See attached.
We have examined the following topics related to Leadership in Today’s Schools.
● Leadership Theory
● Roles of School Leaders
● Decision Making
● Authority & School Culture
● Conflict Management
● Leading the Change Process
Instructions:
1. Based on the topics that we have explored, write a 5-7 page paper which
addresses your approach to the following areas (these should be relative to your
leadership platform):
● How will you make the transition from colleague or teacher to leader? What
supports do you envision needing or having? What should be your focus in
your first year?
● When faced with decisions, what will be your approach?
● What strategies will you employ to develop and/ or maintain a positive culture
in your institution, department or program?
● When faced with a major change initiative, how will you approach it?
● As conflicts arise in your institution, department or program, how will you
approach them?
2. Support your statements/ answers with evidence from the reading and other
scholarly sources.
Gorton, R. (2022). School Leadership and Administration: Important Concepts, Case Studies,
and Simulations (11th ed.). McGraw-Hill Higher Education (US).
https://bookshelf.vitalsource.com/books/9781266172724
Page 12
It has been said, “The organization without effective leadership is in trouble.”1 Most
administrators recognize that providing leadership is a major expectation for their role. This
expectation is emphasized both in educational literature and at various professional
meetings.
But what constitutes leadership? How does the administrator exercise leadership? In response
to these questions, literally hundreds of studies have been conducted, and thousands of articles
and many books have been written. Although these efforts have, in many instances, provided
insights into the subject of leadership, the concept remains elusive. In large part, this may be
because leadership involves the effective utilization of all the other concepts in this text, and it is
difficult to analyze as a distinct concept. This chapter reviews some of the relevant and seminal
research on literature in leadership as well as describes and analyzes particular concepts that
possess major relevance for the school administrator who wants to be an educational leader,
with particular emphasis on the notion of group leadership.
DEFINITIONS AND NEED FOR LEADERSHIP
Theorists, researchers, and practitioners have defined leadership in a variety of ways.2
Probably the most commonsensical definition was stated by Cowley in the 1920s: “The leader is
the one who succeeds in getting others to follow him [or her].”3 “Leadership is taking risks,
making mistakes and learning from those mistakes. Leadership provides the very foundation for
a sound educational program. When leadership is right, people are inspired to do their best.” 4
Individuals Can Lead; Groups Can Lead
https://bookshelf.vitalsource.com/books/9781266172724
As theorists and researchers began to analyze the term leadership, more elaborate and
sophisticated definitions evolved. Stogdill, a respected authority on the subject, defined
leadership as those activities engaged in by an individual or members of a group that contribute
significantly to the “development and maintenance of role structure and goal direction,
necessary for effective group performance.”5 Stogdill’s definition emphasizes that leadership
need not be limited to one individual, such as the school administrator, and that the focus of
leadership activities should be on increasing the performance effectiveness of the group.
Referring to Thomas Carlyle’s “Great Man” theory of history, Bennis suggests that perhaps
instead we should realize that to a great extent “our world has in fact been the product of ‘Great
Groups,’ teams of creative persons who banded together to achieve remarkable successes that
would not have been possible through a traditional hierarchical approach.”6 He emphasizes that
a shared dream is at the heart of each “Great Group” and that individual egos are put aside in
order to pursue the dream. Bennis writes that leadership is dispersed among Great Groups, not
necessarily by formal rotation rules but by different group members assuming different types of
leadership roles at different times and in different situations according to their individual abilities.
Thus the group itself can be a leader at the same time that various members are leaders within
the group. Certain traits characterize team or group leaders, according to Bennis: namely,
providing direction and meaning, generating and sustaining trust, displaying an eagerness to
take action, and spreading hope.7
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Empowerment
The concept of empowerment has increasingly dominated the research on group leadership and
group dynamics and has had an impact on the way leadership is defined. According to Taylor
and Rosenbach, “Leadership involves assisting everyone working with the organization to
collectively gain control over resources for the common good.”8 Conger and Kanungo define
empowerment as “a process of enhancing feelings of self-efficacy among organizational
members through identification of conditions that foster powerlessness and through their
removal by both formal organizational practices and informal techniques of providing efficacy
information.
”9
Conger stresses four ways in which effective leaders empower subordinates. First, they
structure tasks so that staff members have success and are rewarded. Second, they use verbal
persuasion to convince followers that they are able to successfully complete difficult tasks.
Third, effective leaders reduce tensions and build excitement and pride in the organization.
Finally, good leaders model empowerment through their own behavior, showing that they, too,
are empowered when interacting with their superiors and thereby demonstrating what
self-confidence can accomplish.10
Lilly, on the same subject of empowerment, writes that “power is the ability to get things done,
rather than the ability to get one’s way against resistance.”11 He distinguishes between
distributive power and collective power. The former is adversarial and controlling, whereas the
latter results from empowering all individuals involved. The use of collective power increases the
power of all people as they reach the goals together that may have eluded them independently.
According to Lilly, the powerful administrator is not independent but rather interdependent.
Evidence that a group is truly empowered may be seen in a situation in which (1) people feel
significant because everyone is making a contribution, (2) leaders model behavior that values
the learning and competence of people in the organization, and (3) the work is viewed as
exciting. Finally, leaders who empower their employees pull them, rather than push them, to a
goal by embodying the vision toward which the rest of the group strives.12 Effective leaders are
themselves empowered and seek to do the same for their staff. They are willing to take risks
and encourage their subordinates to be risk takers. To quote Morris, “Risk taking leaders do not
wait for the future to occur. They create the future by actively engaging in it.”13
Administrators, Managers, and Leaders
Another major contribution to the literature on leadership, one that the authors believe to hold
significant implications for the educational administrator, was developed by Lipham.14 Lipham
made an important distinction between the administrator and the leader. He defined the
administrator as “the individual who utilizes existing structures or procedures to achieve an
organizational goal or objective.”15 He went on to say, “The administrator is concerned primarily
with maintaining, rather than changing established structures, procedures, or goals.”16 Thus the
administrator, according to Lipham, must be viewed as a stabilizing force.
In contrast, the leader as defined by Lipham, “is concerned with initiating changes in established
structures, procedures or goals; he [or she] is a disrupter of the existing state of affairs.”
Leadership, to Lipham, is “the initiation of a new structure or procedure for accomplishing
organizational goals and objectives.”17 Consequently, an administrator can be a leader by
attempting to introduce change, but is not a leader simply because he or she happens to occupy
what has been referred to as a “leadership position.” It is not the position that determines
whether someone is a leader; it is the nature of that individual’s behavior while occupying that
position.
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WINDOW ON DIVERSITY
Leadership
CULTURALLY PROFICIENT LEADERSHIP CONTINUUM
1. Cultural destructiveness: See the difference, stomp it out—the elimination of other
people’s cultures.
2. Cultural incapacity: See the difference, make it wrong—belief in the superiority of
one’s culture and behavior that disempowers another’s culture.
3. Cultural blindness: See the difference, act like you don’t—acting as if the cultural
differences you see do not matter, or not recognizing that there are differences among
and between cultures.
4. Cultural precompetence: See the difference, respond inadequately—awareness of the
limitations of one’s skills or an organization’s practices when interacting with other
cultural groups.
5. Cultural competence: See the difference, understand the difference that difference
makes—interacting with other cultural groups using the five essential elements of
cultural proficiency as the standard for individual behavior and school practices.
6. Cultural proficiency: See the differences and respond positively and
affirmingly—esteeming culture, knowing how to learn about individual and
organizational culture, and interacting effectively in a variety of cultural environments.
ESSENTIAL ELEMENTS
These elements provide the standards for individual behavior and organizational practices:
● Name the differences: Assess culture.
● Claim the differences: Value diversity.
● Reframe the differences: Manage the dynamics of difference.
● Train about the differences: Adapt to diversity.
● Change for differences: Institutionalize cultural knowledge.
Page 15
Kotter has written that “management is about coping with complexity,” a necessary response to
the complexity of modern organizations, whereas leadership “is about coping with change” and
is more necessary than ever before because of the vast changes taking place today; but he
stresses that both management and leadership are necessary and should be considered
“complementary systems of action.” Although Kotter’s discussion focused on the business
world, his point applies to education as well.18 Similarly, Conger and Kanungo also make a
distinction between leader and manager, contending that motivation is the “very essence” of true
leadership, coupled with the ability of leaders to build an emotional attachment with their
followers. Leaders also use intuition, which is “insight, judgment, and executive ESP.” Smith
writes that good followers can be easily identified by these qualities. For example, followers
listen, read the administrator’s memos, brag about their colleagues, are kind to others, do not
get involved in petty staff disputes, think in terms of “we” not “me,” adjust their personal and
school schedules to benefit others, think of themselves as part of a team or group, ask what
they can do to help, recognize that “imitation is the sincerest form of flattery,” share everything,
and pitch in to help without being asked.19 The leader’s behavior, according to Conger and
Kanungo’s research, is characterized as charismatic and visionary. One important personality
trait is the leader’s understanding of the need for power and the approach to its use. The leader
must also have the organizational vision necessary to direct the organization into its future and
the ability to articulate this vision.20
As Lipham acknowledged, however, the administrator who adopts the role of leader will be
unable to spend time on leadership only. Adequate attention must also be devoted to
administering the school. There is considerable doubt whether an organization can successfully
maintain itself if the administrator spends all or most of the time in initiating new procedures or
goals. Nevertheless, it is equally clear that organizational improvement may suffer if the
administrator spends all of his or her time maintaining the status quo. As Bennis aptly observes,
“Managers are people who do things right; leaders are people who do the right things,” and
good managers successfully handle the routine daily jobs, but seldom question whether these
jobs should be done in the first place.21 If the organization is to improve its effectiveness and
reach new heights, the administrator must initiate change in procedures and organizational
goals—and if these changes achieve the desired ends, then the administrator has not only
attempted to exercise leadership but also succeeded in exercising effective leadership, which
seems to be needed more than ever in education.
Why Leadership Has Become So Important
Although the professional literature on school administration has long emphasized that one of
the major responsibilities of the school administrator is to provide leadership, this emphasis has
taken on new urgency in recent years. Beginning in the 1970s with the “effective school”
research22 and continuing into the early years of the twenty-first century, with various national
and state reports recommending major changes in education,23 the school administrator has
frequently been cited as a pivotal figure in bringing about needed school reform and
improvement. While some may doubt whether all, or, for that matter, many school administrators
possess the necessary qualities for leadership,24 there is general agreement that administrative
leadership is needed if the schools are to improve significantly.25
New developments in leadership theory, for example, have focused on such matters as values
and beliefs frequently embedded in the mission of the school or school district;26 vision or
“aesthetic motivation”;27 and the role of symbols, culture, and purpose.28 Whether the focus is
on defining a clear school purpose and mission, developing a definite set of staff expectations
for improved student learning, providing an orderly school environment where serious learning
can take place, or one of the other elements that school effectiveness research has identified,29
some type of leadership contribution by the school administrator seems necessary.
Page 16
Parks and Barrett stress that future administrators must be leaders of leaders by demonstrating
the following abilities: recognizing, rewarding, and supporting the work of new leaders; coaching
the leaders on values, missions, and goals of the school and school system; supplying
necessary resources, such as release time, money, staff support, facilities, and equipment;
providing tools for review and reflection of their work; promoting opportunities for leadership skill
enhancement; giving credit to new leaders while maintaining responsibility; consulting often with
and delegating freely to new leaders; and supporting these leaders’ decisions.30
In the following sections, several theories of leadership containing the most useful ideas for the
school administrator will be presented, including an exploration of the administrator’s leadership
role in working with groups. Leadership in this 21st century must also be for and about social
justice. One major approach to leadership examines the behavior of effective leaders. Another
approach emphasizes the situation in which the leader functions.
SEMINAL STUDIES IN LEADERSHIP AND TYPES OF LEADERSHIP
Trait Studies
Some of the first theories regarding leadership revolved around the study of traits. These
studies attempted to identify traits that could be used to differentiate between leaders and those
who are not. A hierarchical organizational structure housed its leaders at or near the top with
trait theories, and the focus was on developing habits, approaches, viewpoints, or traits to
become successful. In 1948 Stogdill noted that even though leaders exhibited some general
managerial advantages over those who were not leaders relative to some traits, there were no
characteristics or traits exhibited by leaders that were clearly superior. Current literature
focusing on leadership traits include Stephen Covey’s Seven Habits of Highly Effective People
and John Wareham’s The Anatomy of a Great Executive.31
Behavior Studies
From the 1930s, 1940s, and 1950s come the well-known behavior studies conducted at major
midwestern research universities. In 1938, Lewin, Lippitt, and White, researchers at Iowa,
conducted a group of studies called the “Leadership and Group Life” (also known as “The Iowa
Studies”) on the productivity of subordinates using three styles: autocratic, democratic, and
laissez-faire.32 The autocratic leader was very direct and had strong decision-making skills, and
power resided with this individual. The leader who was identified as laissez-faire gave complete
decision-making power to the group. The researchers found a “democratic style” of leadership
to be superior to the more autocratic or laissez-faire styles. The new democratic style was
touted as more productive because this individual shared the decision making with the group. It
was later generalized from this study to corporate settings.33 The effective school leader in the
twenty-first century will also employ this democratic style of leader behavior to foster a
collaborative community of learners.
Page 17
Another series of studies on leadership was done at The Ohio State University, beginning in the
1950s.34 Researchers found two critical characteristics either of which could be high or low and
were independent of one another: Consideration is the degree to which a leader acts in a
friendly and supportive manner toward his or her subordinates; initiating structure is the degree
to which a leader defines and structures his or her role and the roles of the subordinates toward
achieving the goals of the group. The research was based on questionnaires to leaders and
subordinates. These are known as the Leader Behavior Description Questionnaire (LBDQ) and
the Supervisor Behavior Description Questionnaire (SBDQ).
The 1950s also found researchers at the University of Michigan conducting research on leader
behavior, wherein three critical characteristics of effective leadership were found: task-oriented
behavior, relationship-oriented behavior, and participative leadership. With task-oriented
behavior, effective managers did not do the same kind of work as their subordinates. Their tasks
were different, and included planning and scheduling work, coordinating activities, and providing
necessary resources. They also spent time guiding subordinates in setting task goals that were
both challenging and achievable. Those managers who displayed relationship-oriented behavior
concentrated not only on the task but also on their relationship with their subordinates. They
were more considerate, helpful, and supportive of subordinates, including helping them with
their career and personal problems. They recognized effort with intrinsic as well as extrinsic
reward, thanking people for effort. Overall, the effective managers preferred a general and
hands-off form of supervision rather than close control. They set goals and provided guidelines,
but then gave their subordinates plenty of leeway as to how the goals would be
achieved.
Finally, those who practiced participative leadership managed both at the group level and at the
individual level, for example, using team meetings to share ideas and involve the team in group
decisions and problem solving. By their actions, such leaders model good team-oriented
behavior. The role of the manager is more facilitative than directive, guiding the conversation
and helping to resolve differences. The manager, however, is responsible for results and is not
absolved of responsibility. As such, the manager may make final decisions that take
recommendations from the team into account. The effect of participative leadership is to build a
cohesive team that works together rather than a set of individuals.35
Parallel to the university studies, in research conducted by Halpin, the behavior of aircraft
commanders and school superintendents was studied, and two sets of behavior were found to
be associated with effective leadership: initiating structure and consideration.36 The leader who
assumes an initiating structure leadership role will attempt to define the behavior expected from
each member of the organization and will emphasize the importance of “getting the job done.” In
a sense, this behavior is similar to that of a nomothetic leader, first conceptualized by Getzels, in
that work-related needs rather than the personal needs of the members of the group are
emphasized.37 The importance of this type of behavior has been documented in studies of
principals in effective schools. For example, one study observed, “[The principal] sets clear
expectations for the teachers, and all staff as professionals are accountable for the results of
their efforts.”38 Another study reported, “These [effective] principals set high academic
standards.”39 A related report on effective schools sees the principal framing and
communicating goals, setting expectations, monitoring instructional progress, coordinating the
curriculum, and supervising and evaluating the faculty.40
Page 18
The second leadership variable identified by Halpin was a factor termed consideration. Whereas
the “initiating structure” aspects of leadership are task-centered, the “consideration” aspects are
people-centered. The administrator who assumes the consideration leadership role will attempt
to develop a positive and satisfying relationship between leader and followers and will try to
promote a spirit of cooperation among the different members of the group being led. This type of
leadership has also been characterized by Getzels and his colleagues as idiographic
leadership, in that it stresses the personal and emotional needs of the members of the group.41
As emphasized by Finn, “Effective principals require the ability to work closely with others.”42
In sum, consideration behavior on the part of a leader represents an attempt to meet the
maintenance needs of a group, whereas initiating structure can be regarded as behavior
designed to help a group achieve its objectives.
Some administrators may feel that they are leaders if they either initiate structure or provide
consideration. Halpin emphasizes, however, that both types of behavior are important.43 That
is, the leader must initiate action and get things done; but in most situations, in order to achieve
these objectives successfully, the leader must meet the personal and emotional needs of people
to secure their continuing cooperation and commitment. This style of leadership has been
referred to by Getzels and colleagues as transactional leadership.
For example, if an administrator emphasizes the initiation of structure in order to facilitate
organizational achievement but neglects the needs of a group for consideration, cooperation in
achieving the goals of the organization may not be attained. If, on the other hand, an
administrator stresses the consideration dimension but pays insufficient attention to the initiation
of structure needed to promote organizational achievement, the administrator may succeed in
meeting a group’s needs for maintenance but may fail to meet fully the organization’s needs for
achievement.44
In the 1960s, Blake and Mouton introduced their Managerial Grid with two dimensions (axes) of
leadership orientation: concern for production (task) and concern for people (relationship). Here
five leadership styles were identified via the two axes of the grid:
1. Authoritarian leader (high task, low relationship): People who get this rating are very
much task-oriented and are hard on their workers (autocratic). There is little or no
allowance for cooperation or collaboration. Heavily task-oriented people display these
characteristics: They are very strong on schedules; they expect people to do what they
are told without question or debate; when something goes wrong they tend to focus on
who is to blame rather than concentrate on exactly what is wrong and how to prevent it;
and they are intolerant of what they see as dissent (it may just be someone’s creativity),
so it is difficult for their subordinates to contribute or develop.
2. Team leader (high task, high relationship): These people lead by positive example and
endeavor to foster a team environment in which all team members can reach their
highest potential, both as team members and as people. They encourage the team to
reach team goals as effectively as possible, while also working tirelessly to strengthen
the bonds among the various members. They normally form and lead some of the most
productive teams.
3. Country club leader (low task, high relationship): These people use predominantly
reward power to maintain discipline and to encourage the team to accomplish its goals.
Conversely, they are almost incapable of employing the more punitive coercive and
legitimate powers. This inability results from fear that using such powers could
jeopardize relationships with the other team members.
4. Page 19
5. Impoverished leader (low task, low relationship): Leaders who use a “delegate and
disappear” management style. Since they are not committed to either task
accomplishment or maintenance, they essentially allow their team to do whatever it
wishes and prefer to detach themselves from the team process by allowing the team to
suffer from a series of power struggles.
6. Organization non manager: A leader who maintains the status quo.
The team leader would be the most desirable place for a leader to be along the two axes and at
most times would be with a 9 on task and a 9 on people.45
Updated in 1991, the New Managerial Grid46 identifies seven new styles, which Blake and
McCanse found to be the most important differences among leaders:
1. Control and dominate (dictatorial)
2. Yield and support (accommodating)
3. Balance and compromise (status quo)
4. Evade and elude (indifferent)
5. Prescribe and guide (paternalistic)
6. Exploit and manipulate (opportunistic)
7. Contribute and commit (sound)
SITUATIONAL LEADERSHIP AND CONTINGENCY MODELS
In addition to the emphasis on the characteristics of leadership and the behaviors of effective
leaders, there is another major approach to leadership—an approach built less around the
person and more around the situation in which the person functions. The nature of a particular
situation is considered to be the most important variable determining how the leader operates.
This school of thought rejects the premise that one approach to leadership is preferable to
another. Instead, the proponents of situational leadership set forth two primary propositions that
(1) the leadership approach employed by an individual should be relative to the situation and (2)
different situations demand different kinds of behavior from the leader.47 Figure 1.1 presents
several major situational factors that could influence the type of leadership needed in a school
or school district.48
▪FIGURE 1.1 SITUATIONAL VARIABLES AND LEADERSHIP
Page 20
As a conference on effective schools sponsored by the National Institute of Education made
clear:
There are very important contextual factors such as composition of the teaching
staff, the student body, the community, the district situation, state mandates, and
the principal’s own past experience that seem to shape how the principals
accomplish their role.49
Although the empirical evidence is not conclusive,50 there is considerable observational
experience to support the situational theory of leadership. For example, persons who are
appointed or elected as leaders in one situation may not be chosen again when circumstances
change. Individuals who are successful in leading a group in a given situation may not be
successful with a different group or at another time.
The importance of situational leadership can easily be observed in educational administration.
The individual for any specific administrative position is usually selected primarily by criteria of
certain personal qualities and a style of leadership that meet the needs of the work situation.
School boards, for instance, do not all look for the same type of leader to fill the position of
superintendent. They want an individual who they feel will provide the type of leadership to meet
the unique needs of the school district. In one situation, a school board may look for a
superintendent who can successfully introduce basic changes in the schools, perhaps over the
strong opposition of a number of people. At another time the board may want a superintendent
who can play the role of harmonizer and who can ameliorate the conflicts between the school
and its constituencies. On each occasion, the school board will seek someone who possesses
the unique personal qualities and leadership style for a particular situation.
Circumstances change, and herein lies one of the fundamental problems of administration. The
administrator who has been appointed for one situation via certain leadership characteristics
may lack the necessary qualifications when a different set of circumstances arises. Perhaps a
principal is hired because of organizational ability and a background in curriculum. For several
years the principal operates a very efficient school and introduces several curricular innovations.
Gradually, the principal gains recognition as an outstanding educational leader in the district.
Things begin to change during the fifth year, however. Racial conflicts erupt; teachers become
more militant and demand a colleague-like relationship with the administration; the community
grows more critical of the school; and antagonism develops between teachers and parents.
Obviously, new characteristics and problems have been added to the situations in which this
principal functions. The reasons for these changes are not immediately evident, but it is clear
that a different set of personal qualities and a different leadership style are now required from
the principal. Whether or not the administrator in this situation can meet the new requirements is
undetermined. Success as an appointed leader, however, will greatly depend on the extent to
which a principal possesses or develops the attitudes, skills, and approaches necessary to
respond adequately to new circumstances.
In 1977, Hersey and Blanchard’s Situational Leadership, originally called the “life cycle theory of
leadership,” became popular. Their theoretical model posits that the developmental levels of a
leader’s subordinates play the greatest role in determining which leadership styles are most
appropriate (leader behaviors). According to this conceptualization, leader behaviors fall along
two continua: (1) directive behavior and (2) supportive behavior. These two continua involve the
following styles:
Page 21
● Delegating style—allowing the group to take responsibility for task decisions; this is a
low-task, low-relationship style.
● Participating style—emphasizing shared ideas and participative decisions on task
directions; this is a low-task, high-relationship style.
● Selling style—explaining task directions in a supportive and persuasive way; this is a
high-task, high-relationship style.
● Telling style—giving specific task directions and closely supervising work; this is a
high-task, low-relationship style.
Hersey and Blanchard believed that leaders should be flexible and adjust their styles as
followers and situations change over time.51
The situational theory of leadership maintains that no particular style of leadership or personal
qualities of a leader is appropriate for every situation. The theory places a high premium on the
administrator’s adaptability and flexibility. A major problem with this theory, however, is that
many administrators are influenced in their choice of a leadership style and in the way they
behave as a leader by their own personality and need disposition, which tend to be rather
consistent and unchanging over time and in different situations. Therefore, although the nature
of the demands for leadership in education frequently changes, an administrator’s basic
personality may not make it possible to adapt individual leadership style to a new situation.
Badaracco and Ellsworth have addressed this problem. They stress that leaders have certain
personality traits that make it difficult to change styles to match the situation. They suggest
leaders use their own personal philosophies of management and leadership to solve situational
dilemmas or problems.52
One way to ameliorate this problem is for organizations and groups to select those
administrators who are, or who can become, flexible and adaptable in their leadership
responses to changing leadership demands. Another possibility is to select leaders who
possess the type of personality characteristics and leadership style for the leadership demands
of the situation, and then rotate these leaders to a new environment when the current situation
changes. This approach is suggested by the contingency model, which attempts to incorporate
the factors of personality, leadership style, and the nature of the situation by focusing on the
interactive dynamics of these three variables.53 A leading theorist of this school of thought is
Fred Fiedler, who has researched and written extensively on the topic.54 The approach is
termed the contingency model because it is based on the assumption that effective leadership is
contingent on a compatible relationship between the administrator’s personal qualities and style
and the demands of the situation.
Path-Goal Theory
The path-goal theory of leadership was developed to describe the way that leaders encourage
and support their followers in achieving the goals they have been set by making the path that
they should take clear and easy. In particular, leaders clarify the path so subordinates know
which way to go, how to remove roadblocks that are preventing them from going there and
increase the rewards along the route. Leaders can take a strong or limited approach in these. In
clarifying the path, they may be directive or give vague hints. In removing roadblocks, they may
scour the path or help the follower move the bigger blocks. In increasing rewards, they may give
occasional encouragement or pave the way with gold.
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This variation in approach will depend on the situation, including the follower’s capability and
motivation, as well as the difficulty of the job and other contextual factors.55
House and Mitchell (1974) describe four styles of leadership:56
● Supportive leadership: Considering the needs of the followers, showing concern for their
welfare, and creating a friendly working environment. This includes increasing the
followers’ self-esteem and making the job more interesting. This approach is best when
the work is stressful, boring, or hazardous.
● Directive leadership: Telling followers what needs to be done and giving appropriate
guidance along the way. This includes giving them schedules of specific work to be done
at specific times. Rewards may also be increased as needed and role ambiguity
decreased (by telling them what they should be doing). This may be used when the task
is unstructured and complex and the follower is inexperienced. This increases the
follower’s sense of security and control and hence is appropriate to the situation.
● Participative leadership: Consulting with followers and taking their ideas into account
when making decisions and taking particular actions. This approach is best when the
followers are expert and their advice is both needed and they expect to be able to give it.
● Achievement-oriented leadership: Setting challenging goals, both in work and in
self-improvement (and often together). High standards are demonstrated and expected.
The leader shows faith in the capabilities of the follower to succeed. This approach is
best when the task is complex.
Leaders who show the way and help followers along a path are effectively “leading.” This
approach assumes that there is one right way of achieving a goal and that the leader can see it
and the follower cannot. This casts the leader as the knowing person and the follower as
dependent.57 It also assumes that the follower is completely rational and that the appropriate
methods can be deterministically selected depending on the situation.
TODAY’s EFFECTIVE LEADERS
In their studies of more than 20,000 people on four continents, Kouzes and Posner identified the
top four qualities constituents expected in leaders. These researchers found that leaders
perceived as effective are honest, forward-looking, inspirational, and competent.58 In addition,
successful leaders keep their promises, align their actions to be consistent with the wishes of
the people they lead, believe in the inherent self-worth of others, are capable of making a
difference in the lives of others, admit their mistakes, arouse optimism about success, and
create a climate for learning that is characterized by trust and openness.
Page 23
In further research, Kouzes and Posner examined case studies and questionnaire surveys to
see what practices marked personal-best examples of leadership. They found five basic
practices that marked such leadership: challenging the process, inspiring in others a shared
vision, enlisting the support of others and enabling them to act, setting an example by their own
behavior, and encouraging the hearts of others to keep persevering in living out the shared
vision.59 Kouzes and Posner define leadership as “the art of mobilizing others to want to
struggle for shared aspirations.”60 They consider the words “want to” essential to the definition.
Ultimately the effective leader is one who employs what Randall Lindsey, Kikanza Nuri Robins,
and Raymond Terrell have successfully introduced into the literature, culturally proficient
leadership. Taking into consideration the leadership challenge, the culturally proficient leader is
one who esteems culture, knows how to learn about individual and organizational culture, and
interacts effectively in a variety of cultural environments (see “Window on Diversity-Leadership
on p. 13).61
Transformational and Transformative Leadership
In 1978 Bernard Bass coined the term “transformational leadership.” Known as the “Father of
Transformational Leadership,” Bass defined the phrase in terms of how the leader affects
followers, who are intended to trust, admire, and respect the transformational leader. He
identified three ways in which leaders transform followers:
● Increasing their awareness of task importance and value.
● Getting them to focus first on team or organizational goals, rather than their own
interests.
● Activating their higher-order needs.62
“Transformational leadership,” as described by Leithwood, “is a form of consensual or facilitative
power that is manifested through other people instead of over other people.” It is composed of
the following three elements: (1) a collaborative, shared decision-making approach; (2) an
emphasis on teacher professionalism and empowerment; and (3) an understanding of change,
including how to encourage change in others. Important skills necessary for transformational
leaders are the abilities to see the complete picture, to concentrate on continuing school
improvement, to foster a sense of ownership within the school community, and to create and
work in teams.63 Hoerr reveals that implementing the team approach is not an easy task. It
requires more time, a redefinition of roles, and a shift in accountability because everyone plays
an active part in deciding solutions.64 Scholtes offers several guidelines for consideration in
creating teams. The more complex an issue is, the more it will require several members or
subgroups to divide it into workable components. Various disciplines and areas of expertise can
be represented by different individuals. In addition, a group can better sustain the changes
produced by a task requiring prolonged effort.65 Poplin summarizes future effective leadership
by writing, “While our new role of administrator/servant places leaders at both the top and
bottom of the hierarchy, administrators of the future who can tolerate the ambiguity of the role
will spark the change that can only happen inside institutions where everyone is growing.”66
A contemporary view of transformational leadership is found in the research on spiritually based
leadership theories. Dantley notes that “spirituality is that component of our total selves and
community through which we make meaning and understanding of our world. It is our
foundation of values, principles, influences and ethics that we exhibit in our interactions with
others.”67 Here is found the linking of spirituality, transformational leadership, and leaders as
moral agents, which is explored via Cornel West’s notions of deep-seated moralism,
inescapable opportunism, and profound pessimism. For educational leadership, Dantley
expresses these notions as principled leadership, pragmatic leadership, and purposive
leadership:68
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1. Principled leadership: Based on idographic morality (leader’s reflective journey regarding
right and wrong) and nomothetic morality (using self-reflection for systemic
transformation), principled leadership begins with a careful and critical reflection of one’s
position on issues of justice, democracy, and fairness. It is initiated when an individual
questions the democratic efficacy of administrative decisions and procedures he or she
is demanded to implement.
2. Pragmatic leadership: These leaders view their leadership role as one that not only
promotes the acquisition of skills necessary for successful academic achievement but
also emphasizes using those skills to bring about social, educational, political, and
economic change. They understand that “schools can either reproduce or challenge the
constructions that have been traditionally promulgated through educational institutions.”
3. Purposive leadership: Purposive leadership is focused on “transforming school districts
or implementing change in local school sites.” This leadership becomes the impetus for
innovative change.
Aligned with the notion of spirituality and leadership is the literature on servant leadership.
Robert K. Greenleaf coined the term servant leadership in his 1978 essay,” The Servant as
Leader. “In this essay, he defines servant leadership as a way to serve and lead as a method of
expanding service to individuals and institutions.69 McClellan’s critical servant leadership is an
expansion of servant leadership by combining it with critical spirituality. It is the by-product of the
infusion of two radical perspectives, which are critical theory and Cornel West’s notion of
prophetic spirituality.70 Critical spirituality has three major components. The first component is a
prophetic spirituality, which is a combative spirituality and frames the urgency for institutional
and personal transformation. The second component is the impact of reflection on the leader(s).
The third and final component is a spirit-filled resistance that proposes a project or praxis for self
and institutional change.71 Critical servant leadership is more than a theory or theoretical
perspective. It is a way of being.
Moving transformational leadership to another level is Transformative Leadership. The concept
of transformative leadership has the potential to create learning environments that are
academically excellent, equitable, inclusive, and socially just, even in the face of the volatile,
uncertain, complex, and ambiguous world of education today.72 According to Weiner,
transformative leadership is an exercise of power and authority that begins with questions of
justice, democracy, and the dialectic between individual accountability and social
responsibility.73 It is an ethically-based leadership model that integrates a commitment to
values and outcomes by optimizing the long-term interests of stakeholders and society and
honoring the moral duties owed by organizations to their stakeholders.74 Transformative
leadership like critical servant leadership is a way of being, not just a way of doing.
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Distributed Leadership
Distributed leadership centers around a different model within the school where the distinctions
between followers and leaders tend to blur.75 It incorporates the activities and efforts of multiple
groups in a school who work at guiding staff in the instructional change process.76 The
distributed leadership model involves distributing responsibility on all administrative levels,
working through teams, and engendering collective responsibility.77 In the distributed leadership
model, the principal shares authority and power; teachers take leading roles, assume
responsibility, and act independently as individuals or groups. However, the distributed
leadership model “does not necessarily imply that the entire faculty controls decisions related to
the school. Rather, principals create leadership positions that allow capable and willing teachers
to work in a more focused leadership capacity.”78 According to James Spillane, distributed
leadership is first and foremost about leadership practice rather than leaders or their roles,
functions, routines, and structures. Furthermore, distributed leadership is a perspective—a
conceptual or diagnostic tool for thinking about school leadership. It is neither a blueprint for
effective leadership nor a prescription for how school leadership should be practiced. It is
leadership in a system of practice comprised of a collection of interacting components: leaders,
followers, and situation. These interacting components must be understood together because
the system is more than the sum of the component parts or practices.79
In using a model of Distributed Leadership, the Massachusetts Department of Education makes
the following assumptions:
● The principal is the building administrator and the key leader in the building’s leadership
team, which may include assistant principals, department heads, guidance counselors,
teacher leaders, and others. At the district level, the principal participates in the
district-wide administrative team as a representative for their building and a steward of
the district’s mission, vision, and strategic goals.
● Leading is not the same as doing. The key assumption for effective distributed
leadership is not which functions or tasks can be delegated completely to an individual
or group of individuals, but what level of involvement in those functions or tasks is most
appropriate and strategic (e.g., most connected to core mission, greatest result for effort)
for the building administrator to fulfill. Distributed leadership requires large and
small-scale role changes across the district. Some changes will be harder to make than
others, and may require either negotiation or planning on a person-to-person level.
Certainly, the implementation of distributed leadership strategies will look different at
every school and district. To be effective, any of the distributed leadership strategies
must be integrated with existing systems and processes, rather than requiring new
teams, additional meetings, etc. The focus of these systems and processes will
necessarily reflect a deeper understanding and discussion of people, potential, and
results.
● Distributed leadership requires interdependence to work effectively. Those who lead,
have primary responsibility for, or coordinate major functions (such as Curriculum and
Instruction, or Operations) must connect their work with all important stakeholders,
including those with subject matter or content expertise, to fulfill their objectives. These
teams must collaborate and cooperate with full and shared knowledge of the goals,
activities, and resources of other teams.
● The Superintendent and Principal are responsible for establishing a high performance
team culture in the district and the schools, respectively. As leaders, they need to remain
involved in human resources development at the highest level (e.g., leading change,
promoting effective work environments, coaching and mentoring staff, engaging in
career development discussions, defining leadership development opportunities, hiring
key positions, etc.). However, the more routine aspects of human resources
management (e.g., benefits, policy implementation, coordinating HR activities with
Central Office) may be handled locally by a Business Manager and his/her administrative
support staff.
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● Distributed leadership focuses on maximizing underutilized resources both within and
outside the district. True change requires the combined efforts of administrators,
teachers, teacher-aides, support staff, parents, and even students to leverage all the
available skills, experience, interest, and knowledge toward the enhancement of student
achievement. This change must cascade from the district to the schools to the classroom
to ensure equitable realignment of tasks system-wide.
● Finally, there is not one model or one strategy that is a prerequisite for success. Each
district and school must evaluate its own situation to develop a plan for distributed
leadership that achieves the greatest return on investment.80
Four Key Aspects of Distributed Leadership (DL)¶
1. Within a school, DL often takes the form of an instructional leadership team. This team
represents the larger school community, and each team member is involved because
of their content and pedagogical expertise rather than their years of experience or
formal leadership role in the school.
2. DL teams take on several important tasks in a school:
○ Supporting the development of high-quality teaching by leading
contentspecific, grade-level collaborative time;
○ Engaging teachers in cycles of observation, feedback, and reflection to adapt
and refine their instruction to meet their students’ needs;
○ Teaching and modeling how to apply a continuous improvement mindset to
teaching, learning, and leading;
○ Tracking and monitoring student level data to ensure school-wide student
progress; and
○ Providing other relevant job-embedded professional learning supports.
3. Principals and assistant principals are critical to enabling and sustaining the work of
DL teams. They do this by building the leadership capacity in the school and by
creating the conditions where expertise can be spread across the school so that
everyone can work individually and collectively to improve outcomes for students.
4. Distributed leadership is not about dividing tasks and responsibilities among
individuals. Instead, DL is concerned with the interactions among individuals (leaders
and those whom they lead) to drive instructional improvement and improved student
outcomes through the development of high-quality teaching and a culture where all
students can thrive.
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GROUP LEADERSHIP
The Group Dynamics Approach
To exercise leadership, an administrator will need to try to influence the various groups that are
associated with the school or school district.81 In some of these situations, the administrator
may be heading a group, such as the faculty; in other circumstances, the administrator may be
acting as an adviser to a group, such as the Parent Teacher Association (PTA); and in still other
contexts, the administrator may be in an adversarial relationship with a group, as for example, a
community pressure group. Regardless of the nature of the group or the relationship the
administrator has to the group, to be an effective leader, the administrator must possess
knowledge and skills in utilizing group dynamics concepts. In addition, ideas discussed in other
concept chapters of this text must be well understood and properly applied. It is impossible to
provide in this chapter a comprehensive treatment of a topic on which entire books have been
written, but an attempt will be made to present important aspects of group dynamics that a
school administrator should know.
Recognizing Possible Group Problems
When an administrator initially becomes the head of a group, individual or group problems are
seldom considered. Usually there is a task or goal to be achieved, and although the
administrator may be cognizant of certain problems, there is probably a lack of awareness of
most difficulties that the group may encounter. Although not all groups experience problems, the
administrator needs to realize that most groups encounter one or more of the following major
types of difficulties:82
● Lack of understanding by certain individuals as to why they are members of a group, and
a consequent lack of commitment to the group.
● Lack of understanding and/or acceptance by members of the group of the goal or task
the group is supposed to address.
● Difficulty in developing a constructive atmosphere that minimizes conflicting loyalties,
competition, and individualistic needs, and promotes positive attitudes and collaborative
efforts among the members of the group.
● Difficulty in keeping people’s attention and efforts focused on the task or goal to be
achieved.
● Inadequate group leadership, organization, or communication.
● Lack of knowledge, skill, or resources from members of the group.
● Inadequate follow-through on group decisions or assignments.
Because of the involuntary nature of the membership of many groups the administrator heads,
certain members of a group may lack both commitment and understanding of how or why they
have become members. The administrator may also experience a lack of leadership acceptance
by the members of the group. As a consequence of their lack of understanding, commitment,
and acceptance, certain members may express apathy or hostility, or both. The administrator
may also find it difficult to develop among members the feelings of cohesiveness and
collaborative effort that facilitate productivity.83
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In most of these situations, because of bureaucratic restrictions, the administrator perhaps can
do very little to avoid the problems described. The administrator can, however, be more aware
of the involuntary nature of the membership of most of the group, the circumstances by which
the administrator became the head of the group, and the possible implications of these two
factors. More effort could also be devoted to developing an understanding on the part of the
members regarding the reason or reasons they were included in the group and their potential
contributions and roles. For example, the administrator can attempt to demonstrate the ability to
lead and show an appreciation of the participation and contribution of each member. These
steps may not eliminate all the problems a group could encounter, but they should be helpful in
preventing many problems and ameliorating others.
In the final analysis, whether a group is ultimately successful depends as much on what
happens to the group after it has been in operation as it does on the initial formation of the
group and the way the group’s head was selected.
Developing a Productive Group: The Importance of Cohesiveness and Trust
An essential priority for an administrator in working with most groups, especially newly formed
ones, is the development of cohesiveness and trust. Group cohesiveness is the degree to which
the members of a group are attracted to the group, are willing to take personal responsibility for
its tasks, and are willing to engage in cooperative actions to achieve its goals.84 Group trust is
the extent to which the members of a group feel secure with each other and are open toward
each other.85 Both factors are important contributors to the effective functioning of a group.
Group Members Must Feel Valued
In order to develop a high degree of group cohesiveness, the administrator should consider
several needs. First, the members of a group need to feel that their membership is valued and
that they can make an important contribution to its effectiveness.86 This is particularly important
for the members of an involuntary group, such as an appointed faculty committee, with the
administrator as the head. The members of this type of group may not necessarily have wanted
to join the group and may have mixed feelings about their identity and contribution. It is not
unusual, however, for the members of other types of groups also to wonder about the extent to
which they are valued. People generally possess needs for self-respect, affection, and
recognition;87 group interaction can either meet these needs or leave them largely unfulfilled.
The administrator should try, to the extent possible, to meet these needs by showing the
members of the group that their participation is necessary and valued and by encouraging group
members to recognize and reward each other’s contributions. It also should be emphasized that
this kind of recognition and encouragement by the administrator must be conveyed periodically,
rather than only occasionally, or its impact will be diminished over time.
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Group Members Must Share Goals
A second major condition that will influence the cohesiveness of a group is the extent to which
its members understand the goals of the group and the extent to which these goals are
compatible with members’ personal goals.88 For example, a group will have a difficult time
developing a very high degree of cohesiveness if members do not understand the goals of the
group and/or do not agree with those goals. Although the administrator who is heading a group
may feel that a particular goal is essential and that group members should understand and
accept it, the members, in fact, may neither understand nor accept the goal, and for that reason
may become apathetic or hostile in response to efforts to involve them in working toward the
goal. Until the administrator can develop a better understanding and acceptance of the goal on
the part of the members of this group, cooperative action and progress may be limited.
Group Members Must Have a Spirit of Cooperation and Teamwork
A third major condition that can influence the degree of a group’s cohesiveness is the extent to
which the leader and members can work cooperatively between and among themselves.89
Cooperation, because it encourages acceptance and a feeling of esprit de corps, is necessary
for the effective accomplishment of many tasks and goals. It does not result automatically with
the forming of a group. The head of the group needs to help its members work cooperatively
with each other. According to Johnson and Johnson, several understandings must occur in
order for a group to develop cooperative interaction among its members.90
1. Individual members must understand the total problem or task to be addressed.
2. Individual members must see how each can contribute toward solving the problem or
accomplishing the task.
3. Individual members must be aware of the potential contributions of the other group
members and the need for coordination.
4. Individual members must understand and be sensitive to the other members’ problems.
5. Individual members must be aware of and accept the need for cooperation in order to
achieve the group goal.
The Need for Mutual Trust
While these five elements are important, the key to developing cooperative interaction and
cohesiveness in a group, according to Johnson and Johnson, is the development and
maintenance of a high level of trust among the members.91 If a group has a high level of trust,
its members will more openly express their feelings, concerns, opinions, and thoughts. If the
trust level is low, then group members are more likely to be evasive, competitive, devious,
defensive, or uncertain in their interaction with the other members. Cooperation and a positive
identification with and commitment to a group are unlikely with a low level of trust among its
members. For cooperative interaction and a high level of group cohesiveness to exist, there
must be openness, sharing, and acceptance among the members of a group—all ingredients of
a trusting relationship.92
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The administrator has an important role to play in developing a high level of trust among the
members of a group. Above all, the administrator must be trusting and cooperative, modeling
such behavior if the members are to behave similarly. The administrator cannot expect them to
behave in a trusting manner if the administrator does not demonstrate the qualities of
acceptance, openness, sharing, and nondefensiveness. The administrator will also need to
emphasize the importance of openness and acceptance among the members of the group and
reward these qualities when they surface. By developing a high level of trust among the
members, the administrator should find it possible to obtain cooperative action, and the group
should function with a higher level of cohesiveness. Grazian and Bagin offer the following
suggestions for building a climate of trust:
1. Practice the two-way street of communication. Giving information is not the end;
receiving feedback is.
2. Utilize face-to-face communication as often as possible. Do not rely too heavily on
memos and e-mail.
3. Examine each instruction for clarity of understanding. Be as specific as possible.
4. Learn to listen. Ask questions to demonstrate interest in and respect for others when
they speak.
5. Practice an open-door policy by getting out and talking with employees, agreeing to
disagree, and listening to new ideas.
6. Concentrate on building credibility with the staff; trust is based on believing in
someone.93
Effects of Group Size
Two additional conditions that can influence a group’s cohesiveness are the size of the group
and the similarity of background and interests of group members. In general, the larger the
group, the less cohesive it is likely to be. As Tsouderos has observed, “With an increased
membership there is a corresponding heterogeneity of the groups in terms of sentiments,
interests, dedication to the ‘cause,’ etc., and a corresponding decline in a feeling of intimacy and
frequency of interaction.”94 Although the administrator may not always have much discretion in
deciding on the size of the group, frequently such discretion is possible. Therefore, the
administrator should consider the impact of size on group cohesiveness whenever forming a
group, such as a committee or task force, to address a particular problem or task.
Importance of Both Common and Diverse Backgrounds and Interests
The administrator should also consider, to the extent possible, the similarity of background and
interests of individuals who might be appointed to a group. For the most part, the more the
members of a group have similar backgrounds and interests, the more probable it is that they
will like each other and be willing to work cooperatively together. On the other hand, in forming a
group, the administrator should keep in mind that it is not always to the advantage of the group
if everyone thinks the same way. Different backgrounds, experiences, and interests can
generate ideas over and above those developed in situations in which all the members think the
same way.95 Therefore, while the administrator should select group members with a fairly high
degree of similarity of background and interests in order to develop cohesiveness, the
administrator should also provide sufficient diversity to stimulate new ideas. The administrator
should not, however, provide for so much diversity in interests and thinking that it will be difficult
for the members of the group to agree upon and become committed to the achievement of
organizational goals.
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Leadership in Group Meetings
Most groups are scheduled for periodic meetings of one kind or another. The role of the
administrator in regard to these meetings will depend on whether or not the administrator is the
head of the group. As the leader, responsibility for planning and conducting the meeting and for
implementing the outcomes must be assured. This does not mean that the administrator is the
only one who should perform these functions. It is the administrator’s responsibility, however, to
see to it that these functions are carried out in such a way that the meetings are productive and
satisfactory to a majority of the group’s members. While most administrators may believe that
their group meetings are productive and satisfactory to the members, the members themselves
may be perceiving these meetings differently. For example, in a survey of the principals and
teachers in 11 school systems, Gorton and Herman found that most principals felt their faculty
meetings were productive and satisfactory to the faculty, whereas a majority of teachers
indicated the opposite.96 In general, teachers expressed dissatisfaction with the planning of the
meetings, the nature of problem solving during the meetings, and the lack of follow-up after the
meetings.
The world of business has been giving a great deal of attention to what the Web site
www.effectivemeetings.com calls “the meeting mania” sweeping across all types of
organizations today. An emphasis on teamwork and shared leadership has resulted in efforts to
make sure that everyone is informed and involved, and it is thought that meetings are the way to
carry out this goal. However, some businesses are noticing a decline in productivity as the
number of meetings increases. Meetings can eat up valuable time that could be spent on getting
tasks done. On the other hand, meetings can be a valuable investment of time if they are
conducted effectively. This is as true in the world of education as it is in business.
For too long, faculty meetings have followed the same old routines. With the increased focus on
standards, accountability, and testing, there needs to be a change to the existing model.
Blanchet suggests the following New Approaches to the Faculty Meeting Model97:
1. When you’re working on a collaborative initiative, want to ensure that teachers are
driving the decision-making, or simply ensure all teachers have a chance to voice their
opinions . . .
TRY
a. The Micro Faculty Meeting: Monthly meetings held over the course of two days
where leadership meets with smaller groups of teachers throughout the school
day in lieu of one big meeting.
i. Benefits
● Inclusive—Easier for people to engage in discussions and get involved
with the decision-making process.
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● Collaborative—Eliminates hierarchy. Creates a greater sense of
community among staff.
● Works with teachers’ schedules.
ii. Drawbacks
■ Time consuming for administrators.
■ Less cohesive—Not everyone will be on the same page.
2. When you need a more practical way to disseminate information, but still allow for
teacher input . . .
TRY
a. The Flipped Faculty Meeting: Leadership sends out the staff meeting agenda
(e.g., PowerPoint) in advance so that staff can review prior and spend meeting
time working together.
i. Benefits
■ Efficient—Quick way to get the word out on initiatives and to share
information.
■ Time Saver—Meeting time can be used for staff input and collaboration.
ii. Drawbacks
■ Still hard to give voice to most folks in a full faculty meeting.
■ Teachers might still not be engaged during the actual faculty meeting.
3. When you want staff to have the opportunity to learn from one another . . .
TRY
a. The Edcamp Style Faculty Meeting: Faculty meeting time is broken up into
breakout sessions selected and led by colleagues.
i. Benefits
● Boosts staff engagement.
● Sparks collaborative initiatives.
● Personalized toward staffs’ interests.
ii. Setbacks:
● Required information/initiatives might not make it to everyone.
● Less cohesive—not everyone will be on the same page.
When teachers feel valued and respected, it improves job satisfaction. When they feel heard
and are able to contribute to the decision-making process, it can make them less likely to leave.
Faculty meetings provide the time and space for teachers to come together to address school
concerns—they just need a timely revamp to ensure that the meeting is relevant and meets its
potential.98
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A FINAL NOTE
In all, for effective leadership in twenty-first-century schooling, school administrators must be
attuned to the complexities of changing demographics as well as the needs of those persons
who have been traditionally excluded from the core of educational reform.99 School leadership
in this new millennium must understand and embrace that cultural, racial, economic, linguistic,
and other “borders” must be crossed to ensure that the ever-changing demographics of public
schools are considered in efforts to create effective centers of learning that facilitate the
academic success of all students. In order to have effective schools where all students achieve,
we must find ways to manage our crossings for a successful existence in the “borderlands”
between culture.100 Strong leadership by today’s school administrator is needed to understand
and address the educational structures in which prejudice and discrimination affect student
learning,101 that is, tracking, standardized testing, curriculum, pedagogy, physical structure of
the school, disciplinary policies, and limited roles of students, teachers, and parents and
families. Finally, strong and effective school leadership should also be culturally responsive so
that leaders can effectively serve minoritized and historically marginalized populations by
engaging students, parents, teachers, and communities to positively impact learning by
honoring indigenous heritages and cultural practices.102
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CHAPTER 7
Change
APPLICABLE PSEL STANDARDS*, †
▪ Standard 1:
Mission, Vision, and Core Values
Effective educational leaders develop, advocate, and enact a shared mission, vision, and core
values of high-quality education and academic success and well-being of each student.
▪ Standard 2:
Ethics and Professional Norms
Effective educational leaders act ethically and according to professional norms to promote each
student’s academic success and
well-being.
▪ Standard 3:
Equity and Cultural Responsiveness
Effective educational leaders strive for equity of educational opportunity and culturally
responsive practices to promote each student’s academic success and well-being.
▪ Standard 4:
Curriculum, Instruction, and Assessment
Effective educational leaders develop and support intellectually rigorous and coherent systems
of curriculum, instruction, and assessment to promote each student’s academic success and
well-being.
▪ Standard 7:
Professional Community for Teachers and Staff
Effective educational leaders foster a professional community of teachers and other professional
staff to promote each student’s academic success and well-being.
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Change is the one persistent phenomenon in life and in organizations; thus schools
experience change often. For school leaders, implementing and managing change and
improvement in school leadership is a difficult and daunting task. As Michael Fullan and others
note, school leaders need to understand the change process in order to lead and manage
change and improvement efforts effectively. Furthermore, they must learn to overcome barriers
and cope with the chaos that naturally exists during the complex process of change.
In the 2020 Phi Delta Kappa/Gallup Poll, it was found that a majority of Americans
disapproved of President’s education policies and that they wanted more federal support for
public schools. The American public also wants the federal government to focus on issues of
teacher quality, college affordability, protecting students from discrimination, and early childhood
education. Surveys have continued to show that the majority of American believe that the best
way to improve education is to reform the existing system.
Key findings from the 2020 Phi Delta Kappa Public Poll (conducted March 2020 prior to the
spread of COVID-19) revealed the following:
● Six in 10 parents call public education extremely or very important in their vote for
president this fall, including a quarter who call it extremely important. Importance rises
among parents, to 7 in 10, with a third calling it extremely important.
● For the 19th straight year in PDK polls, lack of financial support tops the list of the
biggest problems facing the public schools.
● School funding also tops the list among parents, cited by 14 percent—but that’s virtually
half of what it was last year (27 %).
● Bullying now runs a close second, at 11 percent. Further, 8 percent of parents now
mention smoking, vaping, or drug use, compared with 4 percent last year. Five percent
overall and 6 percent of parents mentioned COVID-19.
● Four in 10 support adding charter schools, even at expense of public schools.
● Those without four-year college degrees are more likely to support efforts to expand
charter schools, 42 percent versus 29 percent.
● Seventy-two percent of adults think a balanced approach to reading is most effective at
teaching young students how to read. Two-thirds think it’s most effective in teaching
literacy as well.
Standardized testing is just a part of the landscape. The survey reported mixed support,
depending on how test results are used. Thirty-eight percent of respondents think there’s too
much emphasis, compared to 52 percent when asked this question in 2007. Furthermore, 83
percent support using tests to determine placement in special programs (such as academically
selective high schools), although support wanes considerably if such programs have the
unintended consequence of increasing racial and/or economic segregation.4 A special program
that has the effect of reducing ethnic and racial diversity is supported by 24 percent of Black and
38 percent of Latinx respondents, versus 53 percent of whites. Further, it’s backed by 36
percent of those with household incomes less than $50,000, versus 55 percent of those with
incomes $100,000 or higher.
Schools are dynamic, reflecting the constantly changing world around us. However,
schools are also expected to conserve our values while meeting higher achievement standards.
Schools cannot afford to stand still; they must develop processes and techniques to facilitate
effective change.
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PREMISES GUIDING THE CHANGE RATIONALE
The rationale for change in education seems to be based on the following premises: (1)
Even if the status quo is not necessarily bad, there is usually room for improvement; (2) while all
change does not necessarily lead to improvement, improvement is not likely to occur without
change; (3) unless we attempt change, we are not likely to know whether a proposed innovation
is better than the status quo; and (4) participation in the change process can result in greater
understanding and appreciation of the desirable features of the status quo and can lead to a
better understanding and appreciation of, and skill in, the change process itself.
Although it is clear that proposed change holds the potential for improvement in
education, an administrator would be well advised to be skeptical of those who say, “This is new
and therefore good,” or, conversely, “This is old and therefore better.” Periodic assessment of
traditional practices and careful evaluation of proposed innovations are essential first steps in
validating the need for improvement in education.
PRESSURES FOR CHANGE
In recent years schools have been bombarded with proposals, research findings, and
mandates for change. For example, schools have been told that they need to increase student
time on tasks, provide career ladders for teachers, introduce computer study into the curriculum,
enhance their organizational culture, improve students’ basic skills, increase parental
involvement, improve personnel evaluation, tighten curriculum standards, develop partnerships
with business, and so on. Many of these pressures for change emanate from various national
reports and pressure to implement national standards at the state and local levels, as well as
pressure to change principal preparation programs.
Why Change Efforts Fail and What Can Be Done
Although national reports and research findings can be helpful in identifying possible
areas in need of change in the schools, evaluations of change efforts that were made during the
1960s through the 1980s raise grave doubts as to whether national prescriptions, state
mandates, and school district directives can be successful in bringing about significant and
lasting school improvements.6 Sergiovanni has said that educational change itself must be
changed.7 In general, studies show that past attempts to impose certain changes on the
schools have not been successful, for the most part. State regulations frequently usurped the
authority of teachers, principals, parents, and local communities. The regulations sought to
make the curriculum “teacher-proof” when, in fact, they served to make schools “learning-proof.”
Many of the proposed changes either were not implemented at all or were modified in such a
way to fit local needs that the value of the change was questionable.
Schwahn and Spady have highlighted “five interdependent reasons why productive change
doesn’t happen,” and from these reasons, they have extrapolated five change “rules” or
principles: (1) “People don’t change unless they share a compelling reason to change,” (2)
“People don’t change unless they have ownership in the change,” (3) “People don’t change
unless their leaders model that they are serious about the change,” (4) “People are unlikely to
change unless they have a concrete picture of what the change will look like for them
personally,” and (5) “People can’t make a change—or make it last—unless they receive
organizational support for the change.”
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Federal and State Mandates Are Not Enough
Although the federal and state governments can make an important contribution to
school reform by publicizing the need for improvement and by providing financial and technical
assistance to schools that would like to change, the history in this country of attempts to change
the schools suggests that significant and lasting school improvement can seldom be prescribed,
mandated, or directed by agencies or individuals outside of the school. Part of the difficulty is
that, as mentioned in Chapter 6, schools are “loosely coupled organizations”; that is, there are
seldom explicit and direct connections or linkages between the external agents pressuring the
schools to change and the people (in most cases, teachers) who will have to implement the
changes. This makes it hard to direct and monitor adequately what is going on in the schools.
Another difficulty is that many teachers and building administrators have become accustomed to
pressures for change—after all, there has been a lot of change over the years—and educators
realize that much proposed change is faddish in nature and that the pressure for change will
likely diminish when the change agent leaves or funds are cut back.
A basic implication of research on change efforts over several decades is that the
primary leadership for bringing about school improvement must come from the organizational
level of education where the change is to take effect. In most situations, that will be at the school
site level, even though important contributions can be made at all levels.
NEEDED LEADERSHIP FOR CHANGE
There is little doubt that the involvement and cooperation of many people will be
necessary for the successful implementation of school improvement. An administrator cannot
and should not attempt to introduce and implement a proposed change single-handedly. As
Joyce and his colleagues have pointed out, “Charismatic superintendents and principals can
change schools, sometimes quite rapidly, by developing ad hoc executive structures; but the
institutionalization of change is very difficult.” In order for change to occur, one
“highly-motivated, goal-oriented individual must serve as the initial change agent. However,
lasting change requires more than the efforts of a single individual.” Consequently, introducing
lasting change will require the cooperation and support of a variety of people.15 The
administrator should recognize that the leadership for introducing school improvement can
come from many sources and thus should try to encourage ideas and support for change
throughout the school or school system.
School Improvement Committees
One specific way in which an administrator can attempt to facilitate school change is to
establish a school improvement committee.16 Such a committee should be established at the
district level to provide overall direction and coordination of school improvement efforts, and
each school should also establish a school improvement committee to focus on improvement at
the school site level. At the latter level, the committee should be headed by the principal and
should comprise representative assistant administrators, teachers, parents, and students who
are interested in school improvement and possess skills and/or insights that would be helpful in
bringing about needed and successful change. For an excellent example of how students can
be involved in the change process, the reader is referred to Furtwengler. The school
improvement committee should be charged with the responsibility for assessing the need for
change, encouraging efforts to improve the school, coordinating and providing assistance to
those efforts, and monitoring and evaluating progress and achievements.
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Importance of a Collaborative Approach
In order for this type of committee to be successful, its membership should be voluntary
rather than required, and each member should have something useful to offer. Once
established, the committee will need adequate resources, assistance, and periodic recognition
from the administrator. In some cases, in-service training for committee members may even be
needed. It will also be important for the committee to be supported by the rest of the school.
Every effort needs to be made to avoid a perception that the committee is a behind-the-scenes,
elitist group. Open meetings and frequent communications will help eliminate or reduce this
possible problem.
Principals and Implementation of Innovation
While the establishment of a school improvement committee represents an important
organizational step toward successfully bringing about school improvement, it also needs to be
recognized that the administrator, particularly the principal (if the proposed change is to be
introduced at the building level), is a key figure in the implementation of an innovation. Seldom
can a proposed change be successfully implemented without the understanding, support, and,
frequently, the leadership of the building administrator. As Demeter observed in his study of
innovation in local schools, “Building principals are key figures in the innovation process. Where
they are both aware of and sympathetic to an innovation, it tends to prosper. Where they are
ignorant of its existence, or apathetic, if not hostile, it tends to remain outside the bloodstream of
the school.”
Reinforcing the importance of the principal to the successful implementation of any
proposed change, Sarason emphasized, “The principal is the crucial implementor of change.
That is to say, any proposal for change that intends to alter the quality of life in the school
depends primarily on the principal.” Nickols has said that managing change requires numerous
skills—especially political skills, analytical skills, people skills, system skills, and business skills.
According to Nickols, four basic questions can help direct change. Each is built around a
particular concept as expressed in the verbs “achieve, preserve, avoid,” and “eliminate.” The
questions are (1) “What do you want that you don’t have?” (achievement goals), (2) “What do
you want that you already have?” (preservation goals), (3) “What don’t you have that you don’t
want?” (avoidance goals), and (4) “What do you have now that you don’t want?” (elimination
goals).
Characteristics of Principals Who Implement Change
The nature of the situation should determine the specific role an administrator should play in
regard to introducing and implementing a particular change. One study of principals who had
successfully implemented new programs in their schools found that:
[The principal] was a believer, feeling a genuine commitment to the project; an
advocate who promoted and defended the project before a variety of audiences;
a linker who connected the project with other parts of the system; a resource
acquirer who obtained and allocated tangible and intangible resources for the
project; an employer who hired project staff or assigned teachers to it; a leader
who supplied initiative, energy, and direction; a manager who provided
problem-solving assistance and support; a delegator who “moved backstage”
when teachers assumed leadership; a supporter who provided words of
encouragement and acts of assistance; and an information source who gave
feedback to teachers and project staff.
Another study finds six common characteristics of principals who were successful
when implementing educational change: being visionary, believing that schools
are for learning, valuing human resources, communicating and listening
effectively, being proactive, and taking risks.
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Leadership Styles of Principals
Hall found that the principal’s leadership style determines the successful implementation
of change. Principals in his study had three main styles: (1) the initiator, (2) the manager, and
(3) the responder. The initiator’s style was most successful, followed by the manager’s; the
responder’s style was least successful. The specific styles are described as follows:
1. Initiators: Have clear goals that include implementation of innovation. They place high
expectations upon the students, their staff, and themselves.
2. Managers: Fall between initiators and responders. They may initiate action in support of
change but also demonstrate responsive behavior.
3. Responders: Rely on teachers and others to act as change agents while they proceed
with administrative tasks.
Havelock and Shaskin offer HELP Scores as characteristics for a change agent leader. They
note the following:
1. Homophily: The extent of closeness which exists between the client and also the change
agent; change is expected to achieve successful outcomes if the extent of closeness is
higher between them.
2. Empathy: The change agent should be empathetic. This understanding will strengthen
client and change agent’s relationship; will improve communication which in turn will
favorably influence the change.
3. Linkage: This implies the extent of collaborative relationship which exists between the
client and the change agent.
4. Proximity: The client, as well as the change agent, should be readily available to each
other, it’s because greater the accessibility, stronger will be the bond or the relationship
between the two.
5. Structuring: This involves effective and a step by step planning of various activities
associated with the implementation of change.
6. Capacity: This factor is connected with the organization’s capability in providing the
required resources which are essentially needed for successfully implementing
interventions and the change.
7. Openness: This is the ability of a change agent as well as the leadership in facilitating an
open environment for building facilitating mechanisms and fostering mutual respect,
trust, and sensitivity toward the feelings of others.
8. Reward: Any change initiative should have the potential for benefitting the beneficiaries
both in the short run as well as in the long run.
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9. Energy: Energy implies the extent of efforts applied for making change realizable.
Energy involves both mental as well as physical energy, directed in a focused manner for
achieving synergy in the outcomes.
10. Synergy: Synergy is the sum of two or more is greater than the parts. Synergy in
outcomes happens when all the above-mentioned factors are combined with the right set
of people, resources, and activities.
The multifaceted role of these principals may seem a little overwhelming to many
readers, especially prospective administrators. As a change agent, a leader is capable of
enforcing change broadly in four areas: Structure, Physical Setting, Technology, and People:
Structural change is all about making changes in the organizational structure, authority and
hierarchical framework, job redesign, and various other structural variables. Change in
technology implies a change in the techniques, methods, processes or best practices, or the
way of working itself. Change in the physical setting involves a change in the layout and also the
spatial arrangements. Change agents also facilitate a change in the attitudes of people, skills,
behavior and also their perceptions. All in all, it simply takes commitment, time, and
stick-to-itiveness.
THE PROCESS OF CHANGE
Although it seems clear that the administrator is a pivotal figure in the change process
and, in many cases, may need to be the primary change agent in introducing and implementing
a proposed innovation, the administrator’s effectiveness and the innovation’s success are not
automatic or inevitable. Although many factors can influence the likelihood of successful school
improvement, it is not likely to occur in a school or school district without the administrator and
the school improvement committee developing an understanding of, and skill in, the process of
introducing and implementing change. Kilmann identifies the following four critical stages in
planning a “completely integrated program for improving organizations”:
1. Ascertaining whether the organization is ready for a successful
improvement.
2. Diagnosing problems—using a questionnaire.
a. Designating the barriers (problems).
b. Designating the channels for success (opportunities).
3. Scheduling planning tracks.
a. Culture.
b. Management skills.
c. Team building.
d. Strategy structure.
e. Reward system.
4. Implementing planning tracks.
a. Encouraging flexibility as change is implemented in each track.
b. Making sure employees take responsibility for the change.
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Although theorists on change may differ somewhat in their terminology and emphasis,
most social scientists and innovators would agree that the process of introducing change should
include the stages and steps listed in Figure 7.1. The administrator and school improvement
committee who adopt the process outlined in Figure 7.1 should greatly increase the likelihood of
successfully introducing and institutionalizing a proposed change in a school and school district.
The process recommended is a rational one, although it is recognized that what actually occurs
does not always follow rational lines. It begins with the identification of the need for change and
ends with the integration of the proposed innovation into the routine of the school. Throughout
the process, there is an emphasis on decision making, planning, organizing, diagnosing, and
evaluating—the very skills that are central to administration.
▪FIGURE 7.1 IMPORTANT STAGES AND STEPS IN THE CHANGE PROCESS
Stage I
Conduct a Needs Assessment
A. Identify the need for change. Examine the present system to ascertain which aspects
need to be improved.
B. Develop or evaluate and select a new approach or system that will replace the former
method.
Stage II
Orient the Target Group to the Proposed Change
A. Create an awareness of and interest in the proposed innovation on the part of the
target group, e.g., teachers.
B. Institute with the target group an examination of the strengths and weaknesses of the
proposed change. Pilot-test and refine the new system prior to its introduction.
C. Identify, with the help of the target group, the commitments that will need to be made
in terms of additional resources, in-service training programs, and/or building
modifications.
Stage III
Decide Whether to Introduce the Proposed Change
A. Identify those who should participate in the decision.
B. Decide on the process by which the decision will be made.
C. Decide whether to proceed with the implementation of the proposed change.
Stage IV
Plan a Program of Implementation
A. Plan and carry out a program of in-service education for those involved in the
proposed change.
B. Provide the resources and facilities necessary for successfully introducing the change.
C. Anticipate and attempt to resolve in advance the operational problems that may be
encountered in implementing the proposed innovation.
Stage V
Implement the Proposed Innovation
Stage VI
Conduct In-Process Evaluation
A. Design and institute a system that will provide feedback on the extent to which the
proposed change is accomplishing its objectives.
B. Diagnose those aspects of the program or its implementation that need improvement.
Stage VII
Refine and Institutionalize the Innovation
A. Modify the innovation and, if necessary, provide additional orientation, training,
resources, facilities, etc.
B. Gain the acceptance of the innovation (if it is successful) as a regular and permanent
part of the total educational program in the school or school district.
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In the remaining sections of this chapter, each stage in the change process found in
Figure 7.1 will be further analyzed and discussed.
Initial Considerations
Assessing the Need for Change
The first stage in the process of change may well be the most important one. If the
administrator, with the cooperation of relevant others, does not periodically evaluate the current
program, activities, and practices in the school and school district, the administrator is unlikely to
be aware of, or be sensitive to, the need for change. Worse yet, the administrator may react
defensively to external pressures for change and attempt to defend a status quo that has not
been examined carefully. Therefore, an effective administrator will have in operation a needs
assessment plan providing objective information about the strengths and weaknesses of the
various educational programs and activities. Such an assessment plan will be essential for
identifying and validating the need for change, and it will also be helpful to others in developing
an understanding of the need for change. An excellent description of how to develop such a
plan is presented by Kaufman and Stone.
Determining the New Direction
Once the need for change has been established, the administrator, in cooperation with
relevant others, should attempt to develop, or evaluate and select from various alternatives, a
new approach or system to replace or modify the current program or practice. This will be a
challenging task. Administrators are faced with what must seem at times to be a virtual barrage
of proposals for changing the school program. The challenge for the school practitioner is to
select those innovations that show potential for significantly improving education in the school.
Unfortunately, this is easier said than done. The main problem is finding an innovation that has
been systematically developed on the basis of theory and research, with subsequent
experimental testing and refinement before dissemination to the schools. Research and
development centers and regional laboratories are a source for information on innovations.
Since many of the innovations to be considered are not “proven” products in any sense of the
term, the administrator will need to evaluate carefully the strengths and limitations of each
proposed change before seeking its adoption in the school or school district.
Evaluating a Proposed Innovation
In conducting an evaluation of a proposed innovation, the administrator and the school
improvement committee should attempt to seek answers to the following basic questions:
1. What are the objectives of the proposed change or innovation? What is it supposed to
accomplish?
2. Are the objectives of the proposed innovation sufficiently relevant to the particular need
for improvement in the local school or school district? How do we know this?
3. How will the proposed innovation accomplish its objectives? What is the evidence that
the proposed innovation will accomplish its objectives, and how adequate is that
evidence?
4. How difficult will it be for people to understand and accept the proposed innovation?
5. To what extent do people have the skills to implement the proposed innovation? If skills
are lacking, how easily can these skills be acquired?
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6. What are the financial costs of implementing the proposed innovation? Are there
sufficient resources for implementing the proposed
change?
7. How will we know, if we implement the proposed innovation, that it has accomplished its
objectives?
8. In general, what are the advantages and disadvantages of implementing the proposed
change?
As mentioned earlier, evaluating a proposed innovation is seldom an easy task. It is an
essential activity, however, for the administrator who wishes to avoid introducing an innovation
that may not only be inappropriate for the needs of the school or school district but, if not
successful, also result in disillusionment and cynicism about future efforts to innovate.
Important Reference Groups
For most proposed changes, it will be important for the change agent to develop
understanding, commitment, and possibly new skills on the part of those individuals or groups
who will be affected by a school innovation. Generally, the groups who will be most affected will
include the faculty, the students, the parents, the school board, the administrator’s superiors,
and the state department of public instruction.
Gaining Support, Reducing Resistance
In most circumstances, the six groups just mentioned represent the greatest sources of
potential support for—or resistance to—a proposed change. The administrator who wishes to
play the role of the change agent needs to recognize that the acceptance and effectiveness of
the proposed innovation may also be enhanced or impeded by the attitudes and actions of other
individuals and groups associated with the school district: principals feel successful educational
reform and change requires a commitment of a whole system approach, which includes the
community as well. Because each group is part of the informal communication network within a
school district or community, the change agent must identify the potential of these groups for
support or resistance and must consider these factors in introducing an innovation. As Baldridge
and Deal have perceptively noted in regard to the external environment of the school (which
includes not only local community but also the state and national scenes), “The environment is a
major impetus for change, for new environmental demands are an initial source of new ideas,
new procedures and new activities. Not only is change promoted by the environment, but
changes made internally must also be supported by environmental connections.”
Involving the Faculty
Perhaps the most important group to consider in establishing the need for change, and
in selecting and introducing a proposed innovation, is the faculty. If the faculty of a school or
school district does not understand a proposed innovation, or lacks the skill for participating
effectively in its implementation, the likelihood of the innovation’s successful implementation is
slight. This is particularly true of an innovation that is to be implemented in the classroom.
Therefore, the administrator should make every effort to be sure that the faculty or its
representatives are involved in each step of the change process, that they understand
thoroughly the different facets of the proposed innovation, and that they are provided with
adequate opportunity to acquire the skills necessary to implement the change.
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Adoption of the Innovation
According to Havelock and his colleagues, an individual (or group) in the process of
adopting an innovation goes through the following six stages:
1. Awareness stage: The individual is exposed to an innovation and becomes aware of it,
although not necessarily knowledgeable about it or possessing a strong interest in
finding out more about it.
2. Interest stage: The individual is developing an interest in finding out more about the
innovation and is beginning to develop some possible negative and positive attitudes
toward it.
3. Mental stage: The individual is now actively evaluating the innovation as to how it might
be implemented and is also seeking the assessment of the innovation from respected
people.
4. Trial stage: The individual actually attempts to implement the innovation on a pilot basis
to see if it will work.
5. Adoption stage: The individual adopts the innovation and implements it fully.
6. Integration stage: The individual internalizes the innovation in such a way that it
becomes a routine part of the person’s behavior or situation.
The Complexity of Instituting Change
An individual or group will not always, of course, go through all six stages. Possibly at
the end of the mental or trial stage the proposed innovation will be rejected. Clearly, Havelock’s
concept of stages indicates that adoption is a more complicated process than perhaps is
realized. For example, the implementation of an innovation from a leadership perspective
occurs in four different stages, according to Sergiovanni. In the first stage, initiation, the leader
and the follower have independent, but organizationally related objectives. Sergiovanni refers to
this stage in leadership as “bartering.” Stage two, uncertainty, is a time to muddle through. The
leadership is “building.” In the third stage, transformation, there is a breakthrough as the goals
of leaders and followers are shared. The leaders and followers are bonded together in a moral
commitment. In the fourth stage, routinization, improvements are turned into routines so that
they become second nature. Leadership is “banking.”
Hall and Hord have divided change facilitator behaviors into several clusters: (1) a
“concern for people” cluster that is composed of social/informal and formal/meaningful
interactions, (2) an “organizational efficiency” cluster in which the focus is on the degree of trust
in others to carry out responsibilities and the establishment of procedures that keep the system
running smoothly and permit teachers to do their jobs better, and (3) a “strategic sense” cluster
that focuses on the dimensions of day-to-day activities in the context of a long-range vision and
the planning that accompanies it.
What Teachers Worry About
Adequate orientation to the innovation is a key factor to successfully proceeding through
Havelock’s first three stages of adoption. In attempting to orient the faculty to the proposed
innovation, the administrator needs to be aware of the typical concerns teachers have about
innovations. According to a model developed at the Research and Development (R&D) Center
at the University of Texas, teachers go through several stages of concern. Initially, their
concerns seem to focus on how the proposed innovation, if it is implemented, will affect them
personally. If these self-concerns can be ameliorated or eliminated, then the teachers’ questions
are likely to reflect concern about how to perform the tasks associated with the innovation.
Finally, if the task-related concerns can be resolved, then the teachers’ concerns will center on
how the innovation will affect students.
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Most teachers are interested in improving their teaching and are not opposed to trying a
new innovation. The biggest concern is usually the effort required to incorporate a given
innovation with their current practice. Work with them to see how the innovation may speak to
their particular needs, and how to assist them with its integration into their teaching. Teachers
simply need time, support, and encouragement.
Creating an Atmosphere of Trust
“Trust is a key to system change that appears to be in short supply,” write Hall and Hord.
“Currently it seems as if everyone at each point across the system not only does not trust and
respect persons at other points along the continuum, but also is cynical about the intents of
those other people.” During the process of addressing concerns, the administrator’s role should
not be one of “selling” or “advocating” an innovation. Such an approach will impair the
administrator’s objectivity and sensitivity to people’s concerns. Instead, the administrator should
be trying to develop an understanding of the innovation and people’s concerns about it. To
accomplish these objectives, the administrator needs to create a climate or atmosphere
conducive to objectivity, trust, and confidence. Research by a number of individuals and groups
suggests that to create this type of atmosphere, the change agent will need to be perceived by
the teachers as someone who:
1. Is not trying to “foist” a change on them or manipulate them into making a change.
2. Is a good communicator who not only understands a particular innovation but also knows
how to explain it clearly.
3. Respects teachers and encourages them to voice their concerns.
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4. Listens carefully when concerns or objections surface and takes action to try to
ameliorate those concerns and objectives.
5. Practices the perspective that successful change requires the cooperation and
contribution of everyone.
6. Has skills for helping to facilitate the proposed change.
RESISTANCE TO CHANGE
Resistance to change exists in all organizations, be they public or private. Bowsher
classified seven types of resisters to change in the following manner:
1. “Positive” resister: The person who agrees with all the new programs but never does
anything about them.
2. “Unique” resister: Although the changes may be good for other areas of the organization,
they are never right for this individual’s department.
3. “Let me be last” resister: Will not say change is wrong, but uses the strategy of trying to
be last to implement change, hoping all new ideas will die out before his or her
department must institute a new program.
4. “We need more time to study” resister.
5. “States rights” resister: Resists any new program from headquarters, stressing that only
local programs will be effective.
6. “Cost justifier” resister: Prior to any changes, everything must be cost-justified.
7. “Incremental change” resister: The most difficult to win over to a new system. New
approaches are tried only if they have everything the old system had.
Two Kinds of Forces: Facilitating and Restraining
In every situation involving change, there will operate certain restraining, as well as
facilitating, forces. The facilitating forces—those conditions that make it easier to introduce a
particular innovation—will probably be obvious to the administrator. They include such factors
as outside pressures for change and the administrator’s own convictions about the need for
change. On the other hand, the restraining forces—those conditions that will make it difficult to
introduce the innovation—may not be so obvious. Their symptoms are usually manifested,
however, in people’s concerns or expressions of resistance to a proposed change. One should
assume that change will often be resisted; experience and research both indicate that
resistance to change is not unusual. Sample verbal reactions to proposed change that suggest
resistance include the following.
“Everything is going all right, so why change?”
“People aren’t ready for change.”
“Has anyone else tried this?”
“It won’t work in this school.”
“We’ve never done it before.”
“We’re not ready for that.”
“We’re doing all right without it.”
“It’s too radical a change.”
“We don’t have enough time to do it.”
“It’s too complicated.”
Factors behind Resistance
These comments suggest concern as well as possible resistance to proposed change
and should not be dismissed lightly. The worst thing the administrator can do is to dismiss
resistance without examining its merits or to react defensively when opposition to change is
expressed. Instead, the administrator should view the expression of resistance or concern as a
warning sign that needs to be taken seriously, and should attempt to better understand and
diagnose the motivation and reasoning behind such expressions. In so doing, the administrator
needs to be aware that resistance to change may be based on one or more of the following
restraining factors:
Habit.
Habit is the tendency of people to behave in the same way that they have always
behaved, and the familiar becomes a form of security. Proposed change challenges this
security, and the challenge is frequently met with resistance.
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The Bureaucratic Structure of the School District.
The school district as a bureaucratic institution emphasizes the maintenance of order,
rationality, and continuity. Uniformity of educational programs and procedures among the
schools of the district seems to be valued, whereas diversity does not. Attempts by individual
schools to introduce new programs or procedures are sometimes viewed with suspicion.
Because of these attitudes and the hierarchical structure of the district, proposed change may
be diluted before it is finally approved, or it may be rejected because it threatens the stability of
the institution. Recent research suggests, however, that the bureaucratic structure of a school
district can, depending on its nature and on how it is used, facilitate the process of change
rather than restrict it.
The Lack of Incentive.
Change can be a difficult and frustrating experience for the individuals or groups
involved. Although the administrator may be personally convinced of the benefits that will accrue
if a proposed change is adopted, the administrator can seldom guarantee those benefits or offer
incentives (monetary or otherwise) to persuade others to adopt the innovation. As a result, the
administrator is dependent upon the ability to influence others to adopt a proposed change that
may have high personal costs in terms of time and frustration and no immediate gain.
The Nature of the Proposed Change.
Innovations can vary according to complexity, financial cost, compatibility with the other
phases of the school’s operation, ease of communicability, and time and energy needed to
make the change. Some innovations, because of these factors, are more difficult to introduce
into a school system than are other proposed changes. As Baldridge and Deal note, “Many
plans fail because they simply are not viable in terms of what the organization can afford.”
Therefore, the characteristics of the innovation itself may constitute a major obstacle or problem
in securing its adoption.
Teacher and Community Norms.
Teacher and community norms can act as significant barriers to innovating in the
schools. For example, there is evidence that teacher norms support autonomy and do not
encourage interaction and exchange of new ideas among colleagues. As a result, efforts by the
administrator to bring about change in a teacher’s role or methods may be viewed as a
challenge to that teacher’s professional autonomy. Research has further revealed that
community groups may feel threatened by change because of its implications for upsetting the
stability of the power relations within the community.50 Both sets of norms—teacher and
community—can act as powerful sources of resistance to the administrator who is trying to
introduce a particular innovation.
Lack of Understanding.
People may resist a proposed change because they don’t possess an adequate or
accurate understanding of it. Their deficiency may be caused by a failure to pay close attention
when the proposed change was explained, or, on the other hand, information about the change
may have been poorly or inaccurately communicated. In any respect, a lack of understanding of
a proposed change can act as a significant deterrent in its successful implementation.
A Difference of Opinion.
A proposed change may be resisted because of an honest difference of opinion about
whether it is needed or whether it will accomplish all that its proponents claim. The difference in
opinion may be based on conflicting philosophies and values of education in regard to teaching
and learning, or it may result from variant assessments of how much improvement would
actually occur if the proposed change were
implemented.
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A Lack of Skill.
A proposed change may be resisted by an individual or group who will be required to
perform new skills and roles. The change from traditional roles and skills to new ones is viewed
as an unsettling experience by many people. Therefore, any innovation requiring new skills or
roles from the participants should be accompanied by an in-service program enabling these
people to develop the new skills or roles.
Resistance to change is a complex phenomenon, and the administrator should spend a
considerable amount of time in diagnosing its source or sources before drawing any conclusions
about how it might best be reduced. Many situations manifest more than one reason for
resistance to change, and the administrator should assess the validity of each of the possible
factors identified previously. By accurately diagnosing the reasons for resistance, the
administrator will be in a better position to ameliorate it and smooth the way for successful
implementation of a proposed improvement.
One recommended means for dealing with the possibility of resistance to change is to
introduce an innovation in such a manner as to avoid or minimize the likelihood of resistance.
Readiness for change involves:
1. leadership support for the desired change and the ability to lead it;
2. shared vision and understanding of the change by school stakeholders;
3. alignment with school core values, focused on student learning and well-being;
4. a shared understanding that the initiative is a school priority;
5. a collaborative school climate with trusting, respectful relationships between leaders and
teachers;
6. an implementation plan that school participants comprehend;
7. plans for building staff capacity for successful implementation; and
8. an understanding of needed and available resources, and a strategy for obtaining critical
resources that are missing.
Furthermore, McKnight and Glennie noted in their study of 48 principals and change
readiness that more than half of the principals indicated that their schools were not ready for the
targeted change, suggesting a low probability of success for this initiative. Additionally, school
climate, strong relationships, available resources, and leadership capacity rely and build upon
each other to impact the success of change initiatives.
FACILITATING THE INTRODUCTION OF CHANGE
Although many administrators have felt that the crucial, if not the sole, problem in
successfully introducing an innovation was to overcome the initial resistance of the individuals
and/or groups whose behavior and attitude were going to be affected by a change, this belief
has now been challenged. Gross and his associates, for example, found that despite an initially
favorable predisposition by those who were going to be especially affected by a certain change
in a school, the proposed innovation ultimately met with failure.
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Reasons for Unsuccessful Innovations
Based on teacher interviews, questionnaires, and daily field observations, Gross and his
colleagues identified four factors that seemed to account for the innovation’s lack of success, all
possessing implications for the educator who is concerned about the successful implementation
of a proposed change.
1. Although the faculty had received orientation about the innovation prior to its
introduction, six months after the innovation had finally been initiated, most teachers still
did not seem to understand what was involved in their new role.
Implication. The administrator should not assume that one or two explanations of an
innovation will be adequate. Rather, the administrator must continuously secure
feedback and provide clarification to those who will be affected by the change.
2. The teachers seemed to lack the knowledge and skills necessary for performing their
new role. When they encountered problems as a result of these inadequacies, teacher
resistance to the innovation developed.
Implication. Behavioral and attitudinal change is complex and difficult to achieve. The job
of the administrator is to identify clearly and precisely those skills and understandings
needed by the people affected by the innovation and to provide the training necessary to
acquire them. Teachers, for example, need continual assistance in adopting a new role.
3. The teachers’ role in the new program was designed on the assumption that much of the
student learning would result from contact among the students, who were using highly
motivating, self-instructional materials. Unfortunately, the materials were in short supply
and apparently not sufficiently motivating and self-instructing.
Implication. If the success of an innovation depends on materials possessing special
characteristics, (for example, highly motivating, self-instructing), the administrator must
see that such materials are available in sufficient quantity.
4. Other aspects of the school program, such as grading and developing the school
schedule, were not changed to facilitate the adoption of the new teacher role.
Implication. A change in one aspect of the school program may affect and be affected by
other aspects of the program and may necessitate further change.
The research conducted by Gross would appear to suggest two conclusions about
proposed change: (1) that it will not always be initially resisted and (2) that an innovation may
ultimately fail, despite its preliminary acceptance, if the people involved have not been provided
with adequate role orientation, training, materials, and other prerequisites.
More Reasons for Failure in Attempts at Innovation
In a related review of the literature on the implementation of change, Kritek found that, in
addition to the factors identified by Gross, attempts to innovate failed because of goals that
were too vague and ambitious, minimal planning to operationalize the innovation and to
integrate it into the school, resources that were too limited, and failure to anticipate adequately
and address constructively the developments that occurred after the innovation was
implemented.
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What Administrators Can Learn from Failed Attempts at Change
Several implications are suggested by Kritek’s review. The administrator who is thinking
about introducing change must define the objectives of the innovation clearly and realistically.
Full and accurate communication to those who could be affected by the proposed change is
essential.
Pilot Projects to Introduce Change
To avoid the problem of excessively ambitious goals, it may be necessary to consider
introducing the innovation on a pilot project basis rather than to the entire school or school
district. A pilot project represents a scaled-down version of the originally proposed change. The
proposed innovation might be reduced in terms of size, length of operation, or number of
participants involved. For example, rather than introducing a new, schoolwide language arts
curriculum, the change could be implemented on a pilot basis at only one grade level; or
perhaps rather than implementing a curricular change at one grade level, several units of the
curriculum could be introduced by all the teachers in the school during the first semester of the
school year; and, of course, other variations of the pilot project approach are also possible.
The pilot project approach to introducing change has several distinct advantages. It can
be conducted with a smaller number of participants and can involve those who would be more
willing to try out new ideas. If the pilot project is successful, its results may favorably influence
other people who initially resisted the proposed change. It can also be useful in identifying and
addressing defects or weaknesses in the originally proposed innovation that may not have been
obvious before implementation. Finally, a pilot project may prove useful in demonstrating that a
proposed change will not work, either because of a defect in the concept of the proposed
change or because local conditions make it impossible to implement fully.
The pilot project is no panacea for introducing change, but it may avoid the problem of overly
ambitious objectives for an innovation and, for that reason alone, should be considered by the
administrator.
Making Sure a Realistic Plan Is in Place
After planning for the introduction of an innovation, the administrator should attempt to
ascertain whether or not it was planned carefully enough and in sufficient detail. Many
innovations seem to fail because there was not a well-conceived plan for implementing the
innovation. Planning is concerned primarily with the question of how an objective is to be
achieved or a decision implemented.In a situation involving the planned implementation of an
innovation, the following types of questions need to be answered:
1. What kinds of activities or actions must occur in order to introduce
the innovation?
2. What kinds of resources—personnel, facilities, supplies—must be obtained to introduce
the innovation?
3. What kinds of problems and possible consequences might the introduction of the
innovation generate? How should these problems and consequences be addressed?
4. How should activities be sequenced to the best advantage and resources most efficiently
coordinated in order to introduce the innovation?
5. What kind of time schedule should be followed in implementing the plan of action?
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In an oversimplified sense, the administrator who engages in the planning process is
attempting to answer the question, “Who does what, with whom, and over what period of time in
order to implement the innovation?”
Another important question that faces administrators in a time of budget constraints is
the availability of funding. Many schools have turned to grant writing to obtain the needed
dollars to implement change. To write successful grants requires additional expertise that
administrators and leaders may acquire by following Orlich’s three suggested steps: (1) begin
with a good idea, (2) search out a source that has funded similar ideas, and (3) craft a
well-written proposal. Novice grant writers should realize that the basic elements of any grant,
no matter what the dollar amount, are similar. These are (1) a carefully worded introduction, (2)
an identification of the problem to be solved or the need to be addressed, (3) a list of goals and
objectives, (4) a work plan or procedures, (5) the evaluation plan to measure the program’s
success, and (6) an expenditure plan with budget justifications.
In summary, a well-conceived plan for implementing an innovation will go far toward
avoiding the problems referred to by Gross and Kritek and will increase the possibility that the
innovation will be successfully implemented.
POSTIMPLEMENTATION PROBLEMS
Although somewhat mixed, considerable evidence indicates that many implemented
innovations are later abandoned or drastically modified. There are many possible reasons for
the failure of an innovation, most of which have been discussed in the previous two sections of
this chapter. Certainly any innovation attempt in which the objectives and operational activities
are not well understood, the implementation is not well planned, and implementation is
attempted despite the opposition of significant members of relevant reference groups carries
with it the seeds of self-destruction. Even if these negative factors can be avoided, however,
some innovations still encounter problems after they are implemented, problems that can lead
to their demise.
Burnout
One of these problems is that the individuals who are responsible for implementing the
innovation may eventually become “burned out.” Implementing change frequently requires a
high level of energy expenditure. There may be new roles to be learned and long hours to be
invested; furthermore, anxiety and frustration often are associated with the implementation of an
innovation. Introducing change is usually hard work, and, typically, there are few external
rewards for the participants. The morale in a school implementing an innovation frequently
vacillates from high to low, without much stability.
If not ameliorated, over a period of time these conditions will negatively influence the
attitude of the participants toward the innovation and will impair their effectiveness. The
administrator who is sensitive to conditions in the school will provide timely assistance and
rewards to those individuals who need them, and the problem of the participants becoming
burned out can be prevented or reduced.
Coping with problems is very important for successful change. According to Miles and
Louis, “Good problem coping (dealing with problems, actively and with some depth) is the single
biggest determinant of program success.” The authors suggest that problems should be solved
structurally. For example, if teachers complain about being overloaded, a proper solution would
be to allow shared planning or to give added technical assistance rather than just asking
teachers to persevere or to be more dedicated. Problems should be located and seen as
“natural, even helpful occurrences, without blaming anyone, arousing defensiveness, or
implying a predetermined solution.”
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Negative Media Coverage
Two frequently unanticipated problems that can occur after an innovation has been
implemented are a “bad press” and the reduction of resources and support by the district
administration or external agency funding the innovation. Negative newspaper or television
reports on an innovation can immeasurably damage the image of the innovation and can
significantly affect the spirit of the participants and the attitudes of those who are judging the
merits of the innovation. It matters little whether the press or television reports are accurate or
not—media coverage usually has the appearance of validity.
A major problem with press coverage is that generally the press will want to report on the
innovation soon after it has been implemented, even though at that stage the school is still
discovering and trying to iron out the “bugs.” Consequently, the media spotlight is on the
innovation early and tends to focus on the problems it is encountering, resulting in a “bad
press.” There is no easy answer to this problem, given the nature of the press and the process
of introducing change. The media are generally more interested in problems because they are
newsworthy, and the period just after the innovation has been implemented is frequently the
time when many problems arise. The administrator can, however, attempt to develop a positive
relationship with the news reporters in the community and try to develop an understanding on
their part (before the innovation is introduced) about types of problems likely to occur because
of the innovation’s novelty as well as the school’s contingency plans for addressing those
problems.
Funding Reduction or Loss of Other Resources
Another possible postimplementation problem is the gradual reduction in resources and
moral support provided by the central office of the district or an outside funding agency. A school
attempting to innovate will frequently need a higher level of resources and support than one that
is not. Over a period of time, the central office may encounter budgeting pressures, as well as
criticism from the other schools in the district about the better treatment of the innovative school;
or, if the innovative school is funded by an external agency, that source of funding may be
gradually reduced or terminated and the school district may not make up the difference. If the
innovative school has received any bad press and/or has encountered some problems after the
innovation has been implemented, the principal may find that the moral support of the central
administration may be lacking when it is most needed.
Coping with Problems
Fortunately, most of the circumstances described in this section can be avoided, or at
least reduced, if the administrator anticipates them and takes corrective action before the
problems become major. The difficulties essentially are a result of events going less smoothly
after the innovation has been implemented than had been anticipated. In these situations some
of the famous Murphy’s laws are operating: “Most things are more complicated than they initially
appear to be,” and “Most things take longer than originally anticipated.”
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WINDOW ON DIVERSITY
Diversity in the Workplace: Benefits, Challenges and Solutions
by Josh Greenberg
Workplace diversity refers to the variety of differences between people in an organization.
That sounds simple, but diversity encompasses race, gender, ethnic group, age, personality,
cognitive style, tenure, organizational function, education, background, and more.
Diversity not only involves how people perceive themselves, but how they perceive others.
Those perceptions affect their interactions. For a wide assortment of employees to function
effectively as an organization, human resource professionals need to deal effectively with
issues such as communication, adaptability, and change. Diversity will increase significantly in
the coming years. Successful organizations recognize the need for immediate action and are
ready and willing to spend resources on managing diversity in the workplace now.
Benefits of Workplace Diversity
An organization’s success and competitiveness depends upon its ability to embrace diversity
and realize the benefits. When organizations actively assess their handling of workplace
diversity issues, develop and implement diversity plans, multiple benefits are reported such
as:
Increased adaptability
Organizations employing a diverse workforce can supply a greater variety of solutions to
problems in service, sourcing, and allocation of resources. Employees from diverse
backgrounds bring individual talents and experiences in suggesting ideas that are flexible in
adapting to fluctuating markets and customer demands.
Broader service range
A diverse collection of skills and experiences (e.g., languages, cultural understanding) allows
a company to provide service to customers on a global basis.
Variety of viewpoints
A diverse workforce that feels comfortable communicating varying points of view provides a
larger pool of ideas and experiences. The organization can draw from that pool to meet
business strategy needs and the needs of customers more effectively.
More effective execution
Companies that encourage diversity in the workplace inspire all of their employees to perform
to their highest ability. Company-wide strategies can then be executed; resulting in higher
productivity, profit, and return on investment.
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Challenges of Diversity in the Workplace
Taking full advantage of the benefits of diversity in the workplace is not without its challenges.
Some of those challenges are:
Communication—Perceptual, cultural, and language barriers need to be overcome for
diversity programs to succeed. Ineffective communication of key objectives results in
confusion, lack of teamwork, and low morale.
Resistance to change—There are always employees who will refuse to accept the fact that
the social and cultural makeup of their workplace is changing. The “we’ve always done it this
way” mentality silences new ideas and inhibits progress.
Implementation of diversity in the workplace policies—This can be the overriding challenge to
all diversity advocates. Armed with the results of employee assessments and research data,
they must build and implement a customized strategy to maximize the effects of diversity in
the workplace for their particular organization.
Successful management of diversity in the workplace—Diversity training alone is not sufficient
for your organization’s diversity management plan. A strategy must be created and
implemented to create a culture of diversity that permeates every department and function of
the organization.
Recommended steps that have been proven successful in world-class organizations are:
Assessment of diversity in the workplace—Top companies make assessing and evaluating
their diversity process an integral part of their management system. A customizable employee
satisfaction survey can accomplish this assessment for your company efficiently and
conveniently. It can help your management team determine which challenges and obstacles
to diversity are present in your workplace and which policies need to be added or eliminated.
Reassessment can then determine the success of you diversity in the workplace plan
implementation.
Development of diversity in the workplace plan—Choosing a survey provider that provides
comprehensive reporting is a key decision. That report will be the beginning structure of your
diversity in the workplace plan. The plan must be comprehensive, attainable, and measurable.
An organization must decide what changes need to be made and a timeline for that change to
be attained.
Implementation of diversity in the workplace plan—The personal commitment of executive
and managerial teams is a must. Leaders and managers within organizations must
incorporate diversity policies into every aspect of the organization’s function and purpose.
Attitudes toward diversity originate at the top and filter downward. Management cooperation
and participation is required to create a culture conducive to the success of your
organization’s plan.
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Recommended diversity in the workplace solutions include:
Ward off change resistance with inclusion—Involve every employee possible in formulating
and executing diversity initiatives in your workplace.
Foster an attitude of openness in your organization—Encourage employees to express their
ideas and opinions and attribute a sense of equal value to all.
Promote diversity in leadership positions—This practice provides visibility and realizes the
benefits of diversity in the workplace.
Utilize diversity training—Use it as a tool to shape your diversity policy.
Launch a customizable employee satisfaction survey that provides comprehensive reporting–
Use the results to build and implement successful diversity in the workplace policies.
As the economy becomes increasingly global, our workforce becomes increasingly
diverse. Organizational success and competitiveness will depend on the ability to manage
diversity in the workplace effectively. Evaluate your organization’s diversity policies and plan
for the future, starting today.
Source: Greenberg, Josh. (2004). “Diversity in the Workplace: Benefits, Challenges and Solutions. The
Multicultural Advantage.” Retrieved from
http://www.multiculturaladvantage.com/recruit/diversity/diversity-in-the-workplace-benefits-challenges-solutions.asp
. Used with permission of AlphaMeasure Inc. All rights reserved.
Problems are a normal occurrence because the planning process—even under the best
of conditions—always involves assumptions, some of which may turn out to be untenable.
Problems need not significantly influence the fate of an innovation, however, if the administrator
becomes aware of them at an early stage before they develop into a crisis and if the
administrator takes quick action to remedy the situation. Catching problems early requires the
initiation of a formative evaluation system that will alert the administrator to incipient problems,
and good leadership skills on the part of the administrator are necessary for quick action in a
crisis.
FORMATIVE AND SUMMATIVE EVALUATION
Formative Evaluation
If the administrator is to be aware of problems associated with the implementation of an
innovation before these problems become major crises, arrangements need to be made for the
initiation of some type of formative evaluation. A formative evaluation represents an assessment
of both an innovation’s strengths and its areas in need of improvement before a conclusion or
decision is reached on its success. Formative evaluation is diagnostic in nature because it is
searching for aspects of the innovation, or the implementation plan, that are in need of
improvement.
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This type of evaluation is very important in the early stages of implementing an
innovation because it is during this period that unanticipated problems are likely to arise and
immediate corrective action may be needed to avoid exacerbating the problems. For ease of
understanding, an example of a relatively simple formative evaluation survey used by one
school is presented in Figure 7.2.
▪FIGURE 7.2 FORMATIVE EVALUATION SURVEY
Feedback on the Implementation of the Financial Literary Program
Instructions: Please make an X below to indicate whether you are a teacher or a student, add
your grade level, and then give your reactions on the remainder of the form. You need not
sign your name on this form unless you so desire.
Teacher ____________________ Grade Level ____________________
Student ____________________ Grade Level ____________________
1. What do you see as the main problems that need immediate action? Please be as
specific as possible, and if you have ideas about resolving these problems, so
indicate.
Main
problems__________________________________________________________
Possible
solutions____________________________________________________________
2. What do you see as the main advantage or advantages of the financial literacy
program so far?__________________________________________
3. Is there any special help or assistance that you
need?______________________________________________________________
_________________
Signature (optional)
A formative evaluation can range from simple to complex in the nature of its data
gathering format and analysis, but the important consideration is that it provides the
administrator with useful information on the progress and problems of the innovation and/or the
plan for implementation. This type of evaluation should not, however, be used by the
administrator, or anyone else for that matter, for making decisions about whether or not the
innovation is a success and should be continued or discontinued. After the innovation has been
given a reasonable amount of time to prove itself, then a decision should be considered with
regard to continuing or discontinuing the innovation, and, at that point, the administrator will
need to make arrangements for the initiation of what is referred to as summative evaluation.
Summative Evaluation
Summative evaluation, as applied to the assessment of an innovation, represents an
attempt to ascertain whether or not the innovation is adequately meeting school or school
district objectives and whether or not the advantages of the innovation sufficiently outweigh the
disadvantages. Summative evaluation usually necessitates the collection of data, but it also
frequently involves subjective judgments on what the data mean. Examples of some different
kinds of summative evaluations include the following:
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1. Comparison of student behavior before and after the innovation has been implemented.
2. Comparison of student achievement before and after the innovation has been
implemented.
3. Comparison of student attitudes before and after the innovation has been implemented.
4. Comparison of teacher attitudes toward the innovation before and after the change.
5. Comparison of parent attitudes toward the innovation before and after the change.
6. Effectiveness of the plan for introducing the innovation.
7. Extent of disruption of other activities because of the change.
8. Amount of additional costs as a result of implementing and operating the innovation.
Methods of Summative Evaluation
The methods one uses to conduct summative evaluation should depend on three factors: (1)
what is to be evaluated, (2) what information is needed, and (3) what method is most
appropriate and most accessible to provide the desired information. Possible evaluation
methods range from questionnaires and interviews to content analysis and standardized
tests.66 There is no perfect method! All too frequently administrators reject or criticize an
evaluation method without offering a better alternative; as a result, no evaluation is ever
performed. Instead, administrators should select the best possible alternative from the
evaluation methods that are available and appropriate for assessing the innovation.
Ultimately, administrators cannot avoid evaluating an innovation. If arrangements are not made
to see that a sound assessment is carried out, then other people, including parents and
members of the community, will make their own evaluation, using their own criteria and
methods. Furthermore, the US Department of Education’s Office of Elementary & Secondary
Education offers funding for innovation programs that will include formative and summative
evaluations.
A FINAL NOTE
Change is unavoidable; it is certain to happen. The question is how the
leader will deal with the change. An administrator can watch it occur, can resist it,
or can help guide and direct it. By utilizing the concepts presented in this chapter,
the administrator should be able to make an effective contribution by responding
constructively to the need for improvement in education.
Although many of the case studies, suggested learning activities, and
simulations presented in Part II require the appropriate use of the ideas in this
chapter on school improvement, Cases 62–71 in Chapter 15 should provide the
best opportunities for testing understanding and effective use of the concepts
concerning the change process.
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CHAPTER 5:
Conflict Management
APPLICABLE PSEL STANDARDS*, †
▪ Standard 2:
Ethics and Professional Norms
Effective educational leaders act ethically and according to professional norms to promote each
student’s academic success and well-being.
▪ Standard 3:
Equity and Cultural Responsiveness
Effective educational leaders strive for equity of educational opportunity and culturally
responsive practices to promote each student’s academic success and well-being.
▪ Standard 8:
Meaningful Engagement of Families and Community
Effective educational leaders engage families and the community in meaningful, reciprocal, and
mutually beneficial ways to promote each student’s academic success and well-being.
▪ Standard 9:
Operations and Management
Effective educational leaders manage school operations and resources to promote each
student’s academic success and well-being.
It is understandable that an administrator should wish to avoid conflict, especially if a particular
conflict could be disruptive. By trying to avoid all conflict, however, an administrator could be
ignoring or suppressing significant problems or issues that need to be aired if they are to be
ameliorated or resolved. Moreover, as Wexley and Yukl have emphasized, “Interpersonal and
intergroup conflict occur to some extent in all organizations and are a natural part of social
relationships.” The challenge, according to Wynn, “is not to eliminate conflict but to minimize its
destructive impact and make it a positive force in the organization.”
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To meet this challenge, the administrator will need to engage in conflict management. In
this chapter, conflict management will be broadly defined to address two aspects of the topic.
On one hand, conflict management refers to efforts designed to prevent, ameliorate, or resolve
disagreements between and among individuals and groups. On the other hand, conflict
management may also include efforts by the administrator to initiate conflict—not for its own
sake but because of a need to take an unpopular stand or introduce changes that some will
oppose. Although many readers may perceive the concept of initiating conflict as radical, the
social science literature supports the proposition that in some cases an administrator may need
to take action resulting in possible conflict for an individual or group whose performance has
become complacent or stagnant.
Since many of the conflicts arising in an organization are role conflicts, a discussion of
the basic concepts of role theory will be presented first, as an introduction to conflict
management.
ROLE CONCEPTS
Every administrative position in an effectively managed organization has job descriptions or
policy statements, written and emanating from a governing board, that embody the formal
expectations of the organization. In addition, every organization usually has implicit, frequently
unexpressed expectations for an administrator’s behavior that originate with the various
individuals or groups with whom the administrator comes into contact. Together, both sets of
expectations constitute a behavioral definition of the role different individuals or groups—both
formal and informal—believe the administrator should perform in a particular situation. As
Getzels has observed, “The expectations define for the actor [administrator] . . . what he [or she]
should or should not do” while the actor “is the incumbent of the particular role.” The
expectations, according to Gross and his colleagues, also serve as “evaluative standards
applied to an incumbent in a position,”5 and therefore can represent a powerful source of
potential influence on any administrator’s behavior.
The behavior of an administrator is also affected by personal needs, however, regarding
the role the administrator should play. These needs become the administrator’s
self-expectations and may be more important than the expectations of others in determining the
role to be taken in a given set of circumstances. For example, if an administrator would rather
play the role of manager than instructional leader, most energies will be focused on
administering an efficiently run school, despite the expectations other individuals and groups
have for the administrator to perform the role of instructional leader. Figure 5.1, based on the
Getzels model, illustrates major factors that can influence an individual’s role behavior.6 It
shows that both the institution and the individual, that is, the administrator, are influenced by the
larger culture in the development of their expectations and need dispositions. The model implies
that one source of the administrator’s self-expectations is underlying personal needs. It further
indicates that the administrator’s behavior is affected not only by personal needs but also by the
role expectations held by other relevant individuals and groups. Finally, the model suggests that
the administrator’s behavior is a result of interaction between personal need dispositions and
the role expectations held by others associated with the institution. Based on the Getzels model,
it would appear that, as long as the administrator’s need dispositions are compatible with the
expectations of others, conflict will be minimal. When need dispositions and expectations clash,
role conflict is likely.
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ROLE EXPECTATIONS OF INDIVIDUALS AND GROUPS
The preceding discussion indicates the importance for an administrator of knowing the role
expectations of
others.
No inference should be drawn that an administrator must conform to
these expectations. As Campbell has noted, “Only by an understanding of these expectations
can the administrator anticipate the reception of specific behavior on his part. Such anticipation
seems necessary if the area of acceptance is to be extended and the area of disagreement
minimized. Moreover, such understandings are necessary if a program of modifying
expectations is to be started.”
Figure 5.2 identifies the various individuals and groups whose expectations may
generate conflict for the administrator.
The need for the administrator to identify and understand the role expectations of others
cannot be overemphasized. Frequently the administrator’s problem is deciding which individual
or group expectations are the most important to ascertain. It is not inconceivable that all the
individuals and groups identified in Figure 5.2 would have an opinion about the way an
administrator should behave with respect to a certain issue. It is neither reasonable nor
practical, however, for the administrator to attempt to discover and understand the expectations
of everyone in the school organization and community. The administrator must, therefore,
concentrate on developing an awareness and understanding of the expectations of those
individuals or groups who may influence the administrator’s effectiveness in some important
regard. If expectations, as previously defined, constitute the “evaluative standards applied to an
incumbent of a position,” the administrator needs to learn the expectations of those individuals
or groups whose evaluation may impair or enhance the administrator’s effectiveness. According
to Gross, role expectations can vary in three basic ways: direction, clarity, and intensity.
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Direction
The direction of the expectations for the administrator’s role may range along a continuum, from
complete agreement to absolute opposition. The primary factor that seems to determine the
direction of an individual’s or group’s expectations is the nature of the situation that has created
the
expectations.
For instance, a decision by an administrator not to involve teachers in considering a
schedule change may completely agree with the teachers’ expectations that it is not necessary
for the principal to secure faculty participation on any decision to change the school’s schedule.
In another situation, concerning a curricular change, however, a decision by the administrator
not to involve teachers in discussing the change may directly conflict with the expectations of
the faculty about the role of the administrator because in the area of curriculum, faculty expects
to be involved on all matters. The critical variable, then, that will typically determine the direction
of an individual’s or group’s expectations is the nature of the situation giving rise to the
expectations.
Clarity
Another aspect of role expectations that the administrator needs to consider is clarity. Since
expectations are frequently unwritten and sometimes unspoken, the administrator may
occasionally be unaware that a particular group holds any role expectations. For example, a
principal may delegate to one assistant the responsibility for working with various student
organizations in the school. In this situation the students of a particular group may expect the
principal, rather than the assistant, to help them. Nevertheless, the circumstances may be such
that the students are reluctant to express their feelings about the role of the principal. As a
result, the principal’s behavior may fail inadvertently to meet their expectations, and problems of
dissatisfaction may be created.
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Intensity
The third dimension of role expectations identified by Gross is intensity.11 In a given situation, a
group may expect that the administrator absolutely must act in a certain way or perhaps should
act in a certain way. It is clearly in the best interest of the administrator to assess accurately the
intensity of an individual’s or a group’s expectations. An expectation that it is absolutely
essential for the administrator to play a particular role that carries markedly different implications
for behavior than one based on the feeling that perhaps action on an issue should be taken.
WINDOW ON DIVERSITY
Conflict Management
BORDER CROSSING FOR EFFECTIVE SCHOOLING IN THE TWENTY-FIRST CENTURY
For effective schooling in the twenty-first century, school administrators must be attuned to the
complexities of the changing demographics as well as to the needs of those persons who
have been traditionally excluded from the core of educational reform (Capper, 1993). Given
the increasing demands of meeting the needs of culturally and linguistically diverse students
and the communities they live in, it is imperative that we now effectively “cross borders.”
These borders include but are not limited to ethnic, cultural, religious, racial, linguistic, ability,
and socioeconomic factors. While homogeneity is good for milk (Paley, 1979), it is no longer
an appropriate criterion to determine what is effective for teaching or administrative leadership
in today’s diverse schools. As Ladson-Billings (2001) noted, there is an incredible range of
diversity in today’s schools. This is further emphatically supported by Hanson and Avery
(2000) as they noted the following:
Making student diversity central to all aspects of the school experience compels
adults—administrators, teachers, parents, non-certified staff, and members of
the community—to be constantly mindful of the consequences of their actions
and decisions especially on categorical groupings of students for historical,
political, and social reasons. (p. 119)
Organizations must now become more efficacious to better prepare for cultural diversity.
Exemplars from business can be found in the marketability of particular products as
demographics (racial and economic) create new customer markets. In this climate,
opportunities continue to arise for niche marketing to ethnic, economic, and other groups
(National Multicultural Institute, 1997). This niche marketing is focused, targeted, monitored,
and adaptable. Educational organizations should now be preparing their “market” strategies to
better serve these growing diverse populations in an effort to create focused culturally
relevant teaching, target and equitable distribution of resources, and adaptability to the
ever-increasing school diversity. This diversity is not just relegated to the incoming population
of school-age children, but also to those who will teach them and work with them on a daily
basis. To that end, educational leaders will be challenged to secure qualified individuals to
provide more innovative approaches, solving both culturally induced organizational problems
and meeting the workplace learning needs of minority individuals and groups (Saldana,
Norwood, and Alston, 2003; Martin and Ross-Gordon, 1990). Conversely, diverse students
will be inadequately served by teachers and staff trained in outmoded techniques, led by
administrators with mimetic approaches. From this standpoint, it will be imperative for current
administrative training to be reformed with cultural and linguistic diversity as indispensable
core components, not just as an “add-on” but also as a part of the nucleus for effective
schooling training in this new century.
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Because we all experience the world through our own eyes, experiences, and perceptions,
we, as educators (teachers, counselors, administrators, etc.), must understand that those
children who come to our public schools each day also view the world from their unparalleled
lived experiences. It is imperative for educators to have some understanding about the larger
issues related to diversity—that is, racism, classism, sexism, and other oppressions (Pohan,
1996)—and how families from marginalized groups view education (Weiner, 1993). Expanding
on this notion, Sarason (1990) stated:
First, you must understand and digest the fact that children—all children—come
to school motivated to enlarge their worlds. You start with their worlds. You do not
look at them, certainly not initially, as organisms to be modified and regulated.
You look at them to determine how what they are, seek to know, and have
experienced can be used as the fuel to fire the process for enlargement of
interest, knowledge, and skills. You do not look at them in terms of deficits. . . .
You enter their world in order to aid them and you try to build bridges between
two worlds, not walls. (p. 164)
In studying the multiple worlds of students and the transitions (“border crossing”) that they
make daily as they attempt to participate in the American public schooling experience,
Phelan, Davidson, and Yu (1991) found four patterns for cultural border crossing:
Type I Type II Type III Type IV
Congruent worlds
Smooth transitions
Different worlds
Border crossings
managed
Different worlds
Border crossings
difficult
Different worlds
Borders
impenetrable
● Type I: Students’ worlds in school and out of school are parallel. While circumstances
may change daily, students perceive the boundaries to be manageable.
● Type II: Students’ worlds in school and out of school are complete opposites.
However, the borders between the two worlds do not prevent students from crossing
or adapting to different ways.
● Type III: Like Type II, students’ worlds in school and out of school are complete
opposites; however, students in this block find it difficult to cross the borders.
● Type IV: Here students will actively or passively resist border crossing.
Students cross borders daily as they synthesize home, community, and the world of school.
As a part of this border crossing, educators play an integral role with regard to academic and
social achievement. Students’ engagement with schools and learning is predicated upon the
interrelationships of their family, peer, and school worlds (Phelan, Davidson, and Yu, 1991).
Through public education, children may have the opportunities to navigate borders related to
social, political, personally constructed contexts as “borderlands” (Martinez, 1998). However,
far too often, children are found impeded in transcending borders, trapped to be in Types III
and IV, particularly now in the twenty-first century when societal technological advancement is
incongruent with traditional, “old school” pedagogy. In many cases, students and parents view
the school as a foreign land, alienated or at best moving toward assimilation with the
organization.
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Source:
Alston, J. A., “The Many Faces of American Schooling: Effective Schools Research and Border Crossing in the 21st Century,”
American Secondary Education (vol. 32, no. 9, 2004), pp. 79–93.
Capper, C. (Ed.)., Educational Administration in a Pluralistic Society (New York: SUNY Press, 1993).
Hanson, K., and Avery, M. P., “Valuing Diversity in Schools: Transforming Education through Humanistic Policy, Pedagogy, and
Practice,” in M. Leicester, C. Modgil, and S. Modgil (Eds.), Institutional Issues: Pupils, Schools and Teacher Education (London:
Falmer Press, 2000), pp. 119–127.
Jennings, J., “Training Leaders for Multiracial and Multi-ethnic Collaboration.” Trotter Review, (vol. 8, no. 2, 1994), pp., 4–6.
Ladson-Billings, G., Crossing Over to Canaan: The Journey of New Teachers in Diverse Classrooms (San Francisco: Jossey
Bass, 2001).
Marshall, P. L., Cultural Diversity in Our Schools (Belmont, CA: Wadsworth Thomson Learning, 2002).
Martin, L. G., and Ross-Gordon, J. M. (Eds.), Serving Culturally Diverse Populations (San Francisco: Jossey Bass, 1990).
Martinez, O. J., Border People: Life and Society in the U.S.–Mexico Borderlands (Tucson, AZ: University of Arizona Press, 1998).
Maxcy, S. J., “Preparing School Principals for Ethno-democratic Leadership.” International Journal of Leadership in Education
(vol. 1, no. 3, 1998), pp., 217–235.
National Multicultural Institute (1997). Facts about Diversity. Accessed online, http://www.nmci.org, January 30, 2004.
Paley, V., White Teacher (Cambridge, MA: Harvard University Press, 1979).
Page 136
Phelan, P., Davidson, A. L., and Yu, H. C., “Students’ Multiple Worlds: Navigating the Borders of Family, Peer, and School
Cultures,” in P. Phelan and A. L. Davidson (Eds.), Renegotiating Cultural Diversity in American Schools (New York: Teachers
College Press, 1991), pp. 52–88.
Pohan, C. A. “Preservice Teachers’ Beliefs about Diversity: Uncovering Factors Leading to Multicultural Responsiveness.” Equity
and Excellence in Education (vol. 29, no. 3, 1996), pp., 62–68.
Saldana, D. C., Norwood, P. M., and Alston, J. A., “Investigating Teachers’ Unconscious Person Perceptions and Stereotyping of
Culturally Diverse Individuals.” Educators for Urban Minorities (vol. 2, no. 2, 2003), 57–73.
Sarason, S. B., The Predictable Failure of Educational Reform: Can We Change Course Before it’s too Late? (San Francisco:
Jossey-Bass, 1990).
Tyson, C., “A Response to ‘Coloring epistemologies’: Are Our Qualitative Research Epistemologies Racially Biased?”
Educational Researcher (vol. 27), pp. 21–23.
Weiner, L., Preparing Teachers for Urban Schools (New York: Teachers College Press, 1993).
For example, in regard to an administrator’s role in initiating a program to improve
student behavior, the expectation by parents that the principal should perhaps initiate a
program, which differs in intensity and carries different behavioral implications than an
expectation that such a program is essential and therefore must be initiated. In the first instance,
the administrator will probably feel very little pressure from the parents and may be able to act
appropriately, with no repercussions. If the administrator ignores the expectations of parents
when they believe that a program should be started to improve student behavior, however,
parents may complain, and the principal’s status in the community may suffer. If the principal
attempts to ignore parental expectations when parents feel that a program is essential, these
parents may attempt to impose whatever negative sanctions or pressures they can command in
order to make the principal comply.
The problem faced by most administrators in this kind of a situation is that it is usually
more difficult to determine the intensity of a group’s expectations than the direction of those
expectations, since the former characteristic may not be explicit or public. This obstacle points
to the need for all administrators to engage in continuous efforts to ascertain the intensity of the
expectations of individuals and groups with whom they work.
FOUR SOURCES OF SOCIAL CONFLICT IN SCHOOLS
In another study on managing conflict, Lindelow and Scott outline the types and sources of
social conflicts, a prevalent occurrence in schools. They view social conflict as conflict between
individuals and conflict between groups common to the school environment. The authors
identify four primary sources of social conflict within the school: communication problems,
organizational structure, human factors such as personality, and limited resources.
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Poor communication is a major cause of conflicts. For example, teachers who do not
receive regular feedback about performance may have poor morale and negative attitudes,
resulting in an unwillingness to respond to administrative directives.
The type of organizational structure also has a direct effect on conflicts. Schools in which
the administration encourages empowerment will have more frequent conflicts, although minor.
With more people involved in making decisions, more opinions, interests, wants, and needs are
likely to be voiced. Major disruptive conflicts lessen, however, as empowerment increases,
because the more the staff participates in decision making, the greater the opportunities to
express minor conflicts. Such an airing of grievances in the early stages of disagreement can, in
turn, prevent minor problems from snowballing into major incidents.
Human factors, specifically personality incompatibilities and different values and goals,
are Lindelow and Scott’s third category of sources of social conflict; and these cannot be
eliminated by an administrator. They must be properly managed, however.
Competition over limited resources is the fourth source of conflict, according to Lindelow
and Scott. For example, conflict results when teachers fail to get raises they think they deserve
or when the science department fails to get desired equipment. The administrator’s job is to
assure all groups that they have been treated fairly in resource distribution, thus preventing
unnecessary conflict of this kind.
CONFLICT INITIATION
No doubt most administrators would like to prevent conflict from occurring. However, in some
situations an administrator may not only be unable to prevent conflict but also actually find it
necessary to initiate action that results in conflict with another individual or group. Usually these
circumstances come about because a particular individual or group is not performing as well as
expected and does not want to change. The theoretical and research literature on initiating
conflict is limited. The ideas in this section are based primarily on an analysis by Robbins and
on insights developed from the authors’ experiences as administrators.
For example, a principal has observed a teacher who is ineffective in motivating
students. In a follow-up conference, the teacher does not perceive a problem and believes a
good job of teaching is occurring. To further complicate the matter, suppose that the teacher is
tenured, a leader in the union, and an individual with a very strong personality. At this point, the
principal could retreat and refrain from discussing the problem that was observed in the
teacher’s classroom. If the principal is to fulfill the responsibilities of an educational leader, the
problem may need to be directly presented, which could create a conflict with the teacher. (It
should be emphasized that in this context, conflict is not inevitable; much will depend on the
principal’s approach in working with the teacher.) Nevertheless, the scenario presented thus far
suggests that total avoidance of any type of conflict between the principal and teacher may not
be easy, and initiating conflict may be necessary to reduce the complacency of the teacher and,
ultimately, to bring about improvement.
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Administrators must, of course, carefully consider all the possible ramifications before
initiating conflict. The administrator will want to be reasonably sure that the problem needing to
be addressed is sufficiently serious to warrant intervention and that approaches to solve the
problem without arousing conflict are tried first (see Chapter 3, “Authority, Power, and
Influence”). Also, it will be important for an administrator to delay initiating conflict with an
individual or group, if possible, when the administrator is already involved in other kinds of
conflicts that may drain emotions and energies. Too much conflict will impair the administrator’s
effectiveness. Assuming that the latter is not the case, and that an individual or group does not
respond to other approaches the administrator has tried, then conflict may need to be
introduced.
In initiating conflict the administrator should begin with the lowest possible profile.
Anticipating and preparing for possible negative reactions will be essential. Generally, when
individuals or groups are informed of a problem they do not want to address, they will become
defensive. When this happens, the administrator should discuss the problem as calmly as
possible. This may not be easy, because an individual or group that becomes defensive could
grow antagonistic and hostile, thereby stirring the administrator’s own emotions. It is a
challenging test of self-control to remain calm and rational in the face of a defensive reaction;
the administrator should make every effort to do so, and to persist in focusing individual or group
attention on the problem and its possible solution.
Although research and theory are limited regarding how best to ameliorate or resolve a conflict,
Gross has theorized that when an individual is faced with a role conflict, there are four pathways
to resolution:
1. The individual conforms to the expectations of Group A.
2. The individual conforms to the expectations of Group B.
3. The individual performs some compromise behavior that represents an attempt to
conform, in part, to
both sets of expectations.
4. The individual attempts to avoid conforming to either set of expectations.
A fifth alternative identified in a replication of the Gross study is the possibility of the
administrator resolving conflict by actively trying to change the direction or intensity of one or
both sets of expectations.
If these, then, are the options available to an administrator who is faced with role conflict,
which alternative should be chosen? Based on an investigation into the ways the
superintendents resolve their role conflicts, Gross has theorized that three conditions determine
how a role conflict will be resolved:
1. The administrator’s feeling about the legitimacy of each of the role expectations that is in
disagreement. (Legitimacy in this context is defined as the perceived right of an
individual or group to expect the administrator to play a certain role.)
2. The administrator’s perception of the negative sanctions that the administrator may
suffer for nonconformity to one set of expectations, as compared to another.
3. The administrator’s primary orientation to either legitimacy or sanctions as a justifiable
basis for resolving a role conflict.
Illustrative of the application of Gross’s theory of role conflict is the principal who, when faced
with a conflict of expectations between teachers and students with regard to the principal’s role
in student discipline, decides to conform to the teachers’ expectations because of a greater
concern for their reactions. In this set of circumstances, the administrator resolves this role
conflict based on the perception of the sanctions that might result from failure to conform to the
expectations of the teachers. The legitimacy of the students’ expectations is not a consideration
for this principal.
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The reader may feel that a principal should try to base resolution of role conflict on the
legitimacy of each group’s expectations. Conditions can develop, however, that will not allow the
sanctions of a group to be ignored. For example, an administrator may feel the members of a
group have no “right” to expect the administrator’s behavior to conform to their expectations. Yet
if the group’s power is such that it can disrupt or create problems within the school system, the
principal may agree to adhere to its expectations to prevent serious difficulties from arising.
While the legitimacy of each group’s expectations should be given primary consideration by an
administrator in resolving a role conflict, the sanctions a group can bring to bear for failure to
fulfill expectations cannot be overlooked. An accurate understanding on the part of the
administrator of both the legitimacy of the role expectations and the potency of the sanctions
associated with noncompliance is essential for the successful resolution of any role conflict.
OTHER APPROACHES TO CONFLICT MANAGEMENT
Gross’s model of role conflict resolution identifies some of the basic factors that may influence
an administrator in attempting to resolve a role conflict. This model does not, nor was it intended
to, indicate the best way to resolve a role conflict. Neither does it address itself to the problem of
how an administrator can best resolve conflict arising between two or more individuals or groups
who are associated with the school, for example, students versus teachers, teachers versus
parents, and students versus parents. Since role and school conflicts seem to be associated
with the job of the administrator, it would appear desirable to suggest additional possible
techniques that an administrator may consider for managing role or group conflict.
Four Ways of Dealing with Conflict
Barker, Tjosvold, and Andrews, for example, describe four approaches to conflict management:
cooperative, confirming, competitive, and avoiding. The cooperative approach emphasizes
mutual group goals, understanding others’ views, and compromising to create a mutually useful
solution. The confirming approach stresses the importance of communicating mutual respect for
group members’ competence, whereas the competitive approach sees conflict as a win-lose
battle in which others must be persuaded or coerced into submission. Finally, avoidance occurs
when people withdraw from discussing problems or smooth over differences quickly without
really resolving them.
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Administrative Effectiveness Using the Different Approaches
Results of research done by Barker and his colleagues confirm that administrators who use a
combination of cooperative and confirming approaches are much more successful in conflict
management than are those using a competitive-avoidance approach. Administrators who use a
cooperative approach also use a confirming approach. (Neither approach was used exclusively;
the two were used always in conjunction with one another.) The authors suggest that perhaps
this is because confirmation of competence brings a feeling of security, promoting a cooperative
conflict mode by allowing team members to take risks. On the other hand, administrators who
use a combination of competitive and avoidance approaches to conflict management are seen
as extremely ineffective. “Presumably these managers went back and forth between the two
approaches, competing when they thought they could win and avoiding when they were
uncertain.” The authors recommend that in cases where leaders do not possess the necessary
interpersonal skills to use a cooperative and confirming approach, a member of the group who
has these skills should be designated to act as a “communication facilitator and group
maintenance leader.”
How Conflict Management Techniques Are Selected
While the theoretical literature on conflict management strongly recommends a contingency
approach—that is, the selection of the most appropriate techniques for managing a conflict
should depend on the nature of the situation—some evidence suggests administrators may be
more influenced by their own personalities in selecting a technique for conflict management
than by any other factor. For example, the authoritarian person would appear more likely to
select a unilateral, power-based technique for managing a conflict, whereas the cooperative,
people-oriented individual would seem more likely to select a joint problem-solving technique. (It
should be emphasized that research on the relationship between personality and conflict
management is limited, and the findings are only tentative.)
Although an administrator needs to consider individual personal needs in selecting a
conflict management technique, the main factor that should determine selection is the nature of
the conflict situation itself. As Schmuck and Runkel have emphasized, the method an
administrator should select for managing a conflict ought to “depend on the type of conflict, the
intensity of the disagreement, the persons participating in the conflict, the seriousness of the
issues for them, and the authority, resources and knowledge they possess.” While this
approach, referred to as the contingency method, takes into consideration an administrator’s
personality, it also considers other characteristics and factors in the conflict situation. For
example, Utley, Richardson, and Pilkington found in their research that when administrators
attempted to resolve interpersonal conflict, personality factors played less of a role than did
situational or conflict target factors such as a professor, parent, or friend. Since the kinds of
conflict situations that an administrator may encounter are likely to differ, a number of alternate
techniques for managing conflict will be presented.
Power Struggle Bargaining
If the administrator is in a situation where conflict is inevitable, agreement or compromise
between parties in conflict is impossible, and the achievement of the administrator’s objectives
in the conflict are extremely important, then the administrator is likely to engage in what is
referred to by Blake and his colleagues as power struggle bargaining. In other words, the
administrator will do everything possible to resolve the conflict in the administrator’s favor. This
includes refusing to concede the legitimacy of any aspect of the other party’s position and
downgrading that position. It also involves refusing to compromise any aspect of the
administrator’s position and rationalizing any shortcomings in that position. This type of conflict
resolution is seen all too frequently during the collective bargaining process in public education.
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The disadvantages of power struggle bargaining as a method of resolving conflict are
that the process used can be destructive to the personal and professional relationships of those
involved, and the conflict is often only temporarily and superficially resolved. Conflicts that
appear to be resolved by power struggle bargaining frequently resurface later, perhaps in a
different form, but based on the same old antagonisms that were exacerbated during the
previous bargaining sessions.
The main advantage to the administrator of this type of conflict resolution is the
possibility of it resulting totally in the administrator’s favor. Whether this occurs or not largely
depends on the accuracy of the administrator’s assessment of possessing more authority,
power, or influence than the other party to the conflict so that the conflict can be resolved
favorably. At best, this is a tricky assessment for anyone to make, and miscalculations can be
disastrous. Power struggle bargaining may be necessary in certain situations, but the
administrator should carefully examine the validity of the assumptions about the extent of
authority, power, and influence relative to the other party to the conflict, as well as the likelihood
of compromise and the long-range effects that power struggle bargaining may exert on
interpersonal relationships.
Conflict Avoidance Methods
At the opposite pole from power struggle bargaining is a set of techniques for resolving a conflict
that can be characterized as “conflict avoidance” methods. Blake and his colleagues have
identified four such methods: (1) withdrawal, (2) indifference, (3) isolation, and (4) “smoothing
over.” An example of the use of withdrawal is the administrator who, in a meeting with a
superior, gets involved in an argument over a directive for the school that is felt to be not in the
best interest of either students or teachers. Rather than pursuing the matter, however, the
administrator withdraws from the conflict and accepts the directive. In the same situation, an
administrator employing the use of indifference as a method of conflict resolution would not
have argued about the matter in the first place but would have acted as though the issue did not
really matter. The administrator who utilizes isolation as a technique would have tried to avoid
any circumstances of conflict with a superior. And, in the case of smoothing over, the
administrator would have accepted the directive from the superior while emphasizing the
elements of agreement on the issue, rather than disagreement, and, in general, would have
tried to minimize any discord between the two.
Consensus
Seeking consensus, writes Lucas, is another way to minimize fragmentation. With this
technique, people have the opportunity to discuss their views and attempt to persuade others.
The skills of listening and paraphrasing what was heard promote understanding. Consensus is
reached when one viewpoint is preferred over the others by the group as a whole. The essential
points are trust that the group is choosing its position for the good of the organization and an
understanding that all members’ views are listened to and respected. The advantages are
enhanced group cohesiveness and increased commitment to decisions made. The largest
disadvantage is that this process can be considerably time-consuming. Therefore, leaders must
be selective about when to utilize this process.
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Avoidance Techniques Evaluated
Avoidance techniques do not resolve conflict but rather circumvent it. They may be necessary in
situations if the other party clearly possesses the authority, power, or influence to force an
opponent’s will and/or if negative consequences would result from a more active or aggressive
approach. Avoidance methods are typically employed when an individual or group feels
somewhat powerless, apathetic, or disillusioned about the likelihood of bringing about change in
the other party.
PROBLEM-SOLVING APPROACH
Another method of conflict resolution is the problem-solving approach. It is the approach that
seems to be the most effective means of resolving many conflicts. It is based on the
assumptions that the parties to the conflict are people of worthy motives and goodwill, that
agreement is possible, that each party has something valuable to contribute to the process of
resolving the conflict, and that final resolution need not ignore basic interests of all sides.
Mattson details seven tips to deal with team/group conflict:
1. Acknowledge the Conflict—Avoid anger buildups by facing the conflict head-on and
letting your teammates know you disagree with their course of action. While not always
pleasant, getting these small disagreements out in the open can help head off future
disputes.
2. Stop and Cool Off—Take a minute to think through the course of action you would like to
pursue. Avoid destructive behaviors like:
● Pointing fingers
● Insults
● Ultimatums and rigid demands
● Defensive attitudes
● Complaining behind teammates’ backs
● Making assumptions about others behaviors
3. Clarify Positions—Let everyone voice his or her opinions on the conflict and be heard.
While people are explaining their viewpoints on the issue in question, practice active
listening. Pay attention and refrain from jumping to conclusions.
4. List Facts and Assumptions Based on Each Position—Once each team member has
been allowed to explain their stance on the conflict, list out the facts and assumptions
that have been made.
5. Break into Smaller Groups and Separate Existing Alliances—Many times, friendships in
the workplace can cloud judgments in team projects. By breaking up existing alliances
when discussing the final team positions, you often avoid this behavior and allow people
to view conflicts free of persuasion.
6. Reconvene the Groups—Resolution becomes much easier once these steps have been
followed and the team meets again as a whole.
7. Celebrate the Resolution as a Team—Acknowledge specific contributions from
individuals in the group. The “celebration” can be a congratulatory e-mail or an afternoon
off as a reward, recognizing the success promotes team bonding.
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“Constructive conflict can bring a team closer together if handled properly. Respecting and
appreciating your coworker’s differences is key to building a strong team. Resolving conflict
when it does arise in a quick and proficient fashion helps maintain a strong and healthy team
environment. Remaining open to differing beliefs and ideas is vital, and learning to view conflicts
from a coworker’s perspective will help you become a more effective team member.”
Early Identification
Tjosvold contends that “all organizations try to avoid social conflict,” and there is observational
evidence to support his contention. In general, conflict is not viewed as a desirable state of
affairs, and consequently people tend to avoid it as long as they can. Although a potential or
minor conflict may become worse and eventually develop into a major crisis, the attitude of
many administrators seems to be, “Why kick sleeping dogs?”
While it is true that too much attention to a minor conflict may cause it to loom larger in
everyone’s eyes than it deserves, and a lack of attention may end a problem, the opposite
consequences can also occur, and when they do, they are likely to be more significant. By
failing to identify and take appropriate action at an early stage of a potential or minor conflict, an
administrator risks the very real possibility that the conflict may become worse. By the time the
administrator is forced to take action, the conflict may be very difficult to resolve. As Wynn has
observed, “The most tragic instances of school conflict are usually those in which the conflict
reaches the advanced stages before administrators respond to it.” Clearly an important first step
in conflict resolution is to identify potential or minor problems at an early stage before they
further deteriorate and become unmanageable.
Additional conflict can be prevented by addressing it in its early stages. Kirtman and
Minkoff propose following a seven-step systems approach to analyzing and acting upon conflicts
that arise from implementing new initiatives.
STEP 1 Examine how the organizational vision is affected by the conflict, and list the
steps needed for realignment.
STEP 2 Identify the formal and informal leaders of the initiative, and show how the conflict
is affecting them.
STEP 3 Examine the situation and identify the key participants and their roles.
STEP 4 Develop strategies that will modify the affected processes and procedures of the
organization into greater alignment with its vision.
STEP 5 Determine how the organization’s culture and history influence the initiative and
their effect on the conflict.
STEP 6 Factor the results of steps 1–5 into an implementation plan.
STEP 7 Establish a monitoring and evaluation process.
The authors caution that any stage of this process contains the possibility for conflict or the
breakdown of trust.
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Diagnosis and the Importance of Trust
Once an administrator has identified a conflict, the causes need to be diagnosed. In other
words, the reason or reasons for the disagreement or dispute must be investigated, for,
according to Chanin and Schneer, a conflict may be caused by “incompatible goals, ideas,
values, behaviors, or emotions.”
Exercising Caution in Diagnosing the Conflict
In diagnosing which factors are causing a conflict, it will be important, if the conflict involves the
administrator, to try to avoid the natural inclination to assume the other party is wrong. Rather,
the administrator’s attitude and actions should be based on the assumption that there may be
merit in the expectations or positions held by others, and the administrator should try to
understand the reasons for these feelings.
Acting as a Mediator
Understanding the basis for a conflict is also important for the administrator who hopes to
resolve a dispute between two or more other individuals or groups. In this kind of situation, the
administrator’s role is that of mediator. Before an administrator can effectively mediate between
two or more parties, there must be accurate and complete understanding of the way in which
each side perceives the other and the way each side perceives the main issue that has created
the conflict. Without accurate and complete information on these two variables, the
administrator may inadvertently exacerbate a conflict rather than ameliorate it. As Wynn points
out, “Perhaps 90 percent of all human conflict could be satisfactorily resolved if the major parties
would take the time to talk and listen.”
Building Trust
In this early stage of working with the parties to a conflict, it is extremely important for the
administrator to develop and maintain an attitude of acceptance and trust on the part of all
concerned. If an administrator is to act as a mediator (or in some related role in resolving the
conflict), then the participants in the conflict need to accept that role, and to trust that the
administrator will act fairly and constructively. It needs to be emphasized that this trust and
acceptance will not be easy to earn if the administrator is perceived as favoring one side over
another or as possessing a particular vested interest. Objectivity, impartiality, and good human
relations skills are essential qualities for anyone attempting to gain the acceptance or trust of
others.
Helping Conflicting Parties Respect One Another
It is also important that the administrator begin working on developing mutually positive attitudes
on the part of the participants in a conflict. This obviously will be challenging. There is evidence
that disputants tend to view each other in nonobjective, hostile, and emotional terms. In many
situations the mentality of the participants is expressed in the “them versus us” form, and the
other side is viewed as the “enemy.” The difficulty of changing the attitude of the participants to
a conflict in no way negates its importance, however, for until the various parties to a dispute
can begin to view each other in a more positive light, compromise and eventual resolution of the
conflict will probably not be possible.
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Meeting Each Party Separately
Because the parties to a conflict are likely to have a negative attitude toward each other, it is
recommended that the administrator acting as a mediator attempt, in the early stages of trying
to resolve the conflict, to meet with each side separately to the extent possible. If the
administrator brings together the various parties to a conflict before working with them
separately, they may only continue to engage in conflict-provoking behavior that could worsen
the situation. The mere presence of conflicting parties together at a meeting may intensify an
already emotionally charged situation. By meeting with them separately in the initial stages, the
administrator will have a better opportunity to begin persuading each side to think and behave
more rationally and to view each other more positively. Crouch and Yetton write that
administrators with good conflict management skills should bring subordinates together to solve
conflicts. Those with poor conflict management skills, however, should not try to resolve conflict
by bringing subordinates together since this will only create reduced employee performance.
Further, Crouch and Yetton recommend conflict management training for both managers and
subordinates.
Turning Down the Heat
In attempting to resolve a conflict, the administrator would do well to ignore the extreme rhetoric
used by those involved in a dispute. People who are embroiled in a conflict are usually
frustrated and are likely to become angry and immoderate in their speech or writing.
Recommendations may be expressed as demands, epithets may be hurled, and ultimatums
may be presented. Such extreme behavior may either be a part of a strategy to intimidate others
or, as suggested earlier, simply be a result of frustration. Regardless of the reasons for the
extreme rhetoric, the administrator should attempt to maintain an objective and professional
attitude toward the disputants. This may be a difficult task, particularly if the administrator is the
focus of such rhetoric. Administrator reactions that may escalate the conflict are to be avoided.
Fact-Finding
After the administrator has ascertained how the parties to a dispute view each other and the
issue in question, the facts need to be validated in the situation. While it is true that the
perceptions people hold represent “the facts” from their point of view, those “facts” need to be
verified. There is evidence suggesting that people in conflict tend to present their side in a totally
favorable light and the other side in a totally negative light.39 They may not be doing this
intentionally, and they may be very sincere in their representations. All too frequently, however,
their emotions have distorted their perceptions and memory. Therefore, it is essential that the
administrator attempt to validate the information from the various parties to a conflict rather than
accepting the information at face value. For example, which statements by the conflicting parties
rest on assumptions and which are based on evidence solidly grounded in reality? What are the
additional facts that, thus far, the parties to the dispute have been unaware of or have failed to
take into account?
At this stage the administrator needs to recognize that although people in conflict may
ultimately agree on the facts in a situation, they may, nevertheless, fail to reach accord in their
interpretations of the facts. For instance, agreement may eventually be reached by a group of
parents and the superintendent that the attitude of the school board members, rather than that
of the superintendent, is currently the main barrier to initiating a proposed program of
community involvement. The parents and the superintendent, however, may continue to
disagree about their interpretations of the problem. The parents may conclude the administrator
should play a more active role in trying to change the school board’s attitude toward community
involvement, while the superintendent, as the school board’s representative, may believe the
school board to be the one that should try to change the attitude of the parent group. At one
level, the parents and the administrator all agree that the school board is the main barrier to
achieving community involvement, but they continue to disagree about what should be done in
light of this obstacle.
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The goal of the administrator in fact-finding should be to clarify and broaden the areas of
agreement and to narrow the issues of disagreement. If the administrator is not one of the
parties to the dispute, it will be easier to play the role of mediator in reaching this goal. If the
administrator is personally involved in the disagreement, an outside resource person may need
to be called in for assistance in mediating the conflict.
Developing an Integrative Solution
Long-lasting conflict resolution seldom occurs when one party to a dispute makes all of the gain
while the needs of the other party have not been accommodated in some way. The
administrator needs to recognize that a conflict between individuals or groups will seldom be
permanently resolved if some parties feel they were the only losers in the resolution of the
conflict. The administrator should, therefore, try to develop a conflict resolution in which there
are no clear-cut winners or losers.
To achieve this result may require compromise on the part of everyone involved in the
conflict. Before the administrator attempts to persuade the disputants to compromise, a
resolution to the conflict that would meet the needs of all sides should be explored. This type of
conflict resolution is referred to in the social science literature as an “integrative solution.” It
involves ascertaining the needs and objectives of all parties to the conflict and trying to develop
a solution in which all the parties could meet their needs and objectives in a way that would not
require the others to sacrifice their needs and objectives.
The integrative solution in most conflict situations will not be easy to achieve because it
requires considerable creativity and persistence on the part of the conflict mediator, and
open-mindedness and flexibility on the part of all those involved in the conflict. It is the ideal
solution, however, and the one most likely to result in a permanent resolution of the conflict.
Developing a Basis for Compromise
In many situations the integrative solution will not be possible, and compromise on the part of
one or more parties to the conflict will be necessary.
Compromise Is Not Weakness
A major obstacle to developing a compromise resolution is that the participants may feel that to
compromise is to appear weak and ineffective and that compromising may reduce the chances
of achieving their goals. In our society, winning a victory is a more attractive result than
compromise. The very term “compromise” has a mixed, or even a negative, connotation to many
people. For these reasons, the administrator may encounter resistance to attempts to help both
sides see the need for compromise. The approach of the administrator should be to show the
participants that without compromise, their conflict is unlikely to be resolved. This won’t be easy,
but an attempt must be made because the alternatives of a stalemate or heightening of the
conflict are likely and undesirable.
True Compromise Is Not One-Sided
Assuming the various parties to a dispute can be made to see that compromise is needed to
resolve the conflict, an understanding also needs to be reached that it will probably be
necessary for both sides to compromise. Typically, individuals or groups who are in conflict do
not think about the need to modify their own position but assume that the other party is the one
who should or must change. It is unlikely that either side to a dispute will change without the
assurance that the other side will also agree to compromise. Since in many circumstances each
side is convinced it is right and the other side is wrong, the administrator may have difficulty in
persuading those who are involved that there must be give and take on both sides before
progress can be made in resolving the conflict. Nevertheless, the mediator must attempt to
develop this understanding on the part of both sides if resolution of the conflict is to be
accomplished.
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Implications Must Be Recognized
Another important prerequisite to an acceptable solution to a disagreement is an understanding
by both sides of the full implications of their own point of view, as well as the full implications of
the other side’s position. While both parties may clearly understand their own position, they
often fail to recognize the full ramifications of their demands or their stand on a particular issue
in relation to the other disputants. Frequently, by showing how one group’s demands will affect
the other party, the mediator can clarify to all concerned why certain actions are unacceptable or
not possible.
Opposing Points of View Must Be Understood
Undoubtedly, a major deterrent to the successful resolution of a conflict is a lack of
understanding of the opposite point of view on the part of one or more sides to a dispute.
Usually the parties in conflict concentrate most of their energies and attention on presenting and
arguing the merits of their own position and consequently do not spend sufficient time trying to
understand the way the other side looks at the issue. A useful technique that can be employed
to reveal this problem is to ask all parties to state the supporting rationale and main components
of the opposition’s arguments. This step frequently identifies the areas of inadequate
understanding and, if periodically employed with appropriate follow-up discussion, can also build
the foundation of understanding needed for compromise and ultimate solution of the conflict. If
compromise is required to resolve conflict, then certainly a better understanding of the positions
and points of view of both parties is needed before that compromise can occur.
The Counterproposal
Conflicts are usually resolved by modifying the original positions taken by one or more parties to
a dispute. As stated before, unless there is movement away from the original stand on an issue
toward the opposing point of view, there is little likelihood of resolving the conflict. Someone
must change, but usually neither party is willing to be the first to modify its position. The
perspective that the mediator needs to develop in parties to a conflict is the idea that the
alternatives are not restricted to either total rejection or complete capitulation. Instead, each side
should be encouraged to offer a counterproposal that at least recognizes the merits of some of
the opposing arguments and suggests a compromise representing a better situation possibly for
those concerned than would be true if the previous position of the other side were accepted in
total.
The development of a counterproposal is a complex task. The proposal must advance
sufficiently toward incorporating the main points raised by each party so that it will command
attention and study, rather than immediate rejection, and it cannot sacrifice the basic integrity of
either point of view. Its presentation must be timed for just the right moment, unless it be
rejected because the other side is not yet ready to consider a possible modification of its original
position or because the other side is past the point of being willing to consider a change. The
key to acceptance of a counterproposal is a recognition on the part of all involved that each side
must acknowledge, to some extent, the validity of the other side’s arguments if the conflict is to
be
resolved.
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Arbitration
The administrator should recognize that some conflicts cannot always be resolved through the
process of mediation and that arbitration may become necessary. Arbitration means that the
conflict is submitted to a third party, and both sides to the dispute agree to accept the arbitrator’s
judgment. The arbitrator may be a superior in the organization or may be an outside party,
depending on the nature of the conflict and the surrounding circumstances. When both sides to
a dispute agree to submit the issue to an arbitrator, they commit themselves to accepting and
implementing the arbitrator’s resolution of the conflict.
Arbitration by an outside party is a relatively new phenomenon in education, although
the process of internal arbitration by a superior in the organization has existed for many years.
The more frequent use of outside arbitration reflects a growing polarization of points of view on
the part of many groups in education and a lack of success in utilizing more traditional means of
resolving conflict. While arbitration is not acceptable to many because of the freedom that is
relinquished in submitting to the judgment of an arbitrator and because it does not guarantee
that the conflict will not erupt again, we can probably anticipate its continued use when other
methods of resolving conflict fail.
EVALUATION OF CONFLICT MANAGEMENT EFFORTS
Regardless of which conflict management approach is used, the administrator, as well as the
other participants, should keep in mind that conflict cannot always be totally resolved, due to its
difficult and intractable nature. Figure 5.3 illustrates the variation in possible outcomes of efforts
to resolve conflict.
If an administrator cannot achieve a total resolution of a conflict, this does not mean that the
administrator has failed. Conflict amelioration represents a worthwhile achievement in many
situations and may be the only attainable objective under difficult circumstances. Evaluating
whether or not the conflict was totally resolved, however, is not the only aspect of conflict
management that should be assessed. In order for an administrator to determine whether the
efforts to resolve a conflict have been successful, the following questions should be addressed:
1. To what extent do all parties to the conflict feel that the administrator has acted fairly?
Evidence?
2. To what degree was the initial problem that produced the conflict ameliorated or
resolved? Evidence?
3. How much time, energy, and frustration were spent during efforts to resolve the conflict?
Evidence?
4. To what degree do the participants now have a more positive attitude toward each
other? Evidence?
5. To what extent have the participants in the conflict developed new skills or approaches
to preventing similar conflicts in the future or resolving them more effectively if they were
to occur? Evidence?
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Obviously, these questions will not be easy for an administrator to answer, nor should there be
an attempt to address them without the involvement of the other parties to the conflict. By trying
to answer these questions, the administrator will be likely not only to draw accurate conclusions
about the success of conflict management efforts but also to learn something during the process
of evaluation that could improve future effectiveness.
FURTHER OBSERVATIONS ON CONFLICT RESOLUTION
Although conflict has been studied by many scholars, there still appears to be no single proven
method or formula for preventing or resolving discord. Based on experience and the writing of
those who have examined the problem, however, the following observations are offered in
conclusion:
1. Conflict is often inevitable in an educational organization, and, to some extent, it may
indicate that important changes are being proposed, considered, or implemented. A
complete absence of conflict over a long period of time may suggest a stagnant
organization or educational program.
2. Disruptive, continuous, or pervasive conflict is a sign that all is not well within the
organization. This type of conflict is deleterious to the emotional health of those who are
associated with the organization and can impede the achievement of organizational
objectives if it is not successfully ameliorated or resolved. The administrator must take
the initiative in identifying, diagnosing, and mediating this type of conflict.
3. Emotions are as important to consider in dealing with a conflict as are facts. Facts may
change emotions, but unless there is a sufficient understanding of the way people feel
about the issues and about the other parties involved, the conflict will probably not be
resolved.
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4. The “win or lose” philosophy that characterizes so much of what occurs in our society
has no place in conflict resolution. All references to, or impressions of, “winners and
losers” or “the good guys and the bad guys” should be avoided. To the greatest extent
possible, the final resolution of a conflict should advance the interests of all the parties.
5. The process of conflict resolution should not end at the time of final resolution. Hurt
feelings may still exist, and scars incurred during early stages of the conflict may still
require the administrator’s attention if future problems are to be prevented.
6. A sense of humor, perspective, and a belief in the innate good intentions of most people
are important to the resolution of conflict. Disputes are irritating and their resolution can
be a frustrating experience. The successful resolution of a conflict may depend in many
situations more on the personal characteristics of the participants than on any other
factor.
Administrators must be prepared to resolve conflicts. They can gain conflict management skills
through internships, case studies, sensitivity training, and simulations, in addition to studying
theory and research. For example, Ivarie’s article entitled “Strategies for Managing Conflict in
the Collaborative Process” contains useful strategies such as “withdrawing, forcing, smoothing,
compromising, and confronting.”
WHEN CONFLICT TURNS VIOLENT
Increasingly, administrators must solve conflicts of a physical nature that cannot be resolved by
consensus or conflict resolution
exercises.
Schools can no longer be assumed to be the safe
havens they were once considered. In recent years, tragic acts of violence have alerted
educators, students, parents, and communities that there is no room for complacency. To help
prevent violence, schools are employing such various strategies as using metal detectors,
controlling access to school property, and having law officers present at schools.
Bullying
Today’s headlines are rife with stories of teen suicide due to bullying and, unfortunately, too
many stories of teachers and administrators not addressing the situations. According to the
National Center for Education Statistics (NCES):
● One out of every five (20.2%) students report being bullied.
● A higher percentage of male than of female students report being physically bullied (6%
vs. 4%), whereas a higher percentage of female than of male students reported being
the subjects of rumors (18% vs. 9%) and being excluded from activities on purpose (7%
vs. 4%).
● 41 percent of students who reported being bullied at school indicated that they think the
bullying would happen again.
● Of those students who reported being bullied, 13 percent were made fun of, called
names, or insulted; 13 percent were the subject of rumors; 5 percent were pushed,
shoved, tripped, or spit on; and 5 percent were excluded from activities on purpose.
● A slightly higher portion of female than of male students report being bullied at school
(24% vs. 17%).
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● Bullied students reported that bullying occurred in the following places: the hallway or
stairwell at school (43%), inside the classroom (42%), in the cafeteria (27%), outside on
school grounds (22%), online or by text (15%), in the bathroom or locker room (12%),
and on the school bus (8%).
● 46 percent of bullied students report notifying an adult at school about the incident.
● The reasons for being bullied reported most often by students include physical
appearance, race/ethnicity, gender, disability, religion, sexual orientation.
Research compiled from various sources by the National Bullying Prevention Center
(NBPC) notes following statistics regarding bullying:
● Rates of bullying vary across studies (from 9% to 98%). A meta-analysis of 80 studies
analyzing bullying involvement rates (for both bullying others and being bullied) for 12- to
18-year-old students reported a mean prevalence rate of 35 percent for traditional
bullying involvement and 15 percent for cyberbullying involvement.
● One in five (20.9%) tweens (9–12 years old) has been cyberbullied, cyberbullied others,
or seen cyber
bullying.
● 49.8 percent of tweens (9–12 years old) said they experienced bullying at school and
14.5 percent of tweens shared they experienced bullying online.
● 13 percent of tweens (9–12 years old) reported experiencing bullying at school and
online, while only 1 percent reported being bullied solely online.
Bullying of Students with Disabilities
● Students with specific learning disabilities, autism spectrum disorder, emotional and
behavior disorders, other health impairments, and speech or language impairments
report greater rates of victimization than their peers without disabilities longitudinally and
their victimization remains consistent over time.
● When assessing specific types of disabilities, prevalence rates differ: 35.3 percent of
students with behavioral and emotional disorders, 33.9 percent of students with autism,
24.3 percent of students with intellectual disabilities, 20.8 percent of students with health
impairments, and 19 percent of students with specific learning disabilities face high
levels of bullying victimization.
● Researchers discovered that students with disabilities were more worried about school
safety and being injured or harassed by other peers compared to students without a
disability.
● When reporting bullying, youth in special education were told not to tattle almost twice as
often as youth not in special education.
● Successful strategies to prevent bullying among students with disabilities include:
○ Teachers and peers engaging in meaningful and appropriate social interactions
○ Creating opportunities to increase social competence and positive interactions
○ Schools adopting appropriate intervention strategies that encourage social
awareness and provide individualized interventions for targets with disabilities
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Bullying of Students of Color
● 23 percent of African American students, 23 percent of Caucasian students, 16 percent
of Hispanic students, and 7 percent of Asian students report being bullied at school.
● More than one-third of adolescents reporting bullying report bias-based school bullying.
● Bias-based bullying is more strongly associated with compromised health than general
bullying.
● Race-related bullying is significantly associated with negative emotional and physical
health effects.
Bullying of Students Who Identify or Are Perceived as LGBTQ
● 70.1 percent of LGBTQ students were verbally bullied (e.g., called names, threatened) in
the past year because of their sexual orientation and 59.1 percent because of their
gender expression, and 53.2 percent based on gender.
● 28.9 percent of LGBTQ students were physically bullied (e.g., pushed, shoved) in the
past year because of their sexual orientation and 24.4 percent because of their gender
expression, and 22.8 percent based on gender.
● 48.7 percent of LGBTQ students experienced cyberbullying in the past year.
● 59.5 percent of LGBTQ students feel unsafe at school because of their sexual
orientation, 44.6 percent because of their gender expression, and 35 percent because of
their gender.
● 34.8 percent of LGBTQ students missed at least one entire day at school in the past
month because they felt unsafe or uncomfortable, and 10.5 percent missed four or more
days in the past month.
● Of the LGBTQ students who reported they were considering dropping out of school, 42.2
percent indicated they were doing so because of the harassment they faced at school.
● Compared to LGBTQ students with no supportive school staff, students with many (11 or
more) supportive staff at school were less likely to miss school because they felt unsafe
(20.1%–48.8%) and felt greater belonging to their school community.
● LGBTQ students experienced a safe, more positive school environment when their
school had a bullying prevention/anti-harassment policy that specifically included
protections on sexual orientation and gender identity/expression.
● Peer victimization of all youth was less likely to occur in schools with bullying policies
that are inclusive of LGBTQ students.
School administrators must be attuned and prepared to deal with any incidents of
bullying. The U.S. Department of Health and Human Services, Health Resources and Services
Administration (HRSA) suggests that school administrators assess bullying at your school and
your staff’s commitment to address bullying and learn about good bullying prevention programs.
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Zero Tolerance
Many schools and school districts have taken the precaution of establishing zero-tolerance
policies. Such policies establish in advance what the consequences of particular offenses will be
and impress upon students that certain actions absolutely will not be tolerated. Zero means
zero. The National Center for Education Statistics (NCES) reports that most schools have such
policies for at least some types of behavior. The center’s researchers found that more than 9 out
of 10 schools reported zero tolerance for weapons of any kind. Similarly, nearly 9 out of 10
schools reported policies of zero tolerance for drugs (88 %) and alcohol (87 %). Zero tolerance
was also found to apply to tobacco products and to physical fighting or other types of violence
on school property.
At the same time, such policies have their critics. “Critics say these policies lead to
overreaction, pointing to such cases as suspending a child for bringing a toy gun to school,”
writes Rasicot, “but many school officials stand by the policies.”72 In her overview of attitudes
toward such policies, Rasicot cites the worries of some civil rights advocates who fear that
“students’ rights might be trampled by efforts to ensure a safe school.” She also mentions the
concerns of mental health authorities who would prefer that a student’s motives be explored
before penalties are meted out and that penalties be meted out on a case-by-case basis suited
to the particular offender.
In an article entitled, “Does Zero Mean Zero?” Martin points out the frustration school
administrators often feel over the enforcement of zero-tolerance policies because there is a
constant weighing of two sets of students’ rights—the rights of the individual student accused of
violating a zero-tolerance policy and the rights of the entire student body to learn in a safe
environment. No matter how the administrator handles a given situation, including turning the
matter over to the school board if that is district policy, there are still circumstances, Martin says,
when “parents of the disciplined student—and sometimes, other interested parties—might
question the judgment used by school administrators and disagree with their decisions.”
Martin urges school boards, superintendents, and building-level administrators to
acknowledge the apprehension of parents and the community and thus to make every effort to
publicize the weapons policy of the school or district. Such publicizing would include
“highlighting the consequences for noncompliance and defining the weapons that are
considered deadly and dangerous, for which possession would result in mandatory expulsion.”
He goes on to say that “the district also should acknowledge that only special circumstances
may be taken into account when determining the appropriate consequence.” Examples of such
circumstance might include the offender’s age, ability to understand the policy’s requirements,
intent, past disciplinary record, and how the presence of the weapon (or item defined as a
weapon) affected others. Martin has put together a list of suggestions designed to help
principals avoid “communication pitfalls” in carrying out zero tolerance. He concludes:
Trying to balance strict policy enforcement with practical procedural
implementation is the greatest public relations challenge facing today’s school
administrators. But remember: Any school would rather gain a reputation for
zealously enforcing a strict weapons policy than receive notoriety for a shooting
incident. And communities will support their schools’ effort to increase safety and
decrease violence—as long as schools don’t lose sight of common sense.
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Other Strategies for Preventing School Violence
Many schools are attempting to find additional ways to address the issue of potential violence.
“Security measures such as metal detectors can stop students from bringing weapons to school
but do little to address the anger, meanness, and fistfights that are the much larger, although
less newsworthy, part of the problem,” Shapiro observes. He expresses concern over the way
anger, fear, and fighting harm students both academically and emotionally, and distract them
from the learning experience. “When arguments and threats escalate into violence,” he writes,
“the result is disruption of school activities, agitation of other students, disciplinary incidents, and
sometimes, suspensions and expulsions which cause further loss of learning.”
School Violence Prevention Programs
Shapiro’s suggested remedy is the institution of school violence prevention programs such as
the Peacemakers Program for grades 4 to 8. He points out that the program helps students
develop specific skills for handling conflict. These skills are essentially built around three basic
strategies: “proactively avoiding conflicts, responding effectively to conflicts once they have
begun, and removing oneself from conflict situations in which the other person’s maladaptive
behavior makes resolution impossible.” Particularly important, Shapiro stresses, is the need to
recognize that some young people look upon violence as “the most honorable and admirable
response to conflict.” Such students are not motivated to learn skills for dealing with conflict by
nonviolent means. Therefore, special attention must be given to addressing the proviolence
values such students hold.
Mediation
Mediation, including peer mediation, is another way that schools are working to deal with
dispute resolution and violence prevention. Trevaskis points out benefits that both disputants
and mediators gain through such programs and describes the important life skills both parties
learn when the mediation approach is applied. In his ERIC Digest summary of mediation
practices in schools, Trevaskis has included a “checklist for mediation,” outlining how the
mediation process works. As Beyer points out in a discussion of the legal rights of students with
regard to school safety, “Certainly, violence prevention training, as opposed to criminal
enforcement techniques, is the course most consistent with a recognition of children’s human
rights.”
Resources to Help in Violence Prevention
The Internet provides many resources that may help school leaders deal with the problem of
school violence and concerns about school safety. Figure 5.4 provides an overview of some of
the best material from reliable sources that is available online from the Internet.
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▪ FIGURE 5.4 ONLINE RESOURCES TO AID EDUCATIONAL LEADERS IN KEEPING
SCHOOLS SAFE
Description Web Page URL
Resolution Ensuring Safe and Just
Schools for All Students. Customize this
resolution to outline protections for students
during COVID-19, including a safe school
environment, access to technology for
distance learning, and more.
https://www.nea.org/advocating-for-change/n
ew-from-nea/resolution-ensuring-safe-and-jus
t-schools-all-students
Safe Schools Resources. The Pennsylvania
Department of Education’s Office for Safe
Schools coordinates school safety and
security programs, collects the annual school
violence statistics, coordinates antiviolence
efforts, and develops policies and strategies
to combat school violence.
https://www.education.pa.gov/Schools/safesc
hools/Pages/default.aspx
How to Protect Students from Sexual
Harassment: A Primer for Schools. This
fact sheet is part of a series of tools designed
by the National Women’s Law Center to help
schools address the dropout crisis, in
particular those students who dropout due to
sexual harassment and bullying.
https://nwlc.org/sites/default/files/pdfs/Final%
20SH%20Fact%20Sheet-Schools
Indicators of School Crime and Safety,
2019. A report from the National Center for
Education Statistics and the Bureau of
https://nces.ed.gov/pubsearch/pubsinfo.asp?
pubid=2020063
https://www.nea.org/advocating-for-change/new-from-nea/resolution-ensuring-safe-and-just-schools-all-students
https://www.nea.org/advocating-for-change/new-from-nea/resolution-ensuring-safe-and-just-schools-all-students
https://www.nea.org/advocating-for-change/new-from-nea/resolution-ensuring-safe-and-just-schools-all-students
https://www.education.pa.gov/Schools/safeschools/Pages/default.aspx
https://www.education.pa.gov/Schools/safeschools/Pages/default.aspx
https://nwlc.org/sites/default/files/pdfs/Final%20SH%20Fact%20Sheet-Schools
https://nwlc.org/sites/default/files/pdfs/Final%20SH%20Fact%20Sheet-Schools
https://nces.ed.gov/pubsearch/pubsinfo.asp?pubid=2020063
https://nces.ed.gov/pubsearch/pubsinfo.asp?pubid=2020063
Justice Statistics.
Consortium for Appropriate Dispute
Resolution in Special Education. CADRE,
the National Center on Dispute Resolution,
encourages the use of mediation and other
collaborative strategies to resolve
disagreements about special education and
early intervention programs.
http://www.directionservice.org/cadre/index.cf
m
ACLU Youth & Schools. The Youth &
Schools program strives to make public
schools safe and bias-free, defending free
expression in public schools.
https://www.aclu.org/issues/lgbt-rights/lgbt-yo
uth
LGBTQ YOUTH OF COLOR: Discipline
Disparities, School Push-Out, and the
School-to-Prison Pipeline
https://gsanetwork.org/resources/lgbtq-youth-
of-color-discipline-disparities-school-push-out
-and-the-school-to-prison-pipeline/
Learning for Justice https://www.learningforjustice.org/
National Youth Violence Prevention
Resource Center. Information on youth
violence, youth at risk, youth suicide, gangs,
and firearm violence. Good source for
statistics.
www.safeyouth.org
Stop the Hate. Dedicated to helping
students, educators, police and the
community to stop hate crimes and violence.
Also a good connection to other communities
about activities in these areas
www.stopthehate.org
ERIC (Educational Resource Information
Center). Information for parents and teachers
about many educational issues.
https://eric.ed.gov/
Take Action Against Bullying. Information
about bullying from recent articles.
www.bullybeware.com
Stop Bullying Now. Does not believe that
bullying is a part of growing up. View letters
from students.
www.stopbullyingnow.com
Gay, Lesbian and Straight Education
Network (GLSEN). Antibullying resources
and support for schools to implement
effective and age-appropriate antibullying
programs to improve school climate for all
students.
https://www.glsen.org/
http://www.directionservice.org/cadre/index.cfm
http://www.directionservice.org/cadre/index.cfm
https://www.aclu.org/issues/lgbt-rights/lgbt-youth
https://www.aclu.org/issues/lgbt-rights/lgbt-youth
LGBTQ YOUTH OF COLOR: Discipline Disparities, School Push-Out, and the School-to-Prison Pipeline
LGBTQ YOUTH OF COLOR: Discipline Disparities, School Push-Out, and the School-to-Prison Pipeline
LGBTQ YOUTH OF COLOR: Discipline Disparities, School Push-Out, and the School-to-Prison Pipeline
https://www.learningforjustice.org/
http://www.safeyouth.org
http://www.stopthehate.org
https://eric.ed.gov/
http://www.bullybeware.com
http://www.stopbullyingnow.com
https://www.glsen.org/
The U.S. Department of Education has in recent years placed great emphasis on
understanding what leads to school violence and what is most effective in preventing it. Its 1998
publication, Early Warning, Timely Response, was written as a guide for school leaders and all
others interested in school safety. Summing up research on violence prevention and
intervention, the publication includes early warning signs (but with a caveat about not
misinterpreting or misusing them), principles for helping troubled children, information on how to
develop a prevention and response plan, and how to respond to crisis in the event that a tragic
act of violence does occur.
A companion publication for principals, teachers, mental health professionals, and
families was issued by the Department of Education in 2000 after the positive reception of its
Early Warning, Timely Response guide resulted in requests for a follow-up resource.
Safeguarding Our Children: An Action Guide was developed to help schools utilize a
three-stage comprehensive school safety model built around “schoolwide prevention, early
intervention, and intensive services for students with significant emotional or behavioral needs,
including those with disruptive, destructive, or violent behaviors.”
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Effective leadership requires a knowledge of conflict management that is applicable to a
wide variety of situations, including situations that could escalate into violence. Materials that
can assist in gaining this knowledge are readily available, and research is showing which
strategies are most effective.
Although most of the case studies, suggested learning activities, and simulations presented in
Part II of the text require the appropriate use of this chapter’s material on managing and
resolving conflict, the following exercises should provide the best opportunities for specifically
testing understanding and effective use of these concepts: Cases 13, 20, 24, 25, 28, 31, 32,
33, 41, 56, and 60; the midyear in-basket exercises; and the end-of-the-year in-basket
exercises.
Gorton, R. (2022). School leadership and administration: Important concepts, case studies, and
simulations (11th ed.). McGraw-Hill Higher Education (US).
https://bookshelf.vitalsource.com/books/9781266172724
CHAPTER 3: Authority, Power, and Influence
APPLICABLE PSEL STANDARD*, †
▪ Standard 1:
Mission, Vision, and Core Values
Effective educational leaders develop, advocate, and enact a shared mission, vision, and core
values of high-quality education and academic success and well-being of each student.
▪ Standard 2:
Ethics and Professional
Norms
Effective educational leaders act ethically and according to professional norms to promote each
student’s academic success and well-being.
▪ Standard 3:
Equity and Cultural Responsiveness
Effective educational leaders strive for equity of educational opportunity and culturally
responsive practices to promote each student’s academic success and well-being.
▪ Standard 4:
Curriculum, Instruction, and Assessment
Effective educational leaders develop and support intellectually rigorous and coherent systems of
curriculum, instruction, and assessment to promote each student’s academic success and
well-being.
▪ Standard 5:
Community of Care and Support for Students
Effective educational leaders cultivate an inclusive, caring, and supportive school community
that promotes the academic success and well-being of each student.
▪ Standard 7:
Professional Community for Teachers and Staff
Effective educational leaders foster a professional community of teachers and other professional
staff to promote each student’s academic success and well-being.
▪ Standard 9:
Operations and Management
Effective educational leaders manage school operations and resources to promote each student’s
academic success and well-being.
https://bookshelf.vitalsource.com/books/9781266172724
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Any administrator engaged in making decisions, mediating conflict, introducing change,
supervising teachers, or any other administrative task or activity should have a reasonable basis
for action rather than behaving idiosyncratically or capriciously. In a bureaucratic organization,
such as a school district, that basis is typically called authority. Authority can be defined as “a
right granted to a manager to make decisions within limitations, to assign duties to subordinates,
and to require subordinates’ conformance to expected behavior.” It is the authorization to get
things done or accomplished. Authority is, therefore, power-conferred, allowing an administrator
the right to “decide, direct, or control.”
WHAT LEGITIMATES AUTHORITY?
There are several possible, reasonable bases for an administrator’s authority in a particular
situation. First, authority may come from “higher up.” It may be derived from a governing board
or a superior within the organization. This type of authority is generally referred to as legal
authority. Second, authority may come from tradition. An administrator may possess authority in
a particular situation simply because administrators have traditionally possessed authority in
such situations. Thus people continue to recognize that tradition by accepting the administrator’s
attempts to exercise authority. According to data from one major study of education, “most
teachers do what their principals ask of them because they feel that their principals have a
legitimate right to make demands.” Third, authority may be earned or perceived as being
deserved. In other words, an administrator may be able to exercise authority successfully because
people respect the person or the position. Therefore, they are willing to allow their behavior to be
directed by a particular person whom they hold in high esteem and consider worthy of their trust,
irrespective of how they judge the merits of the directives.
However, because an administrator’s authority is usually believed by school boards to be either
inherent in the position or associated with the assigned responsibilities, some of the specific
elements and scope of that authority may not always be defined.9 This lack of specificity can
sometimes cause problems, especially if the administrator is not supported by superiors or if
those under his or her authority resist. As long as superiors back the administrator, however, and
as long as the people who respond to the administrator’s exercise of authority believe it is the
administrator’s right to exercise it, either because of the position in the organization or for some
other reason, no serious problems may occur. This is true, despite the fact that the nature and
limits of the authority may have never been fully defined.
TWO COMPETING BASES OF AUTHORITY
Cooper addresses the myths that currently operate in regard to the premises underlying
assumptions about where authority for school reform resides. He argues that in educational
settings, there are two separate—even competing—bases of authority.
Administrators base their authority on their status in their organizational hierarchy, be it as
principals, central office supervisors, or district superintendents. Their expertise is derived from
their position in the hierarchy and their specialized knowledge of school system operations and
management.
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Teachers base their authority on their knowledge of the subject matter and on their expertise in
pedagogy as it relates to their students. Superintendents speak generally about curriculum reform
measures, whereas teachers can explain how a particular objective worked with a special group
of students. Teachers believe that they have authority and control over children and classrooms,
whereas administrators believe that all the authority and control emanates from them, that is,
top-down control. Unfortunately, these assumptions or beliefs can constrain genuine calls for
reform from parents and the community because teachers and school leaders each believe they
have proper authority. These myths impair innovations initiated by top leadership because
teachers are not part of the process.
Ogawa and Bossert assert that the “medium” and the “currency” of leadership lie in the personal
resources of people. This can be true of teachers as well as administrators. The more resources
people have and the kinds of resources they possess or have access to can give them greater
power. On the basis of their review of studies on power, Fuqua, Payne, and Cangemi conclude
that “the currency of leadership, essential to influencing others, involves a wide variety of
factors.” Eight such factors are listed by these authors: support systems (participation in
networking opportunities), information (knowing where to find information and obtain it quickly,
which encourages the practice of good listening), credibility (attaining respect and trust through
demonstrated abilities and trustworthiness), visibility (being noticed as one who takes on
difficult tasks and works hard at them), legitimacy (being recognized and commended by
respected persons in positions of power), persuasiveness (effectiveness in winning others over to
one’s viewpoints through one’s confidence, personality, and appeals to reason and emotions),
charisma (a combination of qualities that add up to a personal dynamism or aura that draws
others), and agenda setting (in the words of Fuqua et al., “knowing when meetings will be held
and accessing the group leader to put items on the agenda at just the right time”).
Leadership shapes the systems that produce the patterns of interaction and the meanings that
other participants attach to organizational events. As principals fulfill their roles, their ability to
influence the organization without dictating their authority affects the productivity of the
organization. Whereas authoritarian leaders, intent upon control, undermine the efficiency of an
organization, those leaders who work from an inclusion perspective find themselves supported
by their personnel. This, consequently, enhances the entire organizational structure. Fuqua and
his associates refer to Kanter’s studies of corporations and her findings that those leaders who
relied more on their personal power than on their job title or credentials were the leaders most
able to mobilize resources, instill confidence, motivate those under their authority, and encourage
their creativity.
A reorientation and a rethinking of the current paradigm of authority and of who controls what in
our schools must occur before any meaningful reform measures can be jointly implemented by
teachers and administrators, as well as by the community. This reorientation issue means that an
administrator, especially one new to a school or school district, should give high priority to the
identification and understanding of sources that grant and limit authority.
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SOURCES THAT GRANT AND LIMIT AUTHORITY
As the previous discussion makes clear, the administrator’s authority may be derived from more
than one source. An important step, then, for any administrator is to ascertain the specific nature
and extent of the authority to carry out the responsibilities and to take action when needed.
Figure 3.1 identifies a number of possible sources that may, formally or informally, grant an
administrator the authority to act and that may also place formal or informal limitations on the
administrator’s prerogatives to exercise authority. In other words, each of the sources identified
in Figure 3.1 can potentially serve a dual function, that is, to grant authority and to restrict
authority. Authority once granted is not always permanent. Zirkel and Gluckman remind
administrators that in a time of downsizing, middle managers’ jobs are at risk. In school systems,
the middle managers are the principals and assistant principals. Members of both groups can
quickly find themselves stripped of authority as they are moved from an administrative role to a
teaching reassignment.
FIGURE 3.1 POSSIBLE SOURCES THAT GRANT AND LIMIT ADMINISTRATOR
AUTHORITY
A school administrator can usually determine, for the most part, the specific nature and extent of
authority by examining the job description, the school board policies, and the district’s master
contract. The prerogatives to exercise authority may also be broadened or limited, however, by
the superior’s expectations,16 state law and regulations, federal court decisions, and a number of
other elements that are identified in Figure 3.1. For example, the same superintendent who grants
a certain type of authority can also take it away or restrict it in some manner. The same faculty
members who, through their expectations, informally grant their principal the authority to take
certain actions can change those expectations and remove their support.
Although the number of potential sources of limitations presented in Figure 3.1 is large and may
seem overwhelming to some readers, an administrator’s initial response should be to investigate
policies, regulations, expectations, and conditions in the principal’s own school situation rather
than assuming a certain pattern of limitations. (For further discussion of reference group
expectations, see Gorton and Thierbach-Schneider.) Some of the potential sources of limitations
identified in Figure 3.1 may not be actual constraints in a particular school district.
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For example, under “District” in Figure 3.1, “Principals’ Norms” are listed as a possible source
of limitation to the exercise of authority. Although rarely discussed in the professional literature,
a principal’s peers in the school district can develop norms that may limit to some extent what a
principal can do in school. These peer norms can be especially powerful in influencing the
behavior of a new or “outer-directed” principal. It is not inevitable that a new principal will find
the norms of peers limiting the exercise of authority in the school. In many school districts the
norms of the principals are not well developed, nor is there much evidence that sanctions would
be imposed by other principals unless the behavior in question was extreme. Some beginning
principals have been assisted in gaining an understanding of peer norms, job expectations, and
clarification of subtle signs and signals by implementation of a “buddy system” or mentoring
program. The norms of the other principals in a school district do, however, constitute a potential
source of limitation on a principal who wishes to exercise authority in school, and therefore the
importance of these norms needs to be weighed.
Another example of a potential source of limitation on a principal’s exercise of authority is the
principal’s own perception of policies, expectations, and conditions. If an administrator perceives
a condition as a limitation of authority, then it is a constraint, regardless of whether any other
administrator in the same situation would perceive that condition to be restrictive. For instance,
some principals who assume a position at another school are reluctant to change any school
procedures or practices that have been in existence for a long time because they believe that such
changes might upset certain people. Although there is nothing necessarily wrong with
proceeding cautiously in a new situation, other principals who face the same circumstances
would not perceive the possible negative reactions of others to change as a constraint on their
authority. If they were convinced of the need for change, these principals would take whatever
steps were necessary to bring about the change. The latter group of principals is not necessarily
exercising authority effectively; it is simply that this group does not perceive the same conditions
as a constraint to the exercise of authority as does the first group of principals in our example.
A school administrator should not be intimidated or immobilized by the possibility of constraints
on existing authority. The wise administrator, however, will make few assumptions about having
authority to act, and will carefully and objectively examine the situation to determine the limits
and the strengths of the various sources of authority. The administrator will also be constantly
aware of a characteristic of formal authority that Blau and Scott have perceptively observed,
namely, that formal authority only “promotes compliance with directives and discipline, but does
not encourage employees to exert effort, to accept responsibilities, or to exercise initiative.”
FACTORS TO CONSIDER IN EXERCISING AUTHORITY
School administrators exercise authority in a variety of ways. For example, they make decisions,
promulgate rules and regulations, interpret policies, and issue directives. The purpose of
exercising authority should be to bring about some desired response from others. The ideal
outcome would be the acceptance of the administrator’s right to exercise authority, along with
willing cooperation in carrying out the administrator’s expectations. Although this ideal is
frequently recognized in school administration, it is not always achieved.
Simon has suggested, based on earlier work by Barnard, that subordinates’ characterization of
the administrator’s exercise of authority can range from “clearly unacceptable” to
“unquestionably acceptable,” with several degrees of variation in between. (Wilkes and
Blackbourn have devised a useful instrument for measuring the degree of acceptability of various
kinds of administrative directives to teachers.) Whether or not people will find the
administrator’s directives acceptable would appear to depend on a number of factors, including
the personality of the administrator and the way the authority was exercised, as well as the
personality and needs of the recipients of the directive. For example, research found that teachers
were more likely to accept the directives of the principal when the administrator was perceived
as strong in the leadership dimensions of both consideration and initiating structure.
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Negative Reactions
Most administrators at one time or another will encounter unavoidable negative reactions when
they attempt to exercise authority. In order for administrators to address negative responses
effectively, they must first recognize that such responses may take a variety of forms. In
Peabody’s study of an elementary school faculty, nine different types of negative responses were
identified that could result when administrative authority is perceived as unreasonable.
1. The teachers may consciously question the order but accept it as binding.
2. The teachers may inform the administrator of their views and seek to be converted to the
administrator’s point of view while complying with the order.
3. The teachers may discuss the situation with the administrator and try to work for change
while complying with the order.
4. The teachers may attempt to gain support for their contrary views by appealing to
coworkers.
5. The teachers may go around their superior and try to gain the support of those above in
the hierarchy or people from the outside.
6. The teachers may discuss the order, but ignore, evade, or try to modify it while seeming
to comply.
7. The teachers may ignore, evade, or try to modify the order without discussing it.
8. The teachers may openly reject the order.
9. The teachers may transfer or resign.
The type of negative reaction that teachers display toward the exercise of administrative
authority would undoubtedly depend on many situational factors. In most circumstances,
subordinates are unlikely to reject openly the exercise of administrative authority or resign
because of it, unless the authority has been exercised in an extremely arbitrary or capricious
manner. Staff members may react to what they perceive as the unreasonable exercise of authority
by responding in one or more of the first seven ways identified in Peabody’s study.
Responding to Negative Reactions to Authority
When encountering a negative reaction to the exercise of authority, an administrator should first
attempt to diagnose the reasons why it is occurring. This approach may not be the initial
predisposition of many administrators when they encounter a negative reaction to the exercise of
their authority. Instead, they may become upset or defensive and try to impose their authority on
those reacting negatively. An administrator who attempts the latter may believe the power exists
to impose authority, but, as discussion in the next section will make clear, an administrator’s
power is limited and should always be verified before it is used. Although to some extent these
emotions are normal and understandable, the thoughtful administrator will quickly gain control
over such tendencies and will try to avoid doing anything that might exacerbate the situation.
The administrator should also try to understand the reasons for a negative response to authority
in order to be in a more knowledgeable position to take appropriate steps.
Also, it needs to be emphasized that the questioning or challenging of authority is not necessarily
bad and can be instructive if its causes are understood. Although organizations (especially large
bureaucracies) seldom encourage dissent and frequently do not tolerate it, a negative reaction to
the exercise of authority may signal the inappropriate use or understanding of that authority.30
Teachers, one of the groups that will be a recipient of the administrator’s authority, frequently do
not consider themselves to be subordinates or employees working for a superior, but as
professionals whose expertise and autonomy must be respected.
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Diagnosing the Problem through Discussion
The key for an administrator who encounters a negative response to authority is to try to
diagnose the causes of the reaction by first conferring with the parties involved. The initial
inquiry should be along the line that “perhaps there has been a misunderstanding.” An effort
should be made to avoid putting the other party on the defensive, and an attempt should be made
to understand the other person’s frame of reference before explaining the administrator’s own
position. In this kind of a situation, the use of concepts from “The Administrator as a Recipient
of Communication” in Chapter 4, along with concepts from Chapter 5, “Conflict Management,”
will be very important.
Examining How Authority Is Exercised
If a negative reaction to the exercise of authority persists, the administrator will then need to
make a judgment about whether the authority was appropriately exercised. Boucher offers
administrators the following suggestions for giving criticism in a way that motivates others to do
a better job: (1) See yourself as helping someone improve—you are now a teacher or coach, (2)
express sincere concern as you share ways for this individual to be more successful, (3) choose
the right moment to offer criticism, (4) drop the word “should” from this conversation (“shoulds”
make you appear pedantic and rigid), (5) make a conscious effort to avoid appearing that you are
more interested in achieving compliance than in helping the other person improve, (6) discuss
how the person will grow and benefit from following the suggestions you are making, (7) be
specific—vagueness creates anxiety and doubt, which often makes the situation worse, and (8)
be prepared to receive criticism yourself—you’ll be perceived as a credible source.
Dealing with Insubordination
Before judging whether authority was aptly exercised, the administrator may want to consult
with superiors, as well as examine school board policies, the master contract, and any other
sources that are used as a basis for exercising authority. If the basis for the administrator’s
exercise of authority is sound and if the original objective sought is still desirable and attainable,
the administrator should insist that the authority of the administrator be obeyed. No administrator
should permit the reasonable exercise of legitimate authority to be ignored, evaded, or rejected.
Such responses to the exercise of legitimate authority represent possible insubordination and, if
permitted, could weaken the authority base of an administrator and could lead to more
widespread noncompliance.
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The administrator should keep written, dated documentation of the initial negative reaction to the
exercise of authority and of all subsequent meetings, contacts, correspondence, and reactions
between the administrator and others involved in the situation. An excellent monograph that
provides further guidelines to preparing needed documentation has been published by the
National Organization on Legal Problems of Education and is entitled A Documentation System
for Teacher Improvement or Termination.
Insubordination and its variants under applicable state employment laws defy exactitude and
uniformity. Nevertheless, the odds tend to favor school districts as long as administrators resist
knee-jerk reactions and document repeated efforts to be clear, reasonable, and diligent in their
directives and the teacher’s intentional noncompliance.
Gaining Compliance from Resisters
The specific steps that an administrator should take to gain compliance from those who are
resisting or evading the exercise of authority will undoubtedly vary according to the
circumstances. When continued opposition is likely, given the results of an initial conference
with the parties involved, the administrator will want to confer with superiors to obtain their
ideas and support of certain courses of action. Also, the legality of proposed administrative
actions and due process requirements need to be clearly understood and followed.
In most cases, unless the negative response to authority is extreme, it will be better for the
administrator to begin insisting on compliance with authority gradually by conferring again with
the parties involved. At this second meeting, the administrator should make sure that whoever is
resisting or evading the directive fully understands the possible implications of such actions.
Before the meeting is over, if the continued reaction of the other party is negative, then the
administrator should explicitly state expectations. If the reaction continues to be negative, then
the administrator should issue a written warning to the other party that disciplinary action will be
taken if compliance is not forthcoming by a certain date. Before writing this letter, the
administrator should consult with superiors and obtain legal guidance. At some point, stronger
negative sanctions may need to be used, including recommended disciplinary measures or even
dismissal of an employee if compliance cannot be obtained. While an administrator should want
people to accept the administrator’s legitimate authority and carry out the directives
cooperatively, in the final analysis, when people are reacting negatively, there must be
compliance.
Guidelines for Exercising Authority Successfully
There are no doubt numerous specific reasons why people question, challenge, or resist authority,
some of which were discussed in Chapter 2, “Decision Making.” Chester Barnard indicated in
his analysis of the authority problem in organizations that a person can and will accept authority
when four conditions prevail: when the individual understands the order, when there is a belief
that the order is consistent with the perception of the purposes of the organization, when there is
a belief that the order is in the individual’s own personal interest, and when the individual is
mentally and physically able to comply with the order.
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Based on Barnard’s concept of the prerequisites for compliance with authority, it would appear
that administrators should keep in mind the following guidelines in issuing directives or orders:
1. In deciding on the need for a directive and in its formulation, presentation, and execution,
administrators should consider how the order will affect the recipients personally,
recognizing that people are likely to question or resist directives that they feel are not in
their best interest.
2. Administrators should consider the strengths and limitations of those who will be
expected to implement a directive. They should avoid issuing orders to people who lack
the necessary motivation, skill, or training to carry out.
3. They should explain thoroughly the rationale behind each directive and its relationship to
the goals of the organization. They should not assume that people understand the reasons
for an order or that people will necessarily see the logic or value of an order.
4. They should leave room for modifying the original order or its method of
implementation. Flexibility and a willingness to compromise when appropriate are key
factors in exercising administrative authority successfully.
5. They should issue only those directives they are relatively sure either will be obeyed or
can be enforced if resisted. Orders that cannot be enforced in one situation weaken the
administrator’s authority for successfully issuing orders in other circumstances.
Although some administrators and supervisors may be reluctant to exercise authority, particularly
in light of the human relations and empowerment emphasis in school administration and
challenges by various groups to administrative authority, it should be clear that if the
administrator is to perform assigned responsibilities effectively and work with others in the
improvement of the organization and the achievement of its goals, it may be necessary to utilize
authority. The use of authority is an inescapable aspect of an administrator’s job. The important
question, then, is not whether authority should be exercised, but how and in what circumstances.
The preceding and the following discussion should be helpful to an administrator in answering
that question.
ADMINISTRATIVE POWER
Although many administrators and even some theorists use the terms authority and power
interchangeably, these concepts differ in both function and implications. The successful use of
administrative authority is based first on the willingness of subordinates to comply with an
administrator’s expectations and second on the fact that the authority being exercised has been
granted by one or more of the sources in Figure 3.1. When these two conditions are adequately
met, an administrator does not need power. Power represents the “capacity or potential for
effecting desired results in one or more persons that would not have otherwise occurred.”
According to this definition, administrators possess legitimate power if they can get people to do
what the administrators want them to do, even when people resist or refuse to accept authority in
a certain situation.
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Power as Securing Compliance versus Power as Empowerment
The traditional compliance model of power has been replaced with concepts of personal and
collective empowerment. In regard to the latter, power is viewed as the ability to predict the
consequences of one’s actions in complex situations as well as the ability to maintain individual
control over one’s feelings and behaviors. The administrator or supervisor serves primarily as the
catalyst or charismatic leader who prompts individuals to transform themselves at the same time
they transform the social environment. Beaven suggests that more attention needs to be focused
on those who actually change themselves; on their response to leader control; and on the
phenomenon known as charismatic, transformational leadership.
Types of Power
What types of power are available to an administrator? Several theorists have proposed
somewhat useful paradigms to answer this question. For example, Etzioni advanced the
proposition that there are three general kinds of power: (1) coercive power (e.g., suspending an
employee), (2) remunerative power (e.g., control over resources), and (3) normative power (e.g.,
control over prestige). Parsons has identified four types of power or influence, using the terms
interchangeably: (1) persuasion, (2) inducement, (3) activation of commitment (e.g., use of
negative sanctions to influence another person’s intentions), and (4) deterrence (e.g., negative
sanctions to control a situation). Furthermore, French and Raven, in what is probably the most
elaborate proposed model of power, have suggested six types of power.
Reward power: Capacity to provide rewards, such as higher salary or better assignment.
Coercive power: Capacity to provide punishment or negative consequences, such as teacher
dismissal.
Legitimate power: Power derived from a position or a set of formal relationships.
Referent power: Tendency of other individuals to be attracted by and to identify closely with the
administrator.
Expert power: Special knowledge or skill, for example, supervision, scheduling, or group
Informational power: Ability to control the flow of information that is needed to get things done
Table 3.1 presents examples of the six types of social power identified by French and Raven.
Paul Hersey and Walter Natemeyer have developed a Power Perception Profile instrument to
assess why someone responds to another’s attempts to exercise power. They expanded French
and Raven’s five power types into seven, adding connection power based on the perception that
the supervisor has relationships with influential people inside or outside the organization and
information power based upon the leader’s possession of or access to information perceived as
valuable to others. This latter power base is important to others because they need this
information or want to be “in on things.”
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Also, Buhler stresses the importance of recognizing that power is not unilateral but is generally
shared and distributed. Teachers, for example, hold a great deal of potential power in the degree
of compliance and in their willingness to comply. Buhler further believes that “most employees
throughout the organization have the ability to make their boss look bad.” This important
political element can often be overlooked by the principal. There is also power in terms of whom
teachers are aligned with and the great loyalty they have for these individuals. For example, in
business, when a senior executive leaves the company, a whole group generally follows. In
school systems, administrators and teachers may not have the flexibility to follow their superior
immediately, but the information and communication network of loyal past employees is
nevertheless powerful and influential. People tend to group together in order to achieve and
sustain power. Particularly in educational settings, power should be used, when possible, as a
shared resource.
Power Sharing and Teacher Empowerment
Power sharing encourages teachers, principals, department chairs, counselors, and other staff at
all levels of the school to be involved in decision making without feeling coerced or
manipulated. A study on empowering teachers at the elementary school level found personal
power of the principal who incorporated referent, information, and expert subordinate perception
bases is highly valued by teachers. Teachers, however, resent principals who falsely see
themselves as relying on personal power when, in fact, they use positional power bases such as
reward, coercion, connection, and legitimate authority. Connection power, through which the
principal has a personal relationship with influential people inside or outside school, could be a
source of personal power as well. Yet teachers in this same study tended to “devalue their
principals’ connections as being part of an old boy’s network. They resented the fact that their
principals with connections spent a good deal of time away from the schools.”44 Accessibility is
an important quality in effective leadership.
“Giving teachers greater power is a major way to make them more professional and to improve
their performance.” Teachers should have an impact on policy decisions and should work in a
collegial relationship, “sharing power” with administrators. Through this relationship, principals
become facilitators of school goals, empowering teachers and allowing them to generate their
own ideas. This, in turn, gives more dignity to the profession of teaching. As teachers become
more empowered, they will have to accept the burden of responsibility. Whereas in the past
teachers could “blame the administrators for problems,” this blame should decline as teacher
empowerment increases. In order to empower teachers and expect them to be successful in
carrying out their responsibilities, they must be educated and trained in the skills necessary for
appropriate decision making.
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Power and Perception
In examining the various conceptualizations of power, a question could be raised about whether,
in some cases, the concepts that the theorists are presenting should not more properly be
characterized as sources or types of social influence rather than power. Types of “power,” such as
control of prestige, persuasion, and referent and reward power, seem to represent sources of
influence rather than sources of, or types of, power (more will be said later about influence). It is
difficult to see how these types of power could be used to force someone to comply with
authority if the person was determined to resist it.
RESEARCH SPOTLIGHT
How Men and Women Use Influence in the Workplace
A leader’s success often depends on his or her ability to gain the cooperation and support of
others. A recent questionnaire of 223 leaders (116 men, 107 women) found the following:
DIFFERENCES BETWEEN GENDERS
Of the four most effective influencing tactics—reasoning, inspiring, consulting and
collaborating—men and women use reasoning and collaborating to the same extent. There are,
however, some significant differences regarding the two other core tactics—inspiring and
consulting. Women tend to use inspiring more frequently than men, especially with colleagues
and direct reports. Women also use consulting more frequently than men with bosses and with
their direct reports.
Here are some other important findings from the research:
● Women use apprising significantly more with direct reports. Men use apprising when
influencing their bosses.
● Men could benefit from using consulting more often with their direct reports,
especially when they have authority to make a change but need others to help them
implement it. However, women may be using this influencing style too often with their
bosses.
● Women use recognizing (using praise or flattery) significantly more than men when
influencing their colleagues and direct reports.
● Women use legitimizing (significantly more than men when influencing colleagues.
TIPS FOR MAXIMIZING INFLUENCE
Both men and women use collaborating and consulting to the same extent with colleagues.
Additionally, men and women use pressure to the same degree. Leaders can use the following
tips to maximize their influence:
● Don’t consider gender. The gender of the influencer and person being influenced has
no effect on whether influencing attempts are successful. To be successful, the
influencer must know the person he or she is trying to influence.
● Don’t rely on reasoning. Reasoning works best when used with other influencing
tactics. If you’re going to use reasoning, be sure to talk about the benefits of what
you’re pitching, not just the facts.
● Build a solid the foundation. The trust and relationship you have with the person
you’re influencing play a vital role in how successful you are. However, many
influencers fail to take time to build trust within teams. Having this relationship in
place ahead of time helps you build credibility with the person so you don’t have to
rely on a single influencing tactic.
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If a subordinate is determined to resist an administrator’s authority, the only effective type of
power may be coercive power, defined as “the capacity to force people to do something against
their will.” It needs to be emphasized, however, that most school administrators are quite limited
in their possession of coercive power. By and large, this kind of power is based on the backing of
an administrator’s superiors; it may also need to be validated by some outside agency—for
example, the courts—if the legality of the use of power is challenged. To complicate matters, the
basis for the use of coercive power is frequently vague and often not predictable or dependable.
For instance, seldom will an administrator find in school board policies or in a job description
any discussion of the right to use coercive means to gain compliance from employees. This type
of power is rarely made explicit and is usually, at most, implied.
On the other hand, an administrator may be able to achieve initial compliance from others or
overcome resistance to the exercise of authority as a result of other people’s perception of the
administrator’s coercive power. Three perceptual conditions, however, must be present:
Others must perceive the administrator as possessing a certain kind of coercive power.
They must perceive this power as something that they definitely would like to avoid.
They must perceive the administrator as ready to use coercive power if compliance is not
forthcoming.
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If, for example, a teacher believed that a principal could and would use punishment in some way
for the teacher’s failure to monitor the corridor when students are passing between classes, and if
the teacher wanted to avoid that punishment, then the teacher would probably comply with the
administrator’s expectations. In this case, the perception is more important than the reality. If a
subordinate perceives that an administrator possesses coercive power, then the subordinate will
act on that perception, irrespective of whether the administrator possesses that power. As
Wheeless and his colleagues point out, “People act not on the basis of the situation but on the
basis of their perceptions about the situation. … It makes no difference, for example, if the agent
[administrator] making a threat has the ability to carry out that threat. If the [individual or group]
being threatened perceive[s] such an ability, the agent has power.”
WINDOW ON DIVERSITY
Power and Privilege
Take a look at the video “Power, Privilege, and Oppression” and then consider how a school
leader wields his/her power.
Watch the following video, “Power, Privilege, and Oppression”
Nevertheless, it is important for an administrator to understand that coercive power is most
effective when it is not used, but when it is believed that it would be exercised and supported if
compliance were not forthcoming. The more an administrator has to resort to the use of coercive
power in order to gain compliance, the greater the possibility of exposing its limited or
inadequate basis, thereby exacerbating a situation, or resulting in some other unanticipated
consequence. Although certain circumstances may warrant the use of coercive power, in most
situations the administrator should utilize other means, such as dependence upon personal power,
for gaining compliance and, especially, cooperation.
The appropriate exercise of personal power is one of the means of obtaining higher levels of
teacher satisfaction and cooperation. Empowerment through the use of personal power gives
teachers a sense of ownership, raises their level of self-esteem, and increases participatory
decision making and communication. Ross and Webb determined in their study of an elementary
school how shared decision making taught administrators and faculty members how to share
power and thus provide a better learning environment for their students. Other means that
administrators can use for gaining cooperation fall under the category of influence, to be
discussed next.
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POWER AND INFLUENCE
Most of the kinds of power identified above would seem to represent types of influence rather
than power. Power, of course, can be and has been defined broadly by a number of theorists.
Kotter aptly notes that inherent in every position in an organization is a certain degree of power,
and individuals have the potential either to enhance or to decrease the power of their position by
the behavior they display. When power is defined broadly, such a definition (and sometimes the
mere use of the term) can inadvertently mislead an administrator into thinking there is more
capacity to bring about change than the administrator possesses in certain situations.
Unquestionably, power and influence are closely related on a theoretical basis; however, little
research exists about the effects of a leader’s influence-seeking behaviors on subordinate
perceptions of leader effectiveness in an organizational context. Specific descriptive theory and
valid empirical research on possible linkages between perceived leader behavior and attributions
of power have been virtually nonexistent. One exception in recent years is the research of Rice
and her colleagues, in which the power and leadership practices of school superintendents were
studied according to the perceptions of both leaders (principals) and followers (teacher
association representatives).
TYPES OF INFLUENCE
Influence, when compared to power, seems to be a more positive concept and more in line with
the realities of organizational life for most school administrators. Influence can be defined as
“the ability of an [administrator] without recourse to force or legitimation, to affect another’s
behavior.” Influence is the shaping of decisions through “informal and nonauthoritative means.”
It differs from authority in that (1) many people can influence a decision whereas only one
person has final authority, (2) influence may be distributed unequally, whereas authority is
usually distributed equally, and (3) authority is top-down management, whereas influence is
multidirectional.61 An example of multidirectional influence is described by Bredesen, who was
able to use his influence to involve upper elementary and middle school students in a community
service project that would have been reserved for high school students. As the principal of a
school and a member of the board of directors for a historical society, he was in an ideal position
to convince the school board that the habit of community service needed to be established in
students before the pressures of their high school years. Working with teachers and the local
museum personnel, he was able to implement a successful summer service program for students
that reinforced the classroom instruction of local history.
An administrator has influence if other individuals or groups can be persuaded to comply with
the administrator’s expectations, despite their ambivalence or objections. In light of the
limitations of power and considering the periodic challenges to authority that most administrators
will experience during their careers, it would appear that the concept of influence offers a
positive and constructive alternative basis for many administrative actions.
If the administrator is to exert influence successfully, the administrator’s actions must be based
on some factor that will persuade people to act in accordance with the administrator’s decisions
or directives. Successful implementation of directives will, in large measure, be contingent upon
the perception of the individual receiving the directive from the administrator.
Furthermore, utilizing (with minor modification) French and Raven’s concepts, it would appear
that administrators may be able to exert influence based on other people’s identification with
them (referent influence), their ability to obtain rewards (reward influence), or their perception of
administrators’ expertise as educational leaders (expert influence).
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Referent Influence
The identification of other individuals or groups with the administrator as a person is the basis
for the referent influence of an administrator. An administrator who possesses certain qualities,
such as an attractive personality, a strong character, or a charismatic leadership style, may be
successful in securing the cooperation of other people as a result of their identification with these
characteristics. Even if teachers, parents, or students question the decisions or policies set forth
by an administrator, they may oblige, simply because they react positively to the personal
qualities the administrator possesses.
There is considerable observational evidence that people will respond favorably to an
administrator’s attempt to influence them as a result of their identification with the individual.
Administrators in business and government, as well as in education, have found it possible to
secure the cooperation of others, in spite of objections to a particular policy or action, because of
their positive feelings about the administrator. There is little doubt that the identification by
others with the administrator can be a powerful basis for influencing them if the administrator
possesses the requisite personal characteristics.
One problem with referent influence is that research has not conclusively established the kinds of
personal characteristics with which people identify positively. It appears that not all people
respond the same way to particular personal characteristics. Qualities that one group may find
attractive or charismatic might be perceived by other individuals or groups as undesirable. For
example, ingratiation, acting friendly toward another, or flattering another may be enjoyed by
some employees but be seen as a sign of weakness by others. Consequently, there is no single
pattern of personal attributes that can be recommended without qualification to the administrator
for all situations. A study by Hoy and Kupersmith suggests, however, that administrator
“authenticity” could be very important. In addition, a study by Johnston and Venable suggests
that an administrator’s style in administering personnel rules may be significantly related to the
degree of loyalty that teachers feel toward the administrator.
Another important limitation of referent influence is the fact that its potential is largely
determined by factors over which most administrators have little or no control. By the time a
person becomes an administrator, personality and leadership style are usually already developed.
Therefore, if the administrator does not currently possess the kinds of personal characteristics
with which people identify, the likelihood of developing them is not great. Although an
administrator can often improve personal traits, the task is not an easy one, and change is
frequently slow. Despite these obstacles, it would be in the best interest of any administrator to
improve personal qualities and leadership style so that greater referent influence can be exercised
(see Chapter 1, “Leadership”).
Reward Influence
A second kind of influence an administrator may be able to utilize in persuading people to adhere
to the administrator’s wishes is reward influence. This type of influence is based on the
administrator’s actual or perceived possession of certain rewards that can be distributed to those
who comply. Examples of these rewards range from a better work schedule to greater
administrative receptivity and accommodation to the recommendations and special needs of
certain individuals or groups.
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Reward Distribution Issues
Unfortunately, it would appear that most administrators do not possess a great deal of influence
based on rewards, since they frequently find themselves in a position where they cannot
distribute to one individual or group any rewards that do not need to be distributed equally to
other individuals or groups. Unlike executives in private enterprise, educational administrators
can seldom selectively reward their employees according to merit or increased productivity.
They may occasionally be able to offer a reward to one individual or group without having to
give similar recognition to other involved individuals or groups, but this possibility does not
occur often. In education, preferential treatment seems to be regarded with suspicion, and
students, teachers, and parents are alert to situations in which the administrator seems to be
favoring one individual or group over another.
Limited Resources
There is also a problem that only a limited number of rewards are available to most
administrators to utilize in influencing other people. School board policy, bureaucratic
regulations, the nature of public control over resources, and teacher, student, and parent
militancy are factors that tend to restrict the number and importance of rewards available to an
administrator.
Alternative Rewards
This does not mean that the administrator possesses no reward influence or that it should not be
utilized. There are some administrators who, over the years, have been able to develop a wide
variety of rewards. For example, in discussing the behavior of one principal who attempted to
use reward influence, Cusick pointed out that “because he administered the schedule, additional
assignments, and unallocated resources, he controlled just those things that many teachers
wanted in order to fill out their fields. The principal could award a department chairperson with a
free period, a favorite class, a double lunch period, an honors section, or support for a new
activity.” Another practical alternative reward is “modeling.” Blase and Kirby found that
teachers reported that modeling influences their behavior to be consistent with the principal’s
expectations. One teacher stated “many of the principals’ requests might be viewed as beyond
the call of duty, but because of the principal’s modeling, they seem to be a part of the job.” These
teachers reported that this type of influence made them feel “comfortable,” “proud,” “aware,”
and “positive.” Given this, Henry Griffith, an elementary school principal, demonstrates how a
leader’s power and influence can be used to enhance school improvement. Under his guidance,
the faculty wrote and received a grant for $25,000 a year for five years. The faculty was able to
use the grant-writing experience to gain ownership of the ideas Griffith wanted to incorporate,
while enjoying not only the benefits of the money but also an enhanced self-respect and
collegiality among themselves.
Positive Reinforcement as a Reward
In addition to control over resources, a school administrator has available a simple but frequently
overlooked source of rewards: positive reinforcement. This can, for example, take the form of
oral and/or written appreciation to a person who volunteers for an activity, praise for a job well
done, a commendation for a significant effort to improve, or some other type of reward.
Although most school administrators may believe that they are already utilizing this potential
source of influence sufficiently, there is evidence to the contrary.
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To be effective in influencing behavior, positive reinforcement must be directly linked to the
specific effort or performance that warrants the reinforcement. For example, the school
administrator who gives praise indiscriminately or who does not clearly relate the delivery of
praise to the production of a certain type of behavior is not likely to be successful in influencing
others with positive reinforcement. In addition, unless the kind of positive reinforcement used by
a school administrator is valued by its recipient, the latter’s behavior is unlikely to be influenced.
Consequently, to be effective in using positive reinforcement, the school administrator needs to
become knowledgeable about the reward predisposition of the people to be influenced. Fuqua
and colleagues refer to the importance of “rewarding people for their accomplishments,
contributions, and ideas,” inviting people to participate in decision making, and giving credit
where credit is due. Leaders who empower, according to these authors, are leaders who “reward
people who generate the greatest impact toward organizational goals, rewarding results rather
than processes.”
Hierarchical Influence as a Reward
An administrator perceived as someone who has influence with superiors may also be able to
exert reward influence with teachers. Such influence can be manifested in at least two important
ways: by securing additional resources from the district that subordinates need and by being an
effective advocate and supporter of subordinates in their interactions with the district office. This
type of hierarchical influence has received some research support and represents a frequently
overlooked source of rewards that an administrator may be able to generate for subordinates. For
two interesting studies of the techniques that people use to try to exert upward influence, see
Schmidt and Kipnis and Schilit and Locke.
Although it is important for an administrator to make maximal use of whatever resources or
reward influence exists, it should be understood that, in many situations, the administrator’s
reward influence is not extensive, and there are significant constraints that may make it difficult
to take advantage of this type of influence. Therefore, although an administrator should try to
develop and use as many sources of rewards as possible, inasmuch as there are limitations to
administrative influence based on rewards, other sources of influence will be needed as well.
Glinow has written a provocative article on reward strategies that speaks to this issue.
Expertise as a Basis of Influence
Although the foregoing discussion of referent and reward influence has emphasized the personal
and situational limitations of these bases for administrative action, there is one source of
administrative influence that potentially would seem to offer the administrator a truly viable
basis upon which to gain the cooperation of others. That source is expertise, that is, specialized
knowledge or skill.
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Empirical support for the primacy of this source of administrative influence was furnished in a
study by Horstein. He discovered, in an investigation of 325 teachers who worked in 14 different
schools in two school districts, that the most important factor associated with teacher satisfaction
and high evaluation of principal leadership was the principal’s tendency to base attempts to
influence teachers on possession of expertise, rather than on other sources of influence.
Administrative attempts to influence teachers based on the possession of certain rewards for
compliance were not associated with high teacher satisfaction or high evaluation of the
administrator’s leadership. Referent identification as a source of influence was positively related
to teacher satisfaction, but the relationship was not statistically significant. Horstein’s research
also revealed that in those situations where the administrator based behavior on legitimate
authority or coercive power, the faculty was not satisfied with this individual as a principal and
did not give the principal a good evaluation as a leader.
While the data from Horstein’s investigation seem to suggest that an administrator can
successfully influence teachers if the actions are based on expertise as a source of influence,
there is other evidence that, regrettably, many administrators seem to lack expertise or are
perceived by others as lacking expertise. The ability of administrators to manage a school or
school district effectively and humanely has come under attack periodically through the years,
and these criticisms have recently escalated with the emphasis on school accountability and on
student, teacher, and parent demands for involvement in school decision making. For a further
discussion on this problem, see Gorton and Thierbach-Schneider.
On the other hand, research on effective schools has demonstrated that principals with expertise
can exert influence in their schools and that their leadership contributions are important to the
success of these schools.81 In the area of instructional supervision, for example, Guditus and
Zirkel found that “the influence of principals depends to a considerable degree on their
possession of special knowledge and skills which enable them to help teachers achieve their
goals.”82 For example, principals could increase their influence on teachers by learning more
about teaching and by visiting classrooms. “Managing by walking around may give
administrators an opportunity to influence faculty and staff.”
The effectiveness of an administrator’s influence would also seem to depend on the extent to
which attempts to influence others fall within the teachers’ zone of acceptance. See Clear and
Seager, Kunz and Hoy, and Johnston and Mullins for further discussion of the relationship
between the zone of acceptance and administrator influence.
Therefore, it would appear that one of the keys for an administrator’s successful exercise of
influence is to assist teachers and relevant others to meet their goals and to help them relate those
goals to the overall goals of the school and school district. This may require an administrator to
develop greater expertise in instructional leadership, program development, student discipline,
conflict resolution, working with groups, or some other type of special knowledge or skill that is
needed. In many cases, an administrator may need to identify and deploy other people who
possess special knowledge and skill that the administrator does not possess and would find
difficult to develop. The important consideration is not who possesses the special knowledge or
skill but that it be utilized to help the people associated with the school to become more
effective.
By empowering teachers, the potential for effecting desired results can be enhanced. Futrell
believes that if teachers were empowered to design and create their own professional
development, it would improve their performance. For an administrator, improved student, staff,
and school performance is the goal, and empowering teachers is a means to that goal.
In Yukl’s view of influence, he noted it as the effect, either intended or unintended, of one party
(the agent) on another person’s (the target’s) attitudes, perceptions, behavior, or some
combination of these outcomes. He suggests that 11 proactive tactics (Table 3.2) can be used for
influence attempts with subordinates, peers, and superiors.
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Table 3.2
A FINAL NOTE
By the very nature of their positions in an organization, administrators will be assigned major
responsibilities. In order to carry out those responsibilities successfully, authority, influence, and
perhaps, in some cases, power must be exercised effectively. Appropriate understanding and use
of the concepts presented in this chapter should help the administrator achieve these objectives.
Although most of the case studies, suggested learning activities, and simulations presented in
Part II require the appropriate use of the ideas in this chapter on authority, power, and
influence, the following exercises should provide the best opportunities for testing
understanding and effective use of authority, power, and influence concepts: Cases 20, 27, 28,
30, 37, 38, 49, and 62, and the midyear and end-of-the-year in-basket exercises.
Chapter 6: Organizational Culture
APPLICABLE PSEL STANDARDS*, †
▪ Standard 1:
Mission, Vision, and Core Values
Effective educational leaders develop, advocate, and enact a shared mission, vision, and core
values of high-quality education and academic success and well-being of each student.
▪ Standard 3:
Equity and Cultural Responsiveness
Effective educational leaders strive for equity of educational opportunity and culturally
responsive practices to promote each student’s academic success and well-being.
▪ Standard 7:
Professional Community for Teachers and Staff
Effective educational leaders foster a professional community of teachers and other professional
staff to promote each student’s academic success and well-being.
▪ Standard 9:
Operations and Management
Effective educational leaders manage school operations and resources to promote each student’s
academic success and well-being.
Scholars have long been interested in the social factors that seem to influence individual or group
behavior in an organization.1 A classic example of this focus was the Western Electric studies in
the 1930s that found employees develop a set of implicit group norms that influence, and in
some cases restrict, the levels of performance for an individual in a group.2 Another example is
provided in Anderson and Poe’s more recent description of the entrepreneurial society created in
certain companies in which employees work together with nothing less than a zeal to perform.3
Since the 1930s, there have been several studies of the types of social and professional norms
that develop in a school,4 and research on effective schools has identified the culture of a school
as an important effectiveness variable.5 The Education Commission of the States has found that
quality learning experiences start with an organizational culture that values high expectations and
respects diversity of talents and learning styles.6 Therefore, if school leaders desire to improve
the morale and productivity of those they lead, it is imperative that they strive to understand and
enhance the organizational culture of their school or school district.
In the following sections the theory of organizational culture will be examined, especially as it
relates to effective schools.
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MAJOR ELEMENTS OF ORGANIZATIONAL CULTURE
What is the organizational culture of a school, and how would an administrator recognize it? Any
organization operates according to a set of values, goals, principles, procedures, and practices
that help define what it is all about. Another word for these combined operating characteristics is
“culture.” According to Smircich, who synthesized a number of ideas from other theorists,
“Culture is usually defined as social or normative glue that holds an organization together. It
expresses the values or social ideas and beliefs that organization members come to share.”
Brighton and Sayeed describe culture as “the social energy that drives (or fails to drive)
organizations” and that enables organizations “to survive the external environment and manage
the internal environment.” For Peterson and Deal, “Culture is the underground stream of norms,
values, beliefs, traditions, and rituals that has built up over time as people work together, solve
problems, and confront challenges.” They emphasize that “this set of informal expectations and
values shapes how people think, feel, and act in schools” and serves as a “highly enduring web
of influence [that] binds the school together and makes it special.” Cunningham writes that
effective school cultures are characterized by people “who have learned to trust and to share as
well as to accept other’s needs to trust and share.”
Halpin’s research has shown that schools differ in their cultures and that those cultures have an
impact on students. To illustrate, he writes:
In one school the teachers and the principal are zestful and exude confidence in
what they are doing. They find pleasure in working with each other; this pleasure
is transmitted to students. … In a second school the brooding discontentment of
teachers is palpable; the principal tries to hide his incompetence and lack of
direction behind a cloak of authority. … And the psychological sickness of such a
faculty spills over on the students who, in their own frustration, feedback to
teachers a mood of despair. A third school is marked by neither joy nor despair,
but by hollow ritual. … In a strange way the show doesn’t seem “for real.”
Whether or not schools differ in their organizational cultures, conceptually every organizational
culture seems to be composed of several elements, depicted in Figure 6.1.12
Values and Ideals
As Figure 6.1 indicates, an administrator’s analysis of a school’s organizational culture should
begin with developing a good understanding of the values and ideals that the school
represents.13 The basic question to be asked is, “What kinds of behavior are valued in this
school, and what does the school aspire to become?” (It will be important for an administrator to
distinguish between those values and ideals given only lip service by the people who are
associated with the school and those on which their behavior is based.)
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Norms
The values and ideals of a school may be difficult to ascertain, but they usually will be reflected
in its norms. Norms, according to Josefowitz, are “the unwritten rules stating what people should
and should not do.” They serve the purpose of regulating and controlling behavior. An example
of a desirable faculty norm would be, “Teachers should share ideas about how to improve
instruction.”
Norms, it should be emphasized, are not values that an administrator can impose on a group. For
example, faculty and staff come to school with personal value systems. Organizational values are
then communicated to the individual through rules and processes. Shockley-Zalabak and
Morley’s research demonstrates that when organizational rules and personal values are
congruent, an individual is more satisfied with the job and projects high estimations of
organizational quality and success. Consequently, as Miller points out, “Any lasting change of a
school will occur only because the staff itself changes norms of expectations, appropriate role
definitions, standards of accountability, and patterns of behavior.”
Expectations
The expectations of an organizational culture are the norms applied to a specific situation. For
example, “Bob Elliott, an experienced sixth-grade teacher, should be willing to share his
expertise with Julie Adams, a new sixth-grade teacher” is a specific expression of the faculty
norm presented previously. In another situation, “Dr. Brown, the principal, should support Mr.
Armstrong’s attempts to discipline a student” represents an expectation based on a faculty norm
that maintains, “The principal should always support the teachers, right or wrong.” Although it is
important for an administrator to become aware of the expectations of others as part of
understanding the culture of the school, an administrator must also evaluate the merits of those
expectations before deciding to meet them. For example, for a school to become more effective,
it may require that teachers expend effort and time beyond the normal workday, and
improvement may require a focus on teaching reasoning and analytical skills, with a reduced
emphasis on skills that are easier to teach.
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Sanctions
Expectations, if they are to be effective in shaping the behavior of the people associated with the
school, must carry sanctions. These sanctions represent the means by which an organization or
group tries to bring about compliance with its expectations. The sanctions may be negative or
positive, and they may be exercised formally or informally. They can range from a punitive
action to personal recognition and reward. The extent to which an organization or group
possesses significant sanctions will determine the degree to which it can maintain conformity of
behavior on the part of its members.
For example, an administrator may decide to instruct teachers to hold conferences before the end
of the grading period with any students who receive a D or an F. In this situation the
administrator is counting on the cooperation of the staff to carry out the directive. A majority of
the faculty may feel that holding these conferences will take too much time, however, so they
decide to ignore the administrator’s directive. Unless the administrator possesses adequate
monitoring procedures for detecting a lack of follow-through on the part of the faculty, the
principal may never discover that the policy on teacher–student conferences is not being carried
out. If the failure to comply with the instruction is discovered, the principal may not be able to do
anything about it unless the administrator can persuade the teachers of the desirability of these
conferences or possesses adequate sanctions to force them to adhere to the directive, despite their
lack of voluntary cooperation.
The noncompliance of an individual or group ordinarily does not take the form of a direct
challenge to the administrator. Instead, resistance is usually expressed by underachievement or
lack of implementation in response to the administrator’s expectations. As U.S. President Harry
Truman observed in recalling the problems of the presidency, the executive may say, “Do this!
Do that!” and yet find, to his chagrin, that “nothing will happen.” Often the reason for the lack of
follow-through is that the subordinates in the hierarchy have concluded that the action desired by
the administrator is either not in their best interest or not in the best interest of the institution—so
they have ignored the instructions. As a result, the implementation of administrative policy is
completely delayed or thwarted.
Communication through Symbolism
The expectations and sanctions of a school or a group associated with a school may be
communicated directly, or they may be expressed indirectly through symbolic activity. As
Morgan and his colleagues note, “Many organizations consciously attempt to create complex
symbol systems which are intended to signify the desirability of engaging in rigorous patterns of
rational, instrumental, and pragmatic action. Symbols [reinforce] the pursuit of excellence,
achievement, aggressiveness, competitiveness, and intense commitment to organizational ends.”
An organization’s symbolic activity, according to Smircich, may take different forms, including
storytelling about important events, such as how an organization faced up to a particular
challenge; group rituals, such as the annual banquet at which awards of recognition are
presented; or organizational slogans, such as “excellence is our goal.”
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Symbolic Activity through Behavioral Example
Symbolic activity can also be found in the behavior of an administrator. For example, the
principal who would like to show support of a “reading break” program and encourage teachers
to support the program can certainly communicate these feelings and expectations at a faculty
meeting. If the administrator does so, and yet is never seen reading a book during the reading
break and does not use negative sanctions against teachers who fail to participate in the program,
this constitutes a stronger message to the faculty about the principal’s attitude than any
comments made at a faculty meeting. On the other hand, if the principal is regularly observed
reading a book in classrooms, this nonverbal behavior is likely to send a symbolic message to
teachers that will be more effective than anything that might be said at the meeting. The main
impact of symbolic activity is not so much what is said as what can be inferred from the behavior
of the people who are formal and informal leaders in an organization.
CULTURAL ELEMENTS OF AN EFFECTIVE SCHOOL
“Organizational culture and the symbols which are a part of this culture are not politically neutral
but represent levels of power and control,” write Reilly and DiAngelo.23 Blanch studied culture
as a control mechanism. Her research indicates that four core values define school culture: (1)
cooperative community–parent relationships, (2) cooperative teacher relationships, (3) student
needs, and (4) principals as cultural transmitters. Her research further demonstrates that strong
congruence of “group sensemaking” with school values indicates culture is a strong control
mechanism. She suggests that schools should attempt to foster consensus and that principals
should act as consensus builders in the early stages of culture development dominated by indirect
strategies. Direct strategies are diluted to minimize divisiveness, and “principal/teacher
sensemaking acts as a gauge of cultural controls,” according to the author. Her research implies
that strong cultural control impedes change, neglects instruction, and ultimately affects
achievement.
A Positive Organizational Culture
Earlier studies tended to focus on the negative influence that the culture of an organization could
exert on the achievement and behavior of the individuals or groups associated with the
organization. Researchers have recently emphasized the importance of developing and
maintaining a positive organizational culture, however, if a school is to be effective. For
example, Purkey and Smith have concluded that “an academically effective school is
distinguished by its culture: a structure, process, and climate of values and norms that channel
staff and students in the direction of successful teaching and learning.”
But what kind of an organizational culture best promotes successful teaching and learning?
While scholars continue to pursue this question, research has produced some tentative findings
that suggest a number of major elements of the culture of an effective school, as shown in Figure
6.2. Snyder and Snyder indicate that changing organizational culture through a systems thinking
approach is based on “organizational planning, developing staff, developing a program, and
assessing school productivity.” With this model, schools will more easily effect change and
improve the instructional environment.
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Emphasis on Academic Effort and Achievement
An examination of Figure 6.2 shows that the organizational culture of an academically effective
school includes a set of schoolwide norms stressing academic effort and accomplishment.
Although other kinds of effort and achievement, such as developing ethical behavior, may also
be important to parents and students, the research on effective schools stresses that the norms of
an academically effective school will give the highest priority to academic effort and
achievement.28 These norms may be reflected in an organization’s mission statement,
educational goals, or other documents. Regardless of how the norms manifest themselves,
Saphier and King underscore the point that norms should represent “a clear, articulated vision of
what the school stands for, a vision that embodies core values and purposes.”
Since organizational norms are usually expressed in the form of expectations for the members of
the organizations, what are the expectations for those associated with effective schools? In
general, these expectations emphasize academic effort, improvement, and accomplishment. For
example, “striving for excellence” would be one important expectation in an effective school.
Saphier and King illustrate this emphasis by quoting a staff member, “In this school the teachers
and administrators are held accountable for high performance. . . . While we [teachers and
administrators] often feel under pressure to excel, we thrive on being part of a dynamic
organization.”
Belief That All Students Can Achieve
A second important expectation for teachers in an effective school is adopting the attitude that all
students are capable of achieving, and therefore that teachers should behave accordingly. In a
study of effective inner-city elementary schools, Larkin found that “staff members verbally and
behaviorally expressed the belief that all of their students could achieve, regardless of
socioeconomic status or past academic performance.”
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Ongoing Faculty Development and Innovation
A third expectation characteristic of an effective school culture is that the faculty members
should strive to improve themselves, in part by helping each other and in part through
experimenting with different approaches. An example of this expectation, presented by Saphier
and King, is, “In this school the professional staff help each other. … Around here we are
encouraged by administrators and colleagues to experiment with new ideas and techniques
because that is how teachers and schools improve. . . . We are always looking for more effective
ways of teaching.”
A Safe and Orderly Learning Environment
A fourth major expectation associated with the culture of an effective school is that students and
teachers will behave in ways contributing to a safe and orderly school environment. As Purkey
and Smith point out, “Common sense alone suggests that students cannot learn in an
environment that is noisy, distracting, or unsafe.” Edmonds found that in effective schools, a safe
and orderly environment was established when “all teachers take responsibility for all students,
all the time, everywhere in the school.” Moreover, in a study of several hundred schools, Wayson
and Lasley discovered the following:
Schools with well-disciplined students have developed a sense of community,
marked by mutually agreed upon behavioral norms; these norms surround
students with examples of subtle rewards and sanctions that encourage students to
behave appropriately.
How an Effective School Culture Benefits Students
Yale’s Child Study Center, through its Comer School Development Program, found that students
improve in many areas, such as “self-efficacy, relationships with peers and adults, general mental
health, achievement on standardized tests, and classroom grades.” Squires and Kranyik attribute
this success to two reasons: The program supports change in the culture of the school and
focuses on the child’s total development—social, moral, physical, and psychological. The Comer
School program involves three teams—a parents’ program, the mental health team, and the
school planning and management team—all working to bring key stakeholders together to
coordinate school activities. All three teams are committed to the primary principles of no-fault
problem solving, consensus decision making, and collaboration.
Although there may be other expectations associated with the culture of an effective school, it
would appear that the ones described are the most important. Of course, these expectations will
need to be communicated and reinforced, activities that usually occur in an effective school as a
result of symbolic actions and sanctions.39 Such symbolic activity may, for example, take the
form of a school slogan on the importance of learning, a school policy that students who fail a
subject will not be allowed to participate in extracurricular activities, or a procedure requiring all
students to make up their work, irrespective of the reason for their absence. In these examples a
certain symbolic message is being communicated: “Academics are important!”
Both positive and negative sanctions will also be necessary to encourage the achievement of
school expectations. Some administrators may be reluctant to use negative sanctions, such as
those discussed in Chapter 3, “Authority, Power, and Influence,” but individuals or groups whose
behavior conflicts with the ideals and values the administrator is trying to promote should not be
ignored. Of course, use of positive sanctions is preferable in encouraging adherence to
organizational expectations. Several researchers have found that schools recognizing student
accomplishment tend to have higher levels of achievement.40 In addition, the recognition and
support of teachers are also characteristic of the culture of an effective school. For example, in
another illustration presented by Saphier and King, it was observed, “Good teaching is honored
in this school and community,” and, “Despite financial constraints, we have sabbaticals, summer
curriculum workshops, and funds to attend professional conferences.”
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THE ADMINISTRATOR’S ROLE IN SCHOOL CULTURE
“The only thing of real importance that leaders do is to create and manage culture,” asserts
Schein. The administrator’s role in regard to the organizational culture of a school is
multifaceted. First, the administrator needs to develop and maintain an adequate understanding
of the various elements of the school culture. Few new administrators are likely to assume they
know the organizational culture of the school, but many experienced administrators may falsely
assume that they already know their school culture because they have held a position in the
school for several years. An organization’s culture is not a static entity, however, but is
constantly changing and evolving. Figure 6.3 shows a number of major factors that can affect the
nature of the organizational culture existing in a school.
By analyzing the factors identified in Figure 6.3, an administrator can take an important step
toward better understanding how the present organizational culture has developed into what it is
today and how it may be changing. To help achieve this understanding, the administrator should
consider using one or more of the instruments that have been designed for assessing the
organizational culture of a school. Although most of these instruments have been developed for
the purpose of measuring the climate of a school (a broader concept), the data from such an
assessment would also be valuable in understanding the organizational culture. Instruments that
would be useful for this objective include the Organizational Climate Description Questionnaire,
the Elementary School Environment Survey, the Quality of School Life Questionnaire, and the
Effective Schools Battery Survey. In addition, the National Association of Secondary School
Principals has developed the Comprehensive Assessment and School Improvement, a climate
instrument that appears to hold promise. These standardized instruments measure factors
common to schools and typically have a high degree of validity and reliability. These instruments
may not address the specific areas of interest of a particular administration, however. Rojewiski
and his colleagues outline steps that may be used to develop an individualized school-climate
survey.
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Enhancing School Culture
Once an administrator has attained a good understanding of the organizational culture of the
school, the administrator will then, and only then, be in a position to try to enhance that culture if
changes are needed. While most, if not all, administrators would probably like to develop an
organizational culture that is characteristic of effective schools, trying to change an
organizational culture, especially a school culture, will not be easy. Krajewski offers the
following principles for modeling creative teaching and leadership behaviors that enhance school
culture: (1) envision a future direction of collaboration, (2) clearly establish the connection
between mission and practice by being an enthusiastic facilitator, meeting the needs of teachers
and students, understanding the motivations of each employee, and promoting growth in all
school personnel, (3) view problems as opportunities and focus on solutions, (4) be creative in
stimulating good teaching practices, (5) think of others, (6) foster staff development, (7) create
networks that decrease teacher isolation and promote professional sharing, and (8) stay focused
on the most important outcome, student performance.
One problem is that schools, particularly secondary schools, are often referred to as “loosely
coupled” organizations; that is, the authority and other bureaucratic linkages between the
principal and the staff are often indirect. For example, an administrator may want teachers to
emphasize more time on tasks in their classrooms and may, in fact, direct them to do so. But
once the classroom doors are closed, a school administrator frequently has no adequate
mechanism to enforce these wishes.
Subcultures and Countercultures
Moreover, although the discussion in this chapter, for the purpose of simplification, has referred
to the organizational culture of a school as though it were a homogeneous entity, it is, in reality,
more complicated than that. As Smircich has observed, “Much of the literature refers to an
organizational culture, appearing to lose sight of the great likelihood as there are multiple
organization subcultures, or even countercultures, competing to define the nature of situations
within organizational boundaries.” This type of condition is particularly characteristic of
secondary schools with their different departments, orientations, and needs. It is conceivable that
in a secondary school, each of the departments may have its own subculture, and, more
important, many of the subcultures may not be compatible—and may be in conflict—with what
the administrator would like to see as the overall organizational culture. Considering that
students may also have their own subculture (or several of them), which may be in conflict with
the other subcultures of the school, then the complexity and the difficulty of trying to change the
organizational culture of the school become apparent. As Conway points out, “We are asking
schools to restructure themselves and their culture, to go through an organizational learning of
the most difficult type.”
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Promoting Values and Respecting Diversity
Rothstein states that issues involving class, culture, and race have influenced students for
centuries and are gaining in importance with the increasing diversity of today’s society.
Darling-Hammond cautions that more than ever before, the ability of America to survive as a
democracy is dependent on public education preparing citizens to think independently and forge
out common ground among many diverse experiences and ideas. Dietrich and Bailey note that
facilitating students in discussion and expression of their points of view, as well as working in
cooperative groups, is important to their social development and enforces a sense of community
by fostering a cohesive environment in which to learn. Boyer believes that schools have the
obligation not only to guide students into becoming literate and well informed but also to “help
them develop the capacity to live responsibly and to judge wisely in matters of life and conduct.”
He sees the crucial problem as deciding which values should be taught within the diversity of
today’s society. He concludes that the following core of virtues might be agreed upon: honesty,
respect, responsibility, compassion, self-discipline, perseverance, and giving.
“A school’s greatest impact occurs not in the formal lessons taught, but in creating a climate in
which virtues are learned by example,” according to Boyer. For example, the character education
program in Boston is centered around books that have been chosen for their treatment of specific
character traits and values. In grades K–5 the values emphasized are trust, self-love, self-esteem,
compassion, self-awareness, and justice. The skills taught are expressing one’s point of view,
expressing and managing feelings, and resolving conflicts. In grade 6, the values emphasized are
sharing, hope, and courage, and the skills taught are expressing someone else’s point of view,
empathy, and compromise.
Kohn, on the other hand, voices concern about current character education programs and
advocates that teachers facilitate student thinking about the way the students want themselves
and others to be: “Students and teachers should decide together what they want their
communities to be like, so students will understand values ‘from the inside out.’” The topic of
character development in schools is a controversial issue that future administrators will need to
address.
Challenges in Shaping School Culture
In spite of these complexities and difficulties, an administrator may be able, to a limited extent,
to shape the organizational culture of the school or school district. Principals should remember,
however, that combining “professional management with inspirational leadership and a
collectivist culture” may lead to role conflicts and confusion. Based on an analysis of the social
science and educational literature on organizational cultures, the following suggestions are
offered.
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Clarity about Values and Ideals
First, an administrator needs to be clear about which values and ideals the school should be
promoting. An administrator who has no notion of what an ideal school would look like will not
be able to create policies for moving in a positive direction.65 Research by Hallinger indicates,
“Principals can influence student learning by developing a clear mission that provides an
instructional focus for teachers throughout the school.”66 Unfortunately, many administrators
become bogged down in the everyday duties of managing a school and have not thought through
what it is that their school should aspire toward. A basic question that needs to be answered is,
“What should be the primary mission and goals of this school?”67 Obviously, the administrator
should not be the only one who attempts to answer this question; teachers, students, and parents,
among others, also need to be involved in order to gain deeper insights and commitment. The
principal appears to play the major role, however, beyond that of parent, in developing a school
climate of high expectations.68 If an administrator is not clear about what the school should
stand for and should be aspiring toward, the administrator will be in a poor position to shape the
organizational culture in a different direction. As Firestone and Wilson have emphasized, “The
principal’s task and challenge is to develop a clear vision of the purposes of the school that give
primacy to instruction and to carry it through consistently during those countless interactions
with [important others].”
Shaping the Culture through Choice of Staff
Once an administrator has developed a clear vision of the “purpose” of the school, particular
attention must be paid to the kinds of individuals recommended as future members of the faculty
and to the people appointed to important leadership positions within the school. For example,
every time an administrator has an opportunity to replace a member of the faculty, the potential
exists for shaping the culture. Since the principal’s greatest influence may well be in the power
“to recruit, select, promote, and demote staff members,” it may take years of this process for a
principal to reshape the school’s culture. Hiring and retaining teachers who especially value
experimentation, for example, will certainly make innovation or change easier to facilitate for
principals. It is true that, in the instance of a single vacancy, there is little chance of hiring
someone whose values and ideals are exactly what the administrator wants the organizational
culture to reflect. The cumulative effect of selective hiring over a number of years, however,
could potentially change the culture of a school in important ways. In the final analysis, the
people associated with an organization are the major contributors to its culture. Their values and
ideals are the building blocks of the group norms that greatly influence individual and group
behavior. By emphasizing certain values and ideals in the hiring process, an administrator can
shape the culture of an organization over a period of time.
Shaping the Culture through Formal Leadership Appointments
An administrator will also have an opportunity to shape the culture of the organization when
making appointments of people to leadership positions within the organization. Periodically, an
administrator will need to appoint a chairperson of a committee or select someone for an
important position, for example, department head. In these situations, an administrator should
take care to select or appoint people who will best represent the organizational values and ideals
that the administrator is trying to promote. By selecting such individuals, the administrator will
not only obtain people who share a commitment to certain organizational priorities but, perhaps
more important, be communicating symbolically to others in the school those values and ideals
the administrator thinks are important for people to possess. The administrative act of selection
or appointment can potentially carry great symbolic influence, especially if the administrator
emphasizes publicly the reasons for these selections. According to Hallinger, however, these
appointments also lessen the opportunity for the administrator to personally communicate key
values and place greater reliance on instructional leaders to aid in fostering a positive school
climate.
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Working with the Informal Leaders
In addition to selecting with care those individuals who will occupy important leadership
positions in the school, an administrator who wishes to shape the organizational culture will need
to identify and develop an appropriate relationship with the informal leaders of the school. This
is particularly true for a new principal because the formal and informal leaders who are already
in place form a large portion of the school’s power structure. Developing a commitment from the
school leaders will be crucial to the achievement of the principal’s goals.
An informal leader generally operates in every group. The informal leader may be the same
person as the formal leader; however, whether or not that is true depends on the formal leader’s
personal influence with other members of the group rather than on any formal appointment by
the principal. An informal leader can best be identified by examining a group’s interaction
patterns: the individual with whom there is the greatest interaction and communication within the
group and whose opinion and judgment are most respected by the other members is the informal
leader.
Obviously, in most situations it would be best for an administrator if the informal leader and the
formal leader were the same person. That may not be the case, especially if an administrator has
not exercised good judgment in selecting the formal leaders within the organization, or if there
has been very limited opportunity to appoint new formal leaders, or if the informal leader’s
values are not consistent with those that the administrator would like to see adopted by the
organization.
Handling Conflict between Formal and Informal Leaders
When the informal leader of a group is a different person from the formal leader, a potential for
conflict may exist. For example, the administrator and a department chairperson may be trying to
promote a certain work ethic on the part of members of a particular department. If the informal
leader of that department is opposed to the new work ethic, then the other members of the
department may develop a group norm that will influence the members to resist the proposed
work ethic. This type of conflict can be detrimental to developing a cohesive organizational
culture.
Unfortunately, there are no easy answers to resolving this type of conflict between formal and
informal leaders, although the concepts that are presented in Chapters 3 and 5 should be helpful.
The administrator could, of course, attempt to influence the informal leader by using persuasion
to convey the desirability of what the organization is trying to accomplish. In addition, the
administrator could attempt to develop a rival informal leader within the group who could
possibly lead the group in a direction that would be more compatible with the overall purposes of
the organization. The social science literature provides few clues as to how the administrator
might accomplish this, but it would appear that the key to a solution lies in identifying and
nurturing some individual in the group whose personal qualities are liked and respected by
colleagues but whose values and ideals are more congruent with the administrator’s. By
encouraging the administrator-approved informal leader to exert leadership within the group and
then rewarding such efforts, an administrator may be able to change the group norms of a
subculture to make them more consistent with the overall purposes of the organizational culture.
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Keeping the School’s Mission in the Public Eye
In attempting to shape the culture of an organization, it will be important for the administrator to
articulate at every opportunity those values and ideas being promoted. This needs to be done in
such documents as student and teacher handbooks and at meetings with faculty, students, and
parents. For example, Brookover and his colleagues suggest that in an effective school the
administrator and faculty should develop a statement of purpose and beliefs that would include
the following:
1. The purpose of the school is to educate all students to high levels of academic
performance.
2. To fulfill this purpose, the members of this school staff believe that
3. All students should have a challenging academic program.
4. All students should master their grade level objectives.
5. Teachers are obligated to prepare all students to perform at mastery level on the
objectives for the course.
WINDOW ON DIVERSITY
Steps to Build a Culture of Diversity
1. Establish a structure. Dedicate time and resources for enacting change.
2. Build a better network. Encourage mentorships.
3. Have clear policies. Set clear guidelines about what is acceptable behavior and what is
not.
4. Get buy-in. Communicate the benefits of diversity.
5. Be fair. If your organization is able to provide benefits, make sure it is beneficial to all.
6. Accommodate. Every group of people is not alike—make it equitable.
7. Welcome difference. Diversity is about listening and engaging in different
perspectives by establishing value.
8. Measure. Monitor diversity progress with internal surveys or internally set objectives
and milestones.
Source: N. Alcide, “8 Steps to Building a Culture of Diversity,” Business in Greater Gainesville (October 2017).
Accessed online, https://www.businessmagazinegainesville.com/8-steps-to-building-a-culture-of-diversity/, July
12, 2021.
Whether a school administrator and faculty should adopt this particular statement of purpose and
beliefs, or some other, is not the issue. The important concept is that if the administrator is to
shape the organizational culture of the school, a clear statement of purpose and beliefs must be
formulated and communicated.
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Communication: A Tool for Shaping Culture
Formal communication will be essential, but an administrator needs to use informal and
symbolic communication as well to shape the future of the organization. Some researchers have
discovered that informal and symbolic communication, which takes the form of stories, rituals,
and slogans, can influence the culture of an organization. For example, the slogan, “Academic
excellence—no sweat, no gain,” communicates symbolically the value that a school places on
hard work. Anecdotes retold to new personnel about how students and teachers have invested
extra efforts to improve themselves and to help achieve certain organizational goals symbolically
emphasize the types of values and ideals that a school promotes. What a principal talks about,
pays attention to, and reinforces while walking around the building or conducting school
activities will greatly influence teachers’ behavior, and thus the organization’s culture, according
to Peterson.
In addition, rituals or ceremonies that an administrator initiates and supports provide an
opportunity to stress the values and ideals the administrator is trying to emphasize while
providing an occasion for rewarding behavior exemplifying these values and ideals. For
example, one high school that is attempting to promote academic excellence has established a
comprehensive program of rituals and rewards for students and teachers. Examples of this
program include the following:
1. Academic superstar recognition: Each week the school honors a student for outstanding
performance in a particular academic area by displaying on the office bulletin board a
picture of the student at work.
2. Homework recognition: The school honors students who have completed all their
homework assignments in all their classes with a grade of B or better, providing them
with special certificates and rewards—for example, tickets to a movie.
3. Average-raisers recognition: The school honors students who raise their grade point
averages from the previous term by 0.5 on a 4.0 scale by presenting them with special
certificates and rewards.
4. Teacher of the month recognition: One teacher is selected monthly by a PTA committee
to receive a special certificate and a night’s dinner and entertainment for the teacher and a
guest.
Although the total program of this school is much more comprehensive than is revealed in the
examples, the four illustrations are intended to give a sense of communicating symbolically the
values and ideals that are important to an organization. As Iannaccone and Jamgochian point out,
“When symbol and ceremony fit student perception that teachers care about their achievement
and the perception of teachers that administrators place improved student performance foremost
in their orientation in their jobs, then a strong and consistent school cultural consensus [will
emerge].”
“School leaders from every level are key to shaping school culture,” write Peterson and Deal,
summing up their point in the following description of the part leaders play:
Their words, their nonverbal messages, their actions, and their accomplishments
all shape culture. They are models, potters, poets, actors, and healers. They are
historians and anthropologists. They are visionaries and dreamers. Without the
attention of leaders, school cultures can become toxic and unproductive. By
paying fervent attention to the symbolic side of their schools, leaders can help
develop the foundation for change and success.
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SCHOOL CLIMATE
When asked to distinguish between school culture and school climate, Christine Emmons,
coordinator of program evaluation at the Comer School Development Program, replied that
climate may be viewed as a “subset of culture.” Whereas school culture consists of “the belief
systems that undergird the patterns of activities that characterize the functioning of the school,”
school climate relates to human interactions. “School climate,” explained Emmons, “is the
quality and frequency of interactions between staff members in the school and students, among
the students, among the staff members themselves, and between staff at the school and parents
and the community.” Whether a school climate is positive or negative can be ascertained by the
atmosphere set up through such interactions.
Haynes, another author concerned about school climate, suggests that “school climate is the sum
total of, and dynamic interactions among, the psychosocial, academic, and physical dimensions
of the school’s environment.” The academic and psychosocial dimensions cannot be separated,
according to Haynes. “They must be addressed together consistently.”
Measuring School Climate
The question arises, “How can school climate be effectively measured?” Perceptions provide an
important gauge. “Perceptions held by stakeholder groups (e.g., students, parents, teachers) about
the physical, social, and learning environments of a school may influence both the processes and
outcomes that occur,” say researchers at Western Michigan University’s Evaluation Center.
Because of the impact of perceptions on processes and outcomes, it is important for educational
leaders to know what those perceptions are. One way of finding out is to conduct a survey asking
people not how they personally feel about a school, but their opinions about what “most people”
perceive to be true about the school in its various aspects. For this purpose the National
Association of Secondary School Principals (NASSP) School Climate Survey was developed.
The survey questionnaire is designed to find out what each stakeholder group perceives most
people to believe about 10 areas: teacher–student relationships, security and maintenance, the
effectiveness of the administration, student academic orientation, student behavioral values,
academic and career guidance and counseling services, student–peer relationships, relationships
between the school and parents/community, instructional management, and student activities.
The value of these data is summed up by the Western Michigan evaluators:
The shared perceptions of climate represent what most people believe, not the
individual’s personal reaction to the environment. These shared perceptions tend
to be persistent over time. Just as meteorological climate is largely unaffected by
daily shifts in temperature, the climate of the school is a relatively stable
phenomenon.
They go on to point out that by comparing the perceptions of the various stakeholder groups,
school leaders can become aware of areas that need appropriate interventions to improve the
school’s environment.
One educator who has devoted much attention to school climate is H. Jerome
Freiberg. He points out many different ways that school climate can be raised,
such as student concerns surveys, entrance and exit interviews, and even “ambient
noise checklists” that pinpoint areas where excessive noise levels cause stress and
distraction and where changes need to be made. “School climate can be a positive
influence on the health of the learning environment or a significant barrier to
learning,” writes Freiberg.
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Why Climate Is Important
In the physical world, climate can determine whether plants thrive or fail to grow. The climate of
a school can similarly have a major influence on morale, learning, and productivity. A
welcoming, safe, and supportive environment can help students believe in their potential and
provide motivation for success—particularly if they feel they are respected in all their diversity,
including differing types of talents and learning styles. Establishing such a climate also requires
dealing with school safety issues, as discussed in Chapter 5, including protecting students from
intimidating tactics such as bullying and harassment. Banks has written that many students
frequently stay home because of bullying. “Victims often fear school and consider school to be
an unsafe and unhappy place.” Such an assessment of the school environment is completely
opposite the positive climate that fosters academic achievement and social development.
A FINAL NOTE
An organizational culture is a complex entity, one that is constantly evolving. Unless there is a
positive organizational climate and culture, it is unlikely that the necessary technical
improvements that benefit students in teaching and curriculum will be implemented.90 For
example, the rapidly increasing cultural diversity of students in the schools can create serious
misunderstandings among students, teachers, parents, and administrators and further diminish or
erode a positive climate. Principals and staff must be able to recognize and resolve culturally
based school and community problems.91 A guide from the U.S. Department of Education
Office for Civil Rights and the Bias Crimes Task Force of the National Association of Attorneys
General urges educational leaders to examine the school environment regularly for any evidence
of harassment:
Regular, focused observation of school activities and environments, especially
less structured settings like school hallways and school buses, will identify
harassment that staff may neglect to report. It is possible that, in some instances,
harassment may be so widespread that no one actually reports it. Periodically
examine the school site and furniture for racially and sexually derogatory graffiti.
Monitor possible trouble spots in the school for incidents of hostility and
harassment. For example, ensure that students of racial and national origin
minority groups and both sexes who drop out of courses and activities in which
they are under-represented have not been subjected to harassment.
Sellers and Hall have explored the role that school counselors can have in assisting
administrators and teachers “in creating a school culture that empowers all individuals to succeed
and reach their fullest potential.” Counselors can help (1) provide training in multicultural
competencies, (2) encourage sensitivity to individual differences and understanding of oneself
and others, and (3) provide knowledge and skills necessary to work with special populations.
These authors go on to say that school counselors can “respond proactively to pre-judicial
attitudes and values that influence assessment and treatment with multicultural students.”
Page 176
An administrator should not be intimidated by the challenges of creating an effective school
culture and climate. Instead, the focus should be on maintaining an accurate understanding of the
school’s culture and direction and on those factors influencing its development. Educators are
advised to place less attention on reform initiatives and more on creating a clear vision and
mission to provide direction for the school. The administrator can then try, with the assistance of
others, to shape the culture toward desirable ends.94 Fullan recognizes that the keys to effective
change involve reshaping the school culture and also providing time for teachers to develop
professionally.95 In the process of pursuing positive results, the administrator will be involved in
school change, the subject of the next chapter.
Although many of the case studies, suggested learning activities, and simulations presented in
Part II of the text require the appropriate use of the ideas in this chapter on organizational
culture, the following exercises should provide the best opportunities for testing understanding
and effective use of the concepts about organizational culture: Cases 22, 26, 29, 45, 52, 56, 57,
and 65; and the midyear and end-of-the-year in-basket exercises.
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Turnitin Report
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Title Page
Citation
Outline
