The Principal: Creative Leadership for Excellence in Schools By Gerald C. Ubben Larry W. Hughes...

The Principal:The Principal: Creative Leadership for Creative Leadership for Excellence in SchoolsExcellence in Schools

By Gerald C. UbbenBy Gerald C. Ubben

Larry W. HughesLarry W. Hughes

Cynthia J. NorrisCynthia J. NorrisThis multimedia product and its contents are protected under copyright law. The following are prohibited by law:• Any public performance or display, including transmission of any image over a network;• Preparation of any derivative work, including the extraction, in whole or in part, of any images;• Any rental, lease, or lending of the program.

1. The Principal: A Creative Blend of 1. The Principal: A Creative Blend of Substance and Style Substance and Style

Social Systems Theory Social Systems Theory • The School Improvement PlanThe School Improvement Plan

The School: The Context The School: The Context for Leadership for Leadership

• Schools as Machines Schools as Machines • Schools as Organisms Schools as Organisms • Schools as Brains Schools as Brains • Reflection Reflection • School expectations School expectations • Tightly Coupled and Tightly Coupled and

Loosely Coupled Loosely Coupled Organization Organization

• Leadership Perspectives Leadership Perspectives • Single-Loop and Double-Single-Loop and Double-

Loop Learning Loop Learning

Copyright © Allyn & Bacon 2007

1. 1. The Principal: A Creative Blend The Principal: A Creative Blend of Substance and Styleof Substance and Style

The Principal: The Role in The Principal: The Role in Context Context

• Leadership as Philosophy in Leadership as Philosophy in Action Action

• Espoused Values and Values Espoused Values and Values in Use in Use

• Leadership from a Values Leadership from a Values Perspective Perspective

• Shared Vision and Authority Shared Vision and Authority • Contrasting the Transactional Contrasting the Transactional

and Transformational and Transformational • Ethical Responsibilities of Ethical Responsibilities of

Transformational Leadership Transformational Leadership • Management and Leadership Management and Leadership • Roles and Functions Roles and Functions • Management and Leadership Management and Leadership


A Perspective on A Perspective on LeadershipLeadershipThe PrincipalThe Principal Chapter 1 Chapter 1


Assumptions of Assumptions of Transactional LeadershipTransactional Leadership

• Leadership is a Leadership is a function of function of organizational organizational position.position.

• Leadership is Leadership is goal-centered goal-centered and goals are and goals are driven by driven by organizational organizational needs.needs.

• Leadership is Leadership is bound within the bound within the context of the context of the situation (tasks, situation (tasks, responsibilities, responsibilities, and presented and presented problems)problems)

• Leadership is Leadership is dedicated to goal dedicated to goal achievement.achievement.


Therefore Transactional Therefore Transactional Leaders (i.e. Managers):Leaders (i.e. Managers):

• Control their organizations through the Control their organizations through the manipulation of manipulation of power power designed to:designed to:

* Make individuals perform (* Make individuals perform (tasktask),),

* Feel good about performing * Feel good about performing (consideration)(consideration), and, and

* Perform at their level of * Perform at their level of competency competency (maturity).(maturity).

- Foster, W. (1989)- Foster, W. (1989)


The Individualistic View of The Individualistic View of Leadership Fails to Consider:Leadership Fails to Consider:

That leadership is That leadership is alwaysalways context context boundbound

* It occurs in a * It occurs in a social communitysocial community

* It is the * It is the resultresult of of human interaction human interaction and and negotiationsnegotiations

That it involves That it involves mutual negotiations mutual negotiations and and shared shared leadershipleadership roles roles

* It cannot occur * It cannot occur without without followershipfollowership

* Many times the two * Many times the two are are interchangeableinterchangeable

Foster (1989)Foster (1989)


Power….Power….

Transformational leadership is Transformational leadership is accomplished when leaders “delegate accomplished when leaders “delegate and surrender power and surrender power overover people and people and events in order to achieve power events in order to achieve power overover accomplishments and goal achievement”accomplishments and goal achievement”

Authentic accountabilityAuthentic accountability, the authority , the authority to match responsibility, is granted.to match responsibility, is granted.

- Sergiovanni (1989)- Sergiovanni (1989)


Authorship without Authorship without power is isolating and power is isolating and

splintering. Power splintering. Power without authorship can without authorship can be dysfunctional and be dysfunctional and

oppressive.oppressive.

- Bolman & Deal, - Bolman & Deal, Leading With SoulLeading With Soul, , 1995, 1995, p. 108p. 108


Bass’ First and Second Bass’ First and Second Order Change TheoryOrder Change Theory

First Order ChangeFirst Order Change(Transactional):(Transactional):

Determine Determine subordinates’ needssubordinates’ needs

Seek to provide Seek to provide appropriate appropriate rewardsrewards

Respond to self-Respond to self-interests that interests that match match organizational organizational goalsgoals

Second Order Second Order Change Change

(Transformational):(Transformational): Raise subordinates’ Raise subordinates’

awarenessawareness Encourage Encourage

commitment to commitment to organizational goalsorganizational goals

Foster a broadening Foster a broadening of subordinates’ of subordinates’ needs and wantsneeds and wants

-Bass (1985, p.20)-Bass (1985, p.20)


Moral LeadershipMoral Leadership

Professional AuthorityProfessional Authority (craft (craft knowledge and personal expertise)knowledge and personal expertise)andand

Moral Authority Moral Authority (Obligations and (Obligations and duties resulting from shared values and duties resulting from shared values and ideas)ideas)added to…added to…

Traditional Authority…Traditional Authority…

SergiovanniSergiovanni


Moral Leadership: 4 Moral Leadership: 4 Substitutes for Leadership Substitutes for Leadership

AddedAdded School Norms–School Norms– A A

shared covenant shared covenant binds members binds members around common around common values and beliefs.values and beliefs.

The Professional The Professional Ideal–Ideal– Members Members accept responsibility accept responsibility for their for their professional professional development and development and service to students.service to students.

Collegiality– Collegiality– Members join Members join together in shared together in shared support while still support while still developing self-developing self-management and management and self-leadership skills.self-leadership skills.

Rewarding Work– Rewarding Work– Members see their Members see their work as meaningful work as meaningful and are accountable.and are accountable.


Transformational Transformational Leadership…Leadership…

Such leadership occurs when one or Such leadership occurs when one or more persons engage with others in such more persons engage with others in such a way that leaders and followers raise a way that leaders and followers raise one another to high levels of motivation one another to high levels of motivation and morality. Their purposes, which and morality. Their purposes, which might have started out as separate but might have started out as separate but related …become fused.related …become fused.

Burns, J., 1978, Burns, J., 1978, LeadershipLeadership..


Leadership is More Than Leadership is More Than Management for…Management for…

““It is oriented not just toward the It is oriented not just toward the development of more perfect development of more perfect organizational structures, but organizational structures, but toward a reconceptualization of toward a reconceptualization of life practices where common life practices where common ideals of freedom and democracy ideals of freedom and democracy stand important.”stand important.”

-Foster, W. (1989, p.52)-Foster, W. (1989, p.52)


Transformational Transformational Leaders…Leaders…

Engage with followers but from Engage with followers but from higher levels of morality…higher levels of morality… * Goals and values are enmeshed * Goals and values are enmeshed and leaders and leaders and followers are and followers are raised to higher levels of raised to higher levels of judgmentjudgment

Ask Ask from followersfrom followers…… Are involved in the creation of new Are involved in the creation of new

social realitiessocial realities- Foster, (1989)- Foster, (1989)


Such Leadership is Founded Such Leadership is Founded on Moral Relationships:on Moral Relationships:

It It critiquescritiques social conditions (and social conditions (and followers’ roles in maintaining those followers’ roles in maintaining those conditions).conditions).

It offers new possibilities It offers new possibilities (visions) (visions) for for social arrangements (and points out social arrangements (and points out followers’ roles in changing situations).followers’ roles in changing situations).

It helps to raise the followers’It helps to raise the followers’ consciousnessconsciousness regarding regarding what iswhat is and and what could bewhat could be..


Four Criteria for the Four Criteria for the Practice of LeadershipPractice of Leadership

Leadership must be Leadership must be criticalcritical

Leadership must beLeadership must be transformative transformative

Leadership must be Leadership must be educativeeducative

Leadership must be Leadership must be ethicalethical

- Foster, (1989)- Foster, (1989)


Leadership as EducativeLeadership as Educative

Fosters an analysisFosters an analysis* Considers organizational history, purpose, * Considers organizational history, purpose, and and

power distributionpower distribution

* Reflects on institutional arrangements* Reflects on institutional arrangements Stimulates a visionStimulates a vision

* Encourages consideration of alternative ways* Encourages consideration of alternative ways

of operatingof operating

* Raises followers consciousness of social * Raises followers consciousness of social conditionsconditions

Leadership as CriticalLeadership as Critical

Examines previous conditions of Examines previous conditions of social life and subjects them to social life and subjects them to critique…Questions their critique…Questions their appropriateness for all individuals..appropriateness for all individuals..

Views human beings as capable of Views human beings as capable of reordering their present conditions reordering their present conditions (i.e. constructing their own reality)(i.e. constructing their own reality)


Leadership as EthicalLeadership as Ethical

Is founded on the fact of moral Is founded on the fact of moral relationshipsrelationships

Is intended to elevate people to new Is intended to elevate people to new levels of moralitylevels of morality

Is oriented toward democratic values Is oriented toward democratic values within communitywithin community

Promotes self-reflection and yet Promotes self-reflection and yet interdependent membership within interdependent membership within community.community.


Leadership as Leadership as TransformativeTransformative

Is oriented toward social Is oriented toward social changechange

Raises human consciousnessRaises human consciousness

Requires a community of Requires a community of believersbelievers


Transformational Transformational Leadership is:Leadership is:

A transforming practiceA transforming practice

* It is and must be * It is and must be socially criticalsocially critical An empowerment of followersAn empowerment of followers

* It does not reside in one individual but in * It does not reside in one individual but in

the the relationship between individualsrelationship between individuals A vehicle for organizational changeA vehicle for organizational change

* It is oriented toward * It is oriented toward social visionsocial vision and and changechange

not simply organizational goals.not simply organizational goals.


TransformationTransformation It is not a radical It is not a radical

restructuring of a restructuring of a social order; rather social order; rather it is (observed) in it is (observed) in small dosessmall doses in the in the activities of various activities of various groups and groups and individuals who individuals who hope to hope to makemake some sort of some sort of differencedifference..

It happens in It happens in everyday events– everyday events– When When commonplace commonplace leaders exert leaders exert some some effecteffect on on their situations…their situations…

- Foster, W. (1989, - Foster, W. (1989, pp. 52-53). pp. 52-53).


CooperationCooperation

There is no enduring cooperation There is no enduring cooperation without the without the creation of faithcreation of faith, the , the catalystcatalyst by which human effort is by which human effort is enabled…enabled…

““CooperationCooperation, not leadership, is the , not leadership, is the creative processcreative process; but leadership is ; but leadership is the indispensable fulminator of its the indispensable fulminator of its forces.”forces.”

- Barnard, (1968, p.259)- Barnard, (1968, p.259)


Leaders Lead By …Leaders Lead By … Challenging the ProcessChallenging the Process Inspiring a Shared Inspiring a Shared

VisionVision Enabling Others to ActEnabling Others to Act Modeling the WayModeling the Way Encouraging the HeartEncouraging the Heart

- Kouzes. J. and - Kouzes. J. and Posner, Posner, B., 1987, B., 1987, The Leadership The Leadership Challenges, Challenges, p. 8.p. 8.


Leadership, in the final analysis, is the Leadership, in the final analysis, is the ability of humans to relate deeply to ability of humans to relate deeply to each other in the search for a more each other in the search for a more perfect union. Leadership is a perfect union. Leadership is a consensual task, a sharing of ideas and a consensual task, a sharing of ideas and a sharing of responsibilities, where a sharing of responsibilities, where a ‘leader’ is a leader for the moment only, ‘leader’ is a leader for the moment only, where the leadership exerted must be where the leadership exerted must be validated by the consent of the validated by the consent of the followers, and where leadership lies in followers, and where leadership lies in the struggles of a community to find the struggles of a community to find meaning for itself.meaning for itself.

- Foster, (1989, p.61)- Foster, (1989, p.61)


Leadership:Leadership:A Creative A Creative

ProcessProcess


Personal Pathways to Personal Pathways to LeadershipLeadership


LeadershipLeadership

Is a matter of art Is a matter of art rather than sciencerather than science

Is aesthetic and Is aesthetic and moral rather than moral rather than logical…logical…Leadership is:Leadership is: FeelingFeeling JudgmentJudgment SenseSense BalanceBalance

Fosters the Fosters the creative side of the creative side of the organization which organization which is is cooperationcooperation..

- Chester Barnard, - Chester Barnard, The Functions of The Functions of the Executivethe Executive, , 1968.1968.


The Artistry of The Artistry of LeadershipLeadership

Leadership is an Leadership is an artart, a performing art., a performing art.

And in the art of leadership, the artist’s And in the art of leadership, the artist’s instrument is the instrument is the selfself. Ultimately, . Ultimately, leadership development is a process of leadership development is a process of self-discovery and development.self-discovery and development.

Leadership artistry is an awareness of and Leadership artistry is an awareness of and faith in one’s own values, beliefs, and faith in one’s own values, beliefs, and abilities which form the basis for abilities which form the basis for mobilizing others toward higher purposesmobilizing others toward higher purposes


Vertical (LHB) ThinkingVertical (LHB) Thinking

1. The method of science– experimentation and 1. The method of science– experimentation and inductioninduction

A. A stepwise process. One step follows A. A stepwise process. One step follows another in an unbroken another in an unbroken sequence.sequence.

B. Must be correct at every step. This is of B. Must be correct at every step. This is of the the essence. essence.

C. Selects and deals with what is relevant.C. Selects and deals with what is relevant.

2. Analogy is that of digging the same hole deeper.2. Analogy is that of digging the same hole deeper.

3. Highly esteemed and very valuable in scientific 3. Highly esteemed and very valuable in scientific and technical matters.and technical matters.

4. View as the development of a structure.4. View as the development of a structure.


Lateral thinking- The Lateral thinking- The Opposite of Vertical Opposite of Vertical

Thinking (RHB)Thinking (RHB)1.1. Is Not Sequential.Is Not Sequential. Common method here is to Common method here is to

begin at the solution end rather than the begin at the solution end rather than the beginning end of the process. Jump to different beginning end of the process. Jump to different points and allow the fragments to coalesce.points and allow the fragments to coalesce.

2.2. Does Not Have To Be Correct at Each StageDoes Not Have To Be Correct at Each Stage. . Judgment is suspended. The end may justify the Judgment is suspended. The end may justify the means. May be wrong within the frame of means. May be wrong within the frame of reference in order to update it.reference in order to update it.

3.3. Is Not Restricted To Relevant InformationIs Not Restricted To Relevant Information. . Uses random or irrelevant information to Uses random or irrelevant information to perturb the system- something that cannot perturb the system- something that cannot normally happen within the system itself.normally happen within the system itself.

33


To the extent that To the extent that creativeness is creativeness is constructive, constructive, synthesizing, synthesizing, unifying, and unifying, and

interpretive, to that interpretive, to that extent does it extent does it

descend upon the descend upon the internal of the internal of the

individualindividual

(Maslow, 1976)(Maslow, 1976)


LeadershipLeadership

A Summary of the Principles A Summary of the Principles of Transformational of Transformational

Leadership Based on William Leadership Based on William Foster, Foster, Paradigms and Paradigms and

PromisesPromises, 1989, 1989


Views of LeadershipViews of Leadership

TransactionalTransactional TransformationalTransformational


Leadership is a function of organizational Leadership is a function of organizational positionposition

Leadership is goal-centered and goals are Leadership is goal-centered and goals are driven by organizational needsdriven by organizational needs

Leadership is bound within the context of Leadership is bound within the context of the situation (tasks, responsibilities, the situation (tasks, responsibilities, problems)problems)

Leadership is dedicated to goal Leadership is dedicated to goal achievementachievement

Transactional LeadershipTransactional Leadership


Transformational Transformational LeadershipLeadership

Is oriented toward social changeIs oriented toward social change Raises human consciousnessRaises human consciousness Requires a community of believersRequires a community of believers

(Foster, 1989)(Foster, 1989)


“ “Leadership always has one face Leadership always has one face turned toward change and turned toward change and change involves the critical change involves the critical assessment of current situations assessment of current situations and the awareness of future and the awareness of future possibilities.”possibilities.”

(Foster, p. 52 )(Foster, p. 52 )


Leadership is More Than Leadership is More Than Management for…Management for…

“ “It is oriented not just toward the It is oriented not just toward the development of more perfect development of more perfect organizational structures, but organizational structures, but toward a reconceptualization of life toward a reconceptualization of life practices where common ideals of practices where common ideals of freedom and democracy stand freedom and democracy stand important.” (Foster, p. 52 )important.” (Foster, p. 52 )


Contrasting Leadership Contrasting Leadership Views Views

TransactionalTransactional Exchange Exchange

relationship relationship between leaders between leaders and followersand followers

Designed to gain Designed to gain support of support of followers throughfollowers through

ConcessionConcession NegotiationsNegotiations AccommodationsAccommodations

TransformationalTransformational Envisions new Envisions new

social conditionssocial conditions Communicates Communicates

vision throughvision through InspiringInspiring TransformingTransforming

Challenges Challenges followers toward followers toward greater human greater human concernconcern


Four Transformational Four Transformational Leadership CriteriaLeadership Criteria

Leaders must beLeaders must be CriticalCritical EducativeEducative TransformativeTransformative EthicalEthical

(Foster, 1989)l(Foster, 1989)l


Critical Leaders…Critical Leaders…

Examine current social conditions Examine current social conditions and question the appropriateness of and question the appropriateness of those conditions for all individualsthose conditions for all individuals

Believe that individuals are capable Believe that individuals are capable of improving their present of improving their present conditionsconditions


Educative Leaders…Educative Leaders…

• Encourage an analysis of the Encourage an analysis of the organizationorganization

• Raise the consciousness of followersRaise the consciousness of followers• Inspire a vision of alternative Inspire a vision of alternative

organizational structures and power organizational structures and power distributiiondistributiion

Ethical Leaders…Ethical Leaders…

Operate from moral relationshipsOperate from moral relationships Elevate followers to higher levels of Elevate followers to higher levels of

moralitymorality Foster democratic values through Foster democratic values through

communitycommunity Encourage self-reflection and Encourage self-reflection and

interdependenceinterdependence


Transformational Transformational Leaders…Leaders…

Engage with followers from higher Engage with followers from higher levels of moralitylevels of morality Goals and values are enmeshed Goals and values are enmeshed Leaders and followers are raised to Leaders and followers are raised to

higher levels of judgmenthigher levels of judgment Ask Ask from followers…from followers… Are involved in the creation of new Are involved in the creation of new

social realitiessocial realities


Principal RolesPrincipal Roles Instructional LeaderInstructional Leader Staff DeveloperStaff Developer Student AdvocateStudent Advocate Community Community

RepresentativeRepresentative Building ManagerBuilding Manager NetworkerNetworker YOU (Your Own YOU (Your Own

Understanding)Understanding)


Skills for School Skills for School PrincipalsPrincipals

NASSPNASSP


Assessment Dimensions of the National Assessment Dimensions of the National Association of Secondary School Association of Secondary School

Principals:Principals:

1.1. Problem AnalysisProblem Analysis

2.2. JudgmentJudgment

3.3. Organizational Organizational AbilityAbility

4.4. DecisivenessDecisiveness

5.5. LeadershipLeadership

6.6. SensitivitySensitivity

77.. Stress ToleranceStress Tolerance

88.. Oral Oral CommunicationCommunication

9.9. Written Written CommunicationCommunication

10.10. Range of InterestRange of Interest

11.11. Personal Personal MotivationMotivation

12.12. Educational Educational ValuesValues


Survival skills needed by Survival skills needed by beginning school administrators:beginning school administrators:

1. Leadership1. Leadership

2. Planning2. Planning

3. Instruction3. Instruction

4. Personnel4. Personnel

5. Law5. Law

6. Finance6. Finance

7. Facilities7. Facilities

8. Community 8. Community RelationsRelations


Performance domains identified by Performance domains identified by the National Commission for the the National Commission for the

PrincipalshipPrincipalship:: Functional domainsFunctional domains

LeadershipLeadership Information Information

collectioncollection Problem analysisProblem analysis JudgmentJudgment Organizational Organizational

oversightoversight ImplementationImplementation DelegationDelegation

Programmatic Programmatic domainsdomains Instructional Instructional

programprogram Curriculum designCurriculum design Student guidance Student guidance

and developmentand development Staff developmentStaff development Measurement and Measurement and

evaluationevaluation Resource allocationResource allocation


Performance domains identified by Performance domains identified by the National Commission for the the National Commission for the

PrincipalshipPrincipalship:: Interpersonal Interpersonal

domainsdomains Motivating othersMotivating others SensitivitySensitivity Oral expressionOral expression Written Written

expressionexpression

Contextual Contextual domainsdomains Philosophical and Philosophical and

cultural valuescultural values Legal and Legal and

regulatory regulatory applicationsapplications

Policy and political Policy and political influencesinfluences

Public and media Public and media relationshipsrelationships


Curriculum is Curriculum is Shaped by Shaped by StructureStructure


StructureStructure

PhilosophyPhilosophy PoliciesPolicies ProceduresProcedures PracticesPractices


Part of our failure Part of our failure stems from a great stems from a great

irony. Those who still irony. Those who still live in the past live in the past

confidently set the confidently set the norms for those who norms for those who

will live in the future…will live in the future…

Goodlad, 1983Goodlad, 1983


Custodial vs. Creative Custodial vs. Creative LeadershipLeadership

WHAT? HOW?WHAT? HOW? Transactional Transactional

leaders focus on leaders focus on improvement by improvement by tightly coupling tightly coupling (managing) (managing) objectives, objectives, curriculum, curriculum, teaching strategies teaching strategies and evaluation.and evaluation.

WHY?WHY? Transformational Transformational

leaders coordinate leaders coordinate through shared through shared values and beliefs. values and beliefs. They understand They understand that that autonomyautonomy in in classrooms is classrooms is necessary for necessary for fundamental fundamental change to occur.change to occur.


Reform IReform I

School DistrictTightly Coupled:

What? How? Top Down Mission

Top Down Goals

School AWhat?How?

School BWhat?How?

School CWhat? How?


Reform IIReform II

School DistrictTightly Coupled:

Why?Shared MissionShared Purpose

School AWhy?

School BWhy?

School CWhy?


The Principal: Creative Leadership for Excellence in Schools By Gerald C. Ubben Larry W. Hughes...

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