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Overview

In a time of high educational expectations and professional accountability, today’s educational leaders must possess a broad variety of skills that enable them to function comfortably and effectively in changing environments and under highly politicized conditions. The mission of Fundamental Concepts of Educational Leadership is to foster understanding of this reality among those preparing for administrative and managerial careers in pre-colligate educational institutions and to help them develop the skills necessary for working effectively within those environments.

This text emphasizes an action-research approach that is more eclectic and practical than ideological — compelling readers to think critically about the theoretical underpinnings of current educational practice and motivating them to solve problems using sensible, realistic alterative approaches.

The revised third edition of this text includes a number of new tools -- such as activities, case studies, and instructional aids — which encourage active learning as well chapter review and reinforcement. The new edition also includes a table at the front of the text that links ISLLC standards with the corresponding discussion in within the book.

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Product Details

  • ISBN-13: 9780132332712
  • Publisher: Pearson
  • Publication date: 2/27/2009
  • Edition description: New Edition
  • Edition number: 3
  • Pages: 432
  • Sales rank: 586,935
  • Product dimensions: 7.50 (w) x 9.20 (h) x 0.90 (d)

Read an Excerpt

PREFACE:

Preface

Perspective

If there was ever a time when educational institutions required effective leadership, it is now. This is the first time in the history of the United States that the quality of the education provided for our citizens has been recognized politically as being strategically important to national success and survival. Educational issues are among the major concerns of voters; therefore, not surprisingly, they are debated vigorously by candidates for public office at all levels of government and they are covered regularly on the front pages of major newspapers.

Today's educational leaders need to possess a broad variety of skills that enable them to function comfortably and effectively in changing environments and under highly politicized conditions. In these new circumstances, change is the only constant. The mission of this book is to foster understanding of this reality among those preparing for careers in leading educational institutions and to help develop skills necessary for working competently within them. For better or for worse, this is a dynamic and exciting period in human history. Because of the fluidity of the situation, it is a period of unparalleled opportunity and of potential danger. To capitalize on the opportunities and to minimize the dangers demands extraordinarily wise leadership in all sectors and in all enterprises, including education.

While pervasive social change affects persons in all walks of life, there is bound to be greater impact upon those in positions of great social visibility and concern—such as persons holding administrative and supervisory responsibility for educationalsystems. Society has a right to expect adept performance from people in those positions. Under these conditions, proficient leadership cannot be a matter of copying conventional behavior. To advance education, there is a clear need for educational leaders to have and exercise: the ability to comprehend the dynamics of human affairs as a basis for relevant action under novel conditions; a better understanding of issues and processes in educational institutions; and greater originality and collaboration in designing strategic policies. Their approach to the opportunities and problems confronting them must remain hypothetical and open-ended so that more may be learned by what is done.

Graham (1999) saw the accomplishments of the new public schools during the first quarter of the twentieth century concentrating on assimilating the flood of immigrants pouring into the country. The middle years focused on broadening the curriculum, especially at the secondary level, to include vocational subjects and courses in social and personal adjustment that enabled secondary schools to address the educational needs of most of the student population. The 1960s and 1970s addressed issues of equity and access among genders and ethnic groups. During the first three-quarters of the century, Graham concluded, the schools were much more successful in enrolling students than in teaching them (emphasis added). This practice is no longer acceptable. Schools must now set out to correct the situation by focusing on raising the achievement levels of all students.

Past assumptions used by educators in designing schools and school curricula no longer hold across the board. Children are less likely to come from majority backgrounds, they are more likely to be members of nontraditional families, and they are more likely to be poor. Education through high school and beyond is essential if graduates are to be employed in other than menial jobs and to enjoy comfortable standards of living. Well-paying employment opportunities increasingly require sophisticated intellectual skills. Educational leadership is being challenged to design new curricula that recognize the multicultural nature of students, provide institutional support for those at risk, and link schooling to employment and citizenship. Solving our "educational" crisis will require coordination of schools' efforts with those of other social agencies in the community.

Not only will school leaders of the future be working with a student body markedly different from that of the past, the organizational structures and professional and political relationships will also be quite different. These changes will produce a new climate for school organizations that demands a transformational rather than hierarchical leadership. Parents and community members are likely to have greater influence on the organization and operation of schools through membership on school councils or through parental choice of schooling. The relationships between teachers and administrators are likely to be collegial, not authoritarian. Principals and teachers are likely to have greater professional discretion as many decisions formerly made at the district, state, and federal levels are left to schools. Nevertheless, local, state, and federal authorities will continue to set certain parameters. We can expect states, in particular, to set achievement standards, to design curricula to meet those standards, and to administer examinations to identify schools failing to meet those standards.

For several years, the authors co-taught an introductory course for students of educational administration. We sought in vain to find an appropriate text that would be comprehensive in coverage, yet have sufficient depth to lead students to a fundamental understanding of relevant issues. We wanted a text that was eclectic, not ideological, in approach, and that would emphasize an "action-research" perspective, compelling readers to consider critically the theoretical underpinnings of current educational practice and motivating them to seek practical alternative approaches. Not finding such a text, we set out to create our own: Fundamental Concepts of Educational Leadership is the result.

The careful reader will quickly detect that we do not subscribe entirely to any particular philosophy of education. We attempt to report the best of what has been produced by researchers regardless of their paradigm and orientation. We view the study of leadership as a multiple-perspective activity. Theories of leadership should not be viewed as competing with one another in the quest for the "one best view" (Sergiovanni, 1984). Each approach, each theory, has inherent strengths and weaknesses. Each theory is better able to illuminate and explain certain aspects of each concept. Taken together, a more complete understanding of the concept is possible through the power of triangulation and perspective.

New to This Edition

The second edition continues to set forth principles undergirding the knowledge base of educational leadership, updated to address new and evolving thinking, learning, and organizational paradigms that are in a significant period of transformation. The book is still highly applicable to introductory courses in programs that prepare educational administrators, but is also recommended as a basic guide for all educational practitioners. As with the first edition, leadership principles are presented within a systems framework. The second edition maintains the thorough coverage of relevant theory of the first, but is more consistent in relating that theory to practice.

In the previous edition, we defined leadership as influencing the actions of others in achieving desirable ends. While that definition is historically based on a significant and important body of knowledge, new definitions reflect a major rethinking of the concept. Today, leadership is also thought of as an overall action/change orientation—a transformation occurring in and across numerous educational environments. Leadership in this new arena of transformation becomes less role-specific in the traditional sense, while it amasses broad new elements that expand its overall character.

Today a leader (in whatever situation that might involve) can be thought of as a teacher, steward, facilitator, pathfinder, aligner, empowerer, appraiser, forecaster, enabler, and/or advisor. As this incomplete list expands to engulf a multitude of possibilities, you begin to sense the critical themes that further define leadership for the educational practitioner today. Under evolving conditions, leadership takes on an action-rich perspective. Leadership becomes the capacity to generate, operationalize, and evaluate a continuously changing environment—to build feedback into environments in the process of continuous improvement.

With these new considerations becoming more apparent, we have reorganized the divisions of the book as our examination of the various aspects of leadership unfolds. Part One, whose title remains "Leadership in a Period of Dynamic Change," presents the current and projected contexts of educational leadership and discusses systems theory and leadership theory, which continue to serve as the undergirding concepts of the book. Parts Two, Three, Five, and Six carry new titles reflecting added content and different organization and emphases: "Schools as Learning Organizations: Communication and Human Interaction," "The Generation and Use of Information in a Learning Organization," "Strategy Formulation and Implementation," and "Leadership for a New Millennium."

In Chapter 7, addressing processes of inquiry and analysis, more attention is given to naturalistic and action research orientations, supplementing the already strong discussion of quantitative approaches that appeared in the first edition. Theory development is de-emphasized relative to the first edition, while greater application is developed to provide a stronger connection to ongoing organizational functioning.

Chapter 8, focusing on evaluation, is an updated version of the original chapter with a significant new section giving the essence of the quality movement and its relation to program evaluation, student achievement, and staff evaluation. Another addition is a section of commentary about national and state standards and assessment activities.

Chapter 9 approaches the topic of educational policy from an economic perspective as well as the political perspective of the first edition. The discussion of universal principles (Chapter 12) gives more attention to the importance of personal reflection by educational leaders and proposes professional platforms as a vehicle for doing so. In Chapter 13, the discussion of strategy formation and planning is essentially new, with greater coverage of school-based decision making. In Chapter 14, additional attention is given to school-based budgeting.

A new chapter (15) has been added, addressing the role of information and technology in a constantly changing environment. As the information age progresses, numerous traditional roles in schools may change. A discussion of this possibility devotes particular attention to the evolving nature of leadership as information and technology become more pervasive.

Chapter Descriptions

Part I: Leadership in a Period of Dynamic Change

Chapter 1, "The Context for Leadership," highlights some of the causes for concern over public education. The failure of the nation's public schools to meet the expectations set forth by Goals 2000 is examined, followed by an exploration of the future needs of the educational enterprise and the challenges they pose for reformers of today's educational environment. The chapter concludes with a presentation of the structure of precollegiate education in the :United States and a description of the problems that must be corrected.

Chapter 2, "The Power of Systems Thinking for Educational Change," presents a modified version of systems theory as a lens for perceiving the many facets of leadership and as a framework for understanding the interrelationships of those facets. It traces the history of systems theory, including creating significant detail about systems frameworks and properties in general terms. The discussion includes organizational implications of a systems perspective and speaks to issues surrounding the postindustrial paradigm.

In Chapter 3, "Leadership in a Reform Environment," theories of leadership are discussed, emphasizing leadership's many dimensions. Transformational leadership and other current theoretical models are explored to demonstrate the complexity and variety of components of leadership.

Part II: Schools as Learning Organizations: Communication and Human Interaction

Chapter 4, "Schools as Organizational Systems," considers organizational theory and practice relating to educational enterprises. Depending on one's view, organizational activity may be linked to values, effectiveness, integration, and more. Metaphors are examined to help the reader envision the broad nature of how we think about, use, and evaluate organizational performance today.

Chapter 5, "Communication: The Breath of Organizational Life," examines this key ingredient of effective leadership: communication is the conduit for inquiry that develops understanding within and across environments. As the information age progresses, communication theory becomes increasingly important. This chapter explores communication concepts as applied to social systems, with particular emphasis on educational systems.

Chapter 6, "Human Relations: The Base for Educational Leadership," discusses human relations as the integration of people that allows them to work together productively and cooperatively. This chapter broadens the understanding of teamwork and team learning applications, and explains how mental states affect the human component of educational enterprises. Each individual's ability to work harmoniously and to understand the educational organization is a key to organizational effectiveness.

Part III: The Generation and Use of Information in a Learning Organization

Chapter 7, "The Process of Inquiry and Analysis," presents theory-based quantitative and naturalistic approaches to inquiry and analysis. Common errors made in human inquiry are discussed, as is the development of safeguards to ensure that fundamental issues are considered and observed. Theory is developed with emphasis on practical applications intended to provide a strong connection to the effective functioning of organizations.

Chapter 8, "Evaluation in Education: Theories, Models, and Processes," discusses the means by which leaders pursue the process of mobilizing resources to enable organizations to function effectively. Judgments of effective functioning are based on monitoring outcomes and measuring them against established goals and objectives. The quality movement and its relation to program evaluation, student achievement, and staff evaluation are considered. Also included is a discussion of national and state standards and assessment activities.

Part IV: Decision Making and Change

Policies are sets of rules for guiding the operation of an organization that have been formally adopted through a prescribed process. Chapter 9, "Educational Policy Formulation in a Mixed Economy," focuses on policy formulation as collective decision-making through the market (economics) and through governments (politics). A number of public policy models are described and critiqued. Special attention is given to assessing the impact of current proposals for decentralizing decision-making in education; placing more authority at the school level; and involving teachers, parents, and students.

Chapter 10, "Organizational Decision Making," focuses on decisions as made in school organizations. Decision making, the process of choosing among alternatives, is one of the most crucial skills needed by an effective educational leader. We criticize the common practice of viewing decision making as a linear process (identifying a problem, defining the problem, weighing alternative solutions, and making a choice). Instead, we propose a circular process that is more compatible with the inherent dynamics of the educational environment.

The ultimate objective of educational organizations (or any organization, for that matter) is to maintain internal stability. To maintain stability while existing within turbulent environments requires constant change—the focus of Chapter 11, "Systemic Change." Educational leaders of the new millennium must be prepared to develop, articulate, and bring to fruition new educational systems, and to do so in such a way that the new systems meet societal demands for flexibility and quality.

Part V: Strategy Formulation and Implementation

Chapter 12, "Impact of Universal Principles, Social Expectations, and Personal Values on Leadership," surveys various philosophical points of view and then turns to social science perspectives on values. A person's philosophy determines how that person interprets what is experienced. To be an effective tool of administrative behavior, however, it is preferable that this philosophy be understood and intellectualized and that the values and beliefs that it implies to be made explicit. The importance of values and beliefs held by an individual and how these values and beliefs are integrated into the visions, missions, and goals of an organization are examined. The role of megavalues held by society as a whole in shaping the policy-making process is also explored.

Chapter 13, "Strategy Formation and Planning at the District and School Levels," seeks to produce an understanding of how educational institutions develop a sense of direction and purpose, make decisions about organizing themselves in order to realize their purposes, and allocate resources available to them in order to further their purposes. While the process is usually referred to as strategic planning, we distinguish between strategy formation and planning as two separate but equally important procedures. Because planning is an analytical process and strategy formulation is a synthesizing process, they must happen separately. We take the position that strategy -is not the consequence of planning, rather, planning takes place within the framework formed by strategy. Planning helps to translate intended strategies into realized ones by laying out the steps necessary for effective implementation.

An essential part of planning and implementation is allocation of resources. Demands for resources always exceed their availability; therefore it is incumbent upon educators to use available resources to maximize productivity within the context of organizational priorities. Chapter 14, "The Allocation of Resources for Education: Adequacy, Equity, and Efficiency," addresses issues concerning the allocation of resources to the educational sector and within educational enterprises.

The availability of appropriate information is critical to the development of wise strategies, effective plans, and efficient allocation of resources. Chapter 15, "The Role of Information and Technology," considers the nature and importance of information systems to these processes. Note is taken of the astounding advances in information and communication technologies, and the relevance of these changes to the organization of schools, a major segment of the information industry, is explored. Particular attention is paid to the changing nature of leadership because information technology has an impact across educational systems.

Part VI: Leadership for a New Millennium

Chapter 16, "Educational Leadership for Systemic Change," builds a composite view of the complete work of the book by synthesizing the highlights of the previous chapters. This last discussion provides further illustrations of how education must contend with emerging issues and conditions. The discussion points to possible scenarios that may demonstrate the future of education.

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Table of Contents

Part I The Context of Educational Leadership

Chapter 1 The Imperative for Educational Reform

Adapting to a Global Society

Causes for Concern

International Comparisons of Academic Achievement

National Assessment of Educational Progress (NAEP) Trends

Links between Education and Economic Considerations

Family and Peer Influences on School Success

The Education Reform Movement

Waves of Educational Reform

Emerging Patterns of Reform

The Scope and Structure of School Governance

The Historical Development of Public Education

The Current Organization of School Governance

Summary and Fundamental Concepts

References

Chapter 2 The Power of Systems Thinking for Educational Change

Introduction

Background

Conceptualizing Systems

The Development of Systems Thinking

Systems Definitions

Systems Frameworks

Systems Properties Explored

Other Properties of Systems

Complex Systems

Organizational Implications of Systems Thinking

Groundbreaking: Early Organizational Theories

Changes in Management Roles and Contexts

Organizational Change

Contingency Theory

Misconceptions About Systems Thinking

Systemic Interventions

Feedback Requirements

Looking Toward the Future

Unrest in Organizations

Regulating Variety in Organizations

Metaphor and System Modeling in Educational Administration

Liberating Systems Theory: The Critical Stance

Summary and Fundamental Concepts

Case Study

References

Chapter 3 Schools as Organizational Systems

Introduction

Ways of Thinking about Organizations

Systems Thinking and Learning Organizations

Systems Thinking in Education

Learning Organizations

Internal Processes of Organizations

Decision Making

Leadership

Communications

Change

Other Characteristics of Organizations

Power

Culture

Size, Structure, and Complexity

Organizational Health and Effectiveness

Images of Organizations

The Machine Metaphor

The Organism Metaphor

The Brain Metaphor

Metaphors of New Science

Self-Organizing Organizations

Reflections on Organizational Theory and Practice

Conflicts Between Theory and Practice

Psychic Prisons

A Fruitful Field for Further Study

Summary and Fundamental Concepts

Case Study

References

Part II: Functions of Leadership in Learning Organizations

Chapter 4 Leadership for Learning Organizations

Leadership or Management

Conceptualizing Leadership

Background

Leadership Trait Theories

Behavioral Theory

Power Influence

Leadership Styles

Contingency Theories and Models

Situational Determinants Theories and Models

Transformational and Transactional Leadership

Multiple Approaches to Leadership

Leadership within a Cultural Context

Women in Authority

Leadership for Sustainable Change

A New Paradigm for Leadership

Summary and Fundamental Concepts

Case Study

References

Chapter 5 Human Relations: The Base for Educational Leadership

Introduction

The Development of Human Relations Concepts

The Stage of Classical Thinking (Pre-1930’s)

The Stage of Systematic Development (1930-1950)

The Stage of Teaching and Practice (1950-1960)

The Stage of Refinement (1960-1970)

The Stage of Decline (1970-1980)

The Stage of Evolving (1980- Present)

Conceptualizing Human Relations Theories

Definitions of Human Relations

Optimistic Assumptions of Human Nature

Clinical and Ethical Dimensions

The Importance of Human Needs

Human Motivation and Human Behavior

The Role of Motivation in Performance

Morale and Productivity

The Significance of Informal Organizations

The Application of Human Relations Concepts

Theoretical Perspectives of Human Relations

Human Nature

Theory X and Theory Y

Pygmalion Leadership

Human Motivation

Process Models

Expectancy Models

Behaviorist Models

Social Learning Models

Content Models

Common Human Needs

Leadership Considerations

Motivation at Work

Morale in Organizations

Major Morale Factors

Morale, Job Satisfaction, and Productivity

Approaches to Studying Morale

The Quality of Work Life

Informal Organizations

Informal Leaders

The Effects of Informal Organizations

The Inevitability of Informal Organizations

Human Relations Theory in Educational Administration

Democratic Educational Administration

The Human Relations Movement in Education

From Democratic Administration to Human Relations Management

The Effects of the Human Relations Movement on Educational Administration

A New Frame of Leadership

A New Paradigm for Educational Leadership

A Motivational Model for Educational Leadership

Contemporary Issues in Human Relations

Summary and Fundamental Concepts

Case Study

References

Chapter 6 Communication: The Breath of Organizational Life

Introduction

Systemic Metaphors of Communication

Theory Building and Judgment

Diversity in Communication Theories: A Twenty-First Century Paradox

Theory Genres in Communication

Metaphors and Assumptions in Organizational Communication

Distinguishing Features of Organizational Communication

Factors Affecting Clarity, Credibility, and Directionality of Organizational Messages

Types of Message Directionality

Other Factors Affecting Organizational Communication

A Sampling of Approaches to Organizational Communication

Structural and Functional Approaches

Behavioral Approaches

Approaches Related to the Process of Organizing

Socio-psychological Perspective on Individual Communication in Organizations

Pathways to the Future

Synthesizing Known Principles of Organizational Communication

Combining the Metaphors

Moving Forward: Potential New Directions

Creating Effective Communication in an Organization

Summary and Fundamental Concepts

Case Study

References

Part III. Values, Analysis, and Information

Chapter 7 The Impact of Personal Values on Decision Outcomes

Introduction

Philosophical Guides to Leadership

Idealism

Liberalism/Libertarianism

Realism, Logical Positivism, and Postpositivism

Pragmatism

Critical Theory

Interpretivistic Theory/Constructivism

Existentialism

Implications for Inquiry and Practice

Value and Value Systems

Values Defined

Values and Archetypes of Leadership

Values as Part of Organizational Cultures

Organizational Leadership: Values and Vision

Values, Democracy, and Followership

Metavalues

Values Analysis

Reflection in Practice

Identifying Theories-in-Practice of Organizations

Value Analysis of Problems

Inquiry into Educational Issues

Paradigms of Inquiry

Inquiry and Educational Administration

Quandaries of Inquiry

Simple to Complex

Heirarchical to Heterarchical

Determenacy to Indetermenacy

Linear Causality to Mutual Causality

Assembly to Morphogenesis

Objective to Perceptual

Inquiry Processes and the Paradigm Debates

Summary and Fundamental Concepts

Case Study

References

Chapter 8 Evaluation

Introduction

Background

Educational Evaluation: A Brief History

The Early Beginnings of Evaluation

The Modern Development Stages of Evaluation

The Basic Aspects of Educational Evaluation

Commonality Within Diversity

Evaluation Modes and Purposes

Evaluation Targets and Processes

Evaluation Perspectives and Models

Applications of Educational Evaluation

Evaluation:Teachers

Perspectives on Teaching and Teacher Evaluation

Purposes of Teacher Evaluation

Teacher Evaluation Methods

Teacher Evaluation Models

Evaluation: Administrators

Purposes of Administrative Evaluation

Principles of Administrative Evaluation

Administrative Evaluation Models

Program Evaluation

Perspectives on Program Evaluation

Program Evaluation Approaches and Models

Examples of Program Evaluation Models

Standards and Requirements for Educational Evaluation

Requirements for Conducting Evaluations

Evaluation and Accountability

The Future

Summary and Fundamental Concepts

Case Study

References

Chapter 9 The Role of Information Technology

Types of Information Systems and Their Uses

Informal Information Systems

Formal Information Systems

Types of Information Systems

Integrated Information Systems

Using Information Systems

The Role of Information Technology in Instruction and Learning

Technological Change and Education

Emerging Information Age Schools

Personalization/Individualization of Instruction

New Roles for Teachers and Other Staff

Prototype and Implemented Integrated Information Systems to Manage Individualized Instruction

The Information Age System

The Breakthrough System

Making Schools Smarter System

Student@Centre Internet and CASE21

Summary and Fundamental Concepts

References

Part IV: Decision Making

Chapter 10 Educational Policy Formulation in a Mixed Economy

Education: A Public and Private Good

The Influence of the Marketplace on Public Policy

The Free Market

Government and the Market

Issues Involved in Governmental Intervention

When Should the Government Intervene?

External Economics

Extraordinary Risks

Natural Monopolies

Other Reasons for Intervention

Alternative Methods of Governmental Intervention

Allocation of Authority among Levels of Government and Individuals

Models of Political Decision Making

Institutionalism

Systems Theory

Incrementalism

Group Theory

Elite Theory

Rationalism

Distinctions between Judicial and Legislative Influence on Educational Policy Formulation

Impact of Collective Bargaining on Policy Formulation

Examining Educational Reform Efforts within Political Frameworks

Reform at the District Level

Edmonton

Chicago

Houston

Seattle

State Level Reforms

Kentucky

Summary and Fundamental Concepts

References

Chapter 11 District and School-Based Decision Making: Strategy Formation and Planning

Introduction

Decision-Making Models

Normative Models

The Economic Model

The Expected Utility Model

Descriptive Models

The Administrative Model

Idiographic Factors that Influence Decision Making

Decision-making Heuristics and Biases

Representativeness

Anchoring and Adjustment

Confirmation Bias

Hindsight Bias

Group and Participative Decision Making

Common Errors in Administrative Decision Making

The Implications of Systems Theory and Decision Making

Strategy Formation and Planning at the District and School Levels

Strategy Formation

Visioning

Mission Statements

Belief Statements

Strategic Policies

Planning

Intermediate Planning

Internal and External Analyses

Gap Analyses

Strategic Objectives

Integrated Action Plans

Tactical Planning Including Budgeting

Tactical Planning

Budgeting

School-Based Decision Making

Arguments for Administrative Decentralization

School-Level Strategy Formation and Planning

School Based Budgeting

Summary and Fundamental Concepts

Case Study

References

Chapter 12 The Allocation of Resources to and within Educational Organizations: Adequacy, Equity, and Efficiency

Equity in the Allocation of Resources to Schooling

The Extent of Inequities in Resource Allocation

Intra-district Equity Studies

Summary of Horizontal Equity Considerations

Defining and Measuring Adequacy

Econometric Approaches

Empirical Approaches

Using Whole School Reform Models and Professional Expertise

Promoting High Student Achievement Efficiently

External Efficiency

Rate of Return Approach

Internal Efficiency

Context

Education Production Functions

Production Functions Explained

Illustrative Production Functions Studies

Technical Efficiency

Effective Schools Research

Evaluation Studies

School Reform Networks

Economies and Diseconomies of Scale

Aligning Economic and Technical Efficiency

Current Practice

Rethinking the Allocation of Teacher Resources

Summary and Fundamental Concepts

References

Part V: Implementation of Systemic Change

Chapter 13 Systemic Change

Introduction

Basic Issues

What Is Change?

Types of Change

Resistance to Change

Theoretical Implications of Change

Strategies for Change

Models for Planned Change and Their Use

Problem-Solving Models

Research—Development—Diffusion—Utilization Models

Social Interaction Models

Linkage Models

Organizational Variables within Models

Leadership and Change

What Is a Change Agent or Change System?

Characteristics of Effective Change Agents

Functions of Effective Change Agents

Managing Planned Change

Decision Making

Effecting Educational Change

Models for Educational Change

Phases of Educational Change

Effective Change Agents in Schools

Planning for a Changing Future in Education

The Fate of Educational Changes

Problematic Features of Change

Challenge and Opportunity

Summary and Fundamental Concepts

Case Studies

References

Chapter 14 Educational Leadership in a Flat World

The Challenge

Responses to the Challenge

Structural Reform

Standards-Based Accountability

Parental Choice of Schooling

School-Based Decision Making

School Reforms

Whole-School Reform

Small Schools

Extended School Day and Year

Curricular Reforms

Subject Matter

Individualized Instruction

Professional Development

Critique of the Reform Efforts

Systems Theory as a Guide for Education Leaders

Implications for Persons in Leadership Positions in Education

Coordinating a System of Schools

Transformational Leadership

Moral Leadership

Visioning

School Culture and Participatory Democracy

Parting Thoughts

References

Name Index

Subject Index

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Preface

Preface

Perspective

If there was ever a time when educational institutions required effective leadership, it is now. This is the first time in the history of the United States that the quality of the education provided for our citizens has been recognized politically as being strategically important to national success and survival. Educational issues are among the major concerns of voters; therefore, not surprisingly, they are debated vigorously by candidates for public office at all levels of government and they are covered regularly on the front pages of major newspapers.

Today's educational leaders need to possess a broad variety of skills that enable them to function comfortably and effectively in changing environments and under highly politicized conditions. In these new circumstances, change is the only constant. The mission of this book is to foster understanding of this reality among those preparing for careers in leading educational institutions and to help develop skills necessary for working competently within them. For better or for worse, this is a dynamic and exciting period in human history. Because of the fluidity of the situation, it is a period of unparalleled opportunity and of potential danger. To capitalize on the opportunities and to minimize the dangers demands extraordinarily wise leadership in all sectors and in all enterprises, including education.

While pervasive social change affects persons in all walks of life, there is bound to be greater impact upon those in positions of great social visibility and concern—such as persons holding administrative and supervisory responsibility for educationalsystems. Society has a right to expect adept performance from people in those positions. Under these conditions, proficient leadership cannot be a matter of copying conventional behavior. To advance education, there is a clear need for educational leaders to have and exercise: the ability to comprehend the dynamics of human affairs as a basis for relevant action under novel conditions; a better understanding of issues and processes in educational institutions; and greater originality and collaboration in designing strategic policies. Their approach to the opportunities and problems confronting them must remain hypothetical and open-ended so that more may be learned by what is done.

Graham (1999) saw the accomplishments of the new public schools during the first quarter of the twentieth century concentrating on assimilating the flood of immigrants pouring into the country. The middle years focused on broadening the curriculum, especially at the secondary level, to include vocational subjects and courses in social and personal adjustment that enabled secondary schools to address the educational needs of most of the student population. The 1960s and 1970s addressed issues of equity and access among genders and ethnic groups. During the first three-quarters of the century, Graham concluded, the schools were much more successful in enrolling students than in teaching them (emphasis added). This practice is no longer acceptable. Schools must now set out to correct the situation by focusing on raising the achievement levels of all students.

Past assumptions used by educators in designing schools and school curricula no longer hold across the board. Children are less likely to come from majority backgrounds, they are more likely to be members of nontraditional families, and they are more likely to be poor. Education through high school and beyond is essential if graduates are to be employed in other than menial jobs and to enjoy comfortable standards of living. Well-paying employment opportunities increasingly require sophisticated intellectual skills. Educational leadership is being challenged to design new curricula that recognize the multicultural nature of students, provide institutional support for those at risk, and link schooling to employment and citizenship. Solving our "educational" crisis will require coordination of schools' efforts with those of other social agencies in the community.

Not only will school leaders of the future be working with a student body markedly different from that of the past, the organizational structures and professional and political relationships will also be quite different. These changes will produce a new climate for school organizations that demands a transformational rather than hierarchical leadership. Parents and community members are likely to have greater influence on the organization and operation of schools through membership on school councils or through parental choice of schooling. The relationships between teachers and administrators are likely to be collegial, not authoritarian. Principals and teachers are likely to have greater professional discretion as many decisions formerly made at the district, state, and federal levels are left to schools. Nevertheless, local, state, and federal authorities will continue to set certain parameters. We can expect states, in particular, to set achievement standards, to design curricula to meet those standards, and to administer examinations to identify schools failing to meet those standards.

For several years, the authors co-taught an introductory course for students of educational administration. We sought in vain to find an appropriate text that would be comprehensive in coverage, yet have sufficient depth to lead students to a fundamental understanding of relevant issues. We wanted a text that was eclectic, not ideological, in approach, and that would emphasize an "action-research" perspective, compelling readers to consider critically the theoretical underpinnings of current educational practice and motivating them to seek practical alternative approaches. Not finding such a text, we set out to create our own: Fundamental Concepts of Educational Leadership is the result.

The careful reader will quickly detect that we do not subscribe entirely to any particular philosophy of education. We attempt to report the best of what has been produced by researchers regardless of their paradigm and orientation. We view the study of leadership as a multiple-perspective activity. Theories of leadership should not be viewed as competing with one another in the quest for the "one best view" (Sergiovanni, 1984). Each approach, each theory, has inherent strengths and weaknesses. Each theory is better able to illuminate and explain certain aspects of each concept. Taken together, a more complete understanding of the concept is possible through the power of triangulation and perspective.

New to This Edition

The second edition continues to set forth principles undergirding the knowledge base of educational leadership, updated to address new and evolving thinking, learning, and organizational paradigms that are in a significant period of transformation. The book is still highly applicable to introductory courses in programs that prepare educational administrators, but is also recommended as a basic guide for all educational practitioners. As with the first edition, leadership principles are presented within a systems framework. The second edition maintains the thorough coverage of relevant theory of the first, but is more consistent in relating that theory to practice.

In the previous edition, we defined leadership as influencing the actions of others in achieving desirable ends. While that definition is historically based on a significant and important body of knowledge, new definitions reflect a major rethinking of the concept. Today, leadership is also thought of as an overall action/change orientation—a transformation occurring in and across numerous educational environments. Leadership in this new arena of transformation becomes less role-specific in the traditional sense, while it amasses broad new elements that expand its overall character.

Today a leader (in whatever situation that might involve) can be thought of as a teacher, steward, facilitator, pathfinder, aligner, empowerer, appraiser, forecaster, enabler, and/or advisor. As this incomplete list expands to engulf a multitude of possibilities, you begin to sense the critical themes that further define leadership for the educational practitioner today. Under evolving conditions, leadership takes on an action-rich perspective. Leadership becomes the capacity to generate, operationalize, and evaluate a continuously changing environment—to build feedback into environments in the process of continuous improvement.

With these new considerations becoming more apparent, we have reorganized the divisions of the book as our examination of the various aspects of leadership unfolds. Part One, whose title remains "Leadership in a Period of Dynamic Change," presents the current and projected contexts of educational leadership and discusses systems theory and leadership theory, which continue to serve as the undergirding concepts of the book. Parts Two, Three, Five, and Six carry new titles reflecting added content and different organization and emphases: "Schools as Learning Organizations: Communication and Human Interaction," "The Generation and Use of Information in a Learning Organization," "Strategy Formulation and Implementation," and "Leadership for a New Millennium."

In Chapter 7, addressing processes of inquiry and analysis, more attention is given to naturalistic and action research orientations, supplementing the already strong discussion of quantitative approaches that appeared in the first edition. Theory development is de-emphasized relative to the first edition, while greater application is developed to provide a stronger connection to ongoing organizational functioning.

Chapter 8, focusing on evaluation, is an updated version of the original chapter with a significant new section giving the essence of the quality movement and its relation to program evaluation, student achievement, and staff evaluation. Another addition is a section of commentary about national and state standards and assessment activities.

Chapter 9 approaches the topic of educational policy from an economic perspective as well as the political perspective of the first edition. The discussion of universal principles (Chapter 12) gives more attention to the importance of personal reflection by educational leaders and proposes professional platforms as a vehicle for doing so. In Chapter 13, the discussion of strategy formation and planning is essentially new, with greater coverage of school-based decision making. In Chapter 14, additional attention is given to school-based budgeting.

A new chapter (15) has been added, addressing the role of information and technology in a constantly changing environment. As the information age progresses, numerous traditional roles in schools may change. A discussion of this possibility devotes particular attention to the evolving nature of leadership as information and technology become more pervasive.

Chapter Descriptions

Part I: Leadership in a Period of Dynamic Change

Chapter 1, "The Context for Leadership," highlights some of the causes for concern over public education. The failure of the nation's public schools to meet the expectations set forth by Goals 2000 is examined, followed by an exploration of the future needs of the educational enterprise and the challenges they pose for reformers of today's educational environment. The chapter concludes with a presentation of the structure of precollegiate education in the :United States and a description of the problems that must be corrected.

Chapter 2, "The Power of Systems Thinking for Educational Change," presents a modified version of systems theory as a lens for perceiving the many facets of leadership and as a framework for understanding the interrelationships of those facets. It traces the history of systems theory, including creating significant detail about systems frameworks and properties in general terms. The discussion includes organizational implications of a systems perspective and speaks to issues surrounding the postindustrial paradigm.

In Chapter 3, "Leadership in a Reform Environment," theories of leadership are discussed, emphasizing leadership's many dimensions. Transformational leadership and other current theoretical models are explored to demonstrate the complexity and variety of components of leadership.

Part II: Schools as Learning Organizations: Communication and Human Interaction

Chapter 4, "Schools as Organizational Systems," considers organizational theory and practice relating to educational enterprises. Depending on one's view, organizational activity may be linked to values, effectiveness, integration, and more. Metaphors are examined to help the reader envision the broad nature of how we think about, use, and evaluate organizational performance today.

Chapter 5, "Communication: The Breath of Organizational Life," examines this key ingredient of effective leadership: communication is the conduit for inquiry that develops understanding within and across environments. As the information age progresses, communication theory becomes increasingly important. This chapter explores communication concepts as applied to social systems, with particular emphasis on educational systems.

Chapter 6, "Human Relations: The Base for Educational Leadership," discusses human relations as the integration of people that allows them to work together productively and cooperatively. This chapter broadens the understanding of teamwork and team learning applications, and explains how mental states affect the human component of educational enterprises. Each individual's ability to work harmoniously and to understand the educational organization is a key to organizational effectiveness.

Part III: The Generation and Use of Information in a Learning Organization

Chapter 7, "The Process of Inquiry and Analysis," presents theory-based quantitative and naturalistic approaches to inquiry and analysis. Common errors made in human inquiry are discussed, as is the development of safeguards to ensure that fundamental issues are considered and observed. Theory is developed with emphasis on practical applications intended to provide a strong connection to the effective functioning of organizations.

Chapter 8, "Evaluation in Education: Theories, Models, and Processes," discusses the means by which leaders pursue the process of mobilizing resources to enable organizations to function effectively. Judgments of effective functioning are based on monitoring outcomes and measuring them against established goals and objectives. The quality movement and its relation to program evaluation, student achievement, and staff evaluation are considered. Also included is a discussion of national and state standards and assessment activities.

Part IV: Decision Making and Change

Policies are sets of rules for guiding the operation of an organization that have been formally adopted through a prescribed process. Chapter 9, "Educational Policy Formulation in a Mixed Economy," focuses on policy formulation as collective decision-making through the market (economics) and through governments (politics). A number of public policy models are described and critiqued. Special attention is given to assessing the impact of current proposals for decentralizing decision-making in education; placing more authority at the school level; and involving teachers, parents, and students.

Chapter 10, "Organizational Decision Making," focuses on decisions as made in school organizations. Decision making, the process of choosing among alternatives, is one of the most crucial skills needed by an effective educational leader. We criticize the common practice of viewing decision making as a linear process (identifying a problem, defining the problem, weighing alternative solutions, and making a choice). Instead, we propose a circular process that is more compatible with the inherent dynamics of the educational environment.

The ultimate objective of educational organizations (or any organization, for that matter) is to maintain internal stability. To maintain stability while existing within turbulent environments requires constant change—the focus of Chapter 11, "Systemic Change." Educational leaders of the new millennium must be prepared to develop, articulate, and bring to fruition new educational systems, and to do so in such a way that the new systems meet societal demands for flexibility and quality.

Part V: Strategy Formulation and Implementation

Chapter 12, "Impact of Universal Principles, Social Expectations, and Personal Values on Leadership," surveys various philosophical points of view and then turns to social science perspectives on values. A person's philosophy determines how that person interprets what is experienced. To be an effective tool of administrative behavior, however, it is preferable that this philosophy be understood and intellectualized and that the values and beliefs that it implies to be made explicit. The importance of values and beliefs held by an individual and how these values and beliefs are integrated into the visions, missions, and goals of an organization are examined. The role of megavalues held by society as a whole in shaping the policy-making process is also explored.

Chapter 13, "Strategy Formation and Planning at the District and School Levels," seeks to produce an understanding of how educational institutions develop a sense of direction and purpose, make decisions about organizing themselves in order to realize their purposes, and allocate resources available to them in order to further their purposes. While the process is usually referred to as strategic planning, we distinguish between strategy formation and planning as two separate but equally important procedures. Because planning is an analytical process and strategy formulation is a synthesizing process, they must happen separately. We take the position that strategy -is not the consequence of planning, rather, planning takes place within the framework formed by strategy. Planning helps to translate intended strategies into realized ones by laying out the steps necessary for effective implementation.

An essential part of planning and implementation is allocation of resources. Demands for resources always exceed their availability; therefore it is incumbent upon educators to use available resources to maximize productivity within the context of organizational priorities. Chapter 14, "The Allocation of Resources for Education: Adequacy, Equity, and Efficiency," addresses issues concerning the allocation of resources to the educational sector and within educational enterprises.

The availability of appropriate information is critical to the development of wise strategies, effective plans, and efficient allocation of resources. Chapter 15, "The Role of Information and Technology," considers the nature and importance of information systems to these processes. Note is taken of the astounding advances in information and communication technologies, and the relevance of these changes to the organization of schools, a major segment of the information industry, is explored. Particular attention is paid to the changing nature of leadership because information technology has an impact across educational systems.

Part VI: Leadership for a New Millennium

Chapter 16, "Educational Leadership for Systemic Change," builds a composite view of the complete work of the book by synthesizing the highlights of the previous chapters. This last discussion provides further illustrations of how education must contend with emerging issues and conditions. The discussion points to possible scenarios that may demonstrate the future of education.

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