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Fl ,IV·M·I Accessing the World's Information Since 1938 INFORMATION TO USERS The most advanced technology has been used to photo­ graph and reproduce this manuscript from the microfilm master. UMI films the original text directly from the copy submitted. Thus, some dissertation copies are in typewriter face, while others may be from a computer printer. In the unlikely event that the author did not send UMI a complete manuscriptandtherearemissingpages, these will be noted. Also, ifunauthorized copyrighted material had to be removed, a note will indicate the deletion. Oversize materials (e.g., maps, drawings, charts) are re­ produced by sectioning the original, beginning at the upper left-hand corner and continuing from left to right in equal sections with smalloverlaps. Eachoversize page is available as one exposure on a standard 35 mm slide or as a 17"x 23" blackandwhite photographicprintfor anadditionalcharge. Photographs included inthe original manuscript have been reproduced xerographically in this copy. 35 mm slides or 6"x 9"black and white photographic prints are available for any photographs or illustrations appearing in this copy for an additional charge. Contact UMI directly to order. fl ,IV·M·I Accessing the World's Information since 1938 300 North Zeeb Road, Ann Arbor. M148106-1346 USA Order Number 8729420 Diffusion of innovations in English language teaching: The English language exploratory committee's promotion of C. C. Fries' oral approach in .Japan, 1956-1968 Henrichsen, Lynn Earl, Ed.D. University of Hawaii, 1987 Copyright <£)198'1 by Henrichsen, Lynn Earl. All rights reserved. U·M·I 300 N. Zeeb Rd. Ann Arbor, MI48106 · DIFFUSION OF INNOVATIONS IN ENGLISHLANGUAGETEACHING: THE ENGLISH LANGUAGE EXPLORATORY COMMfITEE'S PROMOTIONOF C. C. FRIES' ORALAPPROACH IN JAPAN, 1956-1968 A DISSERTATION SUBMITTED TO THE GRADUATE DMSION OFTHE UNIVERSITY OF HAWAll IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR 1HE DEGREE OF DOCfOR OF EDUCATION IN EDUCATIONAL FOUNDATIONS AUGUST 1987 By Lynn Earl Henrichsen DissertationCommittee: Edward R. Beauchamp, Chairman Victor N. Kobayashi Melvin J. Ezer Richard R. Day Jack C. Richards iii © Copyright by Lynn E. Henrichsen, 1987 All Rights Reserved iv ACKNOWLEDGEMENTS First, I would like to acknowledge my family's role in this dissertation. Without them, I never would have been able to do it. To my wife, Terumi, for her unfailing support; to my children, who have gone without their father for so many nights and Saturdays; and to my parents, who started me down the road that eventually led to this culminating educational experience, I give my deep and sincere thanks. The members of my committee, especially my chairman. Dr. Edward Beauchamp, also deserve my gratitude. As they read this dissertation and commented on it, they were both helpful and demanding. Because oftheir encouragement and criticism, the rinal dissertation was a much better product. Peter H. Fries and other Fries family members were especially helpful and encouraging as they shared their time and resources with me. Without that assistance, this dissertation would never have developed the way it did. In addition, the staff members ofthe Rockefeller Archive Center were very helpful and professional in helping me fmd invaluable documents regarding John D. Rockefeller 3rd and ELEC and granting me permission to use them in this dissertation. The many people I interviewed, both in Japan and the United States, concerning ELEC and Charles C. Fries were also extremely gracious in taking time out oftheir busy schedules to talk with me, and I thank them for doing so. They provided information that was not available elsewhere. Although as author of this dissertation I assume full responsibility for its contents and any errors it might contain, what I have written is truly the result ofcooperation and sacrifice on the part ofmany people. Because ofspace limitations, only the most prominent ofthem are mentioned here, but to all I extend my sincere and enduring thanks. v ABSTRACf Purpose and Outcomes Although thisdissertation deals witheventsthattook place years ago, it is more than an historical study. Andeven thoughit investigates an effort to change English language teaching (ELT) in Japan, it is not an attempt to prescribe a solution for Japan's ELT "problem." Rather, through an investigation and description ofthe campaign conductedby the English Language Exploratory Committee (ELEC)to reformEnglish languageteaching practices in Japan, this studyaddresses the much larger questionand more universally applicable issueof how internationally orientedreformers of educational systems andpracticescan bringaboutchangeanddeal with the resistances to it Its major purpose is to revealand illustrate the challenges inherent in the process of creatingcross­ cultural,directedcontactchangein educational institutions and practices. The most importantoutcomes of thisresearchare a greater awareness and more accurateperception of the innovation-implementation process, thevarious factorsthat influencethe success of reform efforts,and the constraints withinwhichreformers operate.. To accomplish thispurpose,and to analyze the EnglishLanguage Exploratory Committee'sreformcampaign, this studydevelops a hybrid diffusion-of-innovations model which,in andof itself,is an equallyimportant outcome. Because the model is abstractin natureand general in its applicability, it can be used to plan and/oranalyze other reform efforts. Likewise, becausemanyof theproblemsthe ELEC reformers encountered are far fromunique, a knowledge of theELEC case can be of benefitto those who attemptto createchange-notjust in ELTin Japanbut in other educational endeavors and settingsalso. Thesis Creatinganinnovation is not the sameas bringing about change, and carryingout a "revolution" involvesmuchmore thancomingupwith a new idea. Innovationalone is vi seldom sufficient, nor is merely communicating the innovation to the appropriate audience adequate. Successful, directed contact change requires both a careful analysis ofthe target setting, which takes into account the potential barriers to change, and an appropriate implementation strategy to overcome them. Without the proper co-incidence ofcritical facilitating factors, change takes place slowly or not at all. Method A historical case-study approach is employed to reveal and illustrate the above points. The particular case studied is the attempt by the Rockefeller-funded English Language Exploratory Committee to reform ELT methods in Japan by introducing Charles C. Fries' Oral Approach. Sources ofdata include interviews in Japan with people acquainted with the ELEC effort ("insiders" as well as "outsiders"), interviews with colleagues of Fries in the United States, Fries' correspondence relative to his work in Japan, Rockefeller Foundation documents regarding the ELEC operation, and published accounts about ELEe and C. C. Fries in Japan. In keeping with the nature of this data and the study itself, a qualitative analysis is employed. SummaryofChapters Chapter one introduces the study and explains its intended outcome. It makes a case for the study ofthe diffusion and implementation ofinnovations-in formal education generally, in foreign-language teaching, in English-language teaching, cross­ culturally, and in Japanese ELT. While many studies have dealt with the diffusion of innovations generally or with curriculum development in education, relatively few have been done which not only combine these focuses but also narrow them to the field of English language teaching. Furthermore, despite the importance ofEnglish language teaching in Japan and the frequency ofattempts to reform that system, no studies dealing with this specialized area have been reported. Chapter two provides background and a chronological overview ofthe ELEC effort in Japan. It explains John D. Rockefeller 3rd's interest in and support for reforming ELT vii in Japan. It also provides background on Charles C. Fries and his Oral Approach to ELT. The major portion ofthis chapter is devoted to a chronological overview ofELEC­ related events. The story of ELEC is traced, beginning with the early exploratory phase and going on to the establishment ofthe the English Language Exploratory Committee, the first ELEC Specialists' Conference. and the involvement of Charles C. Fries in ELEC's campaign to reform ELT in Japan. Apart from Fries' involvement, ELEC's activities in producing textbooks, re-training English teachers, and establishing its English Language Institute are also discussed. Eventually, ELEC was incorporated as the English Language Education Council, and with Rockefeller help, it constructed its own building. Nevertheless, even though (and perhaps because) it had achieved stability, ELEC began to lose momentum, and Rockefeller (and Ford Foundation) support eventually shifted to other organizations for improving English language teaching in Japan. Nevertheless, a chronological account does not lead to the conclusions which can make the ELEC story truly useful. For that, an analysis ofthe ELEC experience is necessary, and chapter three presents the model and framework used for conducting this analysis. Various perspectives on change and models for explaining diffusion-of­ innovations phenomena are covered in this chapter, as well as the criteria for an adequate analytical model, leading to a discussion of Rogers and Shoemaker's paradigm ofthe innovation-decision process. This paradigm-supplemented with Havelock's "barrier factors," Richards' "secret life" factors, as well as a few others--forms the "hybrid" modeVframework
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