Citation
Principals' reflectivity during change implementation

Material Information

Title:
Principals' reflectivity during change implementation
Creator:
Bridges, Sheila Blanton, 1948-
Klein, Kenneth H., 1930-
Kunkel, Joseph C., 1936-
Publication Date:
Language:
English
Physical Description:
ix, 237 leaves : ill. ;

Subjects

Subjects / Keywords:
Data collection ( jstor )
Educational research ( jstor )
Group facilitation ( jstor )
Reflectance ( jstor )
Research methods ( jstor )
School principals ( jstor )
Schools ( jstor )
Students ( jstor )
Teachers ( jstor )
Transponders ( jstor )
Leadership ( lcsh )
Nuclear warfare -- Moral and ethical aspects ( lcsh )
School improvement programs -- Southern States ( lcsh )
School principals -- Southern States ( lcsh )

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 1990.
Bibliography:
Includes bibliographical references (p. <325>-345) and index.
Bibliography:
Includes bibliographical references (leaves 203-210).
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Sheila Blanton Bridges.

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
001575422 ( ALEPH )
AHJ9261 ( NOTIS )
22883584 ( OCLC )
0893415618 ( ISBN )

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PRINCIPALS'


REFLECTIVITY


DURING


CHANGE


IMPLEMENTATION


SHEILA


BLANTON


BRIDGES
. ...


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY


UNIVERSITY


OF FLORIDA


1990






























Copyright


1990


Sheila


Blanton


Bridges
















ACKNOWLEDGEMENTS


Thi


study


was


possible


through


the


efforts


and


cooperation


Forrest


many


. Parkay,


individuals.


chairperson


I would


for


like


to thank


support


and


guidance


not


only


through


investigation


but


through


studies


as well.


also


thank


. Gene


. Hall,


former


chairperson,


his


vis


of educational


leadership,


expertise


related


to change,


and


his


belief


my efficacy


to achieve


those;


. Doreen


. Ross


for


her


expertise


the


field


of reflectivity


and


her


willingness


to help


me at


anytime;


. Joan


Curcio


her


belief


me and


her


unconditional


support;


and


Phillip


Clark


flexibility


and


willingness


serve


on my


committee.


friends


gratitude.


wisdom;


and


I especially


. Theresa


colleagues


thank


Vernetson


I also


. Janie


support


owe


a debt


MacDonald


the


her


research


and


her


encouragement,


love,


and


understanding


which


supported


me when


the


going


got


rough;


Will


Irby,


III,


teaching


Moeller


me that


for opening


education


her


can


home


as it


me during


should


the


Gail


investigation


C








collection


period;


Naomi Woolsey,


Copper


, Stephanie


Shroeder,


Sharkey,


Sherry


Tina


Knight,


Gaynes,


Chris


Carol


Arab,


June


Piccarillo,


Abbott,


and


Carol


Connie


LaRow


their


encouragement,


love,


and


support


throughout


this


experience.


family


has


been


especially


supportive


work


and


efforts


to further


education.


They


have


made


many


sacrifi


ces


and


thank


them


their


love.


thank


dad,


myself


the


and


late


Von


work


Blanton,


and


a sense


who


imparted


of joy


me pride


living.


also


thank


mother,


Mary


Blanton,


whose


spirit


success


inherited,


and


my mother-in-law,


Bertie


Mae


Bridges,


whose


unfaltering


belief


me kept


me plodding


along.


Most


all,


thank


children,


Sean,


Brionna,


and


Saxony,


their


understanding


the


importance


studies


and


their


love


and


support.


especially


thank


Harold


Bridges,


husband,


his


patience,


understanding,


strength,


and


encouragement


through


three


years


difficult


times.
















TABLE OF CONTENTS


Pace


ACKNOWLEDGEMENTS


... ............................. ii


viii


ABSTRACT


CHAPTERS


I INTRODUCTION


. .. *I a a a


Need for the Study .........................
Purpose of the Study .....................
Significance of the Study .................
Research Approach and Design Rationale .....
Study Questions ............................
Methodology ................................
The Setting ................................
Definition of Terms ........................
Assumptions, Delimitations, and Limitations
Assumptions .............................
Delimitations ...........................
Limitations .............................
Organization of the Document ...............


II REVIEW OF RELATED LITERATURE


Cognition ..................
Cognitive Mapping .......
Problem Solving .........
Summary .................
Reflection .................
A Reflective Model ......
Strategic Sense .........
Reflective Leadership ...
Summary .................
Leadership ................
Change Models ..............
Change Facilitator Styles
Summary .................


....III..
*.....a ...
*........


Oualitative Research in Education ...


S...


a
a
.


Illrllllll())l~~(l)))))111~1)()))111((((











Introduction ..........................
Approach to the Investigation .........
Protection of Human Subjects ..........
Design of the Investigation ...........
Guiding Research Questions ............
Boundary and Focusing .................
Subject Selection .....................
Interviews ............................
Documents .............................
Quality Control and Credibility .......


Initiating the Inquiry ........
Selection of Sites ........
Gaining Entry to the Sites
Timing of the Investigation ...
The Process of Data Collection
Observing ................
Interviewing ...............
Confidentiality ............
The Process of Data Analysis ..
Quantitative Analysis ......
Qualitative Analysis .......
Summary .......................


IV THE INNOVATION AND THE SETTING


* *


S....


........
*........
*....a..

........

........
........
* C* tee
* C00
* CC00000


........
*........
........
..* .4 ...
00000000
11111111


.............. 86


The Innovation ..............................
School Based Management/Shared Decision
Making ................. ............. .
Site Descriptions ...........................
Webster Elementary .....................
Haywood Elementary .......................
Pierce Elementary ........................
Summary ..................... .... ......... *


V RESULTS


. .. ... .. .. e 111


Introduction ................................
Change Facilitator Styles of Administrators .
The Responder ............................
The Manager ..............................
The Initiator ............................
Summary ................ ... .... a... ....*
Characteristics of Change Facilitator
Styles ........................... ..
Site Change Facilitator Analysis ...........
Webster Elementary .......................
Haywood Elementary .......................









Haywood
Pierce E
Cross Si
Summary
Behavioral
Webster
Haywood
Pierce E
Summary
Patterns of
Webster
Haywood
Pierce E
Summary
Conclusions
Summary ...


Elementary
elementary
te Compari

Patterns .
Elementary
Elementary
elementary

Reflectiv
Elementary
Elementary
elementary


*.*.*.*..********.....*

* .5. ........... S a a .
00 Qe O D 000 l DD D B


........................

ity ..... ..... o. .. .
.......................
.......................
........................
* 0e S S *t ** S S S S S
* S S S S 0 S S aaS **S S S S S0 S
* .. SS SS S O 000 S S S S S S S S


........*...*.........t
.............**********


CONCLUSIONS


AND


IMPLICATIONS


Facilitator
Initiator .
Manager ...
Responder .


Reflectivity
Relationship
Studies .
Implications
Implications
Recommendati
Summary ....


of
*
for
for
ons


Fi


Styles




g......
ndings


Researcher
Practition
for Further


...................
...........*...*.*S*.
............5 .55 .5 .5
...* ....*...........


Previous

s on Leade
ers ......
Research


.rship


REFERENCES


.. .. .. ** 0 S ) ) ) S S S S S *** *


APPENDICES


INFORMED


CONSENT


LETTER


. . 211


INTERVENTION


CODING


FORM


. 213


INCIDENT


AND


TACTIC


CODE


DESCRIPTION


SAMPLE

SAMPLE


SAMPLE


G SAMPLE


INCIDENTS:

INCIDENTS:


INCIDENTS:


REFLECTIVITY


WEBSTER

HAYWOOD


PIERCE


PATTERNS


ELEMENTARY

ELEMENTARY


ELEMENTARY


S. .. 232


Change
The
The
The


- -~-














Abstract


the


of Dissertation


University


Requirements


of Florida


the


Degree


Presented


the


Partial I
of Doctor


Graduate


School


?ulfillment of
of Philosophy


the


PRINCIPALS


' REFLECTIVITY


DURING


CHANGE


IMPLEMENTATION


Sheila


Blanton


Bridges


May,


1990


Chairman:


Major


Forrest


Department:


W. Parkay
Educational


Leadership


The


purpose


this


study


was


to examine


principal


intervention


behaviors


and


related


thought


processes


that


occurred


during


implementation


of school-based


management/


shared


decision


making.


This


study


was


conducted


describe


and


analyze


the


complexity


of considerations


and


strategies


used


principals


with


different


change


facilitator


styles


responderss


" "managers


" and


initiatorss.


Using


the


definition


of reflectivity


mental


consideration


characterized


a visionary


planning


perspective


and


oriented


toward


judgment


of overall


impact,


the


researcher


sought


determine


the


extent


reflectivity


among


three


principals


who


exemplified


these


facilitator


types.








implementing


school-based


management/shared


decision


making.


The


principals


' intervention


behaviors


were


coded


and


later


analyzed


both


quantitatively


and


qualitatively


show


strategies


and


linkage


to goals.


The

sanctions

conflict


findings


the


when


revealed


change


arose.


that


processs

The


the


and


responder


attempted


responder


pattern


principal


to resolve


revealed


that


There


this


was


principal


no linkage


considered


to other


options


goals


a linear


apparent


manner.


her


behaviors


or considerations.


The


manager


principal


anticipated


instructional


and


management


needs


the


school,


planned


them,


and


intervened


to achieve


short-


range


goals.


His


cognitive


pattern


revealed


minimum


reflectivity

initiator pr


and


incipal


concern


took


for

the


short-range


lead


goals.


identifying


The

future


goals


and


priorities


the


school


and


intervened


move


his


school


closer


his


vision.


His


cognitive


considerations


were


highly


complex


and


interactive.


The


report


includes


a discussion


how


these


findings


relate


the


body


of knowledge


the


areas


leadership,


cognition,


reflectivity,


and


change.


The


implications


the


investigation


and


recommendations


researchers


and


practitioners


are


also


included.















CHAPTER


INTRODUCTION


The


traditional


image


the


principal


has


been


the


school


head


who


provided


the


management


needed


for


the


institution


run


smoothly.


Within


the


last


years,


however,


the


role


the


principal


has evolved


that


educational


leader.


pressure


has


increased


for


schools


to perform


effectively,


the


principal


leadership


role


has


come


under


increased


scrutiny


(Sergiovanni,


1987).


Recent


research


findings


have


consistently


indicated


strong


relationship


between


the


efforts


the


school


leader


and


the


nature


of educational


change


school


(Leithwood


& Montgomery


, 1982)


Effective


school


research


findings


have


pointed


the


critical


role


the


principal


plays


influencing


school


effectiveness.


The


competencies

educational

management s


and s

change


kill


kills

are


needed t

different


the


past


o beco

from

eithwo


me


a leader


traditional

od & Montgomery,


1982)


Assessment


the


status


knowledge


of principals










leaders

studies,


ess


however,


effective

have ce


school


entered


(Edmonds,


around


1979).


observable


These

actions


of principal


as they


intervened


influence


a complex


of factors.


These


findings


support


the


theory


that


change


a complex


process


and


that


the


degree


of successful


implementation


largely


due


to the


actions


the


school


leader


(Hall,


Rutherford,


& Griffin,


1982)


School


as a setting


principals


' leadership,


are


changing


in many


ways.


For


instance,


the


current


empowerment


teachers


as leaders


necessitates


redefinition


the


role


of principals.


An example


the


movement


empower


teachers


the


school-based


management/shared


Fernandez,


deci


& Tornillo,


sion


making


1989).


model


These


(Cistone,


configurations


also


require


that


principals


function


nontraditional


ways.


Having


a single


set


skill


does


not


assure


effective


leadership.


Although


many


factors


impact


the


principal


s role


definition,


the


leader


has


a style


which


has


been


linked


the


research


the


level


success


implementation


change.


Hall,


Rutherford,


and


Griffin


(1982),


example,


identified


and


defined


three


leadership


styles


"initiator,


" "manager


" and


"responder


Initiators


hold










and


move


the


school


toward


those


expectations


through


constant


intervention.


Managers


are


efficient


administering


their


schools


and


protecting


their


teachers.


They


seldom


delegate,


but


when


they


they


closely


monitor


what


the


designee


doing


rather


than


work


with


him


or leave


him


alone.


Responders


emphasize


the


personal


side


interactions


and


tend


delay


deci


sions


order


to have


as much


information


as possible.


They


view


their


primary


task


as maintaining


a smooth-running


school


and


often


sacrifice


long


-range


goals


immediate


ones.


In several


studi


the


initiator


has


been


identified


as the


most


effective


change


facilitator


style.


Fourteen


years


of research


have


supported


the


link


between


this


change


facilitator


style


and


successful


implementation


educational


innovations


as they


relate


to educational


administration


(Hall


& Hord,


1987).


In these


studies,


however,


researchers


emphasized


principals


' behaviors


and


not


what


they


were


thinking


about


terms


their


leadership.


Need


the


Study


Having


principals


think


a particular


way


about


how


they


intervene


to bring


about


change


a new


dimension


educational


leadership.


An emerging


concept


in teacher










education


programs


have


experimented


with


different


strategies


teaching


reflectivity


to their


students


and


different


ways


measuring


outcomes,


but


the


study


reflectivity


among


principals


has


not


been


part


the


movement.


In previous


studies


researchers


have


shown


that


the


degree


successful


implementation


of change


largely


due


to the


actions


the


school


leader.


The


data


base


which


supports


these


findings


consists


of observable


behaviors.


Few,


any,


investigators


have


probed


beyond


principals


' behaviors


to explore


what


issues


or thoughts


the


principals


considered


or the


processes


they


used


they


intervened


to bring


about


change.


There


is a need


understanding


the


principals


interventions


more


depth


than


the


cursory


surface


analysis


which


previous


research


studies


have


provided.


What


principals


consider


and


how


they


use


information


they


intervene


bring


about


change


remains


obscure.


How


the


thought


patterns


principals


are


related


to their


actions


and


to a greater


perspective


not


known.


Purpose


the


Study


The


purpose


this


study


was


to examine


principals'


intervention


behaviors


and


related


thought


processes


during










the


thoughts


that


preceded


interventions,


critical


innovation-related


principals


' interventions,


how


the


interventions


were


linked


a vision


the


leader


had


the


school,


and


post-intervention


considerations.


Significance


the


Study


Part


the


knowledge


base


about


leadership


knowing


how


principals


of effective


schools


behave.


Leithwood


and


Montgomery


(1982)


reviewed


research


on effective


principals


and


found


that


how


principals


intervene


separates


the


more


effective


leaders


from


the


less


effective


ones.


They


concluded


that


Effective
priorities


school


and


principals
focused o


gain


stakeholders


almost


that


are


priorities
constantly
achieved.


1 aspects
likely to


They


are


n the


able


to define


central


these


actions


classroom


support
Their


the


influence
intervene


ensure


that


mission


priorities


impinge


and


achievement


directly


priorities


the
from


on
school


these


and
are


335)


While


this


review


was


helpful


identifying


several


dimensions


of effective


principal


behavior,


offered


insight


into


the


thoughts


that


preceded


and


guided


the


behaviors.


An understanding


the


mental


considerations


principals


would


enhance


the


knowledge


base


the


area


of educational


leadership.


The


content


and


nature


the


thought


processes


involved


principals


' deliberations


and










change


facilitator


style


the


leader.


These


data


would


be of significance


the


selection


and


training


educational


leaders


and


would


provide


guidance


helping


principal


become


more


effective


producing


change.


Research


ADproach


and


Design


Rationale


The


nature


thi


topic


requires


an interpretive,


qualitative


analysis


where


patterns


which


evolve


from


field


investigation


lend


insight


into


the


connections


between


thought processes

strategic linkage

(1988) to explain


and

was

the


over


behaviors.


developed

direct li


Hall


nkages


The


and


theory


Vandenberghe


effective


principals


appear


day


to have


made


interventions


between


and


their


their analyses

thoughts about


their


long-term


day-to-

i goals


and


sions.


support


the


Even


theory


the


prevents


absence


the


of a data


testing


base


experimental


hypotheses


thi


time.


The


current


need


careful


data


collection


and


related


development


of analysis


procedures


that


provide


initial


verification


key


points


the


theory


Using


research


findings


about


the


change


process,


leadership


styles,


and


effective


change


implementation,


the


researcher


examined


thought


patterns


three


different


principals


to discover


similarities


and


differences


attempted


develop


a data-based











heuristic,


exploratory


approach


can


serve


to "generate


ideas


to provide


leads


further


inquiry


or to


open


new


lines


investigation"


149) .


According


to Guba


(1981),


field


study


essential


the


naturalistic


approach to

experiences


research,


the


field.


truth

For


discovered


an exploratory


the


investigation


which


focuses


on contemporary


events


within


their


real


life


setting,


Moore,


the


1983).


case


study


Mishler


recommended


(1979)


supported


(Yin,


the


Bateman,


idea


allowing


the


problem


to select


the


methodology.


"Traditional


methods


tempt


researchers


to restrict


the


focus


their


interest


short-run


events


and


a limited


range


meanings,


and


thus


methods


tend


to determine


the


problem


investigated


rather


than


the


other


way


around"


Based


on the


nature


the


problem


this


investigation,


the


case


study


was


selected


as the


means


collecting


data.


The


case


study


a particularized


inquiry


into


setting,


a subject,


or an event


(Bogdan


& Bilkin,


1982,


58) .


Stake


(1978)


listed


the


following


characteristics


the


case


study:


descriptions


are


holistic


and


complex


contain


numerous


variables


which


are


not


readily


isolated;


data


are


gathered


using


personal


observation










are


used;


understanding


the


case


has


greater


emphasis


than


themes


and


hypotheses;


expansionist


rather


than


reductionist


pursuits


characterize


the


methodology;


and


the


inquiry


emphasizes


the


idiosyncratic


more


than


the


pervasive


. 7).


The


approach


selected


thi


investigation


was


descriptive


multi


-site


case


study


using


qualitative


procedures


of data


collection


and


analyst


, with


quantification


of behavioral


observations


to enhance


the


understanding


the


descriptive


data.


ensure


consistency


interpretation,


special


considerations


had


to be


given


to the


research


procedures


adopted.


These


are


discussed


Chapter


III.


Study


Questions


The


absence


a priori


hypotheses


mandated


that


the


research


questions


which


were


to guide


this


investigation


be based


research.


The


review


the


literature


combined


with


current


theory


and


practices


formed


the


foundation


from


which


this


investigation


grew.


In thi


study,


the


reflection


principals


as they


engaged


the


task


of implementing


change


aimed


at school


improvement


was


investigated.


The


following


research


questions


were


addressed:










How


do intervention


behaviors


differ


among


these


three


principals


with


different


change


facilitator


styles?


What


are


the


characteristic


elements


and


patterns


of reflectivity


these


three


principals


who


employ


different


change


facilitator


styles?


Does


one


particular


principal,


who


exemplified


given


change


facilitator


style,


show


more


complex


reflectivity?


Methodoloqv


Three


elementary


principals


were


nominated


the


assistant


superintendent


who


was


designated


as the


project


leader


Each


principal


represented


a different


change


facilitator


style.


Each


subject


was


shadowed


and


interviewed,


interventions


related


to school-based


management/shared


deci


sion


making


were


documented.


Critical


interventions


were


selected,


and


the


principals


were


asked


recall,


through


in-depth


interviews,


what


they


were


thinking


about


as the


incident


unfolded.


Both


the


interventions


and


reflections


were


coded


and


mapped


and


then


compared.


The


change


facilitator


style


of each


was


then


overlayed


to discover


relationships.


A variety


of data


sources


were


used


answer


the


study


questions


on-site


observations,


taped


interviews,










end


of each


data


collection


period.


The


analysis


these


tapes


explained


Chapter


III.


The


Setting


The


interpretive


understanding


the


nature

context


this


within


study

which


required


the


special


investigation


occurred.


Implicit


the


interpretive


research


paradigm


the


belief


that


the


phenomena


and


the


interactions


are


influenced


the


context


within


which


they


occur.


integral


component


of qualitative


studies


a description


the


context


which


houses


the


investigation


(Van


Maanen,


1979).


Following


a brief


description


the


setting


within


which


this


study


occurred.


more


detailed


description


presented


Chapter


III.


The


urban


district


area


chosen


the


southeastern


investigation


United


States.


was


The


a large


district


boundary


was


contiguous


with


the


county


which


contained.


More


than


255,000


students


attended


the


schools


this


predominantly


minority


area.


these,


were


hispanic,


were


black,


were


non-hispanic


white,


and


were


other.


The


system


experiencing


a growth


10,000 t

of large


o 15,000

urban a


students


areas


per


applied


year.


the


Many


characteristics


district,


a system


which


embraced


both


urban


and


suburban


community


es.


The










most


urban


areas


where


these


concerns


prevail,


society


turned


The


the s

school


schools

system


to solve


the


initiated


issues.


a school-based


management


effort


1975,


but


the


board


rejected


full


implementation.


was


not


until


the


early


1980s,


with


the


renewed


interest


effective


schools


and


school


improvement,


that


the


board


reconsidered.


In 1985-86


the


board


formed


a committee


create


a shared


deci


sion-making


concept


the


district.


Any


school


could


apply


become


a pilot


school,


but


proposals


from


only


32 schools


were


selected


for


the


pilot.


From


those,


three


schools


representative


of elementary


schools


any


large


urban


area


were


chosen


for


this


study.


The


three


sites


data


collection


this


investigation


were


typical


urban


schools.


The


students


attendance


at the


three


sites


were


not


remarkable


comparison


to other


urban


school


students.


The


principals


were


typical


that


they


dealt


with


problems


most


urban


large


suburban


school


administrators


face.


Because


the


environment


at each


the


sites


varied,


this


report


contains


a description


of each,


as well


as a


description


the


innovation.


An understanding


the


development


the


shared


decision-making


model


and


current


structure


the


district


provides


a framework


for










Definition


of Terms


Several


definitions


were


formulated


to provide


clarity


this


study.


Chance


facilitator


style


refers


the


distinctive


manner


behaving


which


combines


motivations


and


intervention


behaviors


during


change


implementation


(Hall


Hord,


1987,


. 220).


Incident


interventions


are


those


interventions,


behaviors,


which


are


moment-by-moment


and


day-by-day


actions.


Interventions


were


coded


on an instrument


called


the


Intervention


Coding


an analytical


instrument


used


analyzing


the


interrelationships


between


interventions


and


analy


zing


the


internal


parts


of each


intervention.


The


incidents


were


grouped


to form


tactics,


collections


incidents


such


as workshops,


meetings,


etc.


(Hall


& Hord,


1986).


Strategies,


or major


action


groups


designed


accomplish


the


particular


philosophy


change


process


or assumptions


the


objectives,


change


reflect


facilitator.


Grouping


pattern,


incidents


or configuration,


into

based


strategies revealed

on grouping and


categorizing.


Form,










experience


which


has


already


occurred


and


of which


they


were


a part,


was


used


(Kagan,


1972).


Data


revealed


the


extent


strategic


linkage,


or a


system


linking


day-to-day


interventions


long-term


goals


and


visions.


Strategic


sense


refers


the


dynamic


imaging


and


proactive


planning


which


characterizes


more


effective


principals.


Other


terms


used


are


found


within


the


area


reflective


practice.


Informed


intuition


enlightened,


instinctive


knowledge


(Schon,


1987).


Reflectivitv


mental


consideration


which


characterized


a visionary


planning


perspective


and


oriented


toward


judgment


overall


impact


(Hall,


1987).


Although


some


definitions


of reflectivity


include


the


characteristics


content


and


attitudes


(Ross,


1988) ,


this


study


primarily


focused


on the


process.


Reflection-in-action


refers


thinking


back


on what


one


has


done


order


to discover


how


one


s knowing-in-


action


may


have


contributed


an expected


or unexpected


outcome


(Schon,


1987).


The


process


of reflectivity


can


lead


to reflective










intuition


as professional


knowledge


created


use


response

The


unique


change


practice


innovation


problems

studied,


(Sergiovani,


1987).


school-ba


manaaement/shared


decision


making,


a model


education


which


characterized


site


control


of all


resources


a group


of people


located


the


site.


Assumptions.


Delimitations,


and


Limitations


Assumptions


This


study


was


limited


an investigation


one


innovation


during


the


first


year


implementation.


The


assumptions


upon


which


this


study


was


predicated


were


the


participants


investigator


would


would


not


open


bias


and


honest;


responses


the


the


wording


ordering


of questions;


the


amount


increase


principal


reflection


about


interventions,


any,


as a


result


the


data


collection


activity,


would


be similar


subjects


the


study;


principals,


with


stimulus,

reflective


continue


could


reconstruct


process;


lead


and

ways


the

the


that


key


features


selected


are


their


principals


characteristic


would

their


identified


change


facilitator


style.


Delimitations


To assist


focusing


the


investigation,


delimitations










only


the


investigator


collected


data,


and


the


study


was


planned


to construct


a framework


explain


reflection


relation


to intervention


behavior


and


the


framework


change


facilitator


styles.


Limitations


Several


limitations


were


inherent


this


investigation.


They


were


the


subjects


were


volunteers,


the


study


was


bound


time


the


periods


from


April


to June,


the


study


was


limited


one


urban


district,


only


one


principal


was


selected


to represent


each


style,


the


personality


of each


principal


could


complicate


job


style,


responsibilities


only


were


one


phase


considered,


the


the


subjects'


findings


are


set


forth


only


as they


relate


this


study,


interpretations


the


data


are


those


the


writer


and


may


not


be fully


congruent


with


those


of all


the


subjects


another


observer,


the


stimulated


recall


component


the s

codes


tudy

for


was

the


be design


somewhat


data-labeling


serve


unstructured,

d as flexible


the


guidelines


only


data


collection


purposes,


and


there


remains


lack


generalizability


beyond


a limited


population.


Organization


the


Document


Chapter


II contains


an extensive


review


the










In Chapter


a detailed


description


the


research


approach


and


design


provided.


Site


selection


and


the


data


collection


processes


are


included.


The


chapter


concludes


with


a discussion


the


processes


quantitative


and


qualitative


analyses.


In Chapter


IV the


innovation


of school-based


management/shared


deci


sion


making


described


as well


as a


detailed


description


of each


site


A description


the


climate


at each


site


developed


Chapter


V contains


the


results


the


investigation.


The


coding


of each


principal


s style


detailed.


The


quantitative


findings


are


presented.


The


behavioral


patterns


concludes


each


with


principal


a section


are


about


discussed


the


The


reflectivity


chapter


patterns


each


principal.


Chapter


VI contains


conclusions


and


implications.


The


research


findings


are


related


to previous


research.


Use


the


findings


and


recommendations


further


research


end


the


document.















CHAPTER


REVIEW


OF RELATED


LITERATURE


The


following


review


literature


somewhat


unique


due


the


nature


this


investigation


The


first


sections


are


relatively


independent


reviews


deemed


relevant


this


study.


Cognition,


reflection,


leadership,


and


change


form


the


foundation


this


investigation.


Equally


essential


the


understanding


the


study


the


use


qualitative


research


education


The


chapter


concludes


with


a discussion


this


methodology.


Cocrnition


Cognitive


processing


involves


mental


abstracting.


Posner


(1973)


revisited


Piagetian


theory


study


cognition.


He found


that


the


process


developing


mental


thought


patterns


enables


people


classify


information


into

and


prototypes.


organizing


These


prototypes


information


which


permit

allows


the


sequencing


people


make


judgments.


Although


exact


measurement


these


processes


not


possible


because


their


abstract


nature,


these


proce


sses


do lend


themselves t


o cognitive


mapping


(Posner,










through


a process


grouping


and


sequencing


until


pattern


emerges.


Historically,


analysis


thought


proce


sses


has


involved


the


study


memory


structures


used


to represent


information

structures


and


mental


(Posner,


operations


1973).


Human


performed


memory


upon


these


designed


abstracting


the


general


form


of events


which


used


as a


frame


reference


to act


reasonably


intelligent


the


future.


This


flexibility


provides


participation


the


changing


tapestry


of human


thinking"


(Posner,


1973,


137) .


According


to Posner


and


Keele


(1970),


people


develop


prototypes


or schema


which


are


basic


thought


patterns.


Even


when


given


distortions,


people


classify


them


"old"


patterns


because


they


approximate


a prototype


currently


stored


the


mind


the


individual.


Hedd


(1968)


suggested


that


prototypes


serve


internal


representations


of a whole


set


of individual


patterns,


and


that


these


patterns


are


subjective


experience


imagining.


Pattern


recognition


an important


aspect


of human


thinking,


but


more


complex


judgments


may


made


when


past


experience


formed


structures


which


enable


judgment


to be


made


without


conscious


processing


(Posner,


1973) .


The










Mental


operations


must


involve


more


than


recognition.


Information


must


be reorganized


to solve


problems,


develop


new


structures,


and


interpret


the


world


around


(Posner,


Fitts,


& Posner,


1968).


The


old


structures


not


disappear,


but


the


reorganization


process


new


structures


are


developed


which


are


then


coded


into


the


thought


patterns.


Cognitive


MaDDina


Thought


processes


are


not


observable,


i.e.,


directly


measurable.


However,


techniques


have


been


developed


various


fields


of psychology


that


allow


inferences


to be


made


about


the


thought


patterns.


"Cognitive


mapping"


method


of structuring


information


graphic


form


(Gold,


1984).


A cognitive


map


shows


a diagram


the


interconnectedness


ideas.


This


graphic


representation


the


text


thought


depicts


the


complexity


information


(Nummela


Rosengren,


1988).


Cognitive


organizing


mapping


information


which involved

produced a TOTE


sequencing


theory


and

problem


solving


(Newell,


Shaw,


Simon,


1958).


A TOTE


(Test-


Operate-Test-Exit)


unit


forms


the


unit


analysis


of processing.


The


individual


compares


his


present


state


with


a goal,


performs


an operation


which


will


move


him










Meyer


(1970)


suggested


that


people


make


two


assessments:


the


first


a global


and


effortless


comparison


the


elements'


similarities,


and


the


second


a more


deliberate,


thorough


operation.


use


cognitive


mapping,


researchers


have


found


that


the


more


complex


the


task,


the


more


likely


will


broken


down


into


serial


stages


(Posner


et al.,


1968),.


Problem


Solvina


Problem


solving


involves


systematic


use


mental


operations


according


to a plan.


The


kinds


plans


people


use


are


subject


to consciousness


and


memory


limitations.


People


the


sometimes


starting


are


point


limited


begin


memory


again


so they


(Posner,


return


1973)


solution


a problem


a representation


which


fits


within


the


limits


the


operational


memory.


Kolb


(1974)


developed


a four-phase


experiential


learning


cycle


which


consistent


with


the


information


cognition.


In Kolb'


theory,


the


effective


learner


needs


four


different


stages:


concrete


experience,


reflective


observation,


abstract


experimentation.


conceptualization,


He must


be able


and


to involve


active

himself


without


bias


in new


experiences,


must


be able


to observe


and


reflect


on these e


experiences


from


many


perspectives,










sense,


and


must


able


to utilize


these


theories


decision


making


and


problem


solving.


The


dilemmas


facing


the


learner


are


varied.


Acting


and


reflecting,


and


being


concrete


and


theoretical


at the


same


time


are


polar


opposites.


Kolb


theorized


that


the


learner

utilize


learning


selects


any


which

given


exist


set


situation


the


learning

n. Thus


first,


abilities


two


there


he will


dimensions


a continuum


with


concrete


experiencing


conceptualization


active


the


events


other.


experimentation


one


one


For

end


end


the


and


second


of the


abstract


dimension,


continuum


and


reflective


observation


the


other.


When


a learner


solves


a problem


or makes


a decision,


moves


varying


degrees


from


actor


to observer,


and


from


specific


involvement


cognitive


general


development


analytic


and


detachment.


learning


The


directly


amount


dependent


these


selection


factors.


Summary


Analysis


thought


processes


possible


through


the


study


of patterns


which


serve


organize


new


information.


These


patterns


assist


individuals


making


judgments.


Cognitive


mapping


a process


which


can


reveal


thought


patterns.


A model


thinking


developed


Kolb


shows










when


analyzing


problem-solving


processes.


These


processes


were


examined


sequences


the


this


inquiry


thoughts


discover


of each


the


clusters


three


and


principals


as they


intervened


to bring


about


educational


change.


Although


the


term


reflection


not


new,


current


redefinition


Reflection


a broad


term


which


has


recently


generated


interest


the


field


teacher


education.


use


as a topic


for


research


and


for


use


teacher


use


education


reflection


has g

their


ained


momentum.


programs,


but


Teacher

education


educators

1 leaders


have


only


recently


drawn


on this


concept.


Reflection


found


the


works


of early


humanists


who


incorporated


into


their


philosophies.


These


humanists


included


Sartre,


Camus,


Maslow,


and


Rogers.


Their


belief


was


that


choices


made


and


the


values


clarified


evidence.


realizing


are


The


himself


rarely


based


solution


on impersonal,


assist


as an individual


the


and


scientific


person


helping


him


actualize


his


potential


as an


individual


(Parsons,


1983).


In making


decisions,


individuals


find


room


for


initiative


and


responsible


choice,


and


develop


the


sense


of self


which


necessary


a productive,


actualizing


life.


The


Reflection










Another


perspective


which


includes


reflection


existentialism.


Living


an affair


risks


and


uncertainties


, and


individuals


must


choose


without


knowing


what


course


absolutely


right


or absolutely


wrong,


which


alternative


"better"


(Greene,


1967).


the


choices


the


individual


makes,


chooses


own


destiny.


The


actor


strives


to "become"


a world


uncertainty.


Reflective

personal c


inquiry


choices


focuses


he makes


on the

using p


individual


personal


and


values.


the

The


existentialist

individuality


encourages

(Parsons, 1


the


983)


growth

The


of free,


role


creative


reflection


broader


context


clear


the


following


description


Stein


(1969)


"The


human


position


the


paradoxical


one


of being


simultaneously


the


world


and


beyond


the


modalities


of being


absorbed


a situation


and


reflective,


bound


and


free,


with


others


and


alone"


747).


Existentialists


view


knowledge


not


as prescriptions


absolute


universal


, but


meaningful


only


when


the


individual


consciously


reflects


upon,


clarifies,


and


personally


values


(Parsons,


1983)


The


term


reflection


was


used


Dewey


(Archambault,


1964)


to define


an attitude


consisting


of open-mindedness,


whole-heartedness,


and


responsibility,


which


combines


with










judgment,


without


arrangement


reference


means


the


action,


selection


the


and


fundamental


fallacy


our


present


methods


dealing


with


[reason]"


(Archambault,


1964,


435).


Dewey


believed


that


mental


consideration


must


scientific


stream


nature


thought


and


becomes


used

the


inform


sequencing


practice.


ideas


The


and


chaining


occurs


so that


each


determines


the


other.


This


consideration


aims


a common


end


which


serves


to link


ideas.


a belief,


the

and


consideration


a linking


involves


viewing


justification


process


knowledge


which


results


a judgment


occurs,


then


the


process


referred


as reflective


thinking.


To Dewey,


reflection


inquiry


into


worth


which


commences


with


a state


doubt


ambiguity


to be resolved,


and


leads


to a searching


and


inquiring


to find


materials


or evidence


which


will


solve


the


problem.


Dewey


(1933)


stated,


"The


nature


the


problem


fixes


the


end


thought,


and


the


end


controls


the


process


thinking"


17) .


Dewey


identified


another


characteristic


of reflective


thought,


that


of intelligent


action.


Intelligent


action


becomes


possible


only


after


purposefully


considering


the


alternatives


action


before


the


mind


makes


possible.










consciously


attending


key


dimensions


the


situation


(Dewey,


1933).


Even


though


an idea


or object


may


be previously


unencountered,


what


present


hints


at previous


experiences,


and


subsequent


experiences


either


verify


negate


such


meaning.


The


limitlessness


this


type


thinking


produces


an equally


infinite


growth


potential


meaning


life.


With


this


freedom


thought,


however,


comes


the


capability


fallacious


thinking.


To avoid


this


pitfall,


a merging


of skill


reflective


thinking


and


sitive


attitude


which


powers


employment


must


cultivated


(Dewey,


1933).


Others


defined


have


reflectio


built o

n as "a


n Dewey


way


s work.

thinking


Ross

about


(1988)

educational


matters


that


involves


the


ability


make


rational


choices


and


assume


responsibility


those


choices"


26).


Her


model


of mature


reflection


involves


characteristics


three


component


areas:


processes,


attitudes,


and


content.


Ross


(1987)


helped


to clarify


the


dimension


reflection


a teacher


education


program.


She


described


mature


reflection


as having


three


components:


processes,


attitudes,


content.


The


process


ses


call


for


using


informed


intuition


to make


reasoned


choices.


The


necessary










of strategies


increase


self-knowledge,


knowledge


subject


matter,


and


a broad


range


of educational


environments,


practi


ces


, and


philosophical


orientations.


Parkay


(1982,


. 63)


affirmed


that


the


professional


personal


dispositions


indicate


the


professional


willingness


to undergo


a rigorous


intellectual


method


and


ultimately de

Zeichner


termines


the


Liston


quality

(1987) u


the


tilized


resulting


Dewey'


work.


concept


reflectivity


develop


a program


student


teachers


which


had


guiding


base


orientations


toward


responsibility


and


open-mindedness


and


skill


of acute


observation


and


reasoned


analysis


Ross


(1987)


and


Zeichner


and


Liston


(1987)


agreed


that


the


three


level


reflection


identified


Van


Manen


(1977)


were


valid.


The


first


level


identified


Van


Manen


(1977)


technical


rationality


The


primary


concern


thi


level


is applying


knowledge


to attain


an acceptable


end.


The


second


level


of reflectivity


involves


assess


ing


actions


relation


consequences.


level,


every


action


seen


linked


particular


value


commitments,


and


the


actor


considers


the


worth


competing


educational


ends"


(Zeichner


& Li


ston,


1987


, p.


the


third


and


highest


level


of reflectivity,


critical


reflection,


both


moral


and










Biting


and


Clift


(1988)


stated


that


reflection


calls


maintainingn]


a dynamic


perspective


that


incorporates


both


the


demands


the


present


with


the


wisdom


the


past"


12) .


Although


these


definitions


were


used


describing


the


goals


teacher


education


programs,


educational


leaders


are


also


responsible


for


making


rational


choices


and


assuming


responsibility


those


choices.


Others


have


shied


away


from


defining


reflection


but


have


and


developed


Sparks


premises


characteristics


(1988)


their


listed

teacher


several


the


phenomena.


attributes


education


which


program.


The


Simmons


served as

y defined


the


act


teacher


reflection


as one


which


"requires


being


able


move


across


the


typical


gap


. between


theory


and


practice;"


involves


the


"integrated


use


teacher p

beliefs;"


edagogical


involves


knowledge,


the


behaviors,


cyclical,


attitudes,


holistic,


and


and


nonlinear


use


of the


teacher


s cognitive


processes,


including


problem-setting,


factor


naming,


analysis


synthesis,


and


evaluation"


within


a frame


of deci


sion


making


which


leads


to action


and


further


reflection;


implies


a "constructivist


view


of pedagogical


knowledge,


meaning,


and


truth


for


the


individual,


a function










which


include


the


individual


s readiness,


his


level


metacognition,


professional


commitment,


and


self-efficacy,


and


enhanced


cognitive


mapping,


oral


and


written


think-aloud


exercises,


journals,


and


structured


interviewing


Simmons


about


and


events


Sparks


observed


(1988)


and


advocated


enacted


using


34).


these


premises


further


dialogue


and


research.


Other


researchers


have


expanded


the


list.


Ross


(1987)


found


some


these


as important


aspects


a literature


review.


Characteristics


found


the


educational


literature


reflection


were


the


ability


identify


and


analyze


problems


and


situations


terms


of significant


educational,


social,


and


ethical


issues;


the


ability


utilize


a rational


problem-solving


approach


educational


situations,


the


ability


to make


intuitive,


creative


interpretations


and


judgments;


and


the


ability


to take


action


based


on a personal


decision


and


to monitor


the


effects


that


action.


Parsons


(1983)


described


reflection


as dynamic,


problem


oriented,


introspective,


personal,


dialectic,


and


self-actualizing.


Vaughan


(1988) ,


with


a group


educators,


characterized


as having


a malleable


context


and


being


proactive,


extensive,


internally


controlled,










denotes


the


need


to address


reasoned


vision


and


meaningful


strategies


pursuing


improvements.


The


strategies


described

designed


as tactics

to achieve


are


carefully


important


and


coordinated


specific


and


are


objectives


and


goals


highly


valued


participants.


Vaughan


(1988)


addressed


the


importance


reflectivity


the


context


within


which


occurs.


Having


other


processes


necessary


reflectivity,


but


ignoring


the


context,


similar


to having


an architectural


design


a building


contribution


the


without


community


considering


needs,


the


building's


expectations,


and


standards.


These


characteristics


reflectivity


indicate


commonalities.


Three


aspects


are


highlighted


throughout:


the


individual


s attitude,


the


proce


and


the


content


involved


the


process.


A Reflective


Model


Kitchener


and


King


(1981),


however,


developed


a model


reflection


which


does


not


include


the


content


identified


these


teacher


educators.


their


model,


reflective


judgment


Each


involves


stage


a seven-step


a logically-related


sequential


network


development.


of assumptions


about


reality


and k


knowledge


which


serves


to justify










that


through


the


process


of rational


inquiry


knowledge


acquired,


and


that


justification


based


on a rational


evaluation


of evidence


and


interpretation.


one


end


the


model


Stage


Here,


knowledge


an absolute


objective


reality.


Beliefs


simply


exist.


There


no recognition


that


opinions


may


differ,


thus


justification


development


unnecessary.


Stage


The


this


highest


stage


stage


there


objective


reality


against


which


ideas


and


assumptions


must


tested.


Here,


knowledge


the


outcome


the


process


of reasonable


inquiry.


Beliefs


reflect


solutions


which


can


judged


according


to approximations


to reality.


Although


stages


contain


reflection,


Stage


7 exemplifies


mature


reflection.


Hall


(1987)


agreed


that


reflectivity


a process.


viewed


the


process


as one


which


the


practitioner


examines


his


role


as an instructional


leader,


critiques


his


actions,


and


assesses


his


actions


certain


ways.


To him,


the


content


important


that


provides


material


the


process.


His


label


of strategic


sense


synonymous


with


his


concept


reflectivity.


That


definition


the


one


which


guided


this


investigation.


Strategic Sense










day


interventions


with


long-term


goals


and


vision.


Hall


labeled


this


characteristic


strategic


sense


He proposed


that


a dynamic


on-going


self-examination


their


facilitating


activities


sets


the


more


effective


principals


apart


from


the


less


effective


ones.


The


concept


developed


characterized


a complex


level


reflectivity.


Hall

responders


identified

, managers,


three

and


styles


of change


initiators.


facilitator:


He postulated


that


responder-style


principals


are


primarily


attuned


to moment-


to-moment


events,


whereas


manager-style


principals


are


absorbed


accomplishing


administrative


and


organizational


tasks.


the


other


hand,


initiator-style


principals


appear


to have


a clear


focus


on the


long-term


vision


and


goals


they


have


for


the


school


and


maintain


targeted


movement


toward


those


ends.


Hall


and


Vandenberghe


(Hall,


1987)


found


that


initiator


style


principals


continually


mention


their


thinking


about


recent


intervention


actions


and


critique


their


actions


terms


how


they


went,


what


should


have


been


done,


what


was


accomplished,


and


what


they


should


next"


. 4-5).


This


dynamic


processing


interventions


the


initiator


style


principals


and t


heir


reflectivity










The


term


was


developed


to describe


the


vision


and


planning


some


principals


seem


to have


as a focus.


They


seem


sense


how


today


s behaviors


are


directly


linked


accomplishment


tomorrow


s goals.


Some


principals


appear


to view


their


actions


as a series


isolated


events,


whereas


others


are


reflective


about


what


they


are


doing


and


seem


sense


an interrelatedness


their


actions


integrated


perspective.


Hall


and


Vandenberghe


(1988)


viewed


strategic


sense


a dimension


which


runs


along


a bipolar


continuum.


one


the


continuum


"day-to-day"


focus,


while


sion


and


planning


the


other


end.


They


hypothe


sized


that


the


responder


style


principal


more


closely


aligned


the


day-to-day


end


and


the


initiator


style


principal


more


toward


the


sion


and


planning


end.


The


definition


of reflectivity


used


thi


investigation


one


which


involves


the


process


only.


The


content


and


principals


' attitudes


are


mentioned


enhance


understanding,


but


the


data


analyses


were


conducted


using


reflectivity


as a concept


which


increases


as vis


and


planning i

Reflective


increase.

Leadership


Analysis


reflection


relation


leaders


has


not










considered

incomplete


science


reflection

model. Al


to achieve


with


though


ends,


technical

technical


excludes


rationality

rationality


knowledge


to be

uses


that


contingent


on the


situation.


Schon


advocated


spontaneous,


intuitive


performance


of day-to-day


behaviors,


or reflection-in-action.


This


model


allows


research


action


or thinking


about


what


the


professional


practitioner


does


as he


does


intuitive,


spontaneous


performance


yields


no surpri


ses,


then


little


thought


given


the


event.


But


the


performance


yields


a surprise,


then


thought


, or reflection-on-action,


results.


This


may


also


be reflection-in-action,


or "reflective


conversation


with


the


situation"


. 31)


the


time


frame


permits.


Schon


refers


to this


restructuring


"on-the-spot


and


testing


surfacing,


intuitive


criticizing,


understandings


experienced


phenomenon"


26).


Sergiovanni


(1987)


cited


Schon


s reflection-in-action


his


work,


The


Princioalship:


A Reflective


Practice


Perspective.


Instead


of describing


a set


of discrete


leadership


skills,


Sergiovanni


presented


a global,


reflective

labeled im


view


plicit


the


mental


role


images


the


principal.


through


which


Sergiovanni


principal


view


reality


as mindscaPes.


Instead


of providing


the










Because


this


perspective


relatively


new,


little


attention


has


been


given


thi


aspect


of leadership.


Sergiovanni


contended


that


reflective


principals


are


charge


their


profe


ssional


practice


and


actively


engage


reflection


to deal


with


uncertain,


unstable,


complex,


and


varied


situations.


Leithwood


and


Stager


(1987)


also


drew


on Schon'


work


the


area


of administration.


They


wrote


about


the


decis


ion-making


processes


which


administrators


must


engage.


Many


the


problems


administrators


must


solve


appear


to be well


-structured


problems


inside


the


black


box.


But,


according


to Leithwood


and


Stager,


many


the


situations


administrators


face


are


not


clearly


defined.


major


task


then


becomes


looking


the


"messy"


situations


and


clarifying


the


problem


and


the


values


at stake


seeking


a solution.


Even


after


these


issues


have


been


resolved,


there


remains


uncertainty


about


the


goals


to be


accomplished,


what


solution


process


adequate,


and


what


obstacles


are


likely


to be encountered.


In a study


principals


, the


researchers


found


that


"expert"


principals


were


distinguished


from


"non-expert"


ones


on several


dimensions.


The


experts


were


highly


flexible


and


more


able


to alter


their


interpretations


the


nature


the










obstacles


as sub-problems


to be solved.


The


remarkable


aspect


their


thinking


was


their


thoughtful


approach


reflection


on a problem


during


interpretation.


Summary


Reflection,


as discussed


thi


review,


has


various


definitions.


Several


characteristics


were


discussed.


Also,


the


humanistic


and


existentialist


beginnings


were


explored.


A discussion


of how


reflection


currently


viewed


followed.


the

The


literature

definition


and


teacher


used


this


education


study,


programs


reflectivity


as strategic


sense,


was


discussed


Reflection-in-action


terms


of leadership


was


summarized


The


review


concluded


noting


needs

the r


that


exploration.


eflectivity


reflective


In this


pattern


leadership


inquiry


of each


the

the


a new


field


researcher


three


which


examined


principals


discover


similarities


and


differences.


The


definition


investigation


referred


only


to the


process


and


not


the


concept


integrity


the


actors.


Leadership


Effective


school


are


effective


leaders.


Researchers


have


investigated


behaviors


these


leaders


and


have


found


some


common


characteristic


CS.


Major


reviews


synthesize


common


findings


these


studies.










Lezotte,


1979;


California


Department


Education,


1980;


Rutter

1971),


al.,


a common


1979;


Venezky


finding


was


and

that


Winfield,

strong le


1979;


Weber,


.adership


the


principal


or another


staff


member


was


clearly


associated


with


school


and


student


success.


Weber


Sweeney,


1982)


found


that


the


principal


and


his


leadership


style


appeared


the


significant


factor


school


success


because


the


effect


on the


tone


for


the


school


and


assuming


responsibility


instruction


and


allocation


resources


to reach


school


goals.


Madden


(1976)


reported


found


more


that


support,


effective


an atmosphere


schools


teachers


conducive


learning,


and


a principal


who


made


decisions


and


emphasized


achievement.


Edmonds


(1979)


found


that


effective


schools


have


leaders


who


promote


an orderly


, quiet,


and


generally


businesslike


atmosphere


for


the


school;


who


frequently


monitor


pupil


progress


who


ensure


that


the


staff


recognizes


and


fulfill


responsibility


for


effective


instruction


pupils;


who


clearly


stated


goals


and


objects;


who


develop


and


communicate


a plan


dealing


with


reading


and


mathemati


achievement


problems;


and


who


demonstrate


strong


leadership


with


a mix


of management


and


instructional


skills.










studied


schools


and


found


that


three


components


influenced


school


the


social


variance i

structures,


.n tes

and


scores:


school


school


climate.


inputs,

Effective


principals

notice, ac


frequently


tively


observed


advocated


classes


student


without


achievement,


prior

supported


cla


ssroom


instruction,


and


encouraged


teacher


attendance


workshops


aimed


at increasing


teaching


effectiveness


In another


major


study


Rutter


and


others


(1979)


studied


three


1,500


years.


junior


Their


high


school


findings


students


showed


that


London


achievement


higher


when


the


school,


rather


than


the


individual


teacher,


sets


expectations.


School


cohesion


and


high


academic


expectations


characterized


effective


schools.


One


of the


most


significant


analyses


recent


principal


study


findings


based


on 17


survey


studies,


case


studies,


and


combined


survey


and


case


studies


(Leithwood


& Montgomery


(1982).


The


role


the


principal


with


regard


to leadership,


management,


and


administration


was


studied.


They


looked


"typical"


and


"effective"


principals


numerous


leadership


studies.


They


found


that


effective


principals


have


as their


major


goal


the


cognitive


growth


and


happiness


of students.


Shared


decision-making,


strong


community,


staff


, and


school


system


bonds,










who


are


effective


are


able


define


priorities


which


focus


on the


central


mission


the


school


and


garner


support


from


stakeholders.


Other


reviews


supported


these


findings.


Cotton


and


Savard


(1980)


found


effective


leadership


behaviors


include


frequent


classroom


observation,


clear


communication


high


expectations


the


staff


and


the


instructional


program,


decisions


instructional


about


program,


curriculum,


and


active


coordination


involvement


the


program


evaluation.


Persell


and


Cookson


(1982)


added


these


the


characteristics


of being


a forceful


and


dynamic


leader,


creating


order


and


discipline,


and


using


time


well.


This


section


has


contained


a review


literature


effective


principals


to discover


common


characteristics.


Effective


leadership


behaviors


were


listed.


Attempts


synthesize


the


findings


have


been


successful


producing


clear


picture


characteristics


effective


were


used


leader.


These


identification


the


effective


change


facilitator


this


inquiry.


Chance


Models


For


schools


improve,


they


must


experience


change.


How


this


change


addressed


determines


the


extent


to which


the


school


will


improve.


Much


attention


has


focusedd


on the










directly


with


school


change


and


the


role


the


principal


and


other


change


facilitators.


Many


the


earliest


model


were


compiled


and


category


called


Havelock


the


Social


(1973)


Interactions


One

Model.


major


cluster


In thi


mode


Havelock

1 change


viewed


as a five-phase


adoption


process


which


assumes


that


the


change


already


fully


developed


and


ready


implementation.


The


stages


are


awareness,


interest,


evaluation,


trial,


and


adoption.


The


major


responsibility


the


change


age,


or "innovation


champion"


(Have lock,


1971,


during


the


initial


stages


awareness


and


interest.


In this


model,


the


change


agent


not


emphasized


as playing


a dominant


role


bringing


about


the


change.


Havelock


s second


model


the


Research,


Development,


and


Diffusion


Model


(RD&D)


In thi


model


change


viewed


as an orderly


, sequential


pro


cess


which


evolves


through


research,


development,


packaging,


and


dissemination


stages.


The


change


accepts


the


recipient


innovation.


viewed a

Efforts


s a passive


are


consumer


concentrated


who

the


diffusion


end


and


little


attention


given


helping


the


consumer


learn


how


use


the


innovation.


The


Problem


Solver


Model


was


Have lock'


third










applied,


the


most


important


role


the


change


agent.


Here


the


change


agent


functions


as a facilitator


instead


an expert.


A fourth


patterns


change


the


model


business


was


world.


developed

Schmuck,


from


change


Runkel,


Arends,


Arends


(1977)


are


key


references


this


model.


This


model


assumes


that


the


dynamics


the


group


are


the


primary


source


of problems


relating


to change,


and


also


the


major


source


solutions


In this


model


the


focus


the


group


not


on the


individuals


within


the


group.


Change


occurs


when


subgroups


within


the


organization


adopt


the


change.


Assumptions


this


model


include


strong


support


from


top


management


and


principals


assure


successful


implementation,


adequate


time


the


change


to be


introduced,


and


the


guidance


trained


consultants


during


the


process.


A fifth


model


change


which


Havelock


proposed


the


Linkage


Model.


In this


model


the


role


the


change


agent


facilitate


change


mediating


a communication


network


between


the


sources


innovations


and


the


users


(Paul,

linking


1977).


In education,


organizations


and


this


model


individual


users


often

with


used


resource


systems


which


produce


new


products.


Personal


interaction










to persuade


and


help


others


use


the


product


must


extensive.


The


trust


and


perception


competence


the


facilitator


establishes


early


during


the


collaboration


foster


the


linkage


system


which


serves


the


needs


the


user.


The


Rand


Change


Agent


Study


(Greenwood,


Mann,


McLaughlin,


1975)


the


1970s


suggested


that


change


evolves


through


three


stages:


initiation,


implementation,


and


incorporation.


The


implementation


stage


character


adaptive


planning


and


staff


training.


Implementation


was


contingent


on organizational


climate,


motivation


the


participants,


implementation


strategies,


and


the


scope


the


change.


Where


principals


actively


supported


change,


teachers


more


readily


accepted


and


the


projects


were


more


successful.


Hall


and


Hord


(1984)


found


that


the


level


the


teacher


s concern


an important


consideration


the


change


process


principals


education.


as they


intervened


Hall


to bring


Hord


about


(1984)


change.


studied


The


actions


and


events


that


influenced


teachers'


use


the


innovation


formed


the


basis


for


the


change


facilitator


efforts.


These


interventions,


or actions,


on the


part


principals


bring


about


change.


Hall


and


Hord


developed


and










implementation


of change.


Change


was


studied


using


the


smallest


unit


interventions,


the


"incident"


intervention.


Incidents


were


grouped


together,


categorized,


labeled


The


analysis


and


flow


these


were


considered.


From


thi


they


developed


their


change


model,


the


Concerns-Based


Adoption


Model


(CBAM),


which


has


seven


stages


concern.


The


first


stages


the


CBAM


model


are


self


-focused


awareness


level


Here


concern


about


how


the


innovation


will


impact


the


user


on a personal


level


uppermost.


The


next


stages


focuses


on accomplishing


the


task.


The


last


three


stages


address


concerns


about


impact


using


the


innovation.


Successful


implementation


the


innovation


contingent


upon


successfully


addressing


the


concerns


the


user


the


appropriate


level.


Based


on past


research,


key


assumptions


underlying


the


CBAM


model


are


that


change


is a process;


the


primary


focus


the


interventions


should


the


individual;


change


is a personal


experience;


stages


and


level


the


change


process


can


identified;


the


change


facilitator


needs


to work


an adaptive


and


systemati

of where


manner;


individual


and


when


users


are


the

the


change


process,


agents


they


are

can


aware

more










Change


Facilitator


Styles


Another


influence


on the


degree


implementation


success


the


style


the


change


facilitator.


Thomas


(1978)


identified


three


patterns


of principal


s behavior


which


relate


to facilitation


success:


directors,


administrators,


and


facilitators.


The


directors


were


interested


aspects


the


school


and


were


the


final


authorities


the


school.


The


administrators


identified


with district

and managed


management


decisions


rather


which


than


affected


their

the s


own


school


faculties

as a whole


but


not


classrooms.


The


facilitators


developed


collegial


relationships


and


empowered


teachers


with


decision-making


abilities.

facilitators


Thomas

had 1


found


ess


that


difficulty


administrators


managing


and

alternative


programs.


Hall,


Rutherford,


Griffin


(1982)


found


styles


similar


those


Thomas


labeled,


but


they


described


them


initiator,


manager,


and


responder.


Initiator


style


leaders


hold


clear,


decisive,


long-range


goals


for


their


schools


and


keep


stakeholders


programs


moving


toward


those


goals.


They


are


creative,


hold


high


expectations


all,


and


monitor


those


expectations


through


constant


interventions.


Manager


style


principals


are


efficient










Manager


style


principals


are


efficient


administering


their


school


and


protect


their


teachers.


They


seldom


delegate


but


when


they


they


closely


monitor


what


the


designee


doing


rather


than


work


with


him


or leave


him


alone.


The


responder


style


principal


scores


high


relationship


and


tends


to delay


deci


sions


get


as much


input


as pos


sible.


Responders


see


their


primary


task


maintaining


a smooth-running


school


and


often


sacrifice


long-range


initiator


goals


the


for

most


immediate

effective


ones.

change


Clearly,


the


facilitator


(Hall


Hord,


1987).


Hall


and


Vandenberghe


(1988)


drew


on interviews


with


initiator


style


principals


to describe


the


"noodling


around"


these


principals


seem


to continually


and


labeled


it strategic

principals a


reflecting


sense.


During


pattern


discussions


thinking


on a conversation


with


emerged


with these

which involves


a teacher,


critiquing


actions,


speculating


on what


should


have


been


done,


evaluating


what


was


accomplished,


and


focusing


on what


should


be done


next


These


thoughts


about


actions


are


linked


together


with


their


interventions


a deliberate


sense


so that


interventions


cluster


and


evolve


into


tactics


and


ultimately


into


strategies


achieving


longer


range










Summary


Six


change


models


were


discussed


along


with


a major


study


on change.


Teacher


concern


and


the


style


the


change


facilitator


exert


major


influences


on the


implementation


success


the


change.


In terms


teacher


success


with


change,


the


most


effective


change


facilitator


style


initiator


who


sorts


through


new


ideas,


sets


goals


to reach


his


vis


ion,


and


works


move


the


school


towards


that


model.


this


inquiry


the


three


principals


represented


three


change


facilitator


styles


that


researchers


have


identified.


Qualitative


Research


Education


Movement


toward


educational


research


as a science


began


the


late


19th


and


early


20th


centuries


(Giarelli


Chambliss,


1986,


34) .


As part


that


movement,


philosophy


of education


as a distinct


scipline


arose.


Three


views


that


research


emerged:


education


could


become


a science


research


were


treated


inductively;


education


could


serve


to complete


the


work


the


natural


sciences


conclusions


arise


discovering


the


educational


reason


sciences;


and


and


contexts


justification


educational


the


role


the


ideas


of science


test


the


meanings


those


ideas


(Giarelli


Chambliss,










research


the


field


(Giarelli


& Chambliss,


1986,


34) .


Identification


the


problem,


generation


hypotheses,


collection


of evidence,


and


generalization


findings


were


accepted


as steps


the


research


process.


the


first


or second


view


of educational


research


accepted,


this


methodology


becomes


a valid


means


conducting


research.


But


the


third


the


views


accepted,


then


rethinking


the


methodology


more


appropriately


gather


data


which


reflect


the


context


necessary


(Giarelli


& Chambliss


, 1986,


35).


Amidst


strong


controversy


a dichotomized


view


of educational


research


resulted:


quantitative


vs.


qualitative


(Howe,


1985)


The


differences


between


the


two


approaches


the


form,


focus,


and


emphasis


(Van


Maanen,


1979,


520)


The


choice


of a methodology


nature


phenomenon


indicates


which


assumptions


being


about


investigated


the


and


the


nature


knowledge


that


can


be developed.


Many


disciplines


have


an exacting


language


which


permits


quantification.


The


researchers


who


adhere


the


physical


science


model,


or normative


paradigm,


are


referred


as Dositivists


perspective,


(Howe,


descriptive


1985,


science


120)

must


From


this


be extended


to the










line


of reasoning


Comte


developed


has


influenced


research


philosophy


since


that


time.


Comte


Smith,


1983)


believed


that


all


sciences,


even


though


they


differ


a level


maturity,


are


on the


same


"track"


because


they


employ


essentially


the


same


methods


and


procedures.


viewpoint


advocated


that


the


researcher


maintain


a neutral


posture,


a position


which


includes


having


no bias


or preconceptions,


no emotional


involvement


toward


the


subject,


and


a movement


beyond


common-sense


beliefs


(Smith


& Heshusius,


1986)


The


positivist


searches


facts


and


causes


using


methods


such


as structured


observations,


counts,


surveys,


inventories,


demographic

quantitative


analyses

data (B


and


ogdan


other


methods


& Biklen,


which


1982


produce


For


the


positivist,


there


an absolute


truth


which


can


discovered


using


the


proper


research


techniques.


Dilthey


Smith,


1983)


was


one


the


first


challenge


thi


school


thought.


He contended


that


whereas


physical


sciences


dealt


with


inanimate


objects


that


could


viewed


outside


the


researcher,


the


field


social


sciences


dealt


with


human


emotions


and


values.


What


exists


the


social


world


what


people


perceive


exist.


Social


science


actually


the


pursuit


of self-










a continuous,


inseparable


process


which


there


was


beginning


and


no end


(Smith,


1983).


Howe


(1985)


aired


both


dogmas


educational


research


and


brought


the


issue


down


to researcher


bias.


He stated


that


the


epistemological


justification


efforts


arose


from


attempts


"truth,


to avoid

an empha


bias.


was


the


placed


search


on control


value-free

variables,


objectivity,


reliability


measures,


and


independence.


Howe


pointed


to the


fallacy


thi


type


thinking


used


intelligence


tests


as an example.


The


test


score


given


as a quotient


intelligence.


according


him,


the


product


of a subjective


measurement


of cultural


awareness.


"Intelligence


ass


ociated


with


an array


valued

In view


capabilities


what


and

terms


activity


the


es" (Howe,


inability


1985,


to bracket


or ignore


value


issues,


call


for


them


to be


rationally


justified.


Thi


requires


the


researcher


to acknowledge


what


biases


brings


to the


investigation.


The


interpretive


paradigm


has


been


supported


many


authorities


the


field


(Eisner


, 1981;


Giarelli


Chambli


1986;


Koch,


1976)


They


view


how


people


behave


as phenomenological


and


SOC


ially-interactionist


rather


than


in accordance


with


an established


set


of rules


(Bogdan










Such


a perspective


means


that


social


research


context-


bound,


and


any


attempt


separate


the


two


would


result


artificial


data


since


there


no external


social


reality.


Shimahara


noted


that


human


behavior


cannot


understood


isolated


from


the


context


(Sherman,


Webb,


Andrews,


1986,


Inquiry


a questioning


searching


with


intent


which


bounded;


cannot


abstracted


(Giarelli


& Chambliss,


1986,


. 2).


The


context


within


which


the


inquiry


occurs


natural


and


must


taken


Moreover,


the


experience


must


taken


a whole.


Thus


the


researchers


must


"cultivate


sensitivity


to situations


as a whole


and


the


qualities


that


regulate


them"


(Giarelli


& Chambliss,


1986,


Ross


(1987)


reiterated


that


the


focus


must


on the


nuances


and


underlying


complexities


the


experience.


Mishler


(1979)


pointed


the


myopic


focus


researchers


who


tend


to behave


context


were


the


enemy


understanding,


rather


than


the


resource


understanding


which


everyday


life.


He pointed


the


mistaken


belief


that


experimental


laboratories


are


context-free


settings.


Laboratories


are


a particular


type


of social


setting


with


their


own


specific


contextual


effects


on the su


objects.


Mishler


compared


the


researcher










can


produce


an obviously


true


hypothesis


ingenious


manipulation.


Before


inquiry


there


a question,


and


before


the


question


there


"qualitative


an aesthetic


thinking"


(Giarelli


activity,


an activity


& Chambliss,


1986,


called


35).


All


questions


arise


from


a situation


or context.


According


to Giarelli


and


Chambliss


(1986) ,


Qualitative
thinking by


and


analyzed


phases o
defining
quality


qualitative
that it "ci


integrates it
quantify those
violate their


the


thought s
mediating
parts.


f experience


parts


the


situation


thought


brings


rcumscribes


internally.


dimen


sions


ets


the


between


This
and


conditions


unanalyzed


thought makes
inquiry hang t


reference


the


as a whole.


rigor to
externally


for


wholes
the


together b
pervasive


Thus,
inquiry
and


. To attempt


of experience


to
to


nature.


To Eisner


seeks


(1981)


discover


inquiry


qualities,


qualitative


to describe,


that


interpret,


predict,


or control


qualities.


Qualitative


inquiry


becomes


a broad


term


which


refers


to research


with


several


characteristics


(Bogdan


& Biklen,


1982)


data


are


collected


within


the


setting


under


study,


the


researcher


the


main


instrument,


data


are


descriptive,


the


process


rather


than


the


product


the


focus,


analysis


understanding


the


of data


inductive,


perspectives


the


and


subjects










naturally


occurring


phenomena


the


social


world


(Van


Maanen,


1979,


520).


Quantitative


research


seeks


discover


the


"laws"


which


govern


social


interaction,


whereas


qualitative


research


offers


an interpretive


framework


for


understanding


which


cannot


be pursued


the


absence


context.


qualitative


research,


meaning


socially


and


historically


bound,


both


the


investigator


and


the


investigated


(Van


Maanen,


1979,


. 12) .


Qualitative


research


ess


concerned


with


discovering


the


truth


and


more


concerned


with


the


creation


meaning


and


images


which


people


find


meaningful.


From


this


meaning


people


verify,


alter,


and


reject


views


(Eisner,


1981).


The


choice


which


research


methodology


should


used


becomes


an epistemological


issue.


This


researcher


selected


a qualitative


approach


this


investigation


since


one


the


purposes


was


to develop


an understanding


of principals


' behaviors.


A quantitative


component


used


only


to enhance


that


understanding.


Summary


In this


chapter,


five


areas


of literature


were


discussed:


cognition,


reflection,


leadership,


change,


and


qualitative


research.


Chapter


contains


an explanation















CHAPTER


CONDUCTING


THE


INVESTIGATION:


RESEARCH


PROCEDURES


Introduction


The


purpose


this


study


was


to examine


principal


intervention


behaviors


and


related


thought


processes


that


occur


during


implementation


of school-based


management/


shared


decision


making


(SBM/SDM).


Three


principals


with


different


change


facilitator


styles


were


selected.


Information


was


collected


about


the


thoughts


the


principals


had


before,


during,


and


after


interventions


and


how


the


SBM/SDM


interventions


were


linked


to a vision


the


leader


had


school.


This


investigation


was


undertaken


to discover


the


similarities


differences


thought


patterns


principals


as they


intervened


bring


about


change.


One


the


major


components


that


must


be addressed


investigation


this


type


justification


for


the


method


of research.


This


chapter


begins


with


a statement


the


rationale


the


approach


developed


this


investigation


A description


the


design


the


study,










shared


decision


making


included.


The


processes


of data


collection


and


analysis


are


detailed


enhance


understanding


the


study


strategies.


ADDroach


to the


Investigation


This


topic


required


a methodological


approach


that


was


less


constricting


than


the


empirical


paradigm


(Bogdan


Biklen,


guide


1982).


this


A preformulated


investigation


hypotheses


three


was


reasons


not


the


used


absence


verified


theory


about


principal


reflectivity,


the


lack


of empirically


considerations


documented


of administrators


constructs


as they


about


the


implement


change,


and


the


lack


of connections


their


overt


behaviors


vision.


Therefore,


study


questions


were


used


to guide


the


investigation


and


provide


a focus


for


the


data


collection


process.


A qualitative


orientation


emphasizes


three


components:


sociocultural


patterns,


cultural


events


as they


are


understood


the


actors,


and


investigations


natural


settings


(Shimahara,


components,


1986,


natural


65) .


setting,


The


has


latter


become


the


these


focus


controversy


among


researchers.


Positivists


call


researcher


to bracket


the


values


he brings


to the


inquiry


and


collect


only


facts.


Howe


(1985)


discussed


the


fallacy










stated


that


tend


behave


context


were


the


enemy


of understanding


which


rather


our


than


everyday


the r

lives"


source


understanding


Ross


(1987)


stated


that


qualitative


descriptions


"should


transport


the


reader


to the


scene,


convey


the


pervasive


qualities


characteristics


the


phenomenon, a


evoke


the


feeling


and


nature


educational


experience"


21).


Giarelli


and


Chambliss


(1986)


stated


that


perceptual


fields


are


experienced


as wholes.


Ross


(1987)


supported


the


view


that


the


unity


of experience


an aim


qualitative


research.


this


understanding


implementing


study


the


the


the


researcher


ways


complex


which


multi


pursued


a holistic


principals


-faceted


about


innovation


school-based


management/shared


decision


making.


To address


the


was


guiding


selected


research


as the


questions,


most


a qualitative


appropriate


methodology


technique


collecting


data.


A cross-site


descriptive


case


study


design


was


selected.


Because


the


data


analysis


required


varied


techniques


to give


a comprehensive


understanding


the


central


issues,


both


qualitative


and


quantitative


methodologies


were


used


for


the


analysis.


Protection


of Human


Subjects










this


research


approval


board.


Participation


was


voluntary


and


anonymous,


and


no subject


was


placed


at risk.


Even


the


researcher


met


with


the


district


administrators


to discuss


the


study.


The


researcher


also


met


with


each


subject


to discuss


the


study,


the


demands


placed


on each


principal,


the


forms


which


were


used,


and


each


subject


s responsibility


the


inquiry.


Assurances


anonymity


were


given


to the


district


administrators


and


the


participants.


Each


subject


was


given


an overview


the

the


study.

inquiry


All

were


questions

addressed


the


participants


openly


Then,


had

each


regarding

principal


involved


the


study


completed


an informed


consent


letter


copy


this


letter


found


Appendix


A coding


system


was


devised


which


provided


participant


confidentiality


Names


individual


and


their


school


were


removed


from


the


data.


Design


the


Inve


stiaation


The


processes

literature


design


the


review,


thi


investigation


interpretive


the


research


guiding


was


guided


paradigm


questions


the


, by


which


the


focused


investigation,


and


the


earlier


studi


of principal


interventions


and


change


facilitator


styles


Hall,


Rutherford,


and


Griffin


(1982)


and


Hall


and


Vandenberghe










The


goal


this


study


was


explain


principals


reflections


about


their


interventions


during


implementation


of school-based


management/shared


decision


making.


The


study


addressed


three


components:


documentation


and


analysis


the


principals'


intervention


behaviors;


thoughts


which


went


on before,


during,


and


after


the


overt


behavior;


and


an analysis


the


relationship


between


the


two.


the


classical


ethnographic


way,


the


researcher


described


the


culture


as much


detail


as possible


without


the


use


of structured


questionnaires


(Bailey,


1982).


The


flexibility


this


method


allows


permitted


the


researcher


focus


on the


implementation


of school-based


management/


shared


deci


sion


making,


while


collecting


the


richest


possible


data


(Lofland


& Lofland,


1984,


11).


A wide


array


data


sources


and


evidence


were


available


to the


researcher.


Using


this


open-ended


approach,


she


was


able


take


notes


on the


context,


on council


meetings,


observe


principals


interactions


with


parents,


students,


faculty,


central


administration,


ask


interview


questions,


collect


artifacts,


and


attend


staff


meetings.


Lofland


and


Lofland


(1984)


advocated


ethnographic


data


collection


two


reasons:


face-to-face


interaction










"take


the


role


the


other")


order


to acquire


social


knowledge


In addition


to observation,


the


study


design


incorporated


unstructured


intensive


interviewing


interviewing,


(Lofland


a method


& Lofland,


also


1984)


known


Thi


technique


Lofland


and


took


and


the


Lofland


interviewing


are


form


of Kagan


(1984,


mutually


s Stimulated


believed


complementary


that


and


Recall.


observation


that


classic


observation


always


involves


looking


and


listening,


watching


and


asking.


Kolb


the


s cycle


conceptual


cycle,


of experiential


design


experiential


learning


(1974)


investigation.


learning


a four-stage


cycle


formed


the


Kolb


which


begins

of the


with c

event.


concretee


Thi


experience,


proceeds


or the


to stage


direct


two,


experience


or reflective


observation


where


one


reflects


on the


experience


and


considers


main


features.


The


third


stage,


abstract


conceptualization,


allows


making


sense


of and


developing


meaning


the


event.


The


final


stage,


active


experimentation,


action


based


on interpretation.


This


study


investigator


attempted


addressed


to analyze


all


the


four


first


stages


stage,


thi


concrete


experience,


or as Hall


(1987)


labeled


"interventions,










Kolb


s cycle,


abstract


conceptualization.


If principals


conduct


thi


step


a certain


manner,


they


link


goals


the


interventions


a strategic


way.


The


results,


active


experimentation,


form


the


basis


new


concrete


experiences


which


begin


the


cycle


again.


The


study


was


a multiple


site


investigation


within


urban


area.


Three


elementary


school


principals


who


had


been


nominated


their


ass


istant


superintendent


participated


the


study


The


subjects


were


observed


their


natural


studying


environment


behavior


which


According


occurs


to Bailey


natural


(1982),


environment


a major


advantage


of observation.


Five


days


at each


site


over


a period


10 weeks


during

as data


a critical

collection


phase


the


periods.


change


Each


implementation


principal


was


served


shadowed


and


intervention


behaviors


were


documented.


As part


the


field


work,


a set of critical


incidents


was


selected


the


end


of each


data


collection


period


and


the


principals


were


asked


to recall


depth


what


they


were


thinking


about


as the


incidents


unfolded.


The


interventions


were


coded


using


Hall


and


Hord


(1987)


change


codes


, and


quantitative


statistics


were


produced


to enhance


the


meaning


the


data.


While


the










The


concrete


data


were


analyzed


using


quantitative


methods,


but


the


considerations


and


behaviors


were


analyzed


using


qualitative


techniques.


Although


some


prominent


theorists


condemn


using


quantitative


and


qualitative


methodology


a study


fear


of doing


a thorough


job


neither


(Miles


& Huberman,


1984),


Eisner


(1981)


believed


that

the


all r

annual


research


American


qualitative.

Educational R


a paper


research


presented


Association


meeting


Boston


(April,


1981)


Eisner


said,


"There


can


no empirical


research,


that


form


of research


that


addressed


problems


a material


universe,


that


does


not


aim


describe,


According


interpret,


to Eisner


predict


(1981)


, or control


quantitative


qualities"


research


. 5).


which


not


firmly


planted


the


qualitative


will


serve


no useful


function.


Thi


study


incorporates


both


aspects


to give


deeper


understanding


the


meaning


the


data.


Mapping


techniques


were


used


build


patterns


both


behaviors


and


considerations


These


emerging


patterns


and


linkages


were


studied


to enhance


the


depths


of complexities


the


interventions.


These


were


then


compared


to each


other


and


the


change


facilitator


style


was


considered.


Together


the


quantitative


and


qualitative


analyses


yielded


a holistic


perspective


viewing


the


change


proce


ss.










change


aimed


at school


improvement.


The


research


question


which


guided


this


investigation


was:


In what


ways


are


principals


reflective


about


their


interventions


during


implementation?


Relevant


study


questions


were:


Are


principals


' interventions


linked


to broader


goals


that


they


have


the


school


How


intervention


behaviors


differ


among


these


three


principals


with


different


change


facilitator


styles?


What


are


the


characteristic


elements


and


patterns


of reflectivity


these


three


principals


Does


who


one


employ


particular


different


principal,


change


who


facilitator

exemplifies


styles?

a given


change


facilitator


style,


show


more


complex


reflectivity


Boundary


and


Focusing


The


deci


sion


about


the


limitations


and


boundaries


investigation


had


to be made


within


the


context


the


study


Those


limits


emerge


as the


problem,


the


specific


issues


, and


the


case


selected


are


considered


(Bogdan


Biklen,


1982;


Guba,


1981).


Traditional


research


has


clear


limitations


established


a priori,


but


emerging


boundaries


character


zes


qualitative


research


(Miles


& Huberman,


1984)


According


to Miles


and


Huberman


(1984,


37) ,


qualitative


research


is an investigative


process


similar


detective


work


which


gradually


makes


sense


a social










realistic


limits


to the


investigation


and


to assist


deciding


which


data


were


relevant.


The


site


chosen


had


to be


one


where


a major


innovation


education


was


an infant


stage


of implementation.


prevent


the


data


from


becoming


so overwhelming


as to be of


no significant


value,


a time


limit


10 weeks


was


set.


The


timing


had


to be exact


coincide


with


a critical


time


implementation.


For


this


investigation,


the


end


the


first


year


when


formal


formative


evaluations


were


being


conducted


and


reviewed


at each


site,


proposal


changes


the


following


year


were


being


decided,


and


reflection


the


year


retrospect


were


critical


times


which


served


further


focus


the


investigation.


Based


on the


literature


about


qualitative


research,


the


recommendations


the


dissertation


committee,


and


the


exploratory


nature


the


topic


under


study,


the


design


the


study


was


established


as flexible


and


evolving


rather


than


rigidly


predetermined


(Elliott,


1985).


The


guiding


questions


directed


that


observations,


interviews,


committee


reports,


and


council


meetings


serve


as sources


of data


the


study.


Subject


section


Awareness


that


statistical


inference


based


on the










to the


greater


population


(Ary,


Jacobs,


& Razavieh,


1985,


138).


For


this


study,


informed


nomination


the


assistant


superintendent


was


used


to designate


subjects


who


stereotypically


change

Griffin


seemed


facilitator


(1982).


to match


styles

ensure


the


labeled

maximum


prototypes


Hall,


"fit"


the


Rutherford,


between


three

and


the


designees

become fa


and


the


miliar


prototypes,


with


the


the


initiator,


projectt leader

manager, and


had


responder


types.


The

research


project


and


leader


change


was


knowledgeable


implementation.


His


educational


efforts


spearhead


the


school-based


management/shared


decision


making


model


which


was


being


investigated


had


produced


numerous


journal,


magazine,


and


newspaper


articles,


as well


as several


volumes


about


the


innovation


of shared


deci


sion


making


(District


Publication,


Press


Clippings,


1987-1988).


Nevertheless,


the


investigator


and


the


former


dissertation


committee


chair


met


with


the


project


leader


an exchange


information


about


the


innovation,


the


study,


and


the


requirements


the


three


subjects


selected


the


study.


During


that


exchange,


learning/teaching


atmosphere


was


established


and


the


conference


became


a workshop


for


the










dissertation


committee


inform


him


his


nominations.


These


subjects


served


to further


focus


the


investigation.


The


principals


the


schools


were


required


to meet


the


following


criteria:


experienced


administrators


(each


had


seven


or more


years


site-based


experience),


currently


charge


an elementary


school,


participating


the


first


year


implementation


the


SBM/SDM


model,


be identified


the


project


leader


as a


successful


change


facilitator,


and


selected


the


project


leader


as representative


one


the


three


styles


of leadership.


Interviews


Interviews


were


conducted


the


end


each


data


collection


day.


The


investigator


would


asic


the


administrator


to select


the


incident


which


had


occurred


during


the


day


which


he judged


to be


the


most


significant


the


implementation


the


SBM/SDM


model.


Using


Kagan


(1972)


stimulated


recall


techniques,


the


researcher


would


recreate


the


scene


verbally


for


the


administrator.


First


the


scene


before,


during,


after


the


intervention


were


objectively


described.


Then


the


principal


was


asked


relate


what


was


thinking


that


time.


As the


interview


evolved,


the


participant


was


asked


probing


questions t










situation,


was


asked


what


that


other


situation


was


and


how


was


similar.


was


also


asked


how


that


applied


the


situation


at hand.


purposes


later


analysis,


principals


were


asked


to think


about


their


considerations


before,


during,


and


after


their


interventions.


There


were


a total


face-to-face


interviews


and


telephone


interviews.


The


face-to-face


interviews


ranged


recorded


from


and


45 minutes


the


to 2


interviewer


and


took


hours.


notes


They


during


were


the


tape


process.


Telephone


interviews


were


also


conducted.


Documents


Several


documents


were


collected


from


each


site.


These


included


agendas,


letters


to parents,


descriptions


the


innovations,


copies


of correspondence


from


the


district


office,


evaluation


Information


forms,


collected


from


and memoranda

the project


to the

leader


staff.

included


volumes


on the


innovation,


newspaper


articles,


and


the


innovation


These


documents


were


used


to build


a base


understanding


the


innovation


Quality


Control


and


Credibility


Oualitv


control


the


qualitative


parallel


reliability


(LeCompte


Goetz,


1982).


According


to Ary,


Jacobs,


and


Razavieh


(1985),


reliability


"the


degree










Validity


is concerned


with


the


extent


to which


instrument


Jacobs,


(1982)


measures


& Razavieh,


interpreted


reliability


the


what


one


1985,


the


same


thinks


. 213)


basic


way


concepts


both


measuring


LeCompte


and


validity


quantitative


(Ary,


Goetz


and


and


qualitative


inquiry


of explanations


and


the


reliability


. 43)


world


becomes


. Validity


the


a matter


becomes


actual


a matching


conditions


of replication


for


both.


these


concerns


are


accepted


the


investigator,


then


the


investigator


must


also


accept


assumptions


about


external


truths.


According


to Smith


and


Heshusius


(1986),


If,
from


on the


other


an idealist


definitions


Such


are


a conceptua


hand, on
stance a
impossible
lization


e conceptualizes
s mind-dependent


to bring


disallows


into


what


reality
, these
focus.
s


necessary to
explanations
independent


determine
correspond


access


to both


whether


or not


to actual


our


our


conditions--


minds


and


independently


existing,


uninterpreted


reality


Validity
conferred


best


on one


thought


explanation,


as an "honorific"


from


among


others,


with


which


one


agrees


Inquiry


the


interpretive


paradigm


epistemologically


different


from


inquiry


the


empirical


paradigm

paradigm,


(Smith


validity


Heshusius,

becomes a


1986)


i label


In the


interpretive


an interpretation


which


grounded.


According


to Taylor


(1971),


there


circularity


the


process


because


the


hermeneutical


. 7)










qualitative


research


will


more


likely


be approached


than


achieved.


The


importance


the


context


qualitative


inquiry


and


the


impossibility


to reconstruct


precisely,


or to produce


exact


replication


of research


methods


achieve


the


same


results


attest


to the


unachievability


reliability


With


these


conceptual


differences


stated,


justification


the


quality


the


data


can


be addressed.


Using


the


concerns


that


LeCompte


and


Goetz


(1982,


listed


qualitative


investigation


was


inquiry,


established.


the


These


quality


concerns


control


are


this


for


external


and


internal


reliability


and


external


and


internal


validity.


The


external


quality


control


factors


were


considered


and


accounted


for.


The


researcher


was


not


a member


the


studied


group.


If others


attempted


to replicate


this


study,


this


this


information


investigation


would


was


necessary.


neutral.


was


The


not


researcher


familiar


with


the


subjects


or the


schools


and,


even


though


was


familiar

district


with

nor


the

had


district,


direct


she


contact


had

with


never

the


been


project


the

leader.


The


subjects


were


selected


the


project


leader


being


representative


three


change


facilitator










investigation


so time


was


spent


with


the


project


leader


familiarize


him


with


the


styles.


Even


much


material


was


covered


a limited


time,


and


the


project


leader


was


responsible


studying


the


material


before


making


his


recommendations.


Internal


quality


control


factors


were


also


considered.


Low


inference


descriptors


were


used


discussions


about


the


data.


The


account


rich


narration


to provide


the


reader


with


many


examples


credibility


Interpretations


are


based


on these


examples.


Peer


researcher


examination,


as recommended


Smith


and


Heshusius


(1986,


served


to enhance


quality


control.


This


was


the


first


major


research


undertaken


the


investigator


but


the


former


chair


of her


committee


was


an experienced


researcher


this


methodology


Using


dialogue


and


feedback


sessions,


the


data


went


through


system


checks


and


balances


which


increased


the


quality


control.


Two


other


experienced


researchers


were


used


springboards


ideas.


ensure


triangulation


that


was


the


used.


data


gathered


Denzin


were


(1978,


accurate,


291)


defined


triangulation


as the


combination


of methodologies


the


same


event


within


the


same


study


Jick


(1979,


. 603)











district


office


personnel


to verify


the


authenticity


the


data.


Miles


and


Huberman


(1984,


242)


suggested


using


participant


researchers


to gather


feedback.


Although


this


technique


was


not


specifically


used


to verify


that


what


the


researcher


had


seen,


heard,


or recorded


was


accurate,


verification


the


subject


was


used.


The


stimulated


recall


interviews


provided


opportunity


this


verification.


The


researcher


would


recreate


the


scene.


the


pictures


were


inaccurate,


the


subject


would


correct


at that


time.


Even


though


the


factual


data


were


correct,


nuances


gathered


during


these


feedback


opportunities


added


insight


which


would


otherwise


have


been


missed.


History


and


maturation


are


likely


to affect


any


qualitative


study


that


involves


ethnographic


techniques.


An assumption


of ethnographers


that


history


will


affect


the


nature


the


data


collected


(LeCompte


& Goetz,


1982,


45) .


period


this


only


reason,


10 weeks


this


during


investigation


a critical


covered


time


implementation.


contamination,


Rather


maturation


than


was


being


a source


considered


a natural


occurrence


the


context


and


lent


meaning


to the


phenomenon


which


was


under


investigation.










this


from


becoming


a danger


to contamination


(Lofland


Lofland,


1984).


Through


the


journal,


the


researcher


can


reflect


on events


and


feelings


and


become


aware


relationships


which


may


developing


which


may


serve


as a


deterrent

addition


data


to keeping


collection or the

a journal, the


purity


researcher


the

was


data.

also


constant


dialogue


with


another


professional


for


feedback


which


permitted


insight


into


threats


to data


collection.


Selection


participants


to observe


and


informants


interview


may


pose


a threat


quality


the


data.


This


was


not


the


case


this


study


The


informants


were


selected


the


project


leader,


and


the


staff


to provide


triangulation


were


selected


the


informants.


Maintaining


contact


with


these


participants


reduced


the


possibility


bias.


According


spurious


to Miles


conclusions


and


pose


Huberman

threat t


(1984,


o quality


239),

control.


avoid


this,


none


the


data


were


coded


or analyzed


for


emerging


patterns


until


the


data


collection


phase


was


complete.


As patterns


emerged,


they


were


shared


with


the


former


chair


who


provided


feedback.


Initiatina


the


Inauirv


Following


is an account


the


process


the


researcher










innovation


had


nearing


a critical


phase


so that


the


principal


would


most


likely


actively


evaluating


and


redirecting


the


implementation.


For


this


innovation,


the


critical


time


was


near


the


end


the


first


year.


Two


factors


limited


the


implementation


this


investigation:


the


critical


time


was


near


the


end


the


first


year


which


the


busiest


time


principals


and


the


principals


involved


any


major


educational


innovation


had


likely


been


the


center


numerous


investigations


during


year.


The


reluctance


the


principals


allow


time-consuming


investigation


at a critical


time


for


them


was


understandable.


The


second


district


contacted


disallowed


the


study


based


on the


above


concerns.


Although


the


first


district


(Kape


County


School


Board)


approached


participate


this


investigation


had


similar


concerns,


the


desire


the


district


to advance


knowledge


the


field


educational


research


was


greater,


and


the


study


was


eventually


approved.


The


innovation,


SBM/SDM,


was


the


change


which


was


nearing


end


the


first


year


implementation.


Selection


Sites


The


nature


the


criteria


mandated


selection


urban


or large


suburban


area.


The


district


chosen


was










elementary


schools


the


district.


The


selection


the


school


district


which


housed


these


schools


has


been


based


on several


criteria:


a major


educational


innovation


had


to be


apparent,


the


innovation


had


to be in


early


phase


implementation,


the


implementation


had


to be


nearing


a critical


time,


the


district


had


large


enough


have


a number


of elementary


principals


participating


the


innovation


so that


each


the


three


change


facilitator


styles


of leadership


as identified


Hall


and


Hord


(1984)


could


as nearly


representative


prototype


as possible.


Using


these


criteria,


the


researcher


began


to identify


possible


then


sites.


engaged


In March,

coursework


1988,


the


the


investigator,


doctoral


who


program,


was


met


with


the


former


chair


her


dissertation


committee


discuss


the


possibilities


of sites


conducting


this


investigation.


The


chair


had


contacted


professional


acquaintances


the


field


educational


research


throughout


the


United


States


to discover


what


innovations


were


being


several


implemented.


profes


sional


The


researcher


acquaintances


had


the


contacted


state


educational


system


and


local


districts


to learn


the


same.


Together


the


choices


were


listed


and


discussed.


Although


Bogdan


and










contacting


preliminary


sites


was


developed.


A timeline


action


was


developed.


The


first


site,


Kape


County


School


Board,


was


contacted,

Follow-up


the


success


but

was

s of


no response

unsuccessful.


the


came


Since


investigation,


the


timing

another


allowed


was


date.


critical


district


was


contacted.


The


second


district


would


not


allow


the


study


occur


the


district


district

would


based

have a


solely


approved


on the


the


timing.


study


Although


an earlier


the

time,


the


administrators


refused


to allow


this


overburdened


time.


The


to be


third


studied


district


this


was


site


then


was


contacted.


not


The


a well-organiz


innovation

ed one,


but


the


district


quickly


approved


the


study


and


principals


were


designated


as possible


subjects.


Before

subjects, K


the


ape


researcher


County


could


unexpectedly


follow

y opene


through


for


on the

the


investigation.


organization


The

the


project

state t


leader


o which


belonged


the


the


researcher


same

belonged,


and


the


common


tie


permitted


the


researcher


entrance


the


district.


Through


those


connections,


permission


was


obtained


to conduct


the


study


the


district.










elementary


school,


one


was


a kindergarten


through


fifth


grade


elementary


school,


and


one


was


a magnet


school


which


housed


kindergarten


and


fifth


and


sixth


grades.


Gainina


Entry


the


Sites


The


initial


on-site


contact


was


made


the


former


chair


the


researcher


s committee


and


the


researcher.


The


project


leader


provided


materials


which


explained


the


innovation


as well


as time


to discuss


the


project.


The


former


with


chair


and


an overview


researcher


the


study


provided


and


the


descriptions


project


and


leader


research


the


three


styles


of change


facilitators


as identified


Hall


and


Hord


(1984).


The


project


leader


was


contact


former


chair


at a later


date


with


his


nominations


three


prototypes


to be used


the


study.


Once


district


had


given


approval


the


study,


the


project


leader


notified


the


principals


whom


he had


chosen


to inform


them


their


nomination


participate


the


study.


All


the


principals


he contacted


agreed


become


subjects


the


study.


The


project


leader


then


contacted


the


former


chair


this


study


and


provided


him


with


the


names


the


subjects.


When


the


former


chair


informed


the


researcher


the


nominees,


he did


not


pass


along


which


style


each


represented.


so doing,


the










Then


the


researcher


contacted


each


subject


via


telephone


the


the


initial


initial


on-site


contact.


visitations.


Arrangements


Each


were


principal


made


was


assured


of confidentiality


and


anonymity.


Pseudonyms


were


given


to each


principal


and


site.


The


principal


site


one,


Mrs


. Bursinger,


was


the


first


arrange


entry


The


site


was


given


the


pseudonym


of Webster


Elementary.


The


site


two


principal,


Mr. Muller,


was


the


second


principal


be contacted.


Site


two


was


named


Haywood


Elementary


The


site


three


principal,


Mr. MacDonald,


was


the


most


difficult


with


whom


to confirm


initial


on-s


contact.


school


was


named


Pierce


Elementary.


During


the


initial


on-site


sit,


the


researcher


presented


principal


a brief


at that


outline


time


the


signed


proposed


a letter


project.


informed


Each


consent


to show


project


willingness


was


to partic


presented


ipate


general


the


terms


study


to avoid


The


influencing


the


outcomes.


The


participants


were


also


informed


the


research


methods


and


subject


selection


process.


Each


participant


was


told


that


was


selected


because


was


viewed


the


project


leader


as a successful


change


agent.


The


researcher


also


related


what


her


role


would


be during


the


data


collection


process.


explained


that


although










the


end


of each


data


observation


period.


This


process


would


serve


as an opening


the


interview


and


would


used


each


time


a new


intervention


was


discussed.


The


subjects


were


told


that


these


sessions


would


be recorded


transcription


and


coding


later.


Each


participant


requested


feedback


on hi


implementation


the


innovation


the


end


the


data


collection


which


the


researcher


agreed


to provide.


During


the


initial


meeting


, two


the


participants


listened


and


responded


enthusiastically,


but


the


principal


at Webster


Elementary


acted


suspic


ious


Even


though


the


researcher


assumed


the


role


learner


(Bailey,


1982)


to alleviate


the


subject


s uneasiness,


the


perceived


intimidation


the


researcher


s presence


was


apparent,


and


the


subject


remained


somewhat


anxious


throughout


the


study


Timina


the


Investigation


The


time


selected


the


investigation


was


near


the


end


the


first


year


of implementation


This


time


was


chosen


as a crucial


time


when


the


first


year


was


being


reviewed,


formative


evaluations


were


being


conducted,


and


feedback


was


being


incorporated


into


the


alteration


the


model.


Proposals


change


were


being


considered


and


submitted


use


during


the


second


year


implementation.










Because


this


was


a critical


point


innovation


implementation,


data


collection


began


immediately.


Lack


time


between


the


initial


and


the


data


collection


phase


study


mandated


that


the


researcher


appear


open


and


quickly


build


a level


trust


with


the


participants.


Each


participant


chose


not


to confirm


all


observation


dates,


but


to allow


flexibility


include


as yet


unscheduled


events


which


could


have


a major


impact


on the


data


collection.


The


next


observation


dates


were


confirmed


the


end


each


data


collection


period.


The


subjects


agreed


that


collection


would


begin


immediately


and


continue


over


a period


two


and


one-half


months,


with


a total


five

least


days

one


at each


site.


observation


Each


time


participant


to coincide


wit


scheduled a

h a council


meeting.


The


Process


of Data


Collection


The


nature


the


qualitative


study


evolving


and


unfolding


(Elliott,


1985


, p.


49) .


The


metaphor


often


associated


with


this


method


data


collection


a funnel:


the


researcher


narrows


the


collects


investigation


everything

n as the f


at first


focus


and


becomes


gradually

more


apparent.


This


inquiry,


although


had


no hypotheses,


began


further


down


on the


funnel


since


began


with










Observina


Observations


of the


principals


took


the


form


shadowing.


The


researcher


arrived


the


school


before


the


principals


and


began


collecting


data


about


the


site


and


interactions


prior


to the


administrator'


arrival.


This


permitted


a "settling


into


the


setting


before


the


active


period


of data


collection


began.


The


actual


time


of data


collection


varied


at each


site.


It began


approximately


30 minutes


prior


to the


arrival


the


principal


and


continued


during


the


time


school


was


session.


The


data


collection


ended


after


the


intensive


interview


end


of each


day.


This


time


varied


according


the


events


the


day.


The


principals


were


followed


as they


moved


about


the


school,


worked


their


offices,


ate


lunch,


conversed


with


students,


staff,


and


parents,


attended


meetings.


Ubben


and


Hughes


(1987,


pointed


out


that


much


the


work


the


function


administrator


efficiency


cause


and


the


effectively


school


organization


managing


the


organizational


behavior.


The


principals


were


followed


throughout


their


day


as they


conducted


this


business.


The


researcher


was


only


excluded


once


from


an event,


and


that


was


at a teacher'


request.


The


principal


afterwards










Interviewing


the


end


the


day,


the


researcher


met


with


the


principal


to conduct


the


structured


interview.


The


administrator


was


asked


select


what


he deemed


the


most


significant


event


which


had


occurred


that


day


which


related


the


SBM/SDM


model.


In each


instance,


the


event


was


one


which


which


the


researcher


provides


some


had


marked


evidence


as significant,


of consistency


a note


the


data.


The


investigator


then


used


Kagan


s stimulated


recall


techniques


to verbally


recreate


the


event


the


mind


the


principal.


The


administrator


was


then


asked


recall


what


he considered


the


time.


Based


on how


extensively


the


subject


related


his considerations,


the


researcher


probed


discover


and


expand


before,


during,


and


after


intervention


considerations,


much


like


Kolb'


cycle


learning.


The


investigator


had


take


care


not


to lead


the


principal


into


saying


something


had


not


considered,


but


thoroughly


probe


ensure


that


conscious


considerations


had


been


stated.


The


researcher


allowed


the


principals


to continue


intervention


selection


until


the


list


was


exhausted.


any


significant


ones


were


left


which


had


been


noted


the


researcher


but


had


not


been


listed


the


principal,


the










Confidentiality


assure


anonymity


the


site


and


the


participants,


the


names


the


district,


the


sites,


the


principals


and


other


participants


have


been


changed


Narration


excerpts


have


been


disguised


assure


confidentiality


The


Process


of Data


Analysis


According

qualitative an


Mil


alysis


and


mandates


uberman

that c


(1984),


reativity


the

, flexibility,


conceptual


sensibiliti


, and


"the


ability


come


grips


with


ambiguity"


become


central


the


qualitative


analysis.


Utili


zing


Bogdan


and


Biklen


(198


. 145)


definition


data


analysis


, thi


investigator


systematically


searched


and


arranged


data


to increase


understanding


and


discover


meaning


Using


Glaser


and


Strauss


(1967)


constant


comparative

incidents,


method of

integrating


analysis


which


categories


and


involves


comparing


developing


a theory,


the


analysis


phase


thi


inquiry


evolved.


Thi


study


required


data


analysis


two


types


quantitative


analysis


to set


a stage


the


descriptive


characteristics,


and


a qualitative


analysis


for


discovering


meaning.


Analyses


were


based


on epistemological


characteristic


unique


to each


methodology


Quantitative


Analv










grouped


into


tactics


and,


whenever


appropriate,


strategies.


Thi


information


reinforced


style


selection.


Analysis


incident


interventions.


After


collection


of data,


the


principal


interventions


were


coded


using


the


coding


form


researchers


change


the


R&D


interventions


Center


which


Teacher


was


developed


Education


the


University


Texas


at Austin


(Hall,


Hord,


& Washington,


1982) .


copy


this


form


found


Appendix


The


Manual


Intervention


Codinc


Rules


which


the


team


developed


coding


was


this


utilized


accuracy


investigation.


The


and


consistency


intervention


taxonomies


which

were


resulted


used


during


this


data


analysis


investigation


(Hall


the initial

& Hord, 1987)


study

Each


intervention


which


related


the


innovation


was


coded


seven


categories:


sublevel,


source,


target,


function,


medium,


flow,


and


location.


A list


the


coding


categories


this


form


found


Appendix


The


first


these


codes,


sublevel,


refers


the


relationship


an incident


the

were


incident

separated


to other


space


incidents

, time, o


or actions.


r purpose


from


other


actions,


was


coded


010,


isolated.


the


action


were


a single


action


interaction


which


was


functionally


related


to other


interventions,


was


coded










delivered


to different


targets.


The


category


repeated


indicated


a series


the


same


simple


incident


delivered


the


same


target


more


than


once


(Hall


& Hord,


1987).


The


source


category


was


used


to indicate


who


initiated


the


incident


intervention.


Since


the


principal


was


the


subject


being


shadowed,


many


the


codes


would


expectedly


fall


under


151,


the


principal.


The


council


was


coded


this


study.


The


target


the


intervention


was


the


person


or group


at whom


an intervention


was


directed.


the


target


were


teacher,


the


code


was


210.


the


teacher


was


identified


as a sixth


teachers


grade


were


teacher,


receive


example,


the


and


intervention,


all


then


sixth


the


grade


target


became


221.


Function


coding


represented


the


purpose


or intent


the


intervention


(Hall


& Hord,


1987).


Eight


classifications


under


the


category


were


used


analyze


the


data:


developing


supportive


organizational


arrangements


and


resources,


training,


consulting


and


reinforcing,


monitoring


and


evaluating,


communicating


externally,


expressing


and


responding


concerns,


impeding


use,


and


other


function.


The


medium


an intervention


was


the


form


the










interactive.


The


location


was


the


setting


where


the


intervention


occurred.


Identification


tactic


and


strateav.


The


next


step


was


group


incidents


into


tactics,


or facilitation


activities.


Hall


and


Hord


(1987)


defined


tactic


as "an


interrelated


affect


set


attitudes


of small


toward


actions


or use


intentionally


taken


an innovation"


195).


The


tactics


were


then


clustered


into


strategies.


Strategies


are


objectives


action


the


plans


change


designed


process


(Hall


to accomplish


& Hord,


certain


1987,


191) .


Strategies


reveal


much


about


the


philosophy


and


assumptions


the


change


facilitator.


These


were


later


compared


to the


change


facilitator


style


of each


principal


and


the


patterns


of reflectivity


which


had


been


developed.


Identification


chance


facilitator


styles.


The


change


until


facilitator


after


style


analysis


was


the


unknown


data.


the


Based


researcher


on the


descriptions


of change


facilitator


styles


provided


Hall


and


Hord


(1987,


233-242),


each


principal


was


given


rating


using


data


collected.


Those


ratings


were


then


compared


to the


nominations


which


the


chair


had


been


given


prior


the


study.


Qualitative


Analysis










recipes


building


or comparing


explanations"


61).


Because

numbers,


qualitative


" they


data


require


"appear


different


words


technique


rather

s and


than


processes


than


data


from


qualitative


methods


(Miles


& Huberman,


1984,


21) .


Accordingly,


Miles


and


Huberman


(1984)


indicated


that


"the


core


requisites


qualitative


analysis"


include


systematic


doggedness,


good


conceptual


sensibilities,


cognitive


to terms


flexibility,


with


creativity,


ambiguities


and


251)


the


This


ability


study


come


followed


methods


advocated


Bogdan


and


Biklen


(1982)


which


adhere


the


idea


that


data


analysis


"the


process


systematically


searching


and


arranging"


the


data


order


increase


one


s understanding


them


and


enable


one


present


those


not


present


what


has


been


discovered


145) .


Analysis


becomes


a series


of decisions


and


undertakings


rather


than


one


"vast


interpretive


effort"


(Bogdan


& Biklen,


1982,


145) .


This


study


followed


the


constant


comparative


method


advocated


Glaser


and


Strauss


(1967)


which


consists


of comparing


incidents,


integrating


categories,


and


delimiting


and


writing


developmental


theories


114).


With


cognitive


mapping


techniques


and


a concern


quality


control,


the


researcher


reduced


the


data


to small


r










Vandenberghe


s concept


Strategic


Sense


(1988) ,


this


study


focused


on the


concept


of reflectivity


as a looking


back


at past


experiences,


consideration


varied


possible


imagined


contexts,


view


of overall


goals,


and


a conscious


planning


intervention


achieve


closer


proximity


to the


strategic


goal.


In this


sense,


reflectivity


assumes


proactive


stance


where


different


mindscapes


are


built


and


one


deliberately


selected.


Having


this


definition


clearly


mind,


researcher


was


guided


during


the


data


analysis


process.


Once


the


considerations


were


listed


a given


incident,


a flow


chart


could


be built.


The


complexity


the


charts


could


then


be compared


to the


change


facilitator


style


and


the


strategies


developed


earlier.


The


final


step


was


place


the


results


of data


analyses


side-by-side


to provide


comparative


analysis.


This


permitted


the


researcher


look


trends


patterns


and


similarities


or dissimilarities


among


the


three


data


sets.


this


point


a decision


had


made


regarding


the


reporting


format


the


data.


The


guiding


questions


had


provided


focus


the


investigation


and


had


allowed


pieces


the


data


emerge.


However,


of greater


importance


was










became

with a


necessary.


culmination


A gestalt


the


the


guiding


data


question


reported

addressed


here,

as a


means


to achieve


closure


the


investigation.


Summary


The


research


investigation


were


procedures


presented


employed


this


conducting


chapter.


this


After


brief


introduction,


the


approach


and


design


the


investigation


were


explained.


Quality


control


and


credibility


the


inquiry


were


addressed.


The


process


initiating


the


inquiry


and


collecting


the


data


followed.


The


final


section


was


on the


process


of data


analysis.


Chapter


IV contains


descriptions


the


innovation


and


the


sites.


To enhance


understanding


these


findings,


details


about


the


nature


the


climate


at each


site


are


given.















CHAPTER


THE


INNOVATION


AND


THE


SETTING


Although


school-based


management


has


been


practiced


various


degrees


school


districts


across


the


country


years,


based


components


management


become


coupled


more


with


significant


shared


when


decision


school


making.


In the


recent


field


of education


innovation.


This


shared


chapter


decision


contains


making


a discussion


how

the


the


innovation


innovation


was


evolved

adopted


the

the


educational


school


realm,


district


how


which


sponsored


this


investigation,


how


the


different


school


sites


implemented


school


based


management/shared


decision


making.


A description


the


schools


and


the


overall


climate


at each


site


follows.


Understanding


the


innovation


and


implementation


at each


site


necessary


as a foundation


understanding


the


findings


this


investigation.


The


Innovation


Shared


decision


making


schools


implies


the


sharing


of authority


making


important


deci


sions.










Association


of School


Administrators,


1988).


The


concept


founded


authority


on the


the


theory


work


that


their


teachers


students,


are


they


given


will


greater


perform


to the


best


their


ability.


Professional


autonomy


strong


component


the


practice.


Knowledge


about


shared


decision


making


filtered


into


the


educational


world


through


the


business


realm.


Drucker


(1982)


learned


that


effective


executives


do not


make


numerous


decisions,


but


concentrate


on a few


important


ones


which


are


strategically


linked


to goals.


The


decisions


they


make


are


not


to solve


a problem


but


are


instead


generic


and


strategic


on a conceptual


plane.


Jay


(1968)


theorized


that


the


Roman


Empire


was


so success


for


long


because


there


were


no means


communication


create


tightly-knit


network,


so power


was


decentralized.


When


man


was


appointed


a governor,


was


trained


Roman


government


and


skilled


leadership.


Once


was


appointed


and


departed


from


Rome,


there


were


no means


keeping


a close


check


on him.


Testimony


on effective


schools


which


was


given


before


the


Commission


of Education


indicated


that


teachers


should


participate

Association


management


of School


schools


Administrators,


(American


1988).


Management










allowing


them


more


time


to concentrate


on instructional


leadership,


benefits


to superintendents


allowing


them


to concentrate


on visionary


planning,


and


benefits


students


providing


them


the


most


relevant


education


Sara


Lightfoot


(American


Association


of School


Admini


strators,


1988,


concurred


that


only


allowing


teachers


some


freedom


within


teaching


will


the


profession attract

Goodlad (1984)


creative,

suggested


bright,

that t


and


:eache


energetic

rs should


people.

have


discretion


over


some


funds.


The


National


Governors


Association

continuing


(1986)


added


education,


discipline,


curricula,


and


school


goals,


schoolwide


problem


solving


to the


list


areas


in which


teachers


should


participate


decision


making.


A Nation


Prepared


(Carnegie


Commission


on Teaching


a Profession,


1986)


and


A Place


Called


School


(Goodlad,


1984)


suggested


that


more


school


-level


deci


sions


should


made


areas


of budgeting


, staffing,


curriculum


and


instructional


materials,


and


determining


the


use


space.


Goodlad


(1984)


pointed


out


that


with


decentralization


goes


the


accountability


and


responsibility


providing


balanced


program


of studies.


Peters


and


Waterman


(1983)


studied


a number


. 28)










were


the


most


cohesive.


The


reason


for


these


findings,


they


concluded,


was


that


excellent


companies


share


a sense


of vision


about


who


they


are


and


what


they


are


doing


They


also


share


a commitment


to staying


close


to the


customer


provide


the


best


possible


service.


The


National


Governors


Association


report


(1986)


superimposed


this


knowledge


education


when


called


clear


and


explicit


expectation


levels


to be established


state


and


local


authorities


but


implementation


strategies


to be


developed


at the


school


site.


Another


finding


Peters


and


Waterman


(1983)


related


to communication.


Communication,


a vital


component


the


success


of SBM/SDM,


has


four


attributes


informal,


has


extraordinary


intensity,


given


physical


supports,


and


not


the


only


method


fostering


Barth


and


institutionaliz


(1988)


listed


the


guidelines


innovation.


principals


empowering


teachers.


These


included


articulating


the


goal,


relinquishing


power,


empowering


and


entrusting,


involving


teachers


before


deci


sions


are


made,


carefully


considering


which


responsibility


goes


whom,


sharing


responsibility


failure,


permitting


the


teacher


to enjoy


responsibility


success,










leaders


can


become


a reality


the


environment


offers


independence,


interdependence,


and


resourcefulness


146)


Chubb


(1987)


surveyed


schools


explore


successful


institutions


and


discover


what


separates


them


from


the


ess


successful


ones


He found


that


leadership,


strong


commitment


among


the


staff


to academic


excellence,


and


a team


view


the


workplace


delineated


the


more


successful


school


Deci


sion


making


the


higher-


achieving


school


was


significantly


more


democratic


and


the


teachers


more


involved


and


influential


establishing


sciplinary


codes,


selecting


textbooks,


designing


curricula,


and


choosing


their


colleagues.


The


relationships


between


the


teachers


and


the


administration


were


more


cooperative.


Authority


was


delegated


the


classroom.


to determine


Teachers


viewed


schoolwide


themselves


policy


and


as having


greater


more


control


power


what


they


teach.


Teachers


performed


not


because


close


monitoring


and


formal


arrangements,


but


because


they


shared


a common


vision.


In a study


Rosenholtz


(1987),


three


factors


were


strongly


task


linked


to teachers


autonomy,


remaining


certainty


about


the


their


profess


capability










their


faculties,


teachers


become


more


unstinting


contributors


workplace"


517).


Literature


indicates


that


the


business


model


of shared


decision

school i


making


applied


improvement.


Based


education

on this i


holds


promise


information,


for


some


states


adopted


models


of school-based


management


and


shared


decision


making


to improve


student


achievement.


One


such


model


was


studied


a district


which


chose


to implement


shared


decision


making.


School-Based


Manacement/Shared


Deci


sion


Making


The


model


of school-based


management/shared


decision


making


(SBM/SDM)


which


was


adopted


Kape


County


evolved


from


an earlier


prototype


the


state.


the


state


statutes


appeared


a mandate


that


read


that


"the


school


become


The


a primary


state


center


consequently


educational


mandated


decision


management


making


training


programs


as a step


toward


making


decentralized


management


feasible.


Although


the


management


training


program


became


law,


the


means


carrying


out


the


mandate


was


left


the


discretion


the


districts.


The


district


board


involved


this


study


recognized


that


budget


decentralization


must


tied


to school-based


decis


ion m


making


were


to be successful.


In 1973


the




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