agency by the director of SGT;
a visit and conference at the site at which SGT was
Method
an ongoing demonstration project; a consultation
from the SGT director to agencies after their rep-
The specific innovation selected for the experi-
resentatives had taken part in a site visit.
mental phase of the study was saturation group
All organizations in the experimental group and
therapy (SGT), a format for the delivery of psycho-
half in the control group were first sent the pam-
therapy in a prolonged series of weekend group
phlet. Organizations which then participated in
treatment sessions. The innovation selected met
further dissemination efforts were self-selected. A
the following criteria: was potentially useful to a
series of questionnaires, dispatched at appropriate
broad spectrum of mental health agencies and
times in the course of the study, undertook to
applicable to certain categories of patients; was
assess the respondents' changing levels of aware-
replicable without excessive financial costs or
ness of SGT, their attitudes toward it and toward
unique skills; presented discernible difficulties in
adoption or adaptation of this innovation at their
SUMMARIES
187
agencies. These findings served as measurements of
was assessed in terms of criteria identified by
the relative impact of the techniques being tested.
earlier studies of innovation, and it was determined
To gain additional insight into the underlying
that potential users of SGT perceived it as having
attitudes and patterns of the target organizations
limited relevance, a high potential for incompati-
with regard to innovation, open-ended interviews
bility, dubious relative advantage, a high degree of
were conducted with personnel at 33 such agencies.
complexity, and potential difficulties with regard
to reversibility, divisibility, trialability, and cred-
Findings and Conclusions
ibility. The extent of these difficulties was under-
estimated when the project was selected.
1. Despite the extensive dissemination efforts,
4. In assessing factors which have a bearing on
the number of adoptions or adaptations was sur-
an agency's willingness to innovate, the investi-
prisingly small, although there was evidence that
gators suggested that innovative agencies tend to
agency decision makers increased their under-
be those characterized by high morale; a practice
standing of SGT, and, in some instances, devel-
of autocritical review of mission and performance
oped hospitable attitudes toward its use. This
thereof; staff participation in decision making;
finding suggested that the practical barriers
responsiveness to community needs; staff rewards
(money, personnel, facilities) to adoption of SGT
based on performance rather than status; and a
overshadowed intellectual acceptance of it.
minimum of arbitrary supervision. In the less inno-
2. Findings with respect to the specific dissemi-
vative agencies, there is likely to be strong cen-
nation techniques were as follows:
tralization and hierarchical control; lack of aware-
(a) The pamphlet (when the recipient was
ness of agency mission; hostility engendered by a
alerted by an accompanying questionnaire)
staff/administration power struggle; rigid commit-
provided a basis for forming a general incli-
ment to orthodoxies (either individual or shared).
nation or set for or against SGT; it stimu-
5. On the assumption that willingness to change
lated intellectual interest, but did little
is not sufficient without organizational means, the
more.
investigators formulated a set of operating condi-
(b) The consultation visits were informative,
tions which would provide an organizational
clarified some issues, but did not dissipate
vehicle for effecting change. These conditions are:
the participants' doubts about the feasibility
instituting regular mission review; assessing pro-
of implementing SGT in their agencies.
gram effectiveness; disseminating knowledge about
(c) The site visit and conference stimulated
alternative practices; providing opportunity for
enough enthusiasm among most participants
advocacy; providing a means for making decisions;
to create specific advocacy for SGT; partici-
providing a way of sustaining commitment; and
pants returned to their home agencies willing
having control over sufficient resources.
to search for ways to overcome economic and
6. Finally, the investigators reevaluated the
organizational barriers; they were, however,
dissemination strategies which had been utilized
in most instances unable to transmit their
in the experimental phases of the project being
positive feelings to their coworkers.
reported, and recommended certain refinement in
(d) The postsite visit consultation had a booster
future efforts to promote utilization. Significant
effect on agency interest but was not suffi-
among these refinements are: (a) more careful
cient to overcome what the agency perceived
screening of innovations to be disseminated; (b)
as barriers to implementation.
fuller involvement of potential users toward this
3. The investigators hypothesized that resis-
end; (c) more careful selection of target agencies to
tance to adoption of SGT, despite intensive dis-
be recipients of dissemination efforts, with particu-
semination strategies, was related, in part, to char-
lar attention to willingness and capacity to inno-
acteristics of the innovation itself. The innovation
vate.
188
PUTTING KNOWLEDGE TO USE
100
RESEARCH UTILIZATION:
MENTAL HEALTH
Utilization factors
Utilization measures
EMPIRICAL STUDY
Glaser, E. M., and Taylor, S. Factors influencing the success of applied research. Washington, D.C.: Na-
tional Institute of Mental Health, Department of Health, Education, and Welfare, final report on con-
tract No. 43-67-1365, January 1969.
Purpose
efforts to induce interest and cooperation
from a wide group of supporters and poten-
Five successful and five less successful applied
tial users. Interaction and communication
research projects that had been carried out through
proceeded at a high rate through both formal
grants from the National Institute of Mental
and informal channels. Potential obstacles
Health were studied by the Human Interaction Re-
were shared concerns. The resolution pro-
search Institute of Los Angeles in an effort to iden-
cesses often provided unanticipated benefit
tify and document some of the factors which pro-
and strengthened the project. The develop-
mote or impede-
ment and maintenance of a network of com-
1. the effective conduct of a project; and
munication took time and effort, but ob-
2. the achievement of project objectives, includ-
servable rewards justified the expenditure.
ing the production of clear, cogent, useful results
(b) The research was designed by the principal
which are adequately disseminated to potential
investigator, who devoted full time to the
users.
project. The host agency indicated its com-
This study was requested by the Applied Re-
mitment by contributions of services and
search Branch of NIMH in order to obtain informa-
supplementary funds. The focus of the re-
tion which might be useful in improving-
search was aimed at a felt need which en-
1. the selection of projects for funding; and
joyed a shared interest from other people.
2. NIMH consultation with grantees.
Ipso facto, therefore, the product was readily
marketable. Potential consumers were in-
Method
volved and informed. They encouraged early
In order to gain insight regarding the process of
efforts at dissemination of findings, and were
applied research, the life cycle of a project was con-
ready to consider implications for utiliza-
ceived as being divided into six stages: idea, design,
tion.
funding, research, development and dissemination
(c) Throughout the life of the project there was
of findings, utilization.
ample evidence of adequate project structure
Principal investigators, administrators, and
(i.e., committees, liaison, linkage). There was
practitioner-utilizers were interviewed in a climate
leadership capability, with a consensus
of confidentiality and frankness in an effort to ob-
among those involved regarding priority of
tain the benefit of their unique perspectives re-
goals. Dissemination was planned for, and a
garding what happened during the life cycle of their
higher level of utilization was achieved. The
respective applied research projects.
communication component paid off again
and again: when severe problems were en-
Findings and Conclusions
countered by successful projects, their base
1. Characteristics of the Successful Project.
of involved supporters was sufficient to cope
with the problems.
(a) The successful project was characterized by
high communication awareness and involve-
2. Characteristics of the Less Successful Project.
ment with persons and groups within and
(a) While there was some interaction and in-
outside the immediate environment from its
ternal communication, there was little sus-
earliest moments. The project staff made
tained effort to open up the process to others.
SUMMARIES
189
Communication was sporadic and involve-
7. Contributions of staff time and other services
ment was limited to a small nucleus. The
by agencies should be thoroughly discussed with
problem to be investigated may well have
the parties who will be asked to provide the assis-
appealed to a constituency of interactors, but
tance.
involvement was not welcomed. In fact, there
8. A written agreement outlining reciprocal re-
was a pervasive and discernible quality of
sponsibilities in sufficient detail to assure that
insularity. Administrators and practitioners
there is a meeting of minds between the research
resented being excluded.
team and the agency should be developed before
(b) Characterized by calm during the idea, de-
the research begins.
sign, and funding stages (in contrast to the
9. The consultative services of funding organiza-
successful projects which were dynamic and
tions should (if available) be utilized prior to sub-
laden with conflict), these projects erupted
mitting applications for support.
soon after the research stage began. Prob-
10. Site visits by funding agency staff to poten-
lems developed suddenly and often were
tial grant recipients should occur wherever possi-
unanticipated. Coping efforts were hindered
ble, and should include some interaction with mid-
by the fact that part-time principal investi-
dle-level supervision and practitioners who will be
gators did not have the time to devote to res-
working with the research project.
olution efforts. Nor did they have an invested
11. Pilot projects or reconnaissance phases
group of supporters to help and share respon-
should take place before the major commitments of
sibility. Each problem reverberated through-
time and money are made. Ideally, this would allow
out the project, causing extensive shock.
sufficient time for evaluation of the initial results
Plans were delayed or abandoned en route.
and provide a realistic assessment of needs and po-
Despite the problems, there were successful
tential problems.
findings worth reporting, but there was in-
12. If problems develop during the conduct of
sufficient time for reports and little "push"
the research, every effort should be made to open
comparable to the encouragement received
two-way communication with the entire project
by successful projects.
staff and perhaps with added inputs from appro-
priate outside consultants, so that the project can
RECOMMENDATIONS
benefit from the suggestions and reactions of all
1. Applied research projects should energetically
who are legitimately concerned.
seek the reactions and contributions of potential
13. Principal investigators should devote full or
users, including both practitioners and administra-
at least a major portion of their time to the research
tors, from the idea stage through to the completion
so they can: (a) maintain an effective communica-
of the research.
tion network; (b) work to maintain linkage with the
2. Whenever feasible, formal boards or special
system; (c) have time available to work through
committees should be formed to serve as respon-
solutions to problems.
sible advisers to research projects.
14. Potential consumer groups should be in-
3. The original research questions, subsequent
formed concerning promising findings, through site
design and communication of progress or findings
visits, special institutes and reports which are
should incorporate issues that are of concern and
focused on the needs of service settings.
interest to the agency personnel who will be co-
15. Before the final research findings are re-
operating with or assisting the project.
ported, progress reports, discussion drafts, and
4. The principal investigator should have either
other means should be utilized to seek feedback
written the research proposal or be intimately
from a sample of potential users.
familiar with all of its various aspects.
16. Wherever the staff of an agency contributes
5. From the beginning, effort should be made to
to data collection of other research activities,
develop a network of communication with others
special efforts should be made to involve them in
who may be interested in or of help to the research
the study, and repay their investment by discuss-
in order to build widespread awareness and appro-
ing the research findings in person, as well as by
priate involvement.
issuing reports.
6. The process of seeking funds should be a rela-
17. Members of the several professional disci-
tively open and shared experience, in order to bene-
plines represented on the research team should be
fit from the suggestions of other people, and to in-
encouraged to publish and report to their col-
sure that the budget will be realistic.
leagues since this facilitates interpretation to a wide
190
PUTTING KNOWLEDGE TO USE
audience of potential consumers.
pert available through the life of the project, either
18. Workshops and institutes should be sched-
as a full-time staff member or a consultant, to plan
uled before journal publication, since this serves to
and implement the foregoing functions.
sharpen the focus of findings on implications for
practice.
22. A retrieval system should be developed by
19. Administrators and practitioners, as well as
funding agencies to recover and disseminate re-
researchers, should consider possible means for
search information which might not otherwise
utilizing valuable research findings long before the
reach potential users.
project terminates.
23. Each regional office of Federal funding
20. Sufficient time, money, and skill should be
agencies should be staffed with a person primarily
allocated to dissemination and utilization, rather
responsible for applied research, who will be in
than leaving it to chance or to meager funds left
close communication with the central office and
over as the project draws to a close.
can: consult with projects as a knowledgeable
21. Funding organizations should develop a staff
helper; keep abreast of relevant research in the
of consultants who can work with project personnel
given field (such as mental health services delivery)
with respect to dissemination and utilization mat-
throughout the country; share this information
ters long before the project ends and staff scatters.
with project personnel; stimulate dissemination
Projects with a large number of potential users
and utilization efforts; and in general serve as a
should have a dissemination and utilization ex-
knowledge utilization specialist.
101
RESEARCH UTILIZATION
Research-practitioner relationships
Research grant procedures
Inter-agency cooperation
SEMINAR REPORT
Glaser, E. M., and Wrenn, C. G. Putting research, experimental, and demonstration findings to use.
Washington, D.C.: Office of Manpower Policy, Evaluation and Research, U.S. Department of Labor,
1966.
Purpose
pants for comment and revision, and final report
This report seeks to pinpoint ways in which fund-
represents consensus derived from this editorial
ing agencies can contribute to closing the gap
collaboration.
between new knowledge and everyday practice.
Findings and Conclusions
Method
1. Stimulating Good Proposal Ideas.
Representatives of a number of governmental
(a) Rather than insist on a full-scale proposal,
agencies (and a few nongovernmental organiza-
solicit an early, informal letter describing
tions) met in a 2-day seminar in Washington. For-
essence of proposal. Hence potential re-
mat for the seminar had been determined by a
searcher can get initial response from fund-
planning committee conference involving 15 par-
ing agency without large investment.
ticipants. Seminar attendants selected topics on
(b) Offer a small subsidy for preparation of
which they wanted primary focus and discussed
detailed proposal; this might make it feasible
these topics extensively in small groups. Conclu-
for persons to think about needed R&D and
sions and recommendations emerging from those
E&D projects who could not otherwise invest
discussions constitute the content of the report.
the time.
Draft of the report was circulated among partici-
(c) Prepare subject matter reviews of the state of
SUMMARIES
191
the art to help disseminate already existing
(such as organized citizen pressure) for
knowledge and aid in guiding potential
change.
researchers to undertake quests that will fill
(c) Change will be accepted in direct proportion
significant gaps (that is, projects for which
to the extent to which potential users recog-
ultimate utilization will be more likely).
nize that their self-interest is advanced by
2. Improving the Grant or Contract Negotiation
the change.
Procedure to Achieve More Effective Utilization.
5. Translating Findings Into Action.
(a) Require that formal proposals include explicit
(a) Potential users should be identified at the
statements regarding plans for utilization
outset and should be invited to function as
(desired impact, target audience, strategies
consultants and coarchitects throughout the
for dissemination, etc.).
research and/or demonstration phase of the
(b) Clarify criteria for accepting proposals.*
project.
(c) Make clear the function of advisory panels
(b) Credible and competent evaluation of find-
and review committees.*
ings should precede intensive effort for wide
(d) Encourage the parallel exploration of alter-
utilization.
native design studies and/or pilot approaches
(c) More research is needed to determine what
to a complex problem.
kinds of projects have the best change of user
(e) Involve outside consultants on the problem
impact-and why.
of designing projects suitable for ultimate
(d) Among the strategies that promote the move-
utilization.
ment of findings into action are: availability
3. Improving the Interaction Between Funder
of well-written, credible reports; discrimina-
and Grantee or Contractor.
ting dissemination of reports; person-to-
(a) The grantor agency should be appropriately
person transmission of findings through
staffed so that it can maintain a close rela-
conferences, site visits, seminars, etc.; use
of human link (change agent) between
tionship with the grantee in order to increase
innovator and potential user; use of mobile
eventual utilization (site visits, technical
teams of resource persons and change con-
assistance, improved funding arrangements,
sultants to stimulate innovation; strength-
conferences or workshops of potential users,
ening credibility of initial demonstration
etc.).
through replication, reiteration, and reaffir-
(b) Requirements for reporting should be sup-
mation.
portive of ultimate goals of dissemination
and utilization.
6. Training of Washington E&D and R&D Pro-
4. Clarifying the Kinds of Actions That Might
gram Staffs-a range of skills are suggested as
requisite for program staff of funding agency if that
Result From E&D Project Findings.
staff is to work effectively with grantee staff to
(a) An E&D project might have as a legitimate
maximize dissemination and utilization. These
objective one or more of the following kinds
include subject matter knowledge, competence in
of changes: spread of a new technique to
social sciences and/or business administration,
other comparable settings; continuation of
understanding of research methodology, capacity
demonstration project on more permanent
to function as disseminator, ability to cope con-
basis; spinoff or acceptance by ongoing
structively with conflict.
agency other than original funder; spillover
7. Developing Better Interagency Coordination
in which demonstration acts as catalyst for
in Investigating Given Problem Areas-because
change rather than generates direct and
many funding agencies work in common or over-
explicit adoption.
lapping subject matter areas and because all share
(b) Among the effective strategies for getting
the objective of getting the best utilization payoff
change accepted in an institutional setting
for their research investment, the following coordi-
are: setting up a demonstration within the
nation strategies were advanced:
institution in the hope that exposure will win
(a) Establish interagency project review com-
converts; setting up the project in a new and
mittee.
thus competing institution, thereby exerting
(b) Establish joint priorities and consider need
"gadfly" pressure; invoking outside pressure
for replication of demonstrations.
*Only tangentially related to utilization.
(c) Establish data retrieval system.
PUTTING KNOWLEDGE TO USE
192
(d) Conduct subject matter conferences.
strengthen the interchange achieved during the
seminar: expanding the participating group for
As an extension of the recommendation for inter-
subsequent seminars, creating an annual confer-
agency coordination, the seminar suggested a num-
ence on utilization, interchange of utilization case
ber of follow-up steps which would preserve and
studies, etc.
102
RESEARCH UTILIZATION: SOCIAL
Utilization factors
CASE ANALYSIS
Glock, Charles Y. Applied social research: Some conditions affecting its utilization. In Case studies in
bringing behavioral science into use. Studies in the utilization of behavioral science, vol. 1. Stanford,
Calif.: Institute for Communication Research, Stanford University, 1961, pp. 1-19.
Purpose
fies variables which are inherently con-
trollable and where the client organization
To identify the conditions under which maxi-
has the necessary manipulative power to
mum utilization of social research occurs-more
exert that control.
specifically, to distill from the available evidence
2. The Role of the Client.
some of the principles that determine whether or
not applied social research, once commissioned and
Since all case material in this study is based on
executed, is used.
clients who commissioned the research projects, it
might be assumed that they were uniformly pre-
Method
disposed to utilize the findings. However, the fol-
lowing significant variables were identified:
The evidence is drawn from the experience of
the Bureau of Applied Social Research, Columbia
(a) Those organizations with a long record of
University (where the author has served as director)
research activity and with a research unit
and from case studies of other research organiza-
highly integrated into their operations were
tions known to the author. All case studies cited
most likely to apply the findings of social
research.
were situations in which the client (that is, the user
of the research findings) has specifically requested
(b) Applied research is most effectively used
that the research be carried out-in other words,
where the decision to use it is made at the top
these were problems in search of solutions.
policy-making level; where there is interested
and committed top management which en-
courages imaginative use of research through-
Findings and Conclusions
out the organization; and where the organi-
1. Nature of the Problem.
zation is flexible enough to modify its
procedures to accommodate the innovation.
(a) Research is most often commissioned to serve
one or more of three functions: to evaluate, to
3. The Role of the Research Organization.
diagnose, to prescribe. Social research is
(a) A favorable environment for maximal utili-
most suitable for answering evaluative ques-
zation is likely to exist where the interests of
tions; the client's motivation for commission
the research organization parallel those of
research is usually to get prescriptive aid. Ac-
the sponsor (this occurs most frequently
cordingly, the best research on an evaluative
when the research has a humanitarian con-
problem is likely to be less useful to a client
tent).
than relatively inadequate research on a pre-
(b) Certain ethical problems are sometimes rele-
scriptive problem.
vant to utilization: there may be a discrep-
(b) Research tends to be usable when it identi-
ancy between the client's image of the ulti-
SUMMARIES
193
mate utility of the research findings and their
objectives of the research, to establish a re-
actual potential utility; some compromise in
search design well suited to satisfying these
research standards may be called for to ac-
objectives, to monitor the research while it is
commodate to the client's administrative
in process, to identify the applied implica-
constraints; researchers are sometimes un-
tions of the findings, to settle administrative
der pressure to interpret findings beyond
and financial arrangements. (In point of fact,
what the data allow.
interaction rarely covers all these points.)
(c) The research organization's competence has
(c) The more frequent the interaction, the better
a direct bearing on the utility of the research
the outlook for utilization.
it produces. Independent research organiza-
5. The Research Process.
tions have a high degree of technical compe-
tence; on the other hand, research activity
(a) Studies that are directed at testing a set of
that is incorporated in the structure of the
clearly stated propositions are more likely to
client organization has the benefit of ac-
be used than those which are principally con-
cumulated experience in the specific subject
cerned with compiling information.
matter area. The latter arrangement is prob-
(b) A research study that is comprehensive (in-
ably conducive to maximal utilization.
corporates all variables) and that is carried
out with a high level of technical proficiency
4. Interaction between Client and Research Or-
has an enhanced prospect for utilization.
ganization.
(a) For optimum interaction (in terms not only
6. Conclusions.
of using the research, but also of formulating
(a) There is need for a middleman who is trained
it and conducting it), the client organization
in the method of research and the art of
should be represented by its policymaker
utilization.
and a qualified research technician; the re-
(b) Thre is need for wider circulation of relevant
search organization by its chief executive and
case studies.
the project director.
(c) There is need to know more about the applied
(b) Interaction should, ideally, serve these com-
functions that social research can and connot
municative functions: to clarify the practical
serve.
103
RESEARCH UTILIZATION:
REHABILITATION
Dissemination factors
Research utilization models
EMPIRICAL STUDY
Goldin, G. J., Margolin, K. N., and Stotsky, B. A. The utilization of rehabilitation research: Concepts,
principles, and research. Northeastern Studies in Vocational Rehabilitation, 1969, No. 6.
Purpose
Method
The purpose of this monograph is to report the
The principles and concepts discussed in the
ideas and findings of the New England Rehabilita-
monograph are based upon a brief review of rele-
tion Research Institute developed through efforts to
vant literature, the experiences of the authors, and
achieve utilization of its own research results in the
the research and observations of the New England
core area of motivation and dependency. The au-
Rehabilitation Research Institute.
thors also present their own systems model of the
The specific utilization research reported in the
utilization process.
monograph consisted of a readership survey on the
194
PUTTING KNOWLEDGE TO USE
use of two previously published monographs. The
(a) The information-education system-the
Institute mailed 1,000 questionnaires regarding
function of this system is the production and
each of the two monographs. The results are based
transmission of knowledge. Whether or not
on a 25.4-percent return of one or both question-
this system acts autonomously or in inter-
naires. The questions related to the respondents'
action with the other utilization subsystems
impressions of the monographs, their specific use of
depends upon the existence of a felt need for
them, and if and how the monographs stimulated
change in the area to which the particular
the readers' thinking.
knowledge developed through the research is
concerned. For optimum functioning of this
Findings and Conclusions
subsystem in the process of research utiliza-
1. The results of the readership study indicated
tion, researchers need to be instilled with a
that the major uses of the two publications were for
"utilization mindedness" so that they will
a background or literature survey, in preparing a
become concerned with building utilization
talk or paper, or as part of in-service training. The
potential into the research design at the out-
documents were least used for preparing a research
set of the research.
design or proposal, in clinical practice, in admin-
(b) The diffusion system-this system must
istrative planning, and in social or community
challenge existing norms and values of the
planning. The particular use made of the mono-
social system upon which it is acting at a
graph was directly related to the professional set-
given time.
ting of the reader. The authors observe that there is
(c) The change system-the change system dif-
a need for increased training and motivation in the
fers from the diffusion system in that it in-
utilization of research for professionals at the
volves the conscious and planned use of a
counseling agency level, especially in the area of
mediating force, which serves to mediate be-
clinical practice.
tween the agencies of the information-educa-
2. Of the readers who returned questionnaires,
tion system and the targets of change.
52 percent stated that they had read all of the first
(d) The action system-this system is concerned
monograph, while 35 percent had read the other
with the mobilization of broad-scale financial
document in its entirety. The authors suggest that
support for the promotion of utilization, and
increased practical use can be achieved in the uti-
involves the setting up of practical steps to
lization of such monographs if the implications of
be taken to spread the adoption of innova-
the research results are very clearly stated, with
tion and change.
some clinical applications spelled out and specific
4. Within the structure of the above subsystems,
programs for rehabilitation are suggested. Also,
research utilization occurs as a result of five con-
results might be more widely used if the implica-
tiguous phases: results dissemination, information
tions of the research were woven throughout the
reception, conceptual comprehension, psychosocial
monograph. Moreover, research publications must
acceptance, and internalized assimilation. Com-
compete with a wide variety of other documents for
plete utilization occurs only when individuals per-
the attention of potential readers; hence, con-
form in the innovated manner without much
sideration needs to be given to the development of
thought or consideration of the new procedure or
an attractive cover and format, and material should
idea.
be written in such a way so as to capture the
5. Dissemination of results needs to consider
reader's interest in the publication in the first few
both scope and selectivity, in order to encompass
pages.
the possibility of attracting the less likely users
3. The monograph treats research utilization as
and also beaming dissemination outputs to selected
a psychosocial process involving a dynamic inter-
individuals who are in the best positions to utilize
action of four major subsystems. The process
research. The authors suggest the possibility of de-
through which needs are satisfied and the problems
veloping techniques of aggressive dissemination.
become resolved can be seen as taking place
Using the concept of aggressive casework as a
through the occurrence of a sequence of acts that
model, the Institute has experimented with this
transpire as a part of a specific system. The effi-
approach and had encouraging results. The con-
ciency and the effectiveness with which the utiliza-
cept of aggressive dissemination involves not only
tion subsystems operate is determined largely by
the selection of a target audience of key individuals,
the level and quality of communication that can be
but also stimulating the motivation of these indi-
developed within and between these subsystems.
viduals to become receptors of the information.
SUMMARIES
195
6. Another key variable in research utilization is
(e) The advocacy principle should be employed
the clarity and attractiveness with which the re-
in the utilization of particularly important
search results are written. In promoting informa-
applications of research findings. For ex-
tion reception and conceptual comprehension the
ample, organizations such as the National
authors have developed a bilevel approach wherein
Rehabilitation Association could be instru-
they gear each of their reports to two target audi-
mental in advocating the adoption of certain
ences, thereby extending the potential readership.
innovations which research established as
7. Finally, utilization depends upon the extent
having important value.
to which psychological and sociological resistance
(f) A section outlining utilization plans could be
to change can be overcome. That is, the research
included in research proposals or grant ap-
results must be emotionally acceptable to the indi-
plications. While it might not be possible to
viduals responsible for implementation and so-
follow these plans closely following comple-
cially acceptable to the organization which they
tion of the research, at least guidelines for the
affect.
use of the particular research would be es-
8. The authors draw the broad conclusion that,
tablished.
"maximum utilization of rehabilitation research
(g) Rehabilitation Research Institutes, research
depends upon the development of a partnership be-
and training centers, as well as the research
tween the researcher and the practitioner and re-
departments of State rehabilitation agencies
habilitation administrator." For this to occur, an
and private rehabilitation agencies, could
internalized rehabilitation research utilization
work on the development of an active consul-
mindedness within the professional value system of
tation program in the utilization of rehabili-
the rehabilitation practitioner and administrator is
tation research.
needed.
(h) Since face-to-face psychosocial transactions
9. In order to establish this partnership of value
are an important factor in the dissemination,
systems, the authors offer the following recommen-
interpretation, and acceptance of research
dations:
results, the frequency of rehabilitation re-
(a) In order to inculcate an orientation to re-
search utilization conferences should be in-
search utilization the rehabilitation practi-
creased, not only on the national level but on
tioner should be expected to review and re-
the local level as well.
port on a specified number of (two or three)
(i) In research courses, both on the undergrad-
research studies that have applicability to
uate and graduate level, increased emphasis
his work. This would be considered as part of
should be placed on the writing of research
his job description and pointed out to him
reports with the goal of utilization in view.
when he is hired. In other words, an attempt
Thus, such factors as clarity, comprehension,
should be made to structure research utiliza-
and comprehensiveness would be stressed.
tion into the practitioner's professional role.
(b) A national research utilization committee
(j) Intelligent consumption of research results
should be created and composed of rehabili-
requires training and understanding. It is,
tation researchers, practitioners, and admin-
therefore, recommended that in-service
istrators in key positions to assist the Social
training be designed for rehabilitation prac-
and Rehabilitation Service research utiliza-
titioners that will focus upon the understand-
tion branch in an advisory capacity and to
ing and application of research results, par-
stimulate the utilization of rehabilitation
ticularly in the clinical area.
research.
(k) Finally, it is important to emphasize ser-
(c) Research utilization committees which are
ious consideration of the aggressive or out-
counterparts of the National Rehabilitation
reach concept in the selective dissemination
Research Committee should be organized at
of research results. There are key practition-
the agency level, particularly in the State
ers, administrators, and planners in the pro-
rehabilitation agency.
fessional rehabilitation community who
(d) The academic training of the rehabilitation
would consider the application of research
researcher should include material on the
results if these were placed before them but
principles of research utilization with em-
would not mobilize sufficient goal directed-
phasis on the psychosocial aspects of innova-
ness to actively seek out new ideas and the
tion and change.
results of research.
196
PUTTING KNOWLEDGE TO USE
104
CHANGE: TECHNOLOGICAL
Evaluative procedures
Value criteria
ANALYSIS
Green, Harold P. Technology assessment and democracy: Uneasy bedfellows. Business and Society Review,
1973, 5, 72-80.
Purpose
make management decisions with respect to tech-
nology.
To consider the need for technological assess-
A congressional proposal was made in 1968 ask-
ment in business and industry and its implications
ing for a technology assessment board in order to
for democracy.
strengthen the role of Congress in making judg-
ments among alternatives for putting science to
Method
work for human benefits. The author does not
The author presents a speculative analysis of
believe that technology assessment should become
issues relating to technological assessment, with
an institution for Congress.
special reference to a congressional proposal in 1968
4. As to the question of who should perform such
for a technological assessment board.
a technology assessment function, the author sug-
gests that it should be a free agency, not influenced
Findings and Conclusions
by special interest groups or by the executive
branch of government. Also, the assessors must
1. Technological assessment is an effort to
have sufficient prestige for the public to have con-
examine the benefits, costs, and risks of a tech-
fidence in their findings and judgments.
nology in a vigorous and intensive manner as a step
5. A number of issues related to the limitations
toward determining what, if any, governmental
of technology assessment are enumerated:
action may be necessary or desirable to direct the
development or use (or nondevelopment or nonuse)
(a) Can even the most sophisticated, carefully
of the technology along lines that will achieve an
constructed, and properly staffed and ad-
optimization of the benefit/cost ratio. The assessors
ministered technology assessment process be
must consider not only the immediate effects but
expected to produce an assessment which is
also the second, third, and Kth order effects. The
entitled to implementation?
effects must be quantified in terms of being desir-
(b) Even assuming that a technology assessment
able, undesirable, or uncertain.
is perfect, is it reasonable to expect, in terms
2. There is difficulty in specifying the results of
of political realities, that it will or can be
technological assessment. Some of the principal
implemented?
ways are as follows:
(c) Is it consistent with the political theories
underlying our form of government to expect
(a) a report by the assessors merely stating the
or assume that it should be implemented?
benefits, costs, and risks;
(d) How are risks and benefits to be evaluated?
(b) a report which actually balances the benefits
Risks and benefits are relative to the indi-
against the cost and risks, and states the net
viduals involved. Ultimately, the assessor
result;
will be identifying and quantifying risks and
(c) a report which discusses various alternative
benefits within his own value system or the
modes of governmental action and assesses
value system he believes prevails in the com-
each one; and
munity.
(d) a report which states what the assessors
(e) A benefit cannot be identified or measured
regard as the optimum government action,
in abstract isolation. It must be identified
or perhaps ranks the various alternatives
and measured in terms of its cost, and in
from the standpoint of the assessor's views.
terms of alternative benefits available at the
3. Industry and government always have per-
same cost. How can the full range of alterna-
formed a kind of technology assessment as they
tive benefits even be reflected in a tech-
SUMMARIES
197
nology assessment? This really is an aspect
tain effect has in fact become undesirable or
of overall national priorities and goals.
harmful.
Whether or how public funds will be spent or
6. Democracy means some errors. The concept
to what extent the government will regulate
of technology assessment was introduced by
a technology is a political question to be
Congressmen Daddario as a tool for improving the
resolved through political mechanisms.
quality of information available to Congress in
(f) Risks are not as obvious or as immediate as
dealing with scientific and technological issues.
benefits. When the technology is new, the
Today, some tend to view technology assessment
identification of potential risks is largely
as a means of insuring that "correct" policy deci-
speculative. For example, in 1910 or even
sions are made for science and technology. But in a
1940 no technological assessment would have
democratic legislature there is no single paramount
identified the risks involved in automobile
objective; rather, there is a set of goals, often mu-
exhaust fumes.
tually inconsistent. The priority attached to each
(g) Assessment, especially in the early stage,
goal varies from time to time, depending on the
likely will show an overweighting of benefits
vagaries of public opinion and of the political
and underweighting of risks, and the general
process.
impulse will be to go forward with develop-
7. If viewed as a nearly perfect means of evading
ment of technology. While it is very easy to
and obviating the imperfections of the political
start up a technology, it is very difficult to
process, technology assessment becomes a sham
make a political decision to turn it off once
which may actually promote detrimental tech-
vested interests have come into being. One of
nological applications. If its limits are recognized,
the inherent limitations of technology assess-
however, this approach can serve as a useful aid to
ment is that its rational processes may per-
congressional decision makers in their continuing
mit or cause harmful technologies to come
resolution of contending public pressures and
into existence because of the rational, but
interests. It is more important in a democracy that
politically erroneous, assumption that there
the public have the decisions it wants, rationally or
will be time to blow the whistle when rational
irrationally, right or wrong, than that "correct"
men learn that what initially was an uncer-
decisions be made.
RESEARCH UTILIZATION:
105
INDUSTRIAL
Knowledge dissemination
Barriers to utilization
EMPIRICAL STUDY
Greenberg, D.S. Civilian technology: NASA study finds little "spinoff." Science, 1967, 157, 1016-1018.
vocational-technical schools. The survey ad-
Purpose
dressed itself to the question as to whether these
To determine the extent to which firms in four
organizations were seeking to engage directly in the
industries and a number of vocational-technical
vast outpouring of science and technology that the
schools have been responsive to sources such as
federal government is underwriting.
the NASA Dissemination Program.
Findings and Conclusions
Method
1. Few, if any, of the organizations surveyed
Surveys were made of 62 firms in the electric
yielded an affirmative answer to the above ques-
battery, printing and reproduction, industrial con-
tion.
trols, and medical electronics industries and 11
2. The author concludes that little has been
198
PUTTING KNOWLEDGE TO USE
done to simplify the problem of increasing techni-
especially conventions and symposia. Highly spe-
cal awareness of nonspace or nonmilitary manufac-
cific subject-matter conferences were valued most.
turers. Instead, the technologist with a problem is
6. Since more than one-third of the respondents
inclined to fall back on the standard manuals and
had taken course work in the previous year, courses
textbooks with which he is already familiar.
were recommended for disseminating-whether
3. Government publications are not perceived as
directly by having industrial scientists or engi-
major channels for acquiring technological infor-
neers lecture, or by means of "problem-solving
mation. The variety and mass of these publications
courses that emphasized technology acquisition."
pose great screening and selection problems.
Internships for industrial employees in federal
4. Most organizations had one person who values
laboratories were also suggested.
the Official Gazette of the United States Patent
7. The author's position is expressed in the con-
Office, but most people expect to learn of govern-
clusion that "if the Federal government is con-
ment R&D through trade and professional chan-
cerned about the state of technology in specified
nels. The government centers are not easily used,
industries, it might as well recognize that there are
and SO not valued highly.
more direct routes to progress than through the
5. The preferred channels were found to be pro-
collection of droppings from military and space
fessional journals and face-to-face contacts,
programs."
106
RESEARCHER-PRACTITIONER
RELATIONSHIPS
Science and practice
Middleman role
ANALYSIS
Greenwood, Ernest. The practice of science and the science of practice. In W. G. Bennis, K. D. Benne, and
R. Chin (Eds.), The planning of change: Readings in the applied behavioral sciences. New York:
Holt, Rinehart & Winston, 1962, pp. 73-82.
Purpose
sists of laws describing and explaining nature;
The author contrasts science and practice and
practice theory consists of principles prescribing
outlines a science-practice relationship that may
ways of controlling nature." The aim of practice
prove useful in bridging the researcher-practitioner
is control. The control function of a practice is
bound to exert effects upon the patterns of think-
gap.
ing and behaving of the practitioner. The elements
Method
of practice are action, individual focus, artistry,
and intuition.
The ideas in this chapter of the book are based on
3. Greenwood points out the existence of hybrids;
the broad experience and observations of the
the applied-oriented scientist and the theory-
author.
oriented practitioner. These individuals are the
ones who can join forces in the middle group be-
Findings and Conclusions
tween science and practice to help achieve a flow of
information between the two.
1. The function of science is the description and
4. "If we are convinced of the potential benefits
explanation of nature in all its manifestations,
of the science-practice collaboration, then we must
while the function of practice is the achievement of
create the social structure with its built-in rewards
controlled changes in natural relationships by
to foster and promote it. We cannot rely on isolated
means of procedures that are scientifically based.
applied-oriented scientists and theory-oriented
2. Distinguishing scientific theory from practice
practitioners to collaborate on a voluntary, indi-
theory, Greenwood states: "Scientific theory con-
vidual, and informal basis."
SUMMARIES
199
ORGANIZATIONAL CHANGE
107
Change factors
REVIEW OF LITERATURE
Greiner, Larry E. Patterns of organization change. Harvard Business Review, 1967, 45, 119-130.
Purpose
ple are highly rational and best motivated by
authoritative decisions; by replacement of
This article, part of a larger study on organiza-
key persons, assuming that organization
tional development, deals with large-scale organi-
problems tend to reside in a few individuals,
zational change-its justification, the processes of
and that replacing these people will bring
problem recognition and problem solving, and
about sweeping and basic changes; and by
recommendations for future action. It attempts to
structure, assuming that people behave in
show how a "successful" change differs from an
close agreement with the structure and tech-
"unsuccessful" one.
nology governing them.
(b) The shared approach takes two forms: Group
Method
problem solving, in which problem definition
The author surveyed studies on organizational
as well as decision making is shared with
change, dividing them into three categories: Five
lower echelons; and group decision making,
reporting "successful" organizational changes; six
where problems still tend to be defined uni-
showing similar "success" patterns, but containing
laterally from above, but lower level groups
somewhat less complete information; seven which
are usually left free to develop and choose
reveal "less successful" change patterns. The con-
between solutions.
clusions expressed in this article are drawn from an
(c) The delegated approach also takes two forms;
examination of these 18 studies.
Case discussion, in which a group leader
helps define the problem, but leaves its
Findings and Conclusions
analysis and solution to individual group
members; and T-group sessions, usually con-
1. Recently more and more top managements
fined to top management with the hope that
have begun to realize that fragmented changes are
seldom effective in stemming the underlying tides
beneficial spillover will result for the rest of
the organization. The primary emphasis here
of stagnation and complacency that can subtly
is on increasing an individual's self-aware-
creep into a profitable and growing organization.
ness and sensitivity to group social processes.
2. Rigid and uncreative attitudes can be recog-
nized in managerial behavior that-
5. Successful change patterns generally: spread
(a) is oriented more to the past than to the
throughout the organization to include and affect
many people; produce positive changes in line and
future;
staff attitudes; prompt people to behave more ef-
(b) recognizes the obligations of ritual more than
the challenge of current problems; and,
fectively in solving problems and relating to others;
(c) owes allegiance more to department goals
result in improved organizational performance.
The less successful changes fall short on all these
than to overall company objectives.
dimensions.
3. A revolutionary attitude toward change may
6. Those organizations reporting successful
be necessary to bridge the gap between a dynamic
change show distinctly similar patterns in the evo-
environment and a stagnant organization.
lution of change.
4. Approaches to the introduction of change can
7. The most striking overall characteristic of the
be located along a power distribution continuum:
less successful studies is a lack of consistency-in
those which rely on unilateral authority, those
starting points, in sequence of steps, and in major
which rely on shared authority, and those in which
approaches to the introduction of change. The less
authority is delegated.
successful attempts used approaches which lie
(a) The use of unilateral authority appears in
closer to the extreme ends of the power distribu-
three forms: By decree, assuming that peo-
tion continuum, while the more successful projects
PUTTING KNOWLEDGE TO USE
200
tended to use shared authority.
(a) revision of egocentric notions that organiza-
8. The dynamics of successful organizational
tional change is heavily dependent on a mas-
change may be pictured as follows: pressure on top
ter blueprint designed and executed in one
management - arousal to take action - inter-
fell swoop;
vention at the top - reorientation to internal
(b) abandonment of the idea that organizational
problems - diagnosis of problem areas - recog-
change is for "those people downstairs," who
nition of specific problems - invention of new
are somehow perceived as less intelligent and
solutions - commitment to new courses of ac-
less productive than "those upstairs;"
tion - experimentation with new solutions -
(c) reduction of fond attachments for both uni-
search for results - reinforcement from positive
lateral and delegated approaches to change;
results - acceptance of new practice.
(d) awareness of the need for managers, consul-
9. In anticipating future change, four positive
tants, skeptics, and researchers to become
actions are called for-
less parochial in their viewpoints.
108
ORGANIZATIONAL CHANGE
Change factors
ANALYTICAL MODEL
Griffiths, Daniel E. Administrative theory and change in organizations. In M. B. Miles (Ed.), Innovation in
education. New York: Bureau of Publications, Teachers College, Columbia University, 1964,
pp. 425-436.
Purpose
2. The degree and duration of change is directly
The purpose of the paper is to state a theory of
proportional to the intensity of the stimulus from
administrative change which will account for some
the suprasystem.
of the commonly made observations concerning
change in organizations.
3. Change in an organization is more probable
if the successor to the chief administrator is from
Method
outside the organization than if he is from the
The model employed in the formulation of this
inside.
theory is the system theory. An open system is
related to and makes exchanges with its environ-
4. Living systems respond to continuously
ment-in contrast to a closed system, which does
increasing stress first by a lag in response, then by
neither. Open systems tend toward a steady state-
an overcompensatory response, and finally by cata-
that is, change is not characteristic of them. It is
strophic collapse of the system.
assumed that an organization is an open system,
5. The number of innovations is inversely pro-
comprised of human interactions, that maintains a
portional to the tenure of the chief administrator.
definite boundary. Administration is considered an
open subsystem and the environment a suprasys-
6. The more hierarchical the structure of an
tem. On the basis of the foregoing assumptions, the
organization, the less the possibility of change.
author sets forth a number of propositions (see
7. When change in an organization does occur, it
below).
will tend to occur from the top down, not from the
bottom up.
Findings and Conclusions
8. The more functional the dynamic interplay of
1. The major impetus for change in an organiza-
subsystems, the less the change in an organization
tion is from the outside.
(or the don't-rock-the-boat phenomenon).
SUMMARIES
201
109
PLANNED CHANGE: EDUCATION
Resistance to change
Innovation factors
CASE STUDY-ANALYSIS
Gross, N., Giacquinta, J. B., and Bernstein, M. Implementing organizational innovations: A sociological
analysis of planned educational change. New York: Basic Books, Inc., 1971.
Purpose
come. The authors argue that this explanation
ignores important considerations about:
To report the findings that emerged from an
intensive study of an educational innovation (the
(a) "obstacles to which members who are not
catalytic role model) introduced into an elemen-
resistant to change may be exposed when
tary school.
they make efforts to implement innovations;
The authors focused on: (1) isolating factors that
(b) the possible importance that management,
inhibit and facilitate the implementation phase of
as part of the role set of subordinates, may
planned organizational change, and (2) shedding
play in creating or overcoming these ob-
light on issues of central importance to both stu-
stacles; and
dents of organizational change and to individuals
(c) the possibility that members who are not
concerned with the practical problems of introduc-
initially resistant to an organizational change
ing and incorporating change into educational and
may later develop a negative orientation to
other kinds of organizations.
it."
3. Research procedures. This chapter describes
Method
the research methods used and the major methodo-
Review of the literature and analysis of case
logical problems encountered in carrying it out.
The authors first present the rationale for using the
study.
case study method, describe the circumstances
that led to the selection of the school that was the
Findings and Conclusions
locus of their investigation, and then report the
1. Introduction. According to the authors, the
procedures used to get approval for the study and
sociological and social psychological literature on
to gain entry into the school. They discuss the field
planned change places primary emphasis on the
worker's role and how he established rapport with
ability of a change agent to overcome the initial
the school faculty. Finally they describe various
resistance of organizational members to change.
data-collection techniques used during each of the
This explanation oversimplifies the problem of
three phases of field-work and how they dealt with
accounting for the success or failure of planned
the major methodological problems which arose
organizational change.
during each period.
2. The literature on planned organizational
4. The climate for educational change at Cam-
change. This chapter reviews and appraises studies
bire School in November, 1966. The authors pre-
and essays on planned organizational change with
sent evidence of "a very positive external and in-
special reference to the problem of implementing
ternal climate for change prior to the introduction
organizational innovations. Diffusion and adoption
of the innovation (the catalytic role model).' The
studies explain little of what transpires during an
school director, the staff, and the parents all
organizational innovation and implementation
seemed committed to the implementation of edu-
effort. The literature focuses on internal and ex-
cational innovations. The school was adequately
ternal organizational conditions existing prior to a
funded, and the teachers were well paid. The teach-
planned change effort but gives relatively little
ers had volunteered to teach at this experimental
attention to the period during which the implemen-
ghetto school, knowing that it existed to try out
tation effort occurs. Most of the literature assumes
new methods. They were thus not initially resis-
that members of an organization are initially resis-
tant to change.
tant to change but that this resistance can be over-
Initial research showed, however, that teacher
202
PUTTING KNOWLEDGE TO USE
performance in November, 1966 was basically tra-
its implementation.
ditional in nature. Despite new materials and pro-
7. Obstacles encountered by teachers: roots of
grams, standard subjects were being taught in
the difficulties. The authors give a brief history of
standard ways.
how the innovation was introduced and then ex-
5. The degree of implementation of the innova-
plain why each of the above-mentioned barriers to
tion. In adopting the "catalytic role model," teach-
implementation had occurred. Generalizing, they
ers were supposed to become less directive and
conclude that the director's strategy for intro-
more helpful to students, encouraging them to find
ducing change was deficient in that it failed to
their own interests and become self-motivated. In
(a) bring into the open the various types of diffi-
May of the following year, the teachers were still
culties that teachers were likely to encounter in
behaving, for the most part, in accord with the tra-
their implementation attempts, and (b) establish
ditional role model and were devoting very little
and use feedback mechanisms to uncover the bar-
time to trying to implement the innovation.
riers that arose during the period of attempted
The authors present evidence that when efforts
implementation.
were made to conform to the catalytic role model,
8. Conclusions and implications. The authors
the staff's performance was of low quality. They
discuss two theoretical implications of the work:
conclude that the degree of implementation of the
innovation in May was minimal.
(a) the possibility of the development of resis-
6. Barriers to the implementation of the innova-
tance after the introduction of an innovation,
and
tion: obstacles encountered by the teachers. In this
chapter, the authors examined the following major
(b) the role of management in the implementa-
tion of innovations.
question: what conditions could account for the
degree of implementation of the catalytic role
The authors next discuss the research implica-
model that they observed six months after it had
tions of this study:
been introduced? Five basic factors were involved
(a) the questionable assumption of initial resis-
in the "minimal implementation" of the innova-
tance to change;
tion:
(b) the need for replication studies;
(a) the teachers' lack of clarity about the innova-
(c) the need for "conditional inquiries," i.e.,
tion,
studies of the different kinds of obstacles to
(b) the teacher's lack of needed capabilities,
different kinds of innovations; and,
(c) the unavailability of required instructional
(d) the evaluation of innovations.
materials,
Finally, the authors present the practical impli-
(d) the incompatibility of organizational ar-
cations of this study:
rangements with the innovation, and
(e) the lack of sustained staff motivation.
(a) Implementation of educational change is a
complex process requiring carefully laid
Furthermore, the findings revealed that the first
plans;
four factors existed at the outset and persisted
(b) even carefully laid plans will not prevent ob-
throughout the period of attempted implementa-
stacles to implementation; and
tion. The fifth factor, lack of staff motivation,
(c) the role of management during implementa-
developed during the period between the announce-
tion is critical to the success or failure of the
ment of the innovation and the final assessment of
project.
SUMMARIES
203
110
CHANGE PROCESS: EDUCATION
Change research strategies
ANALYTICAL MODEL
Guba, Egon G. Methodological strategies for educational change. Paper presented to the Conference on
Strategies for Educational Change, Washington, D.C., November 1965. Summarized in SEC News-
letter of the Conference on Strategies for Educational Change, 1965, 1(4), 4.
Purpose
and Adoption-each has a particular objective.
Whether or not these objectives are met is judged
This paper is intended to identify the most effec-
by the application of certain criteria which are dif-
tive general strategy for inquiries in the area of
ferent for each stage. Each stage bears a particular
educational change, and to illustrate how it might
relation to the change process.
be employed. It argues that controlled experimen-
These facts provide the framework for a formula-
tation is not necessarily the best strategy for study-
tion of the change process.
ing this particular area.
4. The Field Study Approach Best Fits the
Method
Investigation of Educational Change Because:
(a) In the experimental approach the investi-
Based on an analysis of two general strategies
gator utilizes a few selected variables known
available to investigators who seek to inquire into
to have high relevance. Change research is
a given set of phenomena, the author constructs a
in its infancy. No generalized systems of vari-
conceptual paradigm for the change process, by
ables or theories have emerged. The experi-
which he justifies the use of one particular strategy
mental method is of questionable utility in
in investigating educational change. He then out-
an area where the general level of sophisti-
lines tactics which might be used in pursuing this
cation is low.
strategy.
(b) In the evaluation process the investigator
focuses on actualities, on a natural setting,
Findings and Conclusions
with a low level of control, and a great num-
1. The Two Possible Strategies for Inquiry Into
ber of variables. This process fits exactly the
Educational Change May Be Labeled "Experi-
conditions described for field study.
mental," and "Aexperimental" or "Field study."
5. Some Tactics Designed to Carry Out the
(a) In the experimental strategy the intent of the
Strategy Are the Following:
investigator is to inquire into possibilities,
(a) Field study must be conducted within an
and in the process he utilizes controlled vari-
explicit theoretical or logical framework.
ables which he has selected on an a priori
(b) Field study must be approached program-
basis.
matically because of its complexity and
(b) In the field study strategy the investigator
morality; i.e., outline the possible objectives,
wishes to inquire into actualities, to ask,
assume a logical framework or theory, and
"What does happen in the real world?" He
make a conscious choice of the particular
may be unsure of the variables that are rele-
objectives to be followed on the basis of
vant to his problem, and is not interested in
explicit criteria relating to the objectives.
studying them in any form except as they
(c) Data collection in field study is characterized
occur naturally.
by a unique relationship between the investi-
2. The Two Methods Do Not Produce Com-
gator and the field. Not dealing with con-
parable Data-each method complements the
trolled conditions, changes in the experi-
other. They differ in their setting, level of control
mental conditions are expected. The field
scope, number of variables, treatment conditions,
investigator attempts to capitalize on such
and context.
changes; he need not fear that they will
3. The Process of Educational Change Involves
destroy the careful balance of experimental
Four Stages: Research, Development, Diffusion,
controls.
204
PUTTING KNOWLEDGE TO USE
(d) Because of the probabilistic nature of field
tation need to be developed which are
data, and the impressionistic way that these
especially suited to the data produced by
are gathered, constant replication and recy-
field studies. Many of these special tech-
cling are necessary to build confidence in
niques may be deduced by analogy to similar
conclusions.
techniques in related areas.
(e) The fact that experimental control is not
(g) A most important tactic in planning field
possible or even necessarily desirable in field
studies is to lean more heavily upon logical
study does not mean that the investigator
inference than upon statistical inference.
is forced to use just any sample or situation.
(h) The investigator should take as much advan-
Purposeful selection is a powerful tool in
tage as possible of serendipities, or "natural
focusing upon variables of interest to the
breaks."
investigator.
(i) Pathologies can be analyzed to gain insight
(f) Special techniques of analysis and interpre-
into natural situations.
111
RESEARCH UTILIZATION:
EDUCATION
Diffusion measures
Researcher-practitioner gap
Evaluation types
ANALYTICAL MODEL
Guba, Egon G. Development, diffusion and evaluation. In T. L. Eidell and J. M. Kitchel (Eds.), Knowl-
edge production and utilization in educational administration. Eugene, Ore.: Center for the Advanced
Study of Educational Administration, University of Oregon, 1968, pp. 37-63.
Purpose
(a) Research-the objective of research activi-
There is a tremendous gap between knowledge
ties is the advancement of knowledge. It in-
production and knowledge utilization that cannot
volves depicting, relating, conceptualizing,
and testing.
be spanned either by the producer or by the utilizer
himself, or even by these two acting in concert, at
(b) Development-development is directed to-
least in the typical situation. New mechanisms and
ward identification of operating problems
and the formulation of solutions to those
agencies using special techniques are required to
perform this bridging gap or linking function. Guba
problems. It involves depiction, invention,
details the phases of the research-utilization con-
fabrication, and testing. Whereas the re-
tinuum, specifying the agency and mechanisms
searcher tests in order to verify or refute his
that might bridge the gap between knowledge pro-
hypotheses under strictly controlled condi-
duction and knowledge utilization.
tions, the developer is not concerned with
controls, but the workings of an innovation
in a real situation.
Method
(c) Diffusion-diffusion activities are aimed at
The author has based his analysis on his own
creating an awareness about new develop-
knowledge, experiences, and observations.
ments and providing opportunities for inno-
vation assessment along whatever dimension
Findings and Conclusions
practitioners may deem necessary. Diffusion
activities center around procedures or meth-
1. The theory-practice (research-utilization) con-
ods of bringing a proposed problem solution
tinuum contains four phases or processes: Re-
or invention to the individual who may ac-
search, development, diffusion, and adoption.
tually use it in practice. They involve telling,
SUMMARIES
205
showing, helping, involving, training, and in-
persuaded; as an economic entity who can be
tervening.
compensated or deprived; as a political en-
(d) Adoption-the basic objective of the adop-
tity who can be influenced; as an entity in a
tion process is the adaptation of a develop-
bureaucratic system who can be compelled;
ment to the local situation and the installa-
or as a professionally oriented entity who can
tion thereof. The adoption phase involves a
be obligated.
trial, installation (modification, training,
(b) The assumptions concerning the end state in
equipping and housing, and organizing), and
which one wishes to leave the practitioner.
institutionalization.
(c) The assumptions about the nature of the
2. Development is viewed as an activity with
agency or mechanism carrying out the dif-
which neither the researcher nor the practitioner is
fusion strategy-since the final implementa-
capable of coping. In education, the invention func-
tion of the strategy depends upon the agent,
tion is better managed than the other functions,
the strategy must be one appropriate to the
with fabrication and testing lagging far behind.
agent's circumstances.
3. Development agencies are encouraged to as-
sume the responsibility for all of the functions pre-
(d) The assumptions concerning the substance of
viously outlined.
the invention-how much change is required
4. In relation to diffusion, Guba advocates the
by the invention: Does it involve substitu-
use of diffusion strategies. Strategy is defined as
tion, alteration, perturbations and varia-
"an action plan which indicates which adoption
tions, restructuring, or value orientation
techniques should be used when and where and in
change?
what combination." The following elements should
4. According to Guba the purpose of evaluation
be considered during strategy development:
should be changed from judgment to decision-
(a) The assumptions concerning the nature of
making aid. This "new kind" of evaluation is
the practitioner who will be exposed to the
termed emergent evaluation. Borrowing from Stuf-
strategy-he suggests several ways of view-
flebeam he outlines four kinds of evaluation activi-
ing the practitioner: as a rational entity, who
ties: context evaluation, input evaluation, process
can be convinced; as an untrained entity who
evaluation, and product evaluation. He argues for a
does not know how to perform but who can be
more flexible, less controlled, more realistic scope
taught; as a psychological entity who can be
and more continuity in evaluation.
112
ORGANIZATIONAL CHANGE
Change agent
Organizational climate
CASE STUDY-ANALYSIS
Guest, R. Organizational change: The effect of successful leadership. Homewood, Ill.: The Dorsey Press,
Inc., and Richard D. Irwin, Inc., 1962.
Purpose
ing on Plant Y's organization; the periods of dis-
This is an empirical study of the process of
integration, of change, and of ultimate success; and
change, in attitudes and in the pattern of actions
the impact of the plant manager's role in this
and relationships, which, in the span of three years,
change process. The book contains a large number
measurably altered the performance of a large,
of performance indices.
complex industrial organization.
Findings and Conclusions
Method
1. During a three-year period the following oc-
The method is descriptive and analytical, focus-
curred in Plant Y:
206
PUTTING KNOWLEDGE TO USE
(a) Plant Y, under the former manager, had
(3) The number of levels in the hierarchy.
been in serious trouble. Not only was its per-
(4) The complexity of technical operations.
formance poor but expressions of bitter hos-
(5) The degree of intensity of personal in-
tility and discouragement were heard at all
security and of interpersonal hostility at
levels of the organization.
the outset of the change process.
(b) In time these expressions of hostility and dis-
(c) Observation No. 3: For a complex organiza-
couragement virtually disappeared, and the
tion to move from one pattern of behavior to
plant as a production organization appeared
another, it is not necessary that its formal
to function more efficiently, not only by its
structure be altered.
own standards but also when compared with
(d) Observation No. 4: The process of successful
six other similar plants.
change in a hierarchical organization will
(c) The change in attitudes and performance
start and continue to the extent that the
followed the introduction of a new manager.
members perceive the behavior of superiors,
2. The following conditions remained unchanged,
peers, and subordinates to be more in keep-
which indicated that it was the succession of a new
ing with the norms of behavior in the larger
leader which triggered the change:
culture.
(a) The incumbents of offices in direct line of
4. After a review of the theoretical literature on
authority above the plant level-division
the nature of authority in an organization, Guest
manager, group vice-president, operating ex-
makes the following observations about the Plant Y
ecutive vice-president, and corporation pres-
experience that are compatible with what had been
ident-remained the same.
said in the cited literature:
(b) The plant itself operated with substantially
the same supervisory personnel.
(a) The process by which an agent induces sub-
(c) The formal structure of organization (num-
ordinates to act in a desired manner varies
ber of levels, chain of command, span of con-
according to the type of organization being
trol, and departmental functions) remained
considered. In the present case, the organiza-
unchanged.
tion had the following characteristics:
(d) The plant continued to produce the same line
(1) It was created and maintained for the
of products under the same basic conditions
primary purpose of producing goods.
of layout and technology.
(2) It was a large, complex "secondary"
(e) Plant Y was subject to the same annual
group.
model changes and to external market con-
(3) It was part of a still larger organization.
ditions that other similar plants had to face.
(4) It had a pyramidal and hierarchical
structure with a single head at the top.
3. Guest formulated the following observations
from experiences of Plant Y:
(b) The head of the organization was able to in-
duce others to achieve the purposes for which
(a) Observation No. 1: When an organization is
the organization was established. The leader's
a subordinate unit to a larger organization,
and the subordinates' jobs were focused on
and when the patterns of internal relation-
the achievement of a goal, and this goal was
ships within the subordinate organization are
not established as a personal requirement
similar to those linking it to the larger,
of the head.
changes leading to more successful per-
(c) Achieving the goal requires an acknowledged
formance within the subordinate organiza-
interdependence between leader and sub-
tion will take place after there has been a
ordinates. The leader not only had to ac-
change in the pattern of relationships (inter-
knowledge this interdependence, but he had
actions and sentiments) linking the larger to
to act in a way which showed his dependence
the subordinate organization.
on the subordinate group (reciprocal inter-
(b) Observation No. 2: The length of time re-
action).
quired for an organization to improve its per-
(d) To achieve results, the leader had to inte-
formance results is a function of:
grate other needs of subordinates with the
(1) The size of the organization in terms of
requirements of top management. He did
the number of individuals.
this by making technical improvements
(2) The number of specialized services, re-
which smoothed out the work flow and re-
porting, and control groups.
duced interpersonal conflict.
SUMMARIES
207
(e) The leader's authority was exercised by his
mechanisms for himself and for others that
playing a dual role. He was the group's rep-
allow both to be continually enlarging their
resentative to higher management, and he
"span of cognition" (how each activity or
was higher management's representative to
speciality fits into the whole system of socio-
the plant. Neither role was subordinate to
technical relationships).
the other, and for any given administrative
(e) Group interaction-authority cannot be suc-
problem, his role as representative of the
cessfully exercised when those in command
subordinate group preceded his role as agent
positions rely solely on the one-to-one su-
of higher management.
perior-subordinate relationship. Many ad-
ministrative decisions must be generated
5. Guest listed the following as the kinds of con-
within and evolve from interactions which
ditions that appear to be present in the effective
take place in primary groups, even though
exercise of authority:
such "groups" are rarely provided for in the
(a) Leeway to act-the leader must be allowed to
formal structure of organization. When these
exercise his discretion.
groups function effectively, they become
(b) Time perspective-a successful leader will
something more than an additional mechan-
focus his activities on a longer time perspec-
ism of efficient communication. They serve a
tive rather than chiefly reacting in response
support and reinforcement function for the
to immediate emergencies.
individual and serve to counteract the feel-
(c) Horizontal work-flow interaction-in a com-
ings of alienation and anomie often charac-
plex hierarchical organization, in order for a
teristic of life in large bureaucratic organiza-
leader to induce others to work toward a com-
tions.
mon goal, he cannot rely on the vertical sys-
6. The author concluded with a plea that the
tem alone. For him to gain the cooperation of
technologist and behaviorist be brought together
subordinates, he must also be aware and
and share jointly in planning for an organization.
make use of the horizontal system of com-
An appendix reviews past research on (1) the
munications required by the work flow.
sources of tension and stress which tend to militate
(d) Enlarging the span of cognition of the leader
against goal achievement in groups and organiza-
and subordinates-for a leader to induce
tions, (2) the process of change, and (3) the role of
others to act requires that he establish
the primary agent in bringing about change.
KNOWLEDGE UTILIZATION:
113
SOCIAL SCIENCE
Knowledge conversion process
Middleman role
ANALYSIS AND SUGGESTIONS
Guetzkow, Harold. Conversion barriers in using the social sciences. Administrative Science Quarterly,
June 1959, 4, 68-81.
Purpose
Findings and Conclusions
The author poses some answers to the question,
1. The basic products of social science are tested
"What is involved in converting basic social science
theories. The process of utilizing these theories is
knowledge into a form suitable for application in
very different from the task of generating them.
practical affairs?"
General knowledge must be converted to a form
Method
useful for making predictions in concrete situa-
The ideas in this article are based on the broad
tions.
experience and observations of the author.
2. The conversion of general knowledge into a
PUTTING KNOWLEDGE TO USE
208
usable form can be viewed as consisting of a three-
3. Shared Responsibilities.
fold process: (1) re-identifying and measuring
(a) The social scientist is responsible for: (1) The
usable variables in concrete settings; (2) selecting
conceptualization of the variables and the
variables from alternative theories and composing
indication of routes for their operational
these variables into a relevant model; and (3)
measurement, and (2) the specification of the
determining the magnitude of important constants
way in which variables are related to one
in the selected system, SO that specific predictions
another.
may be made for each different situation.
(b) The practitioner must ascertain for different
(a) Re-identification and measurement of vari-
concrete situations the magnitude of the
ables-it is difficult to transfer laboratory
parameters, at the specific time when the
methodology to the field situation. In most
application is being made.
cases simplification of measuring devices is a
prerequisite for successful application.
4. Middlemen-using Schramm's model of utili-
(b) Model selection-there are three basic diffi-
zation,
culties likely to be encountered in choosing
Practitioner
appropriate theories for problem solution.
Scientist
Middleman
Ultimate User
Technician
(1) Social science is still in its early stages.
Its theories are often inadequate for
Guetzkow focuses on the possible functions of a
application to a particular situation;
middleman, who could transform basic knowledge
therefore alternatives may yield but a
from the various social sciences into usable forms.
half-fit, which makes choice among them
The author calls these middlemen social engineers.
difficult.
Their role would include:
(2) There is inadequate dissemination of
(a) The development of practical alternative
basic knowledge among practitioners and
measures, once a variable has been concep-
lay users. Often the applier merely asks
tualized and operationalized.
for "more knowledge" instead of inquir-
(b) The selection of appropriate theory from the
ing how a particular independent vari-
alternatives. (This function would require an
able or two will exercise their effects upon
individual who was broadly trained and given
a given, well-defined dependent variable.
adequate time for continuous updating of his
(3) The user of social science must imme-
knowledge across the disciplines.)
diately work with an interrelated system,
(c) The repeated analysis of initial conditions
rather than being able to quasi-isolate
and factor weightings each time the concreté
specific aspects of a situation. Most
situation changes.
research is done in parts and not related
to the other parts of the problem.
5. Failures in the workability of social science
Social science generalizations must be
knowledge may be traced to inadequate assessment
constructed with feedback systems
of initial conditions and incorrect estimates of the
incorporated as integral parts of the
weightings attached to particular factors in a given
model being used.
situation.
(c) Parametric determination-specification of
6. Problem situations often demand systems
initial conditions enables one to telescope the
which cross the traditional academic disciplines.
past and to provide data essential in making
There are distinct differences in the intellectual
predictions about the future. It is also neces-
tasks confronting the social scientist and the user
sary to ascertain the weightings of the vari-
of social science knowledge. Experts needed for
ables in an ongoing situation to make suc-
using knowledge are different from those needed
cessful applications of knowledge.
for its discovery.
SUMMARIES
209
114
ORGANIZATIONAL CHANGE
Change strategies
Change factors
REVIEW OF LITERATURE
Hage, J. and Aiken, M. Social change in complex organizations. New York: Random House, 1970.
Purpose
The following hypotheses deal with the func-
tional dimensions related to change:
This book discusses theory and surveys research
findings with regard to why some organizations are
(a) The higher the volume of production, the
more successful than others in making the neces-
lower the rate of program change. "Produc-
sary changes that attempt to resolve organizational
tion" refers to the relative emphasis on the
problems. The discussion is conducted within the
quantity or quality of the organization's
framework of sociology and deals with three clas-
products or services.
sical problems in the study of social change: the
(b) The greater the emphasis on efficiency, the
kinds of change, the causes of change, and the pat-
lower the rate of program change. "Effi-
tern of change.
ciency" means the reduction of the cost of
the product or service.
Method
(c) The higher the job satisfaction, the greater
the rate of program change. "Job satisfac-
The authors review the sociological literature on
tion" refers to the morale of organization
social change in organizations and present a general
members.
theoretical framework, consisting of organizational
factors related to program change. They also pre-
For each hypothesis the authors present a short
sent a number of case discussions to illustrate parts
theoretical discussion and review of research sup-
of their theory. This work does not report original
porting their hypothesis. Two case studies are
research but presents a theoretical basis for sub-
discussed: one of an organization low in program
sequent testing of the theory.
change; the other, high in program change.
2. Styles of Organizational Change: the prob-
Findings and Conclusions
lems of change of the system. Hage and Aiken
describe two ideal types of organizations. The kind
1. Program Change: the problem of change
of organization which changes little or slowly they
within the system-the authors theorize that pro-
call a "static style" organization. Organizations
gram change is related to seven dimensions of
which change faster are "dynamic style" organiza-
organizations, four of which are structural and
tions. This distinction corresponds to the distinc-
three, functional. The following hypotheses deal
tion between the "mechanical model" and the "or-
with the structural dimensions:
ganic model," commonly used in the sociology of
(a) The greater the complexity, the greater the
organizations. The authors attribute the different
rate of program change. "Complexity" refers
styles to the relative stability of the environments
to the level of knowledge and expertise in the
of the different kinds of organization; thus, a stable
organization.
environment tends to produce a static organiza-
(b) The higher the centralization, the lower the
tion; an unstable environment tends to produce a
rate of program change. "Centralization" is
dynamic organization. They present five case his-
the way in which power is distributed.
tories illustrating different organizational styles.
(c) The greater the formalization, the lower the
3. Stages and Strategies: the problem of the
rate of program change. "Formalization"
change process. The authors describe four stages of
refers to the degree of codification of jobs.
organizational change:
(d) The greater the stratification, the lower the
(a) Evaluation: a period of study and assessment
rate of program change. "Stratification" of
of the need for a new program.
an organization means the differential dis-
(b) Initiation: the management's decision to
tribution of rewards to the jobs.
implement a program.
210
PUTTING KNOWLEDGE TO USE
(c) Implementation: the actual installation of an
dealing with psychological variables and socio-
innovation.
logical variables other than the seven related to
(d) Routinization: the organization's attempt to
change. They review one study undertaken in a
stabilize the effects of the new program.
psychological perspective, and three approaches
In each stage the authors discuss various strate-
which other sociologists have taken: (a) the study
gies which may be used to overcome common prob-
of organizational goals, (b) the study of organiza-
lems. Finally they review other sociologists' ways
tional technology, and (c) the study of human rela-
of looking at the stages of organizational change.
tions in organizations. They conclude with brief
discussions of the history and future of organiza-
4. Limitations, Predictions, and Problems. In
tional sociology, making recommendations for
review, the authors discuss their reasons for not
future research.
115
RESEARCH UTILIZATION
Utilization strategies
Utilization deterrents
ANALYSIS & SUGGESTIONS
Halpert, Harold P. Communications as a basic tool in promoting utilization of research findings. Com-
munity Mental Health Journal, 1966, 2(3), 231-236.
Purpose
service programs. Another strategy is for a funding
The author's purpose in this paper is to identify
agency to analyze consumer needs before research
the barriers to the effective communication of
is undertaken, and attempt to interest researchers
research findings, and to suggest ways of overcom-
in filling those needs.
ing these barriers so that research will be utilized.
3. The barriers to communication identified by
the author and his related recommendations are as
Method
follows:
Dr. Harold Halpert is Chief, Systems Research
(a) Innovators frequently do not write up their
Section, Mental Health Services Development
findings, either because they simply do not
Branch, National Institute of Mental Health. The
care to do so or because financing is not avail-
paper is based on his general experience; no specific
able to cover the costs of writing. Publication
experiments, case studies, or surveys are cited.
and write-up charges should be accepted as
an integral part of R&D costs.
Findings and Conclusions
(b) Potential utilizers face data retrieval prob-
lems: they are flooded with information
1. Merely imparting or transmitting the results
which is neither adequately indexed nor clear
of research is usually insufficient to achieve utili-
in terms of practical implications. And-
zation. If an objective for the communication of
doers often are not readers.
research results is to get people who plan and con-
(1) Efforts should be made to prepare ab-
duct service programs to put into practice those
stracts and review papers aimed at par-
principles and methods which incorporate the new
ticular audiences and focused on partic-
knowledge, then the people with whom we wish to
ular problems such as aging, delinquency,
communicate need to be specified.
and alcoholism, with guidelines for appli-
2. When the potential "consumers" of a given
cation of new techniques. In this way,
piece of research have been identified, one strategy
new information is sifted, summarized,
to insure greater utilization is to review and analyze
and presented in a manner that maxi-
completed research in terms of its applicability to
mizes its utility and attractiveness.
SUMMARIES
211
(2) Interdisciplinary conferences should be
by giving practitioners research training,
held, dealing with specific themes. Ade-
and by giving researchers experience in
quate and readable reports of such con-
research utilization.
ferences should be prepared and dissemi-
(2) High-status practitioners should be
nated.
made the main targets for the initial
(3) Financing should be made available for
communication of innovation, in the
visits by operating personnel (potential
hope they will serve as models to their
users) to similar programs that have
colleagues. In general, it is helpful to
made innovations. Such visits should
develop people who can serve as links
emphasize critical evaluation of the
between researchers and practitioners.
innovations as well as provide opportunity
(d) Practitioners are frequently wedded to old
to get acquainted with the principal ex-
techniques that proved valuable in the past-
perimenters in the new types of programs.
and are reluctant to change.
(1) New techniques should be presented as
(4) In-shop consultants should be employed
contributing more effectively to the
to provide regular advice on innovations
achievement of established organiza-
and their application, and to serve as
tional goals, and as being improvements
intermediaries between researchers and
and refinements of older techniques,
practitioners.
rather than as being totally unrelated to
(c) Practitioners frequently perceive the re-
the organization's past experience. Re-
researcher as being SO divorced from practice
search utilization is facilitated if prac-
that his research findings are unlikely to
titioners can become directly involved in
have practical value, especially for program
trying out new procedures.
implementation.
(2) Communication regarding a new pro-
(1) Communications barriers resulting from
cedure or innovation should be repeated
overspecialization of roles can be reduced
many times.
RESEARCHER-PRACTITIONER
116
COLLABORATION
Linkage measures
Evaluation procedures
ANALYSIS AND SUGGESTIONS
Halpert, H. P. Research utilization: A problem in goal setting-what is the question? Paper presented at
the meeting of the American Public Health Association, Atlantic City, November 1972.
Purpose
Method
The author is chief of the systems research sec-
This paper encourages mental health admin-
tion at the National Institute of Mental Health.
istrators and researchers to think carefully about
the questions they are asking before looking to re-
His opinions presumably are based both on read-
search for the answers. Much time, money, and
ings in the mental health field and on his profes-
sional contacts with researchers and administrators.
effort are expended on research related to mental
health programs. But even exciting and relevant
Findings and Conclusions
findings are often inadequately utilized. The au-
thor examines communication gaps between the
Halpert emphasizes one point: that researchers
researcher and the administrator in mental health.
and administrators should get together and think
212
PUTTING KNOWLEDGE TO USE
hard about the questions that need to be answered
according to clearly specified goals and objectives,
by research before the former conduct studies and
with built-in criterion measures for evaluation and
the latter try to use resultant findings. Research
mechanisms for instituting change when the pro-
workers often focus on answerable questions which
gram begins to go off course. At both intra-agency
are not relevant to the critical issues which con-
and inter-agency levels, according to Halpert, in-
front program administrators. Program people are
sufficient attention is given to achieving broad con-
dazzled by the hardware of research and tend not to
sensus on clearly stated goals. Only after this is
specify their real information needs.
done should either research or action proceed.
Most programs do not-but should-operate
117
CHANGE DETERRENTS
Change agent
ANALYSIS
Halpin, Andrew W. Problems in the use of communications media in the dissemination and implementa-
tion of educational research. In K. Goldhammer and S. Elam (Eds.), Dissemination and implementa-
tion: Third annual Phi Delta Kappa symposium on educational research. Bloomington, Ind.: Phi
Delta Kappa, 1962, pp. 171-200.
Purpose
equivocal support from our society; and (b) public
education is virtually a monopoly in most Amer-
The position of this author is that "We suffer less
ican communities.
from a dearth of findings than from a lack of suf-
2. The "need affiliation" of most teachers and
ficient guts to act upon those findings we do
school administrators acts as a barrier to change.
possess. There is a schism between knowledge and
Need affiliation produces a desire for sameness or
action. Halpin outlines some of the problems he
equality among the practitioners. They are unwill-
sees in getting information and change to the edu-
ing to be different for fear it will affect their status
cational practitioner.
within their peer group.
3. Halpin offers some objections to the idea of
Method
the educational change agent. He contends that the
The ideas in this paper are based on the broad
notion of the change agent is based on the fallacy
that research needs to be translated into another
experience and observations of the author.
language. Perhaps the scientists are at fault for
Findings and Conclusions
abusive use of jargon. He points out the practical
problem of obtaining individuals who can serve
1. The difficulty in promoting change comes
competently in this position, particularly since
from: (a) the fact that the objectives of education
most institutions will not pay a top-level salary or
are unclear and that their avowed purposes, even to
offer a top-level position to an educational change
such extent that they are clear, fail to receive un-
agent.
SUMMARIES
213
118
INNOVATION: HIGHER EDUCATION
Cross-cultural change
Change agent
ANALYSIS AND SUGGESTIONS
Harrison, R. and Hopkins, R. The design of cross-cultural training: An alternative to the university model.
In W. G. Bennis, K. D. Benne, and R. Chin (Eds.), The planning of change (2nd ed.). New York, Holt,
Rinehart & Winston, 1969, pp. 373-395.
Purpose
the traditional college and university classroom in
terms of the sources of information employed, the
The paper presents a detailed analysis of the
learning settings, the problem-solving approaches
inadequacies of American higher education with
used, the role of emotions and values, and the
regard to the preparation of change agents in cross-
criteria of successful learning.
cultural situations. A more suitable alternate
model is described.
4. The design principles for cross-cultural train-
ing, in contrast to those of the university class-
Method
room, stress the following purposes.
The method is one of analysis and speculation
(a) To develop in the student more indepen-
based principally upon the experience of Peace
dence of external sources of decision, infor-
Corps workers.
mation, problem definition, and motivation.
(b) To develop in the student the "emotional
Findings and Conclusions
muscle" he needs to deal constructively with
the strong feelings that are created by con-
1. Conventional American higher education is
flict and confrontation of values and atti-
not suited for training to be applied in situations
tudes.
requiring the ability to adapt to or act in unfamiliar
(c) To enable him to make choices and commit-
and ambiguous social situations, including all types
ments to action in situations of stress and
of community development or community action at
uncertainty.
home or abroad.
(d) To encourage him to use his own and others'
2. Differences between conventional university
feelings, attitudes, and values as information
education goals and those of overseas education are
in defining and solving human problems.
presented as they relate to communication, deci-
sion making, commitment, ideals and problem
These purposes have implications for the place
solving.
in higher education of problem solving, immediate
3. Appropriate "meta-goals" (approaches to
data orientation, value orientation, experience-
learning and personal development that the learner
action orientation, the use of authority, and the use
acquires in the process of being educated) for
of expertise. Training settings and staff prepara-
cross-cultural training are contrasted with those of
tion for this type of education are discussed.
214
PUTTING KNOWLEDGE TO USE
119
KNOWLEDGE DISSEMINATION
Research-practitioner gap
Knowledge linkage institutions
ANALYSIS
Havelock, Ronald G. Dissemination and translation roles. In T. L. Eidell and J. M. Kitchel (Eds.), Knowl
edge production and utilization in educational administration. Eugene, Ore.: Center for the Advanced
Study of Educational Administration, University of Oregon, 1968, pp. 64-119.
Purpose
tional base: university, government, com-
The purpose of this paper is to analyze the roles,
mercial, practice, and independent. (An
institutional arrangements, and problems involved
example of the latter is the informal role of
opinion leader.)
in the process of linking research knowledge to
potential users-of bridging the "knowledge gap"
4. In the client system there are two principal
between research and practice.
institutional patterns:
(a) The profession-a high-status group of inde-
Method
pendent operators bound together in a
The author has drawn on his own knowledge and
reference group with tough membership pre-
on the available literature on research dissemina-
requisites (e.g., law, medicine). Professionals
tion to prepare this comprehensive overview and
in private practice are not linked to the re-
guide to effective use of linking roles.
source system to any extent. They are dis-
persed throughout the community, having a
Findings and Conclusions
great variety of contacts, but they are not
primarily oriented to sharing knowledge with
1. A great variety of roles are linking roles in one
colleagues or to building knowledge as such.
way or another. The linker may play several linking
They are primarily oriented to providing
roles in sequence, and sometimes he will not per-
service.
form a linking role at all. Eight major types can be
(b) Bureaucracies-characterized by division of
identified: conveyor, consultant, leader, innovator,
labor, leadership, and interdependence.
defender, knowledge-builder, practitioner, and
These three attributes should, in theory,
user.
facilitate linkage. If leadership is effective,
2. All the important functions which are needed
and communication lines open and efficient,
to establish and maintain linkage between knowl-
the specialized nature of bureaucratic roles
edge sources and resources on the one hand, and
make them promising targets for the linker.
users, consumers, and clients on the other, should
be seen as forming an interlocking chain.
5. There are major limitations on independent
3. The resource system includes the scholar, the
linkers: They cannot serve on a full-time basis; their
basic researcher, the expert, the producer and
efforts are likely to be sporadic and their influence
packager, and applied R&D. The consultant and
haphazard; they cannot be relied upon to provide
conveyor link this system to the client system,
training, special skills, and equipment and supplies
which includes the defender, the innovator, the
which may be necessary accompaniments to inno-
vation.
leader, and the user.
(a) The primary institutional form in which the
6. Linking institutions can be divided into per-
resource system is realized is the university.
manent and temporary organizational units.
There are two legitimate ways for academic
(a) Permanent units include centers, institu-
faculty members to dispense knowledge:
tions, laboratories, companies, and associa-
through the courses taught in the academic
tions.
curriculum, and through publications and
(b) Temporary units include projects, programs,
papers addressed primarily to colleagues.
committees, courses, conferences, and con-
(b) Linkers have five primary types of institu-
ventions.
SUMMARIES
215
7. Permanent linking institutions provide three
a part of that world, and he gives to the practice
important possibilities for linkers: security, iden-
world while not being clearly a part of that world
tity, and coordination. Possible disadvantages are
either.
isolation, self-satisfaction, and rigidity. It is largely
10. There are four things that have to be done to
through a suborganization into temporary systems
build a functioning system of knowledge linkers—
that linking institutions avoid these pitfalls.
8. The linker's activities can be grouped into
(a) build an institution which includes and sup-
three kinds of processes: getting information
ports the required roles (installation);
(input), processing information (throughput), and
(b) recruit candidates to serve in these roles
distributing information (output). There is the
(recruitment);
danger of overload at each stage.
(c) train recruits to fill the roles (training); and
9. "Marginality" can be a problem-the linker
(d) supply the equipment necessary to do a good
takes from the research world but he is not clearly
job (equipping).
RESEARCH UTILIZATION
120
Knowledge dissemination
Change agent
Change via temporary systems
ANALYTICAL MODEL
Havelock, Ronald G. New developments in translating theory and research into practice. Paper presented
at the 96th annual meeting of the American Public Health Association, Detroit, Mich., November 1968.
Purpose
3. An important premise is that a social system
has to exist before a technical system can be intro-
This article reviews the current use of a total
duced.
systems approach to knowledge flow, isolates some
essential features of this approach, and attempts to
4. Two broad categories of social innovation on
point out its peculiar advantages as a process of
which some development has been taking place are
bringing the gap between research and practice.
"temporary systems for collaboration" and "spe-
cialized knowledge-linking change-agent roles."
Method
5. Essential features of the temporary systems
The author utilizes the current literature con-
for collaboration are these:
cerning the utilization of research results in this
survey of the feasibility of a total systems ap-
(a) There needs to be joint goal setting by prac-
proach.
titioner and research representatives.
(b) There needs to be serious work done on the
diagnostic level.
Findings and Conclusions
(c) There needs to be systematic retrieval of re-
1. The total systems approach promotes effec-
sources relevant to the diagnosis.
tive and meaningful applications of scientific
(d) There needs to be continuous analysis and
knowledge by creating a social system which will
feedback on the human relations of the col-
link research to practice in an interdependent re-
laborative processes as they emerge.
lationship.
(e) There needs to be self-conscious documen-
2. Present information systems are primarily
tation and evaluation of the meetings, to
supplements to the scientist's own information-
maintain the structural integrity of the sys-
gathering processes, having little relevance or value
tem and to provide feedback to the research-
to the practitioner.
ers and practitioners who participated.
216
PUTTING KNOWLEDGE TO USE
6. One of the major tasks of the change agent is
manuals which are specifically addressed to the
to plan and initiate collaborative temporary sys-
change process itself, to aid change agents in the
tems, and to build from these the more permanent
field.
connections between researchers and practitioners
8. There is a great need for systematic experi-
which are necessary to make a field function as a
mentation and development to improve the linkage
total system.
of research and practice.
7. There is a need for handbooks and reference
121
KNOWLEDGE DISSEMINATION
Dissemination factors
Dissemination/utilization models
Knowledge linkage roles
Communication media
ANALYTICAL MODEL
Havelock, Ronald G. Planning for innovation through dissemination and utilization of knowledge. Ann
Arbor, Mich.: Center for Research on Utilization of Scientific Knowledge, Institute for Social Re-
search, University of Michigan, 1969. (Final report, contract No. OEC-3-7-070028-2143, Office of Ed-
ucation, Department of Health, Education, and Welfare.)
Purpose
less enduring and accordingly more subject to
change (sense of threat, tendency of individuals to
To assess the current state of knowledge with
compare selves with others, fear, self-fulfilling pro-
respect to the process of dissemination and utiliza-
phecies concerning expectations, ability to process
tion (D & U) and to derive implications for the
information, motivation, and capacity for attitude
guidance of researchers, practitioners, and policy-
change). When threat, fear, and potentially con-
makers.
flicting values are aroused-that is, are relevant to
the situation-resistance is enhanced. Lack of
Method
arousal may lead to a more rational evaluation of
The essential formula that guides the analysis
the alternative actions presented by the new
in this study is: Who says what to whom by what
knowledge.
2. Within the organizational context:
channel to what effect and for what purpose? This
encompasses the research (resource system), the
(a) The factors that inhibit input of new knowl-
practitioner (user system), the "message" (data,
edge are: need for stability, the organiza-
theory, method, services, and product), the media,
tion's shared way of ordering things, internal
and some evaluation of the extent and impact of
social cohesion, fear of malevolence of out-
utilization.
siders, fear of personal threat to particular
The study was carried out by an extensive lit-
insiders, local pride, organizational status,
erature review (approximately 4,000 items) and the
overall economic conditions of the organiza-
formulation of models for categorization and inte-
tion, training and socialization process for
gration of such literature.
new members (that is, training which stresses
not rocking the boat), size of organization as
Findings and Conclusions
a whole (generally speaking, larger organiza-
tions are more innovative).
1. Within the individual, factors relating to D &
(b) The factors which facilitate input are: the
U can be classified as enduring characteristics
reward value of the new knowledge itself, a
(competence, authoritarianism, open/closed-mind-
change in organizational leadership, percep-
edness, values, needs, past experience) and those
tion of crisis, specialized "input" training,
SUMMARIES
217
the importation of new staff members who
originator but also the first person in a social
already have new ideas, the installation of
system to take up new ideas) initiates dif-
specialized knowledge-seeking and innovat-
fusion in the user system.
ing subunits (such as R & D laboratories).
(f) Defender: sensitizes the user to the pitfalls of
(c) Factors inhibiting output: need for stability,
innovation, mobilizes public opinion, public
inertia, complacency, perceived vulnera-
sensitivity, and public demand for adequate
bility, inadequate or overlimited organiza-
applications of scientific knowledge. (NOTE-
tion goal definition, perceived lack of readi-
while most linkers are assumed to be facilita-
ness of client, professed danger to client.
tors, the defenders supply warranted inhibi-
(d) Factors facilitating output: free and open
tions.)
competition, crisis, affluence, internal open-
(g) Knowledge builders as linkers: (includes
ness, organizational values which support
basic scientist, scholar, applied researcher,
quality output, and specialized output roles
R&D manager, and engineer) serves as gate-
and subsystems.
keeper for the knowledge storehouse, defines
(e) Factors which inhibit throughput (that is,
goals of knowledge storehouse, defines goals
flow of knowledge within organization, both
of knowledge utilization, maintains dual
vertically and horizontally): division of labor
orientation of scientific soundness and use-
and subgrouping of membership, specifica-
fulness.
tion and separation of specialized task roles,
(h) Practitioner as linker: makes available to
formation of an organizational hierarchy, in-
clients those practices and services which in-
novation-suppressive reward patterns and
corporate the latest scientific knowledge.
training, traditional bureaucratic patterns of
(i) User as linker: takes initiative on own behalf
leadership.
to seek out scientific knowledge and derive
(f) Suggested strategies for facilitating through-
useful learnings therefrom.
put of new knowledge: develop a newer style
(NOTE-this study, at various points, established
of leadership which includes a mix of tech-
two classes of users of new knowledge-the practi-
nical, organization, and human relations
tioner and the consumer-that is, the mental
skills, conduct organization development
health practitioner and the patient or the educa-
training programs, develop shared percep-
tor and the pupil.)
tions and superordinate goals with which all
4. The relative utility of categories of media are
subunits can identify, increase genuine par-
suggested:
ticipation and influence-sharing up and
down the hierarchy, build overlapping sub-
(a) One-way transmission media serve to inform
units with multiple-shared memberships,
mass audiences and to catalyze further in-
provide for periodic job rotation, create spe-
formation-seeking within the user system.
cialists in the linking process, restructure to
(For innovation-prone users, one-way media
optimize the knowledge flow function.
may be sufficient for evaluation, trial, and
adoption.)
3. The following typology of knowledge-linking
(b) One-way feedback on the impact of the trans-
roles is formulated:
mitted information should be a very valuable
input to researchers and disseminators but is
(a) Conveyor: transfers knowledge from produ-
very seldom elicited by most resource sys-
cers (scientists, experts, scholars, developers,
tems.
researchers, and manufacturers) to users
(c) Two-way transmission is imperative for the
(clients and consumers).
adoption of innovation requiring alterations
(b) Consultant: assists users in identification of
in attitude or behavior because it is condu-
problems and resources, provides linkage to
cive to increased involvement on the part of
appropriate resources, assists in adaptation
the user and exposes him to the pressures of
to use, serves as facilitator, objective ob-
group commitment.
server, process analyzer.
(c) Trainer: instills in the user an understand-
5. Three D&U models are identified:
ing of an entire area of knowledge or practice.
(a) The research, development, and diffusion
(d) Leader: effects linkage through power or in-
model (RD&D)-
fluence in one's own group.
(1) assumes that there is a relatively passive
(e) Innovator: (this includes not only the actual
target audience of consumers which will
218
PUTTING KNOWLEDGE TO USE
accept the innovation if it is delivered
stressed.)
through the right media, in the right
(5) self-initiated change appears to have the
way, at the right time.
firmest motivation basis and the best
(2) calls for a rational sequence of activities
prospects for long-term maintenance.
from research to development to packag-
(d) The investigators stress the advisability of
ing before dissemination takes place.
unifying and integrating the foregoing three
(3) assumes large-scale planning.
models through proper linkers.
(4) requires a division of labor and a separa-
(e) Certain specific functions of government with
tion of roles and functions.
respect to knowledge utilization are sug-
(5) is subjected to continuing scientific eval-
gested: monitor the total system, facilitate
uation.
linkage where barriers exist, add components
(6) bears a high initial development cost and
where there are significant gaps, discourage
anticipates a high payoff in terms of
the growth of divisive and maladaptive sub-
quality, quantity, long-term benefit, and
systems.
capacity to reach mass audience.
6. The investigators cite seven factors which ac-
(b) Social interaction model (S-I)-
count for most D&U phenomena, as follows:
(1) is sensitive to the social relations net-
(a) Linkage-there must be reciprocal and col-
work-to the fact that a complex and in-
laborative relationships between resource
tricate set of human substructures and
system and user system. Within the user sys-
processes must be operative before dif-
tem, innovators must be linked to opinion
fusion will succeed.
leaders who in turn must be linked to follow-
(2) has a sophisticated awareness of the va-
ers. The content of the innovation must be
riety of positions a user can hold in the
linked to the user-that is, it must be rele-
network (opinion leader, innovator, lag-
vant. Media should be compatible to both
gard, early majority, etc.).
sender and receiver in terms of experience
(3) stresses the importance of face-to-face
and style.
contact.
(b) Structure-resource system must have mean-
(4) recognizes that people tend to adopt and
ingful division of labor and coordination of
maintain attitudes and behaviors which
effort, must have coherent view of client sys-
they perceive as normative for their
tem, and must plan its D&U activities in
psychological reference group.
structured sequence. User system must be
(5) assumes that the size of the adopting unit
organized to receive input, must have ade-
is essentially irrelevant (that is, findings
from one setting can be applied to the
quate internalized problem-solving strategy,
The new knowledge must be coherent in form
analysis of another setting, regardless of
and substance, and be coherently trans-
size and other differentiating character-
mitted.
istics).
(c) Openness-the resource system must have a
(6) adheres to the following phase model of
willingness to help and a willingness to listen
the adoption process: awareness, interest,
and to be influenced by user needs and as-
evaluation, trial, adoption-with appro-
priate influencing strategies used at each
pirations. The user system must actively
reach out for new ideas, new products, new
stage.
ways of doing things; it must be willing to
(c) Problem-solving model (P-S)-
take risks and adapt innovations to its spe-
(1) the user's needs are the starting point for
cial situation. New knowledge must be open
the research, rather than the destination.
and accessible to inspection and evaluation
(2) diagnosis is a precursor to the quest for
by user. Diffusion strategies must be flexible.
solutions-that is, you not only identify
(d) Capacity-for both resource and user sys-
the problem but pinpoint its underlying
tems, capacity is measured in terms of
cause.
wealth, power, status, education, intelligence,
(3) the outside helper is essentially non-
and sophistication, which have been demon-
directive; the user is guided as he does
strated to be good predictors of successful in-
his own problem solving.
novations and utilization. For the user, it
(4) utilization of internal resources (home-
also means self-confidence plus the resources
grown and home-stored knowledge is
to call upon outside help.
SUMMARIES
219
(e) Reward-the resource system receives posi-
utilization. This final factor, then, means
tive reinforcement through profits if it has a
programmed and purposeful redundancy: a
commercial orientation; if its orientation is
variety of messages must be generated per-
basic research, the rewards come from recog-
taining to the same piece of information and
nition by colleagues, satisfaction from cre-
these messages must be directed at the po-
ating something that works, feedback from
tential user on a number of different chan-
satisfied clients. The user system is rewarded
nels in a number of different formats, all co-
if the benefits derived from the innovation
ordinated to the one goal of adoption of inno-
warrant the investment of time, money, and
vation.
effort.
(f) Proximity-the chance of an innovation's
7. Seven phases are enumerated for the change
being accepted and effectively utilized is
agent in moving a client from the present state of
positively related to its nearness in time,
affairs to the desired future state of affairs. They
place, and context, its familiarity and its
are: building a relationship, diagnosing the prob-
recency. Proximity can be psychological as
lem, retrieving relevant knowledge, selecting the
well as physical. Proximity facilitates linkage.
innovation, developing supportive attitudes and
(g) Synergy-several inputs of knowledge, work-
behaviors, maintaining impetus for change, sta-
ing together over time, produce knowledge
bilizing the innovation.
122
RESEARCH UTILIZATION
Researcher-practitioner gap
Change agent
Change via temporary systems
ANALYSIS
Havelock, Ronald G. Translating theory into practice. Rehabilitation Record, November-December 1969,
24-27.
Purpose
tion, at this point these advances are more useful to
the researcher than to the practitioner.
To formulate suggestions which will help close
4. The author focuses on two categories of social
the gap between research and practice.
innovation which he perceives as useful bridges
between research and practice: temporary systems
Method
and change agents.
The paper is based on the author's experiences in
5. With respect to temporary systems, he stresses
the field of research utilization.
the need for such events to be structured not only
so that there is some contact and face-to-face inter-
action but also so that the issues which divide and
Findings and Conclusions
the bonds which unite these two worlds can be
1. For the most part, research knowledge is used
thoroughly explored.
primarily by researchers, rather than by practi-
6. The following features of a successful tempo-
tioners.
rary system are enumerated.
2. Better techniques of dissemination will not, of
(a) There must be joint goal setting by practi-
themselves, close the gap between researcher and
tioner and researcher.
practitioner; what is needed is a total system
(b) The task must be approached diagnostically;
approach to knowledge flow.
start with an identified problem that needs
3. Though much headway has been made in the
solution rather than a solution in search of a
area of storage and retrieval of scientific informa-
problem.
220
PUTTING KNOWLEDGE TO USE
(c) Retrieval of resources should encompass not
between researchers and practitioners.
only research evidence but also practices,
(c) There is still lack of understanding of the role
methods, models, and specific individuals
of the change agent. This needs further defin-
who could be used as consultants.
ing, and appropriate training to equip per-
(d) There should be continuous analysis and
sons to fulfill the role.
feedback on the human relations of the col-
(d) Central to the function of the change agent is
laborative process as they emerge.
his capacity to identify informed persons. He
(e) There should be documentation and evalua-
needs to know who the experts are, how to
tion of what takes place during the meetings
approach them, how to use them effectively.
of the temporary system, as well as subse-
(NOTE-the Michigan-Ohio Regional Educa-
quent follow-up to assess effectiveness.
tional Library has a storage and retrieval
7. The following points are made with respect to
system which contains the names of people
the change agent:
who would be useful consultants on a par-
ticular topic or in the planning of a particular
(a) We are moving away from the notion of the
type of project in the field of education. The
agent as the conveyor of new facts, innova-
author suggests that there be more of these
tions, and research (as in the agricultural
"human resources banks.")
county agent) toward a concept of the agent
(e) Handbooks and reference manuals with
as consultant, facilitator, and catalyst.
respect to the change process would aid the
(b) The change agent is often charged with set-
change agent in capitalizing on the success-
ting up collaborative temporary systems and
ful experiences of others tackling comparable
with building more permanent connections
problems.
123
INNOVATION: EDUCATION
Change factors
Innovation measures
Change agent
ANALYSIS AND SUGGESTIONS
Havelock, Ronald G. A guide to innovation in education. Ann Arbor, Mich.: Center for Research on the
Utilization of Scientific Knowledge, Institute for Social Research, University of Michigan, 1970.
Purpose
Findings and Conclusions
This manual is directed to the change agents of
1. Building a relationship between the change
education, identified by the author as "the many
agent and the people to be served involves the fol-
educators who are working for reform at all levels,
lowing considerations:
helping school systems, schools, and individual
(a) Relating to the client system: what are its
teachers learn about new developments in adminis-
norms, who are its leaders, who provides
tration, classroom management, curriculum, and
informal leadership, who are the gatekeepers,
teaching methods." The manual is presented as an
and with what elements within the client
easy reference in the planning and day-to-day
system does the change agent feel he can
management of change.
most effectively work?
Method
(b) Relating to the larger social environment:
what are its norms, what is the quality of
The analytical method is augmented by case
community leadership, who are the influen-
material and citations from the literature related
tial persons in the community, to what extent
to change.
should the change agent devote his effort to
SUMMARIES
221
these outside forces?
making a systemic diagnostic inventory:
(c) The relative advantages of the inside versus
(1) What are the system's goals?
the outside change agent must be weighed.
(2) Is there an adequate structure for achiev-
(1) The insider has the advantage of know-
ing these goals?
ing the system, speaking the client's
(3) Is there openness in communications?
language, understanding the norms,
(4) Does the system have the capacities
identifying with the system's needs and
necessary to achieve its goals?
aspirations, and being a familiar figure;
(5) Does the system reward its members for
he has the potential disadvantages of
working toward its goals?
lacking perspective, lacking special
(e) Some possible pitfalls in the process of mak-
knowledge or skill, not having an ade-
ing a diagnosis are suggested: wasting too
quate power base, having a record of past
much time and energy on diagnosis; using
failure, lacking independence of move-
the diagnostic phase as a way of stalling;
ment, and facing the need to redefine
using diagnosis for destructive confrontation;
relationships with other members of the
imposing your own favorite diagnosis; fire-
system.
fighting (responding to client pressure for
(2) The outside change agent has the advan-
crash programs).
tages of starting fresh, having perspective,
being independent, being in position to
3. The change agent must know when, where,
introduce something genuinely new; his
and how to acquire resources (printed material,
potential disadvantages are that he is a
people, products) to share with his client.
stranger, he lacks "inside" knowledge,
(a) Resource acquisition serves a variety of pur-
and he may not have the close identifi-
poses: diagnosis, awareness of what is new
cation with the problem which the in-
and/or available, evaluation before trial,
sider has.
trial, evaluation after trial, installation,
(d) The ideal relationship between change agent
maintenance.
and client should encompass reciprocity,
(b) The resources for diagnostic information can
openness, realistic expectations, a well-
be tapped through such strategies as: using
defined structure (roles, procedures, etc.),
the problem vocalizer as informant; using
shared power, minimum threat.
key informants within the system; group
(e) The change agent should be alerted to the
interviewing; observation; observing and
following danger signals which might
measuring system outputs; organizing a self-
threaten the relationship and imperil the
diagnostic workshop for the client system;
likelihood of bringing about change: a long
using an outside diagnostic research team;
history of unresponsiveness to change; the
collaborative systematic diagnostic program;
client's attempt to use the change agent as
continuous quantitative diagnostic monitor-
pawn; the client's preexisting commitment
ing.
to a position; powerlessness of the client;
(c) Awareness of "resource universe" can be
fundamental incapacity of the client.
built and maintained through: mass media,
2. Once the relationship has been established,
personal acquaintance network, familiarity
the first task of the change agent is to guide the
with information systems (libraries, clear-
client in making a diagnosis.
inghouses, data banks, etc.).
(a) If the approach is identification of problems,
(d) A strategy for applying resources to the solu-
both surface symptoms and underlying
tion of a diagnosed problem includes: acquir-
causes must be studied and interpreted.
ing an overview from a comprehensive
(b) If the approach is identification of oppor-
written source; obtaining an overview from a
tunities, emphasis is on client's strengths as
knowledgeable person; observing the innova-
well as weaknesses.
tion in "live" form; obtaining evaluative
(c) A third approach is to arrive at the diagnosis
data; obtaining the innovation on trial;
through an understanding of the client sys-
acquiring a framework for evaluating the
tem; its interrelationships and interdepen-
results of the trial.
dencies, how the subgroups work together
(e) The change agent should so indoctrinate the
toward common goals.
client that know-how concerning resources
(d) The following checklist is offered as an aid in
acquisition becomes a permanent capacity.
222
PUTTING KNOWLEDGE TO USE
4. Once the client knows what his needs are and
(b) The adoption by the community calls for
is familiar with the resources upon which he can
identification by the change agent of the
draw, how does he choose the solution which is
community's innovators, resisters, and
right for him? The change agent can guide him
leaders; he diagnoses the forces for and
through a four-step process.
against the innovation and uses the com-
(a) Deriving implications from research by:
munity's key people (pro and con) as step-
retrieving summary statements; reformulat-
ping stones in gaining group acceptance.
ing and checking for understanding; estab-
(c) Effective communication is a core activity in
lishing relevance to client's setting; staging
gaining acceptance; the change agent utilizes
implications for action.
a range of media to reach the right people at
(b) Generating a range of solutions through
the right time.
brainstorming.
(d) The program must remain flexible so that
(c) Feasibility testing in terms of potential
acceptance will be lasting; this may call for
benefit, workability, and diffusibility.
revisions of the innovation or revision of the
(d) Adaptation to the realities of the client's
implementation strategy.
setting.
6. To stabilize the innovation, the change agent
5. In gaining acceptance for the innovation, the
must be aware of several long-term as well as
change agent is alerted to a number of levels of
immediate goals.
acceptance and strategies for reaching these
(a) To insure continuance of the innovation,
targets.
there must be continuing reward, practice to
(a) As the individual goes through the phases of
assure mastery of the new skills and proce-
adoption (awareness, interest, evaluation,
dures involved, structural integration of the
trial, adoption, integration) the change agent
innovation into the client's system, con-
provides support with a series of matching
tinuing evaluation, providing for continuing
phases: promoting awareness by providing
maintenance of the innovation, and a con-
exposure to the innovation; supporting
tinuing capacity for adaptation.
interest by stimulating search for informa-
(b) The client should learn to be a change agent
tion; aiding evaluation by providing demon-
for himself; that is, he should be aided in
stration of innovation; bolstering trial by
creating a capacity for self-renewal.
providing training; helping the individual
(c) In an adroit and sensitive manner, the change
adjust to the adoption phase; and nurturing
agent must schedule and carry out his ulti-
the integration of new skills to assist the
mate disengagement from the client after a
integration.
successful innovation project.
124
CHANGE AGENT
Innovation: education
Organizational change
ANALYSIS AND SUGGESTIONS
Havelock, R. G. The change agent's guide to innovation in education. Englewood Cliffs, NJ: Educational
Technology Publications, 1973.
Purpose
change agents can organize their work toward this
This guide to the process of innovation was
end. A six-stage model of the change process is pre-
written for people working for reform at all levels of
sented. Three appendices (one an annotated bibli-
the education system. It provides information on
ography) provide supplementary resource informa-
how successful innovation takes place and how
tion.
SUMMARIES
223
Method
acronym D-A-E-T-E-I-M: Diagnosis, Awareness,
Evaluation-before-trial, Trial, Evaluation-after-
The author draws on literature, on research, and
trial, Installation, and Maintenance. The author
on his own extensive experience.
discusses the change agent's acquisition strategy
Findings and Conclusions
and the permanent capacity for resource acquisi-
tion, which the client will need.
Various change agent roles are discussed, in-
4. Choosing the solution-Havelock examines
cluding those of process helper, catalyst, advocate,
four steps in this stage: (a) deriving implications
solution-giver, and resource linker. Four cases are
from research, (b) generating a range of solution
presented, featuring different approaches to change
ideas, (c) feasibility testing, and (d) adaptation.
at different levels of the educational system.
The author presents the following six-stage
5. Gaining acceptance-after a solution has
change model:
been developed and adopted by the change agents,
1. Relationship-the successful change agent
it must be presented to the client system. By des-
must first develop a viable relationship with the
cribing, discussing, and demonstrating, the change
client system or a solid base within it. A secure and
team helps the client to gain awareness, develop
reasonably well-delineated helping role is an essen-
interest, evaluate, try out, and finally adopt the in-
novation. Havelock discusses how individuals and
tial place from which to start.
2. Diagnosis-after establishing an appropriate
groups accept innovations, and the importance of
relationship, the change agent must guide the client
communicating and keeping the program flexible.
in making a diagnosis. This involves identifying the
6. Stabilizing the innovation and generating self-
problems, identifying the opportunities, and in-
renewal-as the last stage in the change process,
sures that the agent thoroughly understands the
the client needs to develop an internal capability to
client as a system. Common pitfalls of the diagnos-
maintain the innovation and to continue appro-
tic stage include spending too much time on diag-
priate use. Here the change agents encourage or-
nosis, using destructive confrontation, imposing
ganization members to become change agents
the change agent's favorite diagnosis, and respond-
themselves in an effort to insure continuance and
ing to client pressure for a crash program.
to create a self-renewal capacity. Ultimately, the
3. Acquiring relevant resources-seven major
change agent must carry out his own disengage-
purposes of resource acquisition are given under the
ment from the innovation project.
125
INNOVATION: EDUCATION
Linkage function
Innovation correlates
EMPIRICAL STUDY
Havelock, R. G. Resource linkage in innovative educational problem solving: Ideal vs. actual. Journal of
Research and Development in Education, 1973, 6, 76-87.
Purpose
Method
The purpose of the article is: (1) to present the
The survey called for detailed information on one
problem-solving dialogue linkage theory affecting
major innovative effort attempted in each school
innovation developed by the author after extensive
district during the 1970-71 school year, together
review of the literature on communication and
with lists of areas in which the districts had been
change, and (2) to compare this ideal, theoretical
innovating. The questionnaire form also elicited in-
formulation with the current status of innovation
formation on resource linkage, resource utilization,
in school districts as determined by a recent na-
and various aspects of school functioning that
tional survey.
might be related to innovativeness. An innovative-
224
PUTTING KNOWLEDGE TO USE
ness score was derived from the data, and a number
smaller districts the superintendent, assistant
of descriptive variables were correlated with the
superintendent, and supervisors/specialists are also
resultant index.
notably involved. Various formal outside agencies,
In conducting the survey a stratified sample of
including universities, received relatively limited
several hundred school districts was employed.
mention.
Distinctions were drawn between districts with
3. A number of variables were found to have a
under 80,000 pupils and those with over that num-
low but statistically significant correlation with the
ber.
school district innovativeness index. Notable
Considerations and criteria derived from the
among these were: the number of pupils, per pupil
theoretical model were applied to the data obtained
expenditure, utilization of media specialists and
in the survey.
centers, in-service training, utilization of lay ad-
visory groups, frequency of teacher strikes, student
Findings and Conclusions
unrest, and several others.
4. The authors of the survey consider an out-
1. The problem-solving dialogue model is pre-
standing finding of their research to be the sheer
sented in the circular process whereby the con-
extent and intensity of innovative activity in U.S.
sumer-to-be conveys his needs to the resource or
public education as reported by the responding
solution-building element, from which information
superintendents. Relatively speaking, "capacity"
or solutions are diffused back to the consumer or
is seen as a persuasive factor upon innovation, but
utilizer. This simple paradigm may be elaborated
other linkages entailing community and resource
to include additional facets of the process as it oc-
specialists are also regarded as important. Within
curs in real practice. For the purpose of the present
the school, teacher participation is noted as a key
report, considerations of linkage are stressed.
factor. Less evident are influences by universities
2. In the survey of participants in the school in-
and other formal outside agencies, although there
novations, as might be expected, teachers and
is little indication of negative attitudes toward
other staff (unspecified) predominated in key roles,
these sources. This preliminary report of one type
both in the larger and smaller districts. Also re-
of monitoring effort is not viewed as having yielded
ported in considerable numbers are: the com-
completely satisfactory answers to the question of
munity, pupils, administrators, and parents. In the
how better linkage can be achieved.
126
RESEARCH UTILIZATION
Change process: education
Change models
ANALYTICAL MODEL
Havelock, R. G. Ideal systems for research utilization: Four alternatives. Washington, D.C.: Social
Rehabilitation Service, U.S. Department of Health, Education, and Welfare, 1974.
Purpose
four alternative designs, three by leading national
researchers and scholars in the field (Edward M.
The 480-page report is the outcome of a request
Glaser, Ronald Lippitt, and Everett M. Rogers)
by the Division of Research Utilization of the
and the fourth by the principal investigator (Ron-
Social and Rehabilitation Service (SRS), Research
ald G. Havelock), the last designed to synthesize
Utilization Branch of the U.S. Department of
the best ideas of the other three and to represent
Health, Education, and Welfare, to design a
wherever possible a "consensus view."
research utilization (RU) system. The Center for
Research on Utilization of Scientific Knowledge
Method
(CRUSK), Institute for Social Research, University
The project entailed a series of steps:
of Michigan, responded with a proposal to prepare
1. The three chief consultants met with the
SUMMARIES
225
principal investigator and staff to determine types
Rather, a number of alternate operational
of input required, a definition of research utiliza-
modes, varying in their emphasis on different
tion system, a delineation of users, design specifica-
system components, may be specified, as
tions, input and report delivery schedules, and
follows:
budget.
(1) Coordinated mission-oriented R&D
2. CRUSK staff provided the consultants with
program.
the following input materials: reports of the write-
(2) R&D product dissemination service.
up of 33 in-depth interviews with SRS staff relative
(3) Continuous flow dissemination.
to research utilization and of site visits to five
(4) Natural network nurture.
Federally supported information service agencies.
(5) Knowledge-based, problem-solving con-
3. Three research utilization designs were pre-
sultation service.
pared by the consultants and their self-selected
(6) Instant response R&D retrieval service.
teams.
(7) Rapid response R&D report service.
4. An "integration" conference was held to
(8) User-centered R&D report service.
derive common themes and principles, and to
The report devotes a chapter to the essentials of the
select the most promising ideas of the three
paradigm used to describe the elements of the
designs.
research utilization process and the eight alterna-
tive operational modes. Basically, the research and
Findings and Conclusions
user communities are viewed as separate problem-
solving systems requiring two-way communication
1. General considerations.
between them as a prelude to the event called
(a) The synthesis design refers to a system that
"research utilization." The two systems and the
is comprised of eight component functions,
communication linkage processes are analyzed in
as follows:
detail. Each of the eight modes is charted to show
(1) Need sensing, activating, and communi-
interrelationships among numerous specific
cating.
elements.
(2) Knowledge production.
(3) Knowledge storage and scanning.
2. Alternate design for research utilization sys-
tem for SRS: Glaser et al.
(4) Knowledge processing.
(5) Dissemination.
(a) The Glaser team presentation of a design
(6) Utilization.
system is organized around five major con-
(7) Evaluation of the system and its impacts.
siderations and is summed up in a chart serv-
(8) Integration of the system and its com-
ing the functions of needs sensing, knowledge
ponents (1-7)
acquisition, knowledge dissemination, imple-
(b) It is suggested that a research utilization sys-
mentation, evaluation, and system integra-
tem should service the R&D information
tion. The main topics discussed are as
needs of policymakers, administrators at all
follows:
levels, practitioners, clients, and the general
(1) Mission and target constituencies to be
public in areas related to the Social and
served.
Rehabilitation Service, thereby reducing the
(2) Major program areas.
gulf between the research and the potential
(3) Proposed organization staffing and func-
user.
tions.
(c) The "procedures to insure value" fall into
(4) Specific strategies.
three broad categories: transforming the
(5) Initiation, generalizing, and scaling of
R&D product, transmitting knowledge, and
costs of the system.
helping users in employing knowledge.
(6) Underlying rationale of the system.
(d) The interactional relationship between the
(b) The central mission of the Division of Re-
knowledge resource and the user may be
search Utilization (DRU) is to "serve as a
charted with varying degrees of complexity.
vital spark and substantive resource to facili-
(e) It is assumed that to be effective and good, a
tate improvements in service delivery for
RU system should be rapid, relevant, rigor-
SRS-related service programs." Federal,
ous, replete, responsive, replicable, revisable,
regional, state, and local units need to work
redundant, and rewarding.
together toward this end.
(f) There is not necessarily a single RU system.
(c) Further, to achieve this mission, seven major
226
PUTTING KNOWLEDGE TO USE
areas of program activity are needed:
include the consideration of social and
(1) Information from all levels needs to be
political factors, and needs to be viewed
incorporated into research funding pri-
as an important, integral part of a broad
orities and strategy plans, and unresolved
strategy for improving the quality of life.
problems need to be publicized.
(3) The knowledge base for the proposed RU
(2) DRU should translate identified needs to
system should include current and past
encourage inputs from knowledge and
SRS activities and projects plus seem-
research.
ingly relevant knowledge discovered from
(3) DRU should maintain existing media for
related fields such as mental health,
dissemination of research information,
manpower, and public health.
and translate findings into alternatives
(4) Interaction between researchers and
to current practice.
potential users should be increased at
(4) DRU should stimulate, coordinate, and
various stages of the process.
sometimes initiate efforts to get relevant
(5) Utilization should be a central concern of
but underutilized existing R&D findings
every SRS division, program, and proj-
or promising new knowledge put into
ect, and not just of DRU.
action.
(h) Three checklists are included as practical
(5) DRU should evaluate the efficacy of the
aids in the consideration of grant or contract
outcomes of its efforts.
applications or of research utilization pro-
(6) The several elements should be inte-
grams.
grated with SRS and with other develop-
3. A knowledge utilization system for SRS:
mental, rehabilitation, and service
Lippitt et al.
delivery systems such as manpower,
mental health, education, criminal jus-
(a) The Lippitt team presents their proposal in
tice, etc.
terms of: desired outcomes of an effective
knowledge system, causes of nonachieve-
(d) A proposed organization chart is presented
ment of desired outcomes, assumptions as to
for achieving the mission and program
what is required to achieve desired outcomes,
activities. The organization is designed to
images of what the structure and process
mesh with the growing trend toward decen-
would look like, what would be required to
tralizing program activities to the regional,
achieve the implied changes, and some of the
state, and local levels. The functions of the
"traps" of doing "minor revisions" of the
several coordinating, knowledge acquisition,
current system.
dissemination-implementation, and evalua-
(b) Some of the desired outcomes include:
tion units are set forth. A Research Utiliza-
(1) The generation and the articulation of
tion Advisory Committee is recommended.
the need for knowledge.
(e) Detailed strategies are proposed that entail
(2) The development and mobilization of
conferences, grant and contract inputs, field
knowledge from inside and outside the
projects, dissemination media, information
system.
systems, liaison with universities, telecom-
(3) The processing and testing of knowledge.
munication hotline, and evaluation pro-
cedures.
(4) Storage and access to knowledge.
(5) Dissemination of knowledge.
(f) Suggestions are made as to steps in initiating
the RU system, the possibilities for generaliz-
(6) Supporting the utilization of knowledge.
ing it beyond the Social Rehabilitation Ser-
(c) Clues about causes of nonactualization of
vice, and the articulation of the system with
the most effective patterns of knowledge
funding realities.
utilization are presented in reference to the
(g) The rationale for the proposed design in-
six elements presented above.
cludes a number of guiding concepts.
(d) Some 19 assumptions about the conditions
(1) A central concern of any RU system is
required to achieve desired outcomes are pre-
how to locate or obtain good R&D that
sented. These assumptions deal with priori-
helps meet really important problems.
ties, relationships, perceptions, time and dis-
(2) An effective RU program goes beyond
tance considerations, interpersonal com-
technical problems of achieving better
munication, knowledge interchange, prob-
diffusion of information or knowledge to
lem-solving processes, documentation and
SUMMARIES
227
evaluation, variations in the knowledge utili-
(h) A series of related papers are appended to the
zation process, resistance, cognition-behavior
Lippitt presentation.
relationship, involvement of users, organiza-
4. Design for a research utilization system for
tional considerations, the place of nonspe-
the Social and Rehabilitation Service: Rogers et al.
cialists, time and energy resources, personnel
training, and R&D tie-in with dissemination.
(a) The Rogers team defines a research utiliza-
(e) What the structure and process of the system
tion system as a set of arrangements and pro-
looks like can be inferred from the preceding
cedures by which research-validated or re-
analysis. The concrete parts of the system in-
search-derived knowledge is transformed and
clude elements such as the following: staff
transmitted to a community of users. Its re-
meetings, orientation events, exchange of
port centers about a set of 21 recommenda-
knowledge meetings, phone call retrieval,
tions for the design of the SRS research
training, local inquiry processes, resource
utilization system. These recommendations
directory, retrieval conference, retrieval of
were devised following a detailed analysis of
innovative practices, action research teams,
SRS in the light of criteria stemming from
knowledge testing, training workshops, prac-
the general nature of a research utilization
tice exchange, field testing, futurist proposi-
system that is seen as including the follow-
tions, knowledge storage and access, avail-
ing elements:
able places and space, staff involvement,
(1) Needs assessment.
training in linkage, external resources, multi-
(2) Translation of needs into research ques-
media packages, findings exchange, experi-
tions.
mental tryouts, volunteer dissemination
(3) Conduct of utilization research.
teams, collective dissemination, knowledge
(4) Memory of innovations.
utilization, risk competition, recognition
(5) Implementation of innovations.
ideas, support structures, and newsletters.
(6) Evaluation and research.
(f) To achieve the desired changes two sets of
(b) Recommendations related to needs assess-
ideas are offered, one dealing with strategies
ment include the following:
for change, the other with implementation
(1) That a national user panel should be es-
mechanisms.
tablished.
(2) That an in-service training program
(1) Suggested strategies include:
should be designed.
Strategy planning for change.
(3) That needs assessment advisory councils
Team building of vertical and horizon-
be established.
tal task groups.
(4) That social indicators be gathered, using
Formation of ad hoc groups to do trial
both obtrusive and unobtrusive measures
feasibility testing.
to indicate client needs.
Action research groups.
(5) That participant observation should be
Involvement of university personnel,
used for defining needs.
knowledge retrieval centers, and other
(c) Recommendations related to the translation
experts.
of needs into research questions including the
(2) Implementation mechanisms include:
holding of research needs conferences, publi-
Conference of technical resource peo-
cation of lists of research problems and fund-
ple.
ed projects, the institution of a small grant
The technical resources panel on a re-
program for dissertations and for SRS re-
gional basis.
searcher retraining.
Advisory committee.
(d) Recommendations related to the conduct of
Telephone contact.
utilizable research:
Regional inter-agency exchange-of-
(1) That every SRS-funded research project
practice-and-planning meeting.
should receive a field site visit while it is
Annual visiting committees.
underway, by a review committee com-
Annual regional conference.
posed of potential users.
National products report.
(2) That every SRS research proposal in-
(g) Some ten dangers of "doing better what one
clude plans for utilization of the eventual
is doing now" are listed.
results, including use of newer media,
228
PUTTING KNOWLEDGE TO USE
and necessary budget provision for dis-
indicates how, in his opinion, his design might bear
seminating the results.
on each of the problems.
(e) Recommendations related to memory of in-
6. The results of the integrative conference for
novations:
SRS research utilization system design, during
(1) That the contents of the SRS memory
which the three consultants met with the project
system should be classified as to user
team, are presented under a set of headings similar
problems, rather than on the basis of re-
to those referred to under section 1(a) of Findings
search topics.
and Conclusions.
(2) That the SRS memory system should
7. Information-packed reports of site visits to the
have the capacity to respond to tele-
following agencies are reported:
phoned requests as well as written ones.
(a) Congressional Research Service
(3) That users' "standing needs" may be sub-
mitted to the SRS memory system so
(b) Defense Documentation Center, Department
of Defense
that an individual will continue to re-
(c) MEDLARS, National Library of Medicine
ceive every relevant item with respect to
a specified need.
(d) NASA Office of Technology Utilization
(f) Recommendations related to implementing
(e) National Technical Information Service, De-
partment of Commerce
research results, including stress on user need
in information packaging, expansion of
8. With Educational Resource Information Cen-
change agent teams, use of electronic print
ter (ERIC) added to the list as given above, the
media, and the utilization of certain local
agencies were charted in terms of salient points
SRS offices demonstrating selected innova-
under the following eleven functions, namely: ac-
tions.
quisition, screening, cataloguing, storage, trans-
(g) Recommendations related to evaluation and
forming information, user access, dissemination,
research include a proposal for an Evalua-
user assistance, communication from users and
tion Division in the SRS Office of Research
analysis of needs, and feedback to knowledge pro-
Utilization to conduct research and evalua-
ducers and sources.
tion studies on research utilization, includ-
Overall conclusions as to factors related to these
ing research on prototype procedures by
functions are presented. An appendix reproduces
which SRS research could be utilized.
the schedule of questions employed in the site
inteviews.
5. The report provides a series of SRS utilization
9. One of the appendices is devoted to a report
case problems to serve as a kind of testing ground
by the principal investigator entitled "What do we
for considering the concrete operation of a design of
know from research about the process of research
a utilization system. Each of the three consultants
utilization?"
127
INNOVATION: EDUCATION
Change models
Change measures
ANALYTICAL MODEL
Havelock, R. G. Models of the innovative process in U.S. school districts. Paper presented at the meeting
of the American Educational Research Association, Chicago, April 1974.
Purpose
emphases in the innovative process to three "ide-
ologies" previously gleaned from an extensive re-
The purpose of this phase of a larger study of in-
view of the literature on planned change and
novations in school districts was to relate the pref-
knowledge utilization. These theories are charac-
erences of school superintendents for procedural
terized as: (1) problem solving; (2) research de-
SUMMARIES
229
velopment and dissemination (RD&D); and (3) so-
(a) Factor I: Problem-solver perspective:
cial interaction.
(1) Maximizing chances of participation by
many groups.
Method
(2) Finding shared values as a basis for work-
As part of the fuller survey of school innovations,
ing.
district superintendents responded to a list of 21
(3) Providing a climate conducive to sharing
statements related to innovative procedures. A
ideas.
majority of the statements were intentionally de-
(4) Stressing self-help by the users of the in-
vised to represent the three ideologies referred to
novation.
above; the remaining items related to other pro-
(b) Factor II: RD&D perspective:
cedural matters.
(1) Systematic evaluation.
Ratings of preferred emphasis on a five-point
(2) Solid research base.
scale were obtained from 296 school district super-
(3) Systematic planning.
intendents. By correlating the ratings of each item
(4) Adequate definition of objectives.
with those of every other item it was possible to
(5) Adequate diagnosis of the real educa-
derive a factor analysis designed to yield an "ob-
tional need.
jective" grouping of the statements. A further anal-
(c) Factor III: Strategic manipulation:
ysis yielded findings for districts with pupil popula-
(1) Participation by key community lead-
tions over 80,000 as contrasted with those under
ers.
80,000. In addition, an overall district innovative-
(2) Taking advantage of crisis situations.
ness score was determined and correlated with the
(3) Involvement of informal leaders of opin-
ratings of each of the 21 statements.
ion inside the schools.
(d) Factor IV: Open advocacy and humane dia-
Findings and Conclusions
lectic:
1. The main features of the three models of
(1) Confrontation of differences.
planned change and knowledge utilization are pre-
(2) Resolution of interpersonal conflicts.
sented as follows:
(3) Creating awareness of the need for
(a) The "problem-solving" model rests on the
change.
primary assumption that innovation is a part
(4) Creating an awareness of alternative so-
of a problem-solving process within the user,
lutions.
reflecting a sense of need, problem diagnosis,
(5) Providing a climate conducive to risk
search for and retrieval of ideas and informa-
taking.
tion useful in formulating and selecting the
(e) Factor V: Financial capacity:
innovation, and the trying out and evalua-
(1) Starting out with adequate financial re-
tion of the effectiveness of the innovation.
sources to do the job.
Stress is placed on user initiative.
(f) Complex items:
(b) The RD&D model assumes a rational se-
(1) Selecting a competent staff to implement
quence in the evolution and application of an
change.
innovation which provides for planned re-
(2) Utilizing a number of different media to
search, development, and packaging before
get new ideas across.
mass distribution takes place, with division
(3) Persistence by those who advocate the
and coordination of labor in respect to the
innovation.
several process elements involved. It assumes
3. The first two factors as designated by the in-
a passive, but rational consumer.
vestigator line up fairly well with the first two
(c) The social interaction model stresses the dif-
ideologies as depicted, namely the problem-solving
fusion process with its network of social rela-
and the RD&D perspectives. The social interaction
tions in which individuals have status posi-
model is less distinctly covered by the third factor.
tions, with informal personal contact and
A fourth factor, combining both linkage and con-
group membership as prominent features,
flict models, comes through, and may represent
and with a predictable S-curve pattern for
"the emergent radical-liberal approach to change
innovations as far as adoption is concerned.
of the late 1960s." A fifth factor refers to financial
2. The factor analysis resulted in the following
capacity. Three of the 21 statements are found to
grouping of statements relative to innovative pro-
be complex residual items not specifically falling
cedures as preferred by the superintendents:
under any of the factors.
PUTTING KNOWLEDGE TO USE
230
4. While no one of the sets of ratings of the 21
relationship to the overall innovativeness measure.
innovative elements yielded much of a correlation
5. All of the 21 change strategy items were rated
with the total district innovativeness score, there
quite high by the superintendents. The authors
was some variation in the size of the correlations
conclude that "the competing ideologies of change
obtained. The judged responses regarding em-
should each be seen as elucidating equally impor-
phasis on the RD&D elements showed the lowest
tant but distinct aspects of a total reality."
128
CHANGE AGENT
Change process: strategies
Individual reeducation
ANALYSIS AND SUGGESTIONS
Havelock, R. G. and Havelock, M. C. Training for change agents. Ann Arbor, Mich.: Institute for Social
Research, University of Michigan, 1973.
Purpose
Design. In this chapter, topics relevant to good
This guidebook provides prospective trainers and
training designs are discussed: structure, relevance,
program developers with some suggestions for
specificity, generality, reinforcement, in-process
training change agents, with an emphasis on edu-
evaluation and feedback, openness and flexibility,
cational change. The first part of the book details
linkage, involvement, cost effectiveness, redun-
how to go about designing a training program for
dancy, synergy, transferability, compatibility, and
change agents. The second part examines alterna-
wholeness of learning.
tive training models, suited to particular change
Chapter IV. A Framework for Training Designs.
problems and settings.
This chapter describes eight design features for
training programs: definition and rationale for the
Method
role; criteria for trainee selection; outcomes ex-
pected of trainees; ways to provide training to
The authors and their colleagues at the Center
achieve outcomes; ways to set the role in an institu-
for Research on the Utilization of Scientific Knowl-
tional context (installation); criteria for program
edge at the University of Michigan convened a
success; evaluation process for a training program;
conference of fifty nationally recognized leaders in
and utilization of evaluation findings.
the fields of training and educational change. This
Chapter V. Self-Renewal within the School Sys-
book is more than a compendium of the papers pre-
tem. The second half of the guidebook suggests
sented at this conference; it presents a catalogue
how training programs can be put together to meet
of various approaches to change.
various types of objectives. Subtopics covered in
this chapter are: training the school-community
Findings and Conclusions
resource team; training for the knowledge utiliza-
tion function role; minimal training system for self-
Chapter 1. Our Contemporary Knowledge of the
renewal in school systems; and an integrated model
Change Process. This chapter explores concepts of
of counselor behavior.
change-a problem-solving process, a research-
Chapter VI. Linking Schools to Outside Re-
development-diffusion process, a process of social
sources. The authors present the recommendations
interaction, a linkage process, etc.
of a task force which designed a program for creat-
Chapter II. Goals of Training. Four dimensions
ing a knowledge utilization specialist team.
of training goals are presented: breadth, relation
Chapter VII. Effecting Political and Structural
of goals to trainee characteristics, psychological
Change in Schools. Here, the authors discuss
wholeness, and transferability.
change roles involving political linkage, and change
Chapter III. Some Principles of Good Training
through crisis.
SUMMARIES
231
Chapter VIII. Changing the Larger System. This
qualifications for candidates for the training pro-
chapter provides two perspectives on change in
gram; anticipated outcomes of training; the train-
organizations: a macrosystems approach and a
ing procedure; guidelines for installation of
proposed conference approach to solving the
trainees in state agency positions; suggested cri-
"delivery dilemma" of state departments of educa-
teria for evaluation; alternative procedures for
tion.
evaluation; and feedback and utilization of evalua-
Chapter IX. Sample Model of a Fully Developed
tive data.
Training Design. This chapter presents a more
detailed training model for the role of change agent
The guidebook concludes with an appendix
in a state education agency. The authors discuss
entitled "What Change Agents Should Know
the following aspects of the training design: roles;
About Professional Associations."
RESEARCH UTILIZATION
129
Change models
Linkage functions
Change agency
CASE STUDY-ANALYSIS
Havelock, R. G. and Lingwood, D. A. R&D utilization strategies and functions: An analytical comparison
of four systems. Ann Arbor, Michigan: Institute for Social Research, University of Michigan, 1973.
topics as need sensing and alternative solution
Purpose
delivery.
The purpose of the study, with its 389-page re-
5. To obtain ratings by dissemination and utili-
port, was to relate federal agency knowledge-dif-
zation agency personnel on a 20-item checklist
fusion strategy as practiced by four government re-
representing various dimensions of pertinent
search utilization agencies to a systematic body of
ideology and strategy, and to present a ten-point,
research and theory embodied in a conceptual
acronymic rating schema for analyzing important
frame sponsored by the principal investigators. In
process issues in a dissemination and utilization
the course of the application of the research dis-
system.
semination and utilization model to the work of the
Method
agencies, and the reporting thereon, additional
1. Largely by means of interviews with staff,
purposes were served, as follows:
1. To explain in great detail the "problem-solv-
profiles of the structure and functioning of the fol-
ing dialogue" model sponsored by the investigators
lowing four research dissemination and utilization
as a viable basis for examining any system having
agencies were depicted:
to do with research and development, dissemina-
(a) Division of R&D Utilization, Manpower Ad-
tion, and utilization.
ministration, U.S. Department of Labor.
2. To set forth "maximal criteria in terms of
(b) Research Utilization Branch, Social and Re-
which the functions of a dissemination-utilization
habilitation Service, U.S. Department of
agency may be judged."
Health, Education, and Welfare.
3. To present a monitoring device for surveying
(c) Mental Health Services Development
the linkage activities engaged in by a dissemina-
Branch, National Institute of Mental Health,
tion-utilization agency, and to obtain responses of
U.S. Department of Health, Education, and
agency personnel to a proposed questionnaire de-
Welfare.
signed for this purpose.
(d) National Center for Educational Communi-
4. To collate suggestions via a conference of dis-
cation, Office of Education, U.S. Depart-
semination-utilization agency staff concerning such
ment of Health, Education, and Welfare.
PUTTING KNOWLEDGE TO USE
232
2. Questionnaire forms were submitted to in-
the second most important element in the
formed personnel to obtain information concerning
D&U system.
actual communication patterns between various
(j) Carefully organizing the D&U system to
agencies, along with data to be used in rating the
achieve linkage and user relevance is the
strategies employed by dissemination and utiliza-
third most important procedural element
tion agencies.
and target for improvement.
3. Well-planned and documented conferences
2. A "total" system of societal problem solving
were held in order to collate suggestions from ap-
via research, development, and R&D utilization
propriate staff regarding the several aspects of the
refers to at least eight types or modes of service,
dissemination and utilization process.
each with a separate special function but all shar-
4. Based on a prior survey of the literature and
ing a general set of goals regarding knowledge-
considerable speculative analysis, both a compre-
based change, as follows:
hensive model of the research dissemination and
utilization process and specific criterial checklists
(a) A coordinated mission-oriented R&D pro-
were developed.
gram.
(b) The R&D product dissemination service.
Findings and Conclusions
(c) The knowledge-based, problem-solving con-
sultation service.
The report is too voluminous to permit a detailed
(d) The instant response R&D retrieval service.
statement of findings and conclusions. However, a
(e) The rapid response R&D report service.
selection of the major outcomes can be presented.
(f) Continuous flow dissemination.
1. An overview of the findings is offered as fol-
(g) User-centered R&D.
lows:
(h) Natural network nurture.
(a) During the 1960s, support of dissemination
The report explains each of these modes and pre-
and utilization (D&U) emerged as a function
sents an informative diagrammatic expression of
of government distinct from R&D.
the problem elements entailed in each mode,
(b) It is possible to analyze all functions and ac-
noting relative stress placed on the several stages
tivities of D&U agencies in terms of a config-
from the indication of need on the part of users to
urational model of resourcer-user problem-
the delivery of proposed knowledge-laden solutions.
solving dialogue.
3. Suggestions are made for considering ways of
(c) The manner in which each of the four agen-
improving a dissemination and utilization system.
cies studied manages the problem-solving
These include:
dialogue is distinct but comparable with the
others.
(a) Proposals for practical measuring or moni-
toring of D&U activities.
(d) It is possible to generate communication net-
work maps which include types of informa-
(b) Methods of choosing priorities beyond that of
self-description and measurement.
tion, media, and flow among key subgroups
of a larger system.
(c) Ways of improving linkage with policy
(e) Research information is rarely used or sought
makers and line agencies.
in crisis situations.
4. The four research dissemination and utiliza-
(f) Groups in the network study often mention a
tion agencies are analyzed in terms of the following
need for more evaluative and research in-
carefully devised set of "maximal" functional con-
formation.
siderations:
(g) Attitudes toward D&U are dominated by
(a) User self-servicing, including:
four ideologies best characterized by the
(1) Developing user's internal problem-solv-
phrases: (1) "communicate and collaborate"
ing capability.
(linkage); "help the user where he is at"
(2) Developing user need awareness and self-
(user-centering); "plan and organize sys-
sensing.
tematically: (RD&D); and "invest heavily"
(3) Developing user need expression-artic-
(capacity).
ulation.
(h) Linkage is the most important procedural
(4) Developing user interest, skill, and ca-
element in the D&U system and the most
pacity for seeking out useful information
cited target for system improvement.
and openness to new R&D findings and
(i) Adequate diagnosis of the real user need is
ideas.
SUMMARIES
233
(5) Developing in user a capacity for adapta-
were factor analyzed, yielding four factors
tion and integration of solutions.
under which the D&U strategy items may be
(b) Need processing, including:
grouped.
(1) Need arousal.
6. Ideas gleaned from the literature and ex-
(2) Need sensing.
perience in the present survey yielded an acro-
(3) Need definition and redefinition.
nymic, ten-part rating schema entitled H-E-L-P
(4) Quantitative needs assessment.
S-C-O-R-E-S for studying or diagnosing D&U
(5) Transmitting user needs to policy
problems. The included concepts are these:
makers.
(a) Homophily: Similarity of characteristics of
(6) Transmitting user needs to the R&D
sender and receiver.
community.
(b) Empathy: Understanding and feeling for
(7) Transformation of need priorities into
the other and the other's situation.
program for sponsoring R&D.
(c) Linkage: Contact or relationship between
(8) Transformation of needs into problem
statements and researchable questions.
persons or groups.
(d) Proximity: Placement of persons or groups
(c) Solution building, including:
near each other.
(1) Influence of D&U system on R&D to be
(e) Structuring: Evidence of planning, ordering,
more relevant to user needs.
systematic arrangement.
(2) Influence on R&D output to be more dis-
(f) Capacity: Sign of affluence, talent, experi-
seminable and usable by key target
ence, wisdom, etc.
groups.
(g) Openness: Sign of willingness to listen, re-
(3) Conduct of R&D on D&U process.
ceive, give, tell, etc.
(d) Solution processing, including:
(h) Reward: Provision of financial support, se-
(1) Knowledge transformations.
curity, esteem, status, etc.
(2) Knowledge transmissions.
(i) Energy: Investment of time and effort, per-
(3) User helping.
sistence, aggressiveness, etc.
(e) Microsystem building, including:
(j) Synergy: Coming together of forces, orches-
(1) User interchange with R&D personnel.
tration, synchronization, etc.
(2) User collaborative R&D.
Illustrations of each of these factors are combed
(3) Integrated RDD&U program.
from the available data.
(f) Macrosystem building, including:
(1) Macrosystem modeling.
7. Feedback interface conferences with two
(2) Macrosystem monitoring.
groups of D&U agency personnel resulted in addi-
(3) D&U system as promotor of linkage.
tional validated data regarding the agencies
(4) D&U system as filling recognized gaps.
studied, and served as a medium for initiating
(5) System awareness building.
problem-solving activity relative to difficulties
For each of these headings, under four parallel
noted in the surveys. Conferees were provided with
columns, each of the agencies studied is character-
lists of items derived from the basic problem-solv-
ized.
ing D&U model reflecting the modes and functions
previously described. A detailed conference eval-
5. With the aid of a questionnaire, respondents
uation form was applied as well.
drawn from the federal agencies surveyed indicated
linkages to and from persons or groups with respect
8. An attempt to "bring it all together" in terms
to: who was involved, frequency of contact, medium
of potential practical modifications in D&U agency
employed, type of information transmitted, and
functioning is presented under the following head-
the use to which the information was put. Addi-
ings:
tional features of the questionnaire inquiry yielded
(a) Support of user self-servicing:
data as to:
(1) Training in problem-solving procedures
(a) Unmet information needs.
for practitioners.
(b) Opinions as to effective ways to assure dis-
(2) Organizational development consulta-
semination and utilization.
tion and intervention.
(c) Checklist judgments as to the essentiality
(3) Development or adaptation of systematic
and actuality of dissemination-utilization
tools and handbooks for user self help.
processes and procedures. These judgments
(b) Need sensing and need communication:
234
PUTTING KNOWLEDGE TO USE
(1) Measuring and assessing user informa-
(e) Transmissions:
tion needs.
(1) Maximize R&D input to existing organs.
(2) Responding to stated needs as a vehicle
(2) Develop a daily newsletter for policy
to greater need.
makers and administrators.
(3) Utilizing long-range need definition and
(3) Provide fast turn-around service for pol-
forecasting mechanism.
icy makers.
(c) Bringing pressure to bear on the R&D com-
(4) Farm out the dissemination-to-research
munity:
and dissemination-to-practice functions.
(1) Require need relevance in R&D pro-
(f) User-Helping:
posals.
(1) Employ D&U specialists.
(2) Require specification of D&U program in
(2) Adapt or redevelop RU manuals.
R&D proposals.
(3) Modify practitioners' attitudes toward
(3) Ask researchers to write and prepare out-
research utilization.
put for nonresearch audiences.
(4) Train practitioners in RU.
(4) Transform researchers into dissemina-
(5) Provide RU services in crisis situations.
tors.
(g) Microsystem building:
(5) Vitalize and routinize a "buddy" system
Evaluate effectiveness of past and pres-
between R&D and D&U project officers.
ent microsystem projects.
(6) Support research on D&U.
(h) Macrosystem building:
(d) Transformations:
(1) Monitoring.
(1) A comprehensive resource information
(2) Creating a centralized R&D storage-re-
center and library service.
trieval system.
(2) High-quality state of the art summaries.
(3) Building an extension service.
(3) High-quality policy briefs.
While the above suggested areas for improving
(4) Development of transformation check-
D&U systems were prepared with special reference
lists including such items as: translation,
to the Manpower Administration, it is deemed
differentiation, integration, collection,
plausible that they are likely to apply to other sys-
simplification, amplification, recompo-
tems as well.
sition, summarization, labelling, em-
9. The report concludes with appendices con-
bellishing, targeting and tailoring, re-
taining some of the instruments used in the sur-
dundancy cutting, redundancy building,
veys and also a practical "Problem-Solving Pack-
consensual validation, screening, print-
age for Dissemination and Utilization of Knowl-
print referencing, print-person refer-
ledge" prepared by one of the project directors,
encing, and indexing.
David A. Lingwood, and intended as a training
(5) Decision and product archiving.
device.
130
RESEARCH UTILIZATION: R&D
LABORATORY MANAGEMENT
Utilization seminars
Evaluation procedures
EXPERIMENTAL STUDY
Havelock, R. G., and Mann, F. C. Research and development laboratory management knowledge utiliza-
tion study. Ann Arbor, Mich.: Center for Research on Utilization of Scientific Knowledge, Institute for
Social Research, University of Michigan, 1968. (Final report on contract No. AF49(638)1732.)
Purpose
science research knowledge in the management of
The objective of this project was to develop and
research and demonstration laboratories. Findings
study more effective processes for utilizing social
obtained from previous work have been met with
SUMMARIES
235
polite indifference, misgivings about their rele-
Checklists on problems and applications,
vance, and sharply expressed doubt about their
and on use of specific Pelz-Andrews implica-
usefulness in the everyday management of labora-
tions,* were used repeatedly to ascertain
tories.
areas where research findings were used.
Each director participated in a 2-hour
Method
interview in which he focused on what he had
1. Sample: The "subjects" used in this project
actually done with seminar learnings.
were the directors of research and development
(b) Observations of seminar behavior:
laboratories. The directors were all from labora-
All sessions were taped and later analyzed
tories with staffs of more than 30 professionals in
in detail and coded according to a continuum
the Detroit-Ann Arbor area of Michigan. The 50
of movement toward utilization. The con-
laboratories that met this criterion were contacted
tinuum covered three basic areas: (1) aware-
with a brochure and letter, followed by a brief tele-
ness and understanding; (2) acceptance; and
phone interview, and where feasible by a site visit
(3) adoption utilization.
for an extended interview. Thirty laboratories were
(c) Survey of laboratory staffs:
visited and interviewed. Of the 18 laboratory direc-
Six of the laboratory staffs were surveyed.
tors expressing a positive attitude toward the idea,
The information gathered from these surveys
eight attended the regularly scheduled meetings
was primarily for the use of the directors in
that were the essence of the project design.
the seminar. However, the questionnaire did
The authors cite three primary reasons for par-
include a series of questions asking the
ticipation: (a) some directors saw an opportunity to
respondents to indicate whether or not they
share and compare; (b) some directors welcomed
had observed each of the management prac-
the opportunity to advise and criticize the social
tices dealt with in the seminar in operation
science findings; they viewed the project rather as
at any time in the past 6 months.
an academic exercise; (c) some directors exhibited
This information was later juxtaposed with
a strong urge to learn.
the reports of the director.
2. Treatment: For the eight participating direc-
tors, 12 bi-weekly, 4-hour sessions were held. Four
Findings and Conclusions
different types of knowledge inputs were used: em-
1. From the self-reports of the directors, the
pirical social science research findings regarding
authors found a general overall satisfaction with
laboratory management, human relations skills
the seminars, with most of the participants expres-
and concepts, learning from colleagues, and survey
sing a desire to continue this type of activity.
data from the manager's own laboratories.
Utilization of inputs was definitely apparent. In
A staff of five conducted the "seminar." There
the postseminar interviews, all the lab directors
was a senior director who chaired each meeting and
were able to describe changes in attitude and prac-
served as a special adviser to individual laboratory
tice that indicated utilization of knowledge inputs.
directors when consultation seemed called for, a
2. From the analysis of the tapes made during
junior director who coordinated the staff's efforts
the seminar meetings, the authors found that over
and directed the research evaluation activities, a
time the comments of the participants moved from
group process specialist, an organizational survey
those indicating awareness and understanding to
specialist, and a graduate assistant who served as
comments indicating behavioral acceptance. The
a knowledge retrieval specialist and summarizer.
tapes indicated that utilization does not take place
3. Methods and Measures of Evaluation: At-
easily or immediately. The continuing nature of the
tempts were made to record, measure, and eval-
seminar was considered instrumental in moving
uate not only what was going on at each meeting,
participants from cognition to utilization.
but also what was happening between meetings
3. The laboratory surveys indicated that specific
and after the conclusion of the seminar. Informa-
utilizations reported by the directors were generally
tion for evaluation was obtained from three sources:
confirmed by their staffs. Supervisory professionals
(a) Self-report measures:
in most labs reported a noticeable change in the
Each director completed a postmeeting
working environment.
reaction questionnaire following each ses-
sion. They rated and commented on the
*This was the knowledge input for the seminar. Pelz-Andrews
meeting as a whole and each clearly dis-
(1966), Scientists in Organizations, Wiley (their citation
tinguishable segment of it.
method).
PUTTING KNOWLEDGE TO USE
236
The majority of changes introduced by labora-
modeled in one or more respects after the project
tory directors derived directly from behavioral
seminar.
science data followed by extended discussion and
explorations of meanings and implications for
5. The authors felt the findings indicated that a
action.
multiple-input, open-ended approach such as the
4. The follow-up measures indicated that the
one utilized in this study could lead to a high level
participating directors were concerned with the
of utilization. Social science findings do have rele-
diffusion of learnings to their staffs. Several of the
vance and meaningful action implications, but a
directors set up regular seminars with their staffs,
linking function is necessary to insure actual use.
131
RESEARCH-PRACTITIONER
RELATIONSHIP
Research utilization: highway safety
Change models
EMPIRICAL STUDY
Havelock, R.G. and Markowitz, E.A. Highway safety research communication: Is there a system? Ann
Arbor, Michigan: Institute for Social Research, University of Michigan, 1973.
Purpose
decision making, and their utilization of research.
Based on a theoretical model which contrasted
Data were gathered relative to the comparative
informed versus uninformed decision making, the
perspectives of decision makers and R&D profes-
study undertook to determine the extent to which
sionals. The attitudes of researchers, research
research and decision making regarding highway
opinion leaders, and decision makers toward a
safety have progressed since the arousal of concern
series of "myths" which seemed to prevail in the
in the subject was stimulated by Ralph Nader in
safety field were also studied. The changing pat-
1966. The study also purports to offer recommen-
tern of power and influence was examined in terms
dations for the enhancement of the quality and
of the perception of influence, influence strategies
quantity of effort in regard to highway safety.
of researchers, and the role and influence of
the private sector consisting of safety organizations,
Method
the auto industry, Ralph Nader, and the univer-
sities and their research centers.
The research development, dissemination, and
utilization model centers on the R&D community,
Findings and Conclusions
on the one hand, and the decision-making person-
nel on the other. For that reason the authors under-
1. From the vast amount of data assembled the
took to study the two groups and the linkage
authors draw the following conclusions:
between them by means of comprehensive ques-
(a) The many individuals and organizations who
tionnaires following a determination as to who were
concern themselves with highway safety col-
the R&D professionals and who were the decision
lectively constitute a problem-solving sys-
makers in the field of highway safety.
tem.
The questionnaires sought information con-
(b) Within this collectivity there is a definable
cerning the R&D network, recognized opinion
subsystem which may be entitled "the high-
leaders, sociometric choices, safety research
way safety R&D community."
audiences, media employed, satisfactions with the
(c) Within the safety community there is a
research environment, and barriers to communica-
small but very important subgroup, the
tion with policy makers. With respect to the
"research opinion leaders," who form a
decision makers, the study ascertained their back-
bridge between the R&D professionals and
ground characteristics, their styles and roles in
the decision makers.
SUMMARIES
237
(d) There is a definable leadership group in
(b) Increase the total R&D effort:
highway safety which deserves to be desig-
(1) Experiment with subsidies for research
nated the "key decision makers."
and development by the auto industry
(e) There is a division of opinion within the R&D
itself.
community regarding practically every issue
(2) Underwrite more road safety research.
affecting safety-relevant matters.
(3) Go all out on development of counter-
(f) In spite of this diversity, it is possible to
measures for the alcohol problem.
identify an "old guard" attitude syndrome
(4) Encourage more social research on how
which blames the driver for the problem, and
the problem-solving system works.
to identify a "new guard" syndrome which
(c) Improve the linkage between and among
puts more stress on a variety of counter-
decision makers and researchers:
measures including vehicle design changes.
(1) Utilize opinion leaders.
(g) Real power influence on decisions is divided
(2) Organize a research utilization task force
between the old guard and the new, led by
at the national level.
the auto industry on the one hand, and the
(3) Require research contractors to confer
federal government on the other.
with representative decision makers and
(h) The total system contains all the elements,
to spell out practical implications for
or subgroups, which are necessary to under-
decision making.
take rational, informed problem solving, but
(4) Establish and support a national safety
these elements are not present in equal mea-
research information clearinghouse.
sure for different specialities, such as roads.
(5) Support annual conferences with pub-
(i) The system as a whole is highly connected
lished proceedings on critical topics.
but not coordinated.
(6) Consider the suggestions of the re-
(j) The system as a whole is in a dynamic state
searchers and decision makers them-
conducive to constructive action and prog-
selves on improving linkage between
ress on a broad spectrum of safety matters.
them.
(7) Encourage improved communication
2. Recommendations are presented as follows:
within the research community.
(a) Optimize highway safety as a problem-
(8) Encourage improved communication
solving system.
among decision makers.
132
KNOWLEDGE UTILIZATION
Change models
Linkage functions
ANALYTICAL MODEL
Hearn, N. E. ESEA Title III: A national model of knowledge utilization and dissemination. Paper
presented at the meeting of the American Educational Research Association, New York, New York,
February 1971.
2. To examine the Social Interaction model,
Purpose
which describes what is needed at state and local
1. To discuss the use of the Guba-Clark model
levels to effect change. The author gives a critique
for research, demonstration, dissemination, and
of the "public information" approach to change, an
adoption (RDDA) in facilitating educational
approach which expects people to implement
change. Hearn defends the use of models in general
changes once they are given adequate information.
and supports the Guba-Clark model's emphasis on
3. To emphasize the Problem-Solving perspec-
diffusion of new practices in education.
tive. The Guba-Clark and Social Interaction
PUTTING KNOWLEDGE TO USE
238
models are useful, but more attention should be
not be implemented in (a) central cities where
given to where and how to begin planning for
social systems are complex, (b) large regional areas
change at the local level.
where social systems are diffuse, (c) remote rural
4. To point out problems remaining as the nation
areas where traditions oppose change. Hearn found
tries to give educators easy access to research and
that educational changes are more likely to be
practice.
adopted when (a) local school boards get involved,
Method
(b) superintendents openly endorse new projects,
and (c) students participate in the changes. This
The author is the Coordinator for Educational
concept of social interaction is valid, but it is not
Communication, Bureau of Elementary and Sec-
concrete enough to help planners of change.
ondary Education, U.S. Office of Education. He
3. The Problem-Solving perspective assumes
has also published a study of innovative educa-
that individuals change if they know how to change
tional programs. His critiques and recommenda-
and for what purpose. Here, people identify their
tions are based on his research and upon his posi-
own problems and work together to systematically
tion as a link between researchers, USOE, and
solve them. Hearn says that the combination of
educational practitioners.
human relations and rational problem solving may
make others' strategies for change unneeded.
Findings and Conclusions
4. Hearn raises five key questions to focus future
1. Although skeptical of models, the practitioner-
thought on facilitating educational change through
dominated Bureau of Elementary and Secondary
diffusion:
Education adopted the Guba-Clark model to
(a) Can these rational models contend with
describe planning, evaluating, and disseminating
those who regard problem solving and human
stages of change under the new Elementary and
relations approaches as nonproductive and
Secondary Education Act, Titles I, II, III, IV, and
irrelevant?
V. Having searched the Title III literature, Hearn
(b) Can the many training programs be synthe-
agrees with Guba's contention that Title III is
sized into one or more practical training
"squarely in the diffusion business." As the Title
programs for educational change agents?
IV products and model programs became available,
(c) Can the roles of universities and colleges be
administrators could implement them on an exper-
articulated and coordinated so as to develop
imental basis through Title III. But even demon-
mutually supporting systems?
strations under Title III are not sufficient to insure
(d) Can the efforts of various units in USOE and
widespread implementation.
related educational agencies be coordinated
2. The prevailing philosophy of the Social Inter-
to provide a national focus?
action model seems to be that good ideas triumph;
(e) Can the state educational agencies fulfill a
that rational men will make rational decisions
knowledge utilization role by taking the
based on simple confrontations with facts. Hearn
leadership in evaluating, validating, and dis-
cites his own findings that projects probably would
seminating promising programs?
SUMMARIES
239
INFORMATION NEEDS
133
Dissemination of information
Communication media
REVIEW OF LITERATURE
Herner, S., and Herner, M. Information needs and uses in science and technology. In C. A. Cuadra and
A. W. Luke (Eds.), Annual review of information science and technology (Vol. 2). Chicago: Encyclo-
pedia Britannica, Inc., 1967.
Purpose
techniques than less experienced users.
(f) A study of information flow in South African
To review and summarize studies investigating
industry revealed that the larger the firm the
information needs and uses in the areas of science
more likely it is to derive benefits from for-
and technology.
mal information sources (e.g., information
centers, technical literature, etc.).
Method
3. Observation: the one observation study re-
The authors reviewed six methodological
viewed resulted in no reportable findings (due to
approaches to data collection in information re-
the methodological limitations of the techniques
search: (1) diaries and user-administered records;
employed).
(2) interviews; (3) direct observation; (4) ques-
4. Questionnaires: eight such studies were re-
tionnaires; (5) indirect methods (studies involving
viewed, resulting in the following findings:
an analysis of records of information use); and (6)
combined techniques (studies involving combina-
(a) A study querying a sample of authors of
tions of the above data collection techniques).
manuscripts, and the requesters of these
manuscripts revealed that requesters were
Findings and Conclusions
primarily young researchers not having
access to "in-group" informal information
1. Diaries and user-administered records: Two
sources.
major studies were reviewed in which respondents
(b) A study of the information-using habits of
either telephoned in or kept records of instances of
physicists and chemists in the United King-
information use. The authors conclude that, due to
dom showed that pure scientists (i.e., physi-
the gross methodological problems with this form
cists) are more dependent upon literature
of data collection, the findings from these studies
than are industrial scientists and technolo-
are unreliable and more controlled techniques
gists (which chemists tend to be).
should be employed.
(c) A study investigating which scientific peri-
2. Interviews: six studies in this category were
odicals were most frequently used by teach-
reviewed regarding information flow.
ing staff members revealed that clinicians
(a) Scientists and engineers generally follow the
use libraries less often than theorists, and
shortest path, e.g., querying colleagues.
tend to use information of a more limited
(b) The major information source for smaller
scope than do theorists.
manufacturing firms was suppliers of raw
(d) A study dealing with information sources and
material.
their effect on technical laboratory workers
(c) Faculty members reported that they con-
showed that small internal meetings did not
sidered the personal indexes method too
serve as information sources, that a negative
time-consuming.
correlation existed between exposure to
(d) Biomedical researchers reported that aware-
outside consultants/lectures and level of
ness of library source material often resulted
performance, and that attendance at profes-
from chance, and from references and other
sional society meetings stimulated perfor-
publications.
mance.
(e) Social scientists experienced in gathering
(e) A study concerned with attitudes toward
information used fewer information tools and
eight different information-seeking methods
PUTTING KNOWLEDGE TO USE
240
revealed a high significant correlation be-
6. Combined Techniques:
tween preference rankings for sources, and
(a) One combined technique study investigated
rankings of ease of use for these sources; and
and confirmed the hypothesis that informa-
no correlation between preference for source
tion flow within and without the laboratory
and expected information from that source.
is mediated by "gatekeepers" (i.e., those
(f) A study investigating the publications re-
persons to whom others most frequently turn
quested by physicists and chemists from a
for technical advice and consultation).
United Kingdom library showed that physi-
(b) A study investigating the impact that vari-
cists demonstrated the greatest dependence
ous information-gathering practices have on
on abstracting sources, while chemists
the quality of research showed that the use
tended to rely on publications listing source
of internal information methods (informal
titles only.
conversations, internal reports, etc.) pre-
5. Indirect Studies:
dominated among more highly rated research
(a) From a study undertaken to investigate the
teams, while external informal methods
nature of the reference and bibliographic
(journals, formal meetings, etc.) predomi-
transactions performed by libraries, the
nated among the less highly rated teams.
authors concluded that the results confirmed
(c) A study undertaken to determine the need
previous hypotheses, namely, that they are
for information centers revealed that the use
not used to full advantage.
of information centers among the scientists
(b) From a study attempting to define and mea-
sampled is rare, and there is marked reluc-
sure the reasons for which biochemists cite
tance by pure scientists to delegate their
and consult journal sources, the reviewers
information-seeking problems, presumably
noted that the most frequently used informa-
because of the highly creative and special-
tion dealt with laboratory procedures, meth-
ized nature of their work.
ods for preparation of compounds, and meth-
ods of identification and quantification.
(d) A study attempting to measure the informa-
(c) A study designed to characterize qualita-
tion uses of X-ray technologists showed that
tively and quantitatively the types of refer-
researchers tend not to use the services for
ence questions addressed to library staff
which they express a desire (i.e., information
revealed that the most frequent inquiries
centers); researchers often do not even direct-
were related to whether or not the library has
ly examine the information services which
a given title, reaffirming the conclusion that
are offered; and researchers perceive them-
researchers discover and identify useful pub-
selves as not having the time to put such
lications outside the library.
services to use.
COMMUNICATION RESEARCH
134
Change in attitudes
Communication process components
ANALYTICAL MODEL
Hovland, C. I., Janis, I. L., and Kelley, H. H. Communication and persuasion. New Haven, Conn.: Yale
University Press, 1953.
Purpose
Method
To study the ways in which words and symbols
A program of systematic research on variables
influence people, to identify and understand major
determining the effects of persuasive communica-
communication variables, and to provide an initial
tion was begun by the writers several years ago,
framework for subsequent theory building.
designated the Yale communication research pro-
SUMMARIES
241
gram. The present volume is a report of that re-
greater immediate effect on the audience's
search, summarizing experiments which have been
opinions than low-credibility sources.
completed, and discussing the theoretical formula-
(c) The effects on opinion were not the result of
tions developed. It is in a sense a progress report on
differences in the amount of attention or
the preliminary phases of a long-term research pro-
comprehension, since information tests reveal
gram to investigate the principles involved in
equally good learning of what was said re-
persuasive communication.
gardless of the credibility of the communica-
Three central characteristics of the communica-
tor; variations in the source credibility seem
tion research program are: (1) it is primarily con-
to influence primarily the audiences' motiva-
cerned with theoretical issues and basic research;
tion to accept the conclusions advocated.
(2) it draws upon theoretical developments from
(d) The positive effect of the high-credibility
diverse sources, both within psychology and related
sources and the negative effect of the low-
fields (sociology, political science, anthropology)
credibility sources tended to disappear after
including "learning theory" and "group member-
a period of several weeks.
ship" concepts; (3) it emphasizes testing proposi-
2. The Communication-the major portion of
tions by controlled experiment.
the studies reported focus on content stimuli which
The authors provide several working definitions
arouse emotional states or which are capable of
as a general contextual framework within which
providing strong incentives for acceptance of the
the research is conducted:
new opinion and/or rejection of the original opinions
Opinion-interpretations, expectations, and
held by the audience. Findings reveal:
evaluations such as belief about intentions of
others, anticipations concerning future events, and
(a) The major classes of appeals or arguments
appraisals of the rewarding or punishing conse-
which function as incentives are identified
quences of alternate courses of action. In these
as:
studies, opinions are viewed as verbal "answers"
(1) substantiating arguments which may
that an individual gives in response to stimulus
lead audience to judge the conclusion
situations in which some general "questions" are
offered as "true" or "correct";
raised.
(2) "positive" appeals which call attention
Attitude-those implicit responses which are
to the rewards to be gained from accep-
oriented toward approaching or avoiding a given
tance;
object, person, group, or symbol.
(3) "negative" appeals, including fear-
Communication-the process by which an indi-
arousing contents, which depict the un-
vidual (the communicator) transmits stimuli
pleasant consequences of failure to accept
(usually verbal) to modify the behavior of other
the conclusion offered.
individuals (the audience).
(b) Fear appeals-findings suggest that the use
The above definition specifies the research task
of fear appeals will interfere with the overall
as consisting of the analysis of four factors: (1) the
effectiveness of a persuasive communication
communicator who transmits the communication;
if such appeals evoke a high degree of emo-
(2) the stimuli transmitted by the communicator;
tional tension without adequately providing
(3) the audience responding to the communication;
for reassurance.
(4) the responses made by the audience to the
(c) Salience of group norm-communications
communication.
which call attention to group membership
may prompt the individual to take account
Findings and Conclusions
of group norms in forming his opinion on a
given issue.
1. The Communicator-several studies analyzed
(d) Conclusion drawing-in communications
the effects upon opinion of varying the expertness
which deal with complicated issues it is gen-
and trustworthiness of the communicator. The
erally more effective to state the conclusion
results indicated:
explicitly than to rely upon the audience to
(a) Communications attributed to low-credibility
draw its own conclusion.
sources tended to be considered more biased
(e) Preparation for future experiences-findings
and unfair in presentation than identical
are consistent with the hypothesis that once
ones attributed to high-credibility sources.
a belief is modified by an effective communi-
(b) High-credibility sources had a substantially
cation there will be a tendency for the newly
242
PUTTING KNOWLEDGE TO USE
acquired opinion to interfere with the subse-
participation has negative or boomerang
quent acquisition of any incompatible opin-
effects.
ion.
(b) Duration of effects-
3. The Audience-it is generally recognized that
(1) A study reveals that if the audience is
people will react differently to the same social
reminded of the source of a communica-
pressure; incentives can function adequately only
tion, there is relatively little change over
insofar as the individual has the necessary motiva-
time in retention.
tional predispositions. These central factors are:
(2) But normally there seems to be a ten-
dency to dissociate the content from the
(a) Group conformity motives-persons most
source and consequently the positive (or
highly motivated to maintain their member-
negative) influence of the source declines
ship in a group tend to be most susceptible to
with time.
influence by other members within the
group, and will be most resistant to commu-
5. Emerging Areas of Research Which Require
nications contrary to the standards of that
Study Before Further Progress Can Be Made:
group.
(a) Internalization processes (the transformation
(b) Individual differences in persuasibility-
of outer conformity into inner conformity)-
(1) Persons with high intelligence will tend
while extensive work has been done on the
to be more influential than those with
processes of internalization in clinical
low intellectual ability when exposed to
studies, there is great need for further syste-
persuasive communications which rely
matic analysis of the implications of inter-
primarily on impressive logical argu-
nalization processes as they occur in com-
ments.
munication situations and face-to-face
(2) Persons with high intelligence will tend
communication.
to be less influenced than those with low
(1) Conflict and opinion change-in order to
intelligence when exposed to persuasive
understand the outcomes of many at-
communications which rely primarily on
tempts at opinion change, various kinds
unsupported generalities or false, illogi-
of conflict situations must be thoroughly
cal, irrelevant argumentation.
explored (a single communication may
(3) Persons with low self-esteem are predis-
arouse two competing sets of motives
posed to be highly influenced by persua-
within the individual; initial reaction to
sive communication.
source and to the content may be incom-
4. Response Factors-all the studies reported
patible; communicator may be highly
have been concerned with the effects of communi-
respected but his proposals may be quite
cations, but in several investigations the special
objectionable).
aspects of active participation and duration of
(2) Perceptions, judgments, and concept for-
changes have been analyzed:
mation-problems of "frame of refer-
ence" and "reference groups" point to
(a) Active participation-
the necessity of more extensive study of
(1) When exposure to the same persuasive
judgmental phenomena.
communication is held constant, indi-
(b) Problems in theoretical analysis of persua-
viduals who are required to verbalize
sion-there is necessity of isolating the criti-
the communication aloud to others will
cal factors involved in communication effects.
tend to be more influenced than those
Little research has been systematically
who are passively exposed.
directed toward disentangling attention,
(2) Under certain conditions role playing
comprehension, and acceptance; thus an
and other means of producing verbal
important problem for future investigation
conformity may interfere with accep-
is the analysis of those factors which differ-
tance.
entially affect attention, comprehension, and
(3) Systematic exploration is needed to dis-
acceptance in complex communications situ-
cover the conditions under which active
ations.
SUMMARIES
243
135
INNOVATION: EDUCATION
Innovation measures
ANALYSIS AND SUGGESTIONS
Howard, Eugene. How to be serious about innovating. Nation's Schools, April 1967, 79, 89-90, and 130.
Purpose
ways. Programs build on the commitments.
Involvement in the development of innovative
The author outlines six operating principles for
practices will lead to a greater probability of
introducing innovations in educational systems.
success.
3. Encourage an experimental attitude. Sup-
Method
plant inefficient, capricious trial-and-error methods
with systematic evaluation efforts. The organiza-
The author draws on his own experiences and
tional climate must support mistake making. Inno-
his observations of innovation introduction in other
vators need help in asking questions about what
school systems.
they are doing in such a way that the questions get
answered. They also need help in finding appro-
Findings and Conclusions
priate information, in interpreting this informa-
tion in the light of predicted outcomes of the new
1. Put the philosophy of the organization to
practices, and in basing future actions on interpre-
work. Write it down. It is effective when: (a) stated
tations of the information that has been generated.
in terms specific enough to guide the operational
4. Pace the rate of change carefully. Watch for
decisions the staff and administration must make,
overextension, as well as too laggardly a pace.
(b) used consistently by the designated leaders in
5. Make organizational structure support its
the organization as a guide to administrative
program. Organize structures such as schedules,
decision making, (c) decisions are evaluated on the
statements of procedures, budgets, etc., to support
extent to which they are consistent with the stated
innovative activities undertaken by individuals.
philosophy.
6. Don't confuse flexibility with sloppiness. A
2. Build the program from the bottom up. Peri-
flexible organization is an organization in which
odic studies should be made. These can disclose the
individuals are free enough to make important
discrepancies between the stated philosophy and
decisions affecting the quality of their work and
current practices. Provide support for those who
mature enough to assume the responsibility for
view their jobs creatively and are receptive to new
these decisions.
136
INNOVATION: EDUCATION
Organizational factors
Barriers to change
CASE STUDY-ANALYSIS
Institute for Development of Educational Activities. Choosing a model for change. I/D/E/A Annual Report.
Melbourne, FL: The Institute, 1970.
in Illinois. The author describes the failure of past
Purpose
programs, particularly those based on a research
The purpose of the report is to provide a rationale
and demonstration model, to bring about effective
for the establishment of a Quality Schools Network
educational innovation. He then presents some
244
PUTTING KNOWLEDGE TO USE
characteristics of more successful programs, all of
2. General characteristics of successful programs
which operated directly within school systems.
which have worked from within:
(a) They have been part of a local school district
Method
(operating as a separate school or within a
Case study analysis.
school or schools), but have had sufficient
autonomy to pursue a comprehensive alter-
native to prevailing educational practices.
Findings and Conclusions
(Example: In St. Paul, Minnesota, a small
1. Reasons given for the failure of the research
group of administrators seeking change
and demonstration model:
offered to start a school for those students
from each high school and junior high who
(a) The school and the school district are social
were causing the most trouble. The success
systems in which the introduction of isolated
of this school has led to the development of a
new programs, curriculum packages, changes
K-12 "open school" serving 500 students and
in time and scheduling, retrained indi-
a series of learning centers with special
viduals, etc., are vitiated without compre-
educational emphases.)
hensive changes in other aspects of the total
(b) The local school system has had a long-term
system. (Example: A closed circuit television
financial stake in the success of the program
system has been installed at great expense in
and identified itself with the program's out-
a new high school. It is almost never used
since the teachers have never been trained in
come. Those programs based on temporary
outside funding have tended to become
the educational potential or mechanisms of
abandoned when the outside support is with-
it. The unused equipment has been vandal-
drawn.
ized by the students.)
(c) The program has devoted considerable
(b) The atypical nature of the staff, resources,
energy to influencing educational practice
and size of student body in the model school
in the school system on a wider basis and has
has made its new ideas inapplicable to the
experienced success in this area through
typical school district. (Example: Extra
working directly with other teachers and
resources for staff, materials, equipment and
administrators in the school system over a
facilities have often been given to the model
long period.
school which would not be available to the
(d) The program has developed a local constit-
traditional schools.)
uency of parents, students, teachers, admin-
(c) The problem of working for reform within a
istrators, and community members who are
school system seems at least as formidable
committed to it.
as the problem of developing an alternative
educational program, and the two problems
(e) The program has been composed of a net-
are closely interwoven. The research and
work of people, operating in several different
contexts, who can provide each other with
demonstration approach does not directly
deal with this issue. (Example: A high school
mutual advice and support.
is designated "a school without walls" by
3. Recommended principles for action:
the school board. However, a line adminis-
(a) A Quality Schools Network should be estab-
trator above the school indicates that all
lished as an integral part of a statewide
"field trips" from the school must be ap-
effort to improve Illinois education.
proved in advance. In practice, this permis-
(b) An affiliate of the Quality Schools Network
sion is never granted.)
should be a part of a local school district.
SUMMARIES
245
137
RESEARCH UTILIZATION
Dissemination of information
Communication process
ANALYTICAL MODEL
Jain, N. C., and Amend, E. A conceptual framework for studying communication patterns in research dis-
semination and utilization. Paper prepared for the 17th annual NSSC Conference, Cleveland, Ohio,
April 1969.
2. In order to perform these functions, the re-
Purpose
search system, the linking system, and the client
In this paper, the authors develop a conceptual
system all handle information. There are three
model which can be utilized for analyzing, both
main processes involved in information handling:
theoretically and empirically, the communication
(a) information inputting, (b) information process-
processes and patterns that are involved in the
ing, and (c) information outputting. These are
dissemination and utilization of research results.
conceptually distinct but interrelated processes.
Communication patterns vary with each of the
Method
three aspects of information handling.
3. The nature of the involved social systems and
The authors begin their paper by demonstrating
the aspects of the information handling processes
the need for a framework for analysis, noting the
are used to label the two dimensions of a 3 by 3
lack of studies dealing directly with the problems
matrix having nine cells. The matrix of categories
of research utilization. After defining their objec-
of communication patterns in research utilization
tives and assumptions, the authors focus on the
can be pictured as follows:
functions and the nature of the information-
handling process in each of the three types of social
Nature of Social System
Nature of information
systems involved in the research dissemination and
handling behavior
utilization process: (a) the research system, pro-
ducing and developing research findings; (b) the
Information
Information
Information
input
processing
output
linkage system, disseminating and facilitating the
utilization of research findings by (c) the client
Research system
1
2
3
system. Finally, they present their model, and out-
Linking system
4
5
6
Client system
7
8
9
line some possible uses of the analytic framework.
Findings and Conclusions
4. The possible uses of the framework suggested
1. The functions of the three social systems
by the authors include: (a) the generation of mean-
involved in the process of research dissemination
ingful research questions; (b) a tool for examining
and utilization are: (a) research and development,
the interdependence of the communication be-
which includes activities dealing with the produc-
haviors of all three systems; (c) a guide for a
tion of research information that could be utilized
literature search; (d) a systematic way to identify
for solving practical problems; (b) dissemination of
major gaps and research needs in the area of the
the activities that facilitate the flow of research-
communication processes related to research utili-
based information to, and its utilization by, the
zation; and (e) a guide to the formulation of
clients; (c) utilization is the application of research-
generalizations and hypotheses for empirical re-
based information to problem-solving behavior.
search.
PUTTING KNOWLEDGE TO USE
246
138
CHANGE PROCESS: EDUCATION
Change dynamics
ANALYSIS
Jenkins, David H. Force field analysis applied to a school situation. In W. G. Bennis, K. D. Benne, and
R. Chin (Eds.), The planning of change: Readings in the applied behavioral sciences. New York:
Holt, Rinehart & Winston, 1962, pp. 238-244.
Purpose
2. Planning for Change-changes will occur only
as the forces are modified. The task is either to
The author outlines the basic steps in social
strengthen the driving forces or decrease the
engineering and applies them to a specific situation
restraining forces.
using force field analysis.
(a) Ways forces can be changed-component
Method
forces can be modified in the following ways:
(1) reducing or removing forces; (2) strength-
The ideas in this paper are based on the broad
ening or adding forces; and (3) changing the
experience and observations of the author.
direction of the forces.
(b) Selection of the forces to be modified-the
Findings and Conclusions
first step may be to determine what forces, if
The basic steps of social engineering outlined
any, must be dealt with before a change can
are: (1) analyze the present situation; (2) deter-
occur. Are there some forces whose direction
mine the changes which are required; (3) make the
can be reversed? Which opposing forces can
change indicated by the analysis of the situation;
be reduced with the least effort? Which aug-
and (4) stabilize the new situation so that it will be
menting or upward forces can be increased?
maintained.
3. Modifying the Forces-based on the foregoing
1. Analyzing the Present Situation-before
analysis the indicated modification procedures
effective plans for change can be made, the present
should be initiated.
state of affairs must be defined as accurately as
4. Stabilizing the New Condition-whenever
possible. What are the forces that are keeping our
change is planned one must make sure that the new
methods in their present groove? What are the
condition will be stable. Continued support for the
forces driving for change? What are the forces
new change is important, otherwise the resistant
restraining change?
forces may push back toward the former condition.
SUMMARIES
247
139
ORGANIZATIONAL CHANGE
Research methodology
Problem solving
EMPIRICAL STUDY
Jenks, R. S. An action-research approach to organizational change. Journal of Applied Behavioral Science,
1970, 2, 131-150.
Purpose
cards, upon each of which is written a statement-
in this case a statement about some aspect of an
This paper deals with the development, testing,
organizational problem. The respondent separates
and application of a research instrument designed
statements which apply to his situation from those
for use in organizational settings as part of organi-
which do not apply. Because the statements are
zation change and development efforts. The article
drawn from a set of statements known to include
describes: (1) the development of a Q-sort instru-
various points of view, the researcher can draw con-
ment, which gathers and organizes data concerning
clusions from the responses more readily than if he
perceptions of behavior and feelings regarding a
had simply asked a specific question and received
particular problem facing a workgroup. This
an answer. The author derived his questions from
instrument is intended to help bring about change
sources in group behavior and from William
in interpersonal relationships. (2) The application
Schutz's instrument, FIRO-B. The Q-sort instru-
of the instrument in an organizational field setting.
ment assertedly meets requirements of scientific
The author used this instrument in consultation
rigor and also meets the following criteria for use
with a group in an industrial setting; he evaluates
in the field:
its usefulness.
(a) it deals with specific data;
(b) it deals with a particular present issue;
Method
(c) it provides data which the client needs and
The author presents the theoretical and method-
asks for; and,
ological background for the Q-sort instrument. He
(d) it is easy to administer, analyze, and feed
discusses the difficulties in developing valid field
back.
research tools and relates the Q-sort to both the
2. Application of the instrument. The personnel
individual and organizational theories from which
department of a large midwestern manufacturing
it derives.
corporation was being reorganized in 1966. The
The application section is presented primarily
author acted as consultant to the planning group
as a case study. It shows how the instrument was
for this department, which consisted of the person-
used with five subjects and what data it brought to
nel director and four function heads. The depart-
light in this particular instance.
ment faced the problem of recruiting new people in
Personnel, but it was not clear where the responsi-
bility for this function lay. Jenks discusses the
Findings and Conclusions
reasons why this problem and the organizational
1. Development of the Q-sort instrument.
Q-sort technique were well suited to each other.
According to the author, the clients of organiza-
Each member of the group sorted the deck of
tional consultants are less adept at defining and
statement cards once to find statements which
solving human problems than they are at defining
expressed his own view of the problem and once to
and solving other problems, such as in finance, pro-
find statements which expressed his perception of
duction, market development, etc. Currently avail-
the personnel director's view. When the group itself
able action-research methods usually require
compared (a) the function heads' perception of how
the consultant to act as a researcher (or therapist)
the director saw the problem, and (b) the director's
and the client to act as a subject (or patient). Use
perception of the problem, they realized that the
of a Q-sort methodology allows consultant and
director on the one hand and the function heads on
client to examine organizational data together.
the other hand were waiting for each other to pro-
The Q-sort technique involves people sorting
duce a solution to the problem. But neither, in fact,
248
PUTTING KNOWLEDGE TO USE
had a solution. This realization enabled them to
members use the instrument to set group goals.
begin working on the problem in earnest.
Finally, the author discusses the strengths and
The author points out that this use of the instru-
weaknesses of the Q-sort technique and compares it
ment is only one of a number of possible uses. He
with other instruments for generating, analyzing,
discusses another use, the "ideal sort," where group
and using data in small groups.
140
KNOWLEDGE DIFFUSION:
EDUCATION
Innovation reeducation
CASE STUDY
Johansen, L. N. Report of Title III program. Schulte Elementary School, Sturtevant, Wis.
Purpose
spinoff results. We attempted to make some eval-
This project is aimed at the reeducation of
uations of our project at the end of 6 months and 1
teachers for new roles and tasks involved in new
year and in each case the depth of involvement had
organizational patterns.
not penetrated to the point of producing results one
would like to find. However, after 2 and 3 years, we
Method
have found many, many examples of the propaga-
Includes the operation of a summer laboratory
tion process which works through initial motiva-
which in the last three summers involved some 340
tion and further interest and visitation, and finally
teachers on an intensive, full-time, 8-week basis.
to efforts of implementation either in the school or
There is also an ongoing diffusion and propagation
school systems. In nearly every case, we found that
process during the school year.
when people are first exposed to innovations they
assimilate the ideas and demand further discussion
Findings and Conclusions
and consideration on their own local levels. If the
original catalyst is strong enough they will move to
The most pertinent findings to date concern the
the second phase, which is to visit and learn more
time involved in seeing payoff from such a program.
about specific things which were identified as inno-
"Our experiences to date would indicate that any
vations. And then they will finally go into their
program of diffusion and propagation must involve
local settings and start turning the wheels neces-
a rather long period of time in order to see the
sary to initiate change."
SUMMARIES
249
141
RESEARCH SURVEY: MENTAL
HEALTH
Research characteristics
Research strategies
COMMISSION REPORT
Joint Commission on Mental Illness and Health. Research resources in mental health. In Action for mental
health. New York: Basic Books, 1961, pp. 193-224.
Purpose
in research. Social scientists have (as of the date of
This chapter is a component of the comprehen-
the report) had relatively little support for mental
health research.
sive report of the Joint Commission whose overall
4. Significant areas of mental health research
purpose was to develop recommendations for a
are identified. These include:
national mental health program.
(a) Basic research-structure and function of the
Method
brain, relationship. of brain activity to psy-
chological process, biochemistry of mental
The chapter is based primarily on a monograph
illness, implications of new findings in
by Dr. William F. Soskin, prepared specifically for
genetics in relationship to mental illness,
the Joint Commission. His findings are augmented
psychological research related to cognitive
by suggestions made by the members of the com-
and perceptual process and to language and
mission staff and by the committee on the studies.
communication, studies of normal person-
ality development, studies of group process
Findings and Conclusions
and interpersonal relations, social epidemi-
ology of mental disorders, family role in
1. Two important and pervasive aspects of the
mental illness.
overall research effort in mental health are identi-
(b) Applied research-primary prevention (men-
fied:
tal health education; role of schools; effects
(a) Diversity-work on many levels from many
of major societal adjustments such as intro-
different approaches and by investigators
duction of automation, desegregation, emer-
from a variety of specialties is actively under-
gence of urban problems); care and treatment
way.
(evaluation of new drugs; development of
(b) Recurrent (and perhaps overemphasized)
alternatives to hospitalization for chronic
differentiation between basic and applied
patients); administrative patterns.
research.
5. As of the date of the report, more than half of
2. Research activity in mental health has been
the total outlay for mental health research came
highly concentrated in a relatively small number of
from the Federal Government, mainly from NIMH.
major universities. It is pointed out that the typical
The following "implicit policy" with respect to
viewpoint of the university community is different
granting of research funds was formulated:
from the approach of those who are directly con-
(a) Research policy is predominantly influenced
cerned with delivering services to patients; hence
by people trained in research rather than by
the research practitioner gap is, to a certain extent,
practitioners responsible for treatment insti-
foreordained.
tutions.
3. The major share of systematic investigation
(b) Prime criterion for awarding a grant is the
on mental health problems is conducted by psy-
scientific competence of the investigator
chologists. This reflects the heavy stress placed on
rather than his official position or prestige.
research competence in graduate training in psy-
(c) Research funds are to be used for the produc-
chology. The field of psychiatry, which in the
tion of knowledge only and are not to be
minds of legislators and of the public is strongly
diverted to meet other needs. The implica-
identified with mental health, is relatively inactive
tions of this are:
250
PUTTING KNOWLEDGE TO USE
(1) There is undue emphasis on the single
his patients; this is at variance with the long-
project rather than on total research
term, slow-moving orientation of the re-
needs.
searcher. Even when researcher and practi-
(2) Administrating institution has limited
tioner work together on the same problem,
and only nominal control over funds.
little mutual understanding is achieved.
(3) Funds are allocated on a directly com-
(c) The public conception of mental health
petitive basis with minimal considera-
research tends to focus on crash programs
tion of regional distribution or spread
which will produce dramatic breakthroughs
through various disciplines.
(in the manner of the Salk vaccine for polio).
(d) The development of multiple sources of
There is inadequate public understanding of
support for research is encouraged.
(and hence political support for) the neces-
6. The following problems and issues of the
sity for the long view in planning and sup-
current research enterprise are explored:
porting research.
(d) Mental health research is currently over-
(a) The concentration of mental health research
dependent on the Federal Government.
in a small number of major universities has
What is needed (at the time of writing) is
the following implications:
not only more research money, but, perhaps
(1) It accentuates the focus on specific proj-
more important, more funds to train research
ects rather than broad research needs.
scientists. If Federal agencies undertake to
(2) It dislocates much of the normal scholarly
fund such training programs, this would con-
activities of the university, forces univer-
stitute even further usurpation by the
sities to become inordinately dependent
Government of the role of the university.
on grant funds, impels investigators to
devote much of their time to the pursuit
7. The following strategies are proposed for
of grants, etc.
expanding and strengthening the research effort
(3) It generates a maldistribution in the
on mental health problems:
allocation of research support, with vir-
(a) There should be support for flexible and
tually none of it going to Southern states
experimental programs of stimulating re-
or to local and regional colleges.
search in many different areas and settings.
(4) The intellection tradition of the univer-
(b) Efforts should be made to increase contacts
sity is reflected in the focus of mental
between researchers and practitioners so as
health research; by the same token,
to increase mutual understanding of each
many practical problems are neglected.
other's problems and approaches.
(b) The split between researchers and practi-
(c) There is a general need for long-term
tioners is a reflection of their differing biases,
research support.
goals, work styles. The practitioner has a
(d) There is an urgent need to expand and inten-
sense of urgency with respect to the needs of
sify basic research in mental health.
RESEARCH SURVEY:
142
MENTAL HEALTH
Planned change
Community research
COMMISSION REPORT
Joint Commission on Mental Health of Children. Crisis in child mental health: Challenge for the 70's.
New York: Harper & Row, 1969.
Purpose
needs of children in this country and to suggest
The Commission was authorized by the United
creative and imaginative changes in the major
States Congress to report on the mental health
child-serving institutions relative not only to the
SUMMARIES
251
treatment of abnormal behavior, but also to its
(e) To continuous loving care.
prevention and to the enhancement of normal
(f) To acquire the intellectual and emotional
development.
skills necessary to achieve individual aspira-
tions and to cope effectively in our society.
Method
(g) To receive care in facilities which are ap-
propriate to their needs and which keep them
The findings and recommendations of the project
as closely as possible within their normal
are based on an interweaving of speculative analy-
social setting.
sis with an extensive collection of statistics and
3. The major recommendations of the Joint
other pertinent data. Thirteen national profes-
Commission are presented under several headings:
sional associations cooperated in the work of the
(a) A child advocacy system, entailing the estab-
Joint Commission; more than 500 of the country's
lishment of councils at national, state, and
leading authorities on early childhood, adolescence,
local levels, with stated purposes and func-
and the young adult were enlisted to participate on
tions, and with adequate staff and organiza-
task forces, substantive committees, and in the
tional structure.
collection of information in specialized areas.
(b) Community services and programs of a sup-
portive, preventive, and remedial nature,
Findings and Conclusions
including:
1. While proclaiming we are a nation devoted to
(1) Physical and mental health services,
its young, and while great strides have been made
such as: family planning, systematic pre-
toward recognizing the needs of children and youth,
natal care, pediatric and mental health
our child-oriented programs are insufficient. They
services, school health and mental health
are piecemeal, fragmented, and incomplete in
programs, college mental health pro-
serving all those in need. They have failed to com-
grams, mental health services for the
mit our vast resources to promote healthy develop-
clergy, remedial health and mental
ment; we have yet to devise a maximizing strategy.
health services.
Specifically:
(2) Assistance, employment, and environ-
mental programs, including: employ-
(a) The nation has no unified commitment to its
ment and training, income mainte-
children and youth.
nance, and housing.
(b) The nation gives no real help in child-rearing
(3) Social services, including: programs for
until a child is badly disturbed or disruptive
the preschool child, adoption and foster
in the community.
care, institutional care, protective ser-
(c) The nation still imposes on its young the
vices, vocational rehabilitation, proba-
psychological repercussions of poverty and
tion services, school social services,
racism.
family, marital, and premarital coun-
(d) The nation has still to fill the gap between
seling, homemaker services, consumer
knowledge and action.
education.
(e) The nation continues its planning and pro-
(4) Education, including: preschool educa-
gramming largely around the concept of
tional programs, concern for mental
treating, rather than preventing, mental
health in the school environment, and
illness.
expanding opportunities for higher edu-
(f) The nation has yet to develop adequate
cation, special education, resource cen-
mental health services and facilities for all
ters for studying crisis conditions and
children and youth, regardless of race and
colleges, school-community relations,
economic circumstances.
education of minority group children.
2. The report proposes that if we are to optimize
(5) Work, leisure, and preparation for adult
the mental health of our young and if we are to
roles, including: consideration of leisure
develop our human resources, every infant must be
activities, participatory activities, voca-
granted the right:
tional readiness programs, vocational
(a) To be wanted.
education, youth work-training pro-
(b) To be born healthy.
grams, vocational readiness for the
(c) To live in a healthy environment.
handicapped, retarded, delinquent, and
(d) To the satisfaction of basic needs.
severely disturbed, youth employment.
252
PUTTING KNOWLEDGE TO USE
(c) Research, both basic and applied, in a
(9) Manpower and training for reeducation
national climate that optimizes individual
type schools.
productivity. The research should be meth-
(10) Paraprofessionals.
odologically sound, multivariate, sponsored,
(11) Future manpower and training needs
and well staffed. Recommended areas of
for local services and child development
research include:
centers.
(1) Program research and evaluation.
(2) Mental illness and emotional disorders.
4. In support of, and elaborative of, the thinking
that produced the comprehensive set of recom-
(3) Biological research related to mental
health.
mendations cited were a series of special studies
(4) Birth control.
reported in chapters entitled as follows:
(5) Development of infants and young
(a) Contemporary American society: its impor-
children.
tance in the mental health of children and
(6) Education.
youth.
(7) Adolescence and young adulthood.
(b) Contemporary American society: its impor-
(8) Work.
tance in family life.
(9) Disadvantaged children and youth.
(c) Poverty and mental health.
(10) Foster care.
(d) Children of minority groups: a special men-
(11) Family research.
tal health risk.
(12) Manpower.
(e) Emotionally disturbed and mentally ill
(d) Manpower and training, covering such areas
children and youth.
as:
(f) Social-psychological aspects of normal
(1) Federal provisions for manpower and
growth and development: infants and chil-
training.
dren.
(2) Medical personnel for services to the
(g) Social-psychological aspects of normal
mother and young children.
growth and development: adolescents and
(3) Manpower and service to adolescents.
youth.
(4) Family specialists.
(h) Education and the mental health of children
(5) Teachers.
and youth.
(6) Foster care.
(i) Employment: problems and issues related to
(7) Child care workers for institutionalized
the mental health of children and youth.
children.
(j) Research.
(8) Clinical manpower and training.
(k) Human resources and human services.
143
RESEARCH SURVEY:
MENTAL HEALTH
Planned change
Change measures
COMMISSION REPORT
Joint Commission on Mental Health of Children. The mental health of children: Services, research, and
manpower. New York: Harper & Row, 1973.
Purpose
zation, administration, and financing; and clinical
The several projects reported on in the volume
work-all as applied to childhood mental health.
have the combined purpose of studying and making
Method
recommendations on issues of research; manpower;
As with other projects of the Joint Commission
rehabilitation; treatment and prevention; organi-
on Mental Health of Children, the approach em-
SUMMARIES
253
ployed entailed a combination of empirical study
(c) Changing patterns of medical care.
with opportunities for the deliberative analysis of
(d) Services for the one-parent family.
data leading toward the formulation of sets of
(e) Accident prevention at the preschool level.
recommendations.
(f) Drug programs in adolescence.
(g) Programs affecting child abuse and unwanted
Findings and Conclusions
children.
(h) Research possibilities.
1. Recommendations regarding research include
(i) Child allowance for poor children.
the following:
(j) High quality rather than minimal quality
(a) Establishing and preserving, as a matter of
standards.
highest priority, a productive and creative
(k) Information dissemination strategies.
national research climate.
(b) A national eclecticism in the support of
5. Recommendations regarding organization,
research.
administration, and support of services are seen as
(c) The protection of the work of basic scientists
falling under four categories, as follows:
and scholars.
(d) Support for new as well as established re-
(a) Establishment of a system of data gathering
searchers.
and analysis designed to permit a more effec-
(e) Support for the development of delivery
tive management of service systems.
techniques and systems in child mental
(b) Setting ground rules for a broad program of
health services.
experimentation and demonstration in the
(f) Inclusion of evaluative and innovative
development of new technologies of service
demonstration projects.
and new patterns of organization.
(c) Setting directions for further research into
2. Recommendations regarding manpower are
the problems and patterns of operation of the
implicit in a series of discussions relative to recruit-
current service system, and the means by
ment, development, and utilization, and the rela-
which improved service systems can be
tionship of manpower problems to the clarification
brought into being.
of the goals that child mental health programs
(d) Establishment of a new institution designed
should be striving toward.
to deal, on a long-range basis, with the prob-
3. Recommendations regarding rehabilitation
lems of children and services to children, and
and treatment are discussed in terms of:
to assist, on a continuing basis, in the imple-
(a) Screening, consultation, and referral centers.
mentation of the recommendations of the
(b) A preschool home training program.
Joint Commission on Mental Health of Chil-
(c) Special day school programs.
dren.
(d) The adolescent and young adult rehabilita-
These four areas of suggestion are treated in great
tion center.
detail, with accompanying factual material and
(e) Evaluation.
related discussion.
The needs of Indian children, of Negro children,
and of Spanish-speaking children in the New York
6. Recommendations regarding clinical matters
City area were covered in special studies.
cover a diversity of considerations related to treat-
4. Recommendations regarding prevention in-
ment, prevention, and optimal growth and devel-
clude reference to:
opment as applied to infancy, the preschool period,
(a) Prenatal care.
the grade school level, and the secondary school
(b) Work with new mothers.
years.
254
PUTTING KNOWLEDGE TO USE
144
PLANNED CHANGE
Research survey
Change process: social
COMMISSION REPORT
Joint Commission on Mental Health of Children: Social change and the mental health of children. New
York: Harper & Row, 1973.
Purpose
clinical services, and parent-child and child-rearing
facilities.
The study was designed to appraise the effects of
pertinent aspects of the changing social condition
4. In recognition of the difficulties of effectuating
upon the mental health of children, and to propose
significant societal change, a chapter written by
measures deemed promising in coping with the
Ronald Lippitt is devoted to the process and direc-
task of achieving optimum mental health. Special
tions for change. This chapter examines the bar-
attention is given to the problems of poverty and
riers to change as existing in our assumptions, in
racism. The identification of constructive innova-
our institutional and professional practices, and in
tions and the ways of promoting change repre-
the deficiencies in our knowledge and skill. Re-
sented another interest of the investigators.
sources of readiness for change are considered as a
counterbalancing force. Needed directions for
Method
change are next discussed in terms of priorities. A
An extensive bibliographic search was conducted
variety of possible innovations are cited. The pro-
by Commission staff as one phase of the effort to
posals for program development are presented
under the following headings:
prepare materials for review by task force and other
expert personnel employed on the project. Discus-
(a) A design for youth involvement and partici-
sions and the consideration of special reports were
pation:
employed to hammer out the analyses and recom-
(1) The development and operation of a
mendations that constitute the bulk of the final
youth participation and citizenship pro-
report.
gram at the community level.
(2) The development and operation of the
Findings and Conclusions
youth organization program at the state
level.
1. The authors agreed that radical change and
(3) The development and operation of a
major investments are needed if American society
national office of youth participation and
is to provide its young people with the opportunity
citizenship.
for mentally healthy lives.
(b) The education of the young for participation
2. Measures intended to improve the life of the
and growth into adult roles.
poor and the quality of life in general range from
(1) Putting human relations into the cur-
economic and employment measures to the restruc-
riculum.
turing of our major social institutions. Supplemen-
(2) Learning through teaching.
tary recommendations by other groups who are
(3) Collaboration in the planning and man-
engaged in studying particular problem areas are
agement of the learning environment.
referred to as additional sources of suggestion.
(4) Preparation for adult roles.
Nonetheless, detailed proposals relative to the poor
(5) Training for social problem solving.
are listed following a full factual presentation of
(c) The coordination and integration of commu-
conditions affecting children of the poor.
nity socialization and educational services.
3. Recommendations for coping with problems
(1) At the level of direct workers with the
of racial concerns are offered in greater detail to
young.
the extent of several score of concrete suggestions
(2) At the level of policy and program
related to government action, educational and
leaders.
other community involvement, law enforcement,
(3) At the level of youth influentials.
SUMMARIES
255
(4) At the level of state and federal programs
(2) Interprofessional team experience.
and legislation.
(3) Integrated field experience and class
(d) Recruiting and training of volunteers and
work.
paraprofessionals.
(4) The continuing job clinic.
(1) The community volunteer bureau.
(5) Training for trainership.
(2) Leadership teams.
(6) Training the staff unit or job family.
(3) Mobility from volunteer to paraprofes-
(7) Training materials for continuing special
sional.
education.
(4) Developing professional, paraprofes-
(h) The self-renewal model-guidelines for the
sional, volunteer teams.
development and maintenance of the illus-
(e) The inservice training of parents.
trative programs described above.
(1) Community-wide family development
(1) Long-range planning.
council.
(2) Mechanisms of research development
(2) The parent communications coordinator
and training.
in the school.
(3) Dissemination and utilization mecha-
(3) The intergenerational laboratory.
nisms.
(4) The family unit laboratory.
(4) Evaluative review.
(f) Programs for the preschool child.
5. It is suggested that the implementation of the
(1) A large-scale system of day care.
numerous recommendations be viewed and sorted
(2) A community-wide inter-agency mecha-
out according to the categories of persons having
nism for the leadership and coordination
various roles to play in regard to their execution.
of child-care program development.
Categories mentioned include: legislators and other
(g) The training of professional child and youth
federal and state policy makers, professional
workers.
leaders, research and development specialists, and
(1) Undergraduate apprenticeship opportu-
professionals interested in the development of new
nities.
models of practice.
RESEARCH UTILIZATION:
145
EDUCATION
Researcher-practitioner gap
Linkage measures
ANALYSIS AND SUGGESTIONS
Joly, Jean-Marie. Research and innovation: Two solitudes? Canadian Education and Research Digest,
1967, 2, 184-194.
Purpose
Findings and Conclusions
The author's purpose is twofold. First, he at-
tempts to answer the question: is there, or is there
1. Although there may be differences of opinion
not a considerable delay in the application of edu-
about the extent of the gap between the results of
cational research to educational practices? Second,
educational research and educational practices, the
he offers a series of suggestions for bridging the
author feels that a significant estrangement exists.
gap between research and practice, and gives prin-
He attributes the difference of opinion to different
ciples concerning the nature of education that must
definition of terms, observation of different sam-
be kept in mind when one tries to bridge a gap.
ples, and the difficulty of establishing with cer-
tainty what actions, what policies, and what inno-
Method
vations are direct applications to specific research
The ideas in this article are based on the broad
findings.
experience and observations of the author.
2. Why the estrangement? What are the basic
256
PUTTING KNOWLEDGE TO USE
factors that have led educational research and
(b) Establish a linking organization-an organi-
educational practice into "two different solitudes?"
zation such as the educational laboratories
To some extent the estrangement may be unavoid-
could be created where public school teachers
able, and may even be desirable for the following
and administrators, university professors
reasons:
and administrators, representatives of State
(a) Too few excellent persons are engaged in
departments, teachers' associations, busi-
research careers, too much reliance has been
ness, and industry are brought together.
placed on individual efforts, and too little
(c) Establish an educational program based on
has been done to set up interdisciplinary
involvement-an organization similar to the
teams to deal with the complex issues in
Ontario Institute for Studies in Education,
education.
which undertakes the threefold task of grad-
(b) Little or no attention has been given to the
uate instruction in education and allied
necessity of repeating experiments in order
sciences, research, and development. Both
to demonstrate the reliability or unreliability
the staff and students are expected to par-
of the results published by the original
ticipate in all three types of work.
investigator.
5. Principles to keep in mind:
(c) Education is responsive to moral and politi-
(a) Fundamental research, development, and
cal pressures as well as scientific ones.
dissemination are three distinct jobs. When
(d) It is difficult to establish and maintain a
successfully conducted, research produces
fruitful dialogue between researcher and
understanding; development results in
practitioner. The competent research person
proven, practical procedures; and products
has by necessity acquired a high level of
and dissemination lead to adoption of the
specialization, with the attendant recondite
products and procedures.
concepts and esoteric vocabulary. The edu-
(b) All three jobs are essential to the progress of
cator is not particularly well prepared to
education as a social endeavor. Without
listen to him.
basic research, our schools would fall victim
3. A dialogue between researcher and teacher or
to high-pressure salesmanship, faddism, and
administrator thus brings together most, if not all,
quackery. Without development, research in
of the conditions that will guarantee complete
education would become at best an elegant
absence of communication: divergent interests,
form of mental gymnastics and at worst an
mutual mistrust, use of different language.
expensive parlor game. Without dissemina-
tion, research and development are pointless.
4. There are several ways of bridging the gap
(c) All three jobs are essential to education as a
between researcher and practitioner.
profession. It is through their knowledge of
(a) Action research-a group of teachers tackle
basic research results that teachers can oper-
a problem in the hope of devising an effective
ate more successfully as professionals.
solution; a research specialist serves as a
(d) Entrusting all three tasks, or even two of
consultant or team member. This strategy
them, to the same persons is not necessarily
implies the realization of three objectives:
an ideal solution. Since so few competent
usable results of fundamental research will
research persons are at present available it
be incorporated in the behavior patterns of
might not be wise to burden them with devel-
teachers; solutions adapted to local condi-
opment of dissemination duties.
tions will be devised; and personal and pro-
6. The author concludes with a warning against
fessional growth will take place in the team
the adoption of innovation without properly re-
members.
searched study of the effects of the innovation.
SUMMARIES
257
146
ORGANIZATIONAL CHANGE:
BUSINESS
Organizational climate
Resistance to change
Attitude toward change
ANALYSIS AND SUGGESTIONS
Judson, Arnold S. A manager's guide to making changes. New York: Wiley & Sons, 1966.
Purpose
(f) His specific apprehensions and expectations
about the particular change.
The book presents a series of strategies for imple-
(g) The manner in which the change is intro-
menting change in a business organization. It is
duced and implemented.
essentially a how-to-do-it presentation.
4. The response to proposed change can range
Method
from active, outright resistance, through more
subtle, passive forms including indifference, to
The method is analytical, backstopped by gener-
acceptance.
ous citation of case material.
5. In attempting to assess the extent of organi-
zational resistance to change, management should,
Findings and Conclusions
in effect, construct a balance sheet in which poten-
1. Before introducing and attempting to imple-
tial losses (as perceived by those affected) are
ment change, the manager should clarify the fol-
weighed against potential gains.
lowing:
6. Among the strategies for minimizing resis-
(a) What is to be accomplished and why?
tance are: compulsion, persuasion, dispelling fear,
developing a full understanding of the change,
(b) What will be the value of the change?
appropriate timing in scheduling the change,
(c) What methods will be used to accomplish the
involvement of those affected in planning and
objectives?
implementing change, avoiding implications of
2. Typically, change affects people in three
criticism, and flexibility in installing change.
ways:
7. The role which an individual occupies within
(a) The behavioral effects represent the altera-
an organization affects the way in which he per-
tions they must make in their work habits.
ceives a proposed change, as follows:
(b) The psychological effects represent changes
(a) The originator of the change will be the most
in the ways in which they relate to and regard
optimistic, the least patient, and the least
their work.
objective.
(c) The social effects represent the changes in
(b) The manager will be the most objective;
established relationships with coworkers and
he also will be the person whose course of
with the organization.
action determines the success or failure of
3. The individual's attitude toward a change is
the change.
affected by the following factors:
(c) The supervisor will be more oriented to the
(a) His predisposed feelings about changes of
difficulties attendant upon the change than
any kind.
to its potential benefits.
(b) The extent of his feelings of insecurity.
(d) If there is a staff specialist involved, he will
(c) Any prevailing cultural beliefs and norms
tend to share the positive bias of the origina-
that might be in conflict with the change.
tor. He is likely to be insensitive to the psy-
(d) The extent of his trust in his management,
chological and social effects of the change.
his union and his work group.
8. A systematic approach to making change
(e) Objective historical events relevant to the
calls for the following steps: analyzing and plan-
change.
ning the change, communicating about the change,
258
PUTTING KNOWLEDGE TO USE
gaining acceptance of the required changes in
sible for introducing and implementing
behavior, making the initial transition, consolidat-
change.
ing, and following up.
(c) Senior management does a minimum of
9. In order that change be managed effectively,
interfering, giving maximum freedom of
the following attributes of organizational climate
action to those to whom the responsibility for
are required:
change has been assigned.
(a) Change is considered a continuing, normal
(d) Among managers and supervisors, task
activity.
accomplishment takes precedence over
(b) Line managers and supervisors are respon-
immediate personal and political objectives.
147
COMMUNICATION BLOCKS:
HOSPITAL
Organizational factors
EMPIRICAL STUDY
Julian, Joseph. Compliance patterns and communication blocks in complex organizations. American
Sociological Review, 1966, 31, 382-389.
Purpose
hospital, a large general voluntary hospital, a
tuberculosis sanitorium, and a veterans hospital
Compliance involves the relationship between
within the metropolitan area of a large Midwestern
the different means of influencing behavior and the
city) were interviewed. These patients represented
kind and amount of effect generated by these
an availability and density sample in the selected
means. This article examines the extent to which
hospital units who were willing and intellectually
different compliance patterns are related to the
able to participate. In general, the patients in the
degree of communication obstacles between hospi-
five hospitals were similar in age, sex, marital
tal patients and staff.
status, number of children, range and distribution
of occupation.
Method
DATA COLLECTED
HYPOTHESIS BEING TESTED
Data were obtained on: (1) patients' perception
The author expected general hospitals to have
of the frequency with which different types of sanc-
predominately normative power structures and
tions were utilized;* (2) the extent to which
patients who demonstrated a positive attitude
patients were negatively involved, neutrally in-
toward the hospital, whereas hospitals with a more
volved, and positively involved in the organization;
custodial orientation would be characterized by a
and (3) patients' reports of obstacles to the contact
more coercive power structure and patients who
and transmission of messages between patients and
had a relatively unfavorable attachment to the
staff. The principle instrument was a flexible, com-
hospital.
bination interviewer-respondent administered
HYPOTHESIS
questionnaire.
As the compliance relations of the hospitals
Findings and Conclusions
move along the continuum from normative to
coercive, the degree of communication blockage
1. The data revealed the utilization of normative
increases.
power in all five of the hospitals, with coercive
SAMPLE
*Normative sanctions involve persuasion, manipulation, or
suggestions based on the allocation and manipulation of social
A total of 183 patients in five hospitals (a univer-
symbols, rewards, and deprivations; coercive sanctions refer to
sity hospital, a medium-sized general voluntary
the application of physical force and controlling through force.
SUMMARIES
259
sanctions less frequently reported in the university
trol and/or coordination than toward patient in-
and general hospitals than in the TB sanitorium
volvement. He further generalized that blocks in
and veterans hospital. Over 70 percent of the
downward communication occur more often in
patients had a positive orientation to the normative
organizations with relatively higher degrees of
sanctions employed. The data indicated that
both coercion and structure.
normative hospitals had fewer communication
3. Julian concludes that restriction of informa-
blocks than normative-coercive hospitals.
tion and communication is related to the effective-
2. The author suggested that normative-coercive
ness of organizations that utilize coercive sanctions
organizations had more communication blocks
and generally exercise relatively high degrees of
because their goals were oriented more toward con-
control to obtain their objectives. Conversely, free
flow of communication is related to the effective-
This meant the hospitals were classified as either normative
ness of organizations that utilize normative sanc-
or normative coercive.
tions and exercise relatively low degrees of control.
148
PLANNED CHANGE: EDUCATION
Innovation
ANALYTICAL MODEL
Jung, C., and Lippitt, R. The study of change as a concept in research utilization. Theory into Practice,
1966, 2(1), 25-29.
Purpose
as alternatives for action toward change; (c) knowl-
edge of the resources available to work toward
The purpose of this article is to answer the ques-
change.
tion: how can scientific knowledge be used to con-
2. Scientific knowledge-this includes theory,
tribute to an orderly and creative process of planned
research findings, and research methodologies.
change in education? Starting with the assumption
3. Planned change-the inclusion of certain
that research findings seldom provide direct
basic problem-solving phases in adapting to an
answers about what the educator should do in deal-
action concern. These include: (a) identification
ing with a problem, the authors seek to show how
and diagnosis of the concern; (b) the retrieval of
educators can derive implications from research
relevant knowledge and derivation of implications
findings that might help meet specific classroom
from that knowledge; (c) formulation of action
situations.
alternatives; (d) feasibility testing of selected
Method
action alternatives, including training and evalua-
tion; (e) and adoption and diffusion of successful
The key question, as stated above, was broken
alternatives.
down into its major elements-education, scientific
4. Utilization-both a process and a structure.
knowledge, planned change, and utilization. Each
The process: a flow of information from basic re-
of these was defined. A summary definition of each
search, to development of applications, to action,
is as follows:
to dissemination by the practitioner, to use by the
1. Education-stimulating motivation and
consumer. The structure: the organization of the
maintaining good learning experiences for children
roles of researcher, developer, practitioner, con-
in the context of the total school system, not just
sumer, and linker.
the classroom. Three kinds of awareness and knowl-
The above definitions were combined into a
edge are necessary in order to help improve educa-
model for educational change that represents the
tional activities: (a) diagnosis of the priority needs
process of utilization. The core of the process is
for change; (b) awareness of existing innovations
the problem-solving phases of planned change.
260
PUTTING KNOWLEDGE TO USE
Findings and Conclusions
tices; creating training experiences for practitioners
1. The model of research utilization for educa-
to develop skills required by innovations; and con-
tional change demands collecting data about the
ducting new research on the process of research
educational setting. The methodologies of science
utilization itself.
can be borrowed by the practitioner and adapted as
7. The utilization of scientific knowledge for
aids to gain this knowledge.
planned change in education calls for involvement
2. General research findings help teachers con-
of three roles-the roles of educators, of researchers,
sider what kinds of things may be helpful to know
and of linkers between the first two.
about in the classrooms; the use of diagnostic tools
8. Four major kinds of needs must be met in
helps them to determine more clearly what is hap-
order to make progress toward answers to the issues
pening in their own classroom groups.
raised above:
3. It seems feasible that principals and other
(a) There is a need for collaboration between
administrators could find similar use for systematic
researchers and educational practitioners.
diagnostic tools, such as questionnaires and modi-
(b) There is a need for the university setting and
fied research instruments, to do a better job of
the school system each to explore the use of
securing accurate knowledge about their systems.
new functions to support the utilization
4. In addition to its potential diagnostic value,
process.
scientific methodology may be useful in providing
(c) There is a need to identify and develop train-
the educator with evaluative feedback.
ing resources. A technology of training must
5. The model of research utilization to facilitate
be identified, developed, and made readily
educational change is a process requiring supportive
available.
collaboration among people.
(d) Research is needed on the process of utiliza-
6. When given clearly defined tasks, social scien-
tion and on institutional structures which
tists might be especially helpful in these instances:
support it. Research is especially needed re-
contributing to the retrieval of appropriate theory
garding retrieval of findings, derivation of
and findings; reacting to the validity of derived
implications, interpersonal skills for col-
implications; adapting methodology to creating
laborating, skill-training technology, and
diagnostic and evaluative tools; conducting values
action-research skills for field diagnosis and
inquiry into the assumptions which underlie prac-
evaluation.
149
KNOWLEDGE CLASSIFICATION
Knowledge dissemination: social work
CONFERENCE REPORT
Kadushin, Alfred. Assembling social work knowledge. In Building social work knowledge: Report of a
conference. New York: National Association of Social Workers, 1964, pp. 16-37.
Purpose
Method
Underlying any program of research utilization
Kadushin takes a specific subject area from the
is the organization of knowledge and research find-
field of social work and shows how one might make
ings. It is necessary to know what knowledge is pos-
a comprehensive survey of the literature to deter-
sessed. It is necessary to collect and sort out the
mine what is known about it and the differential
data, separate fact from fantasy, knowledge from
levels of validity with reference to knowledge avail-
guesswork, speculative inference, however logical,
able. He begins by categorizing the knowledge
from valid conclusions. In this article, the author
available into three major divisions: (1) social
advocates that a "serious" encyclopedic inventory
policy and administration, (2) growth and behav-
of social work knowledge be made available for
ior, (3) social work methods, and then reviews
practitioners.
available knowledge in each of these areas. He
SUMMARIES
261
gives an actual example of the type of inventory
under the direction of some central group,
he advocates.
proposing some flexible commonality in
approach are feasible, are worth the effort
involved, can give us what we need and do
Findings and Conclusions
not now possess-a comprehensive, author-
The author's concluding paragraph neatly sum-
itative statement of our knowledge base,
and an equally important perspective on
marizes his plea:
our knowledge. Such material can act as a
The point is that systematic reviews of the
guide, a stimulus, a brake to our theoretical
literature regarding specific services, spe-
attempts at delineating theoretical struc-
cific concepts, specific skills, undertaken
tures
KNOWLEDGE DISSEMINATION
150
PSYCHOLOGY
Dissemination techniques
ANALYSIS
Kaplan, Bert. Dissemination of primary research data in psychology. American Psychologist, 1958, 13(2),
53-55.
Purpose
for what is most easily available and discard
To discuss the implications of the development
the remains rather than squeezing out every
of microreproduction techniques to the dissemina-
last bit of meaning from their data.
tion of primary research data in psychology.
(b) Data are not shared among researchers who
share common interests. Rather, a highly
Method
individualistic pattern of data utilization has
emerged in which data are regarded as pri-
The ideas presented in this article are based on
vate property and the pattern is set for one
the author's own intellectual analysis.
investigator or team to analyze each set of
data, which they discard when finished. But
Findings and Conclusions
psychological data are often so complex that
1. With the advent of microreproduction tech-
they defy the efforts of any one person to
niques, and especially the development of the
comprehend.
microcard, publication by psychologists is no longer
4. As a result of these wasteful practices, fre-
dominated by the economic factors of high-cost
quently one researcher has just the kind of material
letterpress publication and the resultant scarcity
that someone else needs; sometimes hundreds of
of journal space, high-rejection rate, abbreviation
workers around the country are frustrated in their
of articles, and book publication according to sales
desire to work on particular problems because they
potential rather than scholarly value.
lack funds and facilities to collect the necessary
2. Among the many possible solutions which
data; while at other, generally larger and richer,
microcopy techniques hold for publication prob-
organizations these needed data may be lying
lems is the development of easy access to original
around unused.
research data which usually is stored so as to be
5. The author discusses the activities of the
virtually inaccessible.
Committee on Primary Records in the Division of
3. Psychology has been very wasteful of its em-
Anthropology and Psychology of the National
pirical materials:
Academy of Science's National Research Council
(a) Data are often inadequately exploited.
established in 1955-
Researchers are often content to skim data
(a) the development of special categories of re-
PUTTING KNOWLEDGE TO USE
262
search data which could be most useful to
(c) Professional societies sponsor the develop-
others; and
ment of stable publication series.
(b) the determination of what the best organiza-
8. One other possibility offered by microrepro-
tion of data publication channels might be.
duction techniques is that of combining a letter-
6. To date they have found that: (a) generally,
press journal of contemporary abstracts, somewhat
workers in child development, social psychiatry,
more extended than offered by psychological ab-
personality, clinical psychology, and testing are the
stracts, with a supplemental service providing, on
most enthusiastic about the prospect of having raw
order, extended versions of the papers on micro-
materials accessible, while experimental psychol-
cards.
ogists see little value in it for themselves; and (b)
there is wide agreement that data to be published
9. These proposals may not make great headway
should be chosen with great care and editorial
until inexpensive microcard readers are developed
wisdom.
and the new techniques have gained wider accept-
7. Three distinct patterns for the publication of
ance among psychologists.
primary records may be identified:
10. In conclusion, the author states: "One thing
(a) Researchers with data to disseminate contact
is certain. The flow of information in psychology
a microtext publisher and make individual
will increase many times in the next few decades,
arrangements for publication.
and radical new solutions will be required if the
(b) Individuals or groups initiate highly special-
information psychologists generate is to be re-
ized series.
tained, organized, and utilized" (p. 55).
151
INNOVATION DIFFUSION
Adopter characteristics
CASE STUDY
Katz, Elihu. The social itinerary of technical change: Two studies on the diffusion of innovation. Human
Organization, 1961, 20, 70-82.
Purpose
both could be adopted on the installment plan
On the assumption that the itinerary of change
rather than on an all-or-nothing basis, and both
has been ignored (note that the study was pub-
had the potential of economic profitability to the
lished in 1962), the author undertakes to trace the
adopter.
movement of a given new practice, over time,
through specific channels of communication, within
Findings and Conclusions
a social structure.
1. For both groups, the interpersonal network of
Method
communication played an important role in the
diffusion process.
A comparative analysis was made of two studies:
2. Those who were audacious in terms of being
one of how hybrid seed corn gained acceptance
early adopters were conservative in terms of the
among farmers in two Iowa communities; the other
degree of their first use of the innovation; late
of how physicians in four communities responded
adopters could be bolder because they could
to the availability of a new "miracle" drug (gam-
depend on the accumulated experiences of the
manym). Both new products were highly recom-
innovators.
mended by competent scientific authority, both
3. Availability of information concerning an
were of central importance to the groups for whom
innovation does not assure its adoption.
they were intended, both were capable of producing
4. Both farmers and physicians first heard about
results which could be readily measured and seen,
innovation through salesmen. For farmers, signifi-
SUMMARIES
263
cant sources of information were neighbors; for
meetings.
physicians, professional journals, and colleagues.
6. Early adopters among farmers belong to more
Commercial sources inform, informal sources legit-
formal organizations; among physicians, they were
imate.
more integrated in informal friendship, discussion,
5. For both groups, early adopters had more
and advice networks.
contact with the outside world. The farmers read
7. In both groups, the early adopters were less
more farm journals, made more trips to the city,
tradition bound, tended to be younger, more
and to county fairs; the physicians read more medi-
affluent.
cal journals, attended more out-of-town medical
INNOVATION CHARACTERISTICS
152
Adoption factors
ANALYSIS
Katz, Elihu. The characteristics of innovations and the concept of compatibility. Paper presented at Reho-
voth Conference of Comprehensive Planning of Agriculture in Developing Countries, Rehovoth,
Israel, 1963.
Purpose
sive the greater the probability of adoption.
Katz hypothesized that an innovation high
The characteristics of the "item" to be diffused
in communicability and low in pervasiveness
affect its rate of adoption. There has been some
would be readily adopted by those well inte-
difficulty in developing generalizations about the
grated in the social system by virtue of the
characteristics that are most influential in the
greater influence of interpersonal communi-
adoption process. In this article, the author explores
cation with other members of the social sys-
several different characteristics that seem to
tem. On the other hand, an innovation high
emerge from past research findings as influential
in pervasiveness would be more likely ac-
effectors of adoption and utilization.
cepted by an individual less closely bound by
the norms of the relevant social system.
Method
(c) Risk-two factors reduce the amount of risk
The ideas in this paper are based on the broad
involved in innovation adoption. Reversibil-
experiences and observations of the author.
ity, or the more easily the status quo can be
restored, reduces risk. The more divisible
Findings and Conclusions
(the ease with which an innovation can be
adopted on the installment plan), the less
1. Most "items" can be classified as material
risk and greater the probability of adoption.
(things) or nonmaterial (ideas). It is readily ap-
(d) Profitability-the greater the observable
parent that it is much easier to gain acceptance of
profit, the greater the probability of adoption.
things than ideas.
3. Compatibility.
2. Factors Affecting Adoption.
The aforementioned concepts are in turn related
(a) Communicability-the more readily the util-
to their compatibility with the values of the poten-
ity of an "item" can be explained and dem-
tial adopters. The adopter must perceive the inno-
onstrated, the greater the probability of
vation as compatible with his values concerning
adoption.
risk and profitability before the innovation is
(b) Pervasiveness-the more limited and more
adopted.
readily apparent are the ramifications of the
Any agent of change must understand how the
item's adoption, the greater the probability
potential adopters see the innovation. A primitive
of adoption. In other words, the less perva-
pretest in which potential adopters are interviewed
PUTTING KNOWLEDGE TO USE
264
in some depth concerning the proposed innovation
are more likely to succeed if they are addressed to
and then observed while trying it out may be the
the appropriate units of adoption.
best technique for determining the compatibility
of a given innovation with the values of the
5. The Item and the Social Structure.
adopters.
Innovations require a certain distributional
4. The Item and the Unit of Adoption.
structure. Some structures are more compatible
In this section Katz considers the effect of
than others for innovation dissemination. The
whether an individual or collective decision is re-
structure of the system can either facilitate or
quired for innovation adoption. While some social
hinder the flow of innovational information.
systems favor more individual action, others pre-
Social relations condition the acceptance of
scribe adoption behaviors. Other things being
innovation by virtue of their function: (1) as
equal, an innovation is more likely to be accepted
anchorage points for shared values; (2) as units of
when it "requires" the kind of adopting units which
adoption; (3) as networks of interpersonal com-
are "favored" by the culture or social system.
munication; and (4) as allocators of differentials in
Campaigns seeking acceptance for innovation
social role, social control, and social support.
153
CHANGE IN ATTITUDES
Communicator influence
EXPERIMENTAL STUDY
Kelman, Herbert C. Compliance, identification, and internalization: Three processes of attitude change.
Journal of Conflict Resolution, 1958, 2, 51-60.
Purpose
of the Supreme Court decision on desegregation in
The experimental study was concerned with
the public schools. The subjects were exposed to
some of the conditions that determine the nature of
the following tape-recorded communication: if the
attitude changes produced by communications on
Supreme Court rules that segregation is unconsti-
social issues.
tutional, it would still be desirable to maintain
some of the private Negro colleges as all-Negro
Method
institutions in order to preserve Negro culture,
history, and tradition.
The specific content of the attitudes investigated
The communication was transmitted by persons
in this study was in the area of race relations. The
assuming a variety of roles: the president of the
underlying assumption was that there are differ-
National Foundation for Negro Colleges, a senior
ences in the process whereby the individual ac-
and president of the student council in a leading
cepts influences or conforms. These different pro-
Negro university; a professor of history in one of
cesses were identified as compliance (an individual
the country's leading universities; a white southern
accepts influence because he hopes to achieve a
"ordinary citizen."
favorable reaction from another person or group),
Each of the four communications was presented
identification (an individual accepts influence be-
to a different experimental group. Preliminary
cause he wants to establish or maintain a satisfying
testing indicated that a large majority of the sub-
self-defining relationship to another person or
jects would initially oppose the message presented
group), and internalization (an individual accepts
in the communication. There was also a control
influence because the content of the induced
group that was not exposed to any communication.
behavior is intrinsically rewarding).
After exposure to the communication, the sub-
The subjects in the experiment were Negro col-
jects in each experimental group filled out attitude
lege freshmen; the experiment was conducted in
questionnaires designed to measure the extent of
the spring of 1954, just prior to the announcement
their agreement with the communicator. The
SUMMARIES
265
questionnaires were uniform with respect to issue
by the communicator. The mediating process pos-
relevance, but the conditions under which they
tulated is compliance.
were administered created differences with respect
2. Attitudes adopted from a communicator
to surveillance and salience.
whose power is based on attractiveness will tend to
be expressed only under conditions of salience of
Findings and Conclusions
the subject's relationship to the communicator.
In the judgment of the author, the results of the
The mediating process postulated is identification.
experiment lent considerable support to the three
3. Attitudes adopted from a communicator
hypotheses being tested:
whose power is based on credibility will tend to be
1. Attitudes adopted from a communicator
expressed under conditions of relevance of the
whose power is based on means-control will tend to
issue, regardless of surveillance or salience. The
be expressed only under conditions of surveillance
mediating process postulated is internalization.
CHANGE IN OPINIONS
154
Change process
ANALYTICAL MODEL
Kelman, Herbert C. Processes of opinion change. In W. G. Bennis, K. D. Benne, and R. Chin (Eds.), The
planning of change: Readings in the applied behavioral sciences. New York: Holt, Rinehart & Win-
ston, 1962, pp. 509-517.
Purpose
Findings and Conclusions
The author distinguishes among three different
Kelman identifies three processes of opinion
opinion change processes.
change: compliance, identification, and internali-
zation.
1. Compliance occurs when an individual ac-
Method
cepts influence from another person or from a group
The ideas in this paper are based on the broad
because he hopes to achieve a favorable reaction
experience and observations of the author.
from the other.
Compliance
Identification
Internalization
ANTECEDENTS
1. Basis for the
Concern with social
Concern with social
Concern with value con-
importance of the
effect of behavior.
anchorage of behavior.
gruence of behavior.
induction.
2. Source of power of
Means control
Attractiveness
Credibility.
the influencing agent.
3. Manner of achieving
Limitation of choice
Delineation of role
Reorganization of means-
prepotency of the
behavior.
requirements.
ends framework.
induced response.
CONSEQUENTS
1. Conditions of
Surveillance by
Salience of relationship
Changed perception of
performance of
influencing agent.
to agent.
values related to issue.
induced response.
2. Conditions of change
Changed perception of
Changed perception of
Changed perception of con-
and extinction of
conditions for social
conditions for satisfying
ditions for value
induced response.
rewards.
self-defining relationships.
maximization.
3. Type of behavior system
External demands of a
Expectations defining a
Person's value system.
in which induced
specific setting.
specific role.
response is embedded.
266
PUTTING KNOWLEDGE TO USE
2. Identification occurs when an individual
3. Internalization occurs when an individual
adopts behavior derived from another person or a
accepts influence because the induced behavior is
group because this behavior is associated with a
congruent with his value system.
satisfying self-defining relationship to this person
4. In the table above, Kelman summarizes the
or group.
distinctions among the three processes.
155
RESEARCH UTILIZATION:
MENTAL HOSPITAL
Innovation
Utilization factors
CASE ANALYSIS
Klein, Helen D. The Missouri story, a chronicle of research utilization and program planning. Paper
presented at the National Conference of Social Welfare, May 1968.
Purpose
ship to bring the information to the public.
A summary of conditions necessary for research
(f) The total staff familiar with the findings
utilization and some impact of research in
must direct reports to grassroot levels.
Missouri.
2. When factual presentation shows the mentally
ill can get well faster, remain well longer, and that
Method
the costs are less and that more people can be
treated by one system than another, legislators and
The author draws her ideas from her own expe-
others will respond. In Missouri, this has resulted
riences and knowledge.
in beginning change from large State hospitals to
small, local intensive care units.
Findings and Conclusions
3. Concomitant with this study, an effort was
Conditions necessary for research being effec-
tively used in practice are:
made to determine how research findings per se can
be made more easily usable. More powerful and
(a) It must be translated from research termi-
more pertinent studies, presentation in a less tech-
nology into lay language.
nical form for readers with less research sophisti-
(b) The implications for practice must be stated
cation, inclusion of implications for practice and
in clear cause-and-effect statements.
many varieties of introductory or concluding sum-
(c) The findings must be sound.
maries were the most frequent suggestions. One
(d) The applicability to the specific local area
suggested innovation was a pocket-sized scientific
must be unquestionable.
reader's digest for review of interdisciplinary
(e) There must be forceful, professional leader-
research from other periodicals and books.
SUMMARIES
267
156
ADOPTION PROCESS
Adoption lag
ANALYSIS
Klonglan, G. E., and Coward, E. W., Jr. The concept of symbolic adoption: A suggested interpretation.
Rural Sociology, 1970, 35(1), 77-83.
Purpose
process because of a variety of barriers: action or
The purpose of the paper is to illustrate the place
inaction of others involved in the adoption; a situ-
of symbolic adoption in the adoption process. By
ational context which makes the timing of the
symbolic adoption, the authors mean the compo-
adoption inappropriate.
nent of the adoption process during which the idea
2. The concept of symbolic adoption makes it
is accepted, in contradistinction to the use com-
possible to pinpoint more precisely the variables
ponent in which the material object or practice is
that have a bearing on the total adoption process.
accepted.
For example, the following hypothesis is advanced:
sociological variables (such as congruence) will be
Method
most important in explaining symbolic adoption,
whereas economic variables (such as profitability)
The concept is evolved analytically, with abun-
will be relatively more important in explaining use
dant reference to relevant literature.
adoption.
Findings and Conclusions
3. Decisions concerning rejection and discon-
tinuance can be interpreted in light of the concept
1. By perceiving adoption as a two-phase process
of symbolic adoption. There are two classes of
(symbolic and use), it is possible to derive new
rejection: symbolic rejection and trial rejection.
insights into the phenomenon of lag or disjuncture
Discontinuance of use of an innovation may con-
in the adoption process. This lag frequently occurs
tribute to the symbolic rejection by others, to the
after symbolic adoption has taken place. The user
trial rejection by others, or to the discontinuance
may be deterred from completing the adoption
by others.
RESEARCH UTILIZATION:
157
SOCIAL WORK
Research-practitioner relationships
Utilization deterrents
CASE ANALYSIS
Kogan, Leonard S. The utilization of social work research. Social Casework, 1963, 44, 569-574.
Purpose
as a contribution to a specific decision-making
situation or as a contribution to knowledge.
Kogan traces the consequences and sequelae of
several research projects undertaken by the New
Method
York Institute of Welfare Research to show that
the impact and utilization of research varies
The generalizations drawn by Kogan about re-
according to the standpoint from which it is con-
search utilization stem primarily from personal
sidered-whether as specific or as general, whether
experience and observation. The author gives
268
PUTTING KNOWLEDGE TO USE
several examples from his period of service and
study revealed that steering, while less
then draws some concluding observations.
effectual, was the more common practice
among social workers. This research went
Findings and Conclusions
unheeded.
1. Examples of research studies and their
utilization.
2. Although there are specific reasons for each
instance of nonutilization there are some general
(a) Studies of movement-this was a series of
factors that contribute to nonutilization of research
studies carried out from 1945 to 1957 de-
findings.
signed to attain a standardized method of
measuring the results of social casework.
(a) The nature of the research and the research
Citing a bibliography on development, utili-
report-several reasons for nonutilization
zation, and appraisal of movement scales as
can be subsumed under this heading: (1) the
evidence, Kogan asserts that this research
results and recommendation may be stated
was being used in a rather wide variety of
ambiguously and be so beset with conditions
institutions and organizations.
that they are not readily applicable, (2) the
(b) Study of the use of case records—the insti-
research itself may be of dubious quality, so
tute conducted a study on records kept by
that the resulting recommendations must be
caseworkers, concluding that the design and
held in question, (3) the language of the
content of the case records should be deter-
report may be SO technical that the flow of
mined primarily by their utility to the
information to individuals who would make
worker in serving the clients. Suggestions
practical use of it is obstructed.
were made for modifications and improve-
(b) The user's characteristics and role power-
ment based on the data. The results from this
the motivation, capacity, and actual power
study were discussed, but action on the
of the practitioner to introduce change must
recommendations was tabled. It was not till
be considered. Unless the users understand
several years later that some changes were
the research and are motivated to accept the
made, and these were after another study
findings and further have the power to
had been conducted.
implement it, there will be little opportunity
(c) Study of open-floor plans-this investigation
to get the research into practice.
was designed to determine the acceptability
(c) Interactions and transactions between re-
of a new type of office plan. Employees
searchers and user-it is an accepted maxim
involved in a trial setup were interviewed to
that research has a better chance of being
determine their satisfactions with the new
utilized if there have been cooperative efforts
arrangements. The evidence was overwhelm-
between the researcher and user at all phases
ingly negative. The findings from the study
of the research. Lack of cooperation is not
contributed to a practical administration
only likely to prejudice users against the
decision to adopt an older, more conven-
information in that particular study, but
tional office plan. In this case the research
also is likely to widen the gap between user
was utilized immediately.
and researcher in general.
(d) Study of short-term cases-after reviewing
(d) Setting within which the research and the
the results of two different ways of handling
potential application take place-the organi-
short-term cases, the researchers found one
zational environment with its different pro-
method to be distinctly superior in achieving
grams, concern with costs and effects of
results. When patients were referred (social
modifications is likely to influence research
worker making the contacts) to another
utilization. Organizational variables are
agency, 80 percent received service. When
often overlooked, and they are often most
the caseworker chose to "steer" the client,
influential in determining utilization of
only 40 percent received needed aid. The
research.
SUMMARIES
269
158
RESISTANCE TO CHANGE: SOCIAL
Change process
Adopter characteristics
ANALYTICAL MODEL
LaPiere, Richard T. Adoption and the adopter. In R. T. LaPiere, Social change. New York: McGraw-Hill,
1965, pp. 174-212.
Purpose
2. There are, however, some less covert bases for
This is a summary of a chapter in a textbook
resisting an innovation.
dealing with social change viewed from a broad
(a) It is often a threat to vested interests in skills
historical perspective.
and knowledge. (The availability of synthetic
paints, and roller techniques of applying
Method
them have downgraded the position of
painter.)
Analytical, with an historical orientation.
(b) It is seen as a threat to status.
Findings and Conclusions
3. "Widespread individual resistance to an inno-
vation may become mobilized into organized oppo-
1. Sometimes there are valid reasons for resis-
sition, of which the simplest form is that arising
tance to the adoption of innovation (the prior one
informally among the members of a residential
didn't work out well, for example), but more fre-
community, an occupational grouping, or a social
quently the resistance has covert bases beyond
class." Our society abounds in examples
the
those expressed.
Ku Klux Klan, the antivivisection movement, etc.
(a) There is a pervasive fear of the unfamiliar.
4. Certain characteristics of the adopter are
"Fear of the unknown can even override the
identified.
certainty of acute physical pain."
(b) Resistance may be based on moral senti-
(a) Conservative and successful persons tend to
ments, principles, and precepts, not always
resist innovation. The person who is marginal
recognized by the resistors. (Refusal in India
and has nothing to lose will more willingly
to kill and eat a sacred cow despite famine;
be an adopter.
resistance to birth control among Catholics
(b) A person bent on upward mobility will often
despite problems of overpopulation.)
embrace an innovation in the hope that it
(c) Resistance is sometimes based on aesthetic
will speed him on his way.
values. (Resistance to use of hydrogenated
(c) Occasionally an adoption will be led by per-
vegetable oils in place of lard in cooking,
sons with prestige and then the innovation,
cholesterol to the contrary notwithstanding,
through the halo effect, will spread. (The fact
because the oil seemed tasteless and the
that in England in the late 19th century
pastries prepared with it seemed to lack
socialism was taken up by Shaw and other
texture.)
intellectuals gave the ideology a respecta-
(d) Sometimes elaborate rationalizations are ad-
bility it never achieved in America.)
vanced as the basis for resistance, because
5. The course of the adopter cycle may be traced
the foregoing moral and aesthetic considera-
as follows: initial resistance, accelerated accep-
tions are not recognized. For example, travel
tance once it is adopted, tapering off. The author
by train was once resisted on the premise
takes the position that virtually no innovation,
that the human body could not survive
however drastic it may seem during its "up" phase
traveling at the rate of 30 miles per hour.
in the cycle, really revolutionizes the affairs of man.
270
PUTTING KNOWLEDGE TO USE
159
APPLIED SOCIAL RESEARCH
Research-practitioner relationship
Change agent
Research utilization: social
ANALYSIS
Lazarsfeld, P. F., Sewell, W. H., and Wilensky, H. L. (Eds.). Introductory chapter in The uses of sociology.
New York: Basic Books, 1967, pp. ix-xxiii.
Purpose
4. The sociologist can play various roles, employ-
ing a variety of resources, meeting different types of
The introductory article sets forth the intent and
problems. Among the roles discussed by the several
scope of the collection of articles on the uses of
contributors are those of staff member in non-
sociology.
academic jobs, decision maker, teacher in specific
professional situations, consultant to government,
Method
social critic, and communications specialist.
The types of contributions of the articles are
5. Specialized research techniques and aware-
grouped under six topics: (a) types of problems fac-
ness of sociological variables are mentioned as part
ing the client; (b) types of clients; (c) the role of
of the resource equipment of the sociologist.
sociologists; (d) resources of the sociologist; (e) the
Constructs that stand out in terms of reference by
administrative setting; and (f) the social context.
contributors include the notions of stratification,
primary social relations, reference groups, and role
Findings and Conclusions
conflict.
6. Issues relative to administrative settings are
1. The central focus of the volume is collabora-
presented in four groups: (a) the problem of the
tion, or lack thereof, between clients and sociolo-
continuity of the relation between the sociologist
gists. The two central issues that the authors
and the client; (b) the question as to the rewards
analyze are: (a) difficulties of translating practical
derived from academic appointment; (c) the avail-
issues into research problems; and (b) unavoidable
ability and use of outside funds; and (d) difficulties
intellectual gaps between research findings and
within the university.
advice for action.
7. The social context impinges on the relation
2. Sociological contributions can be made to
between the sociologist and the client. There are
every phase of the social decision-making process,
different traditions and expectations of gain.
including the setting of goals as well as their imple-
Values differ, and there are questions of profes-
mentation. The tradition of social service to indi-
sional ethics. Problems may develop on methodo-
viduals and families has been broadened to encom-
logical grounds. There are intraprofessional differ-
pass the whole idea of community development.
ences in emphasis on autonomous knowledge versus
Organizational development, once considered the
applied work. Field-induced studies create issues
domain of the psychologist, is now shared with the
regarding the relation of sociologist to client.
sociologist, as are many problems in the political
8. The relation between decision making and
arena.
sociological knowledge is presented with the con-
3. Thus, decision makers from many fields pro-
clusion that whatever fund of knowledge has been
vide the clientele of sociologists. However, the uses
drawn upon, there comes the moment when one has
vary from group to group.
to make the leap from knowledge to decision.
SUMMARIES
271
160
GROUP PROCESS: SOCIAL
Change dynamics
Group dynamics
ANALYTICAL MODEL
Lewin, Kurt. Quasi-stationary social equilibria and the problem of permanent change. In W. G. Bennis,
K. D. Benne, and R. Chin (Eds.), The planning of change: Readings in the applied behavioral sciences.
New York: Holt, Rinehart & Winston, 1962, pp. 235-238.
Purpose
Findings and Conclusions
The author analyzes the change process, suggest-
Basically, the change process involves three
ing three steps necessary for effecting real change.
steps: unfreezing, moving, and freezing. The atti-
tudes, beliefs, and practices that keep the indi-
vidual or organization at the present level must be
unfrozen. The individual or organization must
Method
move to a new level or mode of behavior, and then
be frozen at this new level. Unless all three aspects
The ideas in this paper are based on the broad
of the change process are affected the change is
experience and observations of the author.
likely to be only temporary.
161
CHANGE PROCESS: SOCIAL
Change in cognition, affect, and
motoric action
ANALYSIS & SUGGESTIONS
Lewin, K., and Grabbe, P. Principles of reeducation. In W. G. Bennis, K. D. Benne, and R. Chin (Eds.),
The planning of change: Readings in the applied behavioral sciences. New York: Holt, Rinehart &
Winston, 1962, pp. 503-509.
Purpose
all his facts, concepts, beliefs, and expecta-
The authors outline principles related to the
tions;
process of reeducation.
(b) it modifies his valences and values, and these
embrace both his attractions and aversions to
Method
groups and group standards, his feelings in
regard to status differences, and his reactions
The ideas in this paper are based on the broad
to sources of approval or disapproval; and,
experience and observations of the authors.
(c) it affects motoric action, involving the degree
of the individual's control over his physical
Findings and Conclusions
and social movements.
1. Reeducation affects the individual in three
2. The authors suggest a number of principles
ways-
to keep in mind when attempting to create changes
(a) it changes his cognitive structure, the way he
in cognitive structures:
sees the physical and social worlds, including
(a) Even extensive firsthand experience does not
272
PUTTING KNOWLEDGE TO USE
automatically create correct concepts
system of which the individual is a part is
(knowledge).
also successful. If reeducation succeeds only
(b) Social action no less than physical action is
to the degree that the individual becomes a
steered by perception.
marginal man between the old and new,
(c) As a rule the possession of correct knowledge
nothing worthwhile has been accomplished."
does not suffice to rectify false perception.
(g) Acceptance of the new set of values and be-
(d) Incorrect stereotypes are functionally equiva-
liefs cannot usually be brought about item
lent to wrong concepts (theories).
by item.
(e) Changes in sentiments do not necessarily
(h) The individual accepts the new system of
follow changes in cognitive structure.
values and beliefs by accepting belonging-
(f) A change in action ideology, a real accep-
ness to a group. The group provides a cushion
tance of a changed set of facts and values, a
for the individual. The acceptance of the new
change in the perceived social world are dif-
system is linked with the acceptance of a
ferent expressions of the same process. "Re-
specific group, a particular role, a definite
education is only successful if a change in the
source of authority as new points of reference.
162
KNOWLEDGE UTILIZATION:
SOCIAL SCIENCE
Researcher-practitioner collaboration
Resistance reduction
ANALYSIS AND SUGGESTIONS
Likert, R., and Lippitt, R. The utilization of social science. In L. Festinger and D. Katz (Eds.), Research
methods in the behavioral sciences. New York: Dryden Press, 1963.
Purpose
(a) There must be motivation to seek and use
The authors seek to identify ways in which social
scientific resources. If motivation does not
practitioners and all citizens can utilize the re-
exist, it must be stimulated by demonstra-
sources of social psychology to improve personal
tions of potentiality, by complacency shock,
insight, policy making, program planning, and
and other approaches.
individual and group action.
(b) Operating problems must be redefined and
reformulated so that the potential user can
Method
perceive the relevance of scientific research
done elsewhere.
The paper is developed on the basis of the
authors' analysis, based on their own experiences,
(c) The social scientist, functioning as change
the literature, and case material. They explore two
agent, must orient himself to the action prob-
major areas: the situation in which there is a desire
lem as the practitioner sees it in order to do
to apply scientific knowledge discovered elsewhere
an intelligent job of selecting appropriate
to the solution of an existing problem, and the
scientific resources for application to this
situation in which there is a desire to apply research
particular situation.
procedures directly to help solve an existing prob-
(d) The social scientist should interpret data to
lem.
the practitioner within the framework of
behavioral dynamics.
Findings and Conclusions
(e) The social scientist must help the practi-
tioner understand the methodology of re-
1. With respect to using knowledge and theory
search application by facing such questions
derived from research carried out elsewhere, the
as the comparability of populations, com-
following points are made:
parability of situational dynamics, extrapo-
SUMMARIES
273
lation of theoretical generalizations to differ-
ings to help win acceptance of research
ent situations, and "experimental minded-
results.
ness" in trying new solutions.
(d) Encourage the use of self-analysis techniques
(f) The practitioner must be aided in interpret-
to promote the use of results:
ing, planning, and executing specific steps of
(1) State the results as objectively as pos-
action in his own situation. This requires
sible.
creative and realistic thinking about "what
(2) Let the group itself work out the inter-
would happen if," although the research
pretation of data.
which is being applied may be directed to
(3) Recognize and work through resistances,
quite a different level of questioning, such as
not gloss them over.
"why things are the way they are."
(4) Let the group set its own pace with re-
2. With respect to situations in which research
spect to accepting and applying the
methods are applied directly to problems of organi-
findings.
zations, the authors devote considerable attention
(5) Present the results in a positive atmos-
to a description of how to set up an internal research
phere, emphasizing first the results
department. Since this is of only secondary rele-
which show what is being done well.
vance to research utilization, it is not included in
(6) Provide opportunities to save face.
this summary. However, within the foregoing dis-
(7) Present the results in simple, non-
cussion, a section on "Assuring Use of Research
technical language in order to help the
Results" is highly relevant, and the following
group realize that the data deal with
points are abstracted:
their situation and are not something
belonging to the research organization.
(a) Induce cooperative rather than defensive
(e) Use hierarchical sources of influence; enlist
attitudes.
support of top management.
(b) Encourage participation of all concerned in
(f) Use data SO that it presses for action.
planning and interpretation.
(g) Appraise the use of research results by re-
(c) Plan for a presentation of preliminary find-
measurement.
163
CONSULTANT ROLE
Change process
ANALYSIS
Lippitt, Ronald. Dimensions of the consultant's job. In W. G. Bennis, K. D. Benne, and R. Chin (Eds.),
The planning of change: Readings in the applied behavioral sciences. New York: Holt, Rinehart &
Winston, 1962, pp. 156-162.
Purpose
helper (consultant) and a help-needing system
The author explores the function of the consul-
(client) in which the consultant is attempting to
tant in the change process and identifies some of
give help to the client in the solving of some current
the major challenges in that role.
or potential problem.
(a) The relationship is perceived as temporary
Method
by both parties.
The approach is analytical, with the perceptions
(b) The consultant is an "outsider"-that is, not
drawn from the author's considerable experience in
a part of any hierarchical power system in
the field.
which the client is located.
Findings and Conclusions
2. The consultant's first task is to identify the
1. The consultation relationship is defined as a
difficulty, determine its source, and find out what
voluntary relationship between a professional
is maintaining it.
274
PUTTING KNOWLEDGE TO USE
(a) To accomplish this task, he needs both a sys-
(b) Does he have training and therapeutic skills
tematic theory (such as: psychoanalytic
to match his skill at diagnosis?
theory, structure-function theory, learning
6. In establishing a consulting relationship, the
theory, social conflict theory), and a diag-
following preliminary steps are suggested:
nostic theory.
(b) Typical diagnostic orientations include:
(a) The client group must be helped in develop-
(1) An inappropriate distribution of power,
ing awareness of its needs.
too diffuse or too centralized.
(b) A trial period, during which expectations are
(2) Blockage and immobilization of produc-
clarified, is recommended.
tive energy.
(c) The consultant should establish relation-
(3) Lack of communication between the
ships with the total client organization and
subparts of the system.
avoid getting trapped with subgroups.
(4) A lack of correspondence between ex-
7. Phases of the change process through which
ternal reality and the situation as per-
the consultant guides the client include:
ceived by the client.
(a) The development of a need for change.
(5) A lack of clarity or commitment to goals
(b) The establishment of a consulting relation-
for action.
ship.
(6) A lack of decision-making and action-
(c) The clarification of the client problem.
taking skills.
(d) The examination of alternative solutions
3. The consultant must attempt to identify his
and goals.
own motivations for becoming involved in the help-
(e) The transformation of intentions into actual
ing relationship.
change efforts.
(a) He would do well to be aware that efforts to
(f) The generalization and stabilization of a new
stimulate change are sometimes perceived as
level of functioning or group structure.
manipulative.
(g) Achieving a terminal relationship with the
(b) Great sensitivity is required to determine
consultant and a continuity of change ability.
when it is prudent to initiate change-making
8. A successful process of consultation with an
activities. Is it done on the basis of individual
organization ends with at least three kinds of learn-
welfare? Group welfare? Institutional wel-
ings:
fare?
(a) The organization has learned to cope more
4. The consultant should assess the client's
adequately with the problems which initiated
motivations with respect to change.
the consulting process.
(b) The organization has learned how to func-
5. He should assess his own resources for giving
tion more adequately in clarifying future
the sort of help that is needed.
problems as they emerge and to seek outside
(a) Can he provide continuity-that is, stay with
help when needed.
the client to make sure his suggested im-
(c) The organization has learned new techniques
provements are soundly implemented?
for maintaining organizational health.
SUMMARIES
275
164
CHANGE PROCESS: EDUCATION
Change strategies
ANALYTICAL MODEL
Lippitt, Ronald. Roles and processes in curriculum development and change. In R. R. Leeper (Ed.),
Strategy for curriculum change. Washington, D.C.: Association for Supervision and Curriculum
Development, 1965.
Purpose
interdisciplinary work between teachers
(practitioners) and the social science fields.
In this article, Lippitt analyzes the change pro-
(g) There is lack of clear feedback to reinforce
cess in education. He outlines the problems con-
change efforts.
fronting any change effort, presents a simple
(h) There is a feeling among administrators that
change model and suggests several factors that
there will be reactions against experimenta-
could help establish a favorable atmosphere for
tion in the larger community of parents,
change.
agencies, organizations, and boards of educa-
Method
tion.
2. The Change Process-after reviewing several
The ideas in this paper are based on the broad
models of change, Lippitt represents the change
experience and observations of the author.
process as: identification, development, and diffu-
sion. Feedback is a crucial factor in all three phases
Findings and Conclusions
of the change process.
1. Change Problems in Education-Lippitt sees
3. Change at Different Hierarchical Levels-the
the following as the problem areas confronting
author suggests that there are different levels at
educational change efforts:
which educational innovation can occur. There is
danger in attempting to implement change through
(a) Most significant changes in education imply
levels that are nonrelevant. The educational levels
and require some changes in the attitudes,
he outlines are: (a) the classroom level, (b) the
skills, and values of the practitioner in order
school building level, (c) the school system level,
to implement the change successfully. Lip-
(d) the community system level. Some changes
pitt asserts that this factor differentiates
require a system-level adoption before individual
education from agriculture or industry where
teachers can use the innovation in the classroom;
innovation adoption is often possible without
others require only that the teacher be convinced
deep attitude or value change. For example,
of their value, and willing to experiment with use.
the adoption of a new type of seed corn
The efficient implementation of educational
doesn't require a value change on the part of
changes requires an analysis of the organizational
the farmer.
level at which the innovation must be adopted
(b) A great proportion of the significant new
before it can be used.
inventions in education remain quite invis-
4. Factors Promoting a Favorable Atmosphere
ible, undocumented, inaccessible for con-
for Change-according to Lippitt the following
sideration by potential adopters.
factors should help to promote a favorable attitude
(c) A generally negative attitude surrounds the
toward change in education within the next few
individual inventor. In education the teacher
years.
is often responsible for being her own inven-
tor, thus stirring up negative attitudes
(a) The action of the government.
toward herself when she is inventive.
(b) The explosion in continuing education plans
(d) There is a significant lack of professional
and opportunities.
communication networks and change agents.
(c) Development of materials available for
(e) Often colleague relations inhibit the trial and
teachers.
adoption of new ideas.
(d) Demonstration projects within schools and
(f) There is a very significant lack of creative
regions.
276
PUTTING KNOWLEDGE TO USE
(e) Development of resource libraries and re-
(f) Development of communication technology.
trieval systems.
(g) Use of human aides.
165
RESEARCH UTILIZATION: SOCIAL
Research utilization characteristics
Utilization strategies
Change agent
ANALYTICAL MODEL
Lippitt, Ronald. The use of social research to improve social practice. American Journal of Orthopsychiatry,
1965, 35(4), 663-669.
Purpose
(e) Outside applied researchers can supervise
This paper explores the processes by which scien-
a self-study process within the organization.
tific knowledge and scientific personnel can be used
(f) Practitioners can be trained to be consumers
to help develop and validate significant improve-
of science and of scientific resources in order
ments in educational and social practice.
to be effective users of scientific knowledge.
Method
2. The following special characteristics of re-
search utilization in the social sciences (as distin-
The author draws upon his professional experi-
guished from the physical and biological sciences)
ence, particularly as program director of the Cen-
are cited:
ter for Research on Utilization of Scientific Knowl-
(a) Adoption of significant new educational or
edge (CRUSK) at the University of Michigan.
social practices calls for changes in values,
Specific CRUSK projects are cited in support of
attitudes, and skills; hence a deeper personal
the generalizations advanced.
involvement and potentially more problems
of resistance.
Findings and Conclusions
(b) Changes in mental health or education are
1. Six patterns of use of scientific resources are
more likely to be adaptations rather than
identified.
adoptions of the innovations of others.
Innovation is a new pattern of behavior
(a) An action design can be developed by the
rather than a new thing (piece of agriculture
retrieval of relevant research findings, an
equipment, new drug, etc.).
analysis of implications and the subsequent
(c) The concept of "social invention" is not
formulation (through brainstorming, for
adequately developed. Hence, procedures for
example) of a program design.
documenting and validating are sketchy or
(b) An experimental program can be designed,
nonexistent; many creative new practices
tested for feasibility outside the system, and,
are invisible and inaccessible.
if it proves successful, recommended for
(d) The social practitioner gets very little feed-
adoption.
back about the effectiveness of his adoption
(c) Creative innovations can be identified in a
effort.
comparable practice setting and practitioner-
(e) There is very little impetus for the practi-
to-practitioner communication can be im-
tioner in education or mental health to take
proved.
risks in searching for and using new re-
(d) An organization or agency can contract with
sources.
a professional team to collect diagnostic data
(f) In the social practice fields, linkage is par-
relevant to a specific problem, analyze it,
ticularly inadequate between researcher and
and provide feedback.
practitioner.
SUMMARIES
277
3. The foregoing analysis suggests some specific
(b) He must provide training to the practitioner
functions of the linking agent in the social practice
group in diagnosis of problems and imple-
fields.
mentation of change.
(a) He must not only identify the appropriate
knowledge sources but help the practitioner
(c) He must (in addition to linking researcher to
work through the implications of the knowl-
practitioner) link creative practitioners to
edge for this specific setting.
each other.
166
RESEARCH UTILIZATION: SOCIAL
Change agency
Linkage process
CASE STUDY-ANALYSIS
Lippitt, Ronald. The process of utilization of social research to improve social practice. In W. G. Bennis,
K. D. Benne, and R. Chin (Eds.), The planning of change (2nd ed.). New York: Holt, Rinehart &
Winston, 1969, pp. 142-146.
Purpose
improvement of practice.
The article sets forth and illustrates with case
2. Three "external" patterns are described as:
instances six patterns for utilizing social research
(a) Identifying the problem and retrieving infor-
in attacking specific social problems.
mation from the outside.
(b) Conducting an extra-system feasibility test
Method
of a design procedure to meet some social
practice issue.
The author's observations are based on a number
(c) Identifying creative innovations by practi-
of brief, but varied, experiences with problems of
tioners and diffusing them to other com-
scientific utilization encountered by the Center for
munities, agencies, or organizations.
Research on the Utilization of Scientific Knowledge
of the University of Michigan. The experiences
3. Three "inner" system patterns are:
related to such problems as delinquency control,
(a) The organization and the researcher collabo-
educational motivation of culturally deprived chil-
rate in collecting and analyzing diagnostic
dren, and the productivity of work groups in
data that are fed back for sponsor's use.
government and industry.
(b) Applied scientists supervise self-study to
train local staff members to collect and pro-
Findings and Conclusions
cess data, interpret the findings, and spell
1. Patterns of research utilization may be
out implications for change.
grouped under two broad categories: (a) those that
(c) Consumers of scientific resources are edu-
bring into the "science consumer system" new
cated by training in scientific methods and
knowledge and validated practice from the outside;
concepts and by laboratory science courses.
and (b) those that develop scientific knowledge
4. Training of linking agents should include
within the system, and then utilize it as a basis for
skills needed for utilizing these six patterns.
278
PUTTING KNOWLEDGE TO USE
167
RESEARCH UTILIZATION:
MENTAL HEALTH
Utilization factors
Utilization measures
Researcher-practitioner collaboration
EMPIRICAL STUDY
Lippitt, R., and Butman, R. W. A pilot study of research utilization aspects of a sample of demonstration
research mental health projects. Final report for Contract No. PH-43651047. Rockville, Md.: National
Institute of Mental Health, 1969.
Purpose
sor (sponsor-host projects) or whether only a single
The stated purpose of the pilot study was: (1) to
service-delivering organization was involved
find out what happened to projects funded under
(single-site project).
the Title V grant program, in terms of such criteria
Findings and Conclusions
as the development of program models, the con-
tinuation of the operation of the model after ter-
1. Sponsor-host projects place more emphasis
mination of the grant, documentation of the model
than do single-site projects on research and valida-
in a manner suitable for diffusion and adoption,
tion as the means to prepare the results of demon-
validation of the model through evaluation pro-
stration for communication to target adopter
cedures, accessibility to inquiry from others inter-
organizations. The single-site project tends, instead,
ested in considering adoption; and (2) to develop a
to be service oriented.
methodology and plan for more comprehensive ex-
2. High payoff is more likely for sponsor-host
ploration of Title V demonstration grants and other
projects: (a) when existing personnel are involved
funded activities.
in the demonstration, (b) when there is little
change in structure or roles, (c) when there is good
Method
coordination between personnel performing differ-
ent functions or in different organizations, and (d)
Some 36 demonstration projects, distributed
when this coordination is aided by training and/or
among five midwestern states, constituted the
opportunities for continuous communication.
sample. For each project, the proposals were
Single-site projects do not have comparable linkage
studied and site visits were carried out. The data
problems; they are not usually required to use per-
thus gathered were analyzed in terms of the follow-
sonnel in unfamiliar roles and they rarely have to
ing questions: What is the meaning of "payoff" for
coordinate with other organizations, except to bor-
a particular project? Which aspects of project
row resources.
design have the most important relationship to
3. Pretesting does not contribute to payoff in
project payoff (that is, diffusion)? How widespread
either type of demonstration setting.
and deliberate is the preparation and planning for
4. Perception of diffusability contributes to pay-
diffusion, and what relationship does this have to
off in either type of demonstration setting.
project payoff? (The process of analysis involved
5. The spread function is often performed in the
only 30 of the projects in the sample, six having
sponsor-host condition; it is uncommon in the
been discarded for a variety of reasons.) In the
single-site condition.
analysis, the independent variables were informa-
6. When project personnel have an opportunity
tion about planning, execution of demonstration,
to share the innovation with others, high payoff is
and involvement in spread effort. The dependent
likely, whether or not the innovation has been
variables represented the diffusion that resulted
documented or evaluated, and regardless of prior
after demonstration. In summarizing the results of
concern about spread.
their payoff analysis, the investigators organized
7. High payoff is more characteristic of projects
their findings in terms of whether the project was
where key personnel remained after the funded
carried out by an organization other than the spon-
period.
SUMMARIES
279
8. High payoff apparently occurs when person-
(d) Projects need continuing support of consul-
nel are available, when demonstration is easy to
tants throughout the operational period;
handle, when opportunities to promote use are
these troubleshooters can aid with training,
available, when personnel are motivated to spread
documentation of project, developing rapport
and when the energies directed toward spread are
between researchers and practitioners, plan-
sufficient to capitalize on other conditions.
ning and carrying out continuation efforts.
(e) Projects need help with planning and carry-
9. The following implications for future use of
ing out spread activities
starting in the
demonstration are cited by the investigators:
planning phase of the project itself.
(a) Linkage of resources needs to be more
(f) Personnel may need some kinds of retraining
numerous, better handled, and well thought
experiences at the end of the project, to make
out.
the shift from operations to diffusion.
(b) All projects need to have more awareness of
(g) Many of the above types of assistance could
the needs of potential adopters and the
be provided by change agents developed
means to assess and evaluate ways of com-
within the funding agency or at least avail-
municating with them.
able to the funding agency.
(c) Projects could benefit from a "feasibility of
(h) Interchange via conferences (of proposal
demonstration" analysis before the proposal
writers, of persons focusing on the needs of
is written or as the second step in a two-step
demonstration projects) could resolve prob-
proposal.
lems which tend to diminish payoff.
INNOVATION: EDUCATION
168
Diffusion measures
Attitude toward change
EMPIRICAL STUDY
Lippitt, R. and Fox, R. Identifying, documenting, evaluating, and sharing innovative classroom practices.
Washington, D.C.: U.S. Department of Health, Education, and Welfare, 1967.
Purpose
pating schools. Teachers were later asked to re-
spond by postcard to the Catalogue in terms of the
To identify innovative classroom practices; to
suggested practices they planned to use. The
develop criteria for evaluating the importance of a
generally poor response to the Catalogue of Prom-
particular classroom innovation; to identify factors
ising Practices resulted in the implementation of a
that impede or encourage sharing and adopting
second approach, the Sharing Institute.
these practices.
A one-day Sharing Institute was developed
which consisted of: (1) having the participating
Method
teachers and administrators meet to listen to and
The experiment was conducted in two parts. The
discuss lectures by professionals on the necessity
first procedure involved a questionnaire that asked
for developing and communicating innovative
teachers to nominate innovative colleagues and
teaching techniques; (2) forming small groups (8-10
outline the practices which, in their opinion, made
persons) to outline forces supporting and inhibiting
these nominees creative teachers. A method for
innovative sharing, followed by discussion of these
evaluating these practices was developed by a team
by the conference as a whole; (3) having the teams
of social scientists on the basis of objective criteria.
reconvene and propose teaching inventions that
Thirty of the most promising practices were se-
would make a contribution to their colleagues; (4)
lected, written up in a Catalogue of Promising
distributing these proposals to participants, who
Practices, and distributed to teachers of partici-
then completed assessment forms evaluating the
PUTTING KNOWLEDGE TO USE
280
Sharing Institute experience as a method of educa-
3. Some of the findings from the Sharing Insti-
tional interchange and improvement.
tute.
Findings and Conclusions
(a) There exist barriers to sharing and adoption
of educational innovations.
1. Postcard responses to the first identification
(1) Within the school: lack of scheduled time
and evaluation procedure (i.e., distribution of the
to discuss new ideas; lack of administra-
Promising Practices Catalogue) proved to be less
tive cooperation and unsatisfactory rela-
favorable than responses to the Sharing Institute
tions among school staff; different levels
experience.
of maturity among children.
(a) 12 percent of the respondents to the cata-
(2) Within the school system: lack of com-
logue reported that they did not understand
munication between schools; lack of pro-
the book or found nothing new in it.
fessional consultants; lack of opportunity
(b) 25 percent of those responding reported they
to observe other school systems.
(3) Within the teacher: lack of self-confi-
would try one of the practices outlined in the
book.
dence; fear of criticism; fear of asking for
(c) 63 percent did not return the evaluation
or giving advice; difference with col-
postcard.
leagues over educational philosophy and
(d) Of the 25 percent responding to the evalua-
goals.
tion postcard, only 20 percent had used any
(b) There exist conditions which encourage shar-
of the suggested practices; reasons given for
ing.
not using these suggestions included: a lack
(1) Within the school: good communication
of time, ambiguity of the catalogue contents,
between teacher and pupil; scheduled
inapplicability of the suggestions, etc.
time for idea sharing; supportive attitude
of principal; reduced class size; good
2. Response to and participation in the Sharing
communication between experienced
Institute experience were highly favorable. The
and newer teachers; the existence of a
Sharing Institute was devised to: (a) help teachers
liaison person who would communicate
recognize the need to share professional practices,
or disseminate good practices.
and to cope with and understand restraints against
(2) Within the school system: up-to-date
sharing, (b) provide an opportunity for interper-
professional library; system-wide grade
sonal exchange of their teaching inventions, and
level meetings; administrative and school
(c) provide a model for further sharing experiences.
board support of sharing.
(3) Within the teacher: positive attitude
(a) 83 percent of the participants rated the expe-
toward change; ability to adjust or adapt
rience as helpful or very helpful.
to change; self-confidence; desire for
(b) Over 90 percent of the participants indicated
professional growth and recognition as
a desire to attend similar meetings in the
an innovator; concern for the educational
future.
growth of children.
SUMMARIES
281
169
RESEARCH UTILIZATION
Adoption measures
Diffusion: education
ANALYSIS
Lippitt, R., and Havelock, R. Needed research on research utilization. In Research implications for educa-
tional diffusion. East Lansing, Mich.: Department of Education, Michigan State University, 1968.
Purpose
be organized (perhaps by a consultant) in a
way which will be applicable.
This is one of a group of papers presented at the
(b) A change agent initiates effort to communi-
National Conference on the Diffusion of Educa-
cate resources of knowledge that he believes
tional Ideas, held March 26-27, 1968, at Michigan
are relevant to the target person. To be effec-
State University. The overall purpose of the con-
tive, this must be done in a climate of trust,
ference was to explore what happens within and
with ample support to the potential user
around the local educational agency which brings
who, ideally, should not be made to feel that
about the adoption of innovations in education.
he is "playing for keeps" when first under-
The specific paper being summarized has as its
taking change.
stated purpose outlining the research utilization
(c) A third party, acting as the referral or linking
problem in education and identifying needed types
agent, initiates and supports efforts to get
of inquiry that should be attempted on research
relevant knowledge resources linked to po-
utilization.
tential consumers. This is often effected by a
"temporary system" of an inside-outside
Method
team. A critical question here: How can the
The context of the paper is drawn from the exten-
insider serve as innovation carrier to the sys-
sive experience of both authors. Dr. Lippitt dis-
tem without losing his membership and
cusses "The Process of Internal Linkage in Re-
status in that system?
search Utilization" and Dr. Havelock, in the second
2. Once the potential user is aware of the inno-
half of the presentation, deals with "The External
vation and has decided to adopt it, his success in
Process: Roles, Organizations, and Systems for
implementing the change can be enhanced if he
Knowledge Linking." Since the Havelock segment
engages in anticipatory rehearsal, role playing the
is devoted primarily to what yet needs to be done,
situation of the first effort at utilization.
it is less relevant for the purposes of this study;
3. The adopting unit most needs outside support
accordingly, only the Lippitt segment is herewith
at the point of greatest risk taking. What is still not
summarized.
known is what types of support for adoption effort
are needed for what types of innovation in what
Findings and Conclusions
types of social contexts.
4. The potential adopter should understand that
1. Three patterns are identified in the connec-
resistance within himself is natural and acceptable
tions between resources for new knowledge and
as he considers any new potential materials or be-
potential users:
havior patterns. Sometimes the resistance has a
(a) The potential adopter initiates the connec-
realistic basis: The adopter is legitimately asking:
tion, looking for needed resources because he
"How does that fit into my situation?" Sometimes
recognizes a need for improvement. The
the resistance (within the individual as well as
sense of having a problem is not necessarily
among members of a group) can be dispelled or
enough to assure that his search will be suc-
clarified through human relations sensitivity training.
cessful. He needs to feel that the search for
5. The author suggests that there is just as much
help is legitimized-that is, that the seeker
danger in slavishly following the fad of change as in
will not be inhibited by fear of being judged.
chronically resisting change.
He needs to know how to ask the right ques-
6. In many cases, innovation is unsuccessful in
tion. It is important that the new knowledge
the adopter's first attempt and hence is dropped.
282
PUTTING KNOWLEDGE TO USE
This initial failure may be caused by lack of proper
which might lead to revision of innovation. The
preparation for the new practice; it may be "moti-
initial go-around of the new practice should be
vated" failure (that is, an expression of resistance);
given the greatest possible sense of success-even
it may be caused by lack of outside support during
if it is only success on a small scale-to insure its
period of risk-taking as well as lack of feedback
continuity.
170
PLANNED CHANGE
Change strategies
Utilization factors
Change agent
ANALYTICAL MODEL
Lippitt, R., Watson, J., and Westley, B. The dynamics of planned change. New York: Harcourt, Brace, 1958.
Purpose
neurotic individual, the fragmented com-
The purposes of the study are: (1) to compare
munity)-the change agent emphasizes the
method and operating principles of a number of
contrast between productive use of energy in
professional change agents, (2) to seek a conceptual
rational attempts to solve problems realis-
framework for helping techniques, (3) to survey re-
tically and the nonproductive waste of energy
search related to theories of planned change and to
in frustration and internecine conflicts. He
determine research priorities, (4) to relate findings
may, in some situations, be concerned with
to the training of graduate students in disciplines
improving the economy of energy use in
applicable to the change agent.
already relatively healthy systems by relat-
ing the subparts of a system more effectively
Method
to the whole.
(c) Breakdown in communication (blocked situ-
The study is developed on the basis of review of
ations in therapy, organizations suffering
the literature plus the extensive experience of the
from lack of feedback)-some change agents
authors. The emphasis is on the professional change
try to correct defective patterns of communi-
agent vis-a-vis four types of client systems: the
cation within a client system and others use
individual, the small group, the large organization,
communication as a means of exerting pres-
and the community. The authors concentrate pri-
sure on the client system to change. In the
marily on problems of planned change that occur
latter case, the concern is not so much with
in psychological processes, social relations, inter-
removing pathological barriers as with stimu-
personal processes, problem-solving procedures,
lating an increased flow of information.
and processes of social alignment or structure.
2. The following problems of external relation-
Findings and Conclusions
ships of client systems are identified:
1. The following problems of internal relation-
(a) Discrepancy between the environment as it
ship within client systems are identified:
actually exists and as it is perceived by mem-
bers of the system (autism, inappropriate
(a) Faulty internal distribution of power (too
frame of reference, etc.)-a client system is
highly concentrated, too diffuse, exerted in
helped toward a new experience of reality by
harmful or ineffective ways)-correctively,
means of the creation of a special reality which
the change agent tries to develop new centers
will simplify and emphasize the cues needed
of power or make old ones more representa-
for objective perception (by means of a thera-
tive of the client system as a whole.
peutic environment, for example, or a labora-
(b) Faulty internal mobilization of energy (the
tory environment).
SUMMARIES
283
(b) Need to bring about changes in the goals and
(f) Change can be impeded by outside inter-
values which guide the client system-the
ference rather than by internal resistance.
change agent sometimes simply asks the
Other projects might compete with the change
client to try new behavior in the hopes that
project for the time, energy, and money of the
changes in values and attitudes will follow.
client system; there might be incorrect or
In other cases, the client's situation changes
inadequate information about how to carry
SO that it is either forced into new behavior
out the change project; or the environment
or led into it naturally.
may simply be intractable.
(c) Inadequacy of relational and problem-solving
4. The role of the change agent includes the
skills-a client system can be helped to im-
following activities:
prove its external relationships by developing
skills which can be used in problem solving or
(a) diagnosing the nature of the problem in the
in improving human relations. In fulfilling
client system;
this function, the change agent acts as re-
(b) assessing the client system's motivations and
source and catalyst. He does not allow a
capacities to change;
dependency relationship to spring up be-
(c) appraising the agent's own motivations and
tween himself and the client system, and he
resources;
does not attempt to impose his own goals for
(d) selecting appropriate change objectives;
change.
(e) choosing an appropriate type of helping role;
(f) establishing and maintaining the helping
3. During the change process, the client system
relationship;
is exposed (sometimes simultaneously, sometimes
(g) recognizing and guiding the phases of the
alternately) to change forces and to resistance
change process;
forces.
(h) choosing the specific techniques and modes
behavior which will be appropriate to each
(a) Some change forces manifest themselves at
progressive encounter in the change relation-
the beginning of the change project; these
ship; and
include dissatisfaction and pain, perceived
(i) contributing to the development of the basic
discrepancy between the state of affairs as it
skills and theories of the profession.
is and as it might be, and the need for change
in order to keep up with varying sets of re-
5. Seven phases in the process of planned change
quirements (competitive pressures in in-
are identified and generalizations are made for
dustry, for example).
each phase.
(b) Some change forces more characteristically
(a) The development of a need for change-this
emerge during the change process; these
includes an awareness of the problem, a
include the need to complete a task which
recognition that the condition might be im-
has been begun, the need to meet the expec-
proved as the result of change, and a willing-
tations and demands of the change agent,
ness to seek outside help in bringing about
and the need for change to penetrate an
the change.
entire system after one part of the system is
(b) The establishment of a change relationship-
significantly changed.
this involves developing rapport with the
(c) Resistance forces evident early in a change
change agent, making certain that the change
project include general opposition to change,
agent understands what needs to be done and
inability to change, opposition to a specific
that the client system understands what sort
change objective, and desire to preserve exist-
of collaboration it must provide. In an organ-
ing satisfactions.
ization, procedural questions must be settled
(d) Once a project is underway, resistance may
(Who pays? How much? Who will serve as
arise from a reevaluation of costs, reassess-
liaison?). Sometimes this phase serves as a
ment of difficulties encountered in the pro-
trial period, during which the decision to
ject, loss of energy and motivation, and prob-
work together is readily reversible.
lems in relationship with change agent.
(c) The clarification or diagnosis of the client
(e) The interdependence among the subparts of
system's problem-original perceptions con-
a system and between the system and its en-
cerning the problem are sharpened, relevant
vironment can generate both change forces
data are collected, the problem is redefined,
and resistance forces.
and the client takes a new look at it.
284
PUTTING KNOWLEDGE TO USE
(d) The examination of alternative routes and
and the need for help (as in training
goals; establishing goals and intentions of
laboratories).
action-this is the stage in which the client
(2) If a third party initiates the change se-
system translates its diagnostic insights first
quence: (a) the change agent must clarify
into alternative means of action and then
to the client the relationship of the con-
into definite intentions to change in specific
sultant to the third party (dispel sus-
ways. In this process, both cognitive and
picion of collusion for example); (b) the
motivational problems are likely to arise.
change agent should use the third party
(e) Transformation of intentions into actual
as a source of help.
change efforts-this is the phase during
(3) If the client system initiates the change
which strong support from the change agent
sequence, the change agent must help
is needed. It is important, too, to get feed-
the client identify the need for change
back from various subparts of the system and
and the readiness for it.
to make certain they are supporting the
(b) In the process of establishing a change rela-
change.
tionship, the change agent should:
(f) The generalization and stabilization of
(1) Assess the client's capacity to accept and
change-too often change which has been
use help.
produced by painstaking and costly efforts
(2) Assess the client's motivation to accept
tends to disappear after the change effort
and use help (for example, is it primarily
ceases, and the system, though it wanted the
a striving for power?).
change, slips back into its old ways. Positive
(3) Assess his own (the change agent's) re-
evaluation and rewards help stabilize change.
sources and motivation (Is his training
Spread of change to other systems endows it
applicable? Are the techniques which
with status and thus helps stabilize it. Pro-
have worked elsewhere transferrable to
cedural change tends to be stabilized if it is
this situation?).
supported by structural change.
(4) Obtain a mutuality of expectation for
(g) Achieving a terminal relationship-ideally,
the change relationship (How much will
the relationship with the change agent is ter-
it take? How many people will be in-
minated with the client system having
volved?).
learned problem-solving techniques which
(5) Clarify expectations about the kind and
will carry over into new and different prob-
amount of work which will be required.
lems. Sometimes it is sound to train someone
(6) Anticipate difficulties which will emerge
within the system who, to a certain extent,
in the change relationship.
will serve as an ongoing replacement for the
(7) Define the influence relationship (con-
change agent.
siderations of coerciveness and depen-
dency).
6. Certain specific "helping methods" applicable
(8) Clarify special goals of the change agent
to each of the above phases are cited.
(which may not always be manifest to
client).
(a) The development of need for change:
(c) In the diagnostic phase, the change agent
(1) If the change agent initiates the change
must:
sequence, he: (a) must make known his
(1) Obtain information (by direct question-
availability and readiness to help (pub-
ing, by seeking it from neighboring sys-
licity, brochures, organizational links);
tems, by demonstration of problem, by
(b) heighten or spread sensitivity to spe-
participant observation, by projective
cific problems (shock technique, using
communication).
system's most sensitive persons, estab-
(2) Process information (by assuming gener-
lishing himself within group as observer,
ality of problem, by acting independent-
conducting problem census); (c) offer
ly, by acting cooperatively with client, by
help in solving acknowledged problems
encouraging client self-analysis).
(sometimes exploiting existing power
(3) Stimulate understanding and acceptance
conflict); (d) create special social atmos-
of diagnostic insights.
phere in which the accepted standard is
(4) Impart diagnostic skills.
to recognize the existence of problems
(d) In establishing goals and intentions of
SUMMARIES
285
action, the change agent should:
sometimes show up belatedly).
(1) Define the direction of change.
(6) Cultivating (in the client) the perception
(2) Arouse and support intentions to change.
of change as a continuing institution.
(3) Provide opportunities for anticipatory
(g) To prepare the client for optimal termination
testing.
of the change agent's role, the latter should:
(4) Develop and mobilize competence in
(1) Train the client in problem-solving
action.
methodology.
(e) In initiating the change effort, the change
(2) Arrange for some of his functions to be
agent's techniques may include:
permanently incorporated in the client
(1) Giving direct support to the client sys-
system.
tem during the initiation of change (con-
(3) Arrange for periodic checkups to prevent
sultation, demonstration, observation,
recurrence of original problem.
etc.).
(4) Train the client concerning when and
(2) Developing support within the larger
how to seek further help.
client system for change efforts by a
7. The authors stress the need for a unified
subpart.
theory of change and changeability and for the
(f) Techniques for the stabilization of change
establishment of priorities for research and exper-
include:
iment (for example, the effectiveness of different
(1) Providing credible evaluation of effects
change agent techniques needs more precise evalu-
of change.
ation).
(2) Exploiting the momentum of the change
effort as a stabilizing factor.
8. Finally, the requirements for the training of
(3) Exploiting the pride of status as a stabi-
change agents are delineated. Among the valid
lizing factor.
areas of specialization are: by type of client system;
(4) Encouraging the spread of change
by diagnostic orientations and methods; by areas
through demonstration.
of change objects; by level of problem; by type of
(5) Offsetting the forces of resistance (which
change method.
INNOVATION: EDUCATION
171
Diffusion characteristics
Practitioner characteristics
EXPERIMENTAL STUDY
Lippitt, Ronald, et al. The teacher as innovator, seeker, and sharer of new practices. In R. E. Miller (Ed.),
Perspectives on educational change. New York: Appleton-Century-Crofts, 1967, pp. 307-324.
Purpose
of meetings with school personnel.
The field experiment consisted of a project spon-
Teachers' general reluctance to change is dis-
sored jointly by the Center for Research on the
cussed in terms of the forces that facilitate and
Utilization of Scientific Knowledge (CRUSK) and
those that hinder innovation and diffusion in the
the Department of Classroom Teachers of the
field of education; the preliminary findings of a
Michigan Educational Association, which was de-
field experiment dealing with the innovation-
signed to encourage more communication and sup-
diffusion process among teachers are discussed.
port among teachers and other educational profes-
sionals during innovation and diffusion of new
Method
teaching practices.
The analysis of facilitating and hindering forces
Area teams, composed of teachers (selected as
in educational change was generated from a series
opinion leaders), counselors, principals, librarians,
286
PUTTING KNOWLEDGE TO USE
superintendents, curriculum coordinators, and
havior patterns of teachers and administrators.
assistant superintendents, were developed for each
Therefore, it demands more commitment, risk
of four participating school districts. The teams
taking, and help from outsiders than innovation
were designed to function as a liaison group be-
and change in fields where innovation involves
tween the CRUSK staff, the Department of Class-
nothing more than the introduction of new physical
room Teachers, and teachers in the school systems,
products.
and were given responsibility for developing and
implementing the plans for stimulating innovation
2. The forces that facilitate and hinder innova-
and diffusion.
tion and diffusion in the teaching field can be
Findings and Conclusions
related to: (a) characteristics of the practice, (b)
physical and temporal arrangements, (c) peer and
1. Innovation and change in education often
authority relations, and (d) personal attitudes. A
involves changing the attitudes, values, and be-
list of these forces follows.
FORCES RELEVANT TO THE FACILITATION AND HINDRANCE OF INNOVATION AND
DIFFUSION OF TEACHING PRACTICES
Facilitating forces
Hindering forces
1. Characteristics of the Practice
A. Revelant to universal student problems.
A. Does not meet the needs of a class.
B. Can be done a little at a time.
B. Requires a lot of energy.
C. Consultant and peer help available, needed skills are
C. Requires new skills.
clearly outlined.
D. Clearly aids student growth.
D. Requires change in teacher values.
E. A behavioral change with no new gimmicks.
E. Requires new facilities.
F. Built in evaluation to see progress.
F. Won't work.
G. Innovation has tried a new twist.
G. Not new.
H. Student, not subject, oriented.
H. Not for my grade level or subject.
I. No social practice can be supplicated exactly.
I. Effectiveness reduced if practice gains general use.
2. Physical and Temporal Arrangements
A. Staff meetings used for professional growth, sub-
A. No time to get together.
stitutes hired to free teacher(s) to visit other
classrooms, lunchtime used for discussions, students
sent home for an afternoon SO teachers can all
meet together.
B. Extra clerical help provided.
B. Too many clerical duties to have time to share ideas.
C. Staff meetings for everyone to get together, occasion-
C. Classrooms are isolated.
ally; grade level or departmental meetings.
D. Meetings held in classrooms.
D. No rooms to meet in.
3. Peer and Authority Relations
A. Sharing sessions or staff bulletins become a matter
A. Little communication among teachers.
of school routine.
B. Public recognition given to innovators and adopters;
B. Competition for prestige among teachers.
innovation diffusion seen as a cooperative task.
C. Sharing ideas is expected and rewarded; norms sup-
C. Norms enforce privatism.
port asking for and giving help; regular talent
search for new ideas.
D. Area team liaison supports new ideas.
D. Colleagues reject ideas.
E. Principal or superintendent supports innovation-
E. Principal is not interested in new ideas.
diffusion activity.
F. Principal helps create a staff atmosphere of sharing
F. School climate doesn't support experimentation.
and experimentation.
G. Staff meetings used as two-way informing and
G. Principal doesn't know what's going on.
educating sessions.
H. Teachers influence the sharing process.
H. Teacher ideas don't matter.
SUMMARIES
287
4. Personal Attitudes
A. Seeking new ways.
A. Resisting change.
B. Seeking peer and consultant help.
B. Fearing evaluation and rejecting failure.
C. Always open to adapting and modifying practices.
C. Dogmatism about already knowing about new
practices.
D. Public rewards for professional growth.
D. Feeling professional growth not important.
E. See groups as endemic and relevant for academic
E. Negative feelings about group work.
learning.
F. Understand connection between mental health and
F. Mental health is "extra."
academic learning.
G. Optimism.
G. Pessimism.
H. Test ideas slowly.
II. Afraid to experiment.
I. Suiting and changing practice to fit one's own style
I. Resistance to imitating others.
and class.
3. There are two basic processes for linking
sional activities than teachers who are not
teachers to new resources and supporting their
so highly committed.
innovative efforts:
(g) Teachers who are generally open and ready
(a) Vertical linking-vertical linkings are
to share also seem to be more willing to talk
bridges between the teacher and higher
about professional educational experiments
status individuals who can provide informa-
than other teachers.
tion and needed resources. The most com-
(h) The younger and older teachers appear to be
mon vertical linkage is between teachers and
more innovative and adoption oriented than
administrators and/or supervisors. A vertical
the middle range of teachers; older teachers
linkage that might be utilized more effec-
tend to be potential adopters more than do
tively is between the teacher and research
younger teachers, but younger teachers
seem more innovative.
consultant.
(b) Horizontal linking-horizontal linkages are
5. The social (communication) structure of the
the connections between teachers who are
school seems to have a different effect on adoption
interested in sharing or adopting relevant
than on innovation.
teaching innovations.
(a) In schools with a diffuse social structure
where almost every teacher was linked to
4. Certain factors related to teachers and their
someone, teachers innovated and shared
perceptions affect innovation and diffusion.
more than in schools with a hierarchical or
(a) The innovative practice must be seen as
nondiffused communication structure.
relevant, helpful, and appropriate to the
(b) In those schools where the structure was
teacher's classroom goals and personal
more hierarchical, teachers adopted more
style of classroom management.
often than in schools with a diffuse structure.
(b) Teachers who believe they are influential and
(The differences in the innovation adoption find-
are perceived as influential by their col-
ings are explained in the following manner: "Since
leagues innovate and share more than teach-
innovation involves novelty and risk, it is reason-
ers who are not perceived in this way.
able that schools with open communication and
(c) Teachers who perceived colleague support in
support systems encourage innovation.
Adop-
adoption efforts were more likely themselves
tion efforts, however, do not appear to involve the
to be adopters of new practices.
same personal risks as innovation, since it is more
(d) Teachers who perceive a principal as sup-
a matter of following or modifying another's
porting innovation do, in fact, innovate more
efforts.")
often.
6. Teachers involved in small groups of two or
(e) Teachers who are self-confident are more
three were more innovative than those who were
willing to share their classroom activities and
isolated or involved in large groups, while teachers
information about these activities with their
who saw themselves in positions peripheral to
peers with a minimum of fear and rejection.
(f) Teachers who are highly committed to the
either large or small groups were more apt to adopt
profession appear more willing to engage in
than those centrally involved.
discussions about their profession and profes-
7. In schools where the principal is sensitive and
PUTTING KNOWLEDGE TO USE
288
accurate about the nuances of peer relationships
activities and growth, or showing that he knows
among teachers, more sharing is done and diffusion
what was going on in classrooms, the greater
occurs.
appears to be his influence on the degree of inno-
vation and adoption. More than one-third of the
8. The greater the frequency with which the
teachers who viewed the principal as bringing edu-
principal was seen engaged in such activities as
cational literature to their attention adopted new
offering constructive suggestions to teachers, bring-
practices, while those who viewed him as never
ing education literature to their attention, talking
bringing such literature to their attention did not
to them about their personal and professional
adopt new classroom practices.
172
INNOVATION: INDUSTRIAL
Innovation factors
Change measures
EMPIRICAL STUDY
Little, Arthur D., Inc. Patterns and problems of technical innovation in American industry. Report to
National Science Foundation, No. C-65344. Washington, D.C.: National Science Foundation, 1963.
Purpose
Findings and Conclusions
This report explores the dominant patterns of in-
1. The companies studied revealed little growth
novation in mature* industries and the internal
or innovation and few technical innovations of
problems of technical innovation in such industries
major technical and economic significance.
as a basis for proposing a series of suggestions for
2. Technical change from within is limited to
directed change in these industries.
slow, evolutionary improvement in products and
Method
processes.
3. Innovations occur in clusters. A major innova-
Five industries (textiles, machine tools, con-
tion requires change for its implementation which
struction, appliances, and semiconductors) were
fosters further innovation.
historically analyzed to determine answers to ques-
4. Major innovations have come primarily from
tions such as: Where has significant innovation
outside the traditional or mature industries. They
come from? How has it come about? What has been
have come from: foreign technology, independent
the timespan for adoption? What have been the
inventors, new small firms, and invasion of the
problems about innovation and the obstacles to it?
traditional industries by technically advanced and
How do relationships among such areas as research
established firms in other industries.
and development, management, marketing, and
5. Innovation by invasion is the major source of
production affect the innovation process?
technical change in mature industries. (Invasion
The analytical procedures involved investigation
occurs in three ways: The old borrows what it wants
of economic and product trends within each of the
from the new, the new introduces change into the
industries, analysis of published profit and tech-
old, or the new displaces the old.)
nical reports of companies involved in all aspects of
6. The slow rate of innovation and change in
these industries, and some interviews. Several
mature industries is related to the fact that tradi-
companies within each of the five industry areas
tional industries are:
provided the data for the study. The innovations
studies were all of a technical nature and the basis
(a) Built on craft-based rather than science-
for innovation was profit.
based technology.
*Maturity is defined as those characteristics of tradition and
stability which indicate that an industry has exhibited the
(b) Fragmented, in the sense of: (1) encompass-
tendency to level off in growth, rising only when the gross na-
ing a large number of companies too small to
tional product does.
economically promote innovation; and (2) di-
SUMMARIES
289
viding the work of the industry into many
dustry-wide consulting. A consulting firm
small steps, each under the control of sepa-
could be developed within an industry by
rate organizations.
assembling, from the various companies,
(c) Focused on production and committed to
groups of individuals to work over long peri-
present methods.
ods of time on shared problems of innova-
(d) Protected by powerful social systems (family,
tion; or the industries might develop a ser-
company, local community, etc.) which
vice much like the agricultural extension
would be threatened by large-scale change
service.
and innovation.
(b) If the goal of change is the facilitation of in-
(e) Notably lacking in entrepreneurship and en-
vasion of the mature industries by other in-
trepreneurial models.
dustries, industrial mobility can be pro-
moted. Industrial mobility would reduce the
7. Based on their analysis, the Arthur D. Little
cost of invasion to workers, companies, and
Co. offered the following suggestions for encour-
industry locales. It more nearly is in the
aging change in mature industries:
interest of rapid change than working on the
(a) If the goal is to encourage innovation in ma-
entrepreneurial problems of traditional in-
ture and traditional industries, supplying
dustries.
technical information will not be enough.
(c) There is a need for new forms of government-
Entrepreneurial problems that stand in the
industry collaboration in which government
way of innovation must be resolved. Two
acts neither as a monitor nor a crutch, but as
possible avenues for overcoming entrepre-
a partner in technical change. Government
neurial problems in traditional industries
can represent interests broader than those of
are: (1) encouraging the formation of new
an individual company, industry, group of
businesses within the industry, and (2) in-
workers, or area of the country.
173
KNOWLEDGE UTILIZATION
Change agent
ANALYSIS
Lundberg, Craig C. Middlemen in science utilization: Some notes toward clarifying conversion roles.
American Behavioral Scientist, February 1966, 9, 11-14.
Purpose
to Lundberg is a combination of three factors: (a)
In converting scientific knowledge into practice
a body of knowledge meeting "certain specific
several aspects need to be considered. In this article
requirements"; (b) a method which meets "certain
the author attempts to define and clarify different
specific requirements in data gathering"; and (c) a
conversion roles.
group of values or norms prescribing "certain spe-
cific requirements" which the activities of persons
Method
must meet in order to be scientific. Nonscience
(which includes the realms of practice or practical
The author has drawn from his own knowledge
action) is at the other end of the continuum.
and experience in developing this conceptualiza-
2. In distinguishing between scientist and prac-
tion.
titioner, Lundberg describes the former as one who
adheres to the notions stated above concerning
Findings and Conclusions
science. The term practitioner refers to one who
1. Conversion roles may be placed along a
practices with an objective other than the accumu-
continuum. At one end is science, which according
lation of certified knowledge using empirical meth-
290
PUTTING KNOWLEDGE TO USE
ods under certain value conditions.
edge and/or methods of science in the
3. The author characterizes and places several
achievement of their service objectives."
conversion roles on the science-practice continuum:
Their methods are, however, not always
(a) The technician occupies a place on the con-
wholly scientific and their goals are almost
tinuum very close to a purely nonscientific
always other than the accumulation of
role or practice end of the continuum. His
knowledge.
competence is restricted and he may be only
(c) The applied scientist occupies a place toward
slightly familiar with the fund of basic knowl-
the scientific end of the continuum. He is
edge underlying his specialization. An ex-
"concerned with the prediction and produc-
ample of such an individual is the opinion
tion of social and cultural change." He uses
pollster.
the scientific method but his objectives differ
from the pure scientist in that they usually
(b) The professional occupies the middle portion
center around change with regard to a specific
of the continuum and is basically a practi-
problem rather than around knowledge
tioner. "They attempt to utilize the knowl-
accumulation.
174
RESEARCH UTILIZATION
Adoption deterrents
Research-practitioner relationships
Change agent
ANALYSIS AND SUGGESTIONS
Mackie, Robert R. Chuckholes in the bumpy road from research to application. Paper presented at the
meeting of the American Psychological Association, New Orleans, August 1974.
Purpose
cess was devised to interrelate the following ele-
ments: (a) general theory construction; (b) specific
Within the framework of a model of the research-
basic research; (c) collation and interpretation
to-application process, the paper is devoted to the
(of research); (d) translation; (e) applied research;
analysis of factors that might account for the low
(f) developmental technology; and (g) application.
applicational potential of human learning research.
3. Of these elements, (a) collation and interpre-
tation; and (b) translation are considered to be the
Method
two seriously neglected and underdeveloped
A sample of research studies sponsored by the
activities that are responsible for the isolation of
Navy was reviewed as a basis for a speculative
basic research from application.
analysis of: (a) their applicational potential; and
4. Many research studies seemed not only to
(b) the factors that differentiate low from high
defy application, but also translation as well, since
applicational potential.
the results of psychological research on learning,
as well as in other behavioral areas, appears to be
Findings and Conclusions
"distressingly specific to the task conditions,
independent and procedural variables, and depen-
1. The reasons that the great majority of learn-
dent measures selected for use by the investigator."
ing research studies "were found to have had vir-
5. Psychologists have contributed more to
tually no impact on instructional practice in the
change in operational systems on the basis of the
Navy or elsewhere" center on seriously neglected
methods by which they study human behavior than
activities in the research-to-application process
they have in the form of directly useful facts about
and to a number of characteristics of the research
human behavior.
studies themselves.
6. When studies are sorted according to low ver-
2. A model of the research-to-application pro-
sus high potential application, the applicational
SUMMARIES
291
potential is related to the following considerations:
(e) The motivation of the participating subjects.
(a) The basic motivation of the experimenter.
(f) Time compression.
(b) The experimenter's selection of tasks in
(g) Difference in the experimental environment.
terms of his theoretical position and/or how
7. To achieve high probability of application,
conveniently they can be generated by the
research design must be devised with application
types of available equipment.
in mind, and experimental control will need to be
(c) The stimulus and response characteristics of
less rigid. Communication between researcher and
the tasks employed.
practitioner in both directions is required. A
(d) The limitation in the response repertoire
specially trained middleman can play an important
permitted.
role in elevating applicational potential.
175
RESEARCH UTILIZATION:
PSYCHOLOGY
Knowledge dissemination
Research-practitioner relationships
EMPIRICAL STUDY
Mackie, R. R., and Christensen, P. R. Translation and application of psychological research. Technical
report 716-1. Goleta, Calif.: Santa Barbara Research Park, Human Factors Research, Inc., 1967.
Purpose
Findings and Conclusions
The objectives of this study were: (1) to study
1. There is a limited impact of learning research
communication processes between researcher and
on practical problems. Laboratory studies were
user; (2) to study characteristics of research studies
often too narrow, too specific, too short in duration,
and practices of researchers affecting application;
reported in too much jargon.
and (3) to describe attitudes and practices of users
2. Barriers to research utilization are:
that affect application.
(a) There is a need for learning engineers, a corps
of professionals who can assess the meaning
of research findings for innovation and appli-
Method
cation. The learning engineer will require
The procedures were: (1) analysis of selected
specialized knowledge of the subject matter
studies of human learning to define their possible
in training and research but he must remain
practical applications for the Navy; (2) analysis of
a generalist rather than a specialist.
the impact of research findings on Navy training
(b) There is a backward gap that now exists in
and the channels of the research findings; (3) for-
communication channels; that is, from the
mulation of useful principles of learning to examine
training environment back to the research
the problem of translating principles into applica-
community. The proportion of research psy-
tion; (4) a study of information required by re-
chologists willing to get their hands dirty in
search translators in assessing the usefulness of
this way is small.
principles derived from research for any specific
(c) Users are generally incapable of formulating
purpose; and, (5) using the hypotheses developed
their problems in research terms.
in procedures (1) to (4), an examination of judg-
(d) All of this will require some change in uni-
ments and attitudes of psychologists renowned in
versity departments that are not presently
learning and educational psychology with positions
equipped to train people who are needed to
of responsibility for focusing research on issues vital
fill this engineering change agent role.
to application of research results.
3. The recommendations from this study, while
292
PUTTING KNOWLEDGE TO USE
generally applicable, are specifically directed
(f) In the interest of increasing the probability of
toward mission-oriented agencies. The recommen-
research applications, sponsoring agencies
dations are:
(in this case, the Office of Naval Research)
(a) Agents sponsoring psychological research
should arrange for consultation between the
should require that the relevance of the pro-
original investigator and those doing the vali-
posed research to meaningful operational
dation study.
problems be established. The research pro-
(g) Sponsoring agencies (in this case, the Office
posal should be explicit on relevance and the
of Naval Research), should sponsor periodic
scientist should take field trips to the opera-
symposia in a continuing effort for the de-
tional site; particularly, research program
velopment of more meaningful behavioral
directors should make periodic surveys to
descriptions and to develop more meaningful
keep abreast of the specific operational prob-
task research.
lems.
(b) Researchers should be encouraged to employ
(h) In the interest of facilitating communication
conditions in their experiments that are sim-
and increasing user acceptance, particularly
on learning, the Office of Naval Research
ilar, if not identical, to those encountered in
the practical setting.
should sponsor a symposium with emphasis
(c) Researchers should be encouraged to test
on the current utility of learning principles
hypotheses in the training or operational en-
for educational technology. It should involve
users as well as researchers.
vironment.
(d) In the event that the research is not done in
(i) Simulation of a training curriculum for the
the practical setting, research findings should
learning engineer, a role previously dis-
be validated in the appropriate setting.
cussed, is needed.
(e) In the interest of improving interpretation
(j) In the interest of facilitating communication
and dissemination of research, conferences
among researchers as well as practitioners,
should be held with psychologists and other
there should be required writing of research
research agents, and with agencies with per-
abstracts in a standardized format. The re-
sonnel responsible for psychological ab-
quired format would include the enumera-
stracts and information storage and retrieval,
tion of all major features of the study, sub-
to determine congruity and interest in re-
ject's task, dependent and independent
quirements.
variables, time factors, etc.
176
KNOWLEDGE DISSEMINATION
Research utilization: education
Communication media
EMPIRICAL STUDY
Magisos, J. H. Interpretation of target audience needs in the design of information dissemination systems
for vocational-technical education. Columbus: The Center for Vocational and Technical Education,
The Ohio State University, 1971.
Purpose
data gathered was intended to guide design of state
information dissemination systems in the voca-
This study was carried out at the Center for
tional-technical education area.
Vocational and Technical Education at Ohio State
Magisos describes the organizational position,
University, under sponsorship of the National
subject matter field affiliations, and personal edu-
Center for Educational Research and Development.
cation activities of people in several job classifica-
It was designed to obtain information about people
tions. The study also was concerned with whether
who use vocational-technical information. The
the respondents were aware of various information
SUMMARIES
293
sources, particularly ERIC (Educational Resource
9. Vocational-technical educators prefer direct,
Information Center), whether they used these
personal contact with familiar and conven-
sources, if they found them useful, and what addi-
ient sources of information, but many are
tional services were perceived as needed.
also willing to travel to get the information
they need.
Method
10. Some other information services (not speci-
fied in the document) are more useful to
A questionnaire survey was completed by 3,229
vocational-technical educators than ERIC
vocational-technical educators in seven states,
services.
based on a stratified random sample of seven tar-
11. Educators get faster service than they expect
get audience categories. The study was primarily
from most information sources, but service
designed to describe the target audiences and to
is still slower than is ideally desirable.
determine audiences' patterns of information use.
12. There are few important differences between
users in different states.
Findings and Conclusions
13. Vocational technical educators who them-
Analysis of questionnaire responses led to thir-
selves are enrolled in courses (e.g., at night
school) do not differ in their information use
teen conclusions:
patterns from those who are not enrolled.
1. Vocational-technical educators need better
This finding disconfirms the study's only
information products and services: the
hypothesis.
period preceding school terms is a time of
The author makes nine recommendations based
particular need.
on the study's findings:
2. Vocational-technical educators spend much
time gathering information to help them in
1. A training unit should be developed to teach
their work.
teachers how to use ERIC.
3. Many vocational-technical educators are
2. Local and school libraries should be given
unfamiliar with ERIC. Few have been taught
assistance in developing information re-
how to use it properly; most would like to
sources and services.
learn.
3. Information products should be designed for
4. ERIC information is better designed to meet
the intended users.
user needs than information from other
4. Journals, magazines, newsletters, etc., should
sources, but other sources are still used more
be considered viable means for disseminating
than ERIC.
information.
5. Different categories of educators find differ-
5. A brief, targeted version of a regularly dis-
ent forms of information useful.
tributed abstract journal should be tested for
6. Relevance to perceived problems, speed in
use by local school personnel.
obtaining information, currentness, and
6. State and local programs should develop a
brevity are important characteristics of in-
wide range of information services.
formation.
7. Information should be delivered to users faster
7. Regularly distributed abstract journals are
than it is now.
the most frequently used ERIC products.
8. Target audience studies should be conducted
8. The ERIC Clearinghouses and Regional
on a limited scale to verify the results of this
Coordinating Units have been distributing
study.
ERIC products widely, but many vocational-
9. Future studies, using different methods,
technical educators have never received,
should focus upon users' problems and how
requested, or used ERIC materials.
information systems meet them.
PUTTING KNOWLEDGE TO USE
294
177
GROUP DYNAMICS
Organizational change
Problem solving
EMPIRICAL STUDY
Maier, N. R. F., and Zerfoss, L. F. MRP: A technique for training large groups of supervisors and its poten-
tial use in social research. In M. A. Hornstein, B. B. Bunker, W. W. Burke, M. Gindes and R. J.
Lewicki (Eds.), Social intervention: A behavioral science approach. New York: The Free Press, 1971.
Purpose
essential.
To describe Multiple Role Playing (MRP) and to
The audience is divided into groups of six. One
point out its advantages over ordinary role-playing
member is given the role of foreman, and the other
in teaching decision making to groups.
five members of the group will be repairmen who
report to him. Extra persons are assigned to dis-
Method
cussion groups as observers.
Less than half an hour is adequate for most groups
An example of the MRP procedure is presented
to solve the problem.
with an analysis of the results. The results from
4. The results are analyzed as to how many
several other cases are briefly summarized, and
groups arrived at a solution, how many were satis-
then a general evaluation of the MRP is given.
fied with the solution, how many discarded the
poorest truck, the number of times the new truck
Findings and Conclusions
went to each of the various members of the crew,
1. The MRP method permits role-playing to be
and the number of trucks exchanged in each group.
carried out in such a manner that all members of a
Also, the persons serving as observers evaluate
large audience can participate. The purpose of the
the discussion meetings they observed.
technique is to give each member of an audience a
5. After using the MRP in three cases, a trend
firsthand experience in the group decision method.
emerged in which the general exchange of trucks
2. MRP permits the training of supervisors in
was greatest when the leader was permissive. The
skills of leading discussions and at the same time
first part of the discussion develops a conflict of
gives them an experience of the way things appear
interests, and if the leader is permissive at this
to employees. Supervisors will learn to develop con-
stage, the idea of exchanging trucks develops.
fidence both in the way employees behave when
Many men who played the part of supervisor were
given an opportunity to solve job problems and skill
surprised at this development because most of
in putting a problem to the group.
them went into the discussion with the idea of get-
3. The problem used in the session described is
ting the new truck assigned to some particular
based on an actual case in industry. The foreman
individual and getting the rest of the group to agree
has a new truck to distribute. Realizing that his
on who was most needy. It is this emphasis on the
decision would not meet with approval since each
leader's part that prevents the general exchange
man would feel he had a claim, he put the problem
which usually develops out of the free discussion.
to the crew. They solved the problem in such a way
Thus, the idea that all can profit when the crew
that there was a general exchange of trucks, with
gets a new truck emerges as a new idea, and it is a
each man getting a different truck, and with the
group product.
poorest truck being discarded.
6. The authors conclude:
Each participant is given a personal attitude so
(a) There is less embarrassment and self-con-
that typical life-like conflicts will take place. The
sciousness in MRP than in ordinary role-
deviation from the usual role-playing procedure is
playing since all members of the audience are
that the same roles are played simultaneously by
involved.
many groups, each without the guidance of a train-
(b) Real live data can be obtained because com-
er. This absence of specific guidance makes stan-
parisons can be made between groups and
dardization and the use of clear-cut problems
generalizations drawn.
SUMMARIES
295
(c) The MRP method can be used for all types
experience of the participants, and the situa-
of role-playing. Roles must be structured to
tion must be designed to emphasize the ap-
conform to the purpose of the training and
propriate performances.
178
INNOVATION DIFFUSION
Organizational factors
CONFERENCE REPORT
Manela, Roger. Notes on innovation diffusion. Unpublished summary of conference, Manpower Labora-
tory, Institute of Labor and Industrial Relations, University of Michigan, February 1969.
Purpose
problems of evaluating the effects of inno-
vation.
The purpose of the conference which generated
(c) If you choose those agencies which have a
these notes was to gain as much information about
reputation as risk takers, you insulate your-
theoretical and practical aspects of innovation dif-
self from the experience of encountering and
fusion as the participants could offer. The focus of
coping with the resistances which the innova-
the discussion was specifically the nature and pur-
tion will trigger in the more conservative
pose of the manpower laboratory.
agencies.
(d) There is a tendency to place the innovation
Method
with an agency which is a pacesetter on the
As far as can be inferred from the notes, the con-
assumption that its success there will cause
ference was a relatively freewheeling discussion
it to spread to related agencies. Yet selecting
involving a group of social scientists (principally
the pacesetters is no easy task. Are they the
from the manpower lab) concerned with innova-
old agencies
the sacred cows? Or are they
tion. Since many of the points reported deal with
the agencies with a past history of success?
problems and procedures of the lab, no attempt is
3. Some units of an agency will be more amen-
made herewith to summarize the full content;
able to change than others. Those units whose
rather, those points have been abstracted which
power is based on a status quo situation or who feel
have broad application.
that change will increase their workload will resist
change. Out-groups or units whose goals are
Findings and Conclusions
oriented toward output rather than internal power
relations tend to be prochange.
1. The suitability of an innovation depends on
4. The way one gains entry to a user agency and
the level (in the receiving agency) at which it is to
the point of entry are crucial to the direction of
be applied; an administrative innovation might be
change. A common model for gaining entry is the
credible and acceptable to administrators yet
demand model in which: (a) there is a crisis-
arouse little response in or have little effect on
catalyzed appeal to the change agent; (b) all ele-
lower organizational levels.
ments of the organization need not call on the
2. The type of agency to select as the testing
change agent as long as; (c) those who do call on
ground for an innovation raises a number of con-
it have the power to do so even in the face of oppo-
siderations:
sition; and (d) the crisis which prompted the
(a) Action-oriented agencies often are involved
demand for help enhances the credibility of the
in innovations they are not even aware of;
innovation. Other modes of entry: by fortuitous
they are so caught up in doing things that
contact with the agency; by coercive power; by
they fail to analyze their actions.
rational analysis of suitability of innovation to
(b) Action-oriented agencies often have a high
agency.
rate of staff turnover; this complicates the
5. With respect to evaluation, the following rele-
PUTTING KNOWLEDGE TO USE
296
vant point was made: the range of variability
period of time that scientifically valid compari-
between agencies makes it difficult to replicate any
sons are hard to come by. In short, one's aspirations
given test of the effectiveness of an innovation.
concerning evaluation should be realistic rather
Even within a single agency, operating conditions
than rigorous.
and operating personnel change so much over a
179
CHANGE MEASURES
Individual reeducation
Interpersonal relations
EMPIRICAL STUDY
Mann, F. Studying and creating change: A means to understanding social organization. In H. A. Hornstein,
B. B. Bunker, W. W. Burke, M. Gindes, & R. J. Lewicki (Eds.), Social intervention: A behavioral
science approach. New York: The Free Press, 1971.
Purpose
pared with a second study in which the feedback
This article describes and compares two types of
method of organizational change and information
procedures designed to change interpersonal and
utilization was used to increase supervisor and
intergroup relations as well as to increase utiliza-
employee effectiveness.
tion of research findings in complex organizations:
(1) human relations "classroom" training programs
Findings and Conclusions
designed to train or teach the individual supervisor
how to work with employees by providing "courses"
1. The two studies using the classroom training
in human relations, (2) organizational feedback
method in human relations demonstrated that this
programs reporting the results of extensive surveys
type of training does not assure the translation of
sampling employee and management attitudes and
such learning into job performance.
perceptions.
2. The study in which an experimental group
was exposed to feedback programs (in the form of
Method
meetings between management and employees to
discuss the results of an extensive opinion survey)
Comparative analysis. The author outlines two
and a control group was not
demonstrated that
studies which use the classroom training technique.
the feedback system was a highly effective meth-
An evaluation is made of the effectiveness of this
od for increasing understanding and communication
technique in terms of changed supervisory atti-
between organizational employees as well as for
tudes and performance. These findings are com-
changing supervisor behavior.
SUMMARIES
297
180
PLANNED CHANGE
Change model
Change factors
Change strategies
Change agent
CASE STUDY
Mann, F. C., and Neff, F. W. Managing major change in organizations. Ann Arbor, Mich.: Foundation for
Research on Human Behavior, 1961.
Purpose
direct management of the ongoing change so that
The seminars upon which the publication is
he might better see the larger issues and problems
based were conducted for the purpose of reviewing
of the strategy being followed in the implementa-
current (spring of 1959) knowledge about change in
tion of the change.
organizational settings and to draw attention to
2. Great importance was attached to the need for
the need for research about planned or directed
the key executive to fully understand the implica-
change.
tions of the change for his operations or those of
other executives in the organization. Thorough dis-
Method
cussion of all ramifications of the change ("the
controlled explosion") was urged. Such discussion
Four case studies were presented of major organi-
would have as its objective to bring out problems
zational changes. Line executives and researchers
which would center attention, elicit greater involve-
involved in the cases reported their experiences and
ment, and gradually bring greater understanding of
findings. Members of the seminar then joined to
changes the organization was embarked upon.
identify factors which had helped or hindered the
3. The change agent needs to understand and be
change effort, and attempted to isolate points upon
able to use different types of power: legitimate
which they felt some tentative generalizations
power (based on obligation or duty); reward power
might be built.
(ability to give or withhold reward); coercive power
(potential for punishment); expert power (based
Findings and Conclusions
on greater knowledge or ability); referent power
1. The idea of a new role-that of change cata-
(based on attraction and/or identification).
lyst-evolved from the discussions. The change
4. The findings with regard to understanding an
catalyst might be expected to do whatever staff
individual's response to change are presented
functions were required to help the change agent
schematically in Figure 3 of the report.
accomplish his assignment. The change catalyst
5. Strategies for managing change are summa-
would be expected to hold himself apart from the
rized diagrammatically in Figure 4.
298
PUTTING KNOWLEDGE TO USE
CHANGE
AMBIGUITY
SEARCH
SUMMARIES
EVALUATION
RESPONSE
A MAJOR
THE INDIVIDUAL'S
THE INDIVIDUAL'S
THE INDIVIDUAL'S
CHANGE IS
PERCEPTION OF
EVALUATION OF THE
RESPONSE TO THE
PROPOSED
THE CHANGE
IMPACT OF CHANGE
CHANGE
ON HIM
4.
EMBRACE
3.
SELF-ENHANCING (+)
SUPPORT
2.
CLEAR, NOT
ACCEPT
AMBIGUOUS
NO EFFECT
(0)
TOLERATE
1. THE
RESIST (Willed)
SELF-DESTRUCTIVE (-)
OPPOSE
CHANGE
4a. SUSPENDED JUDGMENT
NOT CLEAR,
3a. NO EVALUATION
AMBIGUOUS
(Holding Off Until Has
BEING MADE
Facts To Make Evalua-
5.
tion; May Be Seen As
High
"Resisting")
INTENSITY OF
SEARCH BEHAVIOR
Low
6.
INTENSITY OF SEARCH BEHAVIOR IS
AFFECTED BY:
1. Control of Environment & Change
Low
High
2. Trust in Change Initiators
Low
High
7.
CONTROL & TRUST AFFECTED
8.
CONTROL & TRUST AFFECTED BY:
9.
CONTROL & TRUST AFFECTED BY:
BY: Extent of Information
Extent of Psychological
Other Factors such as Acceptance
About Change
Participation in Change
of Organizational Folklore, History
Low
High
Low
High
of Change Experiences In Organizations;
Information
Influence
Personality
Low
High
Acceptance
299
FIGURE 3
Model for Understanding an Individual's Response to Change
300
Management's Estimate of Impact of Change on Individual
(+)
(-)
Estimates as
Estimates as
incompatible with
compatible with
individual's per-
Don't know
individual's per-
(+)
sonal goals
sonal goals
When finding
When finding
When finding
(A)
(D)
(G)
Estimates
Support and
Support and
Embracement
as Self-
Acceptance:
Embracement:
and Support:
Enhancing
Start scaling down
Provide individuals
No problems except
expectations to real-
with knowledge that
to maintain favorable
(compatible
istic basis so that
course of change IS
definition of change
with per-
disillusionment is
not fully predictable
sonal goals)
not destructive
The
When finding
When finding
When finding
Individual's
(B)
Resistance:
(E)
Resistance:
(H)
Resistance:
Estimate
Begin to review
Provide full informa-
Increase informa-
objectives and give
tion about necessity
tion about change to
Don't Know
of Impact
information about
for change as seen
reduce ambiguity
the change to re-
by management
of Change
duce ambiguity
Share control in putting
on Him
change into effect
When finding
When finding
(F)
When finding
(C)
(I)
Opposition:
Opposition:
Opposition:
Estimates
Review change ob.
Provide full informa-
Increase informa-
as Self-
jectives
tion
tion about change and
Destructive
Change objectives
Share control in putting
its implications
or
(incompatible
change into effect
Recognize that climate
with per-
Change personnel
of trust is unfavorable
(Change would have
Identify and publicize
sonal goals)
to be made in period
how steps being taken
are compatible with in-
PUTTING KNOWLEDGE TO USE
of power imbalance
in favor of manage
dividual goals-distin-
ment)
guishing this change
from others in the past
(-)
FIGURE 4
Strategies for Managing Change
181
KNOWLEDGE DISSEMINATION
Communication media
Utilization measures
CASE STUDY-ANALYSIS
Manpower Science Services, Inc. Putting social science knowledge to use in the manpower system: An
overview report. Ann Arbor, Michigan: Manpower Science Services, Inc., 1974.
Purpose
for the manpower system. Four stages of the model
are described:
This report summarizes methodology employed
1. Retrieval and Organization of Social Science
to disseminate social science knowledge for use in
Knowledge. Five topics are covered in this area:
manpower agencies in a manner designed to in-
functions of retrieval, organization of retrieval
crease the appropriate application of this knowl-
activity, user participation in retrieval, methods
edge to the task performance of manpower workers.
for user participation, and applications to local
Topics covered include:
projects.
1. Methods of locating, screening and identify-
2. Media and Methods for Communicating
ing relevant and useful knowledge;
Social Science-Based Innovations. The authors dis-
2. organizing and "packaging" it in such a way
cuss conditions for affecting content characteris-
that it can be communicated inexpensively to
tics; conditions affecting methods of teaching and
potential users;
learning; conditions affecting choice of media; user
3. developing strategies which will enable po-
participation in media and methods; and applica-
tential users to become aware of the "pack-
tions to local projects.
age" and get direct exposure to the knowledge;
3. Dissemination and Diffusion Strategies. The
and
report covers: relevant features of the manpower
4. increasing the adoption capacity of manpower
system; diffusion strategies; factors affecting dif-
agencies.
fusion; tracking and record-keeping; user par-
The authors describe methods used in the devel-
ticipation and roles; and local applications.
opment of a manual on role modeling and role play-
4. Increasing the Adoption Capacity of Man-
ing, a set of audiotapes plus workbooks on simula-
power Agencies. This section discusses character-
tion, and a multi-media package of Group
istics of innovative organizations, both modifiable
Leadership Techniques Workshop materials. The
and indirectly modifiable, as well as local applica-
tions.
aim was to develop diffusable materials that would
be of help to local manpower agencies endeavoring
After outlining an organization structure for
to adopt new methods. A total model for develop-
retrieval, diffusion, and utilization, the authors
ment work is generated, comprising retrieval,
summarize operating principles in social science
knowledge retrieval, diffusion, and utilization.
communication, diffusion, and adoption.
They set forth the following themes:
Method
(a) Unlike many technologies and methods in
the field, those of Manpower Science Ser-
Manpower Science Services, Inc. is a nonprofit
vices are developed on the basis of existing
corporation concerned with research and develop-
research.
ment in the social sciences. In this report they
(b) The forms and processes used by Manpower
present an outline of their approach to studying
Science Services for communicating knowl-
the needs and services of manpower agencies and
edge are also based on research in the diffu-
describe ways of communicating and applying
sion and utilization of innovations, and in
knowledge relevant to these needs.
organizational structure as it affects adop-
Findings and Conclusions
tion of innovations.
(c) Applications of knowledge are made directly
Manpower Science Services has developed and
and concretely to manpower agency work.
is testing a knowledge diffusion-utilization model
They are not generalized to other fields.
SUMMARIES
301
(d) Knowledge is put in the form of implement-
judgment, and planners.
ing actions; it is not disseminated at the
(h) Informal and personal contacts are used for
cognitive or intellectual level.
access into the formal and official communi-
(e) Knowledge-bearing products are composed
cation and diffusion system.
of mass media components to avoid expen-
(i) An interdisciplinary collegial-professional
sive use of experts.
type of organizational structure is required
(f) Tightly programmed methods are avoided in
for institutionalizing the model.
order to allow the user to adapt the knowl-
edge to the local situation.
(j) Innovation sponsors have no authority over
(g) Throughout each step in the process, line
the potential users but are dependent upon
workers as potential users are involved as
the users and on academic research institu-
testers, critics, sources of information and
tions.
182
INNOVATION ADOPTION
Innovation: industrial
Innovation factors
EMPIRICAL STUDY
Mansfield, Edwin. The speed of response of firms to new techniques. Quarterly Journal of Economics, 1963,
77, 290-311.
Purpose
dustries. These data were fitted to a mathematical
model designed to test the four propositions.
In industry, new techniques spread from firm to
firm through the process of imitation of successful
Findings and Conclusions
innovations. The purpose of this research was to
study this imitation process and identify the fac-
In general the findings supported the hypotheses
tors responsible for the speed of adoption; that is,
being tested. Four implications based on the find-
to determine those factors related to why some
ings are suggested:
firms begin using a technique long before others.
1. The speed at which a firm responds to an in-
vestment opportunity is directly related to the
profitability of the opportunity. That is, if the size
Method
of two firms is the same, and the innovation is con-
Four propositions were tested:
sidered more profitable for one firm than the other,
1. Other things being equal, the length of time a
the first firm will be quicker to introduce it.
firm waits before using a new technique tends to be
2. The findings represent a contradiction of the
inversely related to the size of the firm.
popularly held view that large firms follow the
2. As the size of a firm increases, the length of
small ones and are slow to introduce innovations. If
time it waits tends to decrease at an increasing
profitability is held constant, the chances are good
rate.
that a large firm will be quicker to use a new tech-
3. Other factors being equal, the length of time a
nique than a small firm.
firm waits tends to be inversely related to the ex-
3. A firm's financial health as measured by
tent of the returns it obtains from the innovation.
profitability, liquidity, and growth rate, bears no
4. As the profitability of a firm's investment in
close relationship to how long it waits before intro-
the innovation increases, the length of time the
ducing a new technique. The author suggests that,
firm waits decreases at an increasing rate.
"The personality attributes, interests, training,
Data were collected regarding the diffusion of 14
and other characteristics of top and middle man-
innovations in a total of 294 firms in the bitum-
agement may play a very important role in deter-
inous coal, iron and steel, brewing, and railroad in-
mining how quickly a firm introduces an innova-
302
PUTTING KNOWLEDGE TO USE
tion" (p. 311). Mansfield also suggests that the
are repeatedly the leaders or followers in intro-
presence or absence of a few key advocates may be
ducing new techniques. A firm that is first in intro-
a crucial factor in the adoption of an innovation.
ducing one innovation is likely to be slow to intro-
4. It is dangerous to assume that certain firms
duce the next innovation.
183
INNOVATION: INDUSTRIAL
Organizational factors
Innovation factors
Innovation diffusion
CASE ANALYSIS
Mansfield, Edwin. Industrial research and technological innovation: An econometric analysis. New York:
W.W. Norton, 1968.
Purpose
(b) Mechanical innovations require the shortest
interval, and electronic innovations require
This book is devoted to industrial research and
the longest.
change as a result of technological innovations.
(c) The lag seems shorter for consumer products
than for industrial products, and shorter for
Method
innovations developed with government
The content of this book is based on the re-
funds than for those developed with private
searches of the author and analysis of case studies.
funds.
3. Innovation and Growth.
Findings and Conclusions
(a) Successful innovators grew more rapidly dur-
1. Size of Innovating Organizations.
ing a 5- to 10-year period after the innovation
occurred than other like organizations, their
(a) Although it is often alleged that the largest
average growth rate often being more than
firms do more than their share of innovating,
twice that of the others.
it is not always the case.
(b) In the period after they introduced the inno-
(b) The largest organizations will do a dispropor-
vations, the difference in growth rate between
tionately large share of the innovating in
cases where-
innovators and other comparable organiza-
tions was greater than before the introduc-
(1) the investment required to innovate is
tion of the innovation. According to the au-
large relative to the size of the organiza-
thor's estimates, the average effect of a suc-
tions that could use the innovation;
cessful innovation raised an organization's
(2) the minimum size of the organization re-
annual growth rate by 4-13 percentage points
quired to use the innovation is large rela-
depending on the time interval and the
tive to the average size of similar organi-
industry.
zations; and
(c) Successful innovation has a much greater
(3) the average size of the largest organiza-
impact on a small firm's growth rate than on
tions is much greater than the average
that of a large firm.
size of all potential users of the innova-
tion.
4. Rate of Diffusion of Innovations.
2. The Timing of Innovation.
(a) The diffusion of a major new technique is a
fairly slow process. Measured from the date
(a) The available evidence indicates that the
of first commercial application, it often took
average lag between invention and innova-
20 years or more for all the major firms in an
tions is about 10-15 years in industry.
industry to install an innovation. Seldom did
SUMMARIES
303
it take less than 10 years for diffusion.
tion begins using a new technique is directly
(b) There seems to be a definite "bandwagon"
related to the firm's size and the profitability
or "contagion" effect. As the number of firms
of its investment in the technique.
in an industry using an innovation increases,
(b) The personality attributes, interest, train-
the probability of its adoption by a nonuser
ing, and other characteristics of top and mid-
increases.
dle management may play a very important
(c) As experience and information regarding an
role in determining how quickly a firm in-
innovation accumulate, the risks associated
troduces an innovation.
with its introduction grow less and com-
(c) The author found that there are dangers in
petitive pressures for adoption increase.
assuming "once a leader always a leader" in
(d) The rate of diffusion tends to be higher for
introducing new techniques. According to
more profitable innovations and for those re-
these findings, there is a very good chance
quiring relatively small investments.
that a firm which is a leader in the adoption
of one innovation may be relatively slow to
5. Characteristics of Leaders and Followers.
introduce the next innovation when it comes
(a) The speed with which a particular organiza-
along.
INNOVATION: EDUCATION
184
Organizational climate
Innovation factors
EMPIRICAL STUDY
Marcum, R. Laverne. Organizational climate and the adoption of educational innovation. Research Report
for Office of Education, Contract No. OEG-4-7-078119-2901 Logan, Utah: Utah State University,
March 1968.
Purpose
from 25 to 75 percent involved, as having been more
To identify the relationship of innovation adop-
than 75 percent involved. A total score is then cal-
tion and characteristics of organizational climate.
culated for each school, previous responses being
scaled 0, 1, 2, and 3.
The "Organizational Climate Description" ques-
Method
tionnaire was given to the staff of each school for
The initial step was to have the State Depart-
the purpose of identifying open and closed climate
ment of Education personnel from Oregon, Wash-
schools. The questionnaire has a number of items
ington, Idaho, Nevada, and Utah help in selecting
concerning behavior of teachers and administra-
from each State 10 of the most innovative and 10 of
tors at school. Each item is to be checked as:
the least innovative schools. An educational inno-
(1) rarely occurs, (2) sometimes occurs, (3) often
vation checklist was then used to select from this
occurs, or (4) very frequently occurs. There are
sample 15 of the most innovative and 15 of the least
eight items of organizational climate, four char-
innovative.
acterizing teacher's behavior and four character-
Details on the questionnaires used are as follows:
izing principal's behavior. On the teacher's side,
The checklist of educational innovation has six
disengagement refers to the teacher's tendency just
main categories: scheduling, staff utilization, pro-
to be going through the motions. Hindrance refers
cedures, organization, curriculum, and facilities.
to the teacher's feeling that the principal burdens
Within each of these categories a number of pos-
staff with busy work. Esprit refers to the teacher's
sible innovations are listed. Each one is to be indi-
morale. Intimacy refers to the teacher's enjoyment
cated as having not been implemented, as having
of friendly social relations with his or her peers. On
been less than 25 percent involved, as having been
the principal's side, aloofness refers to behavior by
PUTTING KNOWLEDGE TO USE
304
which the principal is characterized as formal and
relationships with one another.
impersonal. Production emphasis refers to straw
3. Statistical comparisons were made on a num-
boss "supervision" by the principal. Thrust refers
ber of variables by means of the analysis of vari-
to behavior in which the principal is trying to move
ance. The findings were as follows:
the organization. Consideration refers to behavior
(a) Schools involved in innovation showed more
in which the principal tries to treat the teachers
open climates.
humanly.
(b) Expenditures per student were higher in the
most innovative schools.
Findings and Conclusions
(c) The professional staff was younger in the
1. In an open climate there is high esprit, low
more innovative schools.
disengagement, low hindrance, friendly relations
(d) Educators remained fewer numbers of years
but not particularly high intimacy. In this situa-
in the schools involved in innovative prac-
tion, the principal's behavior shows high thrust,
tices.
high consideration, he is not aloof and does not
(e) The most innovative schools showed the
have to emphasize production.
larger number of professional staff.
2. In the closed climate the opposite situation
(f) Administrators viewed the climate as more
prevails; about all that seems to keep the teachers
open, as did the teachers in the more inno-
in the school is that they get satisfaction from their
vative schools.
RESISTING CHANGE: HEALTH
185
PROGRAMS
Attitude toward change
ANALYSIS
Marmor, J., Bernard, V., and Ottenberg, P. Psychodynamics of group opposition to health programs.
American Journal of Orthopsychiatry, 1960, 30, 330-345.
Purpose
arouse organized resistance.
Health programs generally derive from scientific
2. When efforts are directed to promoting the
progress and recommendations. Despite this fact,
adoption of health innovations, more resistance is
it is not unusual for such programs to meet with
also likely to develop.
intense and determined opposition on the part of
various pressure groups. In this article the authors
3. The greater the promotion effort, the greater
attempt to isolate the kinds of factors producing
the opposition.
resistance to change.
4. The resistance factors identified by the au-
Method
thors are neatly summarized in the following para-
The authors focus on the various rational and ir-
graph:
rational types of organized opposition typically
Opposition to social change derives from
aroused when a health innovation is advocated for
factors which are external to the individual
community adoption. They draw on several exam-
as well as internal within his psyche. Some
ples such as the introduction of fluoride as they
of the external factors involved include
identify resistance factors.
threats to power, prestige, or economic se-
curity
the factor of coercion, problems
Findings and Conclusions
of timing, the attitudes of leadership,
and various educational, socio-economic,
1. The authors feel that changes which are al-
and cultural factors. The internal factors
lowed to take place spontaneously are less likely to
involved appear to be centered on feelings
SUMMARIES
305
of vulnerability in relation to the sense of
5. In conclusion the authors stress the impor-
bodily wholeness of the individual's life
tance of the leadership role in both promoting and
space.
resisting change.
186
KNOWLEDGE DISSEMINATION
Research-practitioner gap
Communication factors
ANALYSIS
Marquis, D. G., and Allen, T. J. Communication patterns in applied technology. American Psychologist,
1966, 21, 1052-1060.
Purpose
body of literature lacks the characteristics of scien-
tific literature. Citations to previous papers are
Pointing out that "pure scientists" or researchers
fewer and are often to the author's own work.
(fundamental) are only secondarily, if at all, con-
4. There is less preoccupation with publication
cerned with practical utilization of their products,
among technologists.
the authors investigate how individuals working in
5. Scientists keep track of one another's work
applied research, exploratory development, etc.,
through visits, seminars, and small invitational
obtain and exchange information. They then com-
conferences, supplemented by informal exchanges
pare the nature of the communication process in
of written material long before it reaches archival
science and technology.
publication. Technologists keep abreast of current
developments related to their work primarily
Method
through close association with co-workers in their
The authors draw on the findings of completed
own organization.
research studies as a basis for their analysis. They,
6. Industrial and government laboratories with
in essence, review and summarize the existing liter-
strong mission orientation and bureaucratic ad-
ature on the information sources of scientists and
ministrative structures usually cut themselves off
technologists.
from interaction beyond the organizational per-
imeter.
Findings and Conclusions
7. Technological literature is much less impor-
tant than scientific literature. The unpublished
1. Scientists make much heavier use of literature
reports are by far the most widely used of all written
and colleagues outside their organization than do
channels. The professionally produced journals are
technologists.
often useless, published for profit, and supported in
2. The customer and the vendor are two sources
whole or in part by the sale of advertising space.
of information used by technologists that remain
8. There is little evidence of direct communica-
unused by the scientists. This results primarily
tion links between science and technology. There
from the fact that technologists are usually more
does exist a "gap filling" science (differentiated
directly involved in the marketplace.
from frontier science) that does appear to be more
3. Although technologists have journals, this
directly responsive to technological need.
306
PUTTING KNOWLEDGE TO USE
ORGANIZATIONAL CHANGE
187
Change strategies
Organizational climate
CASE STUDY-ANALYSIS
Marrow, A. J., Bowers, D. G., and Seashore, S. E. Management by participation: Creating a climate for
personal and organizational development. New York: Harper & Row, 1967.
Purpose
Findings and Conclusions
To report on the changes in the functioning of an
1. The changes introduced cut across organi-
unsuccessful manufacturing plant upon the intro-
zational structure, policies, work methods, and
duction of new management procedures.
technology. They included the building of a new
organizational climate with the introduction of
participatory management at all levels.
Method
2. A comparative study is reported of the results
on human behavior and economic performance of
The book describes the two organizations in-
different managerial styles.
volved in a merger-the one being successful, the
3. Numerous suggestions for effective manage-
other unsuccessful-and documents the changes
ment are implied in the description of the detailed
produced by the introduction of the new manage-
activities sponsored by the change agents who par-
ment system.
ticipated in the reorganizational effort.
188
CHANGES IN ATTITUDES
Organizational change
CASE STUDY
Marrow, A. J., and French, J. R. P., Jr. Changing a stereotype in industry. In W. G. Bennis, K. D. Benne,
and R. Chin (Eds.), The planning of change: Readings in the applied behavioral sciences. New York:
Holt, Rinehart & Winston, 1962, pp. 583-586.
Purpose
rate of turnover. A top management group became
The project being reported has as its purpose the
involved in designing and carrying out a modest re-
modification of a bias against the employment of
search project to test the validity of these strongly
older (post-30) women in a garment factory; the
held preconceived notions. The research demon-
modification was motivated by a tight labor supply.
strated (see below) that older women were de-
sirable employees in terms of criteria management
Method
itself had selected. At this point management was
convinced, but supervisory employees still resisted
The change in attitude was effected under the
the change. A process of reeducation was carried
guidance of a staff psychologist. It was determined
out in the plant. Subleaders took part in group dis-
that management was adamant in its conviction
cussions, exploring the motivation for the bias and
that older women employees were less productive
developing insights concerning it. Eventually the
than the younger ones, took longer to learn a new
group arrived at a decision recommending that an
skill, had a higher rate of absenteeism and a higher
experiment be made in the training of older work-
SUMMARIES
307
ers-a decision which management supported be-
perienced psychologist, by the personnel manager,
cause of its own factfinding activities.
by the plant manager, by the president of the
company, and a combination of these.
Findings and Conclusions
3. Group discussion and decision brought about
change among supervisors, as participation in re-
1. The stereotype had no foundation in fact: The
search brought about change among management.
gathering and analysis of data indicated that older
4. Facts are useful only when the stereotype
women not only equalled but surpassed the younger
bearer himself is reoriented in his search for a new
women in productivity; were able to learn skills
solution.
slightly more rapidly; had a slight superiority in
5. Through a process of guided experiences
their attendance record; and a striking superiority
which are equally his own, a person may reorient
in the turnover rate.
himself SO that he gradually takes on within him-
2. The stereotype survived among the super-
self the attitudes which he would not accept from
visory level despite prestige suggestions by an ex-
others.
189
KNOWLEDGE DISSEMINATION
Dissemination measures
EMPIRICAL STUDY
Matheson, N. W., and Sundland, D. M. Objectives of the FDI system for mental hospital personnel in
Missouri. Paper presented at the Third International Congress of Medical Librarianship, Amsterdam,
May 1969.
Purpose
4. Although dissatisfaction with current libraries
was evident, responders did not see much of the
This paper describes the results of an effort to
journal literature and were vague about their in-
identify user group variables in mental hospitals
formational interests. They depended greatly on
and measure the impact of different kinds of dis-
interpersonal exchange of information.
seminated information.
5. In developing a new informational system,
group meetings were held at each institution; par-
Method
ticipants contacted one another by telephone, thus
A questionnaire concerning sources of informa-
making use of their dependence on interpersonal
tion was sent to 300 people, 209 were returned. Fol-
contact. These methods proved to be fairly satis-
lowing this, an effort was made to develop a new
factory and cooperation in these initial steps was a
information system (FDI).
prerequisite of participation. The clinicians, who
were the main mental health professionals in this
Findings and Conclusions
study, tended not to use many resources, partly
because their experiences with the literature
1. In answer to a question concerning sources of
showed little prospect of reward for the energy
information preferred after one's own library re-
necessary to the search and secondly because of the
sources have been exhausted, the most popular
common complaint that the researcher lacks in-
choice was the university library, with friends rank-
terest in the practical applications of his work, so
ing second. The next most used was public library,
that the reporting literature does not make clear
and trailing were NCMHR and NLM.
the clinical applicability of the research. As a
2. New book information came primarily from
consequence, many of the institutions in Missouri
book reviews, friends, and publishers' notices.
have essentially no libraries. They "consisted lit-
3. Only 32 percent of respondents felt their insti-
erally of books of such insufficient interest as not to
tutional libraries were adequate, so new informa-
be stolen."
tion sources were desired.
6. "Significance in developing a behavioral sci-
308
PUTTING KNOWLEDGE TO USE
ence information network in Missouri lay in de-
cation of articles, abstracts, and book reviews that
termining what effect, if any, the confluence of the
have been coded for terms which fit into his indi-
right person with the right information has;
vidual subject profile interest. This is a pioneering
whether, indeed, placing research results on the
project in the mental health field bearing some
mental health worker's desk under his nose would
similarity to attempts in other disciplines."
have any impact." Information in the behavioral
sciences is rarely a life and death matter; still, vast
8. The most usual response subjects made to
sums are invested in mental health research, the
how FDI had been of benefit was the amount of
results of which too infrequently reach the clini-
time conserved. FDI has also made an unexpected
cians and administrators who might apply them.
contribution to staff development. "Many of those
7. FDI, the system developed, is designed to
in FDI pass on references and reprints to their col-
supplement existing information-gathering sys-
leagues who are not enrolled. This kind of feeding
tems and to Xerox from the journals and mail in-
in of research findings at all levels of practice hope-
formation to users. "This system is a personalized
fully will stimulate a vigorous new growth in
service which directs to each individual only notifi-
utilization of research in all areas of practice."
190
CHANGE STRATEGIES
Change in attitudes
Individual reeducation
ANALYSIS AND SUGGESTIONS
McClelland, David C. Toward a theory of motive acquisition. In W. G. Bennis, K. D. Benne, and R. Chin
(Eds.), The planning of change (2nd ed.). New York: Holt, Rinehart & Winston, 1969, pp. 209-221.
Purpose
cess of educational attempts to develop that
The paper seeks to set forth the propositions that
motive.
underlie the process of bringing about a motive
(b) The more an individual perceives that de-
change.
veloping a motive is consistent with the de-
mands of reality (and reason), the more likely
Method
is the success of educational attempts to de-
velop that motive.
Using as a point of departure a realistic situation
(c) The more thoroughly an individual develops
concerned with interesting students in a program
and clearly conceptualizes the associative
designed to increase achievement motivation, and
network defining the motive, the more likely
referring to extensive, pertinent literature, the
he is to develop the motive.
author developed both his set of propositions and a
(d) The more the individual can link the newly
chart that allocates the propositions to a number of
developed network to related actions, the
independent, or input, variables, intervening vari-
more likely is change to occur and endure in
ables, and output variables.
both thought and actions.
(e) The more the individual can link the newly
Findings and Conclusions
developed conceptualized association-action
1. Factors influencing the acquisition (or
complex (or motive) to events in his everyday
life, the more likely the motive complex is to
strengthening) of a motive may be expressed in the
influence his thoughts and actions in situa-
following propositions:
tions outside the training experience.
(a) The more reason an individual has in ad-
(f) The more an individual can perceive and
vance to believe that he can, will, or should
experience the newly conceptualized motive
develop a motive, the more likely is the suc-
as an improvement in the self-image, the
SUMMARIES
309
more the motive is likely to influence his
ported and respected by others as a person
future thoughts and actions.
capable of guiding and directing his own
(g) The more an individual can perceive and ex-
future behavior.
perience the newly conceptualized motive as
(k) Changes in motives are more likely to occur
an improvement on prevailing cultural
the more the setting dramatizes the impor-
values, the more the motive is likely to in-
tance of self-study and lifts it out of the rou-
fluence his future thoughts and actions.
tine of everyday life.
(h) The more an individual commits himself to
(1) Changes in motives are more likely to occur
achieving concrete goals in life related to the
and persist if the new motive is a sign of
newly formed motive, the more the motive is
membership in a new reference group.
likely to influence his future thoughts and
actions.
2. These propositions are associated with a set of
(i) The more an individual keeps a record of his
input (or independent) intervening variables, and
progress toward achieving goals to which he
of output variables encompassing such elements as
is committed, the more the newly formed
the following: (a) goal setting for the person;
motive is likely to influence his future
(b) acquisition of achievement need associative
thoughts and actions.
networks; (c) relating new networks to super-
(j) Changes in motives are more likely to occur
ordinate networks; (d) personal goal setting;
in an interpersonal atmosphere in which the
(e) knowledge of progress; (f) personal warmth and
individual feels warmly but honestly sup-
support; and (g) support of reference group.
RESEARCH UTILIZATION
191
Innovation characteristics
Utilization factors
ANALYTICAL MODEL
McClelland, W. A. The process of effecting change. Presidential address to the Division of Military Psy-
chology, American Psychological Association, September 1968.
Purpose
Findings and Conclusions
Dr. McClelland has been involved in research
1. The historical record indicates that the find-
and development in military psychology for over
ings of research are not quickly utilized. It took
25 years and is currently working with the Human
about 50 years for complete diffusion of such prac-
Resources Research Office (HumRRO) at George
tical invention as the kindergarten to take place.
Washington University. His purpose is to suggest
HumRRO's experience with the Army utilization
ways of moving from research to development to
of R&D indicates the range of time from comple-
application and use.
tion of research to implementation ranges from a
few weeks to over 10 years.
2. There are three fallacies concerning the
utilization of research that Dr. McClelland does
not believe are justified:
Method
(a) A good product will succeed on its own
He reviews the literature that is relevant to the
merits. He points out that reports are often
points he wants to make and draws on his experi-
filed away and forgotten or are ignored in
ence to make a model of the means of getting re-
some other way.
search applied in practical situations.
(b) No further attention is required once an in-
PUTTING KNOWLEDGE TO USE
310
novation is introduced (obviously a plan for
tically without distortion.
maintenance and feedback is necessary).
(g) Criteria for assessing when the model is
(c) There is an orderly process from research to
applicable and when it is not.
development to use (actually there is a great
(h) Usefulness to people with different back-
deal of crossing back and forth among re-
grounds.
search, development, and use).
(i) Means for detecting gaps in theory and prac-
3. There is a large gap between theory and prac-
tice.
tice in education due to: diffuse goals, lack of
8. Two premodels of change are suggested:
knowledge on how to engineer innovations, the lack
(a) The interpersonal paradigm-this is based
of evaluation and feedback, management, and
on an adaptation of a more general model of
funding problems, and finally, attitudes of suspi-
Rogers (1968) which has three general stages:
cion and fear on the part of educators.
antecedents, process, and results. Under an-
4. A review of the literature led to the following
tecedents McClelland lists change-agent
"characteristics of innovators": (a) they "get
characteristics, client's characteristics and
around" outside of their normal environment;
perception of the situation, and change
(b) they tend to be younger; (c) they are familiar
agent's perception of the situation. Under
with research, development, and use activities;
process he places information sources such as
(d) organizations or individuals who are more af-
awareness, interest, evaluation, trial, and
fluent tend to be earlier adopters; (e) there is little
decision. He also includes the perceived
literature on the personal attributes of successful
characteristics of the innovation (advantages,
innovators except that they are not the most com-
compatibility, complexity, and divisibility)
fortable persons to have around, which may be par-
under the process heading. The results sec-
tially due to people's general resistance to change.
tion includes such features as client feed-
5. Guba's (1968) paper on the means of imple-
back, and factors leading to continued
menting change is discussed and the idea that
adoption or continued nonadoption.
the client is rational and will follow logical evidence
(b) The interorganizational paradigm-this fol-
was criticized for being "a bit naive."
lows the concept of research through develop-
6. There is no best way to manage change in
ment to use. The paradigm has three broad
complex enterprises.
sections: requirements for research (includ-
7. A list of criteria for evaluating change models
ing such factors as the characteristics and re-
is given in terms of provisions for the following
quirements of the client system and the
factors:
characteristics of the R&D agency), the con-
(a) Mutual recognition of the change agent and
duct of R&D (including research, report
client system roles.
writing, and mutual determination of action
(b) Means of affecting the direction, temper, and
implications), and finally the decision pro-
quality of change.
cess based upon the research findings. This
(c) Evaluation of cost effectiveness.
paradigm is based on the assumption that
(d) Diagnosis of strengths and weaknesses.
extensive, meaningful documentation is re-
(e) Definition of the time required for a contin-
quired. This model is basically an elabora-
uing relationship.
tion of the one HumRRO has evolved over a
(f) The model can be communicated realis-
period of working with the Army for 17 years.
SUMMARIES
311
192
KNOWLEDGE DISSEMINATION:
SCIENCE
Dissemination factors
Communication model
ANALYTICAL MODEL
Menzel, Herbert A. Scientific communication: Five themes from social science research. American Psy-
chologist, 1966, 21, 999-1004.
Purpose
Plays a Crucial Role in the Science Information
System-Menzel cites much empirical evidence
From research done during the past 20 years
for this generalization. The informal flow of in-
Menzel identifies five themes that describe the
formation is usually regular. Certain individuals
flow of information from researchers to potential
tend to be the most frequent carriers and there is
users.
often regularity in kinds of occasions, places, and
times at which these information exchanges oc-
Method
cur-i.e., labs, corridors, during coffee breaks, at
conferences, etc.
The ideas in this paper are based on the broad
"Information that helps interpret results and in-
experience and observations of the author.
formation that helps a person become acquainted
Findings and Conclusions
with a new field also seem to make their way dif-
ferentially, often through interpersonal channels
1. Acts of Scientific Communication Constitute
(APA, 1965, report No. 11; Menzel, 1959, Rosen-
a System-it is necessary to look upon any one ar-
bloom, McLaughlin, and Wolek, 1965)."
rangement, institution, facility as a component of
4. Scientists Constitute Publics-the populations
the total system, which includes all the provisions,
served by the science information system, that is,
all the facilities, all the occasions and arrange-
scientific researchers, and practitioners in various
ments, and all the customs in the discipline that
disciplines and professions can be usefully looked
determine the transmission of research informa-
upon as publics. These publics in turn can be
tion.
characterized by their communication behavior
2. Several Channels May Act Synergistically to
and information transmission planned accordingly.
Bring About the Effective Transmission of a Mes-
5. Science Information Systems Serve Multiple
sage-different communication channels are linked
Functions-the functions include: the exhaustive
together in the system. "Information must often be
search; the reference function; current awareness
publicized repeatedly or through diverse channels
function, which consists of stimulating researchers
before it will enter the stream of communications
from time to time to seek information outside of
which will lead to its ultimate user; and from the
their designated areas of attention; and a function
point of view of the consumer of information, it is
which consists of enabling a scientist to follow
frequently necessary to be exposed to the informa-
through in this stimulation by "brushing up" or
tion repeatedly before it will make an impact
familiarizing himself with a well-defined field of
(Menzel, 1958, pp. 14-17, 32-49, 92-124)."
inquiry which he had not previously included in his
3. Informal and Unplanned Communication
attention area.
312
PUTTING KNOWLEDGE TO USE
193
RESEARCH-PRACTITIONER
COLLABORATION
Research survey: mental health
Community research
CASE STUDY
Mercer, J. R., Dingman, H. F., and Tarjan, G. Involvement, feedback, and mutuality: Principles for con-
ducting mental health research in the community. American Journal of Psychiatry, 1964, 121(3),
228-237.
Purpose
Findings and Conclusions
To give an account of the principles and tech-
The study was guided by a "philosophy" consist-
niques employed to cope with the problem of pro-
ing of three fundamental principles:
ject-community relationships by a research pro-
1. Involvement-those persons in the community
ject studying mental retardation, an area closely
power structure holding key positions in relation to
related to mental health. The procedures are
the mentally retarded (the project subject/sample)
credited with the successful conclusion of field-
should be involved from the beginning as consul-
work.
tants or staff.
(a) This particular study involved: the director of
Method
Pupil Personnel Services and the Director of
The research project was an intensive epidemio-
Special Education (both appointed by the
logical study of a medium-sized urban community
Superintendent of city schools); the Chief
in southern California for the purpose of identify-
County Probation Officer and his Deputy in
ing mentally retarded persons in the community.
charge of court commitments; the Director of
Four aspects of the research plan were antici-
Psychological Services for county schools; a
pated to create special problems in maintaining
high administrative officer of the local
harmonious relations with the community:
branch of a State university; and, two mem-
bers of the staff of the sociology department.
(a) Saturation sample-because of the need to
(b) The value of having these persons involved in
include all cases in the sample and the distri-
the project was proven repeatedly. For ex-
bution of cases throughout all segments of
ample, the initial skepticism of the local
the community, inevitably there was the
newspaper publisher toward the project was
nearly total involvement of the city in the
dispelled after discussion with the university
study. The recognized procedure of entering
official. The key officials also helped in in-
a community with little advance notice, ne-
terpreting the study to other city officials and
gotiating individually for each interview, and
in legitimizing project activities with the citi-
leaving quietly could not be followed.
zenry.
(b) Nature of the research problem-the study
2. Feedback-through continuous contact with
had to be presented to the community in a
the project provided by regular meetings of the ad-
manner that would secure cooperation of
visory group, community leaders were constantly
respondents in a study which could be per-
informed of the current problems being faced by
ceived as potentially damaging to their own
the research staff. The advisory group was made up
self-esteem.
of the consultants from community social agencies
(c) Intelligence testing of a subsample-one-
and prominent social scientists.
sixth of the sample required additional con-
(a) The continuous information chain enabled
tacts and additional cooperation.
community leaders to utilize the information
(d) Longitudinal design-plans for additional
feedback advantageously in their own work
study meant that the active cooperation of
and assured them of a priority of knowledge.
the community was essential.
(b) Cognizance of project problems often re-
SUMMARIES
313
sulted in valuable assistance from com-
conduct of such a study:
munity leaders. For example, the consultants
(a) Pretesting field procedures in a different
from the schools suggested using teachers as
community from that utilized for the final
interviewers during summer vacation and
study provided valuable information for the
were instrumental in recruiting what proved
final fieldwork.
to be an efficient and devoted corps of work-
(b) Establishing contact with significant com-
ers.
munity agencies in advance of the fieldwork,
3. Mutuality-whenever possible, plans were
judicious use of newspaper publicity, and the
formulated SO that the research effort would not
projecting of a project image acceptable to
only advance specific project interests but would
the community were found to be useful in
prove useful to participating agencies. This par-
developing favorable community-project re-
ticularly applied to the kinds of data collected.
lations.
Also, whenever feasible, agency records were
(c) Careful timing of fieldwork, recognition of
analyzed by agency staff members employed by the
ethnic factors in selecting and assigning in-
project. Staff members interested in research in
terviewers, and dealing continuously with
project-related topics were encouraged and assisted
problems of staff morale were also involved
in generating and analyzing data.
in achieving a 90.96-percent completion rate
4. Based on experience with this community
for the initial screening interview and an
research effort, several suggestions are made for the
86.6-percent rate for sub-sample testing.
194
INNOVATION: EDUCATION
Change process
Innovation characteristics
Innovation factors
ANALYTICAL MODEL
Miles, Matthew B. Innovation in education: Some generalizations. In M. B. Miles (Ed.), Innovation in
education. New York: Bureau of Publications, Teachers College, Columbia University, 1964, pp.
631-662.
Purpose
son or group are likely to move slowly.
(b) Technological innovations are relatively easy
As the final chapter of the above book, this paper
to adopt; such innovations are equally easy
reviews generalizations made explicitly or im-
to reject or discontinue.
plicitly in preceding chapters.
(c) Supporting materials (teaching aids, man-
uals, etc.) aid the diffusion of educational
Method
innovation.
The author has synthesized the points relevant
(d) Innovations with built-in implementation
to innovation made throughout the book.
supports (such as special training for prac-
titioners) diffuse more rapidly than those
Findings and Conclusions
not so supported.
(e) Innovations must be congruent with the po-
1. Although the merits of the innovation itself
tentially adopting system. Those which are
are rarely the major determinants with respect to
perceived as threats to existing practice are
adoption, some of the properties of the innovation
less likely to be accepted; those which can be
do have a bearing on adoption.
added to an existing program without ser-
(a) Innovations requiring inordinate outlays of
iously disturbing other parts of it are likely to
money, energy, or time by the adopting per-
be adopted.
314
PUTTING KNOWLEDGE TO USE
2. Most innovations appear to be stimulated,
(b) Different formulations are offered concerning
triggered, and nurtured by some active person or
the stages of the change process.
group, either external to the innovation-receiving
(1) One formulation identifies the following
system or within that system. The following gen-
stages: development of awareness and
eralizations are made about the characteristics of
interest concerning the innovation; reach-
these innovators.
ing a judgmental decision about the po-
(a) The innovator is not an isolated hero. He
tential rewards and costs of the innova-
must recognize and accommodate to his in-
tion; actual trial of the innovation with-
terdependence with others (co-workers, the
in the system; decision to adopt, adapt,
institution, the external community, etc.).
or reject.
(b) The innovative person tends to be in a posi-
(2) Another formulation includes these
tion of authority within the system. He is
stages: criticism of existing programs;
often strong, intelligent, enthusiastic, cre-
presentation of proposed changes; review
ative, and skilled in interpersonal relation-
and reformulation of proposals and com-
ships. It is, however, not uncommon for in-
parison of alternate proposals; action
novators to be rebellious, impractical, or
decisions; implementation of action de-
emotionally unstable.
cisions.
(c) Innovations sponsored by a group rather than
(c) The following optimal conditions are identi-
an individual are more likely to be moderate
fied in relation to the stages of the change
rather than radical in nature.
process.
(d) Group acceptance and implementation of an
innovation is facilitated through the creation
(1) Effective design of innovation requires a
of a temporary system.
protected, enriched, autonomous en-
vironment.
3. The following characteristics of the target sys-
(2) In the development of awareness/interest,
tem are relevant to the acceptance or rejection of
credibility is crucial. It can be aided if a
innovation.
genuinely dispassionate group serves as a
(a) Generally speaking, within any given system,
clearinghouse for information on an in-
there are more forces working for stability
cipient innovation.
than for change.
(3) Making an evaluative judgment is easier
(b) Zeitgeist affects change; the author believes
when potential adopters can visit and
that there are many features in American
actually observe the operation of innova-
society that presently support innovation.
tions.
(c) Internal conditions conducive to the accep-
(4) During the initial period of an innova-
tance of change include the need to accom-
tion's use, the user needs generous sup-
modate the growth, discrepancy between
port and help.
ideals and existing practice, and conflict
(d) Adequate linkage between innovating groups
among subsystems.
and target systems can be facilitated if in-
(d) Innovativeness varies directly with available
novators are chosen so as to have a direct,
money.
preexisting relationship with persons re-
4. The process of implementing change needs
sponsible for making political or financial
careful study, planning, and experimental work.
decisions relevant to the innovation. Reason-
(a) Among the strategies which aid in effective
ably stable tenure in the innovating group is
implementation are: comprehensive atten-
also helpful.
tion to all stages of the diffusion process; cre-
5. Many innovations, once accepted, are con-
ation of new structures, especially by systems
tinued without valid and dispassionate evaluation
outside the target system; congruence with
concerning effectiveness; likewise many innova-
prevalent ideology in the target system; re-
tions have a short life and are abandoned without
duction of pressures on relevant decision
rational evaluation. The fate of innovations-and
makers; use of linkage between existing
the underlying reasons for the fate-needs further
structures or between old and new structures.
exploration.
SUMMARIES
315
195
CHANGE PROCESS
Change strategies
Group dynamics
Change via temporary systems
ANALYSIS
Miles, Matthew B. On temporary systems. In M. B. Miles (Ed.), Innovation in education. New York:
Bureau of Publications, Teachers College, Columbia University, 1964, pp. 437-490.
Purpose
(d) Participants are usually separated-socially
and physically-from their ordinary pur-
The focus of this paper is the use of temporary
suits. A cultural island facilitates contempla-
systems to bring about change in persons, groups,
tion of change and provides some protection
and organizations.
to participants.
Method
(e) Generally speaking, the temporary system
will more readily accomplish its goals if it is
The author draws upon case material, but the
small in size and if it is housed in a physically
method is primarily analytical.
limited territory (one hotel, a single meeting
room).
Findings and Conclusions
5. Temporary systems have the following process
1. Permanent systems find it difficult to ac-
characteristics:
complish change. Their energies are devoted pri-
(a) They provide participants with coherent,
marily to carrying out routine goal-directed ac-
narrowed time perspective. Postponement of
tivities and to maintaining existing relationships
activity is discouraged. Use of directed energy
within the system. Other antichange forces (defec-
is increased. The use of time is so concen-
tive communication, status consideration, etc.)
trated that there is often a distorted percep-
also serve to block the introduction of change.
tion of elapsed time.
2. Temporary systems (such as the psychothera-
(b) Goals are redefined as new understandings
peutic relationship, the religious retreat, goal-
develop and communications improve. This
directed workshops and conferences, the pilot pro-
reformulation of goals as a group process
ject, and the consultant-client relationship) prove
serves to fully engage the participants in the
to be effective mechanisms for inducing change.
world of the temporary system.
3. Change-inducing temporary systems can be
(c) There is precise specification of the "rules of
functionally differentiated as follows: treatment,
the game." This serves to make the system
reeducation, and education.
controllable, predictable, and compelling
4. Temporary systems have the following input
(that is, participants will perform unusual or
characteristics-that is, characteristics which ap-
difficult tasks because they are part of the
pear at the time of setting up the system:
given procedures).
(a) They are expected by the participants to ter-
(d) The participant is freed from his usual role
minate at a specific point in time or when
conflicts and has the opportunity for role re-
some specific event has occurred (such as: a
definition and refashioning of his identity.
problem solved, a report finished).
He has the opportunity for risk-free experi-
(b) The initial goal is clearly defined and limited.
mentation with new roles.
Members do not anxiously confront a limit-
(e) Temporary systems encourage a special form
less and unachievable task.
of communications: A common language
(c) There is usually close specification of the
with special meanings for the participants
classes of personnel who may enter the sys-
tends to develop; new channels of informa-
tem for its limited life. This often reduces in-
tion transmission open up between persons
ternal conflict and bypasses problems of sta-
whose roles in former permanent systems
tus maintenance.
kept them apart; there is a tendency, as they
316
PUTTING KNOWLEDGE TO USE
share more information with each other, for
(a) There can be changes in the durable, con-
participants to become more open and trust-
tinuing aspects of individuals' attitudes,
ing.
knowledge, or behavior.
(f) The temporary system has its own power sys-
(b) Membership in a temporary system can
tem. Productive work does not get underway
durably alter the quality of preexisting rela-
until the power structure is clear to all. There
tionships among members of the system.
is a tendency for equalitarian notions of
(c) Action decisions can emerge from temporary
power distribution to develop. The net in-
systems.
fluence of any one individual on the system
can be substantial.
7. The author makes the point that despite the
suitability of temporary systems in the accomplish-
(g) Characteristic states of feeling during the
ing of change, they do have certain characteristic
process include an early defensiveness, an
problems.
emerging atmosphere of play, a developing
interpersonal liking and acceptance, an esprit
(a) Participants may be overloaded, overstim-
de corps, and finally a deep sense of involve-
ulated, emerge with the feeling that they
ment.
need decompression time.
(h) It is relatively easy to develop new norms in
(b) The system may aspire toward grandiose,
a temporary system; they can become in-
unattainable goals.
ternalized as attitudes in the person are car-
(c) The intensive climate calls for demanding
ried over as practices into permanent organ-
process skills which are not always provided.
izations. Among the typical norms generated
(d) The short-term isolation from the surround-
by temporary systems: equalitarianism, au-
ing environment may generate long-term
thenticity, inquiry, hypotheticality, "new-
alienation when members return to the per-
ism," effortfulness.
manent system.
(e) Failure of linkage between temporary and
6. Temporary systems have the following output
permanent systems can short-circuit the ac-
characteristics:
complishments of the former.
196
PLANNED CHANGE: EDUCATION
Change strategies
Organizational factors
Organizational climate
ANALYSIS
Miles, Matthew B. Planned change and organizational health: Figure and ground. In R. O. Carlson, et al.,
Change processes in the public schools. Eugene, Ore.: Center for the Advanced Study of Education
Administration, University of Oregon, 1965, pp. 11-34.
Purpose
Method
It is the author's conviction that those concerned
The paper was developed by analytical consid-
with innovation have tended to focus primarily on
eration of the issues with considerable use of
the efficacy of the innovation itself and to neglect
published materials by other specialists in the field
the readiness of a specific organization to absorb
of planned change.
the innovation. Accordingly, his purpose in this
paper is to correct that deficit and to pinpoint fac-
Findings and Conclusions
tors of organizational health in relation to utiliza-
1. The author formulates the following dimen-
tion of innovation.
sions of organizational health:
SUMMARIES
317
(a) In a healthy organization, the goals of the
solutions, for deciding on the solutions, for
system are reasonably clear to the system
implementing them, and for evaluating their
members and reasonably well accepted by
effectiveness.
them. The goals must also be achievable with
2. Educational organizations have certain spe-
existing or available resources, and must be
cial properties which tend to diminish their organi-
appropriate.
zational effectiveness. These include goal ambi-
(b) There should be relatively distortion-free
quity, input variability (that is, they must accept a
communication, vertically, horizontally, and
wide range of pupils), role performance invisibility,
across the boundary of the system to and
low interdependence, vulnerability, lay-professional
from the surrounding environment.
control problems, and low-technological invest-
(c) The distribution of influence should be rela-
ment.
tively equitable. Subordinates can influence
3. Specific interventions are suggested to im-
upward, and intergroup struggles for power
prove organizational health.
are not bitter.
(d) When there is organization health, the sys-
(a) Team training-members of an intact work
ter's resources-particularly its personnel-
group meet for a period of days away from
are used effectively. People may work hard,
their offices, with constant help, to improve
but they do not feel that they are working
their effectiveness as a problem-solving
against themselves or against the organiza-
team.
tion.
(b) Survey feedback-attitudes, opinions, and
(e) A healthy organization has cohesiveness. Its
beliefs of members of an organization are col-
members are attracted to it, want to stay
lected by survey; findings are provided mem-
with it, be influenced by it, and collabora-
bers of the group who examine them and plan
tively exert their own influence.
changes accordingly.
(f) A healthy organization is innovative. It tends
(c) Role workshop-all people in a particular
to develop new procedures, move toward new
role within an organization meet to examine
goals, produce new kinds of products, di-
role expectations others hold for them, the fit
versify itself, and become more rather than
between their own wishes and these expecta-
less differentiated over time.
tions, their actual role performance, etc.
(g) A healthy organization has autonomy. It does
(d) Target setting and supporting activities-
not respond passively to demands from the
periodic meetings are held between super-
outside nor does it respond destructively or
visor and each of his subordinates separately
rebelliously to perceived demands. It has a
to set targets for work and personal develop-
sense of independence from the environment.
ment. Targets are reviewed from time to
time. Activities directed toward achievement
(h) A healthy organization has sufficient ca-
pacity for adaptation so that, when environ-
of goals (conferences, workshops, academic
mental demands and organization resources
courses, etc.) are provided.
do not match, a problem-solving, restructur-
(e) Organizational diagnosis and problem sol-
ing approach evolves in which both the en-
ving-this can be accomplished by residen-
vironment and the organization undergo
tial meetings of top members of a work group
change. The organization, if it is healthy, has
to identify problems and develop solutions.
enough stability and stress tolerance to man-
Emphasis is less on interpersonal effective-
age the difficulties which occur during the
ness than on system-wide problems.
adaptation process.
4. The foregoing means of intervention have
(i) A healthy organization has problem-solving
these common principles: self-study, relational
adequacy. This encompasses well-developed
emphasis, increased data flow, norms which func-
structures and procedures for sensing the
tion as a change agent, temporary system ap-
existence of problems, for inventing possible
proach, and expert facilitation.
PUTTING KNOWLEDGE TO USE
318
197
GROUP DYNAMICS
Change process: mental health
Attitudes toward change
EMPIRICAL STUDY
Miles, M., Hornstein, H., Calder, P., Callahan, D., and Schiavo, R. Data feedback: A rationale. In H. A.
Hornstein, B. B. Bunker, W. E. Burke, M. Gindes, and R. J. Lewicki (Eds.), Social intervention: A
behavioral science approach. New York: The Free Press, 1971.
Purpose
(a) Increased liking among the parties who inter-
To describe the process of survey feedback and to
act
present arguments concerning its effectiveness as a
(b) Increased pressure for clarifying one's posi-
method of planned organizational change.
tion on relevant issues
(c) Increased pressure for conformity to group
norms
Method
3. Process analysis. In the beginning, staff mem-
Descriptive analysis
bers are the primary source for process analysis.
They make comments on such things as inter-
personal interactions, norms, and problem-solving
Findings and Conclusions
procedures. Other members of the group begin to
think reflexively, and to comment on the group's
1. Presentation of data. In survey feedback the
process and the behavior of others explicitly.
client system examines data about itself. The data
As the group's process is focused upon and diag-
may corroborate the client's feelings, the data may
nosed, two things occur:
have a disconfirming effect if they contradict be-
liefs, or they may have inquiry-encouraging effects
(a) Members of the group inhibit old behaviors
so that the clients begin to wonder why people re-
and attempt to practice new behaviors in re-
sponded as they did. These effects tend to en-
sponse to the feedback they are receiving
courage acceptance of the data, especially when the
about their current behavior.
client group has collaborated in data collections.
(b) The group develops norms which facilitate
2. Meetings. Survey feedback insures the group's
productive work by enabling direct expres-
responsibility for survey feedback meetings by
sion of feeling, and self-corrective behavior
having the meetings organized around the existing
when group problem solving is effective.
work structures, and by having each family work-
Two sets of norms are most critical:
group conduct its own meeting. Thus, the client
(a) The first set is in operation as soon as the
group becomes its own change agent. Group mem-
group accepts process feedback and facili-
bers have responsibility for conducting and sched-
tates the communication of information.
uling meetings and for making and implementing
(b) The second set rewards collaborative activity
action decisions.
and affects communication, determination of
The increased interaction which results from
goals, group cohesiveness, and group pres-
these meetings has three effects:
sures for conformity.
SUMMARIES
319
198
RESEARCH UTILIZATION:
REHABILITATION
Utilization measures
Knowledge dissemination
ANALYSIS AND SUGGESTIONS
Moriarty, Edward J. Summary of small group recommendations. Communication, dissemination, and
utilization of rehabilitation research information. Washington, D. C.: Joint Liaison Committee of
the Council of State Administrators of Vocational Rehabilitation and the Rehabilitation Counselor
Educators, Department of Health, Education, and Welfare, 1967, Studies in Rehabilitation Counselor
Training, No. 5, pp. 72-73.
research efforts of various agencies and that the
Purpose
VRA stick to projects clearly within the field of re-
To summarize the recommendations made by
habilitation.
the small discussion groups at a conference on Re-
8. That humanistic values influence agency pro-
habilitation Counselor Training held in December
gram development and that research findings are
1966.
not always needed to justify attempts to help peo-
ple. Research programs should be oriented toward
Method
assessing and evaluating as results are achieved.
9. That the VRA form a committee of State
The author himself served as general group re-
corder at the conference. His approach to the task
agency personnel to help identify research needed
of summarizing is not outlined, but the reports of
to help State agency programs.
10. That specific budgets be established for
the individual small groups are attached as an ap-
operational research in State agencies.
pendix to the monograph.
11. That sensitivity training, through T-groups,
Findings and Conclusions
be established to help develop receptivity in target
groups.
The summarized recommendations are quoted in
12. That there be established cooperative uni-
full text below:
versity-agency mobile research and innovation
1. That the counselor be seen as a target for re-
teams.
search utilization, and that the counselor be viewed
13. That priority be given to the development of
within his total environment, which will include his
storage and retrieval systems.
community, supervisors, consultants, administra-
14. That research seminars for administrators,
tors, budget, and the general climate in which he
supervisors, and counselors be established.
works.
15. That the Rehabilitation Record contain a
2. That statewide planning activities pay careful
tearout, research section written by a science
attention to research findings as they proceed.
writer, knowledgeable in rehabilitation.
3. That State agencies seek closer ties with uni-
16. That research either proposed or completed
versities, as they become involved with statewide
be evaluated with respect to-
planning.
(a) its relevance to the counselor's work and
4. That research grants being approved be eval-
problems;
uated on a utilization criterion as well as other re-
(b) the involvement of the counselor with respect
search standards.
to research being considered; and
5. That, in considering dissemination, the cri-
(c) the payoff possibilities as related to the
teria of getting the right material into the right
counselor in the field.
hands at the right time be emphasized.
6. That human values not be ignored when in-
17. That research be conducted in two areas-
formation concerning rehabilitation is computer-
(a) ways and means of increasing receptivity to
ized.
research ideas; and
7. That there be better coordination between the
(b) ways and means of increasing utilization of
PUTTING KNOWLEDGE TO USE
320
research findings by counselors and super-
20. That a counselor advisory committee on re-
visors.
search be established.
18. That laboratories be established to test out
21. That the VRA construct mailing lists to sup-
new ideas and to serve as agencies of change.
plement those of the research and the develop-
19. That there be a public educator in each
ment centers.
agency.
199
RESEARCHER-PRACTITIONER
RELATIONSHIPS
Research utilization: rehabilitation
ANALYSIS
Nagi, Saad Z. The practitioner as a partner in research. Rehabilitation Record, July-August 1965, 1-4
Purpose
the practitioner and the theoretical and method-
ological sophistication of the researcher. This would
In order for any professional field such as re-
require four activities:
habilitation to thrive and grow, there must be
knowledge and learning as well as practice and
(a) Establishing close ties with the basic disci-
service. To serve this end, the partnership between
plines through curricula planning in the ap-
practitioners and researchers is vital. The author
plied fields, continued interest on the part of
discusses the basis of this need, the differences be-
practitioners, and attracting researchers well
tween these two specialized activities, and the fac-
grounded in these disciplines.
tors involved in achieving a closer unity of research
(b) Closing the gap between theoretical and
and practice.
applied research, especially in the social and
behavioral aspects of disability, since the
Method
implications of many contemporary theories
have not been studied.
This paper was developed from the observations
(c) Closing the gap between the availability and
and knowledge of the author.
the utilization of research findings.
(d) Establishing means of feedback SO that re-
Findings and Conclusions
searchers would learn about the practition-
ers' experiences with research results and
1. Since practice involves the application of
their observations about the conditions
available techniques, this can serve as the ultimate
under which these results hold or deviate.
test not only of the effectiveness of the techniques
themselves, but also of the validity of the theoreti-
4. The last two of the above activities would
cal structure from which the techniques developed.
require overcoming barriers in communication,
2. The state of the art of the practice disciplines
which the author believes can best be accomplished
based upon the social and behavioral sciences is
through workshops, seminars, programs of career
quite crude in comparison to those derived from the
development for both practitioners and research-
physical sciences. In the case of rehabilitation,
ers, and a common commitment to understanding
there is a glaring inadequacy in the understanding
the total picture of disability.
of the behavioral aspects of disability and the in-
5. In addition to the problem of communication,
effectiveness of existing techniques for dealing
other obstacles to productive cooperation can be
with it.
identified as deriving from the conflicting orienta-
3. The development of a comprehensive, dy-
tions of the researcher and practitioner:
namic theory of disability would require the pool-
(a) The controversy over the appropriateness of
ing together of both the experiences and insight of
the clinical versus the statistical approach to
SUMMARIES
321
inquiry. Both approaches are needed, and
upon with confidence in therapeutic or
can be fruitfully combined by statistical
counseling situations.
analysis of clinically collected data and vice
(d) The need for controls in research operations
versa.
causes considerable problems in the applied
(b) Practitioners are oriented toward uniqueness
setting, since the research design may be
while researchers are oriented toward pat-
viewed by practitioners as hindering the pro-
terns. Actually these two orientations are
vision of optimal services. The author sug-
interdependent, since knowledge of patterns
gests that the provision of services should not
is necessary in identifying uniqueness, and
be a goal in itself but should be aimed at the
practitioners can contribute valuable input
testing and improvement of the services
to research through the systematic account-
themselves and at contributing to the re-
ing of the conditions under which unique-
habilitation and welfare of the client. Dr.
nesses emerge.
Nagi does not see these two goals as neces-
(c) The issue of the tentativeness or finality of
sarily incompatible as long as the research
information causes conflict, since researchers
objectives and design do not violate any
hold information as tentative while practi-
ethical standards or the orientation toward
tioners require information that they can act
human welfare.
200
RESEARCH UTILIZATION
Change models
Change agency
ANALYTICAL MODEL
National Institute of Education. Building capacity for renewal and reform: An initial report on knowledge
production and utilization in education. Washington, D.C.: National Institute of Education, 1973.
Purpose
Method
The method is one of analysis and suggestion
The purpose of this report by the Task Force on
relative to the implementation of the provision of
Resources Planning and Analysis of the NIE's
the Education Amendments Act of 1972 which de-
Office of Research and Development Resources is
clared it to be the policy of the United States,
to describe the initiative of the Institute in its at-
along with related objectives bearing on the ad-
tempt "to build organizational capacity of the
vancement of American education, to "build an
R&D community to create information and alter-
effective educational research and development
native practices and products of value to educators,
system." The Task Force viewed this objective in
the capacity of a variety of agencies to link research
broad terms. It first critically examined past policy
to practice, and the capacity of schools and State
decisions, which in their opinion "created a system
agencies to engage in a process of continuous im-
of external agents, new institutions for the most
provement that makes the most effective use of
part, anchored neither in any well-tested scholarly
local resources as well as the products of external
understanding of a domain of practice, nor in any
R&D." The description is accompanied by a con-
intimate knowledge of operational problems." Con-
ceptualization of the knowledge production and
sequently, the method and scope of the analysis
utilization system which provides a framework for
went beyond the confines of existing institutions
sets of recommendations relative to the strengthen-
and was not limited solely to their rearrangements.
ing of the R&D system, the building of a linkage
The Task Force felt that "the revised concept of the
and support system, and the building of problem-
'R&D system' must include attention to how and
solving capacity in the operating system.
by whom problems get formulated in the first place;
322
PUTTING KNOWLEDGE TO USE
to what might be a range of likely resources for
Government, universities, nonprofit organi-
solving them, whether through systematic external
zations, and industry need to be re-examined.
development or some other means; and to the or-
(b) External linkage and support requires the
ganizational life of operating systems which will
operation of a comprehensive information
affect the possibility of implanting the solution to a
system linking all the participants in the
problem."
resource and operating systems with the
external institutions involved in delivering
Findings and Conclusions
products and related technical assistance to
the schools.
1. The history of significant Federal support for
(c) The concept of internal R&D implies that the
educational research and development, beginning
elements of the operating system, both in
with the Cooperative Research Act in 1954 to the
SEA's and LEA's, should be regarded as le-
establishment in 1972 of the National Institute of
gitimate performers of R&D, albeit with less
Education as a separate Federal agency, is marked
emphasis on basic research and a far less
by varying emphasis on research, development,
rigorous process of development/field testing/
and dissemination as well as by varying stress on
evaluation.
the amount of participation by universities, inde-
(d) Internal problem solving by LEA's requires
pendent nonprofit organizations, profit-oriented
that practitioners be thought of, not as
organizations, and local school systems and State
passive and unaware consumers, but as a
agencies.
source of goals, as problem clarifiers, and so-
2. The rapid growth of funds for R&D during the
lution proposers.
60's led to a significant increase of professional per-
(e) The SEA's function with regard to internal
sonnel with a shift in stress from research to de-
policy, linkage, and support includes the re-
velopment and an unevenness in qualifications for
sponsibility to assess state-wide needs and
the required task. Emphasis shifted as well in re-
to design programs of dissemination and dif-
spect to the aspect of the educational process, with
fusion that allow school districts to learn
curriculum materials and teaching techniques re-
about and profit from one another's activ-
ceiving higher priority over basic research.
ities.
3. Although difficult to assess, the impact of
(f) All the elements of the system need to be
Government on sponsored R&D activity in educa-
viewed as interactive.
tion has been judged to have been less effective
than might be, and the need for a better linkage
7. Recommendations are presented for con-
and support system has been increasingly recog-
venience under four categories:
nized.
(a) Developing a monitoring system within NIE.
4. Research and development will influence
(b) Strengthening the external R&D system.
practice in the schools only to the extent the needs,
(c) Building a linkage and support system.
values, incentives, and ideas of practitioners are
(d) Building problem solving capacity.
reflected. Also, R&D must be in keeping with the
In each area the elements of the NIE-directed re-
characteristics of the educational operating sys-
search program are presented in terms of the nature
tem, both at local and State levels.
and sequence of activities deemed necessary.
5. In enhancing renewal, innovation, and knowl-
8. With regard to monitoring the system, the
edge utilization in the operating educational sys-
problem has centered about a lack of the data base
tem a major thrust is needed toward building or-
and the understanding of systems dynamics needed
ganizational capacity and resources in terms of the
for effective, rational policy making.
individual teacher, the school, the school district,
the community, and the State.
9. Strategies for monitoring the system rest on a
concept borrowed from the literature on social indi-
6. The development of resources for problem
cators, but adapted to the educational scene. Pres-
solving can be furthered by the employment of an
ent sources of data are to be used, supplemented by
interactive model of educational change which dis-
new sources.
tinguishes between the local and State operating
systems (LEA's and SEA's) on the one hand and
10. With regard to building the R&D system, the
the external resource system on the other. Certain
problem relates to the fact that the R&D models
considerations are suggested:
have often been borrowed from the "hard sci-
ences," and have not always been appropriate to
(a) The institutional relationships among the
the solution of complex social problems. Despite
SUMMARIES
323
the past decade of growth in new R&D institutions,
system design will center around the scope of in-
the scientific communities in the educational field
formation covered, improved system access, and
are still weak and fragmented.
the transformation of information into usable form.
11. Strategies for building the R&D system en-
Two activities intended to provide immediate im-
tail both long-term research and analysis and a
provement are a survey of user satisfactions, dis-
series of special studies aimed at particular issues
satisfactions, and information-using styles, and the
regarded as crucial to NIE.
identification of topics on which interpretations
12. With regard to building the linkage and sup-
and distillation of knowledge are required. Other
port system, in response to a number of difficulties
activities shortly to be initiated are an economic
that beset the operating system, three initial pro-
analysis of ERIC, user services in the form of
gram strategies are proposed: a consumer informa-
operating information centers, and continued ex-
tion strategy, an information dissemination stra-
perimentation with on-line computer retrieval.
tegy, and a product delivery strategy. Taken
15. Current mechanisms for delivering develop-
together, the several strategies relate to linking
ment products to the operating system limit their
mechanisms designed to overcome difficulties ex-
accessibility, and consequently, their utilization.
perienced by school staff.
NIE proposes to improve education's product de-
13. Consumer information has been wanting in
livery system by increasing the understanding of
several respects. What is needed is a program of
the relative effects of a variety of dissemination
consumer information calculated to provide better
strategies, by increasing the continuity between
means to identify and test promising practices,
product development and dissemination, and by
better verification of product evaluation pro-
experimenting with a variety of incentives for im-
cedures and results, more and better information
proving the delivery of high-quality R&D products.
on product performance, and alternate strategies
16. With regard to building capacity in the
for providing information in an appropriate format.
operating system, it is proposed that NIE support
Strategies to achieve a more useful consumer in-
two major activities at the State level: to conduct
formation program through NIE efforts are di-
knowledge production and utilization surveys and
rected toward more reliable information, the
analytical studies of the role of the State depart-
identification of products and practices, and ex-
ment of education, and to sponsor a series of con-
perimentation with a variety of ways to effectively
ferences to examine pertinent experiences of the
communicate information to interested client
several states.
groups.
With respect to problem solving in the schools, it
14. In the light of the criteria of comprehensive-
is proposed that organizational capacity for prob-
ness, relevance, utility, accessibility, and manage-
lem solving be built at the level of the teacher, the
able cost, the status of information dissemination
individual school, the school district, and the
and communication in education is subject to im-
school and community. The principal program ele-
provement. The NIE Information, Dissemination
ments would include surveys and analyses, three-
and Communication Program hopes to achieve the
year longitudinal case studies, the development of
objective of providing "timely access to all relevant
programs, and technical assistance and policy
and useful knowledge relating to education for the
analysis. The elements are to be phased in over a
diverse members of the educational community,
six-year period, and are to be integrated as the pro-
including teachers, administrators, school board
gram develops. At the various levels technical as-
members and other policy makers, researchers, and
sistance will be provided to further the develop-
developers." The strategies to be employed relate
ment of problem-solving responsibility within the
to the performance in a cost-effective manner of the
operating system.
functions of acquisition, screening, indexing, stor-
17. Along with the directed program for the pro-
age, retrieval, dissemination, establishment of user
duction, dissemination, and utilization of scien-
services, and the development of information pro-
tific knowledge described in detail, it is the inten-
ducts. Note is taken of the fact that the Educa-
tion of the NIE to sponsor field-initiated studies in
tional Resources Information Center (ERIC) is per-
support of research on the processes of educational
forming these functions in a considerable degree,
change.
and its services will continue while a newer, more
In essence, the scope of the field-initiated studies
viable system is emerging. Initial efforts, both in
will tend to reflect the many areas of concern ex-
short-term ERIC modifications and longer-range
pressed with regard to the directed program.
324
PUTTING KNOWLEDGE TO USE
201
KNOWLEDGE UTILIZATION:
SOCIAL SCIENCE
Change strategies
Change agent
Dissemination measures
COMMISSION REPORT
National Science Foundation. Knowledge into action: Improving the Nation's use of the social sciences.
Report on the Special Commission on the Social Sciences of the National Science Board, report NSB
69-3. Washington, D.C.: U.S. Government Printing Office, 1969.
Purpose
2. The expressed demand by the professions for
The Commission presenting this report was
social science contributions is infrequent and gen-
charged with making recommendations for increas-
erally unsystematic. To strengthen and system-
ing the useful application of the social sciences in
atize this liaison, the Commission recommends
the solution of contemporary social problems.
that:
Method
(a) Professional schools should include in their
curricula more of the social science knowl-
Although the method through which the Com-
edge relevant to the particular profession.
mission carried out its task is not described in the
The objective is not to make social scientists
report, it is assumed that it was primarily ana-
of the professionals, but to assure their ex-
lytical. A multidisciplinary group of persons served
posure to the methodology, capabilities, and
on the Commission, and the participation of other
knowledge of the social sciences relevant to
relevant persons in the preparation of the report is
that profession.
acknowledged.
(b) Provision should be made for increasing col-
laborative social science-professional research
Findings and Conclusions
efforts, not only on basic scientific questions
1. Social scientists can contribute to solving the
of common interest, but also joint attacks on
Nation's problems if full advantage is taken of their
social problems (urban housing, juvenile
strengths. The following major obstacles to the
courts, pollution, urban government organ-
utilization of social science knowledge are identi-
ization, delivery of health services) within
fied:
the purview of the specific professions.
3. Many of the domestic policy issues which the
(a) There is frequently no institution or agency
Federal Government is called upon to formulate
to note such knowledge and act upon it.
and implement are more closely related to the
(b) In many instances the social sciences provide
social sciences than to the physical and biological
accurate descriptions or predictions of
sciences. Social sciences must be accorded their
events, but no solution to the problem. This
proper position as part of the entire national pool of
reinforces a tendency to reject that knowl-
scientific and technological knowledge and skill. To
edge: if it provides no answers, it is irrelevant
assure that the social sciences are effectively
and perhaps troublesome.
utilized by the Federal Government, the Com-
(c) Social science knowledge may be rejected by
mission recommends that:
some because it is threatening to their own
(a) The number of social science members on
views or to the security of their personal sit-
the President's Science Advisory Committee
uations.
should be increased to assure identification
(d) Limited resources may be a significant factor
of the social science knowledge that should
in the rejection of social science knowledge;
be available to the Committee.
the solutions advanced may be valid but too
(b) Professional social scientists with back-
demanding of those resources.
grounds in relevant areas should be added to,
SUMMARIES
325
and become an important part of, the Office
knowledge will raise the public expectations as to
of Science and Technology Staff.
the value of social science in dealing with public
(c) The Council of Economic Advisers should
problems. To these ends, the Commission recom-
have, among its professional staff and con-
mends that:
sultants, persons drawn from relevant social
(a) The National Science Foundation should
sciences other than economics, and persons
increase its support of efforts to improve
in the physical sciences and engineering.
social science curricula in elementary and
(d) The present practice of employment of social
secondary schools.
scientists in the Federal Government should
(b) Social science associations and funding or-
be strengthened and extended; periodic
ganizations should encourage the efforts of
leaves of one academic term at full salary
scholars studying how children develop an
should be instituted to enable professional
understanding of basic social science con-
employees to bring themselves up to date
cepts; the implications of this research
with the very rapid developments of their
should be translated into redesigned cur-
own and related disciplines, either by means
ricula.
of refresher courses or by working on re-
(c) New Federal efforts should be launched to
search of their own choosing.
develop and increase the social science com-
(e) The Federal Government should provide for
ponent of continuing education programs.
increased linkages between bodies of statis-
7. To implement the foregoing recommendations
tical data now routinely collected, to im-
and to provide sustained linkages between the so-
prove the quality, range, and utilization of
cial sciences and all other components in national
social statistics.
life will call for a new kind of structure. The Com-
4. There has been more resourceful use of social
mission recommends that such a structure be pro-
science knowledge by business firms and organized
vided through the formation of special social prob-
labor than by other identified groups in the na-
lem research institutes where social problems will
tional scene and the Commission urges that this
be analyzed by teams of specialists from the social
association be broadened and strengthened.
sciences and other sciences and professions. There
5. There have been a number of successful dem-
is need for a number of such institutes, each deal-
onstrations of the contributions of social scientists
ing with a specific social problem; ideally, they
to community organization (as consultants; in staff
should be independent of university affiliation
or research capacities; through the interchange
although having access to university resources and
which takes place in workshops and conferences),
personnel. Each institute must establish close rela-
but the relationship is still essentially haphazard.
tionships with the agencies or organizations (pub-
The Commission recommends that an evaluation
lic and private) faced with the problem it is investi-
be made, first, of the effectiveness of community
gating and responsible for its solution at the policy
organizations; and that then an appraisal be under-
and action level, SO that the implications of the
taken of the opportunities for social science to be
institute's studies can be carried forward to the
brought to bear in community organization.
development of policy alternatives and action pro-
6. Improved dissemination of social science
grams. The Commission recommends that $10 mil-
knowledge to the public is desirable because this
lion be appropriated in fiscal year 1970 to the Na-
knowledge is directly applicable to many aspects of
tional Science Foundation for the establishment of
the individual's own life (career planning, child
such institutes; this budget should increase in sub-
rearing, voluntary community activities) and be-
sequent years as the institutes mature; eventually
cause a more receptive attitude and increased
approximately 25 such institutes are envisioned.
PUTTING KNOWLEDGE TO USE
326
202
INNOVATION CHARACTERISTICS
Innovation: scientific
Innovation: technology
EMPIRICAL STUDY
National Science Foundation. Science, technology, and innovation. (Report on Contract NSF-C667.)
Columbus, Ohio: Battelle Columbus Laboratories, 1973.
Purpose
cisive event for the 10 innovations. A decisive event
was defined as one that provided a major and essen-
The purpose of this study was to gain a better
tial impetus to innovation. The 21 factors identi-
understanding of how innovation proceeds and how
fied were: recognition of scientific opportunity,
it is supported by science and technology. This in-
recognition of technical opportunity, recognition
volved documenting historically significant events
of the need, management venture decision, avail-
in several technological innovations of high social
ability of funding, internal research and develop-
impact. Also, the role of certain socioeconomic and
ment management, formal market analysis, prior
managerial factors in promoting 10 separate inno-
demonstration of technical feasibility, techno-
vations was explored.
logical gatekeeper, technical entrepreneur, patent/
license considerations, technology interest group,
Method
in-house colleagues, external direction of research
The National Science Foundation (NSF) and the
and development personnel, competitive pressures,
project team jointly selected eight cases of techno-
serendipity, technology confluence, general eco-
logical innovations. Three were taken from project
nomic factors, social factors, and political factors.
TRACES (Technology in Retrospect and Critical
Events in Science, as described in a report pre-
Findings and Conclusions
pared for NSF by ITT Research Institute, under
1. Decisive events
Contract NSF-C535, December 1968), and five
In the study of decisive events, no factor was
were new cases. There were two criteria for selec-
judged important for every event, yet each was of
tion of the study cases: (1) that the innovations
some importance to more than one of the events
should be of high social impact, and (2) that the
studied. The percentage of all decisive events for
cases should represent diverse fields of technology
which a factor was judged moderately or highly im-
and application. The historical record for each of
portant was calculated, and the percentages were
the cases was subjected to three analyses: (1) an
arranged in descending order. Recognition of tech-
investigation into how certain factors affected the
nical opportunity ranked first and recognition of a
decisive events, (2) a search for characteristics
need for a particular innovation ranked second. In-
common to the innovations, and (3) a classification
ternal R&D management, management venture
in various ways of all significant events.
decision, and availability of funding ranked third,
The eight cases studied were the heart pace-
fourth, and fifth, respectively. Presence of a tech-
maker, hybrid grains and the Green Revolution,
nical entrepreneur (an individual within the per-
electrophotography, input-output economic analy-
forming organization who champions a scientific or
sis, organophosphorus insecticides, oral contra-
technical activity) ranked sixth, considerably high-
ceptives, magnetic ferrites, and the video tape
er than the twelfth-ranked technological gate-
recorder. Hybrid grains and the Green Revolution
keeper (an individual who identifies scientific or
was broken into three separate innovations: hybrid
technical information of relevance to the interests
corn, hybrid small grains, and Green Revolution
and activities of the researchers). These last two
wheat. Therefore, a total of 10 innovations were
concepts are often discussed in the innovation lit-
studied.
erature. As the technological gatekeeper would
Twenty-one factors of probable importance to
have a more intimate and continuing relationship
the direction and rate of the innovative process
with the R&D team, one might expect his signif-
were selected from the general literature. Each fac-
icance to be higher than the technical entrepre-
tor was rated for degree of importance to each de-
neur, but the data show otherwise. General ex-
SUMMARIES
327
ternal factors such as serendipity, political and
events
social factors, and health and environment factors
From the 10 innovations, 533 significant events
ranked low.
were identified. A significant event is defined as an
2. Generalizations from the case histories
occurrence judged to encapsulate an important
Eight important characteristics frequently ob-
activity in the history of an innovation. These were
served and reported in previous investigations of
classified into four types: nonmission-oriented re-
the innovative process were identified, and the 10
search (NMOR), mission-oriented research
cases were studied with respect to these character-
(MOR), development, and nontechnical events.
istics. The characteristics were: early recognition of
It was found that, among the 10 innovations, the
need, independent inventor, technical entre-
time span from first conception of an innovation to
preneur, external invention, government financing,
its first realization is not growing shorter. The time
informal transfer of knowledge, supporting inven-
span averages about 19 years and ranges from six to
tions, and unplanned confluence of technology.
32 years for the 10 innovations studied.
The importance of the technical entrepreneur
In the preconception and innovative periods,
was highlighted in nine of the 10 innovations. As
MOR and development events became more dom-
the entrepreneur also was shown to be an im-
inant as time progressed, although NMOR events
portant factor in the study of decisive events dis-
were found up to and beyond the date of first real-
cussed earlier, an important conclusion of this
ization. Such late NMOR events usually represent
study is that the technical entrepreneur plays a sig-
a process of feedback and diffusion from technology
nificant role in the successful implementation of an
to science.
innovation.
4. Can innovation be managed?
Early recognition of need for an innovation ap-
As it was found that NMOR events continue to
peared in nine of the cases and confirmed the high
occur up to the end of the innovative process, the
ranking of the corresponding factor in the study of
conclusion is drawn that innovation cannot be
decisive events.
completely controlled or programmed. Also, the
Adequate funding also emerged as an important
actions of the technical entrepreneur, or the role of
aspect for both analyses.
such motivational forces as recognition of need and
In six of the innovations, unplanned confluence
recognition of technical opportunity, involve in-
of technology proved important. Confluence of
ventive or creative activities that do not lend them-
technology was present for the other four innova-
selves to detailed planning.
tions, although it was the result of deliberate plan-
Therefore, management can promote innovation
ning rather than accident. Technology confluence
by permitting and encouraging the opportunity to
ranks near the middle as a factor influencing de-
act upon ideas that fall outside the established or
cisive events. The indication is that the benefits of
recognized pattern. Funding and confluence of
technology of confluence should not be left to acci-
technology also have been shown to be important
dent but should be promoted through deliberate
factors. Management could further aid the innova-
interdisciplinary research.
tive process by providing secure funding and pro-
3. Analysis and classification of the significant
moting interdisciplinary R&D teams.
PUTTING KNOWLEDGE TO USE
328
203
CHANGE PROCESS
Innovation characteristics
Innovation factors
Innovation: social
EMPIRICAL STUDY
Niehoff, A. H. The process of innovation. In A. H. Niehoff (Ed.), Handbook of social change. Chicago:
Aldine, 1966, chapter 2.
Purpose
of feedback opportunity.
In this chapter, the author abstracts principles
3. Factors related to the nature of the participa-
and factors affecting kind and rate of change. He
tion of recipients:
provides an analysis of socioculture change through
(a) Passive compliance toward change, or the
time.
simple lack of opposition, is a very weak base
on which to build a change project.
Method
(b) Utilization of the local culture-the culture,
This book is based on samples of innovative pro-
however old and inefficient particular prac-
grams in underdeveloped countries around the
tices may be, is a system that does work and
world.
provides the members with a predictable
future. People will not willingly give up their
Findings and Conclusions
practices until they are well convinced that
the new ones are really improvements. The
1. Characteristics of the innovator (change
strategy of the replacement method has
agent) which affect change:
much less promise than the adaptation
method.
(a) Personality-he must have empathy and the
ability to establish rapport.
4. The change agent's behavior with regard to
(b) Knowledge of local language-he needs to
timing and follow-up:
know the language and the nature of the sub-
(a) Timing-the introduction of an idea should
culture.
be made at an opportune time in relation to
(c) Technical competence-it is less important
special circumstances or events.
what kind of reputation the change agent has
(b) Flexibility-the change agent must be will-
in his own culture than what kind of image
ing to alter his original plans to compensate
he creates in the local community.
for unforseen difficulties. To insist that the
(d) Affiliations-he needs to be aware of the
goal remain as initially planned is to risk
effect of his affiliations and either emphasize
having the entire project rejected.
or deemphasize them as conditions may re-
(c) Continuity-the change agent must engage
quire.
in consistent follow-through of a plan in a
2. Factors related to the innovator's method of
general manner, even if it is altered in its de-
communication:
tails to fit local circumstances that were not
(a) The most effective method of communica-
foreseen at the outset. The most important
tion is that which makes use of demonstra-
element of this strategy is that the actions of
tion, personal contact, and feedback from
the change agent be predictable from the
recipients.
point of view of the recipients.
(b) Formal communication efforts are probably
(d) Maintenance-the change agent must estab-
the most inefficient ways to transfer knowl-
lish a pattern of maintenance. If a project
edge.
does get near a successful conclusion, the
(c) Audiovisual techniques, including mass
single most important factor which may
media communication, are hindered in their
mean the difference between integration and
usefulness because of impersonality and lack
abandonment is whether or not a pattern of
maintenance has been established.
SUMMARIES
329
5. Primary variables related to the reaction of
(b) Whether they perceive any practical benefit
the recipients:
in adopting a change. A practical benefit
motivation is a sound basis on which to build
(a) Whether they have an initial felt need-any
only if it is perceived as such by recipients.
project based on a felt need has a strong
Other effective motivators are:
motivational base on which to build. If it is
(1) Competition-gives perceived status ad-
lacking, the need will have to be generated,
vantage to the individual or group.
which is usually a difficult task. Three types
(2) Reward and punishment-a reward to
of felt need are:
induce the recipients to accept a new
(1) Solicited-a need for which the recipi-
idea or course of pressure to induce com-
ents are fully aware to the extent that
pliance.
they solicit assistance from the change
(3) Novelty-includes interest generated for
agent.
a new idea because it is novel or im-
(2) Demonstrated-a need of which the re-
pressive, a weak motivation.
cipients have demonstrated their interest
to the extent that they have tried to solve
(c) Whether their traditional leaders are brought
their problem by their own efforts with-
into the planning and implementation pro-
out outside assistance.
cess-the most important characteristic of a
(3) Ascertained-a need which, although
local society is its leadership. There is prob-
already existing when the change agent
ably no way to ruin the chances for an inno-
arrives, is only latent within the local
vation project more easily than to ignore the
social group and must be ascertained by
traditional leaders or to choose the wrong
both the innovator and the recipient.
ones.
204
KNOWLEDGE DISSEMINATION
Information uses by scientists
REVIEW OF LITERATURE
Paisley, William J. Information needs and uses. In C. A. Cuadra (Ed.), Annual review of information
science and technology, vol. 3. New York: Interscience, 1968, pp. 1-30.
Purpose
Method
The findings of studies on information needs and
This chapter undertakes a systematic review of
uses reported during 1967 are interpreted within
recent research in the area of information gathering
the context of the idea that the scientist/tech-
and dissemination behavior of scientists and tech-
nologist stands at the center of many systems that
nologists. The author expresses a concern about
touch every aspect of his work. Paisley identifes 10
shallow conceptualization in the field, and implies
interrelated systems affecting the scientist and his
a failure to consider the following factors:
relationship to information: (1) the scientist within
1. The full array of information sources that are
his culture; (2) the scientist within a political sys-
available.
tem; (3) the scientist within a membership group;
2. The uses to which information will be put.
(4) the scientist within a reference group; (5) the
3. The background, motivation, professional
scientist within an invisible college; (6) the scientist
orientation, and other individual characteristics of
within a formal organization; (7) a work team;
(8) his own head; (9) a legal/economic system; and
the user.
(10) a formal information system.
4. The social, political, economic, and other sys-
tems that powerfully affect the user and his work.
Findings and Conclusions
5. The consequences of information use-e.g.,
The main points which are pertinent to research
productivity.
utilization are:
PUTTING KNOWLEDGE TO USE
330
1. Information "acceptances" are significantly
most significant information source for the tech-
related to the perceived technical quality of a chan-
nologist. Scientists (researchers) lean more heavily
nel but not to accessibility or ease of use, according
on literature sources, while technologists (practi-
to a study of engineers by Allen and Gerstberger.
tioners) depend on oral sources.
Thus, engineers use information channels in pro-
4. Within the engineering laboratory are found
portion to accessibility and ease of use, but they
technological "gatekeepers," who are more in touch
accept ideas in proportion to the technical quality
with outside developments and with the literature
of the channels.
than are their co-workers, and who allow the effec-
2. Maximum benefit may come from relatively
tive entry of information into the organization and
small units of information, transferred rapidly and
assist its dissemination with the organization.
unerringly to those who, at a given moment, need
5. Judgment as to the success of an innovation
them.
should be withheld until the innovation has time to
3. Several studies show that the work team is the
"settle."
205
KNOWLEDGE UTILIZATION
Communication process
Dissemination factors
ANALYTICAL MODEL
Paisley, W. J. Perspectives on the utilization of knowledge. Paper presented at the meeting of the American
Educational Research Association, Los Angeles, February 1969.
Purpose
semination. Our age has witnessed a tremendous
growth in knowledge production. But much knowl-
1. To stress the growth in quantity of knowledge
edge acquired through scientific research does not
being produced and the necessity of getting it to the
reach people who need it in time. There are barriers
user quickly.
to effective delivery of knowledge, chief among
2. To outline perspectives which help us under-
them the assumption that "while knowledge pro-
stand what happens in knowledge utilization. Pais-
duction needs to be force-fed, knowledge utiliza-
ley discusses (a) messages and (b) channels of
tion will somehow take care of itself."
knowledge.
2. Perspectives on knowledge utilization. The
3. To outline systems that affect knowledge
author describes concepts from the field of knowl-
utilization, including how one person can function
edge utilization research, which give an idea of
as a knowledge producer, a middleman, and a user
"what happens, and fails to happen" to knowledge
taking on each role at different times, depending
once it is produced.
on the knowledge system in effect.
4. To outline 10 phases of message acceptance.
(a) Messages. Messages may be characterized
Paisley extends a previous notion of the phases of
by: content, function, permanence, com-
adoption.
prehensiveness, and surprise value (novel-
ty). Novelty characterizes information, and
Method
knowledge is a subset of information. Mes-
The author discusses concepts from the field of
sages inform, motivate, and facilitate.
knowledge utilization research, presents systems
(b) Channels. Paisley distinguishes between hor-
that impinge on knowledge utilization procedures,
izontal and vertical flow of scientific in-
and distinguishes steps in the adoption process.
formation and specialized knowledge in gen-
eral. Horizontal flow takes place at the same
Findings and Conclusions
level, as betwen fellow experts. Vertical flow
involves knowledge utilization at another,
1. Growth of knowledge and need for quicker dis-
usually lower, level of expertise. Public
SUMMARIES
331
health and education are unique in having
(f) Formal organization either facilitates or
deep, stratified audiences for information
blocks the flow of information.
(i.e., different kinds of experts at many
(g) The Work Team is a rich source of informally
levels). Some channels of information serve
conveyed information.
certain message functions better than others.
(h) The Researcher's Own Head encompasses its
The motivation function, for instance, may
own unique system of motivation, intelli-
be lost when an impersonal channel is chosen
gence, creativity, and cognitive structure.
instead of a personal one.
(i) The Legal/Economic System influences the
quantity and quality of information in circu-
3. Knowledge procedures, middlemen, audi-
lation. This system's influence is visible in
ences, and systems. One person can be a knowledge
the operation of patent laws or in the econ-
producer, a middleman, and a user; he takes on
omy's influence on research funding.
each role at different times. The knowledge system
(j) The Formal Information System provides a
in which he participates is affected by other
market place for information.
systems, e.g.:
4. Stages of message acceptance. Paisley dis-
(a) The Culture provides traditions and values
tinguishes 10 phases a message goes through:
as part of the knowledge system's environ-
(a) Awareness. The receiver perceives that a
ment.
message is being sent.
(b) The Political System has three important
(b) Attention. The receiver tunes in to the
effects. First, scientific nationalism may
message.
cause us to ignore foreign research. Second,
(c) Exposure. The message is transferred via
the money coming from Washington may be
sense organs to the receiver.
deemed as "under the system of scientific
(d) Comprehension. In this cognitive phase, the
federalism." Third, Defense Department
receiver learns what is being communicated.
funding causes security restrictions on in-
(e) Retention. The message is kept-or lost-in
formation flow, and may cause moral qualms
competition with other messages.
in the scientific community.
(f) Motivation. A potential for acceptance
(c) Membership group influences the scientist's
exists; motivation determines whether it will
choices, and commands some loyalty. This
occur or not.
group exercises great influence over official
(g) Pretrial evaluation. The receiver examines
channels of information.
the new information and judges whether he
(d) Reference group, or the group with which a
will use it or not.
person identifies, commands great loyalty
(h) Trial. The receiver tries the new idea, tenta-
and may control a journal or two in which the
tively.
scientist might want to publish.
(i) Posttrial evaluation. The receiver evalu-
(e) The "Invisible College" links elite research-
ates the results of the trial of the new idea.
ers and gives them support, information, and
(j) Complete adoption. The receiver decides to
often political privilege.
adopt the idea and uses it.
332
PUTTING KNOWLEDGE TO USE
206
INFORMATION NEEDS
Dissemination: education
Communication media
EMPIRICAL STUDY
Paisley, William, et al. Developing a sensing network for information needs in education. Stanford, Calif.:
Institute for Communication Research, Stanford University, 1972.
Purpose
tion. These requests were fulfilled and the topics of
these were simultaneously recorded as data.
To present the findings of a project undertaken
5. An "educational serials topic trends" study
to test the convergent validity of five alternative
was performed in which the periodical literature of
methods of assessing educators' information needs;
the field of education was monitored at four time
to provide 1972 baseline data on the nature of ed-
points so as to detect changes in topic preference
ucators' information needs, distinguishing between
rankings.
information needs which bear upon: (a) educa-
tional process, (b) educational content, (c) human
variables.
Findings and Conclusions
Method
An analysis of the convergent validity of the five
methods employed was conducted. The analysis
Five procedures were employed to gather data.
showed that the five studies or alternative data col-
1. Thirteen state surveys were conducted in
lection methods formed two groups within the con-
which questionnaires were distributed to personnel
vergent validity matrix. One group is composed of
in selected school districts and state education
the state surveys, the query follow-up study, and
agencies.
the information specialists study. Agreement be-
2. A "follow-up" investigation was performed in
tween the results of these studies as to frequency
which educators who had requested information
and content of information needs is high. The
from central and local information centers were
second group is composed of the two hotline studies
surveyed by means of questionnaires.
and the four educational serials studies. Agreement
3. An "information specialists" study was con-
among the results obtained from these studies is
ducted in which the expert personnel of ERIC
weaker but, like the first group, is highly correlated
clearinghouses and local information centers at-
with regard to (a) reflected nature of information
tempted to project the information needs of their
needs across methods of data collection, (b) respon-
clients.
dent characteristics, i.e., educators' position
4. A "hotline" study was performed in which ed-
(teacher, principal, counselor, etc.) and educators'
ucators across the country were invited to call a
level of activity (elementary, secondary, or non-
toll-free long distance number to request informa-
school personnel).
SUMMARIES
333
207
KNOWLEDGE DISSEMINATION:
SCIENCE
Communication media
Diffusion process
ANALYSIS AND SUGGESTIONS
Parker, E. B., and Paisley, W. J. Research for psychologists at the interface of the scientist and his infor-
mation system. American Psychologist, 1966, 21, 1060-1071.
Purpose
formation seeking, etc. This is more true of those
whose jobs rest on completed rather than continued
To note the importance of informal information
training.
networks in the dissemination of scientific informa-
2. "Pure" scientists were found to be literature
tion.
dependent, whereas "applied" scientists were "col-
league dependent" for information. This finding
Method
applied particularly to medical scientists.
Investigations are referred to in the authors'
3. Accidental discovery of information in rich
analysis of the subject.
environments, with many dissimilar colleagues,
unrestricted long-distance telephoning and travel
is especially fruitful to applied scientists.
Findings and Conclusions
4. The authors suggest that theories of informa-
1. Applied research workers depend heavily on
tion use are needed, and that more data should be
informal information networks; that is, inter-
collected through such methods as questionnaires,
personal systems, "accidental" acquisition of use-
observation, and sociometric analysis as a basis for
ful information, "inefficient" and "irrational" in-
developing such theories.
208
RESEARCH UTILIZATION:
EDUCATION
Utilization barriers
ANALYSIS
Pellegrin, Roland J. The place of research in planned change. In R. O. Carlson, et al., Change processes in
the public schools. Eugene, Ore.: Center for the Advanced Study of Educational Administration,
University of Oregon, 1965, pp. 65-75.
Purpose
Method
Pressures for change bring to the fore serious and
The ideas in this article are based on the broad
complex problems concerning: (1) the nature of
experience and observations of the author.
the changes that should be introduced, (2) the
method, and (3) the timing of innovation intro-
Findings and Conclusions
duction. In this article the author discusses the
need for reliable research as a basis for planned
1. Educational decision makers rely heavily on
change in education. He outlines the obstacles to
authority to justify existing policies and practice.
sound educational research, as well as defining the
Intuition and common sense seem to be the major
characteristics of reliable educational research.
springboards for innovation. Pellegrin alleges that
PUTTING KNOWLEDGE TO USE
334
much effort is expended on attempts to achieve
knowledge can be used to make intelligent
goals that are identified through a chain of assump-
value choices possible.
tions resting on a questionable base.
(e) Research on topics important to education
2. There are several obstacles to overcome before
covers a wide range. These topics are often
educational research can provide reliable knowl-
complex and difficult to investigate.
edge upon which policy, practice, and innovation
3. In citing the contributions that research can
in education can rest. These obstacles include:
make, the author makes these points: "Research
(a) There is a widespread lack of appreciation for
can provide us with new knowledge as well as test
and understanding of the nature and value of
existing knowledge. It can hold our present as-
research. Teachers and administrators rely
sumptions up for scrutiny, giving us evidence con-
on precedent and common sense much more
cerning their truth or falsity. Research can be used
than they do on research findings. Thus a
to evaluate policies and practices. It can also be
vicious circle exists: "(1) Many educators do
made an integral part of our experimental pro-
not conceive of the scientific method and
grams."
research as being of primary significance to
4. The author feels that in order for educational
their work; (2) this state of mind creates an
research to be reliable enough to be used as a basis
atmosphere in which low priority is given to
for practice, it must be either: (a) the testing of
the conduct or utilization of research; (3) be-
well-defined but isolated hypotheses, or (b) re-
cause of low evaluation and neglect, research
search directed by systematic and integrated
continues to be a dubious enterprise; and
theory.
(4) because condition (3) exists, (1) is per-
We must not only train substantial num-
petuated."
bers of researchers and disseminate re-
(b) Much existing research is low in quality,
search findings widely, but we have an
weak in the insight it imparts, and of dubious
even larger task, that of developing a re-
utility to the practitioner.
spect for and sympathetic attitude toward
(c) The nature and functions of "theory" are
research throughout the armies of educa-
poorly understood. For many practitioners,
tional practitioners. Otherwise, research
will be of limited effectiveness.
The
the term is a synonym for "wild specula-
tion," and an antonym for "practicality."
development of a scientific perspective
and a research orientation is the most ur-
(d) There is considerable confusion about the
gent and important challenge facing those
relationship between empirical fact and val-
who are responsible for training programs
ues. There is a failure to realize that reliable
at all levels.
209
INNOVATION: EDUCATION
Adoption factors
Innovation: bureaucracy
ANALYSIS AND SUGGESTIONS
Pincus, J. Incentives for innovation in the public schools. Review of Educational Research, 1974, 44,
113-144.
Purpose
the educational system; to discuss the implications
therein for educational research and development.
To discuss the structure and incentive systems of
public schools as they relate to (a) the adoption of
Method
innovation, and (b) the implementation of innova-
tions in the schools; to detail various aspects of the
According to the author, the propositions in this
influence of bureaucracy and market structure on
paper "are not based on careful testing of hypo-
SUMMARIES
335
theses, but on a blend of evidence and speculation,
efficiency, whereas schools are more likely to adopt
and are aimed at influencing how we might think
innovations that promote bureaucratic and social
about educational R&D policy."
stability.
Bureaucratic factors support innovations having
to do with (a) bureaucratic safety, (b) response to
Findings and Conclusions
external pressure, and (c) approval of peer elites.
1. The institutional setting. For most people, the
These three factors interrelate. In combination
local public school is the only school available; that
with the market structure of the "industry," ac-
is, the school has a monopoly on schooling services
cording to the author, schools tend to use innova-
in the area. The author cites five differences be-
tions to enhance their self-images. But they resist
tween the school's monopoly and those of public
thoroughgoing change.
utilities:
3. From innovation to implementation. Often
innovations are not implemented according to the
(a) Quality of school service may vary within a
directives of their developers. Pincus gives four
district, creating issues of equity along in-
reasons: (a) R&D organizations frequently do not
come, race, and neighborhood lines;
provide sufficient guidance, (b) teachers, admin-
(b) consensus varies concerning what priority
istrators, and students refuse to change their be-
should be given to the various aims of
havior patterns, (c) the schools may not know how
schools;
to implement the innovation, and (d) school per-
(c) the technology of schooling is unclear;
sonnel may be more interested in the rhetoric of
(d) school districts may have very little incentive
change than in the practice of change.
to be competitive, i.e., to increase their regis-
Schools are often hard-pressed for funds; system
tration at the expense of other districts; and,
maintenance is a realistic concern. Pincus cites a
(e) though they are educational institutions,
number of attributes of the federal aid system
schools provide only a portion of the stu-
which discourage innovation in school systems:
dent's educational resources.
(a) There is a tendency to subsidize educational
Schools share a number of common character-
R&D without particular reference to effects
istics with other nonmarket public utilities. They
of the developments on various outcomes of
are self-perpetuating bureaucracies. They cannot
schooling;
select their clients and the clients must, for the
(b) some evaluation reports are ignored (others
most part, accept their services. School districts
are not worth heeding);
are part of a decentralized but highly complex sys-
(c) changes in program priorities are too fre-
tem. And the schools are "a labor-intensive craft
quent to allow for sufficiently long educa-
industry."
tional experiments;
2. Consequences for dissemination of innova-
(d) state and federal agencies tend to contribute
tions. The author makes six comparisons between
seed money for projects but do not supply
the public schools and a competitive firm. The
funds for continued implementation;
schools would:
(e) school districts do not see clear government
(a) be more likely to adopt cost-raising innova-
policies towards innovation;
tions,
(f) federal aid is seen as unreliable and there-
(b) be less likely to adopt cost-reducing innova-
fore cannot be used for long-term change;
tions,
and
(c) be less likely to adopt innovations that sig-
(g) the federal government's support for inno-
nificantly change the resource mix,
vation is relatively small scale compared to
(d) be more likely to adopt new processes or
other programs.
management techniques that do not signif-
4. Implications for educational R&D. In view of
icantly change the institutional structure,
the preceding discussion, the author suggests five
(e) be less likely to adopt innovations that
broad emphases for R&D policy in encouraging
change the accustomed authority roles, and
adoption of educational innovations:
(f) be as unwilling as competitive firms to face
(a) Large-scale experimentation;
large-scale encroachments on protected mar-
(b) collaboration between R&D agencies and
kets.
educational leadership networks;
According to the author, private firms are more
(c) case studies of successful and unsuccessful
likely to adopt innovations that promote economic
innovation;
336
PUTTING KNOWLEDGE TO USE
(d) research that will improve the R&D com-
In the last category, Pincus suggests: (i) changes
unity's understanding of the existing pattern
in market structure, (ii) changes in the locus of
of incentives in the schools; and
control, (iii) changes in individual incentives, and
(e) trying out methods of restructuring system
(iv) clearer standards for accountability and better
incentives.
information systems.
210
RESEARCHER-PRACTITIONER
RELATIONSHIPS
Research utilization: mental health
Utilization measures
CASE STUDY
Poser, E. G., Dunn, I., and Smith, R. M. Resolving conflicts between clinical and research teams. Mental
Hospitals, 1964, 15(5), 278-282.
Purpose
related sessions. The conflict was intensified when
Shortage of available funds is not the only reason
the researcher requested that a number of patients
from each ward should be considered control cases
that research in psychiatry and clinical psychology
has lagged behind research in other branches of
and should not receive any group therapy what-
medicine. In mental hospitals, administrative and
ever. "To the therapeutically oriented staff mem-
therapeutic considerations limit research at least
bers, this seemed to border on cruelty."
as often and as severely as insufficient funds. The
3. Resistance to the temporary reduction of
authors set out to discuss some procedural road-
services was further intensified by the fact that on-
blocks to mental hospital research and some rem-
going group activity program was a recent develop-
edies.
ment in which many of the staff were involved. In
fact, it was the most recent of a number of efforts
Method
to mobilize regressed patients. Successful results
were just beginning to emerge.
The ideas expressed in this article are based on
4. Resolution of the conflict came through ex-
the experiences of the authors in conducting a re-
tensive interpretation by the researchers of the
search project at the Verdun Protestant Hospital.
validity of the research needs and the potential
The purpose of the research study was to eval-
long-range gain the research would provide to the
uate the outcome of group therapy with regressed
clinicians.
schizophrenic patients. The research aimed to
5. Final resolution of this conflict came only
compare the outcome of group therapy by trained
after the researchers recognized and expressed
and untrained therapists.
recognition of the successfulness of the existing
practice and pointed out how the results of the re-
Findings and Conclusions
search would lead to more widespread use of the
1. A major source of difficulty in doing research
successful practice.
in a mental hospital setting is conflicts between the
6. Continuous interpersonal communication be-
needs of the researchers and the aims of the clini-
tween the research and clinical teams was essential
cians. The clinician often fails to appreciate that
to the overcoming of resistances to the research. In-
the research worker has as deep and imperative a
creased recognition of the role of each team by the
commitment as his own, and the commitments of
other was the major factor in overcoming resis-
the two are often antithetical.
tance.
2. The first conflict of interest arose when it was
7. Motivational problems occurred in both staff
necessary to eliminate all group therapy experi-
members and patient participants throughout the
ences of test patients except for the research-
course of the study.
SUMMARIES
337
(a) Staff resentment to a research project is
asked everybody for help in solving them.
rarely expressed directly, but takes the form
During these sessions the entire staff was told
of subtle noncooperation or sabotage.
how the project was going and this frequently
led to spontaneous comments about one or
(b) This difficulty was dealt with by having
another patient having shown considerable
regular meetings with all the ward personnel,
improvement in his ward behavior. Com-
during which the clinical supervisors and the
ments of this kind contributed more than
research directors openly discussed the or-
anything else to the resolution of conflicts
ganizational problems that had arisen and
generated by the project.
211
RESISTANCE TO CHANGE
Resistance reduction
Change in attitudes
ANALYSIS AND SUGGESTIONS
Reddin, W. J. How to change things. Executive, June 1969, 22-26.
Purpose
3. Resistance to a change is reduced if the group
rather than the individual is made to focus on it,
To set forth suggestions for overcoming resis-
group decision having a powerful control over the
tance to change.
deviant member.
4. Once a change is seriously contemplated or
Method
announced, the maximum possible information
The author presents a speculative analysis of the
about it should be distributed. Because of recogni-
subject.
tion of possible resistance at each stage, appropri-
ate announcements should be made indicating:
Findings and Conclusions
(a) that a decision to change has been made;
(b) what the decision is and why made; (c) how the
In order to change things, resistance to change
decision will be implemented; and (d) how the
must be overcome. There are seven techniques by
implementation is progressing.
which this may be accomplished: diagnosis, setting
of mutual objectives, group emphasis, maximum
5. Resistance to change can be reduced if there
information, discussion of implementation, use of
can be agreement on the rate and method of im-
ceremony or ritual, and resistance interpretation.
plementation.
1. The process of making a diagnosis leads to an
6. When there are clearly established progres-
increased awareness of what is wrong, which in turn
sions from one role to another (marked by cere-
can lead to steps to change the situation.
mony or ritual), change becomes much easier to
2. Much resistance is based on a misunderstand-
accept.
ing or disagreement about objectives; resistance is
7. When people understand why they have been
reduced when objectives are mutually set by those
resisting a change, the resistance usually decreases,
likely to be affected by a change.
or at least becomes more rational.
338
PUTTING KNOWLEDGE TO USE
212
ORGANIZATIONAL CHANGE
Change process: social
CASE STUDY
Rein, Martin. Organization for social change. Social Work, April 1964, 9, 32-39.
Purpose
which are responsive to the needs, demands, and
To examine the kind of internal structure that
values of the community of local agencies in which
it functions.
permits a social welfare organization to carry out a
controversial (innovative) function, to pursue
2. Among the affiliates studied, community ac-
these goals vigorously, and to obtain the resources
ceptance (or opposition) and interagency coopera-
(money, clients, and personnel) which are neces-
tion were not relevant factors in contributing to the
affiliates' possession of resources, nor to their over-
sary for the effective achievement of its goals.
all effectiveness.
Method
3. Local boards were nonetheless committed to
gaining community acceptance and interagency
The study was carried out through an analysis of
cooperation; this produced fear, resentment, and
affiliates of the national Planned Parenthood Fed-
conflict for other community agencies, and created
eration. The study consisted of: (1) a historical sur-
embarrassment and conflict of loyalty for PP board
vey of the development of the national organiza-
members who were also active on their boards in
tion; (2) ratings of the relative effectiveness of
the local community.
affiliates by a panel drawn from personnel at PP,
4. It is concluded that PP's locality-responsive
correlated with a number of internal variables
style is not congruent with the controversial goals
(money, clients, personnel) and external variables
it pursues.
(community acceptance or opposition); (3) case
studies of four affiliates, two judged effective and
5. It is suggested that those organizations op-
two ineffective by a national rating committee.
erating in the context of controversial problem
areas, which are most capable of assertive pursuit
Findings and Conclusions
of their goals do not follow a locality-responsive
style; that they not be federated, locally based,
1. Planned parenthood follows a locality-respon-
nor committed to a strategy of cooperation. A lo-
sive style for the achievement of its designated
cality-independent style is more congruent for con-
goals; it has a structure and style of operating
troversial organizations.
213
CHANGE PROCESS: SOCIAL
Change strategies
CASE ANALYSIS
Rein, M., and Miller, S. M. Social action on the installment plan. Trans-action, 1966, 3(2), 31-38.
Purpose
gies which might improve the efficacy of the dem-
onstration project as an agent of change.
The authors undertake a critical evaluation of
Method
demonstration research as an instrument of social
change; they assess the strengths and weaknesses
The paper is based on analysis, augmented by
of the demonstration project and advance strate-
considerable case material.
SUMMARIES
339
Findings and Conclusions
(b) Whom do the promoters hope to influence?
The target group must be realistically identi-
1. Although the assumption underlying demon-
fied-Is it national? Local? Can diverse tar-
stration projects is that they are a way to get
gets be satisfied simultaneously? Do the pro-
action, they often postpone change rather than
moters of the project understand the value
facilitate it. Relatively little money is spent, rela-
systems of those they are attempting to in-
tively few people are affected, the real problem is
fluence?
hardly touched, public sense of urgency is de-
(c) How will influence be exerted?
flected, and there is a good chance that by the time
(1) Infiltration from within-sometimes a
the demonstration is finished, public interest will
small demonstration is set up inside an
have drifted.
established institution in the hope that
2. The demonstration project has a number of
the larger unit will eventually adopt the
assets: It is fashionable, politically attractive, ra-
innovation of the smaller. (However, the
tionally appealing, inexpensive, and not binding.
risks of sabotage are considerable.)
3. Such projects also have their liabilities: they
(2) Duplication from without-a parallel
may produce unequal distribution of money and
institution is established that duplicates
resources; they distract from national policy (em-
some or all of the functions of an existing
phasizing local orientation); they overemphasize
(and change-resistant) institution, doing
success and tend to disregard or play down failure.
them better, in the hope that the estab-
4. Before success on a small scale (that is, via a
lished institution will modify its opera-
demonstration project) can become a means for
tion accordingly. (Duplication is costly,
change in major institutions, these crucial ques-
of course.)
tions must be raised:
(3) Pressures from without-citizen groups
(a) What kind of influence do the promoters of
can be organized to put pressure on local
the demonstration intend to have?
officials as a means of getting action
(1) Do they want their project duplicated ex-
toward implementing demonstration
actly elsewhere as needed? (Spread)
findings. (This sometimes promotes in-
(2) Is the purpose of the demonstration sim-
flexibility, closes off alternate courses of
ply to attract attention to a problem, to
action.)
show that something must be done about
it? Is the demonstration to serve as a
4. The following suggestions are offered to im-
catalyst rather than a model? (Spillover)
prove the position of demonstration projects as
(3) Do the promoters want the original
agents of change.
model continued on a more permanent
(a) Funders should insist that the demonstration
basis? (Continuity) If so, an approach for
be relevant to the social problem involved
assuring continuity may involve:
and that the staff be clear on questions of
Participation by a powerful and influ-
social policy.
ential local board.
(b) Greater clarity of purpose should be pursued.
Financial participation through match-
(c) The funders must stay with the projects, not
ing funds.
quit when the going gets rough.
The power of knowledge
the firm
(d) The funders must be more concerned with
conviction that the results will be so
getting and maintaining quality.
definite, SO clear-cut and dramatic
(e) New methods of reporting and accountability
that organizations will be impelled to
are needed.
find the opportunity to apply the inno-
(f) A program cannot promise (or deliver) every-
vations on a large scale. The authors
thing; it must make choices.
contend that this power is largely
(g) Adaptation must be built into the design of
mythical because "present-day re-
all demonstrations.
search methodology is simply inade-
(h) Demonstration staffs must be prepared for
quate for evaluating comprehensive
conflict, and must learn to live with it.
demonstration programs, which are
(i) Research should be relevant to all social
subject to the vagaries of political
needs; each project must be part of an over-
expediency."
all pattern.
340
PUTTING KNOWLEDGE TO USE
214
ORGANIZATIONAL CHANGE
Innovation: industrial
Organizational climate
EXPERIMENTAL STUDY
Rice, A. K. Productivity and social organization in an Indian weaving shed: An examination of some
aspects of the sociotechnical system of an experimental automatic loom shed. In H. A. Hornstein, B.
B. Bunker, W. W. Burke, M. Gines, and R. J. Lewicki (Eds.), Social Intervention: A behavioral
science approach. New York: The Free Press, 1971.
Purpose
2. The sociotechnical system of the loom shed
involved the following features:
This paper describes a preliminary analysis of
the sociotechnical system of an experimental auto-
(a) All tasks of the manufacturing were inter-
matic loom shed (weaving cotton cloth) on the
dependent, but the workers performing them
basis of which the methods of working were re-
worked in different kinds of loom groups and
organized and an increase in productivity achieved.
had, therefore, different degrees of interde-
The analysis was made by the Tavistock Institute
pendence. Some were virtually independent
in the Ahmedabad Manufacturing and Calico
of each other.
Printing Company Limited in Ahmedabad, India.
(b) The resultant pattern was an aggregate of
individuals with confused task and worker
Method
relationships and with no discernible internal
Experimental case study: After a description and
group structure.
analysis of loom shop operations, reorganization of
(c) Change of sort (kind of cloth woven) led to a
work methods for a 68-loom group was planned and
restructuring of some kinds of loom groups
implemented, followed by a report of the results.
and in consequence to a change in the pat-
tern of relationships.
Findings and Conclusions
(d) Higher management had provided reinforce-
1. The automatic loom shed is described as fol-
ment for the governing system of the shed.
lows:
This, and the high quality of the relation-
ships between supervisors, and between
(a) The shed contained 224 looms manned by 29
supervisors and workers, had prevented any
workers, of whom 28 were concerned directly
overt difficulties resulting from the lack of
with the manufacture of cloth and one with
group structure; but efficiency in the shed
artificial humidification.
was lower and damage was higher than target
(b) The activities of a single loom were cyclic-
figures.
load, weave, unload-and required succes-
(e) In spite of the persistence of "weaver" as a
sive performance of tasks to carry them out.
title for an occupational role, the weaver was
The activities of a loom shed containing a
the loom, and all workers, including the
number of looms were continuous and re-
"weavers," serviced the machines. The tasks
quired the simultaneous performance of
performed were found to be differentiated
tasks to maintain the continuity.
into two main groups: those concerned with
(c) The weaving process consisted of component
short loom stops (after a simple yarn break)
tasks and the number of workers allocated to
and those concerned with long loom stops
different tasks had been determined by work-
(for loading and unloading, maintenance,
studies of the separate components.
etc.). During shift hours two worker sub-
(d) The looms in the shed were differentiated
groupings appeared possible-the short-stop
into 19 different loom groups of five kinds
subgroup and the long-stop subgroup.
which overlapped in different degrees. Each
(f) An analysis of changes in the numbers of
kind of loom group contained a different
workers with change of sort showed that
number of looms-groups which were
relatively stable numbers could be obtained
manned by a different number of workers.
for each of three main groups of sorts-
SUMMARIES
341
coarse, medium, and fine-and that each
(c) The beginning of the withdrawal of higher
provided some tasks which could be con-
management from the governing system of
sidered interchangeable. No changes in
the shed.
worker groups would be required for changes
(d) The abandoning of old occupational titles,
within the main sort. The theoretical num-
although new titles were not chosen. Five
bers required for blocks of sixty-four looms,
months afterwards, both tasks and roles were
into which the loom shed was divided by
still known by the letters designating the
physical boundaries, were calculated.
grades.
(g) Three natural grades within a worker group
(e) After an immediate increase in mean effi-
for 64 looms were found. They were desig-
ciency in the experimental groups at the cost
nated by letters only; pay rates slightly in
of increased damage and inadequate main-
excess of existing rates were fixed for these
tenance, a settling down at a new level of
grades, and it was decided to pay piece rates
performance in which efficiency was higher
to the whole group.
and damage lower than before reorganization.
(h) It was decided by higher management to dis-
(f) These results could not, in the time avail-
cuss with mill and shed management and the
able, be related to the general ecological
workers the organization of one experimental
background of economic, industrial, or cul-
work group for a group of 64 looms.
tural conditions of India. Language difficul-
(i) Shed supervisors and workers spontaneously
ties barred obtaining the feelings of workers.
took possession of the reorganization, and the
The evidence for the appropriateness of the
workers themselves immediately organized
procedure was the spontaneous acceptance,
four experimental groups. Higher manage-
implementation, and continuation by the
ment took no part in the discussions with
workers, and the withdrawal from the gov-
supervisors and workers and permitted the
erning system of the shed by higher manage-
experimental groups so chosen to start work.
ment.
3. The experiment resulted in the following:
(g) No adequate information was available of
(a) The creation of internally structured and in-
repercussions in the rest of the mill.
ternally led small work groups.
(h) Although the analysis has not been com-
(b) A reduction in the number of those reporting
pletely followed through, it seems fair to con-
directly to the supervisors and a consequent
clude that the findings reported had a direct
strengthening of the executive command.
relationship to the event of reorganization.
INNOVATION DIFFUSION
215
Innovation measures
Diffusion: traveling seminar
CASE STUDY
Richland, Malcolm. Traveling seminar and conference for the implementation of educational innovations.
Santa Monica, Calif.: System Development Corp., 1965. (Technical memorandum series 2691.)
Purpose
Method
The purpose of the project was to determine
Four groups of approximately 30 educators each,
whether traveling seminars and the use of outside
representing four regions of the United States, con-
change agents were effective techniques for short-
stituted the traveling seminar. They visited selected
ening the gap between innovation and practice in
schools where significant innovations had been in-
education.
troduced and had been in operation for at least
342
PUTTING KNOWLEDGE TO USE
one year. Each tour was led by a well-known and
highly effective dissemination method for stim-
respected educator (outside change agent) who was
ulating and facilitating educational innovation.
accepted by his professional colleagues as being
Participating school districts were demonstrated to
especially qualified to interpret the experimental
be more innovative in actual practice and to regis-
foundations upon which a particular innovation
ter more innovative attitudes.
was based. Immediately following the seminar,
a conference of tour participants was conducted at
2. There are measurable attributes of school dis-
System Development Corp. on the dynamics of
tricts related to the innovational behavior of these
educational change. The evaluative phase of the
districts. There was a significant correlation be-
study was carried out approximately one year later
tween innovational behavior and the following
through on-site visitations to the participant's own
variables: urbanity, population density, percentage
schools. An attempt was made to assess the be-
of Jews, social class, high school density, high
havioral effects of the traveling seminar and con-
teacher salary.
ference upon the participants. The analysis was
accomplished by collecting data on innovational
3. The attitude of the local superintendent of
behavior and attitudes toward innovation from the
schools toward innovation is a significant variable
tour participants and an equal number of school
in the introduction of innovations in school dis-
tricts.
personnel (control group) who did not visit innova-
tional schools.
4. It was recommended that the traveling sem-
Findings and Conclusions
inar and conference technique be expanded and a
number of specific suggestions were advanced for
1. The traveling seminar and conference is a
refining and improving the technique.
216
CHANGE AGENT
Research utilization
CONFERENCE REPORT
Riley, P., Hooker, S., and Masar, N. Introducing RUS: A link between research and service. Rehabilitation
Record, November-December 1968, 22-24.
Purpose
research results, to bring them to the attention of
practitioners, and to promote the use of innova-
This article introduces a new concept to the field
tions from research to improve services to the
of rehabilitation-the Research Utilization Spe-
cialist (RUS), to act as a change agent.
handicapped, the socially and culturally disad-
vantaged, the aged, and other groups of people in
need.
Method
2. The task force has issued guidelines concern-
This is a summary of a report on two conferences,
ing the role of the RUS to State rehabilitation
in 1966 and 1968, sponsored by the University of
agencies. Among them are these:
Florida at Gainesville.
(a) As liaison among the State agency, the re-
Findings and Conclusions
gional office, and the research program, the
RUS will translate research findings into
1. Two recent moves to close the gap that still
programs which will serve larger numbers of
exists between research and practice were the ap-
clients more effectively.
pointment of a Research Utilization Task Force by
(b) The RUS will be selected by State rehabilita-
the VRA Commissioner in the fall of 1966 and the
tion agencies and largely supported by SRS
establishment in 1967 of a Research Utilization
research funds during a 5-year period of de-
Branch within the SRS research program. The
velopment of the role of the new change
goals of these two groups are to identify effective
agent.
SUMMARIES
343
(c) To experiment with the change agent con-
advantaged people who are served in the re-
cept, SRS will begin by supporting a RUS in
habilitation program.
one State of each region. Each regional office
(e) While the RUS may not often work individ-
will select the State, which will then submit
ually with rehabilitation counselors, he will
a proposal for the RUS project to SRS.
need to do so on occasion so that he will be
3. A second conference in 1968 spawned the fol-
aware of their needs and problems.
lowing conclusions:
(f) The new discipline should probably be placed
in the personnel structure on a level with
(a) The role of the RUS is not merely to persuade
State supervisors of staff development and
people to adopt innovations coming from re-
State facilities specialists.
search, but also to help them adapt the
(g) The magnitude of the RUS program in SRS
findings for use in practical situations.
must be great enough to insure that its effect
(b) The RUS will have the difficult job of func-
can be detected.
tioning as both an administrator and a sym-
pathetic listener. He must be able to work
(h) Communication among the RUS trainees
effectively with the researcher, and also
will be stressed during the training period,
speak the language of the practitioner.
rather than the didactic, lecture-teaching
method of instruction.
(c) The RUS will implement the findings of
previously accomplished research. He will
(i) Evaluation will be conducted to determine
also stimulate new research in those areas
the effect of training programs on the atti-
directly related to the needs of fieldworkers.
tudes, perceptions, and skills of the RUS and
(d) In addition to working with professionals in
to note the number and kinds of changes the
rehabilitation, the RUS must maintain close
RUS effects in the delivery of rehabilitation
communication with the disabled and dis-
services.
KNOWLEDGE UTILIZATION:
217
EDUCATION
Innovation
Information needs
EMPIRICAL STUDY
Rittenhouse, Carl H. Innovation problems and information needs of educational practitioners. Menlo Park
Calif.: Stanford Research Institute, SRI-URU 8084, May 1970. (Final Report for U.S. Office of Educa
tion, Contract No. OEC 09-099009-4590.)
Purpose
interviews. An initial questionnaire was sent to
superintendents of 1,203 school districts in the
The purpose is to identify those problems of ed-
country and to chief executive officers of 2,196 in-
ucational practitioners which might be solved by
stitutions of higher education. From a list of inno-
information generated by research developments;
vative programs, respondents were asked to check
to determine what type of information would be
which had been adopted or were under considera-
helpful in making decisions concerning educational
tion for adoption. A second questionnaire was sent
improvements. The aim is to aid the Office of Ed-
to 150 institutions in each of the above categories,
ucation in targeting future interpretive studies.
asking, with respect to the five higher ranking pro-
gram items in Phase I, the types of information
they had needed, where it had been obtained, and
Method
its degree of importance in relation to decision
The inquiry was carried out primarily by mailed
making. Conclusions were based on survey findings
questionnaires, supplemented by some in-person
and previous relevant studies.
PUTTING KNOWLEDGE TO USE
344
Findings and Conclusions
level than it is for elementary and secondary
schools, and the responsibility for change
1. Concerning elementary and secondary school
more diffuse.
districts:
(b) Personnel at these institutions are more so-
(a) Process of change is usually orderly, but the
phisticated than their elementary and sec-
search for information is less orderly. These
ondary school counterparts in searching out
districts need access to information from dis-
the information they need.
tricts similar to their own.
(c) Those institutions that engage in long-range
(b) The school superintendent is the key indi-
planning tend to be orderly and rational
vidual in the change process.
about anticipating future change and pre-
(c) Larger districts, with greater resources and
paring for it; the preparation includes making
capabilities, are more innovative than the
use of available research.
smaller ones.
(d) Users are less interested in research findings
3. The author recommends that surveys such as
presented in professional journals than in
those conducted in this project be repeated (with
information oriented to operations.
some suggested modifications) periodically in order
to systematize and update information concerning
2. Concerning institutions of higher education:
the problems and needs of educational practi-
(a) The change process is more complex at this
tioners.
218
RESEARCH UTILIZATION: MENTAL
HEALTH
Innovation factors
EMPIRICAL STUDY
Roberts, A. O. H. and Larsen, J. K. Effective use of mental health research information. Palo Alto, Calif.:
American Institutes for Research, AIR-820, January 1971. (Final Report for National Institute of Men-
tal Health, Grant No. 1 RO1 MH 15445.)
Purpose
institutions, responses were received from 588 inno-
vators, 97 librarians and 88 administrators.
The starting point in this study was an identifi-
cation of innovative programs already introduced
in an institution, then tracing them backwards to
Findings and Conclusions
the source of the innovation. The objectives were to
identify empirically those conditions which facili-
1. Most persons who attempt to initiate im-
tate or inhibit utilization of mental health research
proved mental health care practices (innovators)
and to derive implications for means to increase
get their ideas from the work or experience of
information use.
others (practitioners) rather than from outside
sources (researchers). Most innovations are the
Method
result of experience, not research.
2. The primary source of the innovative idea is
Data were collected first by interview with staff
personal contact. Formal communication channels
members in five mental health institutions, then
(books, journals, speeches, etc.) proved to be
in try-out questionnaires sent to institutions in 17
relatively unproductive. Contact with others,
western states, then by visits to six more western
whether in person or by mail, was preferred to for-
institutions at which about 60 persons were inter-
mal documentation.
viewed, and ultimately in a questionnaire survey
3. The strategic personal contact was the well-
involving 207 institutions located primarily in those
informed colleague ("gatekeeper"). Valued chan-
states east of the Mississippi River. From these 207
nels for maintaining colleague contact included
SUMMARIES
345
staff meetings, informal as well as formal consulta-
5. Contact with an in-house research depart-
tion and discussion, site visits, seminars and col-
ment had a positive value in state MI but a nega-
loquia.
tive value in state MR.
4. Library staff size and the existence of a cen-
6. To summarize: the single source of variance
tral library were important to innovative state
which can be manipulated to increase information
mental illness (MI) institutions; the number of
utilization is personal interaction; if the ideas that
books checked out and the number of journals in
come from such interaction provide the catalyst for
the library were important in state mental retarda-
information-seeking behavior, other sources of in-
tion (MR) hospitals.
formation will be used.
219
RESEARCH SURVEY: MENTAL
HEALTH
Planned change
Community research
COMMISSION REPORT
Robinson, R., DeMarche, D. F., and Wagle, M. K. Community resources in mental health. (A report of the
Joint Commission on Mental Illness and Health). New York: Basic Books, 1960.
Purpose
(d) Child welfare.
(e) Court services.
The overall purpose of the project was "to gain
(f) The schools.
knowledge and understanding of community re-
(g) Recreation and group work.
sources for mental health SO that their contribution
(h) The churches.
to the nation's mental health may be facilitated
(i) Family casework.
and increased." This included the identification of
(j) Mental health clinics.
community resources, their assessment, the chart-
(k) Other community resources.
ing of the flow of case discovery and referral, and
(1) Planning, coordinating, and financing agen-
the assessment of the value of various constella-
cies.
tions of services in behalf of mental health. In a
(m) The supply of community resources.
word, the study sought information that might
(n) Configurations of community resources.
prove helpful in the planning of a community men-
tal health program.
2. In addition to specific conclusions, a number
of general propositions are presented:
Method
(a) While a wide range of community resources
were identified, the resources for helping
Qualitative and quantitative data were gathered,
people with emotional and behavioral dis-
largely through interviews, within fifteen selected
orders are often too few and too poorly
counties out of the then 3,103 counties in the
equipped to do the expected job.
United States. Many agencies cooperated in ga-
(b) In keeping with the diversity of cultural set-
thering the data.
tings, community program design and treat-
ment methods need to vary considerably.
Findings and Conclusions
(c) The importance of consultation with knowl-
edgeable persons in the several communities
1. Specific findings are presented for the follow-
and help from public and voluntary agency
ing areas of inquiry:
consultants are necessary to good program
(a) Public health services.
building.
(b) Public welfare: insurance.
(d) Despite variations, there is need, neverthe-
(c) Public welfare: assistance.
less, for a generic approach that covers the
346
PUTTING KNOWLEDGE TO USE
mental health field broadly, and consultants
various types is essential to an effective pro-
should reflect generalist as well as specialist
gram.
points of view.
(g) While most of the proposed lines of action do
(e) Formal and informal ties between commit-
not need to await further research and ex-
tees and experts should be maintained, and
perimentation, a broad research program,
training facilities in the form of institutes,
concurrent with action, is recommended.
conferences, and extension courses should be
3. An appendix details the basis for assigning a
provided.
community mental health resources score to coun-
(f) The development of qualified manpower of
ties throughout the United States.
220
RESEARCHER-PRACTITIONER
RELATIONSHIPS
Utilization barriers
ANALYSIS
Rodman, H., and Kolodny, R. Organizational strains in the researcher-pratitioner relationship. In A. W.
Gouldner and S. M. Miller (Eds.), Applied sociology: Opportunities and problems. New York: Free
Press, 1965.
Purpose
practitioner tends to have his workday tightly
scheduled; the researcher often has a more flexible
With social science research increasingly moving
work schedule. The researcher is often younger
into clinical settings (mental hospitals, child gui-
than the practitioner, yet he tends to have more
dance clinics, social work agencies), the authors
prestige and higher monetary rewards. The re-
undertake to explore the problems that researchers
searcher places a great deal of emphasis on record-
and practitioners encounter under such circum-
keeping, and by doing so, tends to add to the work-
stances, and to determine whether some of the
load of the already burdened practitioner.
problems stem from the organizational structure
4. The researcher frequently neglects to give
of the professional agency.
publication credit to the practitioners who have
Method
helped him.
5. The researcher, by virtue of his placement
The analysis is based partly on the authors' ex-
within the organizational structure, tends to have
periences and partly on a review of the literature.
official lines of communication with administration
Findings and Conclusions
rather than with the practitioners.
6. The researcher is often in a marginal position
1. To some extent, the conflict between practi-
with respect to the workfield in which he is con-
tioner and researcher arises from different orienta-
ducting research. The practitioners within an
tion (human beings versus statistics; the intuitive
agency "share a professional culture which they act
versus the logical), but cannot totally explain the
out in their daily experiences." The researcher
problems which are encountered when a researcher
tends to be the loner, the outsider.
works in a clinical setting.
7. Practitioners may react to this stressful situa-
2. Often, the prime function of the researcher is
tion by denial and displacement, in which the
to undertake an evaluation. This, by its very na-
researcher is not only isolated but virtually an-
ture, threatens the practitioner. What the social
nihilated. Sometimes this seeming attack on the
scientist thinks of as an objective investigation is
research is a covert attack upon the administra-
perceived by the practitioner as a hostile attack.
tion.
3. The researcher and the practitioner have to-
8. In some agencies, practitioners deal with the
tally different organizations of work and time. The
researcher through a style of one-way humor
SUMMARIES
347
which stresses the latter's marginal position.
proach (in some cases the practitioners actually
9. Several formal ways of alleviating this non-
originate the research and hire the social scien-
productive stress are reported: supporting the re-
tists); delegating the research responsibility to an
searcher with an outside consultant; appointing a
outside agency so that its focus is academic rather
professionally trained practitioner to the researcher
than clinical and the clinicians become the mar-
role; using the researcher-practitioner team ap-
ginal members of the unit.
221
INNOVATION DIFFUSION
Adoption characteristics
Adopter attitudes
Change agent
REVIEW OF LITERATURE
Rogers, Everett M. Diffusion of innovations. New York: Free Press, 1962.
Purpose
Adoption process-the mental process through
which an individual passes from first hearing about
To synthesize and evaluate available research
an innovation to final adoption.
findings and theories on the diffusion of innova-
Innovativeness-the degree to which an individ-
tions in order to attempt to identify the common
ual is relatively earlier in adopting new ideas than
threads that run through all the research traditions
the other members of his social system.
on the subject of diffusion.
Adopter categories-classifications of individ-
uals within a social system on the basis of innova-
Method
tiveness.
More than 500 publications on diffusion of inno-
vations are reviewed, including 11 major research
Findings and Conclusions
projects of the author. While the author writes
from a background of rural sociology, the survey of
1. Certain characteristics of the innovation, as
research literature is multidisciplinary in scope,
perceived by members of a social system, affect its
reviewing relevant material in the fields of anthro-
rate of adoption:
pology, sociology, education, economics, industrial
(a) Relative advantage-the degree to which an
engineering, industrial history, and public health.
innovation is superior to ideas it supersedes.
Four essential elements in the analysis of diffu-
A crisis emphasizes the relative advantage of
sion are: (1) the innovation, (2) its communication
an innovation and affects its rate of adop-
from one individual to another, (3) in a social sys-
tion.
tem, and (4) over time. Given this basic framework,
(b) Compatibility-the degree to which an in-
Rogers defines several basic concepts for his
novation is consistent with existing values
analysis:
and past experiences of the adopters.
Innovation-an idea perceived as new by the in-
(c) Complexity-the degree to which an innova-
dividual.
tion is relatively difficult to understand and
Diffusion-the process by which an innovation
use. The research evidence is "far from con-
spreads from its source of invention or creation to
clusive" regarding this factor.
its ultimate users or adopters.
(d) Divisibility-the degree to which an innova-
Social system-a population of individuals who
tion may be tried on a limited basis (trial-
are functionally differentiated and engaged in col-
ability). Several investigations suggest that
lective problem-solving behavior.
earlier adopters may perceive divisibility as
Adoption-a decision to continue full use of an
more important than later adopters.
innovation.
(e) Communicability-the degree to which the
348
PUTTING KNOWLEDGE TO USE
results of an innovation may be diffused to
(d) Earlier adopters have a more favorable fi-
others.
nancial position than later adopters.
2. The adoption process consists of five stages:
(e) Earlier adopters have more specialized
Awareness, interest, evaluation, trial, adoption.
operations than later adopters.
(a) There is little evidence that lack of knowl-
(f) Earlier adopters are more cosmopolite than
later adopters.
edge about innovations actually delays their
adoption. (Assuming there is awareness.)
(g) Earlier adopters have more opinion leader-
ship than later adopters.
(b) Awareness occurs at a more rapid rate than
does adoption.
(h) Relatively later adopters are more likely to
discontinue innovations than are earlier
(c) The first individuals to adopt innovations
adopters.
require a shorter adoption period than do
relatively later adopters.
(i) Laggards are most likely to drop out of the
social system.
(d) The awareness-to-trial period is longer than
the trial-to-adoption period.
5. The influence of opinion leaders-those in-
(e) The awareness-to-trial period is shorter for
dividuals from whom others seek advice and in-
relatively earlier adopters than for later
formation-affects adoption of innovations.
adopters.
(a) Opinion leaders conform more closely to
(f) The trial-to-adoption period is longer for
social system norms than the average mem-
relatively earlier adopters than for later
ber.
adopters.
(b) There is little overlapping among the differ-
3. Five classes of adopters may be identified
ent types of opinion leaders.
based upon degree of innovativeness: innovators
(c) Opinion leaders use more impersonal, tech-
(venturesome); early adopters (respectful); early
nically accurate, and cosmopolite sources of
majority (deliberate); later majority (skeptical);
information than do their followers.
laggards (traditional).
(d) Opinion leaders are more cosmopolite than
their followers.
(a) Innovativeness of individuals is related to
(e) Opinion leaders have more social participa-
having a modern rather than a traditional
tion than their followers.
orientation.
(f) Opinion leaders have higher social status
(b) An individual's innovativeness varies directly
than their followers.
with the norms of his social system regarding
(g) Opinion leaders are more innovative than
innovativeness.
their followers.
(c) There is considerable shifting of individuals
(h) Social system norms on innovativeness seem
in a social system from one adopter category
to determine, at least in part, the innovative-
to another over time.
ness of opinion leaders.
(d) Occupants of each adopter category are
mainly influenced by individuals of the same
6. Different kinds of information are important
or a more innovative adopter category.
to different adopter categories and at different
(e) Differences in innovativeness between in-
stages of the adoption process.
dividuals are a more important barrier to the
(a) Earlier adopters utilize information sources
flow of ideas in a social system where the
that are in closer contact with the origin of
norms are modern than where they are tra-
new ideas than later adopters.
ditional.
(b) Earlier adopters utilize a greater number of
(f) Adopter distributions follow a bell-shaped
different information sources than do later
curve over time and approach normality.
adopters.
4. Some generalizations may be made regarding
(c) Personal influence from peers is most im-
adopter categories:
portant at the evaluation stage of the adop-
tion process and less important at other
(a) Innovators are perceived as deviants by other
stages.
members of their social system.
(d) Personal influence from peers is more im-
(b) Innovators perceive themselves as deviant
portant for relatively later adopters than for
from the norms of their social system.
earlier adopters.
(c) Earlier adopters have higher social status
(e) Personal influence from peers is more im-
than later adopters.
portant in uncertain situtations than in clear-
SUMMARIES
349
cut situations.
adopters at the trial stage.
(f) Impersonal information sources and cosmo-
(d) Change agents have more communication
polite information sources (sources external
with higher status than with lower status
to a particular social system) are most im-
members of a social system.
portant at the awareness stage, and personal
8. Five guidelines for a projected strategy of
and localite sources are most important at
change might be considered by change agents:
the evaluation stage.
(g) Impersonal and cosmopolite sources of in-
(a) A program of change should be tailored to fit
formation are more important than personal
cultural values and past experiences.
and localite sources for relatively earlier
(b) A change agent's clients must perceive a need
adopters than for later adopters.
for an innovation before it can be successfully
introduced.
7. The role of change agent may significantly
(c) Change agents should be more concerned
affect diffusion and adoption.
with improving their client's competence in
(a) The extent of promotional efforts by change
evaluating new ideas and less with simply
agents is directly related to the rate of adop-
promoting innovations per se.
tion of an innovation.
(d) Change agents should concentrate their ef-
(b) Commercial change agents (e.g., salesmen)
forts upon opinion leaders in the early stages
are more important at the trial stage than at
of the diffusion of an innovation.
any other stage in the adoption process.
(e) The social consequences of innovations
(c) Commercial change agents are more impor-
should be anticipated and prevented if un-
tant for earlier adopters than for later
desirable.
222
INNOVATION DIFFUSION
Knowledge dissemination: rehabilitation
ANALYSIS
Rogers, Everett M. Communication of vocational rehabilitation innovations. Communication, dissemina-
tion, and utilization of rehabilitation research information. Washington, D. C.: Joint Liaison Com-
mittee of the Council of State Administrators of Vocational Rehabilitation and the Rehabilitation
Counselor Educators, Department of Health, Education, and Welfare, 1967, Studies in Rehabilitation
Counselor Training, No. 5, pp. 19-32.
Purpose
Findings and Conclusions
In this paper the author concentrates on the
Diffusion may be viewed as the communication
problem of dissemination of innovation in the field
of an innovation from some source to members of a
of vocational rehabilitation. He reviews established
social system over time. Some general principles
principles of diffusion of innovations, identifies
which apply to these core factors are:
some unique attributes of the vocational rehabili-
1. Source:
tation setting which affect the applicability of these
(a) The credibility of the source of an innovation
generalizations, and draws some implications for
to the potential adopters influences its adop-
action and for future research.
tion; the more credible the source of an inno-
vation, the greater is the likelihood of its
Method
adoption.
The author draws from his own knowledge and
(b) The flow of innovations is affected by the
experience as well as the knowledge of others in the
social distance between the source and po-
area of innovation diffusion and research utiliza-
tential users. Such distance increases the
tion.
probability of communication breakdown.
350
PUTTING KNOWLEDGE TO USE
The fact that rehabilitation sources are often
ters, care should be exercised in generalizing
far removed from potential users is a signifi-
findings from these fields.
cant feature of this field.
(b) The physical and social distance between the
2. Innovation:
source of innovation and the potential
adopters is often considerable. The VR
(a) The perception of the relative advantage of
counselor in one part of the country may be
an innovation is important to its adoption.
the potential user of an innovation developed
Vocational rehabilitation innovations are
in a psychology lab of a university in another
often of low relative advantage or are diffi-
state. Even if the counselor is a regular
cult to assess.
reader of journals in his field, the chances
(b) The compatibility of an innovation with the
are poor that he would discover this innova-
existing values and past experiences of the
tion, since it would probably be reported in a
adopters affects its adoption.
psychology journal. Relatedly, VR is faced
(c) The complexity of an innovation affects the
with a problem of how to obtain relevant in-
rate of dissemination; the more-difficult-to-
formation that is developed in other fields,
understand innovation will be disseminated
but is outside the immediate subject area
more slowly.
(d) The divisibility of an innovation affects its
and hence not in the "knowledge path" of
VR personnel.
adoption. For example, counselors are more
(c) VR hierarchical structures often act as bar-
likely to adopt a new technique with all cli-
riers or forces of resistance to innovation dif-
ents after they have successfully tried it out
fusion in that the organizational structure
on a few clients.
(e) The communicability of an innovation, es-
tends to create both horizontal (especially
between agencies) and vertical communica-
pecially in terms of having visible results,
tion barriers.
influences adoption. Nonmaterial ideas dif-
(d) The type of innovation decision is often
fuse more slowly than material innovations.
"forced" rather than "optimal," and is likely
3. The nature of the communication channels
to be made collectively rather than indi-
which, like the source and the unit of adoption,
vidually. Forced, or authoritative, decisions
affect the rate of adoption. Mass media channels
are more likely to be circumvented and/or
are most useful in securing awareness and increas-
discontinued. Group decision making is a
ing the level of knowledge about innovations; to
longer process, but is more likely to result in
secure attitude change and actual adoption of an
lasting change.
innovation, interpersonal communication is more
(e) VR innovations seldom have high relative
effective.
advantage, and the effects are of low visi-
4. Receivers of innovations may be categorized
bility and are difficult to evaluate in the short
along a continuum of innovativeness (viz., the
range.
relative earliness or lateness of adoption of an idea
(f) The "closure" orientation of VR personnel
in comparison with other members of the given
serves to divert attention from consideration
social system). The five adopter categories are: in-
of innovative ideas. An emphasis on the
novators, early adopters, early majority, late ma-
quantity of closed cases rather than the qual-
jority, and laggards.
ity of services rendered leaves counselors
5. Distinctive Aspects of Diffusion in Vocational
with little time to "fool around" with re-
Rehabilitation. Several distinct features of the field
search results. It also supports a focus on
of vocational rehabilitation (VR) may be identified
short-range goals, while gains from innova-
which affect the diffusion of innovations in this
tions are likely to appear on a long-range
field and the applicability of diffusion findings
basis.
based on studies in different fields:
(a) The social system receiving the innovation
6. Recommendations for More Effective Dis-
consists of professionals. Studies of diffusion
semination.
in other professional fields indicate that the
(a) Establish better communication links be-
professionalism of potential adopters is an
tween the source and the potential users of
important influence on the way in which
innovations.
innovations spread. Since most diffusion
(1) Change agents are needed to disseminate
studies have involved nonprofessional adop-
research findings to practitioners.
SUMMARIES
351
(2) A liaison role, such as that of the exten-
would be to consolidate research input to
sion specialist in agriculture, is needed to
counselors, as part of either pre-service or
facilitate two-way communication be-
in-service training, into a single course
tween researchers and counselors.
focused on information about research for
(b) Determine the relative effectiveness of cer-
the practitioner.
tain demonstrations and demonstration
(d) Establish an information retrieval system for
methods as compared to others. The find-
relevant research results. A retrieval system
ings in agriculture are that the most effective
designed to meet VR information needs
demonstrators-
would help to short-circuit the bureaucratic
(1) are more similar to their followers;
barriers to innovation dissemination.
(2) are not overly identified with the agen-
cies of change; and
(e) Bring VR researchers and administrators
(3) demonstrate innovations which are com-
into the world of the counselor upon occasion.
municable and not too complex.
Research thus developed from a shared re-
(c) VR personnel should be encouraged to be-
ality would be more likely to have relevance
come better research consumers. One means
for potential users.
223
INNOVATION DIFFUSION
Change process: social
Innovation characteristics
Change agent
Communication theory
REVIEW OF LITERATURE
Rogers, E. M., with Shoemaker, F. F. Communication of innovations: A cross-cultural approach. New
York: Free Press, 1971.
Purpose
Findings and Conclusions
To synthesize, from research on the diffusion of
1. Communication is essential for social change.
innovations, a series of generalizations, each of
(a) Social change is the process by which altera-
which represents the relationship found between
tion occurs in the structure and function of a
two or more ideas; to thereby facilitate understand-
social system through:
ing of the diffusion process by change agents and
(1) invention-creation and development of
social scientists in order to provide linkages with
new ideas;
more general social science theory; to suggest areas
(2) diffusion-communication of these ideas
of needed research, and to prevent unnecessary
to members of the social system; and
duplication of research effort.
(3) consequences-changes that occur in the
system as a result of adoption or reject-
Method
tion of the innovation-
More than 1,500 publications on diffusion are
immanent change-members of a so-
reviewed to relate empirical understandings about
cial system create and develop a new
the diffusion of ideas to a theory of social change.
idea with little or no external influ-
Cross-cultural similarities and contrasts are treated
ence; and
in diffusion generalizations. A comparison of dif-
contact change-sources external to
fusion understandings is made between more and
the social system introduce a new
less developed countries.
idea. Selective contact change is adop-
352
PUTTING KNOWLEDGE TO USE
tion or rejection of a new idea on the
there is often heterophily between source and
basis of needs. Directed contact change
receiver, which leads to special problems in
is caused by outsiders who introduce
securing effective communication.
new ideas in order to achieve prede-
(e) The main elements in the diffusion of new
termined goals. Much change that
ideas are:
occurs today is directed contact change
(1) The innovation-an idea, practice, or
and is therefore the main concern of
object perceived as new by the individ-
this book.
ual, the characteristics of which, as per-
(b) Middle-range analysis is an approach to a
ceived by members of a social system,
theory of social change consisting of accum-
determine its rate of adoption; five gen-
ulating and synthesizing middle-range gen-
eral characteristics of innovations are:
eralizations from empirical results on the dif-
Relative advantage-degree to which
fusion of innovations. This approach, which
new idea is better than the idea it
could eliminate the lack of rapprochement
supersedes.
between research and theory, is as follows:
Compatibility-degree to which new
(1) Explicate all essential concepts.
idea fits in with existing values, ex-
(2) Postulate a relationship between two
periences, and needs of receivers.
concepts in a theoretical hypothesis.
Complexity-degree to which innova-
(3) Test this hypothesis with a correspond-
tion is perceived as difficult to under-
ing empirical hypothesis, which is the
stand and use. (This is the only inno-
postulated relationship between two
vation attribute seen as negatively re-
operational measures of concepts (an op-
lated to its rate of adoption.)
eration is the empirical referent of a con-
Trialability-degree to which new idea
cept).
may be experimented with on a lim-
(4) Support or reject a theoretical hypothesis
ited basis.
by testing corresponding empirical hy-
Observability-degree to which re-
potheses, resulting eventually in a series
sults of an innovation are visible to
of middle-range generalizations.
others.
Middle-range generalizations are the step-
ping stones to more general theories of social
(2) Rate of adoption-relative speed with
change, once abstracted to a higher level of
which an innovation is adopted by mem-
generality.
bers of a social system. Factors other than
(c) Communication is the process by which mes-
attributes that affect rate of adoption:
sages are transferred from a source to a re-
Type of innovation decision.
ceiver.
Nature of communication channels
(d) Diffusion is a special type of communication
used to diffuse the innovation.
concerned with the spreading of messages
Nature of the social system.
that are new ideas. Risk is often associated
Extent of change agents' promotion
with the reception of innovations. An indi-
efforts in diffusing the innovation.
vidual's behavior varies, with the reception
Diffusion effect-cumulatively increas-
of new ideas and risks, from his reaction to
ing degree of influence upon an individ-
routine ideas. This behavior may be depen-
ual to adopt or reject an innovation be-
dent on:
cause of increasing rate of knowledge
(1) heterophily-degree to which pairs of in-
about the innovation and because of the
dividuals who interact are different in
adoption or rejection of the innovation in
certain attributes such as beliefs, values,
the social system.
education, social status, etc., and
Adoption can be expected once the
(2) homophily-degree to which pairs of in-
awareness-knowledge level exceeds 20 to
dividuals who interact are similar in cer-
30 percent of members in a social system.
tain attributes.
The diffusion effect is greater in social
Most human communication takes place
systems with a higher degree of commun-
between individuals who are homophilous,
ication integration-degree to which
which leads to more effective communica-
units in a system are interconnected by
tion. But in the diffusion of innovations,
interpersonal communication channels.
SUMMARIES
353
Overadoption-adoption of an innova-
initiation of new idea into system;
tion by an individual when experts feel
legitimation of new idea by power
he should reject, because of:
holders;
Insufficient knowledge.
decision to act; and
Inability to predict consequences.
action or execution of idea.
A mania for the new.
(3) Communication channels-the means by
Stimulators of a social system are
which a message gets from a source to a
more cosmopolitan and perceive needs
receiver.
quickly. Initiators favor change and
Interpersonal channels—those that in-
know their system well. Legitimizers
volve a face-to-face exchange between
are high-status power holders.
two or more people.
The rate of adoption of a collective in-
Mass media channels-all means that
novation is positively related to the
involve a mass medium, such as radio,
degree to which the legitimizers are
television, film, newspapers, where a
involved in the decision-making pro-
few individuals (or one) can reach
cess and to the degree of power con-
many.
centration in the social system.
Mass media channels are more impor-
Member acceptance of collective in-
tant at the knowledge function in the in-
novation decisions is positively related
novative-decision process, and interper-
to member cohesion (participation in
sonal channels are relatively more im-
decision-making process) with the so-
portant at the persuasion function.
cial system.
Mass media channels are more impor-
Change agents can be stimulators and
tant than interpersonal channels for
initiators of collective innovation de-
earlier adopters than for later adopters.
cisions but can seldom be legitimi-
Media forums—small groups of indi-
zers, because they lack high status,
viduals who meet regularly to receive
social power, and established credi-
a mass media program and discuss its
bility.
contents. They combine mass and in-
Authority decisions-forced on an in-
terpersonal channels. They are effec-
dividual by someone in a superordi-
tive in less developed countries be-
nate power position.
cause they exert social pressure on at-
Authority innovative decisions are
tendance and participation and on at-
common in formal organizations-so-
titude change in small groups.
cial systems deliberately established
for achieving predetermined goals,
(4) Time-referring to the amount of time of
where there are prescribed roles, an
the innovation-decision process, which is
authority structure, formal system of
the mental process through which an in-
rules and regulations, and informal
dividual passes from first knowledge of
practices peculiar to each organiza-
an innovation to a decision to adopt or
tion.
reject and to confirmation of this deci-
sion: (a) knowledge, (b) persuasion,
Authority innovation-decision pro-
(c) decision (adoption or rejection), and
cess:
(d) confirmation (reinforcement or re-
knowledge about need for change on
versal of previous decision).
the part of the decision unit (from in-
ternal or external sources);
(5) Three main types of innovation decisions
persuasion and evaluation of new idea
are:
Optional decisions-made by individ-
by decision unit;
uals regardless of decisions made by
decision to accept or reject by decision
other members of the system.
unit;
Collective decisions-made by con-
communication of decision by unit to
sensus of individuals in the social sys-
organization; and
tem by a series of sub-processes:
action by adoption units-their par-
stimulation of interest in new idea;
ticipation in decision-making process
354
PUTTING KNOWLEDGE TO USE
will influence their satisfaction with
ideas.
new idea; nonparticipation could lead
(1) Social structure-statuses or positions in
to innovation dissonance, which is a
a social system and how these statuses
discrepancy between an individual's
are arranged (hierarchical, etc.); it acts
attitude toward an innovation and his
to impede or facilitate the rate of dif-
decision to adopt or reject it.
fusion and adoption of new ideas through
(6) Two basic approaches to organizational
"system effects":
change are:
norms-established behavior patterns
Authoritative-decisions made by
for members of a social system, mo-
centralized power.
dern norms existing in a more change-
Participative-wide sharing of power.
oriented system than traditional
The rate of adoption is faster by authori-
norms;
tative approach but more likely to re-
opinion leadership-degree to which
main stable with participative approach.
an individual is able to informally in-
The innovation-decisions process: (a)
fluence other individuals' attitudes or
best fits the case of optional decisions,
overt behavior in a desired way with
(b) must be modified for collective and
relative frequency.
authority decisions, and (c) may vary in
Opinion leaders are important in dif-
its stages for some individuals and in-
fusion of innovations.
novators.
Opinion leaders are receivers of com-
There is a need to know whether the na-
munications who pass information on
ture of the innovation-decision process is
to followers.
different for innovators than for laggards.
Opinion leaders can be barriers to in-
(7) Discontinuance-decision to cease use of
novations in a social system if they are
innovation after adopting it.
homophilous with followers and con-
Replacement discontinuance-rejec-
trary to the innovations.
tion of innovation for a better idea.
Opinion leaders have greater mass
Disenchantment discontinuance-re-
media exposure than followers.
jection of innovation because of its un-
Opinion leaders conform more closely
satisfactory performance.
to a system's norms than do their fol-
(8) Relative innovativeness-degree to which
lowers. When system's norms favor
an individual is earlier in adopting new
change, opinion leaders are more in-
ideas than other members of his social
novative.
system: (a) innovators, (b) early adop-
Polymorphism-individual acts as
ters, (c) early majority, (d) late majority,
and (e) laggards.
opinion leader for a variety of topics.
Late adopters are more likely to discon-
Monomorphism-individual acts as
tinue innovations than are earlier adop-
opinion leader for one topic.
ters.
When a system's norms are more mo-
Innovations with a high rate of adoption
dern, opinion leadership is more mono-
have a low rate of discontinuance.
morphic.
(2) Change agent-professional person who
Early adopters have a shorter innovation-
attempts to influence innovation de-
decision period than late adopters be-
cisions in a direction he feels is desirable:
cause the rate of awareness knowledge for
develops a need for change in clients;
an innovation is more rapid than its rate
establishes a change relationship with
of adoption.
them;
Early adopters tend to be more modern,
diagnoses problems;
better educated, have greater rationality,
creates in clients an intent to change;
more favorable attitudes toward change
translates intent into action;
and risk.
stabilizes change, prevents discontin-
(f) Diffusion occurs within a social system be-
uances; and
cause the system's social structure can have
achieves terminal relationship with
an important influence on the spread of new
clients.
SUMMARIES
355
Change agent success is related to:
have invention and diffusion) because:
extent of change agent effort;
change agencies overemphasize adop-
client orientation rather than change-
tion, assuming consequences will be
agency orientation;
positive;
how compatible program is with cli-
research methods may be inappropri-
ents' needs;
ate to measure consequences; and
his emphathy with clients;
consequences are difficult to measure.
his homophily with clients;
(2) Consequences may be classified as:
extent he works through opinion
functional (desirable) or dysfunctional
leaders;
(undesirable);
credibility in eyes of his clients; and
direct (occur in immediate response)
his efforts in increasing clients' ability
or indirect (result from direct); and
to evaluate innovations.
manifest (intended by members) or
Change agent contact is related to:
latent (not intended).
(3) Three intrinsic elements of an innova-
higher social status among clients;
tion:
greater social participation;
form-observable physical appear-
higher education and literacy; and
ance;
cosmopoliteness.
function-contribution to members'
(3) Diffusion research is emerging as a single,
way of life; and
integrated body of concepts and generali-
meaning-subjective perception of in-
zations, even though investigations are
novation by members.
conducted by researchers in several sci-
entific disciplines. A research tradition is
Change agents can more easily anticipate
form and function of an innovation for their
a series of investigations-approached
from such major fields as anthropology,
clients than its meaning.
early sociology, rural sociology, educa-
(h) Equilibrium-must be considered to deter-
tion, medical sociology, communication,
mine an ideal rate of change.
and marketing-on a similar topic in
(1) Stable equilibrium-almost no change in
which successive studies are influenced
social system.
by preceding inquiries.
(2) Dynamic equilibrium-rate of change is
equal to system's ability to cope with it.
There are five major shortcomings of dif-
(3) Disequilibrium-rate of change is too
fusion research:
rapid to permit system to adjust.
dependence on recall data and diffi-
culties in determining the time-order
Change agents generally want to achieve a
of diffusion variables;
rate of change that leads to dynamic equi-
overemphasis on the nature of inno-
librium, somewhere short of disequilibrium.
2. Research is needed on the attributes of in-
vations studied leads to separate
novations:
diffusion research traditions which
can impede integration of the field;
(a) Measuring perceived attributes at the time of
decision.
overconcern with optional decisions,
to the exclusion of collective and
(b) Measuring differential perceptions by differ-
authority decisions;
ent groups.
use of individual as a unit of analysis
(c) Improving measurement of perceived attri-
butes.
rather than depending on a relational
analysis, which is more appropriate
(d) Making factor analyses of perceived attri-
butes.
for diffusion studies; and
concentration on the United States
(e) Studying innovation bundles rather than
and Western Europe, retarding cross-
single innovations.
cultural testing of generalizations.
(1) In the minds of adopters, an innovation
is not a single, discrete, separate unit for
(g) Consequences-changes that occur in a social
analysis.
system as a result of adoption or rejection of
(2) Does adoption of any single innovation
an innovation.
trigger adoption of other ideas in the
(1) Consequences have not been studied (as
complex of innovations?
356
PUTTING KNOWLEDGE TO USE
224
CHANGE PROCESS
Diffusion factors
Communication process
ANALYTICAL MODEL
Rogers, E. M., and Svenning, L. Managing change. Washington, D.C.: Operation PEP, U.S. Office of Edu-
cation, Department of Health, Education, and Welfare, 1969.
Purpose
(3) If your audience is ultimately going to be
exposed to counterpropaganda, it is
The purpose of this document is to provide the
good strategy to present both sides of the
reader with: a general understanding of change,
issue at the outset.
communication, and diffusion processes; a series of
(4) It is effective to present the major ar-
principles and strategies that can be utilized in
guments in the message at the outset.
planning and implementing change; a set of guide-
(5) To enhance message effectiveness, ap-
lines and strategies for managing unique change
peal to more than one of the senses.
situations that may face him.
(d) Receiver:
Method
(1) The receiver who values membership in
the group tends to be conforming in his
The material is synthesized from the existing
opinion and is influenced highly by mes-
literature on the subject.
sages from other group members.
Findings and Conclusions
(2) Receivers with high prestige and pop-
ularity hold attitudes that conform with
1. A set of communication principles is set forth
prevailing group norms.
in terms of the significant variables, as follows:
(3) Receivers with low self-esteem are per-
(a) Source:
suaded more easily than those with high
(1) The communication is more likely to be
self-esteem.
favorably received if the source is cred-
(4) Receivers who are hostile and aggressive
ible, the receiver needs specialized in-
in interpersonal relationships do not re-
formation not at his disposal, the source
spond readily to persuasive communica-
is emphatic, the source and the receiver
tion; receivers who display social with-
are homogeneous.
drawal are equally unresponsive.
(2) Communication is more likely to be un-
(5) Communication is more effective when it
favorably received if the source arouses
is receiver oriented rather than source
anger or resentment in the receiver.
oriented.
(b) Channel:
(6) Receivers tend to be more receptive to
(1) Mass media are more effective than in-
communication when they have a sense
terpersonal channels in creating aware-
of participation and when the message is
ness of ideas and in changing lightly held
consistent with their existing knowledge,
attitudes and beliefs.
attitudes, and beliefs.
(2) Interpersonal channels are more effec-
(e) Situation:
tive in persuading and in changing deeply
(1) Rumors spread rapidly in time of stress
held attitudes and beliefs; they induce
and uncertainty.
more lasting changes in attitudes than
(2) In formal organizations, communication
mass media do.
tends to be horizontal rather than ver-
(c) Message:
tical; such vertical communication as
(1) If people know in advance that they are
occurs, flows downward; only positive
going to receive bad news, the emotional
messages flow upward.
response to the message will be dimin-
(3) Change information is likely to spread
ished.
more rapidly through informal than
(2) The message which arouses anxiety tends
through formal channels in an organiza-
to be ignored.
tional setting; formal communications
SUMMARIES
357
confirm what has already been diffused
(d) Social systems:
informally.
(1) In modern systems, opinion leaders are
2. The following diffusion principles are offered:
often innovators; not so in traditional
systems.
(a) Innovation:
(2) In modern systems, diffusion flows be-
(1) An innovation is adopted more rapidly
tween heterogeneous sources and recei-
during a period of crisis.
vers; in traditional systems, source and
(2) Factors which contribute to the rate of
receiver tend to be homogeneous.
adoption of an innovation include: per-
(3) Members of a modern system are more
ceived advantage; compatibility; lack of
closely related in interpersonal com-
complexity; suitability for trial adoption;
munication channels than are members
communicability; visibility.
of a traditional system.
(b) Adopters:
(e) Change agents:
(1) The more traditional the social system,
(1) The efforts of a change agent speed the
the more resistant to innovation will be
adoption of an innovation.
the individual within the system.
(2) Change agents communicate most effec-
(2) Early adopters have the following char-
tively with clients who are most like
acteristics when compared with later
them.
adopters: younger; higher social status;
more likely to use communication chan-
3. The steps one can take in managing the
nels close to the source of the innovation;
change process are set forth:
more active information seekers; more
(a) Define the objectives for specific change.
cosmopolite; have more opinion leader-
(b) Investigate alternative innovations.
ship; wealthier; less dogmatic; have more
(c) Define, distinguish, and analyze the target,
formal education; have greater ability to
decision, and adoption audiences.
deal with abstractions.
(d) Define the steps that must be taken with
(3) Individuals more fully embrace innova-
each of these audiences to reach a decision,
tions and change when they feel they
secure adoption, and achieve objectives of
have participated in planning and de-
change.
cision making concerning these ideas.
(e) Select and employ those communication and
(c) Communication channels:
diffusion principles most relevant to the
(1) Interpersonal communication from peers
specific change situation and develop change
is more important for later adopters than
strategies to achieve previously defined ob-
for early adopters.
jectives.
(2) Interpersonal communication from peers
(f) Plan to integrate the innovation in the on-
is more important in uncertain (or high
going system.
risk) situations than in clear-cut situa-
(g) Evaluate the effects of the change.
tions.
(h) Diffuse your findings.
RESEARCH-PRACTITIONER
225
RELATIONSHIPS
Research utilization: mental health
EMPIRICAL STUDY
Rose, M., and Esser, M. A. The impact of recent research developments on private practice. American
Journal of Psychiatry, November 1960, 117, 429-433.
psychiatrists in the treatment of various common
Purpose
mental disorders in order to obtain information
To study the actual therapeutic methods used by
about the theoretical convictions of psychiatrists
PUTTING KNOWLEDGE TO USE
358
and the way in which these convictions influence
but they were not motivated to exert more than
actual treatment methods.
casual effort to learn about the basic concepts and
hypotheses involved.
Method
4. Their first concern is for the development of
A total of 25 practicing psychiatrists were inter-
knowledge in the behavioral sciences as these are
viewed. The sample was chosen at random and rep-
related to psychiatry: psychodynamics, sociology,
resented about 50 percent of the practicing psy-
anthropology, etc. Of secondary but serious interest
chiatrists in the San Francisco mid-peninsula area
was the continuation of research in the physiology
at the time.
of the nervous system and related organs.
The article also includes additional interpreta-
5. The relation between a psychiatrist's theory
tion by J.M. Cotton, M.D., at the end of the report.
and his actual use of various thereapeutic methods
is not as simple and scientifically justifiable as one
could wish.
Findings and Conclusions
DISCUSSION BY DR. COTTON
1. Although the psychiatrists were primarily
1. The impact of recent developments in neuro-
psychologically oriented, they judged physical and
physiological research upon private practice has
pharmacological methods useful, and actually re-
been very small.
lied quite heavily upon them in daily practice.
2. The standard pattern appears to be one in
2. Both psychotherapy and drugs were used by
which the therapy is primarily psychotherapy of an
all of them, in varying proportions depending on
opportunistic variety styled to fit the individual
individual taste and judgment, and largely symp-
needs of the patient as intuitively perceived by the
tomatically. The most common indication for the
therapist.
use of drugs was the severity of symptoms.
3. If the psychiatrist were limited to providing
3. As a group, the psychiatrists were aware of,
services upon a strict basis of proven scientific fact,
and respectful of, recent developments in physio-
he would not be able to do anything for 95 percent
logical and pharmacological aspects of psychiatry,
of those who sought his help.
226
RESEARCH UTILIZATION:
SOCIAL WORK
Research utilization attitudes
EMPIRICAL STUDY
Rosenblatt, Aaron. The practitioner's use and evaluation of research. Social Work, 1968, 13, 53-59.
Purpose
2. Two large social welfare agencies in New York
City distributed the questionnaires to their em-
The study reported herein was designed to ascer-
ployees.
tain social workers' ratings of the usefulness of re-
search and the extent to which they use research
3. Questionnaires were mailed to members of the
findings in clinical practice.
1956 graduating class of Columbia University
School of Social Work.
Method
SAMPLE
4. Questionnaires were mailed to a random group
of caseworkers listed in the current NASW mem-
Four different groups of caseworkers were sur-
bership directory.
veyed:
1. First-year students at the Adelphi University
The characteristics of the sample drawn from the
School of Social Work distributed questionnaires to
308 usable questionnaires returned were as follows:
staff members at the field placements.
82 men and 226 women, 204 caseworkers, and 103
SUMMARIES
359
supervisors, executives, and other specialists. The
treatment plan. Most often these were discussions
average age was 39.6.
involving their supervisor.
2. Although 29 percent of the respondents re-
STUDY DESIGN
ported reading research articles, only 9 percent re-
Data about research utilization were collected in
ported reading research articles in connection with
the following four areas:
specific cases.
1. Use of research in handling difficult cases.
3. Lack of time seems to be one reason that re-
2. General value of research findings for respon-
search is not utilized. Half of the respondents
dent's practice.
ranked their research courses as least helpful in
3. The helpfulness of research in improving prac-
current practice. Generally, research ranked least
tice.
used and least useful of the activities compared in
4. The helpfulness of research courses in prepar-
this study.
ing for a career.
4. The author offers the following possible expla-
The respondents were asked to compare reference
nation of and observations on the findings:
to research with other practice activities including
(a) Individuals entering the field of social work
discussion of cases with supervisor, discussion with
may have felt that they were not equal to the
a fellow worker, discussion with a friend who was
scientific rigor (statistics, etc.) required to
also a professional, discussion with a consultant,
become psychologists. Therefore, the field of
and thought but no consultation. They were asked
social work may be populated with individ-
to compare these activities in the following contexts:
uals who have built a negative bias concern-
1. A recently completed case in which some diffi-
ing research.
culties were encountered in deciding on a treat-
(b) Research findings may not be especially val-
ment plan.
uable in practical problem solution.
2. Additional activities they would have under-
(c) Practitioners focus on case studies, viewing
taken in handling the same case had they more
each case as unique. The efforts of the re-
to develop a treatment plan.
searcher to establish generalizations runs
In addition, the respondents were asked:
counter to this approach.
1. The value of supervision, consultation, and
(d) Researchers may have difficulty in translat-
research findings for their practice on an 11-point
ing clinical theories into operational terms
scale.
that can be tested. Therefore, the theories
2. To rank in order of importance eight exper-
upon which many practices are based re-
iences that contributed to the improvement of their
mained untested.
practice. One of these experiences was reading re-
(e) While researchers must maintain a question-
search articles, another was reading practice
ing attitude toward their work, a constantly
articles.
questioning practitioner may be less effec-
3. To recall which eight courses included in their
tive. The researcher cannot only undermine
school training had been most helpful and least
the confidence of the practitioner, he may
helpful in their careers. Research was one of the
also disturb the practitioner by making him
eight courses listed.
the object of his study.
(f) The report of research findings is often
Findings and Conclusions
slanted to meet the needs of the other re-
1. The author found that most practitioners un-
searchers rather than those of the practi-
dertook two or three activities before arriving at a
tioner.
(g) There is a rather low level of scientific knowl-
*One respondent failed to identify his position.
edge to support the practices of its clinicians.
360
PUTTING KNOWLEDGE TO USE
227
KNOWLEDGE DISSEMINATION:
TECHNOLOGY
Communication media
Research utilization: industrial
EMPIRICAL STUDY
Rosenbloom, R. S. and Wolek, F. W. Technology and information transfer: A survey of practice in indus-
trial organizations. Boston: Graduate School of Business Administration, Harvard University, 1970.
Purpose
Controlling for differences between science and
engineering as professions, the authors next de-
To investigate how technical information flows
termined the effects of (a) the organization, (b) the
across organizational lines in R&D operations in
task, and (c) the user himself on the way informa-
large industrial settings; to report on the circum-
tion flowed. Engineers and scientists in research
stances related to various modes of transfer; to sug-
organizations used sources outside their own cor-
gest ways of using information flow to integrate
poration in approximately two-thirds of the in-
organizations.
stances they described, whereas in a typical oper-
ating division, three-fifths to three-quarters of the
Method
responses cite information sources within the same
Survey data were collected and analyzed from
organization. In both research and operating or-
2,000 engineers and scientists in four corporations,
ganizations, information for research tasks was
and from 1,200 members of The Institute of Elec-
gained from external sources more often than was
trical & Electronic Engineers. The data describe
information for design and development tasks,
instances in which respondents acquired useful
while interpersonal communication within the
technical information and the particular circum-
corporation was used less often for research than for
stances leading to the seeking of that information.
design and development.
The authors investigated the influence of the
Findings and Conclusions
individual user's experience and personal commit-
ment. Interpersonal communication and local
1. By what means does information flow be-
sources were used significantly more frequently
tween technical groups?
when the respondent considered himself inexperi-
Scientists tend to make substantially more use
enced in the source discipline. Seniority had a small
than do engineers of sources outside the corpora-
but definite effect: men with more than ten years'
tion. Among scientists, sources within their own
tenure used corporate sources outside their own
corporation provide information in only one-third
establishment 1½ times more frequently, and pro-
of the instances, as opposed to the strong ma-
fessional publications only half as often as men
jority-typically three-fifths-of such instances
with brief tenure. Men with a high degree of com-
reported by engineers. The particular circum-
mitment to their jobs tend to pursue formal educa-
stances leading to acquisition of new information
tion further and to make education a continuing
also figure importantly in the information-transfer
process. These men use professional publications
process. In aggregate, only about half of the in-
more often, and local sources of information less
formation acquired resulted from a specific search
often, than the average respondent.
by the respondent. In nearly one-third of the cases,
2. What circumstances determine how informa-
the information was acquired because someone
tion transfer takes place?
pointed it out without being requested to do so. In
Based on the concerns of managers and policy
about one-fifth of the cases, the respondent's in-
makers, the authors distinguished between in-
tent in seeking information was to develop his gen-
formal sources inside the firm and formal sources
eral competence rather than to acquire some par-
outside the firm (principally the published litera-
ticular knowledge. The authors conclude that
ture). The authors' data showed that when the
"information looking for the man" seems to be
circumstances of work are such as to create a high
nearly as frequent as "man seeking information."
expectation of contribution to a developing body of
SUMMARIES
361
knowledge, i.e., a professional focus, information
direct search related to a specific task, but as part
will be transferred predominantly through the
of a more general quest for knowledge which will
formal media. When the focus of work is principally
enhance the user's background or keep him up to
upon intended contributions to ongoing operations,
date on professional developments. The more one
the transfer of information will occur primarily
has the knowledge to relate performance capabili-
through informal media and will involve pre-
ties to general principles, or to relate research
dominantly local sources.
findings to the complex particulars of an opera-
3. How can information flow help integrate an
tional system, the stronger will be the tie between
organization?
the two areas.
The authors recommend that managers in or-
In designing information flows, one should pay
ganizations which include both professionally-
great attention to the role of the source. The idea is
oriented and mission-oriented activity should pay
to produce literature that has an identity and fills
attention to linking the two. In organizing task
a need, not a mere imitation of already existing
assignments, management can allow development
sources. Managers should remember that they have
work to be clearly based in a discipline while pro-
an important influence on the informal, social fab-
viding an equally clear relation to an organizational
ric of their organizations. Policies relating to travel,
mission. The resultant structure should facilitate
guest visits, and telephone calls, etc., are an im-
the transfer of knowledge. In organizing document
portant part of the picture. Such activities, though
systems, managers should bear in mind that in-
not directly related to work, may provide important
formation is frequently found not as the result of a
channels of information flow.
228
RESEARCH-PRACTITIONER
RELATIONSHIPS
Research utilization: mental health
CASE ANALYSIS
Rosenfeld, J. M., and Orlinsky, N. The effects of research on practice: Research and decrease in noncon-
tinuance. Archives of General Psychiatry, 1961, 5, 176-182.
Purpose
Findings and Conclusions
The authors describe changes in a service
1. The general research program dealt with per-
agency's functioning that occurred concurrently
sonality factors associated with patient resistance
with a research program focused on these func-
to accepting recommended psychiatric treatment.
tions. In essence, the authors are issuing a warning
The original study focused on differences between
to researchers about the interaction effects of re-
patient and therapist perceptions of a therapeutic
search on practice.
process and the effect of these differences on con-
tinuance or noncontinuance of treatment. The pro-
ject as designed had no "action" program built into
Method
it, even though anyone familiar with research in a
Since this was an almost after-the-fact study
clinical setting would be prepared to anticipate the
there were no specific methods set down. The au-
following:
thors describe the research program, the amount of
(a) Any clinician doing research is never com-
staff participation in the research program, the
pletely disinterested in service to patients.
initial awareness of the interaction effect, the selec-
(b) The activities of the researchers and the con-
tion of alternative criterion, and a refocusing on the
comitant involvement of staff members, pa-
changes in practice that occurred as a result of the
tients, and trainees in the project would have
initial research program.
some effect on the clinic operations.
362
PUTTING KNOWLEDGE TO USE
2. The whole staff of the psychiatric outpatient
(a) Noncontinuance decreased during the course
clinic of a general hospital participated in the pro-
of the research on noncontinuance.
ject. The director of the clinic helped in the plan-
(b) Other changes occurring during the research
ning stages. The entire staff participated in a study
period included: (1) an increase in the num-
of prediction of premature termination of psycho-
ber of interviews per patient; (2) improve-
therapy from tape recordings of early therapy inter-
ment in the patient's concept of therapy;
views. The intake staff helped revise forms directed
(3) more successful referrals of applicants to
toward facilitation of collection of data on non-
other services; and (4) a shifting of social
continuance.
worker comments at initial interviews from
3. There is little doubt that the sensitivity toward
getting patient information and commenting
noncontinuance stimulated through the research
on patient behavior to giving more informa-
project affected client-clinician contacts; however,
tion about clinical services and to correcting
interest and concern raised by the research project
initial misconceptions about psychiatry.
did not appear unusually high.
"The possibility that the research program and
5. The authors believe a substantial portion of
the functioning of the service might be affecting
change can be attributed to improvement of social
each other in significant ways was brought to the
workers' services and techniques, since caseload
attention of the authors when discontinuance de-
and clinic population did not change during the
creased to such an extent that it could no longer be
study. Evidently, the focus of the research and staff
used as a criterion measure."
participation increased attention on the factors
4. The authors emphasize the following major
being studied. The increased awareness, in turn,
findings:
led to behavior changes in the staff.
229
CHANGE MEASURES AND
FACTORS
Innovation-adoption process: social
Organizational factors
Research-practitioner relationship
REVIEW OF LITERATURE
Rothman, J. Planning and organizing for social change: Action principles from social science research.
New York: Columbia University Press, 1974.
Purpose
the treatise is concerned, not with the substantive
The book, in the words of the author, "aims to
knowledge itself, but rather with generalizations
present to those engaged in social planning, com-
and action guidelines as to how such knowledge
munity work, and social action what the outpour-
may be transmitted and utilized.
ing of social science research has to say concerning
Method
intervention strategies and programs
By col-
lecting community-level research findings and or-
In accordance with the earlier stages of a re-
ganizing them into conceptual categories which are
search utilization model later to be described, the
of relevance to the practitioner-such as participa-
investigator, aided by a substantial staff, first en-
tion, organizational innovation, or the use of inter-
gaged in a major retrieval approach of pertinent
vention roles-this work will aim to acquaint the
literature contained in thirty journals in social sci-
community change agent with relevant social science
ence fields over a six-year period from 1964 to 1970,
information, providing a broader and better sub-
supplemented by selected dissertations, papers
stantiated knowledge base to guide his practice
read at Sociology and Social Work Conferences
than is currently available." It should be noted that
in 1968 and 1969, certain reports turned up in a
SUMMARIES
363
survey of the Digest of Urban and Regional Re-
stage is connected by an operational step, the out-
search, and miscellaneous books that came to the
put of each step becoming the product base (stage)
attention of the project staff. In all, 921 reports
from which the next step proceeds. The five opera-
were retrieved and processed in the project, which
tional steps are given below (in italics), each step
was made possible through a grant by the National
followed by its product stage:
Institute of Mental Health.
(a) Retrieval, Codification, Generalization: Con-
From the above pool of reports some 228 generali-
sensus Findings, Propositions.
zations, each accompanied by action guidelines
(b) Translation and Conversion: Generalized
were derived and categorized under the following
Principles.
chapter headings:
(c) Operationalization: Application Principles
1. Practitioner roles: variables affecting role
in Delimited Form.
performance.
(d) Initial Implementation-Field Testing: Prac-
2. Practitioner roles: some dynamics of role
tice and Policy Outcomes; Refined and Elab-
performance.
orated Application Principles; Diffusion
3. Organizational behavior: contextual factors.
Media.
4. Organizational behavior: technology and per-
(e) Wide Diffusion: Broad Practice Use.
sonnel.
The model may be identified as the research, de-
5. Political and legislative behavior.
velopment, and diffusion approach, as distin-
6. Participation: voluntary associations and pri-
guished from the social interaction and problem
mary groups.
solver models, although elements of the several
7. Participation: social movements, political
models are intermingled in practice.
action, client organization.
2. Barriers to collaboration between social sci-
8. The diffusion and adoption of innovations.
entists and practitioners include the following:
9. Movement and assimilation of populations.
(a) basic professional definitions; (b) value con-
Each generalization is rated from 1 to 4 accord-
siderations; (c) communication difficulties; (d)
ing to the number and character of the supporting
methodological assumptions; (e) orientation
studies, some of which are cited by way of illustra-
toward clients; (f) interprofessional conflicts; (g)
tion and elaboration. The studies bearing on each
perceptions and attitudes.
generalization are identified and listed in the
3. Roles play an important part in determining
extensive bibliographies accompanying each sec-
the extent to which the practitioner will achieve
tion of the book.
actional effects through the application of social
An introductory statement makes explicit the
science knowledge. A variety of solution strategies
author's point of view, indicating in part a "gen-
for role conflict are employed. Practitioners have
eral outlook that is of a nondoctrinaire, humanistic,
the capability to strongly influence community
exploratory social democrat" and a "basic posture
programs; they can play significant linking agent
[that] is a personalistic, skeptical leaning to the
roles. Role orientations may be differentiated as
left." Reference is made to the number of differ-
between professional, bureaucratic, and client cen-
ent available avenues for social change, including
tered. Factors associated with political and activist
rationalistic social planning, militant social action,
roles have been identified.
and participatory self-help community develop-
4. A number of generalizations concerning the
ment.
organizational framework of social change emerge
The treatise concludes with a succinct chapter on
from the literature surveyed. Environments affect
research utilization as a process that presents in
and feed back on organizational structure and be-
detail the model employed in the present investi-
havior. The nature of an organization's goals in-
gation together with a briefer account of other
fluences its effectiveness. Size produces effects via
models and of considerations affecting the linkage
related considerations such as dispersion, hier-
of research and researchers on the one hand and
archy, and division of labor. Technology affects
practice and practitioners on the other.
organizational considerations, as do the number
and variety of professionals. Supervision and modes
Findings and Conclusions
of power influence within organizations have a
1. The favored model consists of six stages, be-
bearing on functioning and innovation. The place
ginning with a research knowledge pool (stage I)
of paraprofessionals in an organization opens up a
and moving to broad practice use (stage VI). Each
number of considerations affecting social change.
PUTTING KNOWLEDGE TO USE
364
5. Generalizations and accompanying action
sponsive to the needs of lower-income
guidelines are presented in the fields of (a) political
populations.
and legislative behavior; (b) participation by vol-
(b) Organizational structure relates to innova-
untary associations and primary groups; (c) social
tion in terms of factors such as the following:
movements, political action, and client organiza-
(1) Formalization.
tions; and (d) the movement and assimilation of
(2) Centralization.
populations.
(3) Size.
6. Diffusion and adoption of innovations may be
(4) Production emphasis.
considered in terms of population groups, as dis-
(5) Job satisfaction.
tinguished from organizations.
(6) Joint programs.
(a) Population, or target system variables as-
(7) Innovation in the application of research.
sociated with receptivity to innovation relate
(c) Certain characteristics are associated with
to the following factors:
the effectiveness of organizations that intro-
(1) Cultural values.
duce innovations in other organizations; for
(2) Socioeconomic status.
example:
(3) Past experience with innovations.
(1) The effectiveness of an "organization for
(4) Felt need for change.
innovation" is associated with organ-
(5) Value orientation.
izing innovations into demonstration pro-
(6) Social participation.
jects.
(b) Attributes of the innovation proper that af-
(2) The effectiveness of an "organization for
fect the diffusion and adoption process are:
innovation" is associated with a decen-
(1) Relative advantage.
tralized administration that allows the
(2) Value compatibility.
staff to influence and stimulate others
(3) Partialization.
with a minimum of constraints on role
(4) Communicability.
performance.
(5) Geographical accessibility.
(3) The effectiveness of an "organization for
(6) Complexity.
innovation" is associated with having a
(c) Attributes of the diffusion and adoption pro-
staff that is particularly able to deal with
cess include:
the target organizations or clients for
(1) Compatibility of the diffusion process.
whom the innovations are intended.
(2) Communication media used by different
8. Both intra- and extraorganizational factors
categories of adopters.
may offer resistance or set up barriers to the imple-
(3) Peer support.
mentation of an innovation, even after it has been
(4) Opinion leaders.
formally "adopted." The converse of such factors
(5) The innovation message.
as noted by Thompson (1965) is presented as fol-
(6) The process of diffusion and adoption.
lows, thereby reducing barriers to implementation:
7. Factors affecting innovations in organizations
(a) An absence of production ideology.
are presented in terms of professional considera-
(b) Encouragement of conflict and uncertainty.
(c) The use of intrinsic rewards.
tions and those related to organizational structure:
(d) Elimination of hierarchy through which an
(a) Staff structure and the diversity of profes-
innovation must pass to win acceptance.
sional staff influence innovation. The adop-
(e) Placing a high value on goal attainment
tion rate is related to:
rather than internal distribution of power
(1) The diversity of the organization's staff
and status.
specialties.
(f) Nonsegregation of innovation units.
(2) Extraorganizational professional linkage
(g) Uncommitted money, time, skills, and good
interactions engaged in by its employees.
will.
(3) The length of professional training.
(h) Ease of communication.
(4) The number of professionals employed.
(i) A middle range of member identity, between
(5) The functioning of professionals as opin-
total commitment and complete alienation
ion leaders for other employees.
from the organization.
(6) Paraprofessionals as a source of organi-
(j) A psychological sense of personal security
zational innovation, particularly with
and autonomy, coupled with a moderate level
respect to making organizations more re-
of problem challenge and uncertainty.
SUMMARIES
365
(k) The general characteristics of "structural
needs.
looseness" (broader participation in decision
(g) Provide definitions, qualifications and elab-
making, less stratification, use of group pro-
orations as appropriate to clarify or amplify
cesses, temporary and rotating assignments,
the use of the action principle.
etc.)
(h) Provide concrete practice examples of all
elements of the guideline that have em-
9. In addition to collating generalizations from
pirical refferents.
the literature and translating them into action
(i) Show various possible patterns of imple-
guidelines, the author and his staff have prepared a
mentation of a given action guideline. These
manual for implementation that includes the fol-
patterns represent different general modes
lowing suggestions:
of action within a common intervention
(a) Provide the research basis for an action prin-
strategy.
ciple.
(j) Present, as an aid to the practitioner, pos-
(b) Convert the research generalization into its
sible problems ("pitfalls") in implementing
specific applied form.
the guideline.
(c) Provide an example showing the implemen-
(k) Offer useful avenues of attack ("tips").
tation of action guidelines with regard to a
(1) Convey a reasonable amount of encourage-
problem situation or practice context fa-
ment, reinforcement, and optimism in order
miliar to the practitioner.
to give the practitioner a pushoff toward
(d) Select an example that is as close as pos-
utilization and to facilitate use of the action
sible to the practitioner's perspective, using
guideline plus the manual. If possible, such
practice language or the actual words of sim-
encouragement should include legitimation
ilar practitioners.
from colleagues.
(e) Check to assure that the specific action prin-
(m) Provide technical assistance with regard to
ciple contained in the narrative example is
taking the initial steps toward active imple-
clearly and simply explicated.
mentation of the guideline in a practice sit-
(f) State the relevancy of the action guideline
uation.
to the general practice outlook of the practi-
(n) Structure an opportunity to take initial
tioner: his objectives, tasks, problems,
steps toward implementation.
PLANNED CHANGE: EDUCATION
230
Change strategies
Innovation adoption
ANALYSIS AND SUGGESTIONS
Rubin, Louis J. Installing an innovation. In R. R. Goulet (Ed.), Educational change: The reality and the
promise. New York: Citation Press, 1968, pp. 154-165.
Purpose
Method
"Neither restlessness, tinkering, nor frenetic ac-
The author has based his analysis on his own
tivity make for genuine improvement. Change and
knowledge, experiences, and observations.
innovation must be ordered by informed judgment,
by the fruits of sound reasoning, and by a clear
Findings and Conclusions
sense of the way things are." In this article the au-
thor proposes a system for installing innovations in
1. There are several weak spots in the current
ongoing organizations.
art/science of innovation installation.
PUTTING KNOWLEDGE TO USE
366
(a) Most innovations that can make an authen-
ment or change in the system.
tic difference tend to necessitate personnel
(2) It yields clues for the strategy selection
training, a phenomenon about which too
and action operation.
little is known.
(3) It provides a partial basis for determin-
(b) The invention of innovations does not always
ing which of the available innovations is
parallel the needs of the system.
most appropriate for prevailing condi-
(c) Little is known about the degree and kind of
tions.
preparation that should precede the intro-
(b) The selection of strategy is based on consid-
duction of an innovation.
eration of the kind of innovation being
(d) Innovations often enjoy fad status. The spot-
installed, the characteristics of the organiza-
light is therefore focused only on a small
tion or target environment, and the individ-
number of related innovations rather than on
ual engineering the change.
the many and diverse innovations being put
(c) The action phase requires seven steps:
forth in different areas.
(1) Analyze the training, materials, and
2. The change process consists of four phases:
linkage requirements necessary to incor-
research, development, dissemination, and instal-
porate the innovation into the existing
lation.
system. The staff must understand the
3. Rubin hopes that schools will come to view
innovation, its requirements, and its re-
innovation as a necessary but insufficient part of
lation to the school's objectives.
improvement. He asserts that "There must be a
(2) Initiate motivating pressures through in-
rational effort to capitalize on the new, but there
ducing dissatisfaction and illuminating
must be an equally rational effort to search out the
rewards. The benefits of the innovation
inadequate and to apply correctives, even if the
must be clear.
correctives are 1, 5, or 10 years old."
(3) Initiate the influence strategy. Specific
4. Effective installation of an innovation in-
strategies must be used to induce the
volves three sequential phases: Preliminary anal-
staff to accept the innovation.
ysis, strategy selection, and action.
(4) Initiate preparatory activities. A "getting
ready" program must be provided.
(a) The preliminary analysis operation consists
(5) Introduce the innovation.
of four steps: Diagnosis of a weakness, analysis
(6) Support the transition from old to new.
of the responsible factors, comparison of al-
Various kinds of support must be pro-
ternative correctives, and selection of the
vided in order to prevent premature or
best corrective. This analysis serves several
transitional failure.
functions:
(7) Link the innovation to the permanent
(1) It creates a bridge between the introduc-
system; the innovation must be tied to
tion of an innovation and the improve-
the overall program.
231
PLANNED CHANGE: HEALTH
Organizational factors
Consultant role
CASE STUDY ANALYSIS
Rubin, I., Plovnick, M. and Fry, R. Initiating planned change in health care systems. Journal of Applied
Behavioral Science, 1974, 10, 107-124.
Purpose
in the initiation of planned change" and "to iden-
tify the forces at work when one tries to initiate
"To stimulate readers to question their general
planned change programs in community health
assumptions about client-consultant relationships
organizations."
SUMMARIES
367
Method
new and unproven medication. A medical maxim
is "primum non nocere" (first, do no harm). Med-
Reflection on recent experiences (including
ical practice may involve the patient little or not
analysis of one case) arising during efforts to be a
at all; the doctor diagnoses and prescribes. It tends
helpful consultant to community health organiza-
to be oriented to treatment of a disorder rather
tions.
than to prevention. Emerging crises continually
take precedence over meetings for study and plan-
ning.
Findings and Conclusions
The role of an administrator in a community
In contrast to organization consultation pro-
health center is especially difficult. If he is not a
cedures which commonly focus on the "middle
physician he is often subordinated to the M.D.'s.
stages" of diagnosis, planning and action, work
Feedback is limited usually to the response of pa-
with community health organizations demands
tients to treatments and seldom recognizes organi-
more time spent on "initial stages" of scouting and
zational achievements. Further, there is no ladder
of advancement up which he can hope to move. He
entry.
While the clients in this study were well aware
must cope with multiple power structures to get
of serious needs for change and of their need for
funds, provide good technical services, and please
help, the degree of resistance was surprising. The
the community. Bringing conflicts out into the
task of health care is less easily defined and mea-
open is seldom good politics or effective in raising
sured than is industrial production. Life and death
money.
issues make the ambiguity and frustrations less
A consultant who wants to help health care or-
tolerable than are those of other organizations.
ganizations will need to change his self-image as a
Hence, health care organizations often demand
resource to permit him to initiate, to "sell" him-
proof in advance of the presumed benefits of a
self to skeptics, to get more closely involved in the
change. They are no more disposed to try "team
day-by-day work of the agency, and to offer more
building" than they would be to experiment with a
persuasive communications.
DIFFUSION PROCESS
232
Innovation: agriculture
Adoption factors
EMPIRICAL STUDY
Ryan, B., and Gross, N. C. The diffusion of hybrid seed corn in two Iowa communities. Rural Sociology,
1943, 8, 15-24.
Purpose
Findings and Conclusions
This study was designed to trace the diffusion
1. Noting that the adoption of this corn variety
pattern of an innovation (hybrid seed corn) among
required few changes in routine and farming equip-
farmers.
ment, the authors found that it still took roughly
five years for the first adoptions to occur after the
Method
farmers had their first knowledge of the product.
The authors interviewed "practically all of the
After initial adoption by a few farmers there was an
farm operators" dependent on two rural town cen-
increasing acceptance rate among other farmers.
ters in Iowa. Included in the sample were 323
2. The authors point out that those farmers who
tried the innovation first insisted upon personal
farmers.
PUTTING KNOWLEDGE TO USE
368
experimentation before complete acceptance, but
farm journals as their original source of informa-
that this experimentation period shortened con-
tion. Farmers who heard of hybrid seed corn late in
siderably for later adopters.
the game were more apt to hear from neighbors.
3. Almost one-half of the farmers interviewed
4. There appeared to be two forces at work: in-
cited personal contact with salesmen as the earliest
troductory mechanisms and activating agents.
source of information, while an additional 10 per-
While professional salesmen served the introduc-
cent named radio advertising. About 15 percent
tory function, neighbors were the most influential
named neighbors and another 11 percent named
in activating the adoption of the hybrid corn.
233
ORGANIZATIONAL FACTORS
Innovation: business
Adoption characteristics
EMPIRICAL STUDY
Sapolsky, Harvey M. Organizational structure and innovation. Journal of Business, 1967, 40, 594-610.
Purpose
vation proposals are precisely those factors that de-
crease the probability that the organization will
Sapolsky's investigation was directed toward
adopt the proposals. The stimulation of potential
differentiating between organizational and indi-
innovation is distinct from and even antagonistic
vidual innovation.
to the stimulation of the adoption of the innova-
tion. The diversity of an organization's incentive
Method
and task structure affect the rates at which an
SAMPLE
organization will generate and adopt innovations.
Using department stores as a focal point for his
Diversity affects all three stages of organizational
study, Sapolsky examines the innovation experi-
change-the conception of possible change, the
ence of nine of the most innovative* firms in the
proposal of change, and the adoption of change.
East and Midwest.
HYPOTHESES
DATA
1. The greater the diversity of the organization
The main source of data for the study was a series
the greater the probability that members will con-
of open-ended interviews conducted in 1965-66 with
ceive and propose major innovations.
management personnel of these organizations. One
2. The greater the diversity of the organization,
of the main objectives was to determine the origins
the smaller the proportion of major innovations
of proposals for organizational changes. A general
that will be adopted.
interview guide was followed throughout the field-
work.
Findings and Conclusions
The innovations studied were: (1) the separation
1. The author found that the innovations studied
of buying and selling function; (2) use of electronic
were highly interrelated, and that the adoption of
data processing in merchandise operations; and
one might be expected to lead to or facilitate the
(3) use of decision-making techniques such as
adoption of others.
PERT and operations research to merchandise
2. The proposals of the changes originated with,
problems.
and were supported by, personnel in similar posi-
tions in each of the stores. These were the store
BACKGROUND THEORY
controllers who were found to have close relation-
Factors that increase the probability that organ-
ships with controllers in other firms. These con-
izational participants will devise and present inno-
trollers often met at professional conferences of
*The basis for selection of these innovative firms is no more
controllers, and prestige went to the controllers who
specific in the original article.
had gained the greatest participation in store man-
SUMMARIES
369
agement and who had applied the newest tech-
with diffusion within the same organization, citing
niques.
the fact that interunit communication is usually so
3. The innovation proposals had not been widely
good within an organization that tactics used with
implemented. While differences in internal poli-
one sector are likely to be spread in other depart-
tics, personalities, and expectation of innovational
ments, in many cases developing rather than over-
costs and benefits led to somewhat different re-
coming the resistance factor. The author concludes
sults in each firm examined, a general pattern of
that the diffusion of innovation becomes difficult,
presentation, experimentation, and frustration re-
expensive, and sometimes, impossible, in firms
lated to structural arrangements can be discerned.
composed of a large number of equals who demand
4. The decentralized structure of the depart-
equal treatment.
ment store is viewed as a major barrier to the insti-
5. Sapolsky felt that the data from the depart-
tution of the change. The author sees the tactics
ment stores supported the hypotheses concerning
that facilitate initial application to be in conflict
diversity and innovation.
234
CHANGE PROCESS
Change models
Linkage functions
ANALYTICAL MODEL
Sashkin, M., Morris, W. C., and Horst, L. A comparison of social and organizational change models: In-
formation flow and data use processes. Psychological Review, 1973, 80 (6), 510-526.
Purpose
Findings and Conclusions
The paper analyses five models of social and or-
1. The five selected models are designated as
ganizational change by examining the way each
follows:
model deals with the generation and flow of in-
(a) Research, development, and diffusion model.
formation in the production of change, and with
(b) Social interaction diffusion model.
the role of change agents in the application of each
(c) Intervention theory and method.
of the models.
(d) Planned change model.
(e) Action-research model.
Method
2. Although similar in some respects, the models
Based on an analysis and synthesis of the litera-
differ significantly in others.
ture, the authors have chosen five change models
(a) Differences in assumptions refer to such mat-
that, in their view, are most significant with respect
ters as:
to both the theory and the application of behavioral
(1) The generation of new knowledge.
science. For each model the analysis presents:
(2) Degree of involvement or passivity of
1. Its basic assumptions regarding data genera-
users.
tion and information flow.
(3) Necessity of the consequences of rational
2. The key questions the model poses for those
procedure.
who apply it.
(4) The location of needed data in external
3. An example of a possible or actual applica-
research versus within the client system.
tion.
(5) The role of the linkage network.
4. Problems regarding the validity and use of the
(6) The utilization of available data.
model.
(7) The need to translate data into action
In addition, the tasks and roles of change agents
steps.
implicit in the application of each model are
(8) Mechanisms for stabilizing changes.
treated.
(9) The continuity of data collection follow-
PUTTING KNOWLEDGE TO USE
370
ing changes.
with changes in organized social systems
(10) Stress on process of acquiring and util-
and to have regarded the user or the user
izing change data versus specific changes
system as a passive consumer.
themselves.
(3) The intervention theory model, while its
(11) The generalization of change potential
assumptions generate testable hypothe-
sought.
ses, is regarded as not having been based
(b) Questions such as the following may be di-
on research evidence. Research is used
rected at one or more of the models:
more as a client-training process.
(1) How can the "disseminator" adequately
(4) The planned change model is described
identify the user population?
as emphasizing specific problems and
(2) How can the disseminator select the
changes rather than the change process.
communication medium, method, and
While grounded in theory and research
time most likely to result in user accep-
evidence, it is noted as placing little
tance?
stress on research measurement or evalu-
(3) How can "opinion leaders" or "gatekeep-
ation of results.
ers" be identified and used to channel in-
(5) The action-research model requires the
formation?
change agent/researcher to play some-
(4) How can the interventionist remove
what confusing multiple roles. Consid-
blocks, add linkages, and support in-
erable commitment and effort is required
formation flow?
on the part of the client. The model is
(5) How can he promote use without exert-
focused on the process of change rather
ing major influence over decisions,
than specific changes, thus requiring a
choices, and outcomes?
matching set of tools to implement spe-
(6) How does the change agent determine
cific changes.
what data are relevant?
(7) How does he gather and present these
3. The models may be compared with regard to
data to the client?
the change agent activities they emphasize.
(8) How does he create commitments for the
(a) The consultant role is common to all models,
continuation of the change made?
with variation in the use of sources of data.
(9) How does the action researcher design
(b) The training function applies primarily to
data collection and action experiments
the last three of the listed models.
so as to relate to the specific problem of
(c) The research function ranges from nonappli-
the client?
cation in the first listed to considerable ap-
(10) How can he demonstrate the contin-
plication in the last, with increasing degree of
uous nature of the action research pro-
probability in the case of the middle three.
cess?
4. The knowledge linkage functions of the change
(11) How can he provide the client with the
agents with respect to the several models may be
skills needed to keep the action-research
expressed in terms of the consultant, training, and
cycle going?
research roles mentioned above. The detailed oper-
(c) Examples can readily be found to illustrate
ation of linkage functions are depicted in a sche-
each of the models. These are presented in
matic representation showing the relationship of
the report.
the applied behavioral scientist to the three types
(d) Each of the models raises certain problems
of activity and to knowledge resources of external
regarding its validity and usefulness, such as
behavioral science and of the field of knowledge of
the following:
the client system.
(1) The research, development, and diffusion
5. While none of the models is all-complete or
model has been characterized as being
conclusively validated, each one has its place in the
excessively research oriented and insuf-
matter of facilitating information flow and use.
ficiently user oriented, and as ignoring
Nevertheless, the authors favor the action-research
major aspects of the actual communica-
model as being most complete and as adding most
tion process. Research on the model is
to our knowledge about the change process and
said to have been attempted rarely.
problems of change.
(2) The social interaction diffusion model is
6. Three significant areas of research are sug-
considered to have dealt inadequately
gested:
SUMMARIES
371
(a) A comparison of models: a comparative anal-
process of change, and linking the knowledge
ysis of the effects and the effectiveness of the
obtained to professional knowledge banks).
five models in similar and different situa-
(The latter may be designated as input, out-
tions.
put, throughput.)
(b) Change agent roles: an examination of the
(c) Role operationalization: research in the va-
three change agent roles (consultation, train-
lidity of individual and team operationaliza-
tion of the three roles.
ing, and research) and the three linking ac-
tivities (helping the client evaluate the ef-
Illustrations are presented as to how research in
fects of knowledge use, evaluating the total
each of the three areas might be conducted.
235
CHANGE PROCESS: SOCIAL
Consultation measures
Individual reeducation
EMPIRICAL STUDY
Schindler-Rainman, E., and Lippitt, R. Team training for community change: Concepts, goals, strategies
and skills. Riverside, Calif.: University of California Extension, 1972.
Purpose
social change project related to a specific problem
within or between organizations (e.g., lack of com-
The authors describe a project where university
munication between parole agencies and job place-
extension classes were used as the medium for cre-
ment agencies). Social change training consisted of
ating and training "community change teams."
guidance and feedback from professional trainers,
Social change teams were made up of professionals,
interaction among team members, and consulta-
paraprofessionals, and volunteers from the com-
tion between or among teams.
munity working together to effect social change in
specific problem areas. In the developmental work
and in research, the consultants sought ways to
Findings and Conclusions
create the conditions for participation and learning
1. Certain social change training methods were
that would stimulate motivation, commitment,
found to increase the effectiveness of individuals
skill and successful action initiatives on significant
and teams as agents of planned social change in
problems in government agencies, in local organi-
their local community:
zations, and in the community itself.
(a) Participative learning; that is, providing par-
ticipants with the opportunity to help plan
Method
the social change course and decide the ac-
The booklet describes the project first as a case
tivities and issues to be dealt with.
history, relating how the consultant, Eva Schindler-
(b) Providing constant feedback channels be-
Rainman, was originally contacted and how she
tween team members and trainers and across
and others developed the idea of using the facilities
teams. This permitted team members to
of the Extension Division, University of California,
benefit from consultation on the way the
to catalyze social change in the community of
team was working together and, where the
Riverside. Social change training was conducted by
teams worked well together, permitted team
professional consultants and paraprofessional train-
members to use each other as resources (for
ers during regularly held social change classes. Par-
particular skills, contacts, etc.).
ticipants were recruited from employees of local
(c) Providing behavioral skills such as role-play-
agencies, from volunteers in local organizations,
ing, anticipatory practice skills (during which
and from leaders in the local community. They
individuals and teams attempted to imagine
were grouped into teams, each of which selected a
the responses, values, and feelings of others),
372
PUTTING KNOWLEDGE TO USE
selection of goal priorities, and exploration of
pacity to work within their teams and the teams'
goal feasibility.
increased capacity to work with each other, the
(d) Providing a concrete setting (i.e., a real prob-
social change training project succeeded.
lem situation as perceived by team mem-
3. As measured by changes which the teams re-
bers) as the context for practicing social
ported making, the training was found highly ef-
change skills.
fective. Twelve of the 18 teams reported full imple-
2. As measured by individuals' increased ca-
mentation of their change goals.
236
KNOWLEDGE UTILIZATION:
EDUCATION
Individual reeducation
Researcher-practitioner relationships
ANALYTICAL MODEL
Schmuck, Richard. Social psychological factors in knowledge utilization. In T. L. Eidell and J. M. Kitchel
(Eds.), Knowledge production and utilization in educational administration. Eugene, Ore.: Center for
the Advanced Study of Educational Administration, University of Oregon, 1968, pp. 143-173.
Purpose
the other's behavior to the detriment of the
A theoretical analysis of problems of knowledge
relationship.
utilization in education, and suggested programs
(b) Distortions of memory, especially concerning
for facilitating research utilization.
the feelings of the other, characterize the re-
lationship.
Method
(c) There is a tendency to place low value on
each other's work.
The ideas in this paper are based on the broad
(d) The possibilities of collaboration may ser-
experience and observations of the author.
iously threaten the self-concepts of both.
Findings and Conclusions
3. For the administrator, internal psychological
linkages between knowledge and practice are made
1. The social relationships between the behav-
difficult by:
ioral science researchers and the administration
impedes utilization in three ways:
(a) Role expectations others hold for him.
(b) His own division between the role of admin-
(a) The ingroup, outgroup phenomenon found in
istrator and the role of learner.
studies of prejudice often characterized such
(c) The lack of clear operational goals.
a relationship.
(d) His lack of motivation to try something new.
(b) The developing stereotypes are reinforced by
(e) Presentations of the research knowledge in
lack of communication, and hostility is in-
strictly verbal ways and in moderately
creased by challenge of each other's intelli-
threatening surroundings.
gence and status.
(c) Vicious cycles involving inadequacy and
4. There are ten social psychological assump-
withdrawal as well as hostility and resistance
tions that must be considered in planning action to
facilitate research utilization:
can characterize the researcher-administra-
tor relationship.
(a) There must be trust, openness, and attrac-
2. Along with these difficulties in interpersonal
tion between the administrator and the be-
relations there are a cluster of four detrimental
havioral scientist if there is to be effective
psychological processes:
communication.
(b) Cooperation activity should be structured so
(a) Both parties collectively perceive aspects of
that each will benefit directly from it.
SUMMARIES
373
(c) At the start of any collaboration, there should
attempting to implement given research
be a discussion of the forces that might in-
findings.
hibit either side's participation. a public
(e) Various role-playing scenes would be used to
discussion of restraining forces and how they
try out practices and to get immediate feed-
might be overcome is important in unfreezing
back.
both parties.
(f) Skills in giving, receiving, and using feedback
(d) The superordinate goals that transcend sub-
would be discussed.
cultural differences should be discussed and
(g) Administrators next would be asked to make
agreed upon by researcher and administrator.
commitments to try out some of these prac-
(e) The administrator's values and goals should
tices in their school settings. Analysis would
be sharpened and more clearly defined dur-
be used to identify facilitating and restrain-
ing the knowledge utilization process.
ing forces in their situations. In order to max-
(f) An operational statement of goals should be
imize commitment, the administrator would
encouraged along with measurement. The
record on tape the thoughts he has about the
first practice in using research should be
practices he will try in his administrative
through simulating; next should be through
role.
fantasying behavior; next should be through
(h) At a later session the tape would be played
feedback from tryouts and subsequent action
back; if the commitment was unrealistic,
on feedback.
changes can be made.
(g) Following simulation, actual tryouts should
(i) The administrator would use a questionnaire
be encouraged with support from a seminar
and collect verbal feedback on the effects of
group of other administrators.
his practice.
(h) Because of a reciprocal role involvement, it
(j) During the period of trial, group discussions
may be necessary for the entire school staff to
would be held with fellow administrators.
be involved in learning how to handle the
6. The next design concerns eight stages for
change.
modifying the faculty's expectations and pressures
(i) The administrator should receive training on
that support the status quo:
how to give and receive feedback.
(a) An organization training experience involv-
(j) The administrator should receive training in
ing the entire faculty would come early in the
flexibility and open-mindedness.
program to help them open up to more anal-
ytical, skillful, and interpersonal relation-
5. The following ten stages should be present in
ships, etc.
the design of a training program for the develop-
(b) Behavioral science knowledge on school staff
ment of an individual administrator:
processes would be presented and discussed.
(a) There would be some sort of T-group experi-
(c) Diagnostic skills from the domain of behav-
ence to help administrators become more
ioral science would be discussed and the
reflective about their own behavior and to
group would learn more about group pro-
impress upon them that their behavior, and
cesses; for example, decision making.
not thoughts and values, affects the feelings
(d) Brainstorming would lead to suggestions for
and reactions of those who work with them.
specific changes in staff procedures.
(b) Behavioral science knowledge relating to
(e) There would be a trial by all the staff of the
some aspect of administrative practice would
new procedures with a panel observing the
be presented, discussed, and its use set up as
trial in action and giving feedback.
an important objective.
(f) In connection with the above, skills in giving,
(c) Administrators would become acquainted
receiving, and using feedback would be pro-
with diagnostic skills related to their domain
vided.
of behavioral science. For example, an ad-
(g) After the trial period the staff would be asked
ministrator could be taught how to measure
to make comments to continue the most ef-
the effects of his leadership behavior.
fective new procedures.
(d) Brainstorming fantasy sessions would be
(h) A panel of staff members would continue to
used to help each administrator think through
collect data about the effects of the new pro-
specific ways in which he could behave in
cedures.
PUTTING KNOWLEDGE TO USE
374
237
RESEARCH REPORTING
Communication media
ANALYSIS & SUGGESTIONS
Schoenfeld, Clarence A. Communicating research findings. Journal of Educational Research, 1965, 59(1),
13-16.
Purpose
2. The subject should be reduceable to one para-
graph.
The author feels that the poor quality of written
research reports is a primary factor in the com-
3. The audience for whom the information is
munication breakdown between researcher and
relevant should be carefully delineated and then in
user. This article offers some suggestions and guide-
accordance with the audience analysis, the me-
lines for upgrading the quality of the written re-
dium, occasion, etc., for the appearance of the ar-
search report, in the hope that better lines of com-
ticle should be determined.
munication between researcher and user can be
established.
4. IDEAS is the key word for the writer to keep
in mind.
Method
Introduce.
Make audience aware and inter-
The ideas in this article are based on the broad
ested.
experience and observations of the author.
Demonstrate.
Show some connection between
the reader and message.
Findings and Conclusions
Explain.
Apply.
Give practical examples, suggest-
1. In preparing the research report, the research-
ed applications.
er must consider the relevance of the content to the
Summarize.
Recap ideas for the intended
larger field of inquiry or practice.
audience.
238
INNOVATION: TECHNOLOGICAL
Organizational factors
Attitude toward change
ANALYSIS
Schon, D. A. Technology and change: The impact of invention and innovation on American social and
economic development. New York: Dell, 1967.
Purpose
department of a company on up to national policy
levels.
1. To examine the process and problems of tech-
2. To discuss the role of government in innova-
nological innovation in the industrial corporation,
tion in America. Some industries do their own re-
within industries, and in American society as a
search and development; others depend upon the
whole. Schon discusses misconceptions of the pro-
government for direction and/or financing. The sit-
cess of change and makes his own general observa-
uation varies from country to country, and govern-
tions, citing innovations in many different, indus-
mental participation in the process of innovation
trial contexts. Many problems and processes of
has both helpful and harmful effects.
change recur, not only from industry to industry
3. To advocate the ethic of change. Schon con-
but also from level to level, from the research
trasts attitudes towards innovation which people
SUMMARIES
375
have held since before Socrates, at least. He con-
between marketing and technology prevents the
trasts two views, the "stable reality" view of Par-
real work of invention. Fear of failure and pro-
menides and the "reality is change" view of Hera-
fessionalism isolate the two functions from each
clitus. Only by seeing innovation as a way of life,
other. Each proposes ideas for the other's disposi-
the author maintains, can we cope with our rapidly
tion or seeks to leave the other with the full burden
changing environment.
of uncertainty. Thus the corporation uninten-
tionally minimizes innovation. The strategies it
Method
has developed to control uncertainty increase the
probability of failure.
The author draws on his experience in industry
Schon also presents an economic view of innova-
and government, where he dealt with administra-
tion on an industry-wide scale. He shows that inno-
tive and policy aspects of innovation. He presents
vation within the textile industry, for instance, is
theoretical notions through cases and examples,
quite limited, because the individual firms are too
sometimes historical, sometimes diagrammed. The
small to support research and development. Conse-
author quotes from other sources, many of them
quently most new developments come from outside
outside the industrial context. Although Schon
the industry, i.e., from related, feeder industries
does present research findings, particularly when
such as chemicals.
examining three industries' propensities to inno-
vate, he aims the book more at the layman than at
2. In some countries (like Japan, Russia, or Bri-
the academic.
tain), the government is a leading participant in
technical innovation. In the United States, on the
Findings and Conclusions
other hand, the government tends to set rules and
policies which affect innovation and only rarely (as
1. Invention is essentially a nonrational process,
in the Manhattan Project) participates in technical
and rational research planning, though necessary,
innovation. Schon advocates a systems view, where
often stifles creativity. Schon calls innovation "a
government would take a leadership role. It would
confrontation with uncertainty requiring leaps of
(a) collect data, (b) interpret the data to determine
decision." Planning at its best is a way of living
the possible effects of alternative courses of action,
with uncertainty; SO it should be flexible.
and (c) make decisions, set policies, and manage
The corporation is ambivalent about innovation.
the process of innovation as it manages the economy
On the one hand innovation is one of the greatest
(by adjusting parameters and molding the environ-
strengths of American industry, and the spectac-
ment in which innovation takes place).
ular rise of R&D in major companies shows the at-
traction which innovation has. But many suc-
3. In the Introduction, in Chapter V, and in the
cessful ventures are the institutionalizations of in-
last chapter of the book, Schon explains and eval-
novations, not of the process of innovation, which
uates two postures towards change. The first he
often poses a threat to the social structure of the
identifies with "the conventional wisdom" and
corporation. The social system within a corpora-
with the views of the Greek philosopher Parmeni-
tion attempts to maintain a stable state; this effort
des. Here change is a series of transitions from one
is not inertia but dynamic conservatism. The crisis
stable state to another. A new invention takes over
of modern industrial corporations is that they are
and establishes a new, stable market. A new leader
also required to undertake technical change des-
rises to the top of a stable organization. Schon ad-
tructive of their stable states in order to survive.
vocates a second, contrasting view, which he traces
A "Drama of Corporate Innovation" ensues with-
to the philosopher Heraclitus. Only change is con-
in the corporation. Innovation faces both inter-
stant; we cannot stick our feet into the same river
personal and interdepartmental obstacles. The
twice. A new device makes older ones obsolete-
boss sees the need to innovate and calls upon his
but it too will be made obsolete by newer devices.
subordinates for new ideas. They submit them; he
Schon also discusses interpersonal processes and
judges them. The subordinate is given responsi-
forms of organization which encourage experimen-
bility but no authority to innovate, and the sub-
tation. A "here and now" approach in an organiza-
ordinate will tend to present his safest-rather
tion involves replacing the often stultifying cor-
than his most original-ideas. Conflict between
porate myth and terrifying striving for the perfect
marketing and R&D departments often impedes
state of affairs with a more invigorating emphasis
the process of innovation. The artificial division
on process.
376
PUTTING KNOWLEDGE TO USE
239
RESEARCH UTILIZATION: SOCIAL
Researcher-practitioner gap
Change agent
ANALYSIS
Schwartz, David C. On the growing popularization of social science: The expanding publics and problems
of social science utilization. American Behavioral Scientist, 1966, 9(10), 47-50.
Purpose
3. The problems of utilization stem primarily
from sins of omission and commission.
To analyze the problem of social science utiliza-
tion and to suggest a means of improvement.
(a) Sins of omission are those resulting from the
communication gaps between researcher and
user. Relevant information doesn't get to the
Method
audiences that could make use of it.
(b) Sins of commission are those resulting from
The article is analytical in nature and based on
errors of fact and/or misinterpretation. In-
the author's knowledge and experience.
cautious generalization of findings beyond
observed limits, bounds, and domains of dis-
Findings and Conclusions
covered relationships can lead to program
failures which in turn can cause negative
1. The effective utilization of social science
backwash when the policies SO based fail.
research will increase when more efforts are made
4. The Popularizer Role-the solution to a com-
to generalize the findings to more and broader
munication problem between researcher and prac-
publics, and when researchers make better at-
titioner is the development of a popularizer
tempts to communicate with a variety of audiences,
(knowledge linker) role. Such an individual would
simultaneously at several different levels of sophis-
be "trained as and by social scientists and em-
tication.
ployed by various publics." Such an individual
2. Three publics for research findings are de-
could serve as a crucial, continuing communication
fined: (a) the scientific community, (b) social
link. It would be a difficult role to fill. The author
action professionals and volunteers, such as social
stresses the importance of topnotch training for
workers, public health officials, etc., and (c)
such individuals to guard against further sins of
students.
commission.
240
ORGANIZATIONAL CHANGE
Organizational climate
Evaluation procedures
CASE STUDY-ANALYSIS
Seashore, S. E. and Bowers, D. G. Durability of organizational change. American Psychologist, 1970, 25,
227-233.
Purpose
by measurements over a relatively short time can
This article addresses the general question of
survive as permanent features of the organization.
whether organizational changes that have been
The article includes: (1) a review of the organiza-
planned, successfully introduced, and confirmed
tional change program introduced, (2) a descrip-
SUMMARIES
377
tion of the present state of the organization, and
tion concern since the end of the formal
(3) speculation about the meaning of the data for
change program.
the understanding of psychological and social
(c) Supervisory leadership behavior. The organi-
phenomena in formal organizations.
zation had increased its expression of con-
cern for production goals and for provision of
Method
conditions for effective work performance at
The authors, who had studied the organizational
no cost of declining concern for employee
change program for two years as it was being carried
attitudes and satisfactions.
out, returned to the company 4½ years later for a
(d) Hierarchical distribution of control. The
follow-up post-measurement. This remeasurement
data indicate a change of modest degree in
consisted of a one-day visit to the plant by a re-
the amount and distribution of control exer-
search assistant who administered questionnaires
cised, including increments for lower-rank
to managers, supervisors, and a sample of the
people. There had not been a reversion to the
employees. Also, some information was taken from
original condition of concentrated control at
the firm's records, and the views of the plant
the top.
manager were solicited regarding the changes that
(e) State of the organization as viewed by super-
had taken place and possible reasons for these
visors and managers. Using Likert's "Profile
changes.
of Organizational and Performance Charac-
teristics," the data indicated a pattern of
Findings and Conclusions
change substantial in magnitude and wholly
1. The organizational change program. The pro-
compatible with the intentions embodied in
gram was instituted at a time when the company,
the change program. The organization had
suffering from fiscal instability, production loss,
indeed progressed toward its ideal of a par-
and negative employee attitudes, was taken over
ticipative organizational system. The com-
by a financially successful firm. The aim of the
pany also showed an increase in profitability.
organizational change program was to move from a
3. Implications. Three possible explanations of
highly centralized, authoritarian system toward a
the successful change program are offered as a
participative system, with high value given to indi-
guide to similar endeavors in the future:
vidual and organizational development, linking of
(a) One important idea in the program was to
the social system to the work system, and effective
make structural changes in the organization
task performance. Change was to be introduced
that matched the work system and did not
simultaneously at the situational, cognitive, moti-
violate reasonable assumptions about the
vational, and behavioral levels SO that each would
values and motives of individual workers. It
support the others.
was important to view the factory as a total
2. The present state of the organization. The
system. Hence, the authors suggest, the
authors review the results of their study in the fol-
interdependence of elements tends to pre-
lowing areas:
serve, to enhance, and to "lock in" the central
(a) Job attitudes. In general, early improve-
characteristics of the system and thus to pre-
ments in employee attitudes were either
vent retrogression.
maintained or improved. Seven of nine indi-
(b) Another factor contributing to the con-
cators of job attitudes were favorable; the
tinuing atmosphere of change was that of
authors give possible reasons for apparently
early legitimation of concern about organi-
adverse findings with regard to employee
zational processes. The authors note: "An
satisfaction with supervisors (increased re-
organization habituated at all levels to think
sponsibilities for supervisors, resulting in role
about, discuss openly, and to weigh properly
changing from a peerlike to a superior status
the full range of elements in the organiza-
relationship), and for the decline in the pro-
tional system might well have unusual ca-
portion of employees planning to stay on
pacities for self-maintenance and self-
indefinitely (many short-term employees
development."
hired; rising prosperity during the period,
(c) Finally, the authors speculate that the
resulting in an increase of female termina-
atmosphere of change (aside from the com-
tions).
pany's acquisition by another firm) may be
(b) Task-orientation. The data indicated a rise
attributable to the inherent merit of the par-
in the level of task orientation and produc-
ticipative organizational model itself.
378
PUTTING KNOWLEDGE TO USE
241
RESEARCH UTILIZATION
Utilization measures
CASE ANALYSIS
Shartle, Carroll L. The occupational research program: An example of research utilization. In Case studies
in bringing behavioral science into use. Studies in the utilization of behavioral science (Vol. 1). Stan-
ford, Calif.: Institute for Communication Research, Stanford University, 1961, pp. 59-72.
Purpose
individuals who essentially functioned in a change
The author describes the occupational research
agent role were placed in regional offices to give
program as an example of research utilization and
assistance. Their efforts were directed mainly
then explores some of the major factors related to
toward persuasion.
utilization.
4. Research participation by lay persons who
later aided in utilization-individuals involved in
Method
the planning of the program were convinced of the
importance of research and its potential value in
The ideas in this paper are based on the broad
the operating picture. They were able to facilitate
experience and observations of the author.
utilization through influencing decisions in the
operational context.
Findings and Conclusions
5. Formal in-service training-training sessions
The most enlightening part of this article is the
incorporating previously planned teaching aids and
author's discussion of the factors that facilitated
practical exercises proved invaluable in facilitating
research utilization.
utilization of research findings.
1. Dual responsibilities of the researcher-the
6. Required use-one of the most effective
researcher unit was given responsibility for both
means to insure utilization of materials produced
development and application.
by behavioral science research is to require their
2. Developing informal relationships with oper-
use and to give credit for such use.
ating people and filtering technical people into
7. Format and content of research product must
operating offices-research and utilization per-
be appropriate-research findings and products
sonnel from the project were filtered into related
must be available in usable form; otherwise, appli-
cation and utilization will be limited.
agencies to provide assistance with products and
materials resulting from the occupational research
These were the factors that the author felt most
influential in facilitating research utilization dur-
program.
ing the 20-year operation of the occupation re-
3. Institutionalizing the change agent role-
search program.
242
KNOWLEDGE UTILIZATION
Information needs
Linkage functions
SURVEY OF LITERATURE
Short, E. C. Knowledge production and utilization in curriculum: A special case of the general phenom-
enon. Review of Educational Research, 1973, 43, 237-301.
Purpose
Short describes the mismatch between the knowl-
1. To discuss the relation of research to practice.
edge produced by researchers and the knowledge
SUMMARIES
379
required by practitioners. He presents a new view
appears to be a process involving a series of com-
of the problem, Knowledge Production and Utiliza-
plexly interrelated steps, still only partially under-
tion (KP&U), which departs from the "research
stood.
into practice" framework and investigates the com-
A new way of looking at the KP&U problem is
plex interrelations of production and utilization.
less concerned with the pragmatic impact of re-
2. To survey the study of knowledge production.
search on practice and more concerned with the
More work has been done on the production aspect
dynamics of KP&U as a recurring process.
of KP&U than on either the utilization aspect or
2. Surveying the study of knowledge production.
the relationship between production and utiliza-
The author cites the general need for increased
tion. Short reviews studies of how much is known
knowledge production. In today's postindustrial
about knowledge production, the quality of that
society, considerable theoretical knowledge is re-
knowledge, and the different kinds of knowledge.
quired as a guide to practice. But only the grossest
He discusses the four basic roles associated with
estimates are available as to the quantity of knowl-
knowledge production and the methods of inquiry
edge which is being produced. This information
of this aspect of KP&U.
would be useful in policy formulation.
3. To survey the study of knowledge utilization.
More is known about the quality of knowledge
The author discusses the problem of access to
than about the quantity being produced. More still
knowledge and some information transfer mech-
is known about the social organization of knowl-
anisms which have been tried. He discusses a new
edge producers and the effect of various character-
conceptualization of the knowledge transfer pro-
istics of such organization upon productivity.
Mechanisms internal to scientific organizations
cess.
that are used to affect productivity of member
Method
scientists include: (a) maintaining intellectual and
value norms for scientific work, (b) conferring of
This paper surveys the general literature on
status and access to intramural communication
knowledge production and utilization and explains
networks, and (c) advancement to more favorable
how this field differs from more pragmatic ap-
positions and offices within research structures.
proaches. It deals with three domains of interest:
Also, certain kinds of knowledge production are
knowledge production, knowledge utilization, and
not prestigious and are therefore not strongly sup-
the relation between the two. The author examines
ported. The author surveys several ways in which
each domain of interest from three perspectives:
kinds of knowledge are differentiated and classi-
studies related to KP&U in general, studies related
fied.
to education in general, and work more specifically
Different kinds of knowledge also result from the
related to curriculum. He provides an extensive
different roles of the producer. What was once
bibliography, encompassing all three perspectives.
thought to be one role-the researcher, producing
one type of knowledge-has come to be recognized
Findings and Conclusions
as a series of differentiated roles each contributing
to a different type of product. The author describes
1. Viewing the relation of research to practice.
four basic roles in some detail.
The use of research to improve practice is fre-
quently taken for granted. Although researchers are
(a) The Researcher: this traditional role needs
becoming less cavalier about the usefulness of their
little explanation. Short gives many ex-
work, still the commonsense view persists that the
amples of research in the disciplines of edu-
knowledge sought by the practitioner is the same as
cation and curriculum.
that which can be provided by the researcher. Men
(b) The Integrator: This role is also known as the
do not change their minds on the basis of specific
synthesizer or interpreter. It involves re-
findings or knowledge; rather they gradually shift
lating and generalizing of findings of a large
their views, following long-range, indirect contri-
number of specific basic or applied research
butions of theoretical research to the under-
studies.
standing of behavior. Researchers should try to
(c) The Translator: This role is also known as
understand the complex ways knowledge is used in
developer, educational engineer, inventor, or
practice. Most knowledge appropriate to the cir-
designer. The person in this role identifies
cumstances of practice seems to derive from a par-
particular operational problems and invents
ticular area of practice. But the relationship of
solutions by transmitting, translating, or
research to practice is not one-to-one; rather it
transforming already existing solutions, by
PUTTING KNOWLEDGE TO USE
380
synthesizing solutions from known but pre-
with particular situations in practice and is not
viously uncombined components, or by cre-
generally thought of as being amenable to generali-
ating solutions de novo.
zation. Short says that this subject of inquiry
(d) The Knowledge Linker: This is the diffusion
should have its own methods and discusses sources
role, which bridges the knowledge gap be-
from which a general approach would derive.
tween researcher and practitioner. These
roles are not mutually exclusive. The author
3. Surveying the study of knowledge utilization.
gives examples of each in education and cur-
Production of knowledge and its availability for use
riculum.
are not in themselves sufficient conditions to assure
that it will be utilized. The author treats several
Different kinds of knowledge and different
other aspects of the problem, making reference not
knowledge producer roles require different methods
only to studies which have been undertaken but
of inquiry. After surveying several typologies of
also to organizations which have been created to
inquiry in education, Short discusses four types of
transfer information. The first aspect is access to
inquiry in general: (a) Disciplinary inquiry differs
knowledge. To assure that knowledge does not re-
in form from field to field; that is, each field has
main confined to the community where it orig-
procedures which it considers appropriate at each
inated, various systems have been created. Short
stage of the process. (b) Conjunctive or multi-
describes information analysis centers in educa-
disciplinary inquiry studies one problem as a
tion.
"whole" and produces an end-product which
The second aspect of the knowledge utilization
weaves relevant findings from a number of separate
problem deals with information needs and uses.
studies in various disciplines into a conceptualiza-
Short reviews the critical literature, including both
tion of the "whole." It differs from other approach-
general and educational perspectives. The third
es in that it neither studies the problem as an
aspect deals with what Havelock calls "the science
abstract question suitable for investigation by
of knowledge utilization.' This approach to knowl-
methods of a particular discipline nor produces a
edge utilization attempts to understand and relate
practical product (necessarily) from many per-
all aspects of the phenomenon of knowledge utiliza-
spectives. Short does not know of any charted
tion in its most general sense. The knowledge
methods for this type of inquiry, but he cites
transfer process is conceived as a linkage process
several examples of studies using this approach.
between a user and a resource, and also as a knowl-
(c) Technological inquiry develops a set of actions
edge flow system which links several of these trans-
or procedures which can be shown to have a par-
fer processes into a system. Knowledge utilization
ticular effect. It entails these activities: depicting,
is revealed as a complex process, involving the
inventing, fabricating, and testing. Short surveys
user's internal knowledge structure, his motiva-
several descriptions of technological inquiry from
tion, his estimate of the source's credibility, the
industrial, social, and professional sources. (d) In-
social sanctions that exist for or against use, the
quiry for Practice Theory is discussed as an adden-
availability and appropriate form of knowledge,
dum to the other three types. Practice theory deals
and the existence of linkage agents or systems.
243
ORGANIZATIONAL FACTORS
Innovation: education
Change strategies
ANALYTICAL MODEL
Sieber, Sam D. Organizational influences on innovative roles. In T. L. Eidell and J. M. Kitchell (Eds.),
Knowledge production and utilization in educational administration. Eugene, Ore.: Center for the
Advanced Study of Educational Administration, University of Oregon, 1968, pp. 120-142.
Purpose
education system that distinguish education from
The author identifies four features of our public
medical practice, industry, and agriculture, and
SUMMARIES
381
thus affect the applicability of diffusion research in
(1) This diffuseness reinforces the effects of
these fields to education. The implications of these
status insecurity and vulnerability on
features for diffusion and innovation are discussed
innovation.
and suggestions made for strategies of change.
(2) Difficulties in measuring the attainment
of goals makes it hard to reach consensus
Method
regarding the efficacy of particular skills.
(d) Formal coordination and control-the bu-
The paper is based on the knowledge and insight
reaucratic structure of educational institu-
of the author, who is Project Director, Bureau of
tions causes strain for the professional roles
Applied Social Research, Columbia University.
and reinforces the effects of quasi-profession-
alism. Also, the emphasis on organizational
Findings and Conclusions
efficiency tends to result in an avoidance of
1. Sieber identifies these four distinguishing
changes that require adjustment of the
features of educational structures: vulnerability to
organizational structure, especially if they
the social environment; the professional self-image
threaten the traditional methods of coordi-
and associated values of educational personnel; the
nation and control.
diffuseness of educational goals; and the need for
2. Strategies of Change-three classical strate-
coordination and control of the primary clientele as
gies for inducing educational change are identified:
well as of the employees of the system.
(a) The rational man strategy, in which one-way
(a) Vulnerability-the degree to which an organi-
communication is adequate since informa-
zation is subject to powerful influences from
tion is considered the major need of practi-
its environment irrespective of organizational
tioners. This strategy fails to consider the
goals and resources. The vulnerability of
four aspects of the educational system dis-
school systems has several implications for
cussed above.
innovation:
(b) The cooperator strategy, which involves the
(1) Changes in practice that might disturb
participation of members of the system.
the local community are shunned.
This strategy overemphasizes the personal-
(2) The adoption of innovation often depends
istic aspects, resulting in a tendency to view
more upon political feasibility than edu-
resistance to change in schools as a function
cational value.
of individual characteristics rather than as a
(3) Innovations receiving wide publicity
matter of status insecurity, peer group pres-
through the mass media become candi-
sures, or bureaucratic hindrances.
dates for adoption, irrespective of their
(c) The powerless participant strategy, which
educational value.
assumes that practitioners are unable to
(4) Internal relationships of a vulnerable
make major changes in the educational struc-
system may be affected SO as to reduce
ture, and energies are directed through legal
serious experimentation.
and bureaucratic channels, "with directives
(b) Quasi-professionalism-certain attributes of
flowing downward and evidence of compli-
the teaching force, such as amount of train-
ance flowing upward." That practitioners
ing, distinguish this occupation from recog-
are not powerless is often demonstrated
nized professional groups and result in a
through subversion of formal directives based
discrepancy between the aspirations of
on this strategy.
teachers and occupational reality.
(1) The insecure professional self-image of
3. A status-occupant strategy of change is
teachers increases resistance to change
needed which takes into account the distinctive
and mitigates against communication of
characteristics of educational structures and the
innovation.
conditions under which practitioners will respond
(2) Status insecurity can also cause "ritual-
to the tactics applied in each of the three tradi-
ism," or excessive regard with means, to
tional strategies. The image of practitioners as
the neglect of ends or goals.
status occupants assumes that "they are imbedded
(c) Goal diffuseness-terminal goals of educa-
in an intricate network of role relationships that
tion and measurement of their attainment
holds its shape as a consequence of shared values,
are difficult to specify, especially the long-
shared solutions to status problems, and shared
range socialization goals.
sanctions for deviance and conformity" (p. 139).
PUTTING KNOWLEDGE TO USE
382
4. Implications for Strategy-reorganization
be restricted to that of facilitation and con-
appears necessary at both the local and national
sultation.
levels.
(b) Beyond the local level, it may be necessary to
organize agencies representing several
(a) At the local level, school systems should be
national ancillary structures (Federal and
structured so as to allow teachers to act in
State offices, publishing houses, accredita-
accordance with their professional aspira-
tion agencies, universities, and the mass
tions. For example, a teacher might be
media) that would serve as coordinating
authorized by the school board to try out a
bodies in order to avert the problems arising
new development in which he is interested.
from local and regional vulnerability and
After obtaining board approval the teacher
would capitalize on national vulnerability to
would be given special funds, released from
better advantage. By having each national
routine teaching duties, and authorized to
coordinating body focus on one innovation at
modify regulations, reallocate resources,
a time, resources and tactics would be mobil-
reassign students, and dole out rewards and
ized for more effective and thorough efforts
penalties for those within his jurisdiction for
that could draw from a combination of all
a specific period of time. The relationship of
three classical strategies of educational
local administrators to these teachers would
change.
244
KNOWLEDGE DISSEMINATION
Research utilization: education
Change agent
EMPIRICAL STUDY
Sieber, S. D., Louis, K. S., and Metzger, L. The use of educational knowledge: Evaluation of the Pilot
State Dissemination Program. In H. Hug (Ed.), Evolution/revolution: Library-media-information
futures. New York: Bowker Co., 1974.
Purpose
Since the program was exploratory, the research
The Pilot State Dissemination Program was
focused on documentation of inputs, processes, and
undertaken in 1970 to try out an educational ex-
situational factors rather than on highly controlled
evaluation.
tension and retrieval system on a scale large enough
to derive guidelines for future state-level projects.
Findings and Conclusions
This article summarizes part of the program report.
Method
1. Goals. The program had two main goals: (a)
to test the interpersonal linkage role of extension
Two rural areas and one urban area were selected
agents and (b) to demonstrate the accessibility of
for the experimental program. Several field agents
a national data base for educational problem solv-
were employed in each state to meet with prospec-
ing. The researchers studied how the goals of pro-
tive clients, identify their needs or problems, refer
ject directors changed over a year of operations. Ex-
these needs to a retrieval staff who performed com-
perience led the directors to revise their unrealis-
puter or manual searches of information sources
tically high levels of aspiration. One director, for
(e.g., ERIC), receive and scan the information, de-
instance, had hoped to influence local school sys-
liver it to the clients, and possibly help them to in-
tem goals via the program but found that the pro-
terpret and apply it. Technical assistance was
gram could not do this.
made available to the three projects. In all, there
2. Field agent roles. There were three phases of
were seven field agents, three project directors, and
field agent activity:
about 12 retrieval personnel.
(a) Input interaction. The agent contacted the
SUMMARIES
383
community to publicize and create demand
for the unusual case. The authors discuss the trade-
for his services. The authors describe several
off between the efficient local response to a request
instances of initial interaction with a client
for information and the comprehensive (high qual-
system.
ity) regional response. Turnaround time was gen-
(b) Referral and screening. Turnaround time was
erally two weeks, but clients tended to under-
an important criterion for getting informa-
estimate this time and to become dissatisfied.
tion back to the client. Sometimes an agent
Screening added to the turnaround time, but the
would retrieve the information from his own
"late" information was still used. According to
resources; the authors are wary of this prac-
the authors, the advantage of taking more time to
tice, since the agents could not provide com-
retrieve and screen must be weighed against the
prehensive information. Agents with heavy
disadvantage of alienating the less motivated cli-
case loads found it difficult to scan the in-
ents. With regard to subject matter, educational
formation they were to deliver, but scanning
personnel were found to be much less concerned
was seen as a vital function in view of the
with the foundations of learning than with ready-
next stage.
made innovations and how-to-do-it materials.
(c) Output interaction. In the output phase, the
4. Organizational issues. Problems were en-
agent shifted from being a messenger to be-
countered with project directors who worked only
ing an interpreter and change agent. Many
part time on this program. The authors recommend
problems were encountered with balancing
a full-time appointment for the director. The au-
the quality and the quantity of the service.
thors also recommend that field agents be located
The authors outline ways in which the ser-
in intermediate (e.g., county) agencies because
vice could be made more efficient (i.e., how
state and local agencies often have poor relations
to provide more service with no loss to the
with each other. The pilot projects developed three
quality of the service). According to the au-
types of linkages with the state organizations: a
thors, the agents succeeded in reaching into
resource linkage, a control linkage, and a client/
the lower levels of the educational system.
user linkage. Despite problems, the projects were
Clients generally were satisfied with the
well on their way to becoming recognized institu-
agents' work. In fact, the field agents' as-
tions within the state education agencies when the
sistance was valued more highly than that of
evaluation study was ended.
specialists in two of the three areas. Their
The authors conclude by noting three aspects of
main contribution lay in encouraging and
the success of the program: (a) the program devel-
sustaining the interest of clients in utiliza-
oped a model for future extension and retrieval pro-
tion of knowledge.
grams, (b) field agent generalists were shown to be
3. Information retrieval. Initial problems with
superior to subject matter specialists, and (c) the
computer-based information were overcome. A
majority of clients in all areas (76 percent to 90
major innovation was the development and use of
percent in ten different areas) not only expressed the
packets of information on popular topics. This
intention of using the service again but also had
made searching easier, since it was necessary only
recommended it to others.
PUTTING KNOWLEDGE TO USE
384
245
KNOWLEDGE DISSEMINATION
Dissemination measures
Utilization barriers
EMPIRICAL STUDY
Smith, R. L., Hawkenshire, F., Lippitt, R. O. Work orientations of teenagers. Ann Arbor, Mich.: Institute
for Social Research, University of Michigan, 1969. "(Report for Contract No. OE 5-85-067 for project
No. 5-0118.)
Purpose
Findings and Conclusions
The study was undertaken to test a variety of
1. The major barriers to knowledge utilization
dissemination activities in order to help sharpen
are identified as:
an appreciation of the critical issues involved in
the utilization process-particularly as they relate
(a) Psychological resistance (fear of the new,
to the findings of social research.
reflection on one's competence, etc.).
(b) Sociological resistance (challenge to status
Method
within system).
(c) Ecological resistance (shortage of manpower,
The study was carried out in school settings and
space, other resources).
was focused on two questions: what do youth think,
(d) Economic resistance (costs of retooling for
feel and do about work and play and why? How can
innovation).
we change what the marginal student thinks, feels,
(e) Political resistance (changes of balance of
and does about learning? To provide data for the
power within system).
first question, approximately 1,200 teenagers were
interviewed in eight Detroit area public schools and
2. The evaluation of the dissemination activities
three Michigan juvenile institutions. These find-
carried out in this study is presented in terms of the
ings were disseminated and answers to the second
following dimensions:
question sought through three dissemination proj-
(a) Content:
ects: (1) an hour-long faculty meeting (at a high
(1) The appropriate unit for dissemination
school) at which the findings were presented;
should be the fully developed program
opportunity was provided for participant reflection
rather than the basic findings and their
and feedback, postmeeting reactions were sum-
implication.
marized and circulated to participants, and a 6-
(2) All aspects of the program should be
week follow-up questionnaire was distributed; (2) a
thoroughly covered.
4-hour retreat-type workshop which enabled par-
(3) Implementation issues raised by the
ticipants to be at their school fulfilling their regular
nature of the program should be dealt
obligations at beginning and end of day, with essen-
with exhaustively.
tially the same format followed as in (1), above,
(4) Findings from research should not be
except that there was more ample opportunity for
presented per se but be selected and
small-group participation; there was more empha-
interpreted within the context of clarifi-
sis on the participants actually designing a program
cation and illustration.
to meet some of the issues raised; and the re-
(b) Participants:
searchers, to a limited extent, provided consultative
(1) Dissemination materials should be de-
aid in the follow-up period; (3) an 8-hour session
signed to be directly aimed at those
(divided into two parts) with the preceding format
specific persons in the system who will be
elaborated to permit more intensive and systematic
most involved in the program and who
program development, critical review by other
will be called upon to develop new skills
participants, and interchange with a group of young
and perspectives.
persons typical of those who would ultimately be
(2) Different materials should be prepared
recipients of such programs. Relative efficacy of the
for those with different roles and respon-
three activities are analyzed and compared.
sibilities.
SUMMARIES
385
(c) Format:
the set of the participants.
(3) Process checking should be discreet and
(1) Of the three settings tested in this study,
should not dislocate content dissemina-
the optimum was the 4-hour workshop,
tion and discussion.
which removed people from their usual
(d) Implementation of objectives-the imple-
routine but did not require demanding
mentation will have the best chances of suc-
travel and inconvenient absence from
cess if those undergoing skill training are
work.
made aware of the links between what they
(2) There should be built-in checks to vali-
are being required to master and what they
date the pacing of the information and
already know.
RESISTANCE TO CHANGE:
246
TECHNOLOGICAL
Change process: cross cultural
Change factors
CASE STUDY
Spicer, Edward H. (Ed.) Human problems in technological change: A casebook. New York: Russell Sage
Foundation, 1952.
Purpose
cases in which resistance appears. The following
generalizations are supported by case study:
To demonstrate, through the use of case ex-
(a) People resist change that threatens basic
amples, the factors related to the success and fail-
ure of cross-cultural change efforts. The book also
security.
(b) They resist proposed changes that they do
presents guidelines for the study and analysis of
not understand.
the effects of technological innovation.
(c) They resist being forced to change.
Method
3. A list of questions constituting a master
checklist which might be used for gathering infor-
Each of the cases presented in this collection of-
mation on proposed change in a wide variety of sit-
fers an example of an effort to bring about change
uations is given. Answering these questions should
in a culture. Both successful and unsuccessful at-
facilitate change efforts:*
tempts are included. An analysis of each case is
(a) What, if anything, will the introduced pro-
provided.
cedure or method replace?
(b) What other elements in the system are likely
Findings and Conclusions
to be modified as a result of the introduc-
The following ideas are the most relevant to re-
tion?
search utilization:
(c) What other elements will have to be modi-
1. Resistance is not necessarily a condition of
fied if the new procedure is accepted?
change. Resistance to changes may be a symptom
(d) What other new procedures, etc., are likely
of something wrong in the particular situation. It
to be demanded as a result of the situation?
could indicate a real impracticality of the proposed
(e) Who in the institution will have to abandon
change or suggest unsatisfactory relations between
or change his occupation if there is a change
the change agent and the organization.
introduction?
2. Once resistance is seen as a symptom of spe-
(f) Who in the institution will immediately
cial conditions rather than as a constant element,
it becomes possible to discover causes of success
*Some questions have been paraphrased to make them more
and failure of change efforts through the study of
relevant to mental health.
PUTTING KNOWLEDGE TO USE
386
benefit from the introduction? Will the
between the change agent or the group in-
benefits be in economic advantage, prestige
troducing the new procedure and the prac-
or what?
titioners in the institution?
(g) Who is likely to suffer immediately, in what
(r) What is the history of similar previous in-
way?
troductions to this group?
(h) Will shifts in occupation affect the division
of labor between professional groups?
(i) What are the formal and informal social
4. Several recurrent groups of problems are iden-
organizations of those affected?
tified for use in diagnosing or analyzing situations
(j) How are these social organizations likely to
and as a basis for developing principles for solving
be affected? Will their power or social posi-
human problems:
tion be enhanced or lowered?
(a) Problems of cultural linkage emerge because
(k) Is there a possibility of the introduction
of failure to understand the connection be-
opening up new forms of cooperation? Of
tween certain beliefs and customs.
conflict?
(b) Problems of social structure arise from fail-
(1) Do the individuals and group leaders af-
ure to work through existing social organiza-
fected understand the nature of the intro-
tions or from miscalculation as to what the
duction?
functioning social units are.
(m) Who has participated in the planning of the
(c) Problems of the role of the innovator may
change? Who has not participated?
develop from poor relations between the
(n) What elements of the system other than the
people of the different cultures involved, or
particular introduction are likely to be af-
from misunderstanding or poor definition of
fected? For example, will personnel changes
the role of the innovator.
be required, differences in training pro-
(d) Problems of cultural bias may arise from in-
grams?
terpreting behavior in one culture in terms of
(o) Does the proposed change reinforce other
another culture.
components of the system or conflict with
(e) Problems of participation are due to failure
them?
to bring people into the planning and carry-
(p) What are the attitudes toward the innovator
ing out of a program of change.
as a person? Toward the professional group
(f) Problems of buffer organization may develop
or other groups of which he is a member? To
from any of the above problems and result in
his affiliations in general?
the organized resistance to change by the
(q) What is the recent history of the relations
members of the system involved.
247
RESEARCH DISSEMINATION
Dissemination measures
Conference evaluation
CASE STUDY
Spooner, S. E. and Thrush, R. S. Interagency cooperation and institutional change. Final Report on a
special manpower project prepared under a contract with the Manpower Administration, U.S.
Department of Labor. Madison, Wisconsin: University of Wisconsin, 1970.
Purpose
than on having the dissemination efforts stimulate
institutional change.
The purpose of the demonstration was to test
techniques for the effective dissemination of mean-
Method
ingful findings of a research project. The focus was
less on having the research results explicitly utilized
The research project selected as the base for the
SUMMARIES
387
demonstration was a DOL-funded Mental Health
(2) Patient definition
and Manpower Project at Fort Logan Hospital in
(3) Proposals for funding
Denver, Colorado, through which supportive tech-
2. No specific findings are reported with respect
niques were employed to assist released mental
to results in terms of increasing the number of men-
patients in getting and retaining employment. To
tal patients who were gainfully employed, but the
disseminate the results of this project, a three-day
overall impression of the Madison staff was that
conference was held in Madison in October 1969;
the demonstration was successful in terms of send-
participants were selected from the six states of
ing people home from the conference "eager,
Region V, and included representatives of 17 men-
charged with energy, and filled with crusading
tal hospital centers in these states and from
spirit." It was felt that institutional change was
Employment Service and Vocational Rehabilita-
initiated in many instances.
tion Service. Project staff from Fort Logan served
3. Although not all of the state teams were suc-
as resource personnel. Conferees were encouraged
cessful in implementing all of their plans, most of
to formulate specific implementation plans for
them reported some progress in each of the above-
adoption or adaptation of the Fort Logan findings.
listed categories. (This is reported in descriptive
Subsequently, the University of Wisconsin func-
terms only.)
tioned as follow-up agent for several months; in
4. The postconference follow-up is believed to
personal contacts and by telephone they offered
have been extremely useful in strengthening imple-
assistance and encouragement to the state teams in
mentation. The report states: " the most
effec-
carrying through their implementation plans.
tive thing we were doing was providing a contact
Results were informally evaluated.
person to whom teams could talk, tell their troubles,
Findings and Conclusions
and brag about their successes-and from whom
they could receive support, encouragement, and
1. The implementation plans developed at the
occasional help in opening communication lines to
conference included:
others." (p. 12)
(a) Cooperative interagency activities
5. Recommendations advanced by the staff in-
(1) Sharing staff
clude:
(2) Interagency meetings
(a) Freedom for local adaptation of research
(b) Staff educational efforts
results.
(1) Training staff
(b) Consistent and visible support from above
(2) Information transfer
for local personnel.
(c) Patient educational efforts
(c) Assignment of research utilization training
(d) Posthospital activities
to persons with high peer group acceptance.
(1) Sheltered workshops and lodges
(d) Recognition that dissemination alone will
(2) Placement and follow-up
not accomplish research utilization, but that
(3) Use of community resources
institutional change requires programs psy-
(e) Miscellaneous
chologically planned to foster behavioral
(1) State support
change.
388
PUTTING KNOWLEDGE TO USE
248
KNOWLEDGE DISSEMINATION:
SCIENCE
Communication process
Information needs
ANALYSIS AND SUGGESTIONS
Swanson, Don R. On improving communications among scientists. Bulletin of the Atomic Scientists, 1966,
22, 8-12.
Purpose
necessarily divides and subdivides into increasingly
To propose suggestions for improving informal
narrow specialties. The summary and packing
information practices in the dissemination of scien-
down of scientific knowledge makes progress pos-
tific knowledge.
sible without floundering in the backlog of pub-
lished information.
Method
4. Mechanization itself cannot be considered an
answer to the problem of the information explosion.
The author bases his conclusions on his experi-
5. The future information system should seek
ence in library work and a review of related articles
out its customers. Its activity must be directed,
and studies.
purposeful, and marked by continuous feedback of
the consequences of its actions.
Findings and Conclusions
6. Informal information practices should be
aided and amplified by: (a) identifying the infor-
1. Possibly 85 percent of useful scientific infor-
mation-exchanging groups; (b) improving and
mation is exchanged informally and verbally before
expanding the selective communication systems
the usual bibliographic tools are consulted to
within these groups; and (c) employing a high level
ascertain whether or not published information is
of feedback to check on the value of the informa-
available.
tion disseminated.
2. Informal communication takes place for the
7. These processes of dissemination and feed-
most part within relatively small groups of indi-
back can be instrumental in the task of identifying
viduals.
"invisible," overlapping groups and other poten-
3. As scientific knowledge accumulates, it
tially interested groups as distribution targets.
249
CHANGE PROCESS: SOCIAL
Researcher-practitioner collaboration
ANALYSIS
Taylor, James B. Introducing social innovation. Paper presented at meeting of American Psychological
Association, San Francisco, Calif., September 1968.
Purpose
draws upon his own experience and observation to
The author undertakes to identify troublesome
formulate principles relevant to his purpose. He
issues typical of interdisciplinary research.
draws heavily on the experience of a project in
Topeka which proposed to develop more effective
Method
psychological rehabilitation procedures for low-
income people (5-year VRA grant). The project was
In a brief and informal presentation, the author
interdisciplinary, required extensive community
SUMMARIES
389
involvement, and was sufficiently successful SO that
(b) The principle of cooptation-there was inter-
when funding terminated, services were continued
penetration of personnel from other groups
under local funding.
and agencies. Hence, when the project drew
to a close, a variety of agencies were familiar
Findings and Conclusions
with its potential utility and willing to sup-
port its continuance. They perceived it as
1. Interdisciplinary research is hampered by
helping rather than threatening.
problems of interdisciplinary cooperation. Most
professional disciplines are indoctrinated during
(c) The principle of egalitarian responsibility-
training with professional identity; this insular
each member of the research team had an
emphasis makes the professional person ill-adapted
equal hand in formulating and, later, in re-
to cooperative research.
formulating the research issues. They were
2. Research objectives are prematurely formal-
creative professionals engaged in a learning
ized. Clearly defined conceptualization, though
task. Research was preceded by a six-month
appropriate for basic research, may be limiting for
period of field exploration in which clinicians
applied research. Before research design is formu-
became acquainted with the low-income
lated, the question of usefulness should be explored:
neighborhood and its inhabitants. The issues
one asks not only whether the approach will work,
of status were dissolved as the research team
but whether it will produce unexpected side effects.
struggled with the collective task.
Applied research must be developed in terms of cost
(d) The principle of research as creative play-
and consequence, balance and loss, rather than in
at the outset, social workers and psychiatrists
terms of neat experimental design.
were awed at the prospect of research. Psy-
3. Social innovation may disrupt complex and
chologists perceived of research as a "malig-
valued roles, identities, and skills; accordingly,
nant superego" (rigid, precise, foreboding,
such innovation may die from malnutrition, be
superhuman, fault-finding, arrogant, carp-
forcibly rejected, or may be SO changed that it loses
ing). Because the project was approached
its essential character. In the author's opinion,
with freedom and flexibility, these stereo-
many of these problems were circumvented in the
types did not persist.
Topeka project he cites. From his observation of
(e) The role of the research leader as spokesman
this project, he draws the following principles for
and ideologist-there was an unusual amount
successful introduction of social innovation.
of freedom, but it was freedom within limits.
(a) The principle of maximum involvement-
The research leader provided structure and
the multidisciplinary staff was profoundly
discipline, acting as coordinator, ideologist,
committed to the project.
and taskmaster.
KNOWLEDGE UTILIZATION
250
Utilization factors
Knowledge selection
CONFERENCE REPORT
Thomas, Edwin J. Selecting knowledge from behavioral science. In Building social work knowledge: A
report of a conference. New York: National Association of Social Workers, 1964, pp. 38-48.
useful research topics and findings. The article is
Purpose
aimed at both the researcher and the practitioner.
Knowledge essential to practice is a growing,
ever-changing body of provisional concepts, hy-
Method
potheses, and theories. In this article the author
The ideas in this paper are based on the broad
provides a list of criteria for selecting potentially
experience and observations of the author.
PUTTING KNOWLEDGE TO USE
390
Findings and Conclusions
An indicator may be weak in a helping
context even when the variable has high
1. Selection Criteria:
potency in the research context.
(a) Content relevance-the framework for or-
(5) Ethically suitable-the variables for pro-
ganizing social work knowledge should in-
posed manipulation must be ethically
clude a breakdown according to subject mat-
suitable for such action. For example,
ter areas and levels (individual, group, or-
research based on the offering of bribes or
ganization, community, society) for which
sexual inducements would be ethically
the findings are relevant.
unsuitable, while research focusing on
(b) Knowledge power-this criterion refers to the
the positive reinforcement aspects of re-
validity, reliability, and potency of research
peating a client's statements would be
findings.
ethically acceptable.
(1) The validity of propositions is determined
2. The Applicability of Knowledge Resulting
by the extent of corroboration among
from the Screening Criteria-the author asserts
propositions.
that distinct types of applicability may be identi-
(2) Prediction potency is related to the
fied on the basis of criteria fulfillment.
strength of a given proposition or variable
in predicting outcomes and/or differ-
(a) Material immediately applicable for direct
ences.
action is that which meets all screening cri-
(3) Variable potency is determined by the
teria. The author cites reinforcement theory
amount of variance explained. The more
as an example.
variance explained, the more potent the
(b) Material immediately applicable for com-
variable.
plementary action is that which meets the
(c) Referent features-the referents used in re-
criteria of content relevance, knowledge
search need to be:
power, referent identifiability, and potency
(1) Identifiable-the action one may take
but fails other referent standards. That is,
with respect to a variable is obviously
the referents are: inaccessible, too costly,
greatly determined by the extent to which
nonmanipulable, ethically unsuitable. Re-
indicators of that variable are identifi-
search in personality and persuasibility is
able. If a referent is not identifiable it
cited as an example of this type of research.
cannot be accessible.
(c) Material hypothetically applicable for direct
(2) Accessible-the extent to which any given
action is that demarked by knowledge that
referent may be approached in action by
fails noncritically on one or more of the
a professional helper should also be con-
screening criteria.
sidered by the researcher. The impor-
(d) Material hypothetically applicable for in-
tance of accessibility is that its presence
direct or complementary action is that re-
is necessary if the research is to have
search that has not clearly indicated its pre-
practical application.
sumed relationship to therapeutic outcomes.
(3) Manipulable-direct action is only pos-
(e) Inappropriate material is that which crit-
sible with variables that can be manip-
ically fails to meet the screening criteria.
ulated by the practitioner; this includes
3. The author concludes with the following state-
cost factors. That is, is it economically
ment: "Utilization of research findings is not a
feasible to manipulate the variable in
direct simple importation; rather it calls for de-
practice.
tailed, thoughtful appraisal of relevance of the con-
(4) Potent-the researcher needs to consider
tent, power of the knowledge, as well as many prac-
those referents that exert the most in-
tical considerations relating to the knowledge
fluence in any existing helping context.
referents."
SUMMARIES
391
251
INNOVATION: BUREAUCRACY
Organizational factors
Innovation characteristics
Barriers to change
ANALYSIS
Thompson, Victor A. Bureaucracy and innovation. Administrative Science Quarterly, June 1965, 1-20.
Purpose
attach to jurisdictions; one feels that he can
only fail once.
The paper considers the obstacles to innovation
within the modern bureaucratic organization and
2. The attributes of the innovative organization
makes some suggestions for changes that would
are presented in terms of their:
facilitate innovation.
(a) General requirements:
Method
(1) There must be uncommitted resources—
money, time, skills, and goodwill.
This is a theoretical study derived from the
(2) A diversity of inputs will be allowed,
author's observations and analysis.
since this is needed for the creative gen-
eration of ideas.
Findings and Conclusions
(3) There must be neither a complete com-
1. Characteristics frequently found in bureau-
mitment to nor a complete alienation
cratic organizations which serve as barriers to inno-
from the organization; rather, the indi-
vation include:
vidual perceives the organization as an
avenue for professional growth.
(a) The organization often is monocratic; there is
(4) Rewards in such an organization come
only one point or source of legitimacy.
primarily from the search process, pro-
(b) Conflict is not legitimized and this depresses
fessional growth, and the esteem of col-
creativity.
leagues.
(c) Control over all resources is centralized.
(5) The creative atmosphere must be free
(d) It offers extrinsic rewards of money, power,
from external pressure; one waits for the
and status, rather than satisfaction from
best solution, rather than being forced to
one's work.
accept the first solution.
(e) This reward structure places a high value on
(6) The innovative organization is primarily
compliance and conformity.
a professional one.
(f) In a monocratic organization, there is veto
(7) In such an organization, power is dis-
but no appeal; such an organization may
persed rather than concentrated.
allow new ideas to be generated, but is apt to
veto them.
(b) Structural requirements:
(g) The characteristic psychological state in a
(1) The innovative organization will be rela-
bureaucratic organization is one of anxiety
tively loose structurally; job responsibili-
and chronic dissatisfaction; this leads to a
ties will not be narrowly defined.
conservative orientation in which innova-
(2) The organization will not be highly strati-
tion is perceived as threatening.
fied; there will not be "awesome" status
(h) The bureaucratic organization is highly
differences, and communications will
departmentalized, with such innovative
flow freely.
activity as it permits segregated into re-
(3) Group processes will be used more (and
search and development units.
more openly) than at present. The pro-
(i) Bureaucratic organizations are staffed pri-
fessionals in the organization will enjoy
marily by the "desk classes" and only mini-
multiple-group membership which will
mally by professionals.
serve as a counterforce to the authority
(j) In such organizations, praise and blame
grouping. That is, when a new idea is
392
PUTTING KNOWLEDGE TO USE
supported by a group, it is not so readily
3. The following implications for administrative
vetoed.
practice are cited:
(4) The innovative organization is not highly
departmentalized, hence, not highly
(a) Annual performance ratings by superiors
probably will have to be dropped.
parochial.
(5) The simplest unit in the organization
(b) There will be an increasing proportion of
should not have a highly specified task,
professionals, and job descriptions and class-
but should be an integrative unit of pro-
ifications will be modified accordingly.
fessionals and support personnel. The
(c) Peer evaluation will be increasingly impor-
organization of such units should be
tant in recruitment and placement.
project oriented.
(d) Procedures with respect to secrecy and loyalty
(6) Ideally, such an organization should be
(for example, patents, publications) will be
capable of restructuring itself continually
modified.
in the light of changing tasks of problem
(e) There will be greater intraorganizational
solving; leadership will be rotating rather
than constant.
mobility.
(7) There will be "devaluation of authority
(f) Resources will be fluid rather than over-
and positional status and the recognized,
specified.
official sharing of power and influence"
(g) Administrative activities will be dispersed
(p. 18).
and decentralized.
252
ORGANIZATIONAL CHANGE
Innovation: industrial
Organizational climate
CASE STUDY-ANALYSIS
Thorsrud, E. Socio-technical approach to job design and organizational development. Management In-
ternational Review, 1968, 8, 4-5.
Purpose
well educated. Two main approaches have been
To outline the general approach to organization
attempted: greater worker representation in de-
change taken by the "socio-technical" school and
cision making and human relations-oriented per-
to review the experiences and findings of the Work
sonnel policies.
Research Institutes concerning a series of field ex-
The author and his colleagues from the Work
periments in Norway.
Research Institutes studied foreign approaches to
worker-management collaboration and five cases
Method
where the workers were represented on the boards
Literature review, theoretical discussion and
of directors of Norwegian firms. Neither seemed to
presentation of three field experiments.
offer valid solutions. Representatives of workers on
the boards either represented workers' interests
Findings and Conclusions
against the rest of the board or (more often) differed
little in their approach from other members, under
1. The research problem and its social implica-
the assumption that the more profit the firm made,
tions. The welfare state and union-management
the more would go to the workers. Where an at-
cooperation are very highly developed in Scandi-
tempt had been made to share power, the research-
navia. On the industrial scene scientific manage-
ers found that the workers did not actively par-
ment has been simplifying jobs, but the workers
ticipate in the representative systems.
require more complicated work because they are
Thorsrud and his colleagues determined, how-
SUMMARIES
393
ever, that the workers have both the interest and
bility for a group of machines. This experiment
the ability to take over more responsibility for their
produced difficulties of an unexpected kind: pro-
immediate work situation (as opposed to the higher
ductivity rose so much that the pay and time stan-
level activities which were involved in the previous
dards of the whole plant-and perhaps for all
attempts at industrial democracy). Thorsrud notes:
unionized workers in Norway-needed to be re-
"
the key to the problem lay in democratizing
vised.
the relations on the job itself, rather than in super-
The second experiment dealt with the chemical
imposing elections, representatives, joint com-
department in a pulp/paper mill. The main task
mittees, and the like."
was information handling, and since the informa-
2. The socio-technical system. The researchers
tion-handling technology would have to be changed,
decided that autonomous work groups might be the
it was not possible to stop the experiment and go
kind of innovation that would jointly optimize
back to the old way. In this instance a local, joint
management and worker interests. But there were
action committee took charge of the changes. Im-
no ready-made solutions to the particular problems
provements were gradually established in the in-
in Norway. The researchers decided to: (a) estab-
formation system, multi-skilling of operators,
lish experimental sites that would discover, test,
supervisory training, and in relations between staff
and demonstrate ways of applying socio-technical
and line organization.
principles and (b) establish influence networks
The third experiment involved reorganization of
that would press for diffusion of new practices
the manufacture of electrical panels for heating at
which proved to be effective.
the NOB factory near Trondheim, Norway. This
3. Socio-technical field experiments. A steering
process had been designed by industrial engineers
committee for socio-technical research in Norway,
SO that the jobs were simple and repetitive, and the
consisting of representatives of the national unions,
workers were paid by piece rate individually. The
the national employer's confederation, the govern-
researchers created three groups where operators
ment, and the researchers, picked three sites for
worked on several aspects of production, without
testing new approaches. In negotiating, the re-
any direct supervision by foremen, and where
searchers protected both the workers and the man-
wages followed group incentive plans.
agements involved by trying to minimize the extent
(a) The group system was preferred by manage-
to which either would be committed to long-term
ment as well as operators when the depart-
acceptance of the change.
ment was reopened after a two-month stop
The first experiment took place in the wire draw-
following the experiment.
ing mill of the iron/steel works at Christiania
(b) The group took over responsibility for plan-
Spigerverk in Oslo. Before the changes, each man
ning and coordination.
would tend a series of machines in the wire draw-
(c) Flexibility to cope with production variations
ing operation. Usually, he had little to do, but when
increased, mainly through multiskilling for
the wire broke, he would have to fix the process
more than one job and through job rotation.
alone-though it was basically a two-man job. The
(d) Total production and earnings went up to ap-
mill was redesigned, with very little technical
proximately 20 percent above the pre-experi-
change, so that a group of men took group responsi-
mental rate.
394
PUTTING KNOWLEDGE TO USE
253
RESEARCH UTILIZATION
Communication process
Innovation: welfare agencies
Utilization measures
ANALYTICAL MODEL
Unco, Inc. Communication model for the utilization of technical research (CMUTR) study: Utilization of
advanced management innovations within state departments of public welfare. Washington, D.C.:
Unco, Inc., 1973.
Purpose
relative to the communication process and the re-
search utilization process were stressed.
The study was designed to determine how com-
munication factors affect research utilization and
Findings and Conclusions
to develop a model to facilitate the application of
innovative management techniques to social ser-
1. The specific findings derived from the inter-
vices and welfare reform. It attempted to identify
views were arranged under the following categories:
major communication variables affecting the de-
(a) The structure existing between the promoter
cision-making process regarding the acceptance of
and the user, including such matters as:
the techniques. As a practical outcome, guidelines
(1) The number of intermediaries between
for such utilization were prepared for use by fed-
user and promoter.
eral, state, and local social welfare agencies. These
(2) Type or functional role of intermediary.
guidelines, together with the paradigm or com-
(3) Communication paths or links.
munication model that emerged from the study are
(b) Communication efficiency, including such
directed toward closing the communication gap
items as:
between technical personnel responsible for dem-
(1) Method.
onstration projects and practitioners, managers, or
(2) Direction.
consumers.
(3) Relation of sender to receiver.
(4) Language.
Method
(5) Receiver background.
Four advanced management innovations in the
(6) Content.
social welfare field were studied, not so much in
(7) Volume of messages by communication
themselves, but to determine the communication
paths or methods.
and utilization processes that accompanied their
(c) Need in terms of users and promoters, in-
introduction and execution:
cluding such considerations as:
(1) Solution concept, innovation specific.
1. A social services reporting system in Colorado.
(2) Packaging of specific innovation demon-
2. A case administration service system in Min-
stration projects.
nesota.
(3) Circumstances external to the project.
3. A standard form recording system in Wash-
ington.
2. These findings are interpreted as fitting into a
4. A relative cost effectiveness model in all three
communication model described in great detail,
states.
which when combined with ideas from other models
reported in the literature, leads into a basic innova-
Fortified with a review of the literature on re-
tion utilization cycle that entails the following four
search utilization and with the advice of a task
phases:
force, the staff of the CMUTR study planned and
conducted a total of 54 field interviews with state
(a) Need awareness and problem identification.
and local staff members in the mentioned states. A
(b) The formal selection of innovation.
preliminary conceptual model helped to determine
(c) The demonstration of the innovation.
the types of data to be gathered, while the inter-
(d) Innovation implementation and utilization.
views were used in revamping the model. Items
Important implication of the innovation cycle for
SUMMARIES
395
communication relate to a consideration of the
The need and the solution should
solution/need match, the external versus internal
match.
promotion of the innovation, and the compatibility
(3) Demonstration:
of the innovation with the existing mode of opera-
In addition to theoretical validity, the
tion.
solution needs to be demonstrably
3. Ideas from the communication model and
valid under realistic user conditions.
from the innovation utilization cycle are fused in a
Relevance to the user's methods of
communication paradigm for innovation utiliza-
operating needs to be demonstrated.
tion, which entails:
The feasibility of implementation in
(a) A decision network.
an ongoing situation needs to be dem-
(b) An account of success probabilities and com-
onstrated.
pletion times.
Performance objectives and criteria
(c) The basic communication paradigm.
should. be cooperatively established
(d) Factors determining the utility of the innova-
prior to beginning a demonstration.
tion.
Demonstrations should be designed
(e) The decision-making process.
with flexibility and modularity.
(f) Feedback communication.
(4) Implementation:
(g) The role of translators.
Several "hurdles", or start-up costs,
(h) Factors affecting communication efficiency.
may be expected between demonstra-
(i) The interaction of segments of the process.
tion and implementation.
During utilization, there will be per-
The model is seen as serving predictive and con-
iodic need for modification.
trolling functions, but to a degree only. Hopefully,
(5) User involvement:
the application of the model will increase utiliza-
Users should participate in the plan-
tion probability and decrease completion time. In
ning of the implementation.
sum, the authors conclude that the decision net-
Users should be aware of their response
work approach appears to be a useful device for
to the utilization of the solution.
planning the utilization process, monitoring its
(6) Contingency planning:
progress, and, as noted, maximizing utilization
If demonstration time is long, inter-
probability and minimizing completion time.
vening policy changes may render the
4. The study resulted in a separate report en-
solution irrelevant or unnecessary.
titled Guidelines for Research Utilization (Unco,
There should be a resource pool to be
Inc., 1973b), which presents 25 "operating princi-
drawn upon when unanticipated re-
ples." Each principle is accompanied by a brief
search utilization problems occur.
rationale and by a statement of proposed items
(b) Communications:
that should be checked to assure the likelihood of
(1) Message characteristics:
the realization of the principle. The principles are
Message content needs to be within the
arranged according to elements of the utilization
receiver's competency domain.
and communication processes, as follows:
Excessive communication may be
(a) Utilization cycle:
counterproductive to utilization.
(1) Need awareness and problem articula-
Messages should be in language that is
tion:
familiar to the receiver.
The user must first experience the
Written communication rarely elicits
need for change.
local support for an innovation or solu-
The problem should be articulated pre-
tion, though useful in conveying techni-
cisely.
cal or factual matter to large audiences.
(2) Choosing a solution:
(2) Communication structure:
The chosen solution should fall within
A well-specified communication struc-
the operational constraints of the
ture is critical for effective communi-
user's organization.
cation, and hence utilization.
Utilization is a function of economic,
Communication structures typically
political, and social costs.
lack critical links, such as those be-
For utilization, the innovation requires
tween technical and operational groups.
technical validity.
The absence of feedback will deterio-
396
PUTTING KNOWLEDGE TO USE
rate the quality of messages and gen-
The effectiveness of message convey-
erate misunderstanding and resistance
ance requires the realization of the role
to innovation.
of translation.
254
RESEARCH UTILIZATION: AGING
Utilization measures
Utilization barriers
ANALYSIS AND SUGGESTIONS
U.S. Department of Health, Education, and Welfare. Research utilization in aging: An exploration.
Washington, D.C.: The Department, 1963.
Purpose
2. Barriers to utilization of research are:
The purpose of this brief volume is to focus atten-
(a) The practitioner's need for how-to-do-it
tion on problems of research utilization as related
guidance; not possessing the skill to put find-
to aging.
ings into operational terms.
(b) The damming-up of information was seen as
Method
another barrier. Information of potential
interest often strikes barriers of rigid depart-
The most relevant sections consist of personal
mentalization.
beliefs based on the experience of the contributors.
(c) The reluctance of administrators to accept
research findings until they have personally
Findings and Conclusions
tested their validity.
1. In order to maximize the chances of getting
(d) Most social scientists hold the question-
research utilized, one should:
able view that the practical implications of
research are not within their province.
(a) Understand the frames of reference within
which individuals perform their professional
tasks.
3. Suggestions for getting research to work were
(b) Work through practitioners.
as follows:
(c) Consider the motivations of the audience and
(a) Adapt fundamental techniques similar to the
their perceptions of the change agent's moti-
agricultural extension method.
vation.
(b) Hire staff personnel who are interested in
(d) Show people how new procedures can help
research and know their research literature.
them rather than criticize them for what they
(c) Have more and better informed visits to
have been doing wrong.
researchers and demonstration projects. A
(e) Realize that people owe greatest allegiance to
barrier to implementing the above is that
activities in which they are committed by
research staffs often feel visitors interrupt
direct participation. Attitude change will
their work.
follow behavior change.
(d) To overcome this feeling of research staffs,
(f) See that messages are repeated over and
one proposal was to add a demonstration
over. There are wide variations in response to
visit supplement to basic research grants.
communication. Some people will accept
(e) Build utilization right into research projects
right away and later reject; others will ignore;
by providing funds for adequate publication
others will reject and then accept.
and dissemination of results.
SUMMARIES
397
255
RESEARCH UTILIZATION
Utilization strategies
Researcher-practitioner relationships
Research communication
ANALYSIS AND SUGGESTIONS
Van den Ban, Anne W. Utilization and publication of findings. In C. H. Backstrom and G. D. Hursh (Eds.),
Survey research methods in developing nations. Chicago: Northwestern University Press, 1963.
Purpose
and not the researcher is often held respon-
The author's purpose is twofold. First, she
sible for the failings of a given innovation, the
focuses on how the researcher can stimulate the
practitioner is often unwilling to undertake
utilization of his findings by practitioners. Sec-
experimentation with a new idea without the
ondly, she offers some advice on the publication of
specific recommendation of the researcher. It
is often impossible for the researcher to make
findings.
recommendations of this nature.
Method
(b) Practitioner ruts-practitioners are likely to
do things as they have always done them
This analysis is based on the author's experience
without taking the time to think through
and knowledge.
whether this is really the best way. If the
Findings and Conclusions
practitioner found a good way of doing things
20 years ago, he is likely to operate in this
1. Practitioners will only use research findings to
same vein even though considerable changes
solve problems in a new way if:
and advancements have been made. One rea-
(a) they realize they have a problem;
son for the continuance of old practices is the
(b) they define their problem in such a way that
lack of time many practitioners have for fer-
it can be solved;
reting out relevant research.
(c) they believe that research findings will help
(c) Researcher predictions of probable conse-
them to solve this problem;
quences-the researcher should assume the
(d) they have confidence in the capability and
responsibility for giving as much information
the motives of the researcher;
as possible about the probable consequences
(e) they know the findings;
of various alternative solutions to a problem,
(f) they are willing to experiment with new solu-
thereby making it easier for the practitioner
to make the best choice.
tions to this problem;
(g) they are in a social position to do so; and
(d) Researcher as persuader-often the practi-
tioner must be convinced that he needs this
(h) they believe that they can avail themselves of
kind of information or data for sound deci-
the money and other resources necessary to
do so.
sionmaking. Usually very little effort is made
by the researcher to persuade; most of his
2. Research becomes relevant for practitioners
efforts are directed toward informing.
when they participate in the research process.
(e) More work-frequently implementation of
Utilization and application of findings require
research findings involves more work for the
serious attention during the planning of the research
practitioners. Often the additional effort is
project. "If a researcher starts to worry about it
not compensated by other rewards.
when writing his research report it is usually too
late."
4. Cooperation between researchers and practi-
3. Several general characteristics of the practi-
tioners is desirable in nearly every phase of the
tioner-researcher interface are described:
research process.
(a) Practitioner expectations-sometimes prac-
(a) Formulating of research problems-practi-
titioners expect a recipe for problem solution
tioner participation in the formulation of re-
from the researchers. Since the practitioner
search problems usually results in research
398
PUTTING KNOWLEDGE TO USE
problems which are more relevant for policy
does not stress educational or status differences
decisions. Practitioners know the problems
and recognizes he is only a specialist in research
they face daily in their work. They are also
and that practitioners may often know more about
aware of the limitations imposed by the
the field than he does. Researchers can also stress
structure of the organization and situation.
the strengths of current practices or programs, and
Knowledge of such variables is important for
discuss in advance the expected role of the practi-
determining workable alternatives to prob-
tioners in research utilization.
lems. Such participation also decreases the
psychological distance between the practi-
6. Utilization of research findings cannot be
tioners and research.
expected unless the following conditions are met:
(b) Deciding on research methods-the author
(a) the researcher has a real interest in the prob-
suggests that while the good researcher has
lems of the practitioner;
the technical knowledge to decide which re-
(b) the researcher cares about the utilization of
search methods may prove best to solve the
his findings;
research problem, it is desirable to ask advice
(c) the researcher is willing to invest time to
from the practitioners even at this stage.
develop better practitioners, who can take
Practitioners can contribute knowledge of
more initiative in decision making;
the field situation, and knowledge of client or
(d) the researcher is sensitive to and able to cope
respondent problems and levels of under-
with the anxiety he might arouse with his
standing. Moreover, confidence in the re-
research; and
search is built up if the practitioners see the
(e) the superiors of research sponsors stimulate
care with which the research instruments are
and allot time and money for working with
developed.
practitioners.
(c) Gathering data-the author advocates the
7. Research findings will not be utilized unless
participation of practitioners in data gather-
supported by personal communication with practi-
ing as part of in-service training. The prac-
tioners. The author advocates the use of a middle-
titioner can also be a helpful feedback mech-
man to serve this communication function. The
anism for the researcher by relaying informa-
researcher should see that a change agent or social
tion on the reactions aroused by the research
science consultant is aware and convinced of the
project.
relevance of his findings, and then leave the job of
(d) Analyzing and interpreting the data-
communicating with the practitioners to the
although the main responsibility for analyz-
middleman.
ing and interpreting the data remains with
The consultant can offer the practitioner the
the researcher, it can be useful to involve
benefits of many different research findings as he
practitioners as far as possible in this phase
will not have the psychological investment in one
of the research process. The author cites
set of research findings that the researcher may
several studies on the participation princi-
have.
ple to support this contention.
8. A research study is not finished before a report
(e) Drawing conclusions for action programs
has been prepared and communicated to the audi-
from the research findings-the responsibility
ence one intends to reach. The author outlines the
for the action programs remains with the
differences among reports designed for other scien-
practitioners and not with the researcher. It
tists and researchers, practitioners and the general
is desirable for the researcher to elaborate on
public. He stresses the importance of getting the
the implications of his findings, so the prac-
findings to practitioners as quickly as possible, in
titioner has some guidelines for utilization.
as concrete as possible terms. He suggests the
5. Tension may arise between researchers and
researcher prepare a report for practitioners and
practitioners in a close working situation. "In order
mimeograph some additional information on re-
to be able to work with enthusiasm a good practi-
search methodology, which is sent to other scien-
tioner should be convinced that his work is impor-
tists upon their request, or present this information
tant and that the way he does it is basically
in an appendix.
correct. A good scientist on the other hand has the
The author devotes considerable space to a spe-
task to question this, which might make the prac-
cific discussion of writing style, presentation of
titioner uncomfortable and defensive" (p. 19). Ten-
figures, and other visual aids.
sions can be reduced if the researcher is sensitive,
9. Another way of facilitating research utilization
SUMMARIES
399
is through seminar and/or in-service training. This
process that is important in persuading individuals
adds the personal touch to the communication
to try new ideas.
256
CHANGE STRATEGIES
Change process: social
Intergroup conflict
ANALYSIS
Walton, Richard. Two strategies of social change and their dilemmas. In W. G. Bennis, K. D. Benne, and
R. Chin (Eds.), The planning of change (2nd ed.). New York: Holt, Rinehart & Winston, 1969,
pp. 167-176.
Purpose
come for itself, a group must build its power
vis-a-vis the other.
The article depicts two contrasting systems of
(b) Attempts must be made to bias the rival
ideas about achieving one's ends in a conflict be-
group's perception of one's comparative
tween two parties or factions, such as the United
strength and of insistence on objectives.
States versus the Soviet Union, or labor versus
4. Tactics associated with the attitude change
management. The report also aims to point up the
strategy are concerned with the following:
dilemmas that must be faced when there are op-
posing points of view as to the more effective
(a) Minimizing the perceived differences be-
strategy.
tween the groups' goals and between charac-
teristics of members of the two groups.
Method
(b) Engaging in peaceful communications.
(c) Refraining from actions harming the rival
The author employs a speculative approach
group.
based on the consideration of instances of various
(d) Minimizing or eliminating perceptions of po-
types of conflict.
tential threats.
(e) Emphasizing the mutual dependence be-
Findings and Conclusions
tween the groups.
1. Some of our most pressing problems of social
(f) Enhancing the status of representatives of
change are based on three assumptions: (a) a de-
the rival group and ensuring contacts on an
sire on the part of one group to change the alloca-
equal basis.
tion of scarce resources between two groups; (b) a
(g) Increasing the involvement in intergroup
desire on the part of leaders, despite recognition of
contact.
areas of conflict, to establish a more cooperative set
(h) Attempting to achieve a high degree of em-
of attitudes between the groups; and (c) the ab-
pathy with respect to motives, expectations,
sence of either law or compulsory arbitration
and attitudes.
mechanism which can accomplish the desired
5. The decision makers are faced with a number
change or settle the conflict of interest.
of issues centering about the contradictions, di-
2. Social scientists who have studied the ques-
lemmas, and choice points implicit in the distinc-
tion of conflict resolution have expounded two basic
tions between the two major strategies, to wit:
strategies-that of power wielding and that of atti-
(a) Overstatement of objectives vs. deempha-
tude change, with problem solving as still a third
sizing differences.
possibility.
(b) (Regarding stereotyping): internal cohesion
3. Tactics associated with the power strategy
vs. accurate differentiation.
approach include the following:
(c) Emphasis on power to coerce vs. trust.
(a) In order to establish a basis for negotiations
(d) (Regarding information): ambiguity vs. pre-
with the other and improve the probable out-
dictability.
400
PUTTING KNOWLEDGE TO USE
(e) Threat vs. conciliation.
ment the different strategies.
(f) (Regarding hostility
management):
im-
(c) Minimizing the adverse effects of a given
pact vs. catharsis.
strategy by reducing elements of difference
(g) Coalition vs. inclusion.
in their application.
6. Methods of coping with the dilemmas include:
7. Recognition of the dilemmas associated with
(a) Sequencing or alternating the measures re-
strategies in conflict situations has implications for
flecting the two strategies.
the training of group leaders advocating major so-
(b) Having different persons or subgroups imple-
cial change.
257
INNOVATION DIFFUSION
Adoption factors
Organizational change: industrial
CASE STUDY-ANALYSIS
Walton, R. E. The diffusion of new work structures: Explaining why success didn't take. Organizational
Dynamics, 1975, 3, 3-22.
Purpose
content of the job, compensation schemes, scope of
work responsibility for supervision and decision
The author has studied a sample of organizations
making, social structure, and status hierarchy. In
that made early attempts at the redesign of work
general, the design was intended to contribute to
with a view toward determining: "How much dif-
an internally consistent work culture-one that
fusion has occurred, particularly within the same
appropriately enlarges workers' scope for self-
firm? What are the vehicles for diffusion? What
management, enhances their opportunity for
barriers are encountered? How does the character
learning new abilities, strengthens their sense of
of the innovation affect the rate of diffusion?" He
connectedness with co-workers, increases their
has considered, as well, how answers to questions
identification with the product and manufacturing
such as these can help in formulating better diffu-
process, and promotes their sense of dignity and
sion strategies and tactics.
self-worth.
2. The generalized model of change efforts
Method
applied to the description of the eight "experi-
The characteristics of the eight firms studied
ments" included seven aspects or steps as follows:
were analyzed in terms of a seven-step model;
(a) Initiation of the pilot experiment.
problem areas in and barriers to diffusion were
(b) Inclusion of pilot experiments judged suc-
enunciated; and attributes of innovations influenc-
cessful after a year or two.
ing adoption rate as suggested by reviews of the
(c) Recognition and provision of resources for
recent literature were noted.
further work restructuring.
(d) Arousal of more general interest in work re-
Findings and Conclusions
structuring.
1. Of the eight firms studied, two are in the
(e) Extension of change agents' intervention
United States, two in Canada, one in Great Britain,
throughout the corporate system.
two in Norway, and one in Sweden. In seven of the
(f) Development of facilitative networks.
instances an important similarity existed in that
(g) Transfer of experienced personnel from the
one unit of the firm was regarded as a pilot project
innovative unit.
from which the larger organization could learn. The
3. The extent of diffusion that occurred within
work restructuring approach in the eight cases
the eight firms varied widely. In four companies,
embraced many aspects of work, including the
diffusion was found to be nonexistent or small. In
SUMMARIES
401
three companies, somewhat more diffusion
techniques in contradistinction to a clear
occurred; however, the rate either has been slow or
policy as to aims, such as making better use
it has not been sustained. Only in one company was
of the talents of employees.
diffusion truly impressive.
(d) Inappropriateness of the concepts employed.
4. In the attempt to find out why diffusion was
The concepts must be realistic as well as
not more rapid and extensive the following prob-
"inspiring." For example, in certain in-
lem areas are discussed:
stances "autonomous groups" and "equal
(a) Regression in the pilot project. Emergent
status" were not found feasible.
weaknesses in the pilot project can erode
(e) Deficient implementation. Follow-through
initial support for change; there is not al-
may be inadequate in terms of locating
ways a correlation between initial project
accountability for the change and providing
success and diffusion. Several factors have
"how-to" knowledge.
been noted as causing a successful early ex-
(f) Lack of top management commitment. In
periment to deteriorate:
some cases, inconsistencies in higher man-
(1) Internal inconsistencies in the original
agement behavior weakened diffusion efforts.
design.
Priority for the innovation at times declined
(2) Loss of support from levels of manage-
because of changes in industrial relations or
ment above the experimental unit.
business competitiveness, or because of pres-
(3) Premature turnover of leaders, operators,
sures for volume and cost objectives placed
or consultants.
upon middle management, or because of
(4) Stress and crises leading to more author-
rapid expansion and revolutionary change in
itarian management.
raw materials and processes used.
(5) Tension in the innovative unit's relations
(g) Union opposition. Unions have influenced
with other parties-peer units, staff
the basic climate for change, have compli-
groups, superiors, labor unions.
cated the change process by requiring con-
(6) Letdown in participants' involvement
sensus-seeking efforts, and have affected the
after initial success with its attendant
preconditions for change or limited the
publicity.
nature of the change itself, such as job
(7) Isolation of the original experiment and
security and jurisdictional boundaries. At
its leader from other parts of the organi-
times the effect has been positive, helping
zation.
to legitimize work restructuring or entering
(b) A poor model for change. The pilot project
into an informal problem-solving pattern
may lack either visibility or credibility.
consistent with the work culture sought by
Characteristics inherent in the site of the
the restructuring experiment.
initial experiment may affect its ability to
(h) Bureaucratic barriers. Diffusion efforts may
stimulate further change. The way the proj-
be frustrated by vested interests and existing
ect leaders present the experiment to others
organizational routines that limit autonomy.
in the firm influences its visibility and credi-
Tensions may arise during the initial experi-
bility. It should be noted that a low profile
ment and its later diffusion. One problem
reduces the career risks associated with pos-
relates to the level at which decisions are
sible failure.
made in the line organization. The method
(c) Confusion over what is to be diffused. Higher
for judging operator qualification for in-
management can "botch up" the process in
creased pay may prove troublesome, as are
the way they formulate and communicate
other issues affecting personnel status.
the diffusion policy even as regards success-
(i) Threatened obsolescence. New roles and
ful projects. The form of work structure may
skills may make others obsolete, particularly
be dismissed as abstract, or action may be
as applied to first-line supervision. Resis-
delayed because managers do not know how
tance is not always due to direct threat to
to translate the concepts presented. It may
roles, but to resentment over the elevation of
be rejected as inappropriate by managers
the blue-collar worker's status in comparison
whose units have different types of work
to that of the supervisor.
forces, different technologies, or different
(j) Self-limiting dynamics. A tendency toward
economic conditions. Diffusion may proceed
"self-sealing" may occur where a single
less rapidly when managers stress particular
small unit is exclusively involved in the
402
PUTTING KNOWLEDGE TO USE
original experiment and a "star-envy" phe-
(a) An important reason for the unimpressive
nomenon is created by excessive publicity.
rate of diffusion in the eight companies
Differences in the rewards of the original as
studied is that the innovations had many
against the subsequent users of the innova-
attributes that made their diffusion inher-
tion may prove self-limiting. Those outside
ently slow, such as low communicability and
the original experiment may lack the original
incongruence with existing norms and
commitment. Rivalry may shift focus from
values.
essentials to minor differences in work pro-
cesses. Where frictions develop in the course
(b) A further reason relates to barriers the dif-
of the experiment or its diffusion, an avoid-
fusion efforts encountered and the efficacy
ance reaction may set in for fear of hurting
of the companies' strategies and tactics.
one's career.
(c) Careful planning is required to assure posi-
5. Attributes of innovations that may plausibly
tive results.
influence their adoption rates as gleaned from
recent reviews of the literature are presented under
(d) The problems of increased local autonomy
the following headings:
and threatened roles are not easily resolved.
(a) Relative advantage
(e) The self-limiting dynamics of pilot projects
(b) Communicability
are often unexpected; awareness may lead to
(c) Compatibility
greater success.
(d) Pervasiveness
(f) While the author expects relatively little
(e) Reversibility
diffusion of potentially significant restruc-
(f) Number of gatekeepers
turing in the workplace in the short run, he
6. The author concludes his article with a num-
is hopeful that for the long run, future experi-
ber of observations:
ments will profit from the pioneering efforts.
258
INNOVATION: HIGHER
EDUCATION
Planned change: utopian
CASE ANALYSIS
Watson, Goodwin. Utopia and rebellion: The new college experiment. In M. B. Miles (Ed.), Innovation in
education. New York: Bureau of Publications, Teachers College, Columbia University, 1964, pp. 97-
116.
Purpose
credit ladder, emphasis on individual projects ra-
ther than lectures, work program and study in a
The author undertakes to identify the attributes
foreign country, extended contact with children,
of communities which are designed to incorporate
close relations among students and with faculty.
an ideal state of affairs-that is, utopian com-
The experiment was periodically embattled, was
munities.
abruptly terminated, and despite a rebellious at-
tempt by students and faculty to save it, was not
Method
revived. Its history suggests to the author a num-
The generalizations which are advanced are
ber of utopian characteristics.
drawn from the experiences of New College, es-
tablished in 1932 at Teachers College, Columbia
Findings and Conclusions
University. New College existed for 7 years and
1. Typically, a utopian community puts into
enrolled approximately 300 students. Its utopian
practice ideas which have been around for a long
aspects included individual guidance, no uniform
time; the discrepancy between what people profess
SUMMARIES
403
and what they actually do provides the initial im-
7. Because they are often completely cut off from
petus.
the external environment and from former personal
2. Utopias spring up in clusters during certain
ties, the members of a utopian community are
historic periods. The social milieu which gives rise
highly dependent on one another.
to one such experiment usually stimulates others.
8. Living arrangements within a utopian com-
3. Most utopias center about a strong, benevo-
munity are often improvised and tentative and
lent father figure.
generate feelings of insecurity; accordingly, there is
4. Founders of utopias have usually sought some
a high rate of defection.
place where they would be free from expectations
9. Utopias are generated in a spirit of ferment
and pressures to conform to the norms of an estab-
which often pervades and splinters the new com-
lished culture.
munity.
5. Utopias tend to attract people who want to
10. Most utopias are beset by financial worries.
read, to meditate, and to discuss ideas; often these
11. Utopias are characteristically isolated-free
people are inept at handling practical, everyday
from restraints but also cut off from potential
tasks.
sources of external support.
6. Many participants in utopian communities
12. The larger external community tends to view
are motivated by rebellion against restrictions of
the utopian experiment with ridicule and some-
the established order. They tend to be alienated,
times with hostility.
iconoclastic, and eccentric, and are accordingly ill-
13. Members of a utopian community tend to
adapted to community life.
minimize the dangers of external hostility.
259
RESISTANCE TO CHANGE
Innovation factors
Resistance reduction
ANALYSIS AND SUGGESTIONS
Watson, Goodwin. Resistance to change. In G. Zaltman (Ed.), Processes and phenomena of social change.
New York: Wiley, 1973.
Purpose
seriously, and resistance appears massive and un-
differentiated. In the second stage, forces for and
To examine various aspects of resistance to
against change are identifiable. Conflict and a
change, to outline five stages in the cycle of change,
showdown occur in the third stage, where accurate
and to discuss two areas where resistance to change
understanding can make the difference between
is encountered: the human personality and the hu-
successful innovation and resistance. In the fourth
man organization. Thirteen suggestions are given
stage, the supporters of change take power and
for understanding resistance to change.
must deal with perhaps threatening opposition. In
Method
the final stage, the erstwhile proponents of change,
or the formerly innovative practice, have become
The author draws on social science literature and
the conservative forces, resisting new change.
on his own experience in social change. He develops
Watson next discusses aspects of resistance to
his own framework and makes suggestions for deal-
change which occur in the personality of the indi-
ing with resistance to change.
vidual. He cites research conducted within each as-
pect. The areas are:
Findings and Conclusions
(a) homeostasis
After reviewing classical works on resistance to
(b) habit
change, the author outlines five stages in the cycle
(c) selective perception and retention
of change. At first only a few pioneers take change
(d) dependence
404
PUTTING KNOWLEDGE TO USE
(e) illusion of impotence
What kind of change?
(f) superego
3. Participants should see the change as reducing
(g) self-distrust
rather than increasing their present burdens.
h) insecurity and regression
4. The project should accord with values and
(i) deprivation and anxiety
ideals held by the participants.
(j) other personality factors
5. The program should offer the kind of new ex-
Resistance to change also occurs (simultane-
perience that interests participants.
ously) within social systems. Again the author dis-
6. Participants should not feel threatened.
cusses the basic concepts and cites research in each
How is it best done?
area. He covers:
7. Participants should join in the diagnosis.
(a) conformity to norms
8. The project should be adopted by consensus.
(b) systemic and cultural coherence
9. Proponents should empathize with opponents,
(c) the sacrosanct
recognize valid objections, and try to relieve un-
(d) rejection of outsiders
necessary fears.
(e) hierarchy
10. Innovations may be misunderstood or mis-
(f) affluence and leeway
interpreted, so provision should be made for feed-
(g) restricted communication
back and clarification.
(h) nature of the innovation
11. Participants should experience acceptance,
support, trust, and confidence in their relations
With regard to the following points, the author
with one another.
makes suggestions to reduce resistance to change:
12. The project should be open to revision and
Who brings the change?
reconsideration if experience indicates that changes
may be needed.
1. Those involved should feel that the project is
13. Readiness for change gradually becomes
their own.
characteristic of certain individuals, groups, or-
2. The project should have wholehearted sup-
ganizations, and civilizations. There emerges a
port from top officials of the system.
climate for change.
260
PLANNED CHANGE
Organizational factors
Change strategies
ANALYSIS AND SUGGESTIONS
Watson, G., and Glaser, E. M. What we have learned about planning for change. Management Review,
1965, 54(11), 34-46.
Purpose
Results," to suggest specific methods for effectively
implementing organizational changes.
This article spells out possible steps management
can take to facilitate a change within an organiza-
Findings and Conclusions
tion.
The major findings are as follows:
Method
1. Within an organization there are conflicting
The authors draw upon their own experience,
pressures for both stability and change. Those who
their knowledge of the relevant literature and a
want to keep things the way they are usually want
research study conducted by Dr. Glaser, "Utiliza-
to conserve what they are sure of while those who
tion of Applicable Research and Demonstration
favor change are usually striving for improvement
SUMMARIES
405
or gain. The pro and con forces need to analyzed in
mate training" may need to precede the introduc-
order to assess their strengths, select specific points
tion of change. The following steps may be worth
on which to concentrate, and define possible hid-
consideration: (a) make clear the needs for change,
den allies who may be in favor of the change.
or provide a climate in which others feel free to
2. Bringing about an orderly change requires
identify such needs; (b) permit, encourage, and ob-
leadership from persons in influential positions
tain relevant group participation in clarifying and
within the organization or from an outside consul-
expanding the concept of these needs; (c) state the
tant who can gain the trust of those concerned, in-
objectives to be achieved; (d) establish broad
cluding the relevant rank-and-file personnel. The
guidelines for achieving the objectives; (e) leave the
planning of change should, where feasible, be
details of change planning to the parts of the or-
shared by those who will be most affected by it.
ganization that will be affected by the change and/
Work groups often are highly resistant to changes
or must implement the plan; (f) indicate the bene-
imposed from above or from outside.
fits or rewards to individuals and to the group ex-
3. Extensive fact-finding and analysis are often
pected as a result of successful change; and (g)
necessary before the underlying malfunctions can
materialize the benefits or rewards; i.e., keep prom-
be identified. Pressure for prompt action before the
ises.
necessary planning is completed, and staff defen-
7. When faced with resistance to change, fre-
siveness during the fact-finding and planning
quently (but not always) the wisest and most ef-
stages are two of the possible barriers to an orderly
fective course of action is to focus on reducing re-
change.
sistance rather than trying to overwhelm it. A pilot
4. After the diagnosis of the difficulty, the next
experiment often may be helpful before large-scale
need is to generate proposals for solving it. Inviting
institution of a change.
suggestions from members of an organization, be-
8. The balance relationships throughout the
coming familiar with what other organizations have
given organization should be considered in order to
done in efforts to solve similar problems, and
prevent negative side effects from appearing in
taking time away from the usual responsibilities in
areas that are not directly connected with the de-
order to seek a new perspective were all suggested
partment or portion of the total system where
as methods of generating solutions. The authors
changes are being introduced.
also indicated that the objectives to be achieved
9. The fait accompli where the situation or opera-
should be clearly stated and broad guidelines for
tion is changed by responsible authority, before at-
achieving them established.
tempting to bring about the desired attitude
5. The next suggested step was to schedule the
change, was suggested as an effective method in
best possible use of available resources of people,
situations where there is a heavy "loading" of ir-
money, and sometimes equipment. The authors be-
rational prejudice. In these instances change may
lieve that human resources for planning change,
be more likely to come about if imposed from the
such as top management, other individuals with in-
top.
formal prestige, and the rank-and-file members of
10. In order to maintain the changes, a pro-
an organization
are often neglected or misused.
cedure for periodic review and revision is needed. A
6. The need for a favorable, open-mindedly re-
breathing spell to consolidate the gains made by
ceptive company climate was stressed. If adverse
the organization before launching other innova-
conditions exist then some relevant type of "cli-
tions may be desirable.
406
PUTTING KNOWLEDGE TO USE
261
PLANNED CHANGE: EDUCATION
Change strategies
Change: historical comparison
EMPIRICAL STUDY
Wiles, Kimball. Contrasts in strategies of change. In R. R. Leeper (Ed.), Strategy for curriculum change.
Washington, D.C.: Association for the Supervision of Curriculum Development, 1965, pp. 1-10.
Purpose
2. After 1957 new directions are reflected in the
The author compares the assumptions under-
assumptions for directed change strategies. The
lying directed change efforts in education prior to
basic attitude underlying the new assumptions is
1957 with the assumptions underlying directed
that change should not be equated with chance but
change efforts after 1957.
with development; and innovation should be linked
to long-term goals. The assumptions are as follows:
Method
(a) Some persons in government, foundations,
universities, public or private schools, etc.,
The ideas in this paper are based on the broad
must decide on the desired goals and plan
experience and observations of the author.
innovations designed to promote them.
(b) Basic research, program design, and field
Findings and Conclusions
testing should be done by outside forces.
1. The differences between the two periods are
(c) Major instructional innovations should be
in part reflections of increased mass media expo-
introduced by the administration because it
sure. The general public is exposed to more ideas
can marshall the necessary authority and
and is, in turn, stimulated to promote change in
precipitate the decisions necessary for adop-
schools. Other differences reflect the increased ef-
tion.
forts of the Federal Government to promote change.
(d) The prepackaged instructional system can be
Strategies for directed change prior to 1957 were
introduced despite original opposition or
based on the various assumptions which influenced
apathy on the part of the teachers.
curriculum change programs in the late 1950's and
(e) The informal communication system deter-
early 1960's, such as:
mines whether formal presentations will be
heard.
(a) Change in the entire system, state or city,
(f) Real or assumed knowledge of the innova-
can be effected by adopting a new master
tor's identity is a major variable in the ac-
plan drawn up by outside experts.
ceptance of a particular innovation.
(b) Change in the curriculum is effected most ef-
(g) The key to successful innovation is providing
ficiently at the local school building level,
assistance to teachers as they begin to im-
and occurs as people change through their
plement the adopted programs.
participation in decision making related to
(h) The most persuasive experience that can be
the curriculum.
provided to convince staffs of the value of an
(c) Change in the curriculum is produced through
innovation is to make provision for them to
in-service education, which develops new
visit a successful new program and see it in
teacher perceptions and skills.
action.
(d) Change in the curriculum is effected by: (1)
(i) Due to teacher turnover, a continuous pro-
supplying teachers with consultants who
gram of in-service education in the skills
assist them with innovation; (2) supplying
necessary to implement the innovation must
teachers with new materials of instruction;
be available for new teachers brought into
(3) providing in-service education for the
the system.
principal which produces a change in his
(j) The process of change contains three steps-
work style; and (4) providing workshop op-
innovation, diffusion, and integration.
portunities for key teachers in a building who
(k) Changes in social systems are much more
then become resource persons and leaders for
difficult to bring about than changes in indi-
other teachers on the staff.
viduals or groups.
SUMMARIES
407
262
RESEARCH UTILIZATION: SOCIAL
SCIENCE
Adoption characteristics
Utilization factors
CASE STUDY
Wilson, Elmo C. The application of social research findings. In Case studies in bringing behavioral science
into use. Studies in the utilization of behavioral science (Vol. 1). Stanford, Calif.: Institute for Com-
munication Research, Stanford University, 1961, pp. 47-58.
Purpose
(a) Human relations reasons (inertia, entrenched
personal preferences, etc.),
To explore the extent to which the social science
(b) Situations in which the college administra-
researcher can exert an influence over utilization.
tion decided to discard the recommendations,
(c) Situations in which the recommendations
Method
were not as appropriate as they had origin-
This project is divided in two parts. In the first,
ally been, because of subsequent develop-
the author indicates which factors, with respect to
ments in the client situation.
research utilization, the researcher does not con-
4. The research staff concluded that utilization
trol and which are subject to his control. This seg-
might have been greater if certain weaknesses in
ment of the study is not summarized herewith,
the report had been corrected. These weaknesses
since it adds little to the field. The second portion
included:
of the study is a report of a follow-up of a manage-
ment study carried out for a small, denominational
(a) The major context of the report was diluted
college. The follow-up had been written into the
by the inclusion of a number of minor prob-
original research contract, and called for the return
lems.
of the research staff, one year after submission of
(b) The report was overburdened by a substan-
the report, to find out what progress had been made
tial appendix.
in applying the findings of the study.
(c) The summarized recommendations were at
the end of the report and they would have
Findings and Conclusions
had more impact at the beginning.
(d) The report did not include an estimate of the
1. Of the more than 160 specific recommenda-
comparative costs of the various recommen-
tions, approximately three-fifths had been or were
dations, nor a proposal concerning the vari-
being carried out.
able time periods within which it would be
2. In a few instances, the research staff concluded
desirable to bring them about.
that the original recommendations had not been
5. The research staff was convinced that the
justified.
3. Of the recommendations which were not be-
knowledge by the client that a follow-up survey was
ing carried out, reasons for lack of implementation
to be made served as an incentive toward utiliza-
could be categorized as follows:
tion of recommendations.
PUTTING KNOWLEDGE TO USE
408
263
RESEARCH UTILIZATION:
AGRICULTURE
Adoption characteristics
Researcher-practitioner collaboration
CASE STUDY
Wilson, M. L. The communication and utilization of the results of agricultural research by American
farmers: A case history, 1900-50. In Case studies in bringing behavioral science into use. Studies in the
utilization of behavioral science, vol. 1. Stanford, Calif.: Institute for Communication Research, Stan-
ford University, 1961, pp. 75-111.
Purpose
(c) Extension work-Smith Lever Act in 1914
provided that each state carry on extension
This is an account of how the utilization of sci-
work through the landgrant college.
entific research has impressively affected the pro-
(1) The county agent organized groups of
gress of agriculture between 1900 and 1950. Its
farmers and aided farmers in helping
presentation is based on the assumption that the
themselves.
examples presented will give insight into the gen-
(2) Extension staff at the campuses sent spe-
eral problem of utilizing behavioral science.
cialists to county agent meetings with
new research ideas and then returned to
Method
the campuses with current farm prob-
The author presents a paper outlining the me-
lems.
thods used in getting farmers to put into practice
(3) 4-H Clubs were founded to present new
findings obtained in agricultural research. No
ideas to children who were not set in their
clear-cut ways of getting useful information from
ways.
college campuses to farmers had been developed.
(4) Local farm newspapers, booklets, and
Making research results easily available was not
radio were avenues for broadcasting agri-
enough. It also necessitated changes in the farmer's
cultural information.
viewpoint, personality, and behavior. The follow-
ing ways were used in an effort to change the out-
Findings and Conclusions
look of the farmers and disseminate information:
Developments in communication and utilization
1. Institutions and channels of communication
of results of agricultural research are as follows:
were developed between farmers and agricultural
1. Farmers responded, like other producers in a
researchers.
free economic system, to the profit motive. The
2. As specialized services developed they drew
more they are acculturated to this flow of new in-
personnel from farm families so that no psycho-
logical gulf existed.
formation the more easily and profitably it is put
3. When farmers saw a successful solution to a
into practice.
2. Agricultural communication research will also
serious agricultural problem they became more
amenable to other new ideas.
need to include the problems of motivation, per-
4. The agricultural college course in Iowa was
sonality, and other complex areas underlying hu-
man behavior.
opened to sons and daughters of farmers, and in
3. Three stages were found to exist in the process
place of the usual entrance requirements one only
of acceptance-
needed to be farm-raised and have completed the
farm school.
(a) awareness;
5. Agricultural branches of land-grant colleges
(b) interest; and
consisted of:
(c) evaluation leading to trial and ultimate
(a) Academic work.
adoption or rejection of the ideas.
(b) Experiment and research-usually "prob-
4. Personal and social factors affecting adoption
lem research" directed toward problems seen
of ideas were-
as limiting production or profit.
(a) personal prestige;
SUMMARIES
409
(b) family behavior;
(b) early adopters;
(c) educational development; and
(c) informal leaders; and
(d) group and community behavior.
(d) nonadopters.
5. Farmers tend to fall into four classes as users
of research-
6. The more usable information the farmers
(a) innovators;
receive, the more they tend to demand.
RESEARCHER-PRACTITIONER
264
RELATIONSHIPS
Organizational factors
Practitioner attitudes
Change agent
ANALYSIS
Wolfensberger, Wolf. Dilemmas of research in human management agencies. Rehabilitation Literature,
June 1969, 162-169.
Purpose
conscious and unconscious attitudes toward
research generally, in his field specifically,
The discussion focuses on certain important items
and with reference to specific types of re-
agency administrators should consider in making de-
search. Is his position: "Research yes, but not
cisions about supporting and using research within
here now"?
their agencies.
(c) What problems can the administrator toler-
Method
ate to see investigated? What are the sancti-
fied areas? Which should be circumvented as
The paper is an analysis based on the author's
fields of research?
observations and experiences, and, in addition,
(d) Can the agency tolerate controversy and dis-
drawing substantially on the literature.
sent? If not, research is not advisable.
Findings and Conclusions
(e) Can the administrator deal with a creative
researcher? The researcher may be divergent,
1. The author presents the following considera-
a nonconformist. Will he be given leeway to
tions which should be weighed in making a decision
"think the unthinkable, say the unsayable,
to start or support intraagency research.
embrace the unembraceable"? (p. 164).
(a) An underlying assumption should be the
(f) Administrators (and agency personnel) tend
presence of tension between the forces of
to have an unrealistic idea of how much
continuity and the forces of change-spe-
money, time, manpower, equipment and
cifically within what the author designated
space research requires. It is suggested that
as human management agencies (that is,
an agency acquire experience concerning the
those concerned with education, correction,
foregoing realities, through internal research,
psychiatry, psychology, public relations,
before it seeks external support for research.
rehabilitation, social work). His position is
that there is nothing wrong with such tension
(g) The applicability of the research to agency
if agency administrators understand it and
operations may be determined by agency size
use it constructively. One way of reducing
and organizational structure.
the tension is for the administrator to accept
(h) Top-level management must be prepared to
as a "given" fact that almost all of his cur-
dismiss, displace, or demote members of
rent practices are already outdated.
middle management who cannot carry out
(b) The administrator should explore his own
new research-related policies.
410
PUTTING KNOWLEDGE TO USE
2. The decisions concerning what kind of re-
research unit. Applied research, with its
search to support, and how, will involve exploration
implications of change, may induce de-
of the following issues.
fensiveness. If applied research is to have
(a) The administrator should be willing to look
maximum chances to be used, the admin-
not only at visible problems but at the under-
istrator should assure the following condi-
lying causes.
tions:
(b) A range of roles may be open to the research-
(1) The research team must not be admin-
er: laboratory oriented; does little research
istratively subordinate to the person who
himself but can facilitate the research of
heads the operations to which the re-
others; empire builder; grantsman; more of a
search applies.
resource person than a producer; primarily a
(2) The research operations must be defined
teacher and adviser; thinker-innovator who
as prestigious.
may do little formal research but makes his
(3) There must be two-way, face-to-face
contribution by theorizing.
communication between researchers and
(c) What will be the focus of the research? It
those who will be affected by it.
should reflect the model that prevails in the
agency (that is, medical research in a med-
(e) Innovative ideas should be rewarded, whe-
ical agency, behavioral research in a develop-
ther they are actually accepted or not.
mental agency, etc.). The author believes
3. In a concluding comment, the author points
that both interdisciplinary and multidisci-
out that in the physical sciences, research almost
plinary research are overrated; good inter-
invariably precedes change. This, he contends, is
change depends on chance relationships, not
not true of social sciences, where, in fact, decisions
on conscious structuring.
are made which are inconsistent with current re-
(d) Will the research be basic or applied (the
search findings.
we must learn to control social
latter to include evaluation)? Basic research
changes rather than having them control
us"
tends to isolate agency personnel from the
(p. 168).
265
KNOWLEDGE UTILIZATION:
INDUSTRIAL
Dissemination strategies
Change agency
CASE STUDY-ANALYSIS
Wright, Philip. Technology transfer and utilization: Active promotion or passive dissemination? Research/
Development, 1966, 9, 34-37.
Purpose
tion of the NASA technology as a source of new
products and processes helpful to industry. The
To report on the program of the Office of Indus-
second phase (in progress at the time of publica-
trial Application of the University of Maryland,
tion) has been an effort to trace the outcome of
which seeks to study the transfer to industry of
self-generated organizational interest in the tech-
technical knowledge from the National Aeronautics
nology as a result of publicity in trade journals,
and Space Agency (NASA), and to examine the
NASA's own Tech Brief dissemination program,
factors that impede and those that facilitate such
and elsewhere.
transfers.
Findings and Conclusions
Method
1. Frequently a critical point in the transfer and
The first phase of the program is characterized
utilization mechanism is the personal confronta-
by active promotion of the merit of a selected por-
tion of the intended user with the innovator. Such
SUMMARIES
411
confrontation, if skillfully managed, generates
3. Almost eight times as much interest was gen-
within the user the enthusiasm necessary for em-
erated by the possibility of improving an existing
barking on the new endeavor.
product or process as was motivated by the chance
2. Major reasons for rejection and inaction were
of acquiring a completely new addition to the in-
found to be technical, and associated with inde-
quirer's processes and products.
terminate applicability and uncertain market po-
tential.
266
INNOVATION-ADOPTION PROCESS
Innovation factors
Organizational factors
Change models
REVIEW OF LITERATURE
Zaltman, G., Duncan, R., and Holbek, J. Innovations and organizations. New York: Wiley, 1973.
Purpose
invented or that is regarded as novel independent
of its adoption or nonadoption."
The book is designed to present a selective,
2. The authors stress the need to keep the sev-
organized review of the literature on the innovative-
eral differentiations in mind while examining
adoption process as it takes place within multi-
studies of the innovative process. Thus, organiza-
member units of adoption and as related to the en-
tions experiencing success will tend to differ from
vironment of the organization. The authors also
unsuccessful organizations in style and radicalness
present their own model for examining the process,
of innovative behavior. The perceived gap between
and present their list of the attributes that charac-
current and normative performance of an organiza-
terize innovations.
tion is seen as a significant differentiator in inno-
vative behavior.
Method
3. With the reminder that various combinations
The reveiwed literature has been arranged ac-
of attributes are involved with different types of in-
cording to a systematic set of topics relative to the
novation, the following attributes have been found
innovative process, notably: (1) the nature and
relevant for "describing, explaining, and predicting
characteristics of innovations; (2) the processes of
responses to innovations":
innovation; (3) characteristics of organizations af-
(a) Cost-financial and social, initial and con-
fecting innovation; and (4) theories of innovation
tinuing.
in organizations.
(b) Returns to Investment-tangible and intan-
Findings and Conclusions
gible.
(c) Risk and Uncertainty-lessened for late
1. Preliminary to the treatment of the subject,
adopters.
the authors present a number of distinctions as to
(e) Communicability-ease of dissemination
kinds of innovations, such as between programmed
and clarity of results.
and nonprogrammed innovations, instrumental
(f) Compatibility-consistency with "existing
and ultimate innovations, and varying degrees of
values, past experiences, and needs of re-
radicalness of the innovation. Innovation is seen as
ceivers."
employed in three different contexts: (a) as synon-
(g) Complexity-of ideas and in actual imple-
ymous with invention; (b) as the "process whereby
mentation.
an existing innovation becomes part of an adopter's
(h) Scientific Status-reliability, validity, gen-
cognitive or behavioral repertoire"; and (c) "as an
erality, etc.
idea, practice, or material artifact that has been
(i) Perceived Relative Advantage-its visibility
412
PUTTING KNOWLEDGE TO USE
and demonstrability.
butes of each type are summarized.
(j) Point of Origin-from within or without the
9. Factors affecting resistance to innovation are
organization.
considered in relation to each stage of the innova-
(k) Terminality-point beyond which adoption
tive process. Among the possible determinants of
becomes less rewarding, useless, or even im-
resistance are: (a) the need for stability; (b) the use
possible.
of foreign jargon; (c) impact on existing social re-
(1) Status Quo Ante-reversibility and divisi-
lationships; (d) personal threat; (e) local pride;
bility.
(f) felt needs; and (g) economic factors.
(m) Commitment-prior attitudinal or behav-
Structural factors affecting resistance include:
ioral acceptance.
(a) stratification; (b) division of labor; and (c) hier-
(n) Interpersonal Relationships-impact on a
archical and status differentials.
disruptive-integrative continuum.
Individual resistance is related to: (a) percep-
(o) Publicness versus Privateness-availability
tion; (b) motivation; (c) attitude; (d) legitimiza-
to all members of the social system.
tion; (e) accompaniments of trial; (f) results of
(p) Gatekeepers-number of approval channels.
evaluation; (g) actual adoption or rejection; and
(q) Susceptibility to Successive Modification-
(h) manner of dissonance resolution.
ability to refine, elaborate, or modify in-
10. The effects of the characteristics of organiza-
novation.
tions on innovation are analyzed in terms of their
(r) Gateway Capacity-opening of avenues to
environments and their structure.
other innovations.
11. Since the organization is not a closed system,
(s) Gateway Innovations-instrumental setting
changes in the organization or its environment may
of stage for large-scale innovations.
create stress or pressure. Distinguishing between
4. The treatment of the processes of innovation
the internal and external environments, the au-
entails the consideration of: (a) decision processes
thors present a number of factors and components
in innovation; (b) stages of the innovation process;
that comprise each. These factors need to be taken
(c) control of the innovative process; and (d) resis-
into consideration as decisions are made regarding
tance to innovation.
innovative alternatives.
5. Under pressure of perceived performance gaps
12. Differentiating among bureaucratic, cyber-
decision makers in an organization are induced to
netic, and other theories of organization, the au-
consider innovative alternatives entailing varying
thors note the implications for innovation of organ-
degrees of certainty, risk, or uncertainty.
izational structure. They conclude that there is no
one best way to organize, and that "there may be a
6. The stages of the innovative process are pre-
sented as follows:
variety of structural configurations that an organ-
ization might implement contingent on the type of
(a) Initiation stage
situation the organization is facing."
(1) Knowledge-awareness substage
Organizational factors that may affect the in-
(2) Formation of attitudes toward the inno-
novative process are listed as follows:
vation substage
(3) Decision substage
(a) Complexity-the number of occupational
specialties and their professionalism.
(b) Implementation stage
(b) Formalization-emphasis placed within the
(1) Initial implementation substage
organization on following specific rules and
(2) Continued-sustained implementation
procedures in performing one's job.
substage
(c) Centralization-the locus of authority and
Variant stage analyses by other writers also are
decision making within the organization.
presented.
(d) Interpersonal Relations-including degree of
7. Feedback is depicted as playing a central role
impersonality.
in the control of the innovative process. A distinc-
(e) Ability to Deal with Conflict-as to whether
tion is made between externally and internally gen-
to innovate and how to innovate; differences
erated feedback.
in goals, perceptions, etc.; intrapersonal,
8. Innovations may be classified principally ac-
interpersonal, organizational, interorganiza-
tional, etc.
cording to the specific changes they necessitate in
the organization, particularly as regards authority
13. The authors present their theory of the in-
decisions as against collective decisions. The attri-
novation process at the level of the organization, as
SUMMARIES
413
distinguished from that of specific innovative ideas,
authors briefly review several selected theories of
practices, or material artifacts. In SO doing, they
innovation, notably those by March and Simon,
relate the organizational factors of complexity, cen-
Burns and Stalker, Harvey and Mills, Wilson, and
tralization, interpersonal relations, and capability
Hage and Aiken. In comparison with these theories,
for dealing with conflict to the initiation and imple-
their own is seen as attempting to focus on the dy-
mentation stages of the innovation-adoption pro-
namics of the innovative process and to provide
cess. They also relate the nineteen previously enu-
guidelines for facilitating both the initiating and
merated attributes of innovation to the decision
the implementing stages, while the other theories
stages through which an innovation progresses.
are credited with making contributions to the
understanding of various components of the or-
14. Relating others' theories to their own, the
ganizational change and innovative processes.
267
RESISTANCE TO CHANGE
Resistance reduction
ANALYSIS AND SUGGESTIONS
Zander, Alvin. Resistance to change: Its analysis and prevention. In W.G. Bennis, K. D. Benne, and R.
Chin (Eds.), The planning of change: Readings in the applied behavioral sciences. New York: Holt,
Rinehart & Winston, 1962, pp. 543-548.
Purpose
some evidence to support the hypothesis that
those persons who dislike their jobs will most
The purpose of this article is to define resistance
dislike ambiguity in a proposed change.
to change in industrial organizations, to identify
(b) Different people will see different meanings
the conditions that appear to be associated with
in the proposed change. They may see in it
development of this resistance, and to examine
an indication that they are doing a poor job,
some means whereby resistance may be prevented
that their office will be abolished, or other
or decreased.
personally undesirable causes or effects,
which may not be accurate estimates of the
Method
situation.
The author drew on his own knowledge of resis-
(c) Resistance can be expected when those in-
tance to change to prepare this paper. No specific
fluenced are caught between strong forces
method of information gathering is discussed.
pushing them to make the change and strong
forces deterring them from making the
Findings and Conclusions
change.
1. There is one common denominator in ex-
(d) Resistance may be expected to the degree
amples of resistance to change, which might serve
that the persons influenced by the change
as a defense of such resistance. That is, they all
have pressure put on them to make it, and
show behaviors intended to protect individuals
will be decreased to the degree that these
from the effects of real or imagined change.
same persons are able to have some "say" in
2. It is the protective function of behavior, rather
the nature or direction of the change.
than specific actions, that identifies resistance.
(e) Resistance may be expected if the change is
Specific behavior may take many forms.
made on personal grounds rather than im-
3. Some conditions conducive to resistance:
personal requirements or sanctions.
(a) Resistance can be expected if the nature of
(f) Resistance may be expected if the change
the change is not made clear to the people
ignores the already established institutions
who are going to be influenced by it. There is
in the group.
414
PUTTING KNOWLEDGE TO USE
4. Resistance will be prevented to the degree
7. Resistance may be less likely to occur if the
that the changer helps the "changees" develop
group participates in making the decisions about
their own understanding of the need for the change,
how the change should be implemented, what the
and an explicit awareness of how they feel about it,
change should be like, how people might perform
and what can be done about these feelings.
in the changed situation, or any other problems
5. The principle stated in (4) above implies that
that are within their area of freedom to decide.
the administrator can use resistance as an impor-
tant symptiom. Specifically, he can use the nature
8. Resistance will be less likely to develop if facts
of the resistance as an indicator of the cause.
which point to the need for change are gathered by
6. There is value in blowing off steam. There is
the persons who must make the change. People will
good evidence that new attitudes can be accepted
be more likely to act in terms of information they
by a person only if he has a chance to thoroughly air
gather themselves than in terms of information
his original attitude.
gathered by others and delivered to them.
SUMMARIES
415
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INDEX 1: CHANGE ASPECTS OF THE
DEVELOPMENT-DISSEMINATION-UTILIZATION CONTINUUM
Numbers refer to serial number (not page number) of summary.
Change Process
Measures and factors, 8, 26, 35, 50, 69, 70, 72, 79,
89, 109, 123, 135, 140, 169, 172, 182, 183, 184, 194,
General change process, 45, 46, 49, 53, 62, 114, 126,
203, 209, 215, 218, 229, 251, 253, 259, 266
154, 163, 194, 195, 203, 224, 234, 246, 261
Change models and taxonomy, 24, 53, 54, 61, 68,
Application areas, 1, 3, 4, 6, 14, 16, 17, 33, 35, 37,
38, 45, 50, 52, 56, 58, 60, 72, 74, 75, 79, 80, 81, 82,
69, 70, 126, 127, 129, 131, 132, 180, 200, 234, 257,
266
83, 86, 87, 90, 91, 94, 99, 118, 123, 124, 135, 136,
148, 168, 170, 171, 182, 183, 184, 194, 202, 203,
Planned change, 22, 23, 25, 27, 34, 54, 78, 97, 142,
209, 214, 217, 229, 232, 233, 238, 243, 252, 253,
143, 170, 180, 219, 258
258
Change measures and factors, 20, 23, 24, 25, 32,
34, 40, 46, 54, 60, 70, 72, 83, 107, 108, 110, 123,
Knowledge Dissemination
127, 143, 164, 170, 172, 179, 180, 187, 190, 195,
196, 197, 201, 213, 229, 230, 243, 246, 256, 257,
Analysis, 2, 14, 19, 39, 48, 88, 105, 113, 121, 132,
260, 261
133, 148, 149, 173, 205, 206, 217, 229, 242, 250
Application areas, 18, 27, 37, 45, 61, 68, 72, 78, 89,
Measures and factors, 39, 76, 94, 95, 96, 97, 98, 99,
91, 92, 109, 110, 118, 128, 138, 144, 148, 154, 158,
103, 105, 119, 120, 121, 133, 137, 150, 175, 176,
160, 161, 164, 196, 212, 213, 223, 230, 256, 257
181, 186, 189, 192, 198, 201, 204, 205, 229, 244,
245, 247, 265
Change Resistance
Application areas, 29, 63, 66, 113, 149, 150, 162,
192, 201, 206, 207, 217, 222, 227, 236, 239, 244,
Analysis and measures, 1, 3, 5, 9, 12, 21, 27, 30, 36,
248, 262, 265
38, 49, 105, 109, 117, 136, 138, 146, 160, 162, 168,
185, 197, 211, 238, 251, 256, 259, 267
Diffusion and Communication Process
Application areas, 3, 30, 33, 38, 44, 74, 75, 80, 158,
185, 231, 246
Analysis, 10, 12, 13, 16, 31, 39, 45, 46, 58, 63, 67,
95, 140, 147, 169, 171, 207, 215, 225, 232, 248, 253,
Individual Change
255
Measures and factors, 63, 101, 111, 121, 133, 168,
Analysis, 5, 6, 12, 32, 46, 49, 52, 62, 87, 134, 153,
176, 181, 186, 206, 207, 214, 237, 257
154, 161, 179, 190, 211
Measures, 28, 29, 32, 40, 41, 42, 49, 55, 92, 120, 122,
Linkage Process
160, 177, 179, 190, 195, 197, 235, 236
Process and functions, 10, 13, 36, 51, 56, 57, 81, 84,
Organizational Change
116, 119, 121, 125, 129, 132, 145, 166, 171, 193,
General, 11, 18, 20, 24, 25, 26, 37, 41, 47, 55, 61, 62,
234, 239, 241, 242, 264
70, 83, 92, 107, 108, 112, 114, 124, 139, 146, 177,
Researcher-practitioner relationship, 2, 19, 22, 51,
187, 188, 212, 214, 231, 240, 252
57, 71, 73, 81, 93, 101, 106, 111, 116, 122, 131, 145,
Organizational factors, 1, 4, 11, 17, 21, 23, 28, 47,
157, 159, 162, 167, 174, 175, 186, 191, 193, 199,
60, 70, 79, 91, 114, 136, 147, 178, 183, 196, 229,
210, 220, 225, 228, 229, 236, 249, 255, 263, 264
233, 238, 243, 251, 257, 260, 264, 266
Organizational climate, 6, 11, 32, 52, 112, 146, 184,
Change Agent Functions
187, 196, 214, 240, 252
Change agent, 7, 9, 18, 20, 25, 27, 28, 53, 62, 70, 91,
106, 112, 113, 117, 118, 120, 122, 123, 124, 128,
Innovation-Adoption Process
159, 165, 170, 173, 174, 180, 201, 216, 221, 223,
Analysis, 2, 8, 12, 15, 31, 35, 45, 47, 50, 56, 58, 74,
229, 239, 244, 264
75, 80, 86, 90, 97, 98, 99, 118, 125, 151, 152, 155,
Consultation, 9, 18, 29, 36, 44, 51, 84, 98, 163, 214,
156, 158, 174, 178, 182, 183, 191, 194, 202, 203,
235
215, 221, 222, 223, 229, 230, 251, 262, 263, 266
Change agency, 39, 66, 67, 129, 166, 200
INDEX
451
Research and Evaluation Procedure
191, 204, 208, 216, 220, 226, 229, 241, 245, 254,
255
Analysis, 18, 22, 43, 70, 81, 82, 104, 111, 141, 142,
Measures and factors, 48, 59, 64, 65, 70, 77, 85, 100,
143, 144, 193, 219
115, 130, 165, 167, 198, 200, 210, 229, 241, 250,
Procedures, 21, 43, 59, 70, 81, 82, 85, 101, 104, 116,
253, 254, 255, 262
130, 139, 141, 177, 240, 247
Application areas, 7, 55, 59, 65, 71, 73, 76, 96, 98,
Research Utilization
100, 103, 105, 111, 130, 141, 145, 155, 157, 159,
165, 166, 167, 175, 176, 198, 199, 208, 210, 218,
Analysis, 19, 31, 42, 66, 77, 88, 92, 96, 97, 100, 103,
225, 226, 227, 228, 236, 239, 244, 254, 255, 262,
105, 115, 120, 122, 129, 137, 157, 167, 169, 170,
263
INDEX 2: MODE OR TYPE OF STUDY SUMMARIZED
Numbers refer to serial number (not page number) of summary.
Analysis, 1, 10, 11, 21, 25, 26, 29, 40, 41, 54, 57, 61,
112, 129, 136, 140, 151, 155, 157, 166, 180, 181,
62, 64, 71, 84, 88, 89, 92, 93, 94, 104, 106, 114, 117,
183, 187, 188, 193, 212, 213, 215, 228, 231, 240,
119, 122, 138, 150, 152, 156, 159, 163, 169, 173,
241, 246, 247, 252, 257, 258, 262, 263, 265
185, 186, 195, 196, 199, 208, 220, 222, 238, 239,
Commission/conference/seminar report, 73, 101,
249, 251, 256, 264
141, 142, 143, 144, 149, 178, 201, 216, 219, 250
Analysis and suggestions, 9, 22, 30, 34, 39, 42, 44,
Empirical study, 2, 4, 6, 8, 13, 14, 15, 16, 17, 19,
49, 50, 77, 78, 81, 113, 115, 116, 118, 123, 124, 128,
33, 37, 47, 50, 58, 60, 74, 75, 79, 83, 86, 95, 96,
135, 145, 146, 161, 162, 174, 190, 198, 207, 209,
100, 103, 105, 125, 131, 139, 147, 167, 168, 172,
211, 230, 237, 248, 254, 255, 259, 260, 267
175, 176, 177, 179, 182, 184, 189, 197, 202, 203,
Analytical model, 7, 12, 20, 23, 24, 27, 28, 31, 53,
206, 217, 218, 225, 226, 227, 232, 233, 235, 244,
69, 70, 82, 91, 108, 110, 111, 120, 121, 126, 127,
245, 261
132, 134, 137, 148, 154, 158, 160, 164, 165, 170,
Experimental study, 1, 67, 101, 141, 142, 143, 144,
192, 194, 200, 205, 224, 234, 236, 243, 253
149, 178, 201, 216, 219, 250
Case study-analysis, 3, 18, 32, 35, 38, 43, 46, 48,
Review of literature, 52, 63, 97, 107, 133, 191, 204,
51, 56, 59, 65, 66, 67, 73, 76, 85, 90, 98, 102, 109,
221, 223, 229, 242, 266
INDEX 3: AREAS OF APPLICATION
Numbers refer to serial number (not page number) of summary.
Agriculture, 14, 86, 232, 263
Military, 7, 65
Business, 17, 78, 79, 146, 233
Mental Hospital, 3, 35, 44, 76, 155
Education, 1, 37, 45, 50, 52, 55, 60, 73, 74, 75, 80,
Psychology, 85, 94, 135, 150, 175
87, 89, 91, 109, 110, 111, 123, 124, 125, 127, 128,
Rehabilitation, 59, 76, 98, 103, 198, 199, 222
135, 136, 138, 145, 148, 164, 168, 169, 171, 176,
Science, 6, 63, 90, 130, 192, 202, 207, 248
184, 194, 196, 208, 209, 217, 230, 236, 243, 244,
Social Science, 13, 26, 27, 45, 46, 61, 64, 68, 81, 82,
258, 261
89, 90, 92, 94, 113, 141, 144, 154, 158, 159, 160,
Industrial, 105, 172, 182, 183, 214, 252, 257, 265
161, 162, 165, 166, 201, 203, 212, 213, 223, 229,
Medical, 15, 16, 58, 96, 185, 231
235, 239, 249, 262
Mental Health, 29, 30, 33, 44, 45, 83, 87, 99, 100,
Social Work, 4, 71, 149, 157, 226, 229, 253
167, 210, 218, 228, 231, 255
Technology, 38, 66, 90, 104, 131, 202, 227, 238, 246
452
PUTTING KNOWLEDGE TO USE