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PRINCIPAL LEADERSHIP AND STUDENT ACHIEVEMENT

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  • 1. PRINCIPAL LEADERSHIP AND STUDENT ACHIEVEMENT: WHAT IS THE EFFECT OF TRANSFORMATIONAL LEADERSHIP IN CONJUNCTION WITH INSTRUCTIONAL LEADERSHIP ON STUDENT ACHIEVEMENT? By William Greb MARIAN UNIVERSITY A Dissertation Submitted in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy Specialization: Leadership Studies Under the Supervision of Marilyn J. Bugenhagen, Ph.D., chairperson Jon Nicoud, Ph.D. Moreen Travis Carvan, Ed.D. Fond du Lac, Wisconsin April 2011
  • 2. All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent on the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. All rights reserved. This edition of the work is protected against unauthorized copying under Title 17, United States Code. ProQuest LLC. 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, MI 48106 - 1346 UMI 3468985 Copyright 2011 by ProQuest LLC. UMI Number: 3468985
  • 3. iii ABSTRACT PRINCIPAL LEADERSHIP AND STUDENT ACHIEVEMENT: WHAT IS THE EFFECT OF TRANSFORMATIONAL LEADERSHIP IN CONJUNCTION WITH INSTRUCTIONAL LEADERSHIP ON STUDENT ACHIEVEMENT? William Greb The purpose of this quantitative correlational research study was to develop a better understanding of how successful principals lead and more importantly how they help their students achieve at higher levels through their role as principal. The study focused on the principal’s role in providing instructional leadership as defined by Krug (1992), transformational leadership as defined by Bass and Avolio (1995), specifically in the context of elementary education, and measuring the effect these principal leadership constructs have on student achievement. The study was designed to determine if there was a benefit derived by principals who attend to at least three of the five dimensions of instructional leadership and practice at least three of the four transformational leadership behaviors. The five dimensions of instructional leadership are: defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate. The four transformational leadership behaviors are: idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration. The study sample was drawn from public schools in Cooperative Educational Service Agencies 2-12 in the State of Wisconsin, an area that covers 90% of the state excluding the large metropolitan areas in and around Milwaukee. Results revealed no statistically significant
  • 4. iv correlations between principals who did or did not exhibit transformational and or instructional leadership and higher academic student performance. Post-hoc analysis revealed statistically significant correlational coefficients between management-by-exception passive and high student achievement r = .515 for reading, r = .479 for language arts, and r = .567 for math with n = 31 and p < .05, two tails. These findings indicate that previous research findings may be in question for both instructional leadership and transformational leadership constructs.
  • 5. v ACKNOWLEDGEMENTS I would like to extend my deepest gratitude to my research advisor, Dr. Marilyn J. Bugenhagen. I am grateful to have had her advising me through this research study. Dr. Bugenhagen is cognizant of the time and effort invested in this type of work and pragmatically helped me to addresses the challenges and frustrations that accompany it. Throughout the course of my program, Dr. Bugenhagen has been the driving force which has taken me to a higher plain, mentally, and professionally. I sincerely thank my committee members for the time and effort they spent in this process, Dr. Moreen Travis Carvan and Dr. Jon Nicoud. Dr. Carvan and Nicoud are exceptional individuals who I admire in the classroom setting. I would also like to thank Dr. Randall J. Koetting who saw my potential to succeed as a member of the doctoral program. I would like to thank Dr. Zhao Xia Xu, my classmate and colleague, for assisting me with gathering additional participants for my study, for sharing both our successes and frustrations, and for being a friend through this process. I would also like to thank my parents for recognizing the value of education, ensuring I had a sound foundation at an early age for future learning, and instilling in me the work ethic that has enabled me to be successful in all my endeavors.
  • 6. vi PRINCIPAL LEADERSHIP AND STUDENT ACHIEVEMENT: WHAT IS THE EFFECT OF TRANSFORMATIONAL LEADERSHIP IN CONJUNCTION WITH INSTRUCTIONAL LEADERSHIP ON STUDENT ACHIEVEMENT? BY William Greb SUPERVISORY COMMITTEE: Approved Date Signature Marilyn J. Bugenhagen Ph.D. Committee Chairperson Signature Moreen Travis Carvan Ed.D. Committee Member Signature Jon Nicoud Ph.D. Committee Member Signature Edward Ogle, Ed.D. Executive Vice President Academic & Student Afairs
  • 7. vii TABLE OF CONTENTS CHAPTER PAGE I. INTRODUCTION ……………………………...…………….………… 1 Purpose Statement ……………………………………………….…… 3 Context ………………………………………………………….…….. 3 Theoretical Base ………………………………………….………….... 5 Research Question ………………………………….…………………. 8 Method ……………………………………….…………………….….. 9 Assumptions …………………………….………………………….…. 10 Delimitations and Limitations ……….…………………………….….. 11 Significance of Research …………………….……………………..…. 12 Conclusion ………………………………….…………………………. 15 II. LITERATURE REVIEW ……………………...………………………... 18 Effective Schools Movement .………………..……………………….. 19 Full-Range Leadership: Transformational and Transactional ….……… 40 Transformational Leadership Studied in Educational Context ………... 45 Summary ………………………………………………………………. 58 III. METHOD ………………………………...……………………………… 61 General Framework ………………………………………….………... 61 Hypotheses ………………………………………………….…………. 63 Data Collection Procedure(s) ……………………………….…………. 64 Sample Design …………………………………………….…………… 67
  • 8. viii Instrumentation …………………………………………….………….. 68 Data Analysis ………………………………………………………….. 80 Limitations ………………………………………………….…………. 83 Summary ………………………………………………………………. 84 IV. RESULTS ……………………………...………………………………... 85 Demographics …………………………………….…………………… 85 Data Collection Procedures …………………………….……………... 90 Preliminary Analytical Issues ……………….………………..……….. 93 Hypothesis Tests ………………………………….…………………… 99 Summary of Results …………………………………………………… 128 V. SUMMARY and CONCLUSIONS ……………………………………... 130 Discussion ……………………………..…………………….………… 134 Implications ………………..………………………….……….……… 145 Contribution of This Study …...……………………….……….……… 148 Limitations …………………………………………………….………. 150 Recommendations for Future Research ……………………….………. 151 Summary …………………………………………………….………… 153 REFERENCES ……………………………………………………………………. 156 APPENDICES Appendix A: Definition of Terms ………………………………………. 170 Appendix B: Principal Invitation Letter of Participation ……………….. 174 Appendix C: IRB Approval Email ………………………………………. 177 Appendix D: Teacher Letter of Consent ………………………………… 182
  • 9. ix Appendix E: Principal Invitation Letter of Participation ………………... 185 Appendix F: Teacher Invitation Letter of Participation ………………… 188 Appendix G: Second Teacher Invitation Letter of Participation ………… 191 Appendix H: IRB Approval Email ………………………………………. 194
  • 10. x LIST OF TABLES TABLE PAGE 1. Content Validation: Average Agreement on Items Among Judges ……… 70 2. Reliability Estimates for the Instructional Management Subscale ………... 71 3. Subscale Inter-item Correlation Matrix …………………………………… 73 4. Subscale Inter-item Correlation Matrix for this Study …………………… 74 5. Subscale Inter-item Correlation Matrix (after aggregation to depict the Krug model) …………………………………………………………… 75 6. Summary of Criteria to Assess the Adequacy of the Instructional Management Rating Subscales ……………………………………………. 76 7. Inter-item Correlational Matrix for Transformational Behavior for this Study ................................................................................................ 80 8. Participants Years as Principal (n = 31) ………………………………….. 86 9. Participant Principals’ Age (n = 31) ………………………………………. 86 10. Women Participants Years as Principal (n = 17) ………………………….. 87 11. Women Participant Principals’ Age (n = 17) ……………………………… 87 12. Men Participants Years as Principal (n = 14) ……………………………... 88 13. Men Participant Principals’ Age (n = 14) …………………………………. 88 14. Rater Participants Years with Principal (n = 107) ………………………… 89 15. Rater Participant Age (n = 107) …………………………………………… 90 16. Leader and Rater Simple Statistics and Multifactor Leadership Questionnaire Comparison ………………………………………………… 94 17. Pearson Correlation Matrix on Hypotheses ……………………..………… 100
  • 11. xi 18. Kendall’s tau-b Correlation Matrix on Hypotheses ………………………..102 19. Spearman’s rho Correlation Matrix on Hypotheses ………………………. 104 20. Pearson Correlation Matrix on Hypotheses with specific WKCE score ranges (n = 31) ………………………………………………106 21. Kendall’s Correlation Matrix - Hypotheses with specific WKCE score ranges (n = 31) ………………………………………………109 22. Spearman’s Correlation Matrix - Hypotheses with specific WKCE score ranges (n = 31) ………………………………………………112 23. Pearson Correlation Matrix on Hypotheses for Men Principals (n = 14) ………………………………………………………… 113 24. Kendall’s tau-b Correlation Matrix on Hypotheses for Men Principals (n = 14) …………………………………………………… 115 25. Spearman’s rho Correlation Matrix on Hypotheses for Men Principals (n = 14) …………………………………………………… 117 26. Pearson Correlation Matrix on Hypotheses for Women Principals (n = 17) ………………………………………………………… 119 27. Kendall’s tau-b Correlation Matrix on Hypotheses for Women Women Principals (n = 17) ……………………………………………….. 121 28. Spearman’s rho Correlation Matrix on Hypotheses for Women Principals (n = 17) ……………………………………………….. 123 29. Pearson Correlation Matrix on Laissez-faire for Principals (n = 31) ……... 125 30. Pearson Correlation Matrix on Laissez-faire for Women Principals (n = 17) ………………………………………………………… 126
  • 12. xii 31. Pearson Correlation Matrix on Laissez-faire for Men Principals (n = 14) ………………………………………………………… 127 32. Pearson Correlation Matrix on Management-by-Exception Passive For Principals (n = 31) ……………………………………………………. 128
  • 13. 1 CHAPTER 1 INTRODUCTION The quality of a school in the PK-12 arena is affected by how its internal processes work to constantly improve its performance. One such internal process involves leadership. As its basic purpose, instructional leadership designates the school principal as the central school figure to continuously articulate the school’s mission and vision to the school’s staff and community. The school principal oversees curriculum and instruction management and facilitates teachers’ professional development that is supportive of best practice. The school principal monitors student progress to provide individual attention for specific students and to identify areas of curriculum and instruction in need of change or improvement. The school principal is also tasked with promoting a positive learning environment. However, there is question regarding the principalship and school administration in general. According to Murphy (2002): For some time now, the [education] profession has been marked by considerable ferment as it has struggled to locate itself in a post behavioral science era. During this era of turmoil, the historical foundations of the profession have been thrown into question, especially the legitimacy of the knowledge base supporting school administration and the appropriateness of programs for preparing school leaders. (p. 177) Leadership, in education and in business, is an evolving discipline. School principals and aspiring administrators need to become familiar with leadership as a discipline to practice, learn their strengths and weaknesses, infuse themselves with best practice so they can provide leadership that best fits their circumstances, and work diligently to perfect and implement the behaviors that will enable deep sustained improvement in schools.
  • 14. 2 A range of leadership theories were developed encompassing characteristics from a broad understanding that evolved from the early industrial era to the rapidly changing political, business, and educational perspectives of the 21st century. In the field of PK-12 education, during the past twenty eight years there have been a number of notable studies of instructional leadership (e.g. Andrews & Soder, 1987; Bossert, Dwyer, Rowan, & Lee, 1982; Dwyer, 1985; Edmonds, 1979; Hallinger & Murphy , 1985; Leithwood, Begley, & Cousins, 1990; Leithwood & Montgomery, 1982). Although there has been significant work in developing theoretical constructs of leadership for the PK-12 educational arena and attempts to define leadership in broad terms, the focus on defining instructional leadership has been prevalent for the past twenty years. While Leithwood and Steinbach (1993) produced a study on total quality leadership that involved transformational leadership, the majority of research involving the effects of transformational leadership in the PK-12 educational arena has occurred since 2000. According to Krug (1992), instructional leadership is a combination of five dimensions of the principal’s role: “defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate” (p. 5). A basic understanding of these five dimensions of instructional leadership is: defining mission is framing the school’s goals, purpose, and mission to drive decision making and design. Managing curriculum and instruction is structuring programs and curriculum so there is coherence and alignment both within specific curricula and across programs. Supervising and supporting teachers involves providing professional development that incorporates various strategies related to instruction and learner needs. Supporting teachers also involves developing teacher’s human capital. Monitoring student progress is a process which involves interpreting and assessing relevant data to produce criteria for teacher instruction that best meets individual
  • 15. 3 learner needs. Promoting instructional climate is the development of a sound learning environment. Krug presented empirical evidence that a direct correlation exists between these five dimensions of instructional leadership and student achievement. Purpose Statement The purpose of this study was to develop a better understanding of how successful principals lead and more importantly how they assist their students achieve at higher levels through their role as principal. The study was conducted to determine if there existed a benefit derived for students in terms of higher academic achievement if principals attend to the various dimensions of instructional leadership and practice transformational leadership behaviors. Context The demand on the school principal, in terms of managerial work, is a result of a number of factors. State and federal departments of educations’ require creation of new policy writing, policy review and up-dating. The No Child Left Behind Act of 2001 (NCLB) introduced significant requirements that demand accountability through testing and a growing number of reporting documents. The Individuals with Disabilities Education Act of 1997 (IDEA) also has significant requirements to which all schools must conform and require administrative oversight on the part of the principal. This continually growing work load consumes an exceptional amount of time in the work day. The result is that important instructional leadership dimensions of the principal’s work load, defined by Krug (1992b) as “defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate” (p. 5) often are not attended to nearly as much as it should be.
  • 16. 4 The U.S. Department of Education conducted a policy forum on educational leadership over a two day period involving more than forty leading experts in the field of leadership. “Most participants agreed that the number one characteristic of an effective leader is the ability to provide instructional leadership. Yet . . . some studies suggest that as many as three-quarters of current principals are not skilled instructional leaders” (Riley, McGuire, Lieb, & Dorfman, 1999, p. 4). According to Peterson (1989) Universities, colleges, and professional organizations that educate school administrators . . . during in-service workshops should design distinctive training activities. These activities could focus on exerting influence through others, building school cultures, and shaping improvement programs in . . . school settings. Without more attention from principals, policy makers, and those training administrators, instructional leadership in . . . schools may remain relatively weak, when it could have a powerful impact on school improvement (p. 6). Identifying leadership behavior school principals need to encompass and display may or may not be the key to success in public education since each behavior may or may not match with an individual principal’s personality. However, given the consensus of participants of the U.S. Department of Education policy forum on educational leadership it does seem to have merit that principals should develop behaviors that foster leadership. Peterson (2002) suggested that “Over the next 5 years, districts are expected to replace more than 60% of all principals” (p. 213). The five years Peterson referred to have since passed. Since the most significant work in developing and defining instructional leadership occurred during the late 1980’s and 1990’s one might expect that academia would have evolved to prepare
  • 17. 5 the individuals who are new to the principalship role. Unfortunately, Grogan and Andrews (2002) state that many institutions follow tradition, “most university-based programs for the training of aspiring principals . . . might best be characterized as preparing aspiring principals … for the role of a top-down manager” (p. 238). The emphasis on student achievement and accountability for learning has raised the bar for students to leave the K-12 arena with the ability to succeed in a global economy by means of sound preparation for post secondary learning or having harnessed the skills necessary to move directly into the work force (Fulmer, 2006). Principals need preparation as instructional leaders to set high standards for achievement, to create a positive school culture for learning, and to develop the vision and school mission which entails a shared sense of purpose throughout their school’s community which will enable students to be academically successful (Chrispeels, 2002; Hallinger, 2003). On January 8, 2002, President Bush signed into law the No Child Left Behind Act of 2001. Fulmer (2006) states: State and national standards have been enacted and implemented in an attempt to improve student achievement and close the achievement gap (e.g., CSAP and NCLB). Since this legislation, responsibilities for principals have burgeoned to the extent that some fear the job can no longer be done by one person. (p. 110) This drive for accountability and raising achievement of all students to meet their potential for learning has placed a significant focus on instructional leadership. The debate as to whether PK-12 education should or should not be driven by state and national standards was not addressed. NCLB has placed principals and PK-12 administrators, in general, in an accountability mode so that all students will be successful learners. Theoretical Base
  • 18. 6 This study draws from two theoretical constructs including instructional leadership (Krug, 1992b) and full-range leadership (Avolio & Bass, 1995). Three decades of research exists that supports current beliefs and understandings of instructional leadership. The idea of instructional leadership began as a result of backlash within the education research community to the 1966 Coleman report that suggested family background was the major determinant of student achievement (Coleman et. al., 1966). Factors such as poverty or a parent’s lack of education prevented children from learning regardless of the method of instruction or school (Edmonds & Frederiksen, 1979; Jencks, 1972; Lezotte, 1992; Mace-Matluck, 1987). Coleman’s report stimulated spirited reactions that instigated a number of studies: • D’Amico (1982), The Effective Schools Movement: Studies, Issues, and Approaches • Edmonds (1979), Effective schools for the urban poor • Edmonds & Frederiksen (1997), Search for Effective Schools: The Identification and Analysis of City Schools that are Instructionally Effective for Poor Children • Frederiksen (1980), Models for Determining School Effectiveness • Hallinger & Heck (1998), Exploring the principal’s contribution to school Effectiveness: 1980-1995 • Klitgaard & Hall (1975), Are there unusually effective schools? • Weber (1971), Inner-city children can be taught to read: Four successful schools. These studies were initiated during what is referred to as the effective schools movement in the United States. Although a jump to transformational leadership occurred, Hallinger (2005) shows that instructional leadership is very much alive in his article: “Instructional Leadership and the School Principal: A Passing Fancy that Refuses to Fade Away”.
  • 19. 7 During the late 1980’s and beyond, education research in the area of leadership in general jumped to transformational leadership studies such as: • Barnett, McCormick & Conners (2001), Transformational Leadership in Schools: Panacea, Placebo, or Problem? • Gardin (2003), Impact of Leadership Behavior of Principals on Elementary School Climate • Gulbin (2008), Transformational Leadership: Is it a Factor for Improving Student Achievement in High Poverty Secondary Schools in Pennsylvania • Hallinger (2003), Leading Educational Change: Reflections on the Practice of Instructional and Transformational Leadership • Jantzi & Leithwood (1996), Toward an Explanation of Variation in Teachers Perception of Transformational Leadership • Leithwood (1992), Transformational Leadership: Where does it Stand? • Leithwood & Jantzi (1999a), Transformational School Leadership Effects: A Replication • Leithwood & Jantzi (1999b), The Effects of Transformational Leadership on Organizational Conditions and Student Engagement with School • Leithwood & Jantzi (2000b), The Effects of Transformational Leadership on Organizational Conditions and Student Engagement with School • Leithwood & Jantzi (2006), Transformational School Leadership for Large-Scale Reform: Effects on Students, Teachers, and their Classroom Practices • Leithwood, Jantzi & Fernandez (1993), Secondary School Teachers’ Commitment to Change: The Contributions of Transformational Leadership • Leithwood & Steinbach (1993), Total Quality Leadership: Expert Thinking Plus Transformational Practice
  • 20. 8 • Marks & Printy (2003), Principal Leadership and School Performance: An Integration of Transformational and Instructional Leadership • Mills (2008), Leadership and School Reform: The Effects of Transformational Leadership on Missouri Assessments • Philbin (1997), Transformational Leadership and the Secondary School Principal • Ross & Gray (2006), Transformational Leadership and Teacher Commitment to Organizational Values: The Mediating Effects of Collective Teacher Efficacy • Verona & Young (2001), The Influence of Principal Transformational Leadership Style on High School Proficiency Test Results in the New Jersey Comprehensive and Vocational High Schools. Suddenly, instructional leadership took a backseat in the research community. This change may have been warranted, but instructional leadership should continue to play a role in educational leadership research in conjunction with transformational leadership. Research Question The focus of this study was to explore the principal’s role in providing instructional leadership as defined by Krug (1992), transformational leadership as defined by Bass and Avolio (1995), specifically in the context of elementary education, and measuring the possible effect this principal leadership has on student achievement. Hypotheses address the correlation of instructional leadership in conjunction with transformational leadership and student achievement outcomes as measured by standardized testing which measure instructional outcomes. The research question this study explored, “What is the effect of transformational leadership in conjunction with instructional leadership on student achievement?”
  • 21. 9 Independent variables were instructional leadership and transformational leadership practices. The dependent variable was student achievement. Method This study utilized a correlational approach to examine two leadership constructs, instructional leadership and transformational leadership, in the realm of elementary principalship in public schools. This study attempted to determine if there existed a correlation between principals who practiced both instructional leadership and transformational leadership resulting in instruction that fostered higher student academic achievement. Further, what correlation existed between principals who practiced one of the two constructs or neither with student academic achievement for comparison to student academic achievement with principals who perform both constructs. Participating principals completed both the Principal Instructional Management Rating Scale (PIMRS), Hallinger (1982), and Multifactor Leadership Questionnaire (MLQ-5X) short- Self Report surveys developed by Bass and Avolio (1995) while their respective teacher participants completed the PIMRS teachers’ survey, Hallinger (1982) and MLQ-5X rater survey. “The first published version of the MLQ … contained 67 items measuring the [full-range- leadership] FRL Model (with 37 of these items assessing transformational leadership)” (Bass & Riggio, 2006, p.21). This study used the Bass and Avolio 1995 revised version of the MLQ (5X). “The current, revised form of the MLQ (5X) … is substantially refined and contains 36 standardized items, 4 items assessing each of the nine leadership dimensions associated with the FRL model” (p. 21). Between 1983 and 2008, 119 doctoral studies have used the Principal Instructional Management Rating Scale (PMIRS) to collect data relating to instructional leadership (Hallinger,
  • 22. 10 2008). In terms of reliability, Hallinger (2008) states “while relatively few researchers using the instrument sought to replicate the initial findings, several did. The replication studies of reliability and validity included Howe (1995), Jones (1987), Nogay (1995), Sawyer (1997), Taraseina (1993), [and] Wotany (1999)” (p. 24). Assumptions The most important assumption being made was that there would be significant statistical difference in Wisconsin Knowledge and Concept Examination (WKCE) results for students who have principals who practice both instructional leadership and transformational leadership versus students who have principals who do not practice these leadership constructs. Another assumption was that principals actually practiced the five, or at least three of the five, dimensions of instructional leadership rather than designating various dimensions of instructional leadership to other staff members. Furthermore, that teachers of principals’ who designate dimensions of instructional leadership to other staff members would still identify their principal as exercising instructional leadership through others when completing the PIMRS teacher survey. There was an assumption that principals would not be attributed leadership constructs that were occurring in a school, if the occurrence could not be attributed to the principal, but rather another staff member or members. An assumption was made that there would be enough practicing elementary principals who have been operating in their current building for at least three years and further that at least 60 would be willing to participate in this study. It was anticipated that principals, as professionals, would have a desire to be involved in a study that could potentially assist academia to better prepare future principals for the jobs they will do.
  • 23. 11 An assumption was made that teachers would be willing and perhaps eager to participate in this study, by rating their principal, for the purpose of assisting their principal in terms of professional growth. Some of these assumptions are drawn from the researcher’s belief that as professionals, principals and teachers would be interested in participating in research that may help improve student instruction and they would take the time to complete the surveys. This belief stems from what the researcher feels is a duty or a responsibility that is embedded with being a professional. Delimitations and Limitations As with all correlational research, there is limited possibility of causal inferences. Although the instructional leadership model as defined by Krug (1992) and transformational leadership construct by Bass and Avolio (1995) may have significant empirical evidence to support theoretical rational, this study was devised to identify cause-and-effect relationships. Gall, Gall, and Borg (2005) state It is difficult to make inferences about cause and effect from results of a correlational study. When variables A and B are correlated, researchers cannot definitively conclude that A caused B, that B caused A, or that both A and B are caused by some third variable, C. (p. 220) In this study there may have been significant factors such as the socioeconomic background of students, teacher expertise, and other anomalies that could have skewed survey results. Another limitation of correlational research can be chance findings. It was possible for variables to correlate by chance alone rendering future replication of the study unlikely to generate similar findings (Gall, Gall, & Borg, 2005).
  • 24. 12 The fact that student achievement was measured for correlation purposes using Wisconsin Knowledge and Concepts Exam (WKCE) results should not present an issue for reproducing this study in the future, however the WKCE will be replaced in the next few years with another form of testing and this could present a limitation. One limitation for this study was that results may not be generalized across middle and senior high school settings. A delimitation existed due to the fact that transactional leadership behaviors were not initially considered within the context of the hypotheses. Had all aspects of full range leadership been incorporated in the hypotheses, there would have been a wider depth of leadership understanding in the elementary educational arena for future research to reaffirm or disprove. A limitation may exist due to the lack of large metropolitan schools within the study. Larger school districts have resources that are not available in smaller districts. Significance This study focused on the premise that one of the most accepted definitions of instructional leadership involving five broad dimensions: defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate, as determined by significant research over several decades, is not leadership, but rather a list of managerial functions necessary to master and implement through a form of leadership. These include: • Austin (1978), Process Evaluation: A Comprehensive Study of Outliers • Brookover & Lezotte (1979), Changes in School Characteristics Coincident with Changes in Student Achievement • D’Amico (1982), The Effective Schools Movement: Studies, Issues, and Approaches
  • 25. 13 • Edmonds (1979), Effective Schools for the Urban Poor • Frederiksen (1980), Models for Determining School Effectiveness • Hallinger (1982), The Development of Behaviorally Anchored Rating for Appraising the Instructional Management Behavior of Principals • Hallinger & Murphy (1985), Assessing the Instructional Management Behavior of Principals • Krug (1990a), Leadership and Learning: A Measurement-Based Approach for Analyzing School Effectiveness and Developing Effective School Leaders • Krug (1990b), Current Issues and Research Findings in the Study of School Leadership • Krug (1992a), Instructional Leadership: A Constructivist Perspective • Krug (1992b), Instructional Leadership, School Instructional Climate, and Student Learning Outcomes • Leithwood & Montgomery (1982), The Role of the Elementary School Principal in Program Improvement • Lunenburg (1990), The 16PF as a Predictor of Principal Performance: An Integration of Quantitative and Qualitative Research Methods • New York State Department of Education (1974), School Factors Influencing Reading Achievement: A Case Study of Two Inner City Schools • New York State Department of Education (1976), Three Strategies for Studying the Effects of School Process • Rutter, Maughan, Mortimore, Ouston & Smith (1979), Fifteen Thousand Hours: Secondary Schools and Their Effects on Children • Weber (1971), Inner-City Children can be Taught to Read: Four Successful Schools) over several decades
  • 26. 14 Principals, or principal’s designees, need to attend to these five dimensions of school management to provide the K-12 arena with a sound basis for high academic achievement; however the process with which these dimensions are administered may or may not be defined as leadership. The process could be managerial in nature. Broadly defined, management is a “secondary social practice through which administrative regulation and control is established and maintained over those activities and relationships in which non-managerial practitioners are engaged by virtue of their membership of communities of primary productive practice” (Reed, 1984, p.281). Traditional functions of management involve planning in terms of meeting goals and being ready for crises, staffing in terms of recruiting and training, organizing in terms of time management and team building, controlling in terms of quality of methods, productivity, and people, and leading through communication and motivation. Drucker (1986) identifies five basic operations of the managerial role: set objectives, organize, motivate and communicate, measure, and develop people. These five basic operations are similar to the five dimensions of Krug’s definition of instructional leadership: setting objectives is similar to defining mission, organize could match up with managing curriculum and instruction, developing people is similar to supervising and supporting teaching, measurement is similar to monitoring student progress, and motivating and communication could relate with promoting instructional climate. Drucker (1986) suggests that leadership “cannot be created or promoted. It cannot be taught or learned” (p. 158). He repeatedly remarks that management is no substitute for leadership, but “management cannot create leaders. It can only create the conditions under which potential leadership qualities become effective” (p. 159). However, the primary functions of management involves organizing and controlling something where “leadership is an influence
  • 27. 15 relationship among leaders and followers who intend real changes that reflect their mutual purposes” (Rost, 1993, p. 102). Bennis and Nanus (1985) espoused that leadership is not about control, direction, and manipulation nor is it restricted to charismatic people, but that leadership is usually found in ordinary people and is open to all; essentially stating that all people have potential for leadership. Further, the reason leadership was lacking in society may be because leadership had been largely overlooked as a topic for serious academic research and that people did not understand it. These researchers argue that leadership can be created, promoted, and learned. In the PK-12 arena, is the principal a manager or leader? Is the principal both? What is the nature of the principal’s primary duties and responsibilities and if those duties and responsibilities are managerial in nature, what effect in terms of student achievement would transformational leadership play in carrying out these duties and responsibilities? Conclusion Rost (1993) provides a rather long list of definitions or understandings of leadership that could lead one to believe that the study of leadership has been somewhat elusive. Leadership in the field of education is no exception; significant research has been conducted throughout the evolution of the effective schools movement since the late 1960’s and early 1970’s. Early on, the main research thrust centered on instructional leadership as a construct through the late 1990’s and continuing to a significantly lesser degree on through 2010. The introduction of transformational leadership as a construct, mainly by Leithwood, in the field of education started in the 1990’s (Jantzi & Leithwood, 1996; Leithwood, 1992; Leithwood, 1994; Leithwood & Jantzi, 1998; Leithwood & Jantzi, 1999; Leithwood, Jantzi, & Fernandez, 1993; Leithwood, Jantzi, & Steinbach, 1999; Leithwood & Steinbach, 1993; Lezotte, 1992; Liontos, 1992; Philbin,
  • 28. 16 1997), but has mainly taken off after 2000 (Barnett, McCormick, & Conners, 2001; Dorward, 2009; Estapa, 2009; Fisher, 2003; Gardin, 2003; Gulbin, 2008; Hallinger, 2003; Leithwood, Aitken, & Jantzi, 2001; Leithwood, & Jantzi, 2000a; Leithwood & Jantzi, 2006; Lyles, 2009; Marks & Printy, 2003; Mills, 2008; Niedermeyer, 2003; Ross &Gray, 2006; Verona & Young, 2001; Witziers, Bosker, & Kruger, 2003). Research began to focus more on how principals do what they do rather than what they do as a shift in the study and research of leadership in general towards transformational leadership took place. Two major studies were conducted that involved both constructs together, Hallinger (2003) Leading Educational Change: Reflections on the Practice of Instructional and Transformational Leadership and Marks and Printy’s (2003) Principal Leadership and School Performance: An Integration of Transformational and Instructional Leadership, but other than those two, there appears to be a clean and decisive break in the research where instructional leadership research nearly stopped and transformational leadership research took off. With all that had been learned and developed within the instructional leadership construct in the three decades leading up to the year 2000, perhaps there is still a place for it in conjunction with transformational leadership or some other leadership behavior that is conducive to higher student academic achievement. Within the realm of elementary principal leadership, this study uses a correlational approach to examine the relationships between transformational leadership conceived by Burns (1978) and later extended by Bass (1985) and operationalized by Bass and Avolio (1988), instructional leadership as defined by Krug (1992), and academic achievement measured by Wisconsin Knowledge and Concepts Examination (WKCE). This study may add to existing research suggesting change is necessary in the way principals are trained for the PK-12 educational arena. This effort should inspire greater
  • 29. 17 attention for research involving instructional leadership as a model in conjunction with the behaviors of transformational leadership. With the ensuing need for all students to attain proficiency required by NCLB, principals, as central leaders within their schools, need to be better equipped to lead their respective staffs to meet the demands of raising the overall academic achievement of students. This research should provide answers as to how this challenge needs to be addressed. This study provides a new perspective on how the two constructs, instructional leadership and transformational leadership, work in tandem. A review of previous research in the areas of instructional leadership and transformational leadership was conducted to ascertain previous knowledge and build upon what was known. Appendix A provides a definition of terms. Elementary principals throughout the state of Wisconsin, excluding the large metropolitan area in and surrounding Milwaukee, Wisconsin, were invited to participate in this study. Of the well over 1000 principals invited to participate, 31 completed two surveys, the Principal Instructional Management Rating Scale (PIMRS), Hallinger (1982), and the MLQ-5X, Bass & Avolio (1995). A minimum of three teachers associated with each principal also completed the rater form of the two surveys. Analysis was then conducted on the collected data, Pearson’s correlation, Kendall’s tau- b, and Spearman’s rho tests were used to determine if there was a correlation between leadership behaviors and higher student academic performance as measured by the Wisconsin Knowledge and Concept Examination (WKCE). Principals need the necessary tools to be effective educational leaders to facilitate high student achievement. On-going research is necessary to determine what the tools are and how principals need to use them. This research project adds to that necessary knowledge.
  • 30. 18 CHAPTER 2 LITERATURE REVIEW This literature review of literature provides an examination of the roots of the effective schools movement and how it leads to the formation of instructional leadership as a K-12 education leadership construct. Instructional leadership is a composition of what it is believed that principals in the K-12 educational arena need to focus on to ensure high academic achievement. The review then examines research findings pertaining to full-range leadership. Specifically, the review focuses on transformational leadership and to a lesser extent transactional leadership, spotlighting transformational leadership as it is studied in educational context. The purpose of this study was to develop a better understanding of how successful principals lead and more importantly how they assist their students achieve at higher levels through their role as principal. To determine this, it is important to reveal the nature of the principal’s primary duties and responsibilities and what leadership behaviors provide the necessary means to provide the environment that leads to high student achievement. This research study was conducted to determine if there was a benefit derived for students in terms of higher academic achievement if principals attended to the various dimensions of instructional leadership and practiced transformational leadership behaviors. The literature review examines how instructional leadership developed through the effective schools movement in terms of what it is, how research and educational literature has shaped its’ understandings and meaning among educators, and what has been prescribed as best practice to be successful in facilitating high student achievement. The literature review also examines the beginnings of transformational leadership, the history of how transformational
  • 31. 19 leadership fits within the full-range leadership construct, and the research that has been done involving transformational leadership studied in educational context. Through examination of the past three decades of principal leadership research, there is a distinction between the effective school movement research centered on instructional leadership and the introduction of principal leadership research centered on transformational leadership. With the exception of an article by Hallinger (2003) and Marks and Printy’s (2003) study, there is a gap in the research where a jump was made from instructional leadership to transformational leadership research. Although there have been a number of dissertations published in this area, major works involving both instructional leadership and transformational leadership constructs appears to be lacking. Effective Schools Movement To develop an understanding of instructional leadership it is necessary to examine its origin through the evolution of the effective schools movement. “Lezotte (1986) has identified four ‘critical’ periods that mark the epochs of the Movement’s evolution: 1966-76, 1976-80, 1980-83, and 1983-present [1986]” (Mace-Matluck, 1987, p. 5). Beyond these time frames research began to focus more on how principals do what they do rather than what they do. It is during the timeframe between 1986 and the present that a jump took place from studying instructional leadership to transformational leadership. Effective Schools Movement 1966-1976. The first critical period identified by Lezotte spans ten years. Notable historical landmarks that occurred during and just prior to this period include the Civil Rights Act of 1964 and the Equal Educational Opportunity Survey (Coleman; 1966). The Civil Rights Act “sought to ensure equal rights of all citizens, including equality of educational opportunity in public
  • 32. 20 schools. In conjunction with the Civil Rights Act, Congress provided funding under which Coleman and his colleagues conducted [the] . . . Equal Educational Opportunity Survey” (Mace- Matluck, 1987, p. 6). The Coleman report concluded that family background was the major determinant of student achievement. Factors such as poverty or a parent’s lack of education prevented children from learning regardless of the method of instruction or school (Edmonds & Frederiksen, 1979; Jencks, 1972; Lezotte (n.d.); Lezotte, 1992; Mace-Matluck, 1987). Lezotte (no date) states: “the report stimulated a vigorous reaction, instigating many of the studies that would come to define the research base for the Effective Schools Movement” (np). Accordingly, Klitgaard and Hall set out, along with other colleagues, to explore the question, “Do effective schools exist?” Their 1974 report is important for historical as well as substantive reasons: it was the first rigorous, large-scale effort to identify effective schools. (Mace-Matluck, 1987, p. 8) What they found was strikingly different than the Coleman report. Klitgaard and Hall (1974) used regression analysis of achievement data, but focused on the top 100 and bottom 100 outlier schools present in a study by Fetters, Connors, and Smith who had reanalyzed the Coleman data and “constructed a histogram of residuals from their regression of achievement scores against various background measures of 2,392 schools” (p. 94). Klitgaard and Hall were able to identify schools that “were statistically ‘unusual,’ but [stated] whether they were unusually effective depends on one’s subjective scale of magnitude” (p. 104-105). High achieving schools “comprised 2 to 9 percent of the sample and averaged about 0.4 to 0.6 of an interstudent standard deviation above the mean per test” (p.104). Others, who followed in this line of research, were also able to identify schools that made a difference in achievement scores for all children regardless of the student’s socio-economic background (D’Amico, 1982; Edmonds,
  • 33. 21 1979; Edmonds & Frederiksen, 1979; Frederiksen, 1980; Hallinger, 2003; Hallinger & Heck, 1998; Lezotte, 1992; Mace-Matluck, 1987; Weber, 1971). This spurred a number of researchers to determine the factors relevant to the disparity between effective and non-effective schools. A study conducted by Weber (1971) sought to identify operating processes of successful inner-city schools serving urban poor children. Weber’s study examined four successful inner- city schools, among 95 nominated, via case study. He found several factors that were common to the four: Strong leadership [in three cases it was the principal, in the other it was the area superintendent]; High expectations [school staff held high expectations with regard to school achievement of inner-city children]; Good atmosphere [school climate was characterized by order, a sense of purpose, relative quiet, and pleasure in learning]; careful evaluation of pupil progress; and Strong emphasis on reading” [; Weber’s outcome measure focused on reading] (p. 30). Ronald Edmonds states subsequent research showed that factors including “leadership, expectations, atmosphere, reading emphasis, and assessment” (1979, p. 16) substantiate that Weber was correct. Furthermore, “in 1974, the State of New York’s Office of Education Performance Review published a study that [also] confirmed certain of Weber’s major findings” (p. 16). Mace-Matluck (1987) cited six outlier studies, three from New York, one from Maryland, one from Michigan, and one from Delaware conducted in this time frame stating “the results of these outlier studies are amazingly consistent” (p. 10). Review of studies, two in New York State and one in Austin Texas: School factors influencing reading achievement: A case study of two inner city schools (New York State Department of Education, 1974), Three strategies for studying the effects of school process (New
  • 34. 22 York State Department of Education, 1976), and Process Evaluation: A Comprehensive Study of Outliers (Austin, 1978) shows consistent findings for high-achieving schools in the following areas: principals exercised instructional leadership, set high expectations for student and teacher performance, school staff had greater experience, higher teacher ratings, teachers were open to trying new things, schools tended to have open space facilities, and a learning environment with fewer discipline problems. During this initial period of the effective schools movement, it became clear that effective schools did exist and more importantly that socio-economic status, although prevalent in terms of schools with low achievement, was not the deciding factor. The foundation had been laid for researchers to answer a far more daunting question. What are the factors that must be addressed to change schools to be become more effective? Effective Schools Movement 1976-1980. During the second period 1976-1980 of the school effectiveness movement, several characteristics and correlates of effective schools were identified. Edmonds (1982) formally identified five characteristics of effective schools in a paper entitled Programs of School Improvement: An overview. These initial characteristics were as follows: (1) the leadership of the principal notable for substantial attention to the quality of instruction, (2) a pervasive and broadly understood instructional focus, (3) an orderly, safe climate conducive to teaching and learning, (4) teacher behaviors that convey the expectation that all students are expected to obtain at least minimum mastery and (5) the use of measures of pupil achievement as the basis for program evaluation. (p. 6)
  • 35. 23 According to Mace-Matluck (1987) the list of correlates changed somewhat during the late 70’s and early 80’s. Mace-Matluck made this assertion upon her interpretation of the results of the following case studies: “Brookover and colleagues at Michigan State (1979), Brookover and Lezotte (1979), Rutter and colleagues from England (1979), the California State Department of Education (1980), Glenn (1981), Levine & Stark (1981), and Venezky & Winfield (1981)” (p. 8). Review of these studies and others revealed there was a change that occurred. However, it had to do more with Mace-Matluck’s, as well as others, interpretation and the wording of the resulting correlates. Through review of a number of secondary source articles that repeated the new wording of correlates, it appears that this may have opened the door to misunderstandings of the correlates. Leadership of the principal derived from the original major works referred to leadership in the following ways: strong administrative policies, behaviors, and practices (or instructional leadership); strong leadership; a crucial instructional role; and a demanding leader. Many secondary source publications placed the label “instructional leadership” on these findings and referred to it as strong leadership. In several articles, authors also made reference for the need for principals or instructional leaders to be more involved in the instructional process which evolved into the need for instructional leaders to managing curriculum and instruction. The term instructional leadership took on meaning, but lacked a definition. Similarly, ‘a pervasive and broadly understood instructional focus’ (Edmonds, 1982) throughout the secondary literature was referred to as ‘a clear set of goals and an emphasis for the school’ and later evolved into the school mission, but the primary research actually identified this as the establishment of student expectations. The correlate: ‘an orderly, safe climate conducive to teaching and learning,’ (Edmonds, 1982) was seldom mentioned as a separate correlate, but rather as an extension of what ‘strong
  • 36. 24 leadership’ provided in the primary research. However, the secondary literature took hold of this as a stand alone correlate that appeared frequently in the literature. The correlate ‘teacher behaviors that convey the expectation that all students are expected to obtain at least minimum mastery’ (Edmonds, 1982) was actually characterized in the primary research in terms of stress on non-school factors often leads to a justification for failure, high expectations on the part of teachers, and belief that all children can learn. Again, the secondary literature developed a misrepresentation, high expectations by staff for student achievement. Although there is general congruence in meaning it is important to note that obtaining at least minimum mastery was lost in the translation. The correlate ‘use of measures of pupil achievement as the basis for program evaluation’ (Edmonds, 1982) evolved into frequent monitoring of student progress throughout most secondary literature. This was perhaps the most significant change and diverged greatly from the intent of the primary research findings. The primary research spoke of follow-up monitoring of the children’s abilities for the purpose of remediation and re-teaching. The essence of monitoring student achievement was two fold in the primary research findings. It was to ensure students who failed to master minimum skill had further instruction and to ensure that teachers learned to make necessary adjustments in terms of future direct instruction. A new correlate emerged during this time frame. The primary research was fairly consistent about the necessity of an effective school wide staff training program. However, this correlate is also an interpretation of a number of different findings. Primary research referenced it as teachers need to be well trained, staff development must be tied to the instructional program, and continuous in-service training is necessary. Some primary research made reference to experienced staff and tenured staff as being important for high achieving schools. These
  • 37. 25 findings evolved from primary research centered on determining what the factors were in schools of poor black children, and a few that simply studied socioeconomic disadvantaged urban schools, that enabled them to be generally successful. This resulted in literature review works and articles that solidified the correlate as a necessity for effective schools. The practice of the interpretation of these correlates by well know researchers such as Bossert, Dwyer, Rowan, & Lee (1982), Bridges (1982), Edmonds (1982), Hallinger & Heck (1998), Leithwood & Montgomery (1982), Lezotte (1992), etc., found throughout available literature, i.e. Review of Educational Research, Journal of Curriculum Studies, Educational Evaluation and Policy Analysis, North Central Association Quarterly, National Elementary School Principal, Principal Leadership, American Educational Journal, Educational Researcher, etc., generated a list of effective schools characteristics that appear to be sound on the surface. However, it appears the term “instructional leadership,” albeit commonly used, was still open to wide interpretation. A study published by Brookover and Lezotte (1979) involved eight Michigan schools, six of which were identified as improving and two as declining in achievement, expanded the list of correlates finding 10 factors attributed to higher student achievement. The ten factors attributed to providing higher student achievement were: • Improving schools accept and emphasize the importance of basic reading and math objectives • Staff of improving schools believe all students can master basic skills objectives and they believe the principal shares this belief • Staff of improving schools expect higher and increasing levels of expectations from their students
  • 38. 26 • Staff of improving schools assume responsibility for teaching basic reading and math skills and are committed to do so • Staff of improving schools spend more time on achieving basic reading and math skills objectives • Principals at improving schools are likely to be assertive instructional leaders and disciplinarians and they assume responsibility for the evaluation of the achievement of basic skills objectives • Staff at improving schools accept the concept of accountability based on standardized testing • Teachers at improving schools are generally not satisfied or complacent, they tend to experience tension and dissatisfaction with low student achievement • Parent involvement differences between improving and declining schools remains unclear, however there appears to be less parent contact in improving schools • Improving schools do not emphasize paraprofessional involvement or heavy teacher involvement in the selection of students for compensatory education programs. (Brookover & Lezotte, 1979, pp. 66-69) Rutter, Maughan, Mortimore, Ouston, and Smith (1979), found seven significant constants existed in successful schools. Successful schools held higher expectations for children to achieve; spent more time on the lesson topic rather than setting up equipment, distributing materials and dealing with discipline; provided a variety of rewards, praise and appreciation, specifically important was the use of frequent immediate positive reinforcement; put effort into providing a pleasant and comfortable learning environment; enabled opportunities for a greater percentage of the student body to take on responsibilities and have input on the general operations of the school; teacher continuity held both advantages and disadvantages depending
  • 39. 27 on how well the individual student got along with the teacher; and functioned as a coherent whole with agreed ways of doing things, provided a consistent process for checking student work, and planned lessons and curriculum jointly. From these correlates and identified characteristics, a definition of effective schools began to take shape. Mace-Matluck (1986) (as cited in Mace-Matluck, 1987) developed a composite definition based on a survey of the current literature. However, she acknowledged details varied among researchers and studies and indicated some aspects of the composite definition may have been attributed to secondary source works. An effective school is one in which the conditions are such that student achievement data show that all students evidence an acceptable minimum mastery of those essential basic skills that are prerequisite to success at the next level of schooling. (p. 11) Unfortunately, with the inconsistent findings in studies, it was still difficult to identify a definitive recipe that principals could focus attention towards. The focus of the majority of studies during this time frame concerned primary grades involving reading and math skills. It is for this reason that it is important to note that the conceptual form of a list of characteristics, for successful schools, for any given study needs to be viewed in line with the focus of the study that generated the list. Studies prior to this time frame and some during this time frame were not directly focused on primary grade reading and math skills. Some studies searched for generalizations among identified successful schools and therefore generated markedly different characteristics. Also notable is that there is still no agreed upon definition or list of characteristics which strong administrative leadership or instructional leadership encompasses.
  • 40. 28 Although there were many unanswered questions and a multitude of prescribed practices, the second period of the effective schools movement clearly asserted that effective schools did exist and further that socioeconomic and family background were not sufficient reasons for students’ failure to be successful. Edmonds (1979) who was involved heavily with research, along with Frederiksen, of poor black children and urban schools in general writes “pupil family background neither causes nor precludes elementary school instructional effectiveness” (p. 21). Unanswered questions centered on four issues; what is educational effectiveness, what is instructional leadership, how to deal with a mismatch between general conclusions and specific studies’ results, and the extensive lists of definitions and characteristics are too great in number, thus impractical for developing a single recipe for implementation. However, even though these issues existed, the research during this period created a movement in which “effective schools and their characteristics became models for school improvement . . . in some cases, as a basis for far-reaching educational policy decisions and large-scale school improvement initiatives” (D’Amico, 1982, p. 4). Effective Schools Movement 1980-1983. The third effective schools movement period identified by Lezotte extended three years, from 1980 to 1983. Hallinger and Heck (1998) identify this era as the beginning of a 15 year period from which empirical literature specifically related to principal contributions to school effectiveness moved to the forefront of research endeavors. Previous research clearly identified that “in the search for factors that influence school effectiveness, the role of the elementary school principal has emerged as critical” (Leithwood & Montgomery, 1982, p. 309). Bossert et al. (1982) agree, “recent work on ‘successful schools’ underscores the importance of instructional leadership, especially the role of the principal in coordinating and controlling the
  • 41. 29 instructional program” (p. 34), but also that “little is known about how instructional management at the school level affects children’s schooling experiences” (p. 34). The daunting effort to identify these factors initiated this short three year time period. Entering this time period, there appeared to be four common characteristics of successful schools within research: a school climate conducive to learning and generally free of disciplinary issues, a school-wide emphasis on mastery of basic skills in reading and math; a common belief that all children can learn; and instructional objectives which are based on minimal expectations of basic skills mastery and student achievement monitoring assessments in place to insure students received further instruction (Austin, 1978; Brookover & Lezotte, 1979; Edmonds, 1979; Edmonds & Frederiksen, 1979; Frederiksen, 1980; Rutter, Maughan, Mortimore, Ouston, & Smith, 1979). The missing element in this list is leadership. Edmonds (1982) states that a fifth characteristic has been both identified and widely disseminated, “the leadership of the principal [is] notable for substantial attention to the quality of instruction” (p. 6). Furthermore, Bossert, Dwyer, Rowan, and Lee (1982) suggest that studies to this point also indicate that the conditions created above are in large part due to school principals who are perceived to be “strong pragmatic leaders” (p. 35). However, Bossert, et al. (1982) also points out that research has not focused causal ordering of variables and therefore “current work on successful schools does not link instructional management practices with instructional outcomes that exist in successful schools” (p. 36). In large part this is due to findings that no style of leadership was found that worked consistently in successful schools. Principal behaviors had different affects in different school settings. Such findings reaffirmed Hersey and Blanchard’s situational leadership and Fiedler’s contingency theories found in what was current literature at that time.
  • 42. 30 Bridges (1982), in his research of 322 research reports, identified a number of issues that presented conceptual and methodological obstacles necessary to overcome what he identified as major gaps in the research leading up to this time frame. The issues listed included stability of impact, neutrality of impact, generalized impact, uniformity of impact, and management impact. Researchers ignored the transitory nature of administrator behaviors over time, did not take into account the possibility that administrator effects were not independent of one another, assumed that findings in one school setting were valid across all educational settings, assumed that administrator behavior would hold identical effects with other administrators, and that no casual comparison has been identified between administrator behavior or practice and a specific desired outcome. The issues Bridges’ research divulged led him to conclude that defining a recipe for successful school leadership would “not be completed easily or quickly” (p. 29). Murphy, Hallinger, and Mitman (1983) echoed these results stating that the methodological areas identified included generalizability, lack of exploratory models, lack of behavioral indicators, and premature application of research findings. From an organizational perspective, they found misconceptions about management, misconceptions about leadership, and misallocation of time devoted primarily to internal organizational considerations. These authors also concluded that there was a lack of original research, lack of clarity in terminology with respect to leadership, and a lack of attention to indirect leadership. Effective Schools Movement 1983-1986. The last time frame identified by Lezotte, 1983-1986, is marked with a plethora of practitioner resources to understand and implement successful schools; Educational Administration Quarterly, Educational Leadership, Educational Management, Administration, & Leadership: EMAL, Phi Delta Kappan, Review of Educational Research, etc. are replete with
  • 43. 31 articles extolling the research findings of the effective schools movement. How to books were available such as Reaching for Excellence: An Effective Schools Sourcebook (Kyle,1985), Implementing School Improvement Plans: A Directory of Research-Based Tools (Fleming & Buckles, 1987), Research-Based Strategies for Bringing About Successful School Improvement (Mace-Matluck, 1986a), and Research-Based Tools for Bringing About Successful School Improvement (Mace-Matluck, 1986b). In essence, the effective schools movement information became readily available for practitioners. The recipe for producing effective schools was available. With subtle variations between sources, administrators needed to promote the instructional climate, place emphasis on mastery level of basics, develop a school wide belief that all children can and will learn, monitor student progress, and provide direct assistance for development of teacher skills as the instructional leader. Beyond Lezotte’s four ‘critical’ periods that marked the epochs of the effective schools movement, the study of instructional leadership began to envision instructional leadership from different points of view. Researchers were fairly clear on what needed to happen in schools, but how it occurred was still somewhat illusive. Anderson (1990) addressed this issue from a functionalistic approach. “Most current empirical research in education administration – whether of a positivist or naturalistic paradigm – is incapable of studying such phenomena because it lacks a critical approach to research” (p. 43). Unfortunately, the study of instructional leadership from the critical functionalistic approach encounters several immediate tribulations. As Krug (1992a) addressed this issue, “the contexts in which instructional leaders operate vary tremendously as do the opportunities they encounter for expressing leadership in these difficult contexts” (p. 6). The manner with which an administrator addresses the various aspects of instructional leadership are as varied as the number of administrators and although many schools
  • 44. 32 share some environmental aspects, there are an infinite number of factors that shape them such as the socioeconomic background of the staff and student body and the resources available to individual schools in terms of fiscal matters, staff knowledge, and staff training. In large part, the effective schools movement research reviews seemed to have come to rest on the shoulders of the school principal regarding the role the school principal plays as instructional leader. However, Hallinger and Murphy (1985) note that the lack of research on instructional management has effected school administrators in several ways. Instructional management (used synonymously in this paper with instructional leadership) has meant anything and everything; an administrator trying to be an instructional leader has had little direction in determining just what it means to do so. (p. 217) Instructional Leadership Research Hallinger and Murphy were enlisted by a school district in 1985 to develop a study to describe and measure instructional management behavior related to a principal’s behavior in terms of defining the school mission, managing the instructional program, and promoting the school learning climate. To perform this study the Principal Instructional Management Rating Scale (PIMRS), developed by Hallinger (1982), was used. This instrument, consisting of 71 items, segmented defining school mission into framing school goals and communicating school goals. It segmented managing the instructional program into three parts: supervising and evaluating instruction, coordinating curriculum, and monitoring student progress. And segmented promoting school climate into six parts: protecting instructional time, promoting professional development, maintaining high visibility, providing incentives for teachers, enforcing academic standards, and providing incentives for students. The items were designed to
  • 45. 33 be answered by principals, teachers and district administrators. Each item is answered on a five point Likert scale, one representing almost never to 5 representing almost always. The original version of the PIMRS also had a “?” option as a response. Unfortunately, Hallinger and Murphy reported that several principals’ self ratings were inconsistent with those of their respective teachers and supervisors. The notable outcome from Hallinger and Murphy’s research was three-fold. These researchers acknowledged that instructional management and instructional leadership occurred synonymously, a pattern emerged that showed that a principal who ranked highly in one area ranked highly on other job subscales, and the development of the PIMRS advanced the necessary movement from description to measurement of instructional leadership. Noting that instructional management and instructional leadership are used synonymously suggests that these researchers do not differentiate management and leadership. This begs the question, does the method and tool(s) used in the study help foster an understanding of leadership within the K-12 arena to any extent at all? The fact that principals who scored well in one area were found to score well in most or all areas may tell us something about the individuals, but does not aid our understanding about how individual aspects of instructional leadership work independently. The PIMRS did advance the movement from description to measurement of instructional leadership. However, Krug (1990a) identified several issues with the construction of the PIMRS: Many of the items are long and complex. Evidence for its reliability or validity is relatively limited and /or difficult to obtain as there were only ten principals/schools involved. No norms have been developed to facilitate comparative applications. Little is known about the sensitivity of the instrument to differences arising from demographic factors such as school type
  • 46. 34 (elementary, middle, secondary), school size, gender, or age. And, the PIMRS makes no attempt to assess contextual factors that might moderate or influence the interpretation on individual scores. Although Hallinger and Murphy (1985) presented findings across ten subscales that identified the instrument as both reliable and valid they give credence to Krug’s criticism stating: “the absence of outcome data limited our ability to test the external validity the instructional leadership construct or to comment on the relative importance of the various principal functions, policies, practices, or behavior” (p. 232). Having acknowledged that school leaders have both a direct and indirect affect on student achievement, Krug conducted several studies. Krug (1990a) attempted to answer questions about how school leadership influenced learning and achievement. In this study Krug used the 1988 final version of the Instructional Leadership Inventory (ILI) self-report instrument for administrators, developed by Maehr and Ames, and the Instructional Climate Inventory (ICI) that mirrors the ILI instrument for cross-checking administrator’s responses, developed by Maehr, Braskamp, and Ames. The result of this study produced a set of “psychometrically refined instruments” (p. 21), found to be reliable and valid, the beginnings of researchers’ ability “to understand the structure of school leadership behavior better” (p. 21), and “identified important dimensions of school climate through which school leaders influence the motivation of both teachers and students” (p. 21). Krug (1990b) published work establishing two important findings: “(a) What leaders believe about their work is paramount in explaining differences between leaders, and (b) what we learn about instructional leadership is highly dependent upon whom we ask” (p. 2). In order to develop an understanding of what were principals’ beliefs, an experience sampling methodology (ESM) signaled 81 principals at random times between 7:00 a.m. and 9:00 p.m.
  • 47. 35 five times per day over a five consecutive day period. Principals would then “record what they were doing, their interpretation of that activity, and their feelings at the time” (pp. 15-16). In addition to this, the ILI was used to determine leadership effectiveness. The data revealed that principals engaged in the same types of activity exercising their instructional leadership, but their beliefs about what they were doing differed significantly. The conclusion drawn from this Krug states: “more effective instructional leaders conceptualize and utilize these activities as opportunities for exercising instructional leadership. In other words, instructional leadership can be better conceptualized as an approach to school administration rather than as a specific set of practices” (p. 20). This study employed the ICI-T instrument to alleviate self-report bias. Two findings were derived from this aspect of the study. First the teacher ratings of instructional leadership behavior correlated significantly well with principal self-reports using these instruments and second that “teachers may not fully understand the motives that underlie a principal’s actions, yet they may still provide valid information about whether the school’s leadership is working or not” (p. 35). Unfortunately, MetriTech no longer supports the ILI or ICI-T instruments for use. A study performed by Lunenburg (1990) did not specifically address principals in terms of instructional leadership, but used the Sixteen Personality Factor Questionnaire (16PF) (Cattell, Eber, & Tatsuoka, 1986) to examine principal performance from a broad set of personality factors. Lunenburg’s data describes a “superior principal as more educated, assertive, imaginative, self-sufficient, and warm-hearted” (p. 11). The importance of this study demonstrated that high performing principals fare equally with high performing managers in non-education sectors in terms of personality factors and although it may be possible to predict performance of possible principal prospects, it does not provide insight to what these principals
  • 48. 36 do differently in terms of instructional leadership as the study failed to “predict the way in which principal’s spend their time” (p. 11). Krug (1992b) published a study which involved 72 principals, 1,523 teachers, and 9,415 students from Chicago area schools. It should be noted that this publication provided only zero- order correlations. These initial zero-order correlations provided uniform positive evidence that principal self-ratings of the five broad dimensions of instructional leadership hold a statistically significant relationship with student achievement. However, the zero-order correlations did not provide a statistically significant relationship between teacher ratings of the five dimensions of instructional leadership and student achievement, but the correlations were generally positive. In summary, Krug stated “it seems reasonable to conclude that the empirical evidence for link between instructional leadership and student learning outcomes is strong, particularly in the early school years” (p. 4). Hallinger and Heck (1998) examined studies produced over a 15 year period to look at principals’ contribution to school effectiveness from 1980 to 1995. In their study, they identified three models through which they classified the studies: … direct effects (i.e., where principal’s actions influence school outcomes); mediated effects (i.e., where principal actions affect outcomes indirectly through other variables); reciprocal effects (e.g., where the principal affects teachers and teachers affect the principal, and through these processes outcomes are affected). (pp. 162-163) Prior to 1985, most studies follow the direct effects study model. As Hallinger and Heck found, direct effects studies as conducted had “limited utility for investigating the effects of principal leadership” (p. 166). Research determined a smorgasbord of what principals did with some
  • 49. 37 congruence in the area of instructional leadership in effective schools and clearly demonstrated that all children can learn given certain conditions within their schools, but it did not identify a ‘recipe’ for success for principals to follow. Studies thereafter, such as the work of Maehr , Braskamp, and Ames (1986), Hallinger and Murphy (1985), and Krug (1990b, 1992a), recognized instructional leadership on the part of principals from the perspective of the mediated effects model. These later studies viewed instructional leadership as actions or behaviors performed by the principal to accomplish the effects on school outcomes indirectly through staff members by providing direct assistance to teachers on instructional practices, promoting school culture, and monitoring student progress. This is particularly true in terms of student achievement. In relation to classroom teachers, the principal does not have near as much direct contact with individual students. Although the principal promotes the instructional climate, it is the classroom teacher and other staff members who have the most significant direct student contact. Assuming principals closely monitor student progress, generally interventions are performed by other staff members. Principals may manage change in curriculum and instruction, but again it is the classroom teachers who deliver instruction. Although principals may define school mission, the mission is mediated to students daily more through the general staff than the principal. One area that may have a closer direct effect on achievement is achieved through principals who directly supervise and support teaching. There was little evidence of longitudinal research found to both clearly identify and measure success involving what Hallinger and Heck refer to as the reciprocal-effects model. This model involves an interactive relationship between the principal and the school’s staff and school climate. Hallinger and Heck (1998) suggest this “framework implies that administrators
  • 50. 38 adapt to the organization in which they work, changing their thinking and behavior over time” (p. 168). This does not suggest a form of laissez-faire leadership. It takes a form where leadership may be shared and take multiple forms over time. Work involving studies of principals exercising transformational leadership may be moving in this direction and may be the answer to why no single recipe for instructional leadership has been revealed through research. However, studies utilizing this model will most likely require a combination of both quantitative and qualitative longitudinal data. Conclusions drawn from 43 participants in a two day educational forum held in Washington DC (Riley, McGuire, Lieb, & Dorfman, 1999), made up of prominent educational leadership researchers and a host of others including superintendents, principals, teachers, education consultants, and state policy makers agreed that there is a distinction between management and instructional leadership. To arrive at this conclusion, they first addressed the question: “What is the definition of an effective leader for today’s schools?” (p. 2). In order to answer this question, this group first identified instructional leadership. Instructional leaders devote significant time evaluating instruction and then assisting teachers with methods to improve instruction. Leaders in effective schools have sound understandings of pedagogy and developmentally appropriate learning and use this knowledge to assist teachers improve instruction. Effective leaders set the vision (mainly it was agreed that district vision came down from the superintendent) and assist in cooperatively developing school goals and provide “teachers with informed feedback, guidance, support, and professional development that will help them do their jobs better” (p. 5). However, forum attendees could not arrive at consensus regarding to what degree effective leaders needed to perform instructional leadership relative to management skills. It was clear that management encompassed significant time for principals on
  • 51. 39 a daily basis. They did not suggest that school management is a facet of instructional leadership, but rather a host of duties that all principals must attend. However, the group determined that school leaders as a whole need to shift their focus and energy “from the B’s (budgets, books, buses, bonds, and buildings), to the C’s (communication, collaboration, and community building)” (p. 5). Leithwood and Jantzi (1999c) instituted a large scale quantitative study involving 129 principals, 2,465 teachers, and 44,920 students to measure relative effects of both principal and teacher leadership effects on student engagement. Although the overall results were disappointing for a variety of reasons, it was mainly because results contradicted a number of qualitative case studies that were designed to examine effects of teacher leadership on student outcomes. Principal leadership effects were positive, “although not strong, do reach statistical significance” (pp. 696-697). Although this study did not specifically address instructional leadership, it did further exemplify the importance of the role school principals play in terms of indirect effects on student learning and added to the growing evidence that principals make a significant contribution to school effectiveness. After the turn of the twenty first century, principal leadership researchers’ attention turned toward transformational leadership, but the idea of instructional leadership continued to maintain a presence. Marks and Printy (2003) published a study entitled Principal Leadership and School Performance: An Integration of Transformational and Instructional Leadership. These researchers specifically examined shared instructional leadership. Shared instructional leadership implies that the principal is not the sole agent responsible for school change. This plays well into the idea of the integration of instructional and transformational leadership as a model since the transformational model recognizes the idea that leaders and followers can and at
  • 52. 40 times should exchange roles. However, it did not add to the body of knowledge regarding instructional leadership as a leadership construct. Full Range Leadership: Transformational and Transactional Leadership The origins of the full range leadership model trace back to Burns’ (1978) description of transforming leadership. Burns formalized transforming leadership as a construct in 1978. Bass’ (1985) theory of transformational leadership expanded Burns’ model to include the psychological mechanisms underpinning transformational and transactional leadership (Bass, Avolio, Jung, & Berson, 2003). “Bass’s (1985) conceptualization of transactional and transformational leadership included seven leadership factors, which he labeled charisma, inspirational, intellectual stimulation, individualized consideration, contingent reward, management-by-exception and laissez-faire leadership” (Avolio, Bass, & Jung, 1999, p. 441). This seven factor model was later reduced to a six factor model because charisma and inspirational were often not empirically distinguishable (Avolio, Bass, & Jung, 1999). Hater and Bass (1988) soon after separated the transactional factor, management-by-exception, into management-by-exception active and management-by-exception passive. Bass and Avolio developed the concept of full range leadership to be an inclusive range of leadership involving four behaviors of transformational leadership, three behaviors of transactional leadership, and laissez-faire leadership. Transformational leadership in the full range leadership model is composed of what are now referred as the four I’s; idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration (Avolio, Waldman, & Yammarino, 1991). Transactional leadership is composed of three leadership behaviors; contingent reward, management-by-exception active, and management-by exception
  • 53. 41 passive. Laissez-faire leadership is the final behavior and on the opposite end of the full range leadership model continuum from the four I’s. Transformational leadership. Although many authors credit Burns as having first introduced the concept of transformational leadership in 1978, Downton was first to distinguish transformational leadership from transactional leadership (Avolio & Bass, 1995). Downton (1973) contrasted transformational from transactional leadership in Rebel Leadership, differentiating revolutionary, rebel, reform, and ordinary leaders (Nguni, Sleegers, & Denessen, 2006). Burns formalized transforming leadership as a concept in 1978. “A transformational leader differs from a transactional one by not merely recognizing associates’ needs, but by attempting to develop those needs from lower to higher levels of maturity” (Avolio & Bass, 1995, p.16). Although Bass and Avolio extended the concept of transformational leadership into full range leadership, Burns and Bass are generally known for the origins of the transformational leadership construct. It should be noted that “neither Burns nor Bass studied schools, but rather based their work on political leaders, Army officers, or business executives” (Liontos, 1992, p.2). As the name implies, the heart of transformational leadership involves the ability of the leader to transform peoples’ behavior or actions that in essence makes them better for the organization they serve. “Bass depicted transformational leadership as a higher order construct comprising of three conceptually distinct factors: charisma, intellectual stimulation, and individualized consideration” (Howell & Avolio, 1993, p. 891). By 1991, the three conceptual factors became four; these conceptual areas were then labeled charismatic leadership/idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration (Smith, Montagno, & Kuzmenko, 2004, p. 83). Leaders maintain high ethical and moral conduct
  • 54. 42 and focus on followers’ values, motives, and satisfying their needs (Burns, 2003). Ethical and moral conduct requirements are what set transformational leadership apart. This is the answer to the all too often debated question; was Adolf Hitler a leader? “Transforming values lie at the heart of transforming leadership” (Burns, 2003, p.29), but the values need to be morally and ethically grounded to be considered leadership. Transformational leadership currently is defined by four dimensions: idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration. Bass and Riggio (2006) identify idealized influence as a combination of two aspects: “the leader’s behaviors and the elements that are attributed to the leader by followers and other associates” (p. 6). Transformational leaders model the behaviors they expect in their followers. Behaviors emphasize others needs and maintain high ethical and moral conduct. As a result followers recognize that transformational leaders are generally well respected, admired, and trusted by others. An emphasis for the leader is to consider followers’ needs over their own (Bass, Avolio, Jung, & Berson, 2003). “Followers identify with the leaders and want to emulate them; leaders are endowed by their followers as having extraordinary capabilities, persistence, and determination” (Bass & Riggio, 2006, p. 6). Transformational leaders characterize inspirational motivation by motivating and inspiring followers, displaying enthusiasm, demonstrating optimism, communicating expectations, and creating a shared vision for the organization. Leaders provide meaning and challenge to their followers’ work to inspire them to perform and create a sense of purpose (Bass, Avolio, Jung, & Berson, 2003; Barbuto & Brown, 2000; Smith, Montagno, & Kuzmenko, 2004). In practice, transformational leaders focus followers’ efforts through inspirational motivation to achieve more for the organization than they would for their own self-interest. Bass
  • 55. 43 and Riggio (2006) affirm this; “transformational leaders behave in ways that motivate and inspire those around them by providing meaning and challenge to their followers’ work” (p. 6). Intellectual stimulation is characterized by leaders who encourage innovation and creativity, they are willing to abandon practices or systems demonstrated to be not useful, question assumptions, they approach old situations in new ways, and are willing to take risks for long term success (Bass, Avolio, Jung, & Berson, 2003; Smith, Montagno, & Kuzmenko, 2004). These behaviors stimulate followers’ creativity and encourage followers to challenge their own beliefs. Bass and Riggio (2006) relate intellectual stimulation in terms of leaders who “stimulate their followers’ efforts to be innovative and creative by questioning assumptions, reframing problems, and approaching old situations in new ways” (p. 6). Followers are involved in the process of addressing problems and finding solutions (Bass, Avolio, Jung, & Berson, 2003). Individualized consideration is characterized by leaders who attend to followers’ needs for growth and achievement, create learning opportunities, and empower followers to make decisions. This accomplished in part by the leader taking the role of coach or mentor (Bass, Avolio, Jung, & Berson, 2003; Smith, Montagno, & Kuzmenko, 2004); all in an effort that enhances the organization. Leaders create an environment that is supportive where followers are heard and individual needs are met. This facet of transformational leadership is sometimes associated with Maslow’s hierarchy of needs relating to self-actualization. Bass and Riggio (2006) maintain that “followers and colleagues are developed to successively higher levels of potential” (p. 7). Transactional Leadership. Burns (1978) states that transactional leaders “approach associates with an eye to exchanging one thing for another [in the area of political transactional leaders it may be]: jobs for
  • 56. 44 votes, or subsidies for campaign contributions. Such transactions comprise the bulk of the relationships among leaders and associates, especially in groups, legislatures and parties” (p. 4). There are three dimensions that underlie transactional leadership: management-by- exception passive, management-by-exception active, and contingent reward. “Transactional forms of leadership are premised on exchange theory. Various kinds of rewards from the organization are exchanged for the services of the teacher who is seen to be acting at least partly out of self-interest” (Leithwood, Jantzi, & Fernandez, 1993, p.11). Management-by-exception is an intervention in which corrective action is made by the leader. Timing of the intervention distinguishes the difference between active and passive management-by-exception. In cases of active management-by-exception the leader monitors followers continuously in an effort to prevent mistakes from happening or becoming serious. In some situations this is considered necessary for the purpose of safety. Standards are set and clarified for followers in advance to avoid problems. Passive management-by-exception involves interventions in the form of criticism and reprimand by the leader only after mistakes have been made or standards are not met. Leaders exhibiting passive management-by-exception wait until tasks are completed before clarifying standards and only then to point out errors (Howell & Avolio, 1993). Management-by-exception passive is “the extent to which leaders may not be aware of problems until informed by others and generally fail to intervene until serious problems occur” (Nguni, Sleegers, & Denessen, 2006, p. 149). Howell and Avolio (1993) describe contingent reward leadership an active positive exchange which occurs between leaders and followers. The exchange involves rewards such as recognition from the leader, bonuses, or merit increases for agreed-upon objectives. Contingent reward is “the extent to which leaders set goals, make rewards on performance, obtain necessary
  • 57. 45 resources, and provide rewards when performance goals are met” (Nguni, Sleegers, & Denessen, 2006, p. 149). Contingent reward is transactional when the reward is material in nature, contingent reward “can be transformational, however, when the reward is psychological” (Bass & Riggio, 2006, p. 8). Laissez-faire. Laissez-faire is essentially non-leadership or the lack of leadership. Nguni, Sleegers, and Denessen (2006) define laissez-faire as “the extent to which leaders avoid responsibility, fail to make decisions, are absent when needed, or fail to follow up on requests” (p. 149). Barbuto and Brown (2000) describe laissez-faire as a hands-off form of leadership often referred to as the absence of leadership. Laissez-faire “leaders avoid specifying agreements, clarifying expectations, and providing goals and standards to be achieved by followers” (Bass, Avolio, Jung, & Berson, 2003). Transformational Leadership Studied in Educational Context Although transformational leadership as a construct had been in place since 1978 and studied in practice through the 1980’s it had not been researched in relation with education until the 1990’s and since then research has taken place involving two different constructs of transformational leadership. Leithwood, Jantzi, and Fernandez (1993) developed a six factor model believed to be more appropriate in design and nature for the K-12 arena. Within the realm of PK-12 education, transformational leadership has been researched through in-depth case study (Liontos, 1993), in conjunction with “expert thinking” in comparison with total quality leadership (Leithwood & Steinbach, 1993), as a moderator of teacher commitment (Leithwood, Jantzi, & Fernandez, 1993), its’ effectiveness on student engagement and organizational conditions (Leithwood &
  • 58. 46 Jantzi, 2000b), its’ effectiveness on collective teacher efficacy (Ross & Gray, 2006), its’ effectiveness on job satisfaction, and general effectiveness of school reform (Leithwood & Jantzi, 2006). Leithwood and Jantzi (1999) stated “current educational leadership literature offers no unitary concept of transformational leadership” (p. 453). However, there is evidence that principals who exhibit transformational leadership do create a positive school climate and culture (Barnett, McCormick, & Conners, 2001; Leithwood & Jantzi, 2000b; Maehr et al., 1996; Silins, Mulford, & Zarins, 1999). And indirectly improved student achievement (Andrews & Soder, 1987; Day, Harris, & Hadfield, 2001; Hallinger & Heck, 1998; Jantzi & Leithwood, 1996; Marks & Printy, 2003; Verona & Young, 2001). Liontos (1993) performed an in-depth case study involving a high school principal who exhibited transformational leadership through developing a school wide culture of collaboration. This culture of collaboration involved, at its heart, shared decision-making; and, teacher empowerment and an environment of continual learning and change. The purpose of Liontos’ study was to develop a profile of a transformational principal leader in the school setting. Liontos expressed that the case study subject “appears to exceed descriptions of transformational leaders in the literature” (p. 48). It was Liontos belief that subject’s lack of interest for taking credit for success, which was echoed by a number of staff members, facilitated his ability to share power through collaborative decision making. In essence it was never about him or what he did. It was about the advancement of staff ability and the school in general. In terms of idealized influence the subject was not described as charismatic in nature, but more of a leader by example, however it was quite clear that the staff liked and highly respected the principal. This principal focused on staff and student needs. He was not directive in nature, but rather modeled the actions and behavior he expected in his staff such as being a life long learner through reading and
  • 59. 47 researching various aspects of issues as they arose. His vision was that of what is described as a “super school” (p. 13). Liontos concluded, in the school setting, that transformational leadership encompasses three essential elements: a collaborative shared decision-making approach, an emphasis on teacher professionalism and teacher empowerment, and an understanding of change, including how to encourage change in others. Liontos’ study did not provide evidence that transformational leadership can be taught, but did state that many “believe modeling or leading by example is a more effective way of transmitting qualities essential for transformational leadership (p. 49). Leithwood and Steinbach (1993) examined the idea of total quality leadership (TQL) from an understanding that a combination of expert thinking and transformational practice was needed for this type of leadership. However, the focus was on how to develop a total quality organization, i.e. a total quality school. Nine secondary schools from a large urban school district were selected to participate in the study. The schools were selected based upon recommendation “by at least two central office administrators as particularly effective school leaders who were actively engaged in significant school improvement efforts” (p. 11). Evidence showed that all nine principals were perceived by their respective staff to exhibit transformational leadership; quoting the researchers, “to the extent our data can be relied on” (p. 15). It is interesting to note that the researchers did not employ the MLQ transformational leadership instrument, but used an instrument developed by Leithwood, Jantzi, and Fernandez (1993) that has 47 items relating to what they have determined to be six dimensions of transformational leadership within the school context. This raises an important question in terms of both reliability and validity as to whether the subjects did in fact exhibit transformational leadership. All nine principals rated relatively high in terms of expert thinking as well. The researchers concluded that
  • 60. 48 transformational leadership theory is not sufficient for total quality leadership because it awards too little explicit weight to the mind of the leader. Expert thinking is not sufficient either; while it may increase the probability of transformational practices being used when appropriate, it is no guarantee. (p. 25) This study examined an interesting facet of transformational leadership, but is lacking validity from the standpoint of the common understanding and definition of what transformational leadership is across other disciplines/work settings and literature. Leithwood, Jantzi, and Fernandez (1993) presented a study that examined effects of transformational leadership on teacher commitment to change as a function of their personal goals. Building on the work of Crookall (1989), Deluga (1991), Seltzer (1990), and Shamir (1991), Leithwood found empirical evidence existed demonstrating that transformational leadership impacted “organizational members’ willingness to exert extra effort” (p. 3) and “their sense of self-efficacy” (p. 3) in non-school organizations. The study used the seven dimensions of transformational and transactional leadership, developed in earlier research, believed to contribute to teacher commitment to change as follows: identifying and articulating a vision, fostering the acceptance of group goals, providing individualized support, intellectual stimulation, providing an appropriate model, high expectations, and contingent reward. The study concluded that four dimensions of transformational leadership had direct effects on teachers’ commitment to change: high expectations, consensus of group goals, intellectual stimulation, and contingent reward, however “only vision-building activities and developing consensus about group goals have significant total effects on teachers’ commitment to change” (p. 21). Although this study provided strong implications that transformational leadership provides what may be necessary elements of leadership to institute school reform
  • 61. 49 initiatives it is once again based upon a conception of transformational leadership that exists exclusive in school related research. The result may or may not transfer to non-school organizations. A study examining the effects of transformational leadership on teacher commitment was replicated by Leithwood and Jantzi (1999a) using sample data collected from 94 elementary schools involving 1818 teachers and 6490 students and studied the effects of transformational leadership on student engagement. The same transformational leadership model was used in this study defined by six dimensions of leadership, but with an additional four dimensions of management. The reasoning for this change explained that “most models of transformational leadership are flawed by their under representation of transactional practices” (p. 454). The four dimensions of management introduced “include: staffing, instructional support, monitoring school activities, and community focus” (p. 454). One limitation this study points out is that it relied solely upon teacher input for determining evidence of transformational leadership. The conclusion of this study supported previous research identifying transformational leadership with strong effects on organizational conditions on school conditions only. However, it differed in that the previous study demonstrated strong effects of transformational leadership as a whole. This study also demonstrated that “transformational leadership practices have a modest but statistically significant effect on the psychological dimension (identification) of student engagement” (p. 468). Ross and Gray (2006) conducted research involving transformational leadership and teacher commitment to organizational values. The study examined mediating effects of collective teacher efficacy. This study differs from previous research as no previous research has examined the difference between mechanisms through which teacher outcomes, such as
  • 62. 50 commitment, influence occurs. Ross and Gray hypothesized two models and did path analysis to arrive at comparisons. One model demonstrated direct linking from transformational leadership to the collective teacher efficacy to teacher commitment of organizational values. The second model linked transformational leadership to teacher commitment of organizational values both directly and indirectly with or through collective teacher efficacy. “The main finding of the study is that collective teacher efficacy is a partial rather than a complete mediator of the effects of transformational leadership on teacher commitment to organizational values” (p. 191) consisting of commitment to school mission, professional learning community, and community partnerships. This study did substantiate and is consistent with previous studies, but the second model demonstrated stronger evidence that both direct and indirect paths from leadership to teacher outcomes exist and provide enhanced value for the institution of transformational leadership in school organizations (Ross & Gray, 2006). Ross and Gray concluded that principals focus on three specific areas: Principals should overtly influence teacher interpretations of school and classroom achievement data. The critical leadership task is to help teachers identify cause-effect relationships that link their actions to desired outcomes. … Principals should help teachers set feasible, proximal goals to increase the likelihood of mastery experiences. … Principals need to provide teachers with access to high quality professional development and provide constructive feedback on their skill acquisition. (pp. 193-194) These areas of focus run parallel with the following dimensions of instructional leadership: defining mission, managing curriculum and instruction, supervising and supporting teaching. Once again it is difficult to compare these results with research conducted outside of education
  • 63. 51 since this research also used an alternative model of transformational leadership. Ross and Gray used a more narrow definition of transformational leadership than Leithwood cutting down to four dimensions: “symbolizing good professional practice, providing individualized support, providing intellectual stimulation, and holding high performance expectations” (p. 187). This study did not measure transactional leadership. As a result, it is difficult to make direct comparison both within educational administrative leadership and non-educational organization leadership. Another study that did examine both transactional and transformational leadership effects on teachers’ organizational commitment along with the effects on teachers’ job satisfaction and organizational citizen behavior in primary schools took place in eastern Tanzania. Nguni, Sleegers, and Denessen (2006) conducted a study consisting of 700 primary teachers selected from 70 schools over five Tanzanian districts. In order to participate in the study, a school had to have at least 20 teachers, ten of whom would be randomly selected to participate, who worked under a headteacher for a full school year. These schools do not have principals, but rather a headteacher. This study employed the MLQ version1 with additional items from the 5X version to measure the headteachers’ leadership. As with previous research, this study concluded that both transactional and transformational leadership had a positive effect on teacher commitment. This held true for organizational citizenship behavior and job satisfaction. The results demonstrated a stronger level of commitment for transformational leadership over transactional with one exception. The commitment for teachers to stay at a school was rated higher for transactional leadership. However, in Tanzania, teachers are not hired by schools; they are hired by a central office and then told what city they will teach in. These results for both transactional and transformational leadership coincide or confirm research results both in educational and non-
  • 64. 52 educational settings. It is difficult to ascertain the reason, but most interesting was that “charismatic leadership had shown to have the greatest influence and accounts for a large portion of variation in value commitment” (p. 168). It was found that individualized consideration was insignificant in all areas, “job satisfaction, organizational commitment, and organizational citizen behavior” (p. 168). Leithwood and Jantzi (2006) defended their school specific model of transformational leadership. The model has three broad categories with nine dimensions of practice. The model had been developed using their own qualitative and quantitative research in schools and as a result there are parts such as charisma that are not included or are granted different value. It means that their model includes dimensions such as creating productive community relations that are not found in other models. Leithwood and Jantzi claim their model of transformational leadership addresses conceptual weaknesses such as the omission of leadership behaviors demonstrated by research to be important; some of the behaviors in [their] model not found in Bass’s (1996) model, for example, include “facilitating agreement about objectives and strategies,” “increasing followers self-efficacy,” and “articulating a vision and strategy for the organization.” (p. 205) Unfortunately, the results of this study “indicate significant effects of leadership on teachers’ classroom practices but not on student achievement” (p. 201). Leithwood and Jantzi make a valid point that the differences between the construct they developed and that of Bass and Avolio “are almost never acknowledged by those commenting on our work” (p. 205). It is important to note that it is these differences between the Leithwood and Jantzi model and the Bass and Avolio model potentially pose a problem in that both models are referred to by
  • 65. 53 the same name. The practice of altering characteristics of a theoretical construct and referring to it by the same name is essentially what researchers struggled with while researching instructional leadership during the 90’s. It is a necessary practice to allow research to evolve, but it does open the door to criticism. Nguni, Sleegers, and Denessen (2006) used the model developed by Bass and Avolio. It is congruent to results from business organizations. However, it may not be appropriate to compare results of this study to the research of Leithwood and Jantzi since the construct is not the same and therefore it does not measure the same things. This introduces the opportunity for criticism and question of validity. The transformational leadership model developed by Leithwood and Jantzi (1993) evolved from their own qualitative and quantitative research in PK-12 public schools. Over ten years of research involving businesses, public institutions, and school settings (Leithwood, 1992; Leithwood, 1994; Leithwood, Aitken, & Jantzi, 2001; Leithwood & Jantzi, Leithwood & Jantzi, 1999a; Leithwood & Jantzi, 1999b; Leithwood & Jantzi, 1999c; Leithwood & Jantzi, 2000; 1998; Leithwood & Leonard, 1998) went into the transformational leadership model for schools. Leithwood and Jantzi have demonstrated reliability and validity throughout the evolution of their transformational leadership construct specific for PK-12 educational leadership. The resulting revised construct (1999) from these studies consists of ten dimensions: establishing effective staff practices, providing instructional support, monitoring school activities, providing a community focus, building school vision and goals, providing intellectual stimulation, offering individualized support, symbolizing professional practices and values, demonstrating high performance expectations, and developing structures to foster participation in school decisions. The Nature of School Leadership survey was developed “as a result of a four year study of transformational leadership by Leithwood and Jantzi (1995) at the Ontario Institute for Studies
  • 66. 54 in Education of The University of Toronto to describe various aspects of leadership” (Estapa, 2009, p. 35). This instrument measures the eight transformational leadership behaviors defined by Leithwood and Jantzi as: Develops a widely shared vision for the school; Builds consensus about school goals and priorities; Holds high performance expectations; Models behavior; Provides individualized support; Provides intellectual stimulation; Strengthens school culture; Builds collaborative structures. The results of the Leithwood and Jantzi (2006) study bear positive results regarding transformational leadership, but do not result in improved achievement. There was demonstrated improvement in teacher commitment and efficacy, teachers were working harder, and teachers were more enthusiastic, but it did not directly translate into higher student performance measured by achievement. Leithwood and Jantzi (2006) concluded three substantial findings: First, school leadership has an important influence on the likelihood that teachers will change their classroom practices. Second, transformational approaches to school leadership seem to hold considerable promise for this purpose. Third, there is a significant gulf between classroom practices that are ‘changed’ and practices that actually lead to greater pupil learning; the potency of leadership for increasing student learning hinges on the specific classroom practices which leaders stimulate, encourage, and promote. (p. 223) Leithwood, Jantzi, Silins, and Dart (1993) determined transformational leadership on the part of the school principal positively affected student achievement through creating consensus on building level goals, developing shared vision, and establishing high expectations. Similarly, although it did not translate directly to higher student achievement, Philbin (1997) found
  • 67. 55 transformational leadership had positive school effects on principal effectiveness. The study determined followers experienced more satisfaction and were willing to exert extra effort. Research on Principal Transformational Leadership The transformational leadership construct provides a strong advantage for principals who practice transformational leadership, since principals can motivate and inspire staff members to perform at their best (Smith & Piele, 2001). “This may be especially important [in the field of education] because teachers are oriented to intrinsic rewards” (Mills, 2008, p. 48). The MLQ and MLQ-5X have been used in the PK-12 education to determine if there is a relationship between transformational leadership exhibited by school principals and student academic achievement. The MLQ was employed to study the influence of principal transformational leadership on high school proficiency test results in New Jersey (Verona & Young, 2001). Results of the study indicated significant positive effects on student passing rates. Although it was determined transformational leadership existed more prevalently in comprehensive high schools than vocational high schools, results were consistent. Passing rates were lower in schools where transformational leadership did not exist. The MLQ-5X and Idaho comprehensive testing program were used to measure the transformational leadership behaviors and student achievement in 34 Idaho elementary schools to examine the relationship between principal leadership and student achievement (Fisher, 2003). Simple regression analysis for each leadership style was conducted with regard to reading, math, and writing; no significant relationship occurred. This study further examined the relationship between principal and teacher perceptions of school climate and student achievement. Again
  • 68. 56 there was no significant relationship found in the areas of math or writing. There was a positive moderate relationship for reading, but only in the third grade and only with teachers. Another study used the MLQ-5X to examine the relationship of principal leadership style and student achievement in Indiana low socio-economic schools (Niedermeyer, 2003). Both public and private schools were selected based upon school profile data obtained through the Indiana Department of Education web site. Schools were identified as low or high achieving based upon 60% passing levels on third grade Indiana annual state achievement tests. Schools with 60% or more passing level were considered high achieving and schools with less than 60% passing levels were considered low achieving. To be included in the study, schools with 40% or more students qualifying free lunch were defined as low socioeconomic status schools. In this study, no relationship was found between principal leadership behavior and improved student achievement. It must be noted that transformational leadership was predominant in both low and high achieving schools. There was evidence that suggested transformational leadership was related to teacher satisfaction and willingness to exert extra effort. This has been consistent with most studies of this nature. A study conducted in Missouri using the MLQ-X5 instrument and Missouri state assessments in communication arts and mathematics arrived at results that contradict these previous studies. Results show that transformational leadership characteristics significantly correlated to student achievement in communication arts and math (Mills, 2008). Conclusions in this study state: “The more the principal displays the leadership characteristics, the more likely the school has achieved high scores for communication arts and math” (p.77). A study that extended beyond transformational leadership to include contingent reward using the MLQ-5X instrument demonstrated that Blue Ribbon School leaders had statistically
  • 69. 57 significantly greater mean scores for all four dimensions of transformational leadership and contingent reward (Lyles, 2009). These Blue Ribbon schools had statistically significant low mean scores Management by exception passive and active and laissez-faire. “Blue Ribbon School leaders were most likely to be associated with leadership behaviors that pertained to the Inspirational Motivation dimension and the Idealized Influence Behavioral dimension” (p. 99) while only exhibiting transactional leadership characteristics “once in a while” (p. 100). A study employing the MLQ-5X determined that “there does not appear to be any correlation at all between the transformational leadership scores attributed to participating principals and changes in the percentage of students in their schools that achieved mastery on the CERE” (Dorward, 2009, p. 57). The main purpose of this study was to determine if a correlation existed between leadership behavior and student achievement. The study did reveal some correlation between teacher satisfaction and student performance as a result of increased levels of effort on the part of teachers. Clearly there are mixed results among studies using the MLQ and MLQ-5X instruments and within the use of the MLQ-5X instrument. There does not appear to be a common thread within the studies, but in each case principal leadership behaviors were considered in relationship to student academic achievement. Although staff members working under principals who exhibit transformational leadership experience greater satisfaction and exert extra effort, there is not evidence to conclusively state that principals who exhibit transformational leadership behaviors will have students who consistently perform better academically. The fact that one study provided evidence that principals who exhibit transformational behaviors specific to the inspirational motivation and idealized influence dimensions may suggest that research needs to examine each dimension of transformational leadership individually rather than specifically
  • 70. 58 researching transformational leadership as a whole. This idea is reinforced by Lyles and extended to other dimensions of full range leadership. Lyles (2009) suggests “transformational leaders have a holistic view of leadership, which consists of an emphasis on relationship, cooperation, and an awareness of individuals involved in the change process [and] transactional leaders have a hierarchical approach to leadership” (p. 41). To be effective, a principal must exhibit a combination of leadership behaviors. There are times when a principal needs to be transactional, but an emphasis on relationship and cooperation is necessary most of the time working collaboratively with school staff. Two studies, one using Leithwood and Jantzi (1999) model for transformational leadership and the other using Leithwood and Jantzi (1995) nature of school leadership survey, were conducted in schools in Pennsylvania (Gulbin, 2008) and Georgia (Estapa, 2009) respectively. Like the studies conducted using the MLQ and MLQ-5X instruments, these studies used state assessment results to measure student achievement. Both studies concluded that there was not a relationship between transformational leadership behaviors and high student achievement. Summary Forty three years ago it was accepted that schools didn’t make the difference in predicting student achievement. The Coleman report lent credence to the idea that socioeconomic and family background provided the most significant indications for student success. The finding reported in the Coleman (1966) report was so offensive that it incited researchers to identify successful schools independent of factors such as socioeconomics and family background and thus laid the foundation for what would become the effective schools movement.
  • 71. 59 Ronald Edmunds was the first to formulate correlates of effective schools and a number of researchers have identified list after list of new correlates and characteristics of effective schools and leadership since that time. Some have agreed and some have not, but over time with more rigorous research involving larger samples and repeated studies have added validity and reliability to a condensed and refined list of such correlates and characteristics. What is clear is the accepted notion that instructional leadership is a necessary factor for effective schools. In the early 21st century, it is accepted that all children can learn. Along the lines of the Elementary and Secondary Education ‘No Child Left Behind’ (NCLB) Act of 2001, enacted January 8, 2002; federal legislation now requires each state to develop assessments that are to be administered to all children in specific grades in order to benefit from federal funding. NCLB has essentially declared student assessment outcomes as the bottom line as to whether schools are effective. Clearly public education has made a significant transformation since the days of the Coleman report where students of poor and/or minority families were not expected to be successful and in great part school leadership has received significant attention. Skillful leadership of school principals is a key contributing factor to successful change, school improvement, and school effectiveness (Hallinger, 2003). With all that is at stake for public education to survive, one might surmise that effective leadership has never been more important As of 1999, educational leadership literature did not offer a concept of transformational leadership that was accepted among educational leadership researchers (Leithwood & Jantzi, 1999a, p. 453). Leithwood with others performed several research studies that solidified the correlation between transformational leadership and teacher commitment/efficacy. However, Leithwood is criticized for not utilizing Bass and Avolio (1995) model of transformational leadership model as Leithwood and Jantzi developed a model (1999) specific to education.
  • 72. 60 Research findings, both Bass and Avolio (1995) model and Leithwood and Jantzi (1999) model, have produced mixed results. There does not appear to be a direct relation between transformational leadership and higher student achievement. Large scale studies have found statistically weak relationships between transformational leadership and student engagement. It has been further determined that high student engagement correlates well with high student achievement on state assessments, yet there is no direct evidence to support transformational leadership leads to high student achievement. There have been dissertation studies conducted that suggest transformational leadership and student achievement are negatively correlated. However, there may be an indirect positive effect of transformational leadership when it is coupled with other leadership behaviors, such as contingent reward, on student achievement. Support for the success of transformational leadership in schools is evident and nearly 30 years of research in instructional leadership proved to identify significant correlates and characteristics that clearly had positive effects on student learning and achievement. Having only discovered two studies that directly tie the two leadership constructs together may suggest a lapse in the educational leadership research. It seems reasonable that where leaders focus their energy is equally important as to how they perform it.
  • 73. 61 CHAPTER 3 METHOD Within the realm of elementary school principal leadership, this study uses a correlational approach to examine the relationships between transformational leadership developed by Burns (1978) and operationalized by Bass and Avolio (1988), instructional leadership as defined by Krug (1992), and academic achievement measured by Wisconsin Knowledge and Concepts Exam (WKCE). This study surveyed principals and their respective teachers to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. The question this study addresses is: “What is the effect of transformational leadership in conjunction with instructional leadership on student achievement?” General Framework This research study encompassed both instructional leadership and transformational leadership in conjunction with one another to determine if there is a correlation between the combined leadership constructs and student achievement. This model is somewhat unique as research has been conducted on each leadership construct independently, but little research has been conducted with the two constructs together. To be clear the focus of the study is on leadership and its’ effects on student achievement. The leadership constructs are specifically instructional leadership as defined by Krug (1992) and transformational leadership as defined by Bass and Avolio (1995), not full range leadership. Fourth grade WKCE data is the dependent variable for student achievement correlation purpose.
  • 74. 62 The most significant assumption made going into this research endeavor was that there will be statistically significant difference in student academic achievement, as measured by the WKCE, when comparing the existence or lack of existence of instructional and transformational leadership on the part of school principals. This study used a correlational approach. The advantage of the correlation approach was three fold. The correlational approach enabled the determination of the extent of a relationship. The correlational approach also allowed for comparison of the relationship between variables. The statistically computed correlation coefficients of variables were compared to one another. Most importantly, the correlational approach made it possible to analyze the relationships between the two independent variables, instructional leadership and transformational leadership, at the same time. As with any research that involves human participants, there are risks. Possible effects from data collection may include the following issues. Teachers may recognize areas their principal does not generally attend to or is inept on in one or more of the five dimensions, defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, or promoting instructional climate, and or transformational leadership in some way and use it against the principal after the data collection has been done. In the same light, principals may recognize areas of the five dimensions he or she generally does not attend to or feels inept in. This could affect the principal in terms of self-efficacy in a negative way. This could also cause the principal to drop from the study, thus possibly skewing results.
  • 75. 63 Hypotheses Ho1: Principals exhibiting three out of five dimensions of instructional leadership and exhibit effective transformational leadership will have student bodies that out perform other schools in terms of academic achievement as measured by WKCE results. Ho2: Principals exhibiting effective transformational leadership and not exhibiting three out of five dimensions of instructional leadership will have student bodies that out perform schools whose principal does not exhibit effective transformational leadership and do not exhibit three out of five dimensions of instructional leadership in terms of academic achievement as measured by WKCE results. Ho3: Principals exhibiting three out of five dimensions of instructional leadership and do not exhibit effective transformational leadership will have student bodies that out perform schools whose principal do not exhibit three out of five dimensions of instructional leadership and does not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Ho4: Principals exhibiting effective transformational leadership behaviors and do not exhibit three out of five dimensions of instructional leadership will have student bodies that out perform schools with a principal exhibiting three out of five dimensions of instructional leadership and not exhibiting effective transformational leadership in terms of academic achievement as measured by WKCE results. However, the difference will be marginal; not statistically significant. The hypotheses suggest that there are specific behaviors exhibited by principals that have an indirect effect on student achievement. To determine the extent that this is true or not, data was collected from principals and their teachers using surveys to determine if each principal
  • 76. 64 exhibits instructional leadership and/or transformational leadership. Correlations were drawn between principals and academic achievement based upon district WKCE results in reading, math, and language arts for students in grade four as these are uniform results available for all Wisconsin public schools. Data Collection Procedures Five types of data were collected: • Principal Instructional Management Rating Scale self-report (PIMRS) for principals • Principal Instructional Management Rating Scale for teachers • Fourth grade WKCE testing data results • Multifactor Leadership Questionnaire 5X Self Report (MLQ-5X) for principals • Multifactor Leadership Questionnaire 5X rater form for teachers. The research project was approved through the Institutional Review Board of Marian University. The approval included review of the instruments, demographic design, and the informed consent documents for participants. Participation occurred at the individual schools of the participating principal’s in schools in all Wisconsin Cooperative Educational Service Agencies (CESAs) except the metropolitan area in and around Milwaukee, Wisconsin. The method used to recruit participants started with an explanatory email that identified the purpose and scope of the research project (Appendix B). Names and email addresses for each principal was obtained using the current Wisconsin Department of Instruction listing of schools and principal contact information. An electronic acknowledgement of consent and understanding from each participating principal has been obtained by requiring participating principals to agree with the IRB statement (Appendix C) in the initial stage of the electronic
  • 77. 65 survey and similarly for teachers before they were allowed to access surveys. Surveys were then administered through the use of SurveyMonkey for the PIMRS and the MLQ-5X. Fourth grade WKCE data collected for respective principal’s buildings was obtained on-line from the Wisconsin Information Network for Successful Schools (WINSS). A link to this network was found on the Wisconsin Department of Education web site. Once principals had acknowledged their willingness to participate they were then able to access the surveys using a link to an online survey tool, SurveyMonkey.com. Participating principals should have been able to complete both the PIMRS and MLQ-5X self report surveys in less than half an hour. After completing the PIMRS and MLQ-5X, Principals were asked to list not less than three teachers to complete the teacher rater surveys. Respective teachers, who the principal listed, were then asked to participate via email using the teacher invitation email letter (Appendix D). Teacher participants completed the PMIRS rater form and the MLQ-5X rater form using SurveyMonkey on-line. Similar to the principals, teachers should have been able to complete the PIMRS and MLQ-5X survey forms in less than half an hour. Initial response data included the principal’s name, years of age, gender, race, years as principal, years in current position, number of third, fourth, and fifth grade classrooms under their administration, number of students in their school, grade range within their school, school name, school district, and the name of the institution where they earned their principal licensure. Teacher data response included grade level, school name, school district, years of teaching experience, years teaching under current principal, years of age, gender, and race. The decision to use electronic data collection was two fold. There was an expected higher participation rate from using electronic data collection rather than paper/pencil with
  • 78. 66 physical mailings. And, given the size and scope of the study, there was an expectation of reduced data transfer error. This data collection process took place during the later part of the 2009-2010 school year and through the summer prior to the 2010-2011 school year. Since there was a lack of willing participation, the process continued well into the 2010-2011 school year. Because the participation was far less than expected, in October of 2011 my advisor, Dr. Marilyn Bugenhagen, suggested that I request the use of MLQ data from principal participants who had participated in a research project performed by my colleague, Dr. Zhao Xia Xu, and to request that these principals complete the PIMRS survey along with at least three or more of their teachers to be part of this research project. Similar to the initial process, the method used to recruit participants started with an explanatory email that identified the purpose and scope of the research project (see Appendix E). An electronic acknowledgement of consent and understanding from each participating principal has been obtained by requiring participating principals to agree with the IRB statement in the initial step in the electronic survey and similarly for teachers before they were allowed to access surveys. Surveys were then administered through the use of SurveyMonkey for the PIMRS. Again, fourth grade WKCE data collected for respective principal’s buildings was obtained through the Wisconsin Information Network for Successful Schools (WINSS). As with the principals, it was difficult to get teachers to complete the surveys. As a result, a second initial letter was created and sent to teachers (see Appendix E). This letter was slightly different than the first letter. This was necessary since I was not able to identify which teachers had already replied in the first, second, etc. stage in the data collection process.
  • 79. 67 Participants were then coded. Principals were denoted with a double letter such as AA and respective teachers were then coded as AA1, AA2, etc. A master list of participants has been kept in a fire-proof safe at the home of the researcher and will remain there for a period of 5 years. This list has and will remain confidential at all times. Sample Design Population invited to participate in this study included principals in public schools that had fourth grade students. These principals needed to have three or more years of experience in their current building. The geographic area encompassed approximately 90% of Wisconsin. Principals in schools in CESAs 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, and 12 were invited to participate. Schools in these regions of the state range in size and student ethnicity. Principal and teacher participants are non- race and age specific. However, race and age data was collected for future analysis. Selection of principal participants tried to generate an equal number of male and female principal participants. Analysis procedures viewed results in terms of gender separately and combined. Participants included were restricted to those who have been principal at their respective schools for not less than three years, as this study examined student achievement data collected over a three year period. Originally the study expected at least 60 participants; however the response resulted in 31 principal participants. The CESA regions selected encompass a wide range of rural to small urban areas which have a significant number of communities of varying socio economic backgrounds. A representative sampling of students from all socio economic and ethnic backgrounds generated the student academic achievement data.
  • 80. 68 The regions selected encompass a number of cities that experience some of the issues of large urban areas, but not nearly on the same scale as Milwaukee for example, so the population sample does have limitations. Although there is a representative sample of impoverished families through out the state, their resources are significantly different than those of inner-city families. To justify the selection of these CESA regions for participation, literally all except CESA 1 that encompasses Milwaukee, the statement above regarding the sample of students is pertinent. Since there are significantly fewer private school options for students in smaller communities throughout the majority of the State of Wisconsin, it is believed that student academic achievement data is more representative of a wider range of students than those of studies that occur in large metropolitan areas by virtue of the fact that students of affluent families and/or families that place higher value on education do not have the option of placing their children in private schools. Instrumentation Four assessments were utilized to collect data: the Principal Instructional Management Rating Scale (PIMRS), a self-report survey principals completed to measure and identify instructional leadership behaviors; the Principal Instructional Management Rating Scale (PIMRS) rater survey for teachers used to compare with principal’s responses on the PIMRS self-report as it parallels the PIMRS self-report principal form; the Multifactor Leadership Questionnaire (MLQ-5X Self Report) to identify and measure the existence of transformational leadership behaviors in principals; and the MLQ-5X rater form, teacher survey for their respective principal to compare with the principal’s response on the MLQ-5X self-report. Demographic information for principals was included at the beginning of the principal PIMRS
  • 81. 69 survey and teacher demographic information was included at the beginning of the teacher PIMRS survey. Principal Instructional Management Rating Scale. The PIMRS provides measurement in ten instructional leadership job functions: • frame the school goals • communicate the school goals • supervise and evaluate instruction • coordinate the curriculum • monitor student progress • protect instructional time • maintain high visibility • provide incentives for teachers • promote professional development • provide incentives for learning. Because the PIMRS instrument does not match directly to the Krug (1992) instructional leadership construct the following aggregation of Hallinger’s ten job functions to Krug’s (1992) model of instructional leadership was done for the purpose of determining whether principals were exhibiting instructional leadership behaviors. Define mission was determined by: frame the school goals and communicate the school goals. Manage curriculum and instruction was determined by: coordinate the curriculum. Supervise and support teachers was determined by: supervise and evaluate instruction, provide incentives for teachers, and promote professional development. Monitor student progress was determined by: monitor student progress. Promote
  • 82. 70 instructional climate was determined by: protect instructional time, maintain high visibility, and provide incentives for learning. Hallinger (1999) stated that “it is important to note hat the PIMRS does not measure an administrator’s effectiveness. Rather, it assesses the degree to which a principal is providing instructional leadership” (p.6). Content validity for the PIMRS originated through Hallinger’s efforts to develop an instrument designed to appraise the instructional management behavior of elementary principals (Hallinger, 1982, p. 1). Table 1 provides average agreement on items among the four judges in its initial creation process. Table 1 Content Validation: Average Agreement on Items Among Judges Subscale Number of Items Average Agreement Frame Goals 6 91% Communicate Goals 6 96% Supervision/Evaluation 11 80% Curricular Coordination 7 80% Monitors Progress 8 88% Protects Time 5 85% Incentives for Teachers 4 100% Professional Development 10 80% Academic Standards 5 95% Incentives for Learning 4 94% (Hallinger, 1982) Permission granted to replicate.
  • 83. 71 The final version of the PIMRS does not include the subscale: academic standards. In the final version the tenth subscale is: maintains high visibility. For the purpose of this study, maintains high visibility is aggregated into the Krug model under the dimension: promote instructional climate. Academic standards as a subscale did not really fit in the Krug model. Table 2 lists the Cronbach’s Alpha coefficients for reliability estimates for the PIMRS subscales. “The reliability of the instrument as a whole was not measured since the individual subscales were conceptualized to represent related, but discrete functions” (p.8). Table 2 Reliability Estimates for the Instructional Management Subscale Subscale Reliability* Sample Size Frame Goals .89 (77) Communicate Goals .89 (70) Supervision/Evaluation .90 (61) Curricular Coordination .90 (53) Monitors Student Progress .90 (52) Protects Instructional Time .84 (70) Visibility .81 (69) Incentives for Teachers .78 (70) Professional Development .86 (58) Academic Standards .83 (76) Incentives for Learning .87 (61) * Reliability estimates are Cronbach’s Alpha coefficients (Hallinger, 1982)
  • 84. 72 The subscale, incentives for teachers, stands out with a rather low Cronbach alpha reliability coefficient α = .78 with a sample of n = 70, but in this study this subscale is aggregated with the subscales supervise and evaluate instruction α = .90 with a sample of n = 61 and promote professional development α = .86 with a sample of n = 58 so it should not have a significant effect. The Cronbach’s alpha reliability of the PIMRS instrument as a whole in its original form for this study was α = .91 with a sample of n = 31. After the subscales were aggregated to fit the Krug model of instructional leadership the Cronbach alpha reliability of the PIMRS instrument as a whole was α = .92 with a sample of n = 31. The slight difference can be explained as a result of the aggregation of subscale data. In the process of aggregating data the decimal places can change as result of averaging 10 or 15 subscale questions verses the original five. Construct validity of the instrument items was accomplished through a comparison of perceptions collected by the PIMRS and related information contained in school documents such as school goal statements, handbooks, principal newsletters, staff bulletins, staff meeting agendas and minutes, and teacher evaluations (Hallinger, 1982). “Sufficient documentary data existed for six of the eleven subscales: framing goals, communicating goals, supervision and evaluation of instructions, monitoring student progress, encouraging professional development for teachers, and providing incentives for student learning” (p. 11). Table 3 provides the subscale inter-item correlation matrix.
  • 85. 73 Table 3 Subscale Inter-Item Correlation FG CG SE CC MSP PIT V IT PD AS IL FG (.89) .85 .47 .60 .54 .43 .39 .28 .45 .43 .46 CG (.89) .55 .57 .65 .50 .60 .37 .69 .59 .47 SE (.90) .57 .65 .50 .60 .37 .69 .59 .47 CC (.90) .73 .52 .60 .43 .64 .53 .58 MSP (.90) .65 .57 .40 .67 .60 .49 PIT (.84) .57 .37 .57 .65 .39 V (.81) .47 .69 .60 .57 IT (.78) .61 .53 .39 PD (.86) .69 .57 AS (.83) .54 IL (.87) *All coefficients in parentheses are reliability estimates (Cronbach Alpha) FG - Frame Goals; CG – Communicate Goals; SE – Supervision/Evaluation; CC – Curricular Coordination; MSP – Monitors Student Progress; PIT – Protects Instructional Time; V – Visibility; IT – Incentives for Teachers; PD – Professional Development; AS – Academic Standards; IL – Incentives for Learning (Hallinger, 1982) In table 3 the inter-item correlational factor between frame school goals and communicate school goals; although a low inter-item correlational factor exists between supervise and evaluate instruction and provide incentives to teachers, there is a good inter-item correlational factor between evaluate instruction and promote professional development and a high inter-item correlational factor between promote professional development and provide incentives to teachers.; and although there is a low inter-item correlational factor between protect
  • 86. 74 instructional time and provide incentives to learn, there are strong inter-item correlational factors between protect instructional time and maintain visibility and between maintain visibility and provide incentives to learn. With these inter-item correlational factors the aggregation of these subscales should provide fairly strong inter-item correlational factor. The inter-item correlation matrix, calculated using the PASW Statistics 18, for the PIMRS data prior to aggregation is shown in table 4. Table 4 Subscale Inter-Item Correlation Matrix for this Study FG CG SE CC MSP PIT V IT PD IL FG 1.00 .51 .36 .33 .63 .45 .36 .49 .45 .41 CG 1.00 .61 .72 .74 .35 .54 .56 .67 .62 SE 1.00 .69 .69 .46 .43 .69 .52 .41 CC 1.00 .75 .40 .33 .62 .71 .62 MSP 1.00 .44 .45 .67 .61 .56 PIT 1.00 .40 .37 .39 .42 V 1.00 .33 .37 .42 IT 1.00 .40 .64 PD 1.00 .43 IL 1.00 FG - Frame Goals; CG – Communicate Goals; SE – Supervision/Evaluation; CC – Curricular Coordination; MSP – Monitors Student Progress; PIT – Protects Instructional Time; V – Visibility; IT – Incentives for Teachers; PD – Professional Development; IL – Incentives for Learning
  • 87. 75 There are noticeable differences between the original subscale, the original inter-item correlation matrix, and the inter-item correlation matrix for this study. The number of cases where coefficients so higher reliability is 15 and the coefficients that showed weaker results numbered 31; however the original data had a considerably higher number of participants so outliers weighted the results less. Furthermore, after the data had been aggregated, the inter-item correlation factors were considerably stronger as shown in table 5 below. Table 5 Subscale Inter-Item Correlation Matrix with Aggregation Depicting Krug Model DI MCI SST MSP PIC DI 1.00 .72 .78 .79 .69 MCI 1.00 .77 .75 .58 SST 1.00 .76 .68 MSP 1.00 .63 PIC 1.00 DI – Define Mission; MCI – Manage Curriculum and Instruction; SST – Supervising and Supporting; Teaching; MSP – Monitor Student Progress; PIC – Promote the Instructional Climate As expected, the inter-item correlation factors calculated after the data had been aggregated into the Krug model are much stronger than in the original form. This results from strong inter-item correlation factors that exist between the dimensions that were aggregated. A summary of the criteria used to assess the adequacy of the PIMRS subscales developed in 1982 is provided in Table 6.
  • 88. 76 Table 6 Criteria to Assess the Adequacy of the Instructional Management Rating Subscales (Construct Validity) Subscale Content Reliability Discriminant Intercor- Document Validity Validity relations Analysis Frames Goals Yes Yes Yes Yes Yes Communicates Goals Yes Yes Yes Yes Yes Monitor Student Progress Yes Yes Yes Yes Yes Supervision/Evaluation Yes Yes Mixed Yes Mixed of Instruction Curricular Coordination Yes Yes Yes Yes ------ Protects Instructional Time Yes Yes Yes Yes ------ Visibility Yes Yes Yes Yes ------ Incentives for Teachers Yes Yes Yes Yes ------ Professional Development Yes Yes No Yes Mixed Academic Standards Yes Yes No Yes ------ Incentives for Learning Yes Yes Yes Yes Yes (Hallinger, 1982) Table 6 provides a composite of the validity and reliability testing that the PIMRS went through upon its inception. Subscales demonstrated content validity, reliability using the Cronbach’s alpha, discriminant validity, and inter-item correlational reliability. The PIMRS was used in 76 projects through 1999.
  • 89. 77 The PIMRS and its’ rater form consist of 50 questions each. The 50 questions are grouped in ten sections each containing five questions. In order, the sections are: Frame the school goals, Communicate the school goals, Supervise and evaluate instruction, Coordinate the curriculum, Monitor student progress, Protect instructional time, Maintain high visibility, Provide incentives for teachers, Promote professional development, and Provide incentives for learning. The self-report and teacher-rater forms are basically the same; the questions are provided in the same order and worded the same. The only difference between the two forms is the sentence prior to the first question on each form. The principal form states: “To what extent do you . . . ?” and the teacher form states: “To what extent does your principal . . . ?” Hallinger developed the instrument to assess instructional management of principal behavior at the time. The PIMRS is used for formative assessment of district needs and principal professional development in the realm of instructional leadership. The instrument has been employed for principal evaluation. Multifactor Leadership Questionnaire (Form 5X-Short). The instrument used to determine whether principals exhibited transformational leadership for this study was the MLQ-5X (1995) short version. This instrument was developed in response to criticisms of the MLQ-5R survey, an earlier version of this instrument (Avolio & Bass, 1995). The MLQ-5X measures transformational and transactional leadership behaviors. The transformational behaviors are: • idealized influence, the leader communicates the vision and mission, develops relationships based on respect and trust, and gains an individual identification from followers • inspirational motivation, the leader talks optimistically about the future, generates enthusiasm and confidence, and articulates the a vision for the future
  • 90. 78 • intellectual stimulation, the leader re-examines critical assumptions, encourages looking out side the box for new solutions, and fosters creativity • individualized consideration, the leader provides personal attention coaching and mentoring followers, treats others as individuals in terms of needs, abilities, and aspirations, and helps followers develops their strengths through professional development. The transactional leadership behaviors are: • contingent reward, the leader exchanges rewards for effort and agreed upon levels of performance, sets goals and specifies what can be expected for goals that are met, and expresses satisfaction when goals are met • management-by-exception, the leader intervenes only when problems occur and focuses attention on mistakes, irregularities, and deviations from standards. In addition to transformational and transactional leadership behaviors, the MLQ-5x measures the following leadership behaviors: laissez-faire, extra effort, effectiveness, and satisfaction. Although this study specifically examined only transformational leadership behaviors in conjunction with instructional leadership, post-hoc analysis did involve transactional behaviors. The MLQ-5X contains 45 items. Respondents answer questions using a 5-point Likert scale numbered zero through four: 0 – Not at all, 1 – Once in a while, 2 – Sometimes, 3 – Fairly often, and 4 – Frequently, if not always. The MLQ-5X self-report and rater form each consist of 45 questions and are quite similar. Questions are ordered the same, but worded slightly different. Self-report questions begin with the word “I”. Question one reads: “I provide others with assistance in exchange for their efforts.” Rater-form questions are preceded by the phrase: “THE PERSON I AM RATING . . .” and individual questions are changed slightly so they address the reader on a personal level.
  • 91. 79 Question one for the rater-form reads: “Provides me with assistance in exchange for my efforts.” The 45 questions evaluate 12 areas. Ten areas have four questions each: Idealized Influence (Attributed), Idealized Influence (Behavior), Inspirational Motivation, Individualized Consideration, Contingent Reward, Management-by-Exception (Active), Management-by- Exception (Passive), Laissez-faire, and Effectiveness. The other two areas are: Extra Effort and Satisfaction. They have three and two questions respectively. Unlike the PIMRS, the questions for the MLQ are not grouped in area sections. The MLQ evaluates the frequency or to what degree raters observe or feel the leader they are rating, in this case building principals, engage in 32 specific leadership behaviors. There are items to rate leadership attributes included in the idealized attributes (Avolio & Bass, 1995). “The behaviors and attributes form the nine components of transformational, transactional, or Passive/Avoidant leadership” (p. 13). Leaders being rated, complete parallel survey instruments based on their personal beliefs of their leadership behaviors and attributes. Final estimates of reliabilities for the leadership factor scales range from α = .63 to α = .92 in the initial sample set and from α = .64 to α = .92 for the replication set (Avolio & Bass, 1995). For this study the overall Cronbach’s alpha α = .88 for n = 4; this value included transformational leadership behaviors only. The intercorrelational matrix is provided in table 7.
  • 92. 80 Table 7 Inter-Item Correlational Matrix for Transformational Behavior for this study Idealized Inspirational Intellectual Individual Influence Motivation Stimulation Consideration Idealized Influence 1.00 .67 .83 .78 Inspirational Motivation 1.00 .43 .56 Intellectual Stimulation 1.00 .81 Individual Consideration 1.00 The inter-item correlational coefficients between inspirational motivation and intellectual stimulation and between inspirational motivation and individual consideration are weak, but the over-all Cronbach’s alpha was still fairly high; α = .88 well within Nunnally’s (1978) minimum reliability of α = .70. The overall Cronbach’s alpha for this study across the full range leadership construct is α = .38. This low figure is due in part to negative correlations in the laissez-faire and management-by-exception areas. Date Analysis This study used quantitative data analysis to examine the relationships between instructional leadership in conjunction with transformational leadership and student achievement. Data was analyzed using correlation approach. The principal instructional management rating scale (PIMRS) was used to determine if principals exhibited instructional leadership. Since Krug’s definition was used as the determining factor for instructional leadership behavior on the part of principals, Hallinger’s
  • 93. 81 ten job functions of instructional leadership measured by the PIMRS were aggregated to fit Krug’s (1992) model of instructional leadership as follows. Define mission was determined by aggregating Hallinger’s frame the school goals and communicate the school goals. Manage curriculum and instruction was determined directly by results of Hallinger’s coordinate the curriculum. Supervise and support teachers was determined by aggregating Hallinger’s supervise and evaluate instruction, provide incentives for teachers, and promote professional development. Monitor student progress was determined directly by Hallinger’s monitor student progress. And, promote instructional climate was determined by aggregating Hallinger’s protect instructional time, maintain high visibility, and provide incentives for learning. Aggregation of the dimensions of Hallinger’s model of instructional leadership to Krug’s model of instructional leadership did not pose a problem. Subscale inter-item correlation with aggregation depicting the Krug model resulted in higher inter-item correlation factors than in the original Hallinger model form. The Cronbach’s alpha reliability was calculated using PASW Statistics GradPack (SPSS- 18). The Cronbach alpha of the PIMRS instrument as a whole in its original form for this study was α = .91 with a sample of n = 31. After the subscales were aggregated to fit the Krug model of instructional leadership, post aggregation, the Cronbach’s alpha reliability, calculated using SPSS-18, of the PIMRS instrument as a whole was α = .92 with a sample of n = 31. The slight difference can be explained as a result of the aggregation of subscale data. In the process of aggregating data the decimal places can change as result of averaging five verses the original 10 or 15 subscale questions. Criteria for determination of principals exhibiting instructional leadership was determined upon ratings set at greater than 3.75 average on a 5.0 scale.
  • 94. 82 The Multifactor leadership questionnaire form 5-X short (MLQ-5X) was used to determine if principals exhibited transformational leadership behaviors. Preliminary analysis involved the use of Microsoft Office Excel 2003 to calculate principals (leaders) and teachers (raters) means and standard deviations for comparison with normative study data from Avolio and Bass (2004). Data collected for this study compared well with the normative data. This indicated the MLQ data for this study was valid and reliable. To further identify the data as reliable, SSPS-18 was used to calculate the Cronbach alpha for the four transformational behaviors included in this study. The overall Cronbach’s alpha value was α = .88. Inter-item correlation was also calculated using SPSS-18. Criteria for determination of principals exhibiting transformational leadership was determined upon ratings set by Avolio and Bass (2004) at greater than 3.0 average on a 4.0 scale. Student achievement data was obtained directly from the Wisconsin Information Network for Successful Schools (WINSS). The data used was three years (2008-2010) of Wisconsin Knowledge and Concepts Exam (WKCE) testing results for fourth grade students from the respective principal’s schools. The three years of data was averaged for each area, reading, language arts, and math to provide a single value for correlation with leadership behaviors. SPSS-18 was used to conduct the Pearson, Kendall tau-b, and Spearman rho correlation analysis for hypothesis testing. Use of SPSS-18 enabled calculation of correlation between student achievement and the two leadership constructs simultaneously. Testing involved the principal group as a whole, n = 31, with WKCE data first. To verify the results of the first test procedure, the scope of the subject areas was set with specific ranges that provided fairly even distributions of scores within the data set. Reading and math was set at 0 to 79% proficient, 80 to 89% proficient, and 90 to 100% proficient. For the subject area language arts, the scope of the
  • 95. 83 range was set at 0 to 74% proficient, 75 to 84% proficient, and 85 to 100% proficient. By subdividing the dependent variable in this fashion, an explanation of sorts could be derived to demonstrate why no significant relationship occurred between the variables in hypotheses. Correlations were then performed for men principals only, n = 14, and women principals only, n = 17, using SPSS-18. Correlation analysis was conducted using Pearson, Kendall tau-b, and Spearman rho tests. Post-hoc analysis was also conducted using SPSS-18 Pearson correlation testing for other leadership behaviors within the full-range leadership model including contingent reward, management-by-exception active, management-by exception passive, and laissez-faire. Limitations The only realized limitation that occurred during the study involved the lack of willing participation (n = 31). Well over 1000 principals who perform their duties in elementary schools throughout Wisconsin were invited to participate. Not less than 9, unless a principal denied the desire to participate via email, and as many as 13 invitations were sent to these principals. Follow-up invitations were sent to principals one to three weeks apart to request participation over a six month period. The resulting limitation that is derived from low participation is that there is not enough data to firmly address the research question as initially desired. Unconfirmed variables may have been introduced such as the socioeconomic background of students, teacher expertise, and other anomalies that may have skewed survey confounding results and student achievement data collected.
  • 96. 84 Summary The correlational approach was selected because it allowed for comparison of relations of multiple independent variables on a single dependent variable. In this study the independent variables were instructional leadership and transformational leadership. The dependent variable was student academic achievement. The question for this study centered on the multiple combinations of the two leadership constructs and the effect principal leadership behaviors have on student achievement. The main concern for this study was if a correlation did exist between leadership behavior and student achievement, would it be statistically significant? The data collection procedure was carried out using Survey Monkey and attempted to involve every elementary principal throughout the state with the exception of those in CESA 1, the south eastern corner of the state consisting mainly of large metropolitan school districts. Multiple attempts were carried out over a six month period to involve as many principals as possible. Thirty-one principals actually participated, 14 male and 17 female. Participating principals and their raters completed two surveys, the Principal Instructional Management Rating Scale (PMIRS) and the Multifactor Leadership Questionnaire (MLQ-5X). These instruments were used to determine whether principals exhibited behaviors for the two leadership constructs. After principal leadership behaviors had been determined, analysis was conducted using the SPSS PASW® Statistics GradPack 18 to determine if there was a correlation with academic achievement. Fourth grade Wisconsin Knowledge and Concepts Exam (WKCE) results from the past three year period was used as the dependent variable. Results of this analysis are presented in the following chapter.
  • 97. 85 CHAPTER 4 ANALYSIS AND RESULTS This study’s data was analyzed using correlation approach to determine if a relationship existed between transformational leadership in conjunction with instructional leadership and academic achievement. Instruments used to determine if principals exhibited instructional leadership and transformational leadership were the Principal instructional management rating scale (PIMRS) and Multifactor leadership questionnaire form 5-X short (MLQ-5X). The student achievement data was obtained from the Wisconsin Information Network for Successful Schools (WINSS). This chapter provides details on the demographics of the study participants. A review of the data collection procedure including an explanation of the response rate and problems encountered throughout the process. Hypotheses testing is presented in-depth using three correlation test measures. Demographics Well over 1000 elementary principals were invited with repeated attempts to generate participation for this study. In all, there were 31 principal participants. From the original pool of candidates, 106 principals took the time to start the survey process, 11 completed both surveys, but did not provide any teachers to be surveyed; 27 others completed both surveys, but not enough teachers would complete the surveys to enable the principals to be part of the study; four principals completed the PIMRS, but did not complete the MLQ or provide teachers to survey; and 33 simply did not get beyond or even complete the demographics section. The time frame to generate the 31 participants took place over a six month time frame beginning in mid-May and continuing through mid-November.
  • 98. 86 The demographics for the principal participants’ include years as principal, years at their current school, and age. Table 8 Years as Principals (n = 31) Range of As Principals In Current Years Position 2-4 9 (29.0) 6 (35.0) 5-9 11 (35.5) 9 (53.0) 10-15 6 (19.4) 2 (12.0) 15+ 5 (16.1) 0 (00.0) Percentages are presented in parenthesis The demographic make-up of the principal population participating in this study is interesting from the perspective that significantly more principals with less experience elected to participate. Table 9 Principals’ Age (n = 31) Age Count 31–35 2 (06.5) 36-40 8 (25.8) 41-45 5 (16.1) 46-50 7 (22.6) 51-55 5 (16.1) 56-60 4 (12.9) Percentages are presented in parenthesis
  • 99. 87 There were 31 principal participants; 30 of these principals were Caucasian-White and one was African-American. Table 10 Women: Years as Principal (n = 17) Range of Count In Current Years Position 2-4 4 (23.5) 6 (35.0) 5-9 6 (35.0) 9 (53.0) 10-15 4 (23.5) 2 (12.0) 15+ 3 (18.0) 0 (00.0) Percentages are presented in parenthesis Table 11 Women Participant Principals’ Age (n=17) Years of Age Count 31-35 0 (00.0) 36-40 4 (23.5) 41-45 2 (11.8) 46-50 5 (29.4) 51-55 3 (17.6) 56-60 3 (17.6) Percentages are presented in parenthesis
  • 100. 88 There were 17 female principal participants; 16 of these principals were Caucasian-White and one was African-American. Table 12 Men: Years as Principal (n = 14) Range of Count Years in Current Years Position 2-4 5 (35.7) 7 (50.0) 5-9 5 (35.7) 4 (28.6) 10-15 2 (14.3) 3 (21.4) 15+ 2 (14.3) 0 (00.0) Percentages are presented in parenthesis Table 13 Men Principals’ Age (n = 14) Years of Age Count 31-35 2 (14.3) 36-40 4 (28.6) 41-45 3 (21.4) 46-50 2 (14.3) 51-55 2 (14.3) 55-60 1 (07.2) Percentages are presented in parenthesis
  • 101. 89 All men principal participants were Caucasian-White. Table 14 Raters’ Years Working with Principal (n = 107) Years with Count Years Principal Teaching 1 7 (06.6) 1 (00.9) 2-4 56 (52.8) 8 (07.6) 5-9 36 (34.0) 28 (26.4) 10-15 5 (04.7) 23 (21.7) 15+ 2 (01.9) 46 (43.4) Percentages are presented in parenthesis
  • 102. 90 Table 15 Rater Participants Age (n = 107) Years of Age Count 25-30 11 (10.4) 31-35 18 (17.0) 36-40 22 (20.8) 41-45 12 (11.3) 46-50 16 (15.1) 51-55 23 (21.7) 56-60 1 (00.9) 61+ 3 (02.8) Percentages are presented in parenthesis The participant raters were represented by 85 Caucasian-White women, one American Indian woman, one Hispanic woman, and 19 Caucasian-White men. Data Collection Procedures This data for this study comes from practicing elementary principals, their respective teachers, and the three years (2008-2010) of WKCE testing results for fourth grade students from the respective principals’ schools. Five types of data were collected from study participants: Principal Instructional Management Rating Scale self-report (PIMRS) for principals; Principal Instructional Management Rating Scale for teachers; fourth grade WKCE testing data results; Multifactor
  • 103. 91 Leadership Questionnaire 5X Self Report (MLQ-5X) for principals; and Multifactor Leadership Questionnaire 5X rater form for teachers rating their principal. From the original pool of well over 1,000 candidates, 106 principals took the time to start the survey process, 11 completed both surveys (PIMRS and MLQ), but did not provide any teachers to be surveyed; 27 others completed both surveys, but not enough teachers would complete the surveys to enable the principals to be part of the study; 4 principals completed the PIMRS, but did not complete the MLQ or provide teachers to survey; and 33 simply did not get beyond or even complete the demographics section. The original invitation went out to elementary principals in the northern half of the state of Wisconsin. Due to low return, after the first two months, the geographic area was increased to include all CESA regions except one and two. CESA one and two were not included initially to avoid involving the large metropolitan areas of Milwaukee, Racine, Kenosha, and Madison. Larger school districts have significantly greater recourses and face significantly different challenges than districts in small to medium size communities. There was concern that variables not being accounted for would skew results. However, a concession was made regarding Madison shortly after the expansion involving the southern half of the state and CESA two was invited to participate to expand participation. Reasons for the low rate of participation are speculative in nature, but one reason probably had to do with the fact that principals were just busy doing their jobs. A building level principal answers to the superintendent and school board, but needs to address needs and issues that come from students, teachers, paraprofessionals, aides, cooks, bus drivers, specialists, custodians, parents, and community members. Several principals responded immediately citing
  • 104. 92 issues of major school reform projects they were taking on, end of the year issues, school start-up work, etc.; principals basically said they were too busy to take the time to complete the surveys. It was also possible that principals did not want teachers rating their leadership ability. This speculation was generated from the fact that many principals who started the process quit after they spent the time to read the introductory letter and IRB statement and began the survey instruments. The electronic acknowledgement and IRB informed consent of understanding may have been a factor in the low participation rate. The informed consent was nearly four pages of reading, 33 principals logged into the informed consent, but did not elect to begin the surveys. Whether it was simply too long or its content convinced principals to not participate was purely speculative. It was equally difficult to get teacher rater participation. The fact that teachers were just as busy as their principals was a factor. Some teachers took the time to email and politely state they did not have time to participate. Some emailed stating they were concerned about anonymity, regardless of the assurances provided in the cover letter and informed consent. One teacher responded stating their union (building?) leaders instructed them to not participate. Another issue with getting teachers to participate was in part due to the anonymity factor. Since it was not possible to know which teachers agreed to participate among those who were invited, repeat invitations had to be reworded and sent to all teachers of specific principals to attempt to get the minimum number of teachers for rating purposes. The assessment instrument process appeared to work well from the participant perspective. No participants emailed questions or concerns regarding the process.
  • 105. 93 When participation was far less than anticipated, in October it was suggested by my dissertation advisor, that I request the use of MLQ data from principal participants who had participated in a research project performed by my colleague, Dr. Zhao Xia Xu, and to request that these principals complete the PIMRS survey along with at least three or more of their teachers and become part of this research project. Similar to the initial process, the method used to recruit participants started with an explanatory email that identified the purpose and scope of the research project (see Appendix C). This yielded only two more principal participants for this study. Participants were coded; principals were denoted with a double letter such as AA and respective teachers were then coded as AA1, AA2, etc. A master list of participants has been kept in a fire-proof safe at the home of the researcher and will remain there for a period of 5 years and remains confidential. Preliminary Analytical Issues Multifactor Leadership Questionnaire (Form 5X Short) A comparison of leader and rater simple statistics for the MLQ-5X including means (M) and standard deviations (SD) for principals (leaders) and teachers (raters) were compared to normative study by Avolio and Bass (2004).
  • 106. 94 Table 16 Leader and Rater Simple Statistics and Multifactor Leadership Questionnaire Comparison This Study *Normative Study Leader (n=31) Rater (n=106) Leader (n=3375) Rater (n=13,829) Attributes M SD M SD M SD M SD II 2.98 0.51 3.08 0.68 2.99 0.59 2.75 0.72 IM 3.34 0.39 3.29 0.61 3.04 0.59 2.86 0.76 IS 2.98 0.50 2.64 0.89 2.96 0.52 2.74 0.71 IC 3.02 0.43 2.68 0.84 2.99 0.52 2.81 0.76 CR 2.76 0.62 2.79 0.83 2.99 0.53 2.86 0.68 MBEA 1.45 0.89 1.41 0.93 1.58 0.79 1.69 0.89 MBEP 0.81 0.56 1.09 0.89 1.07 0.79 1.03 0.75 LF 0.57 0.38 0.94 0.77 0.61 0.62 0.65 0.67 EE 2.81 0.57 3.03 0.89 2.79 0.61 2.71 0.86 EFF 3.17 0.50 3.11 0.81 3.14 0.51 3.05 0.74 SAT 3.32 0.45 3.22 0.78 3.09 0.55 3.08 0.82 Note. *Normative Study data (Avolio & Bass, 2004). II = Idealized Influence; IM = Inspirational Motivation; IS = Intellectual Stimulation; IC = Individual Consideration; CR = Contingent Reward; MBEA = Management-by-exception Active; MBEP = Management-by-exception Passive; LF = Laissez Faire; EE = Extra Effort; EFF = Effectiveness; SAT = Satisfaction. Scale: 0 (Not at all) to 4 (Frequently, if not always) An examination of the means and standard deviations between the data collected for this study and that of the normative data study data (Avolio & Bass, 1995) were very close. For
  • 107. 95 leaders, the areas of contingent reward and management-by-exception passive show the most divergence within the means. For raters, the areas of idealized influence, inspirational motivation, management-by-exception active, laissez-faire, and extra effort show the most divergence within the means. It is unknown why these divergences occurred. For the attributes of management-by-exception and laissez-faire it may have resulted due to the negative inter-item correlations in the laissez-faire and management-by-exception scores. These differences were not significant, but note worthy. Final estimates of reliabilities for the leadership factor scales for the MLQ-5X short ranged from α = .63 to α = .92 in the initial sample set and from α = .64 to α = .92 for the replication set (Avolio & Bass, 1995). For this study the overall Cronbach’s alpha α = .88 for n = 31; this value included transformational leadership behaviors only. The inter-item correlation matrix was provided in Table 7. The inter-item correlation coefficients between inspirational motivation and intellectual stimulation and between inspirational motivation and individual consideration were weak, but the over-all Cronbach’s alpha for transformational leadership behaviors only was still fairly high; α = .88. The overall Cronbach’s alpha for this study across the full range leadership construct is α = .38. This low figure was due in part to negative inter-item correlations in the laissez-faire and management-by-exception attributes. The Cronbach’s alpha for full range leadership in this study does not meet Nunnally’s (1978) minimum reliability of α = .70. The criteria for determination of principals exhibiting transformational leadership were set as follows. For this study, principals had to be rated at greater than 3.0 average (Avolio & Bass, 2004) on a 4.0 scale, for three of the four dimensions idealized influence, inspirational
  • 108. 96 motivation, intellectual stimulation, or individualized consideration. Setting the threshold at greater than 3.0 comes directly from the manual for the assessment manual. To average greater than 3.0, raters must rank leaders to exhibit the behaviors within the subscale as being at least 3 which is fairly often and at least one person must rank the leader at 4 which is frequently if not always. Principal Instructional Management Rating Scale. The PIMRS provides measurement in ten instructional leadership job functions: frame the school goals, communicate the school goals, supervise and evaluate instruction, coordinate the curriculum, monitor student progress, protect instructional time, maintain high visibility, provide incentives for teachers, promote professional development, and provide incentives for learning. Because the PIMRS instrument does not match directly to the Krug (1992) instructional leadership construct, the following aggregation of Hallinger’s ten job functions to Krug’s (1992) model of instructional leadership was done for the purpose of determining whether principals were exhibiting instructional leadership behaviors. Define mission was determined by: frame the school goals and communicate the school goals; manage curriculum and instruction was determined by: coordinate the curriculum; supervise and support teachers was determined by: supervise and evaluate instruction, provide incentives for teachers, and promote professional development; Monitor student progress was determined by: monitor student progress; and promote instructional climate was determined by: protect instructional time, maintain high visibility, and provide incentives for learning. The aggregation of these dimensions did not create a reliability issue. Table 2 listed the Cronbach’s Alpha coefficients for reliability estimates for the PIMRS subscales. The lowest subscale Cronbach’s measure was for the attribute incentives for teachers α = .78 with n = 70. In
  • 109. 97 this study this subscale was aggregated with the subscales supervise and evaluate instruction α = .90 with a sample of n = 61 and promote professional development α = .86 with a sample of n = 58 and fell well within Nunnally’s (1978) minimum reliability of α = .70. The Cronbach’s alpha reliability of the PIMRS instrument as a whole in its original form for this study was α = .91 with a sample of n = 31. After the subscales were aggregated to fit the Krug model of instructional leadership, post aggregation, the Cronbach’s alpha reliability of the PIMRS instrument as a whole was α = .92 with a sample of n = 31. The slight difference can be explained as a result of the aggregation of subscale data. In the process of aggregating data the decimal places can change as result of averaging five verses the original 10 or 15 subscale questions. Hallinger (1999) stated that “it is important to note that the PIMRS does not measure an administrator’s effectiveness. Rather, it assesses the degree to which a principal is providing instructional leadership” (p.6). There were noticeable differences between the original subscales of the normative inter- item correlation matrix and the inter-item correlation matrix for this study. The number of cases where coefficients had higher reliability is 15 and the coefficients that showed weaker results numbered 31, however the original data had considerably higher number of participants so outliers in this study may account for the differences. This is likely to be true since after the data had been aggregated, the inter-item correlation factors were considerably stronger as show in Table 5.
  • 110. 98 Table 5 Subscale Inter-Item Correlation Matrix with Aggregation Depicting Krug Model DI MCI SST MSP PIC DI 1.00 .72 .78 .79 .69 MCI 1.00 .77 .75 .58 SST 1.00 .76 .68 MSP 1.00 .63 PIC 1.00 DI – Define Mission; MCI – Manage Curriculum and Instruction; SST – Supervising and Supporting; Teaching; MSP – Monitor Student Progress; PIC – Promote the Instructional Climate Post aggregation inter-tem correlation had two factors which stood out. First between frame school goals and communicate school goals; although a low inter-item correlational factor existed between supervise and evaluate instruction and provide incentives to teachers, there was good inter-item correlational factor between evaluate instruction and promote professional development and a high inter-item correlational factor between promote professional development and provide incentives to teachers. Second, between protect instructional time and provide incentives to learn, but there were strong inter-item correlational factors between protect instructional time and maintain visibility and between maintain visibility and provide incentives to learn. With these inter-item correlational factors the aggregation of these subscales provided fairly strong inter-item correlational factors after data was aggregated. Table 5 presents the post aggregation inter-item correlation matrix. The inter-item correlation factors presented in Table 5 were significantly higher than the inter-item correlation factors prior to data aggregation.
  • 111. 99 The determining criteria for principals exhibiting instructional leadership were set as follows. For this study, principals had to be rated at greater than 3.75 average on a 5.0 scale on three out five dimensions of instructional leadership; defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate. The decision to use 3.75 on a 5.0 scale was made to be proportionally consistent with the threshold set by Avolio and Bass (2004) for the MLQ-5X. Hypothesis Testing PASW® Statistics GradPack 18 was used for statistical analysis. Initial observations of the raw data suggested there would not be any correlation to support any of the four hypotheses. Three individual tests were performed from multiple avenues on the data set. The three tests utilized were the Pearson Correlation test, Kendall’s tau-b Correlation test, and Spearman’s rho Correlation test. The Pearson correlation coefficient represents a value between -1.0 and 1.0 where -1.0 is a perfect negative (inverse) correlation and 1.0 is a perfect positive correlation. Essentially, the Pearson correlation test determines if a linear relationship exists between variables. Using the SPSS PASW® Statistics GradPack 18 enabled calculation of the correlation of student achievement measured by WKCE data with two independent variables, instructional leadership and transformational leadership, simultaneously. This was also true for Kendall’s tau and Spearman’s rho correlation tests. Kendall’s tau and Spearman’s rho were two accepted measures of rank correlations to measure the strength of a relationship between two variables (Statistics Solutions, 2009). Correlation values for Kendall’s tau and Spearman’s rho are represented by values ranging between -1.0 and 1.0. Elimination of Hypotheses for Testing
  • 112. 100 Hypothesis two involving leaders who exhibit transformational leadership and do not exhibit instructional leadership was omitted in table form throughout the study because there were no principals who exhibited transformational leadership and did not exhibit instructional leadership. Since there were no principals in the data set who exhibited transformational leadership and did not exhibit instructional leadership hypotheses two and four can not be tested and therefore were not addressed throughout the hypotheses testing section. Table 17 represents Pearson Correlation results for principal leadership behaviors. Table 17 Pearson Correlation Matrix on Hypotheses (n = 31) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r .159 .102 .117 Sig. .392 .586 .531 Ho3: Not Transformational & Instructional r -.201 -.135 -.192 Sig. .257 .471 .300 Ho4: Not Transformational or Instructional r .014 .009 .040 Sig. .942 .961 .830 *p < .01, two tails **p < .05 two tails For hypothesis one, principals exhibiting three out of five dimensions of instructional leadership and exhibit effective transformational leadership will have student bodies that out perform other schools in terms of academic achievement as measured by WKCE results, a
  • 113. 101 correlational analysis of the data revealed that there is no relationship for all included subject areas with, n = 31, *p < .01, **p < .05, two tails. This Pearson correlation test result did not provide statistically significant supportive evidence to suggest that principals exhibiting both transformational leadership and instructional leadership had student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The correlation for principals who performed both transformational and instructional leadership was not statistically significant. Therefore, hypothesis one was not supported. For hypothesis three, principals exhibiting three out of five dimensions of instructional leadership and exhibit effective transformational leadership will have student bodies that out perform other schools in terms of academic achievement as measured by WKCE results, a correlational analysis of the data revealed a negative correlation for all included subject areas. This Pearson correlation test result did not provide statistically significant supportive evidence to suggest that principals who do not exhibit transformational leadership and do exhibit instructional leadership would have student bodies that out performed schools whose principal did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results show that principals who exhibited instructional leadership and did not exhibit effective transformational leadership not only did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership. Hypothesis three was not supported. Hypotheses one, three, and four were analyzed using Kendall’s tau-b correlation for principal leadership behaviors.
  • 114. 102 Table 18 Kendall’s tau-b Correlation Matrix on Hypotheses (n = 31) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r . 238 .122 .154 Sig. . 117 .421 .312 Ho3: Not Transformational & Instructional r -.076 .019 -.167 Sig. . 617 .900 .271 Ho4: Not Transformational or Instructional r -.169 -.133 -.015 Sig. . 266 .382 .921 *p < .01, two tails **p < .05 two tails For hypothesis one, a correlational analysis of the data revealed no statistically significant supportive evidence to suggest that principals exhibiting both transformational leadership and instructional leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The correlation for principals who performed both transformational and instructional leadership was not statistically significant. The results were consistent with Pearson data for principals who exhibited both transformational and instructional leadership. Hypothesis one was not supported. For hypothesis three, the Kendall correlation test result does not provide statistically significant supportive evidence to suggest that principals who do not exhibit transformational leadership and do exhibit instructional leadership would have student bodies that out performed schools whose principal did not exhibit instructional leadership and did not exhibit effective
  • 115. 103 transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results show that principals who exhibit instructional leadership and did not exhibit effective transformational leadership not only did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership, they actually have a negative correlation in the areas of reading and math subject areas. This was not completely consistent with the Pearson results in terms of r magnitude or positive-vs.-negative relationship, but the results do parallel the Pearson results. Hypothesis three was not supported. The Kendall correlation test result did show that all three subject areas demonstrated negative relationship for principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the Pearson results showed all three subject areas to have positive, but weak correlations. Although there is a positive relationship, it is not statistically significant. For hypothesis three this was not completely consistent with the Pearson results in terms of r magnitude or positive-vs.-negative relationship, but the results do parallel the Pearson results. Data for hypotheses one, three, and four were analyzed with Spearman’s rho Correlation results for principal leadership behaviors.
  • 116. 104 Table 19 Spearman’s rho Correlation Matrix on Hypotheses (n = 31) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r . 286 .147 .185 Sig. .118 .430 .320 Ho3: Not Transformational & Instructional r -.091 .023 -.201 Sig. . 625 .903 .279 Ho4: Not Transformational or Instructional r -.203 -.159 -.018 Sig. . 274 .391 .923 *p < .01, two tails **p < .05 two tails For hypothesis one, the data revealed that there were positive relationships with all subject areas, but the Spearman correlation test result did not result in statistically significant supportive evidence to suggest that principals who exhibited both transformational leadership and instructional leadership had student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The correlation for principals who performed both transformational and instructional leadership was a positive relationship, but not statistically significant. The results were consistent with Kendall data for principals who exhibited both transformational and instructional leadership. Hypothesis one was not supported. For hypothesis three, a correlational analysis of the data revealed that there was negative relationship for reading and math subject areas and a weak, but positive relationship for language arts. This Spearman correlation test result did not provide statistically significant supportive
  • 117. 105 evidence to suggest that principals who did not exhibit transformational leadership and did exhibit instructional leadership would have student bodies that out perform schools whose principal did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results show that principals who exhibited instructional leadership and did not exhibit effective transformational leadership not only did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership, they actually had a negative relationship in the areas of reading and math subject areas. This was consistent with the Kendall results in terms of r magnitude and positive-vs.-negative relationship and the results paralleled the Pearson results. Hypothesis three was not supported. The Spearman correlation test result did show that all three subject areas were negative relationships for principals who did not exhibit transformational leadership and do not exhibit instructional leadership, where the Pearson results showed all three subject areas to have positive, but weak relationship. The results were consistent with the Kendall test results in terms of r magnitude or positive-vs.-negative relationship, and the results paralleled the Pearson results. The results of hypotheses one, three, and four Pearson correlations were correlated with specific WKCE subject area score ranges.
  • 118. 106 Table 20 Pearson Correlation Matrix on Hypotheses with specific WKCE score ranges (n=31) Reading WKCE WKCE WKCE 90+% 80-89% 0-79% Ho1: Transformational & Instructional r . 295 -.226 -.084 Ho3: Not Transformational & Instructional r -.022 -.179 .299 Ho4: Not Transformational or Instructional r -.267 .360 -.156 Language Arts WKCE WKCE WKCE 85+% 75-84% 0-74% Ho1: Transformational & Instructional r .155 .053 -.239 Ho3: Not Transformational & Instructional r -.022 -.085 .126 Ho4: Not Transformational or Instructional r -.131 .017 .130 Math WKCE WKCE WKCE 90+% 80-89% 0-79% Ho1: Transformational & Instructional r .065 -.079 -.079 Ho3: Not Transformational & Instructional r .011 -.163 .186 Ho4: Not Transformational or Instructional r -.072 .206 -.072 *p < .01, two tails **p < .05 two tails For the subject areas of reading and math the scope of the three ranges was set at 0 to 79% proficient, 80 to 89% proficient, and 90 to 100% proficient. For the subject area language arts the scope of the range was set at 0 to 74% proficient, 75 to 84% proficient, and 85 to 100%
  • 119. 107 proficient. These ranges of scores were set purposely to provide a fairly even distribution of scores within the data set. By subdividing the dependent variable in this fashion, an explanation of sorts could be derived to demonstrate why no significant relationship occurred between the variables in hypotheses. It is important to note that the samples within each range were relatively small for this type of data analysis; therefore no significant inferences can be drawn. What was evident in each table was a numerical explanation as to why the correlations were so weak within the overall data set. The dependent variable, WKCE data, was divided into three sub-dependent variables. The result was the separation of the overall relationship between the independent variables, transformational leadership and instructional leadership, and dependent WKCE variable. In every case there would be either one positive correlation and two negative correlations or two positive correlations and one negative correlation that exemplified the separation of data within each WKCE subject area variable. An examination of the data for hypothesis one for reading, language arts, and math from Table 18, demonstrated positive relationship for WKCE scores on the high end of proficiency in each area. This explained the positive relationship in each area from earlier analysis. Seeing the negative relationship in reading at r = -.266 (80-89%) verses the positive relationship r = +.295 (90-100%) exemplified why the correlation was weak in previous tables for principals who exhibited both transformational and instructional leadership. An examination of the data for hypothesis three in each area, reading, language arts, and math in Table 18, demonstrated a negative relationship for WKCE scores on the high end of proficiency in the areas of reading and language arts and a significant negative relationship r = - .163 in the 80 to 89% proficient column that far outweighs the r = +.011 positive relationship on
  • 120. 108 the high end. This provided an explanation for the negative relationship for principals who did not exhibit transformational leadership, but did exhibit instructional leadership. For reading, there are negative relationships r = -.022 (90-100%) and r = -.179 (80-89%) to off set what was actually a stronger positive r = +.299 (0-79%) relationship. Language arts was similar; r = -.022 (85-100%) and r = -.085 (75-84%) combine to off set the stronger positive relationship r = .126 (0-74%) correlation to arrive with an overall negative relationship. The dissection of the math variable provided the most interesting example of why the overall data set arrived at a negative relationship. Although the positive r = +.011 (90-100%) and r =+.186 (0-79%) relationship clearly out weighed the r = -.163 (80-89%) negative relationship, the negative relationship splits the positive relationship and the r = -.163 (80-89%) relationship out weighs the r = +.011 (90- 100%). Hypotheses one, three, and four were analyzed with Kendall’s tau-b Correlation results for principal leadership behaviors to specific WKCE score ranges. Similar to the Pearson correlation results, it was noted that the small samples with in each range were more sensitive in the Kendall test than the Pearson test by virtue of the manner with which the coefficients were calculated; therefore no significant inferences can be drawn.
  • 121. 109 Table 21 Kendall’s Correlation Matrix - Hypotheses with specific WKCE score ranges (n=31) Reading WKCE WKCE WKCE 90+% 80-89% 0-79% Ho1: Transformational & Instructional r .295 -.226 -.084 Ho3: Not Transformational & Instructional r -.022 -.179 .299 Ho4: Not Transformational or Instructional r -.267 .360* -.156 Language Arts WKCE WKCE WKCE 85+% 75-84% 0-74% Ho1: Transformational & Instructional r .155 .053 -.239 Ho3: Not Transformational & Instructional r -.022 -.085 .126 Ho4: Not Transformational or Instructional r -.131 .017 .130 Math WKCE WKCE WKCE 90+% 80-89% 0-79% Ho1: Transformational & Instructional r .065 -.079 -.079 Ho3: Not Transformational & Instructional r .011 -.163 .186 Ho4: Not Transformational or Instructional r -.072 .206 -.072 *p < .01, two tails **p < .05 two tails An examination of the data for hypothesis one for reading, language arts, and math, shows a positive relationship between for WKCE scores on the high end of proficiency in each area which was similar to the Pearson test analysis. This explained the positive relationship for
  • 122. 110 each area in earlier analysis tests; and reaffirmed the results in the Pearson correlation testing. The negative relationship demonstrated in reading scores at r = -.226 (80-89%) verses the positive relationship r = +.295 (90-100%) exemplified why the relationships were weak yet positive in previous reported results for principals who exhibited both transformational and instructional leadership. An examination of the data for hypothesis three in each area, reading, language arts, and math, shown in Table 19, demonstrates a negative relationship between WKCE scores on the high end of proficiency in the areas of reading and language arts and a significant negative relationship r = -.163 in the 80 to 89% proficient column that far outweighs the r = +.011 positive relationship on the high end. This was identical to results of the Pearson correlation demonstrated in Table 18. It reaffirmed the explanation for the negative relationship between for principals who did not exhibit transformational leadership, but did exhibit instructional leadership. For reading, there were negative relationships r = -.022 (90-100%) and r = -.179 (80- 89%) to off set what was actually a stronger positive relationship r = +.299 (0-79%). Language arts results were similar; r =-.022 (85-100%) and r = -.085 (75-84%) combined to off set the stronger relationship r = +.126 (0-74%) to arrive with an overall negative relationship all of which were identical to Pearson’s Table 18 results. The dissection of the math variable provided the most interesting example of why the overall data set arrived at a negative relationship. Although the positive relationship r = +.011 (90-100%) and r = +.186 (0-79%) clearly out weighed the negative relationship r = -.163 (80-89%), the negative relationship splits the positive and the r = -.163 (80-89%) relationship out weighed the r = +.011 (90-100%); once again the Kendall results were identical to Pearson’s Table 18 results.
  • 123. 111 Hypotheses one, three, and four were analyzed with Spearman’s rho Correlation results for principal leadership behaviors to specific WKCE score ranges. Similar to the Pearson and Kendall analysis results, it should be noted that the small sample with in each range was more sensitive in the Spearman test than the Pearson test by virtue of the manner with which the coefficients were calculated; therefore no significant inferences can be drawn.
  • 124. 112 Table 22 Spearman’s rho Correlation Matrix on Hypotheses with specific WKCE score ranges Reading WKCE WKCE WKCE (n = 31) 90+% 80-89% 0-79% Ho1: Transformational & Instructional r .295 -.226 -.084 Ho3: Not Transformational & Instructional r -.022 -.179 .299 Ho4: Not Transformational or Instructional r -.267 .360* -.156 Language Arts WKCE WKCE WKCE (n = 31) 85+% 75-84% 0-74% Ho1: Transformational & Instructional r .155 .053 -.239 Ho3: Not Transformational & Instructional r -.022 -.085 .126 Ho4: Not Transformational or Instructional r -.131 .017 .130 Math WKCE WKCE WKCE (n = 31) 90+% 80-89% 0-79% Ho1: Transformational & Instructional r .065 -.079 -.079 Ho3: Not Transformational & Instructional r .011 -.163 .186 Ho4: Not Transformational or Instructional r -.072 .206 -.072 *p < .01, two tails **p < .05 two tails The Spearman correlation matrix with specific WKCE score ranges in Table 20 was identical to the Pearson Table 18 and Kendall Table 19 correlation matrixes with the individual
  • 125. 113 WKCE areas split with specific ranges. This reaffirmed how the data was distributed to arrive at the correlation coefficients in the Pearson correlations Table 15. Pearson Correlation results for hypotheses one, three and four for men principal leadership behaviors were analyzed. Table 23 Pearson Correlation Matrix on Hypotheses for Men Principals (n = 14) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r .488 .302 .462 Sig. .077 .293 .097 Ho3: Not Transformational & Instructional r -.442 -.284 -.383 Sig. .113 .326 .176 Ho4: Not Transformational or Instructional r -.105 -.058 -.129 Sig. .720 .845 .660 *p < .01, two tails **p < .05 two tails For hypothesis one, an analysis of the data revealed that there is strong positive relationship for all included subject areas. The SPSS program did not demonstrate that the Pearson correlation test for men principals resulted in statistically significant supportive evidence to suggest that principals exhibiting both transformational leadership and instructional leadership had student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. However, the correlation for principals who performed both
  • 126. 114 transformational and instructional leadership was the strongest positive relationship within this study. Therefore, hypothesis one was not supported for men principals. For hypothesis three, a correlational analysis of the data revealed that there was negative relationship for all included subject areas. This Pearson correlation test result did not provide statistically significant supportive evidence to suggest that men principals who did not exhibit transformational leadership and did exhibit instructional leadership had student bodies that out perform schools whose principal do not exhibit instructional leadership and does not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results show that principals who exhibited instructional leadership and did not exhibit effective transformational leadership not only did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership, they actually had a negative relationship in all three areas of the WKCE subject areas. However, the results for men principals varied significantly from the overall Pearson Table 15 results. The negative relationship results for men principals were nearly double the overall results. The reading data for men principals demonstrated a relationship of r = -.442 and the overall r = -.201. Hypothesis three was not supported for men principals. The Pearson correlation test result did demonstrate that all three subject areas have negative relationships for men principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the overall Pearson correlation results had small, but positive relationships. Kendall’s tau-b Correlation analysis results for hypotheses one, three and four for men principal leadership behaviors.
  • 127. 115 Table 24 Kendall’s tau-b Correlation Matrix on Hypotheses for Men Principals (n = 14) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r .453 .220 .391 Sig. .053 .350 .096 Ho3: Not Transformational & Instructional r -.201 -.073 -.310 Sig. .392 .755 .186 Ho4: Not Transformational or Instructional r -.272 -.152 -.121 Sig. .245 .518 .606 *p < .01, two tails **p < .05 two tails For hypothesis one, an analysis of the data revealed that there was a positive relationship for all included subject areas. This Kendall correlation test result did not provide statistically significant supportive evidence to suggest that men principals who exhibited both transformational leadership and instructional leadership had student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The correlation for principals who performed both transformational and instructional leadership was a positive relationship, but not statistically significant. The results were consistent with Pearson data for men principals who exhibited both transformational and instructional leadership. There was a fairly strong relationship in the area of reading. Hypothesis one was not supported for men principals.
  • 128. 116 For hypothesis three, a correlational analysis of the data revealed that there was negative relationship across all subject areas. This Kendall correlation test result did not provide statistically significant supportive evidence to suggest that men principals who did not exhibit transformational leadership and did exhibit instructional leadership would have student bodies that out performed schools whose principal did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results show that men principals who exhibited instructional leadership and did not exhibit effective transformational leadership not only did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership, they actually had a negative relationship across all subject areas. This was not completely consistent with the Pearson results in terms of r magnitude or positive-vs.- negative relationship, but the results paralleled the Pearson results. Hypothesis three was not supported. The Kendall correlation test result did show that all three subject areas were negative relationships with principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the Pearson results demonstrated all three subject areas to have a positive, but weak relationship. As stated above in the hypothesis three result description, this was not completely consistent with the Pearson results in terms of r magnitude or positive-vs.- negative relationship, but the results paralleled the Pearson results. Spearman’s rho Correlation analysis results for hypotheses one, three and four for men principal leadership behaviors.
  • 129. 117 Table 25 Spearman’s rho Correlation Matrix on Hypotheses for Men Principals (n = 14) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r .536 .259 .462 Sig. .048 .371 .096 Ho3: Not Transformational & Instructional r -.238 -.086 -.367 Sig. .414 .769 .197 Ho4: Not Transformational or Instructional r -.322 -.179 -.143 Sig. .261 .540 .625 *p < .01, two tails **p < .05 two tails For hypothesis one, an analysis of the data revealed that there was a positive relationship across included subject areas. This Spearman correlation test result did not provide statistically significant supportive evidence to suggest that men principals exhibiting both transformational leadership and instructional leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The relationship for men principals who performed both transformational and instructional leadership was positive, but not statistically significant. The results wee consistent with Kendall data for principals who exhibited both transformational and instructional leadership. Hypothesis one was not supported. For hypothesis three, a correlational analysis of the data revealed that there was negative relationship for all subject areas. This Spearman correlation test result did not provide statistically significant supportive evidence to suggest that men principals who did not exhibit
  • 130. 118 transformational leadership and did exhibit instructional leadership had student bodies that out performed schools whose principals did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results demonstrated that men principals who exhibited instructional leadership and did not exhibit effective transformational leadership not only did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership, they actually had a negative relationship across all subject areas. This was consistent with the Kendall results in terms of r magnitude and positive-vs.-negative relationship and the results paralleled the Pearson results. Hypothesis three was not supported. The Spearman correlation test result did show that all three subject areas have negative relationship with men principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the overall Pearson results demonstrated all three subject areas to have positive, but weak relationships. The results were consistent with the Kendall test results in terms of r magnitude or positive-vs.-negative relationship, and the results paralleled the Pearson results. Pearson Correlation analysis results for hypotheses one, three and four for women principal leadership behaviors.
  • 131. 119 Table 26 Pearson Correlation Matrix on Hypotheses for Women Principals (n = 17) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r -.066 -.042 -.114 Sig. .802 .873 .663 Ho3: Not Transformational & Instructional r -.062 -.043 -.066 Sig. .815 .870 .802 Ho4: Not Transformational or Instructional r .110 .073 .160 Sig. .675 .781 .541 *p < .01, two tails **p < .05 two tails For hypothesis one, correlation among the data revealed that there was weak negative relationship across all subject areas. The Pearson correlation test for women principals resulted in no statistically significant supportive evidence to suggest that principals exhibiting both transformational leadership and instructional leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. Furthermore, the principals who performed both transformational and instructional leadership was a negative relationship across all subject areas within this study. Therefore, hypothesis one was not supported for women principals. For hypothesis three, a correlational analysis of the data revealed that there was negative relationship across all subject areas. This Pearson correlation test result did not provide statistically significant supportive evidence to suggest that women principals who did not exhibit
  • 132. 120 transformational leadership and did exhibit instructional leadership would have student bodies that out performed schools whose principal did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. Furthermore, although the data was not statistically significant, the results demonstrated that women principals who exhibited instructional leadership and did not exhibit effective transformational leadership did not out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership, they had a negative relationship across all three areas of the WKCE subject areas. However, the results for women principals vary quite a bit from the overall Pearson Table 15 results. The negative relationship for women principals were nearly one-third the overall results. For example, with reading, women principals coefficient r = -.062 and the overall coefficient r = -.201. Hypothesis three was not supported for men principals. The Pearson correlation test result does show that all three subject areas had positive relationships for women principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the overall Pearson correlation results demonstrated small, but positive relationships and Pearson correlation results for men principals had negative relationships across all subject areas. Kendall’s tau-b Correlation analysis results for hypotheses one, three and four for women principal leadership behaviors.
  • 133. 121 Table 27 Kendall’s tau-b Correlation Matrix on Hypotheses for Women Principals (n = 17) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r .084 .053 -.063 Sig. .688 .801 .763 Ho3: Not Transformational & Instructional r .026 .103 -.053 Sig. .900 .614 .801 Ho4: Not Transformational or Instructional r -.101 -.132 .101 Sig. .603 .531 .630 *p < .01, two tails **p < .05 two tails For hypothesis one, a correlational analysis of the data revealed that there was positive relationships in reading and language arts subject areas and a small, but negative relationship in math. This Kendall correlation test result did not provide statistically significant supportive evidence to suggest that women principals exhibiting both transformational leadership and instructional leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The correlation for principals who performed both transformational and instructional leadership was positive for reading and language arts, but not statistically significant. The results were not consistent with Pearson data for men principals who exhibited both transformational and instructional leadership. The relationships were significantly weaker than the relationships for men principals in both the
  • 134. 122 Pearson data for men principals and the Kendall data for men principals. Hypothesis one was not supported for women principals. For hypothesis three, a correlational analysis of the data revealed that there was weak, but positive relationship in reading and language arts and a negative relationship in math. This Kendall correlation test result did not provide statistically significant supportive evidence to suggest that women principals who did not exhibit transformational leadership and did exhibit instructional leadership would have student bodies that out performed schools whose principal did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results across all subject areas. However, the results demonstrated that women principals who exhibited instructional leadership and did not exhibit effective transformational leadership did out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership in the areas of reading and language arts by small margins, r = .127 and r = .233 respectively, but there was a negative relationship in the math subject area. This was not consistent with the Pearson results in terms of r magnitude or positive-vs.-negative relationship and the results did not parallel the Pearson results. Hypothesis three was not supported for women principals. The Kendall correlation test result demonstrated that reading and language arts subject areas had a negative relationship while math had a positive relationship for principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the Pearson results demonstrated all three subject areas had positive, but weak relationships. As stated in the hypothesis three result description, the Kendall results for women principals were
  • 135. 123 not consistent with the Pearson results in terms of r magnitude or positive-vs.-negative relationship and the results did not parallel the Pearson results. Spearman’s rho Correlation analysis results for hypotheses one, three and four for women principal leadership behaviors. Table 28 Spearman’s rho Correlation Matrix on Hypotheses for Women Principals (n = 17) WKCE WKCE WKCE Reading Lang Arts Math Ho1: Transformational & Instructional r .101 .063 -.075 Sig. .701 .811 .774 Ho3: Not Transformational & Instructional r .031 .126 -.063 Sig. .904 .630 .810 Ho4: Not Transformational or Instructional r -.120 -.156 .120 Sig. .646 .549 .646 *p < .01, two tails **p < .05 two tails For hypothesis one, an analysis of the data revealed that there was positive relationship for reading and language arts subject areas and a negative relationship for math. This Spearman correlation test result did not provide statistically significant supportive evidence to suggest that women principals exhibiting both transformational leadership and instructional leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. The correlation for women principals who performed both transformational and instructional leadership was positive for the areas of reading and language
  • 136. 124 arts, but not statistically significant. The results were consistent with Kendall data for women principals who exhibited both transformational and instructional leadership. Hypothesis one was not supported. For hypothesis three, a correlational analysis of the data revealed there was a positive relationship for the subject areas of reading and language arts and a negative relationship for the math subject area. This Spearman correlation test result did not provide statistically significant supportive evidence to suggest that women principals who did not exhibit transformational leadership and did exhibit instructional leadership would have student bodies that out performed schools whose principal did not exhibit instructional leadership and did not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. The data demonstrated that women principals who exhibited instructional leadership and did not exhibit effective transformational leadership did out perform schools in terms of academic achievement as measured by WKCE results where principals did not exhibit transformation or instructional leadership in the areas of reading and language arts by a small margin, r = 151 and r = 282 respectively. This was consistent with the Kendall results for women principals in terms of r magnitude and positive-vs.-negative relationship and the results paralleled the Pearson results. Hypothesis three was not supported. The Spearman correlation test result demonstrated that reading and language arts subject areas had negative relationships for women principals who did not exhibit transformational leadership and did not exhibit instructional leadership, where the overall Pearson results demonstrated across all three subject areas to have positive, but weak relationships. The results were consistent with the Kendall test results for women principals in terms of r magnitude or positive-vs.-negative relationship. The results did not parallel the overall Pearson results.
  • 137. 125 Post-hoc Analysis: Although the absence of instructional leadership and transformational did not equate or translate to laissez-faire leadership, the question of laissez-faire surfaced. Men principals who did not exhibit transformational or instructional leadership had negative relationship across all three subject areas. Women principals who did not exhibit transformational or instructional leadership had a positive relationship across all three subject areas. This raised the question: How do principals who exhibited the absence of instructional and transformational leadership correlate with student achievement? Pearson Correlation analysis results on laissez-faire principal leadership behaviors. Table 29 Pearson Correlation Matrix on Laissez-faire for Principals (n = 31) WKCE WKCE WKCE Reading Lang Arts Math r .075 .160 .146 Sig. .690 .391 .433 *p < .01, two tails **p < .05 two tails The data revealed that there was a positive relationship across all subject areas. This Pearson correlation test result did not provide statistically significant supportive evidence to suggest that principals exhibiting laissez-faire leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. However, although there was no statistically significant supportive evidence to suggest it, the results did demonstrate that principals who exhibited laissez-faire leadership may out perform principals who exhibited instructional leadership, but did not exhibit transformational leadership.
  • 138. 126 Pearson Correlation analysis results on laissez-faire principal leadership behaviors for women. Table 30 Pearson Correlation Matrix on Laissez-faire for Women Principals (n = 17) WKCE WKCE WKCE Reading Lang Arts Math r -.124 .005 -.120 Sig. .635 .985 .647 *p < .01, two tails **p < .05 two tails The correlation coefficients for the areas of reading and math for women principals who exhibited laissez-faire leadership were not consistent with relationships for women principals who did not exhibit transformational or instructional leadership behaviors. The relationships were small, but positive for all three curricular areas for female principals who did not exhibit transformational or instructional leadership. Although the coefficients were not statistically significant, the negative coefficients, r = -.124 for reading and r = -.120 for math may suggest that women principals who did not exhibit transformational or instructional leadership may still have student bodies which out performed student bodies of women principals who exhibited laissez-faire leadership behavior in terms of academic achievement. Pearson Correlation analysis results on laissez-faire principal leadership behaviors for men.
  • 139. 127 Table 31 Pearson Correlation Matrix on Laissez-faire for Men Principals (n = 14) WKCE WKCE WKCE Reading Lang Arts Math r .295 .306 .528 Sig. .306 .287 .052 *p < .01, two tails **p < .05 two tails The relationships across all subject areas were fairly high, r = +.295, r = +.306, and r = +.528 for reading, language arts, and math respectively, for men principals who exhibit laissez- faire leadership, but not statistically significant. These results were not consistent with the relationships demonstrated by the men principals who did not exhibit transformational or instructional leadership behaviors. The relationships were negative across all three subject areas for female principals who did not exhibit transformational or instructional leadership. Although the relationships were not statistically significant across all subject areas, the relationships for men who exhibited laissez-faire leadership behavior may suggest that men principals who did not exhibit laissez-faire leadership behavior would have student bodies which out performed student bodies of men principals who did not exhibit transformational or instructional leadership in terms of academic achievement. The only analysis conducted that provided statistically significant results was conducted for management-by-exception passive. Pearson Correlation analysis results on management-by- exception passive principal leadership behaviors.
  • 140. 128 Table 32 Pearson Correlation Matrix on management-by-exception passive for Principals (n = 31) WKCE WKCE WKCE Reading Lang Arts Math r .515** .479** .567** Sig. .003 .005 .001 *p < .01, two tails **p < .05 two tails An analysis of the data revealed that there was a positive relationship across all subject areas with, n = 31, *p < .01, **p < .05, two tails. This Pearson correlation test result provided statistically significant supportive evidence with p < .05 (two tails) to suggest that principals exhibiting management-by-exception passive leadership would have student bodies that out performed other schools in terms of academic achievement as measured by WKCE results. As this was a post-hoc analysis, there are no hypotheses to examine, but the results of this analysis will be discussed in chapter five. Summary of Results No statistically significant relationships ware determined between instructional leadership and transformational leadership and higher student academic achievement for the hypotheses in this study. The process for this study had issues in terms of principal and teacher participation; due to the low return rate. Finding willing participants was difficult. The final 31 principal participants and 107 teacher raters took six months to achieve. Of the 106 principals who took the time to start the survey process, 11 completed both surveys, but did not provide any teachers
  • 141. 129 to be surveyed. Twenty-seven others completed both surveys, but not enough teachers would complete the surveys to enable the principals to be part of the study. Four principals completed the PIMRS, but did not complete the MLQ or provide teachers to survey; and 33 simply did not get beyond or even complete the demographics section. Finding no results demonstrating principals who did exhibit transformational leadership and did not exhibit instructional leadership within the pool of participants prevented analysis of hypotheses two and four. What is clear from this study is that the results here, utilizing the transformational leadership construct developed by Bass and Avolio (1995), did not mirror those of Leithwood and Jantzi (1992) who developed a construct of transformational leadership specifically defined for educational administrators. Nor did the results mirror those of the study that used Bass and Avolio (1995) construct for transformational leadership in Tanzania. Although none of the studies referred to here considered both instructional and transformational leadership in tandem and the manner with which the studies were performed varied, it would have been expected to see stronger relationships exist between principals who exhibited transformational leadership and high academic achievement given the results of the research that occurred previously. A post-hoc analysis of management-by-exception passive was conducted and provided the only statistically significant relationship within this study, though not hypothesized.
  • 142. 130 CHAPTER 5 SUMMARY and CONCLUSION The purpose of this study was to develop a better understanding of how successful principals lead and more importantly if principal leadership fostered high student achievement. The study focused on the principal’s role in providing instructional leadership as defined by Krug (1992), transformational leadership as defined by Bass and Avolio (1995), specifically in the context of elementary education, and measured the effect principal leadership had on student achievement. No statistically significant relationships were found. As it turned out, the data collected in this study contradicts previous studies involving instructional leadership and transformational leadership constructs. Within the realm of elementary school principal leadership, this study used a correlational approach to examine the relationships between transformational leadership developed and operationalized by Bass and Avolio (1995) and instructional leadership as defined by Krug (1992) in relation to academic achievement measured by Wisconsin Knowledge and Concepts Exam (WKCE). Significant research conducted between the mid 1960’s and 1990’s on instructional leadership throughout the evolution of the effective schools movement provided significant evidence that principals who exhibited instructional leadership had student bodies that outperformed the student bodies of principals who lacked attentiveness to attributes of instructional leadership. • Austin (1978), Process Evaluation: A Comprehensive Study of Outliers. • Bossert, Dwyer, Rowan, & Lee (1982), The Instructional Management Role of the Principal. • Bridges (1982), Research on the School Administrator: The State of the Art, 1967-1980.
  • 143. 131 • Brookover & Lezotte (1979), Changes in School Characteristics Coincident with Changes in Student Achievement. • D’Amico (1982), The Effective Schools Movement: Studies, Issues, and Approaches. • Edmonds (1982), Programs of School Improvement: An Overview. • Fleming & Buckles (1987), Implementing School Improvement Plans: A Directory of Research-Based Tools. • Hallinger (2005), Instructional Leadership and the School Principal: A Passing Fancy that Refuses to Fade Away. • Hallinger (2008), Methodologies for Studying School Leadership: A Review of 25 Years of Research Using the Principal Instructional Management Rating Scale. • Hallinger & Heck (1998), Exploring the Principal’s Contribution to School Effectiveness: 1980-1995. • Hallinger & Heck (1998), Exploring the Principal’s Contribution to School Effectiveness: 1980-1995. • Krug (1990), Leadership and Learning: A Measurement-Based Approach for Analyzing School Effectiveness and Developing Effective School Leaders. • Krug (1990), Current Issues and Research Findings in the Study of School Leadership. • Krug (1992), Instructional leadership: A Constructivist Perspective. • Krug (1992), Instructional Leadership, School Instructional Climate, and Student Learning Outcomes. • Kyle (1985), Reaching for Excellence: An Effective Schools Sourcebook. • Leithwood & Montgomery (1982), The Role of the Elementary School Principal in Program Improvement.
  • 144. 132 • Lezotte (1992), Learn from Effective Schools. • Mace-Matluck (1986), Research-Based Tools for Bringing about Successful School Improvement. • Murphy, Hallinger, & Mitman (1983), Problems with Research on Educational Leadership: Issues to be Addressed. • New York State Department of Education (1974), School Factors Influencing Reading Achievement: A Case Study of Two Inner City Schools. • New York State Department of Education (1976), Three Strategies for Studying the Effects of School Process. • Rutter, Maughan, Mortimore, Ouston, & Smith (1979), Fifteen Thousand Hours: Secondary Schools and their Effects on Children. • Weber (1971), Inner-City Children can be Taught to Read: Four Successful Schools. From the early 90’s to the present, research focused more on how principals do what they do rather than what they do. This shift in the study and research of leadership in general took place as transformational leadership came to the forefront. • Barnett, McCormick, & Conners (2001), Transformational Leadership in Schools: Panacea, Placebo, or Problem? • Estapa (2009), The Relationship Between the Transformational Leadership Characteristics of Principals, as Perceived by Teachers, and Student Achievement on Standardized Tests. • Gulbin (2008), Transformational Leadership: Is it a Factor for Improving Student Achievement in High Poverty Secondary Schools in Pennsylvania.
  • 145. 133 • Hallinger (2003), Leading Educational Change: Reflections on the Practice of Instructional and Transformational Leadership. • Leithwood & Jantzi (1999), Transformational School Leadership Effects: A Replication. • Leithwood & Jantzi (1999) The Effects of Transformational Leadership on Organizational Conditions and Student Engagement with School. • Leithwood & Jantzi (2000), The Effects of Transformational Leadership on Organizational Conditions and Student Engagement with School. • Leithwood & Jantzi (2006), Transformational School Leadership for Large Scale Reform: Effects on Students, Teachers, and their Classroom Practices. • Leithwood, Jantzi & Fernandez (1993), Secondary School Teachers’ Commitment to Change: The Contributions of Transformational Leadership. • Leithwood & Steinbach (1993), Total Quality Leadership: Expert Thinking Plus Transformational Practice. • Liontos (1993), Transformational Leadership: Profile of a High School Principal. • Mills (2008), Leadership and School Reform: The Effects of Transformational Leadership on Missouri Assessments. • Nguni, Sleegers, & Denessen (2006), Transformational and Transactional Leadership Effects on Teachers’ Job Satisfaction, Organizational Commitment, and Organizational Citizenship Behavior in Primary Schools: The Tanzanian Case. • Philbin (1997), Transformational Leadership and the Secondary School Principal. • Ross & Gray (2006) Transformational Leadership and Teacher Commitment to Organizational Values: The Mediating Effects of Collective Teacher Efficacy.
  • 146. 134 • Verona & Young (2001), The Influence of Principal Transformational Leadership Style on High School Proficiency Test Results in the New Jersey Comprehensive and Vocational High Schools. This resulted in what this researcher believes was a jump or gap in the research with respect to leadership in the K-12 educational arena. Since 1990, there is little doubt that transformational leadership needs to be studied, however leadership is a combination of what leaders do as well as how they do it and perhaps the why behind their action and behaviors. This study did not yield the number of participants originally desired. However, the effort and short comings further explains the need to find a better understanding of what change is necessary in the way principals are trained in terms of leadership for the PK-12 educational arena. This effort should inspire greater attention for research in this area of leadership specific to the instructional leadership model in conjunction with the effects of transformational leadership and perhaps full range leadership. Difficulties finding willing participants may be a testament to how busy principals and teachers are or perhaps an illustration of how unprepared principals are for what is expected from them since finding the final 31 participants took six months. Discussion Previous research demonstrated that instructional leadership had a statistically significant relationship on student academic achievement (Andrews & Soder, 1987; Brookover, & Lezotte, 1979; D’Amico, 1982; Edmonds, 1979; Edmonds, 1982; Edmonds & Frederiksen, 1997; Frederiksen, 1980; Hallinger & Heck, 1998; Klitgaard & Hall, 1974; Krug, 1992b; Mace- Matluck, 1987; New York State Department of Education, 1974; Weber, 1971; Whitaker, 1997). This study does not support the claim that principals who exhibit instructional leadership, as
  • 147. 135 defined by Krug (1992), have student bodies which perform academically higher than student bodies of principals who do not exhibit instructional leadership. This study offers evidence to suggest that principals who exhibit instructional leadership may actually have a negative relationship with higher student achievement. Previous research has demonstrated that transformational leadership had a statistically significant relationship on student academic achievement outcomes (Leithwood & Jantzi, 1999a; Liontos, 1993; Lyles, 2009; Marks & Printy, 2003; Mills, 2008), however the results were not consistent. There is research that suggests that transformational leadership has no statistically significant relationship on student achievement outcomes (Doward, 2009; Estapa, 2009; Gulbin, 2008; Leithwood & Jantzi, 2006). This study offers evidence to suggest that principals who exhibit transformational leadership did show small positive relationships to all three curricular areas, as measured by the Wisconsin Knowledge and Concept Exam (WKCE), of r = +.159 for reading, r = +.102 for language arts, and r = +.117 for math. These results are brought to light within the results of the first hypothesis test results. Hypothesis One The first hypothesis states that principals exhibiting three out of five dimensions of instructional leadership and exhibit effective transformational leadership will have student bodies that out perform other schools in terms of academic achievement as measured by WKCE results. Although there were no statistically significant results, Pearson correlation analysis demonstrates a positive relationship between principals who exhibit both instructional and transformational leadership and each of the three Wisconsin Knowledge and Concept Exam (WKCE) core areas while there is negative relationship across all three WKCE areas for principals who exhibit instructional leadership, but do not exhibit transformational leadership and extremely low
  • 148. 136 relationships for principals who do not exhibit transformational or instructional leadership. This suggests that transformational leadership may be an integral part of how principals need to approach their duties. Though the results are relatively weak because of sample size the first hypothesis is not supported statistically. However, examining Kendall’s tau-b and Spearman’s rho correlation tests reinforce this hypothesis as an inference. Kendall and Spearman results demonstrate stronger positive relationships across each of the three WKCE core areas for principals who exhibit both instructional and transformational leadership constructs. Further, the negative relationships for reading and math are weaker in the Kendall and Spearman test results than the negative relationships in the Pearson’s correlations for principals who do not exhibit transformational leadership, but do exhibit instructional leadership and a positive relationship exists for language arts. The results demonstrate consistency which helps to establish the validity in the Pearson test results. Given the results it is suggested that further study is warranted, particularly since the participation in this study was low. The analysis by gender does not hold up in this study. Pearson results for men participants demonstrated a strong relationship, again not statistically significant across all three WKCE areas, particularly for reading and math for principals who exhibit both instructional and transformational leadership. It also held true that all three WKCE areas resulted in negative relationships for men principals who exhibited instructional leadership, but did not exhibit transformational leadership. Women principal participants are not only weak relationships across all three WKCE areas for women principals who exhibited both instructional and transformational leadership, results actually demonstrate a negative relationship across all three areas. The results for women principal participants who exhibited instructional leadership, but did not exhibit transformational leadership are also negative relationships across all three WKCE
  • 149. 137 areas and are nearly equal to the results of women principals who exhibited both instructional and transformational leadership. An examination of the Kendall and Spearman correlation tests by gender reinforces the men principal findings and offers a slight improvement for women principals. The results for men principals were consistent with that of the Pearson results. The women principal Kendall and Spearman results varied from the Pearson correlations somewhat, however this was expected because these correlation tests are more sensitive with small n factors. In both the Kendall and Spearman tests, the results for women principals who exhibited instructional and transformational leadership provided extremely weak, but positive relationships for both reading and language arts. Both Kendall and Spearman results still resulted in weak, but negative relationships in math for women principals who exhibited both instructional and transformational leadership. Interestingly, the Kendall and Spearman results also provided weak, but positive results for women principals who exhibited instructional leadership, but did not exhibit transformational leadership. One might infer that it is important for men principals to exhibit transformational leadership where it appears to have little to no effect for women principals or that instructional leadership is not effective in conjunction with transformational leadership for women principals. The difference in results between women principals who exhibit both instructional and transformational leadership and women principals who exhibit instructional, but do not exhibit transformational are quite close. Women who exhibited both instructional and transformational leadership had relationships r = -.066 for reading, r = -.042 for language arts, and r = -. 114 for math and women principals who exhibited instructional, but did not exhibit transformational had relationships r = -.062 for reading, r = -.043 for language arts, and r = -.066 for math.
  • 150. 138 What is most disturbing about these results is that the results contradict thirty plus years of research regarding instructional leadership. Going back as far as Weber (1971) there was clear evidence that factors such as strong leadership, high expectations, a good school climate, careful evaluation of student progress, and an emphasis on reading had significant impact on student achievement. By the late 1970’s there appeared to be four common characteristics of successful schools within research: a school climate conducive to learning and generally free of disciplinary issues, a school-wide emphasis on mastery of basic skills in reading and math; a common belief that all children can learn; and instructional objectives are based on minimal expectations of basic skills mastery and there are student achievement monitoring assessments in place to insure students received further instruction (Austin, 1978; Brookover and Lezotte, 1977; Edmonds, 1979; Edmonds and Frederiksen, 1979; Frederiksen, 1980; and Rutter, Maughan, Mortimore, Ouston, & Smith, 1979). Edmonds (1982) later came forward suggesting that leadership should be a fifth characteristic in this list; “the leadership of the principal [is] notable for substantial attention to the quality of instruction” (p. 6). Furthermore, Bossert, et al. (1982) suggest that studies to this point also indicated that the conditions created in the characteristics of successful schools are in large part due to school principals who are perceived to be “strong pragmatic leaders” (p. 35). From that point forward instructional leadership took on a meaning, instructional leadership began to encompass characteristics of successful schools that principals were primarily responsible for ensuring. By the early 1990’s the list of characteristics an instructional leader exhibited still varied slightly, but there was general consensus on five dimensions: “defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate” (Krug, 1992b, p. 5).
  • 151. 139 It is possible that there is a certain amount of dissatisfaction generated among staff when instructional leadership is institutionalized without the existence of transformational leadership at the core of delivery, but it seems unlikely that it would consistently exhibit negative correlations to higher student achievement within a pool of random participants. This finding could not be simply explained. Hypothesis Two The second hypothesis states principals exhibiting effective transformational leadership and not exhibiting three out of five dimensions of instructional leadership will have student bodies that out perform schools whose principal does not exhibit effective transformational leadership and do not exhibit three out of five dimensions of instructional leadership in terms of academic achievement as measured by WKCE results. Since there was not a single principal participant in the pool who exhibited transformational leadership and did not exhibit instructional leadership the second hypothesis could not be tested. The fact that there were no principal participants who exhibited transformational leadership and did not exhibit instructional leadership may suggest that the effective schools movement had a positive effect on the way principals are prepared for the PreK-12 arena. Perhaps all principals are made aware of such necessary dimensions of leadership (or school management) that fall under the responsibility of the principal regardless of the type of leadership they exhibit, just not necessarily how to accomplish it. Unfortunately, no inference can be made here. The inference can not be made because, of the 31 principal participants, 14 were determined not to exhibit instructional leadership. Nearly half the principals involved in this study did not exhibit instructional leadership. Though difficult to believe, but that is what the data results demonstrated. Now there is no guarantee the PIMRS will identify principals who
  • 152. 140 delegate dimensions of instructional leadership to other staff will be identified as exhibiting instructional leadership thus maybe the principals were seeing to it that the dimensions of instructional leadership were occurring through a delegation process, but that is one of the limitations of the instrument that can not be addressed here. Perhaps through an extensive number of case studies where such irregularities could be readily identified it is possible that the results would show improvement, but that would be highly speculative. Hypothesis Three The third hypothesis stated principals exhibiting three out of five dimensions of instructional leadership and do not exhibit effective transformational leadership will have student bodies that out perform schools whose principal do not exhibit three out of five dimensions of instructional leadership and does not exhibit effective transformational leadership in terms of academic achievement as measured by WKCE results. This hypothesis also failed to hold true. Here again, the Pearson correlations for principals who exhibited instructional leadership, but did not exhibit transformational leadership all had negative relationships with factors for each of the three WKCE areas of instruction. Principals who did not exhibit instructional or transformational leadership had extremely weak, but positive relationships across each of the WKCE instructional areas. Therefore the hypothesis failed to hold true. What was interesting here was that the results of the Kendall tau-b and Spearman rho were consistent with each other as expected, but they were not completely consistent with the Pearson correlations. In both the Kendall and Spearman tests, the WKCE areas of reading and language arts were in fact slightly higher for principals who exhibited instructional leadership and not transformational than principals who did not exhibit either leadership construct. In the area of math, the results of the Kendall and Spearman correlation tests were consistent with the Pearson correlation although in
  • 153. 141 both cases, both correlations were negative. In no way would this infer there is any evidence to support the hypothesis however. Examining the data for hypothesis three by gender was somewhat different, yet still did not provide support for hypothesis three. The Pearson data for the men principals had a slightly larger difference than that of the overall Pearson results. In the case of the men only data, relationships across all three WKCE subject areas for both principals who do exhibit instructional and do not exhibit transformational leadership and for principals who fail to exhibit instructional or transformational are negative relationships. Furthermore, similar to the overall Pearson correlations the relationships for principals who did not exhibit instructional or transformational leadership were much closer to zero, thus actually opposite the hypotheses. The Kendall and Spearman results were similar to one another as expected, but varied from the Pearson results. This may be due to the low number of participants in this sub-group. As it turns out, the Kendall and Spearman results actually show stronger relationships with principals who exhibited instructional leadership and did not exhibit transformational leadership for both reading and language arts, although still not for math, but again, the relationships are negative across all three WKCE subject areas. Here again hypothesis three is not supported. The difference between the Pearson results and those of the Kendall and Spearman results are probably due to the sensitivity of the Kendall and Spearman calculations with small sample sizes. In the case of women principals the Pearson correlations are fairly similar. The relationships with women only participants are negative across all three WKCE subject areas for principals who exhibited instructional leadership, but did not exhibit transformational leadership and are quite small, but positive relationships across all three WKCE subject areas for women
  • 154. 142 principals who did not exhibit instructional or transformational leadership. Here again, hypothesis three is not supported. What is interesting is that we see a similar dynamic to that of the men principal participants in the Kendall and Spearman results. In the area of reading and language arts we see a reversal of data results for women principals along these lines. In the Kendall and Spearman results there were small, but positive relationships with principals who exhibited instructional leadership, but did not exhibit transformational leadership and small, but negative relationships with women principals who did not exhibit instructional or transformational leadership thus suggesting there may be some small support for hypothesis three for women principals. Here again, like the mens’ findings, in the area of math, Kendall and Spearman results are consistent with the Pearson results for women principals who exhibited instructional leadership, but did not exhibit transformational leadership there was a negative relationship and there was a positive relationship for women principals who did not exhibit instructional or transformational leadership. Given the inconsistencies between the Pearson results and the Kendall and Spearman results, it can not be suggested there is support of hypothesis three. Similar to the discrepancy in the men principal data between Pearson correlations and both Kendall and Spearman correlation results, it can be suspected that the inconsistency in results for women principals between the test results was due to the small number of participants since the Kendall and Spearman tests tend to be less valid when used on a small sample from a numerical analysis perspective. Hypothesis Four The fourth hypothesis stated that principals exhibiting effective transformational leadership attributes and do not exhibit three out of five dimensions of instructional leadership will have student bodies that out perform schools with a principal exhibiting three out of five
  • 155. 143 dimensions of instructional leadership and not exhibiting effective transformational leadership in terms of academic achievement as measured by WKCE results. However, the difference will be marginal; not statistically significant. Here again, since there were no principals who exhibited transformational leadership, but did exhibit instructional leadership, hypothesis four could not be tested. Post-Hoc Testing Involving Laissez-faire Leadership With 14 principals out a pool of 31 participants that did not exhibit instructional leadership or transformational leadership was rather surprising. What if principals who did not exhibit instructional or transformational leadership were seen by their raters as a representation of lack of leadership or laissez-faire? The analysis for the group was done as a whole and by gender. The results of the group as a whole for principals who exhibit laissez-faire leadership behavior had positive Pearson correlation coefficients across all subject areas of r = +.075 for reading, r = +.160 for language arts, and r = +.146 for math. Although these results are not statistically significant, they are larger than the relationships for principals who do not exhibit transformational or instructional leadership of r = +.014 for reading, r = +.009 for language arts, and r = +.040 for math. There were relatively small, but positive Pearson correlation coefficients of r = +.110 for reading, r = +.073 for language arts, and r = +.160 for math for women principals which did not exhibit transformational or instructional leadership behaviors. This compared to r = -.124 for reading, r = +.005 for language arts, and r = -.120 for math Pearson correlation results when tested for laissez-faire leadership. Although there are similar results for language arts, there is a clear difference for the results in reading and math.
  • 156. 144 There is a consistent negative relationship between higher student achievement in schools with men principals across all three WKCE subject areas in which principals did not exhibit instructional or transformational leadership. The Pearson correlations for the leadership behaviors of these principals are r = -.105 for reading, r = -.058 for language arts, and r = -.129 for math. The Pearson correlations for men principals who exhibit laissez-faire leadership behaviors are r = +.295 for reading, r = +.306 for language arts, and r = +.528 for math. Not only was there a significant difference that suggests, as the women data showed, that there is little or no link to the idea that the lack of instructional and transformational leadership can be considered laissez-faire. The laissez-faire for men principals is a closer match to the leadership relationships between men principals who exhibit both instructional and transformational leadership. Pearson correlations for men principals who exhibit both instructional and transformational leadership are r = +.488 for reading, r = +.302 for language arts, and r = +.462 for math. Men principals denoted as exhibiting laissez-faire leadership actually rank higher in math and are within four thousands of the correlation coefficient in language arts. Significant conclusions can not be drawn from these results since the pool of candidates is so small, but if these results were found to be generalized on a large scale, it could raise questions as to whether higher student achievement is linked to principal leadership at all. Post-Hoc Testing Involving Management-by-Exception Passive Each of the transactional leadership behaviors were tested using the Pearson correlational test in post-hoc testing, but only one area of transactional leadership behavior provided statistically significant results. A correlation of the data revealed that there is positive relationship with all included subject areas with, n = 31, *p < .01, **p < .05, two tails. Management-by-exception passive resulted in correlation coefficients of r = +.515** for reading,
  • 157. 145 r = +.479** for language arts, and r = +.567** for math. All three subject areas tested resulted in significant findings that students performed academically higher in achievement for principals who exhibited management-by-exception passive leadership behaviors. This is a form of transactional leadership in which the principal intervenes only if standards are not met and only take action after rules or policies are not followed or mistakes are brought to the principal’s attention. This form of leadership is corrective in nature; the principal does not take corrective action and foresee issues until after problems exist. Implications The extent of research, involving large samples, using Bass and Avolio’s construct of transformational leadership are few in number in the PreK-12 administrative arena, extremely few compared the number of studies that have been conducted for leaders in government, business, and the military. • Dorward (2009), A Study of the Relationship Between Principal Leadership Style and Student Achievement. • Fisher (2003), Effects of Principal Leadership Style on School Climate and Student Achievement in Select Idaho Schools. • Lyles (2009), An Examination of the Relationship Between the Leadership Styles of Blue Ribbon School Administrators and Student Achievement. • Mills (2008), Leadership and School Reform: The Effects of Transformational Leadership on Missouri Assessments. • Nguni, Sleegers, & Denessen (2006), Transformational and Transactional Leadership Effects on Teachers’ Job Satisfaction, Organizational Commitment, and Organizational Citizenship Behavior in Primary Schools: The Tanzanian Case.
  • 158. 146 • Niedermeyer (2003), The Relationship of Principal Leadership Style and Student Achievement in Low Socio-Economic Schools. • Verona & Young (2001), The Influence of Principal Transformational Leadership Style on High School Proficiency Test Results in the New Jersey Comprehensive and Vocational High Schools. The research is even more limited when the effect of transformational leadership is considered in conjunction with instructional leadership. • Hallinger (2003), Leading Educational Change: Reflections on the Practice of Instructional and Transformational Leadership. • Marks & Printy (2003), Principal Leadership and School Performance: An Integration of Transformational and Instructional Leadership. Regardless of whether instructional leadership is considered a construct of leadership among education programs focused on leadership or a composition of managerial functions of the school principal, thirty plus years of research has demonstrated that principals need to perform in these areas or at the very least delegate such responsibilities to others. It appears that there is insufficient empirical research that has examined this relationship with transformational leadership behaviors of building level principals in its original form and student achievement. Further, it appears there is insufficient research involving instructional leadership in conjunction with transformational leadership and its affect on student achievement. Taken on face value, the implications of this study are found in the lack of supportive evidence for the hypotheses. Previous research both supports and fails to support the idea that there is a relationship between principals who exhibit transformational leadership and higher student achievement. This study implies that principal leadership which exhibits
  • 159. 147 transformational leadership combined with instructional leadership in relation to student achievement is not significant overall, but when examined by gender the results appear to be different. Men principals who exhibit both leadership constructs demonstrated relationships with academic achievement that were high, but not statistically significant. Women principals who exhibit both leadership constructs demonstrated negative relationships with achievement. This implies that men principals who exhibit both leadership constructs will have student bodies that out perform the student bodies of men and women principals who do not exhibit these leadership behaviors. Furthermore, women principals who did not exhibit transformational leadership or instructional leadership had small, but positive relationships with student achievement. This implies that women principals who do not exhibit both leadership constructs will have student bodies that will out perform the student bodies of women principals who do exhibit both leadership construct behaviors. Theoretical implications are found in the questions that arisen from this study. Why did men principals who exhibit both transformational and instructional leadership have a stronger relationship with high student achievement than women principals who exhibited both instructional and transformational leadership? Are or should leadership behaviors within the elementary principalship be gender specific? Another question that comes to the forefront is why would principals who are exhibiting instructional leadership and not exhibiting transformational leadership demonstrate a negative relationship to higher student achievement after decades of research clearly demonstrating that instructional leadership has been a sound component of academically higher achieving schools?
  • 160. 148 The implication here is that both what principals do and possibly more importantly how principals do what they do and perhaps why should be the focus of further study. On another note there is the possibility that another implication could be derived from this study. Perhaps Weber had it correct from the beginning. Weber (1971) suggested that there was clear evidence that strong leadership was at least one of the main factors for high academic achieving schools. The implication is that transformational leadership may not be the answer, but rather a more autocratic manner of leadership that benefits the followers in the leader- follower relationship. Walberg investigated leadership in private schools; Walberg (2007) noted, “The reason private schools excel is the way they are organized – strong principals with clear academic visions, the freedom to adopt and pursue policies, etc.” (p. 69). It is possible that the high performing schools have principals that may or may not appear to exhibit transformational leadership, but tend to be autocratic when necessary. In theory it does not seem possible that an autocratic leader could appear to exhibit transformational leadership, but pseudo- transformational behavior could possibly account for such results. The questions that come forth from this study may imply that perhaps methodological issues may be at the center of some of the discrepancies between this study and past research. Quantitative research of this nature provides data that is statistically significant or it is not; it does not address the why questions. Perhaps future studies should be performed using a mixed method where individual case studies are performed as follow-up to attempt to address the questions that quantitative data brings forth. Contribution of This Study Since there were so few studies conducted first using Bass and Avolio’s construct of transformational leadership in the realm of education and second using transformational
  • 161. 149 leadership in conjunction with instructional leadership it is difficult to point out specific differences between this study and previous work. The findings of this study, although not statistically significant, point toward a positive relationship between transformational leadership in conjunction with instructional leadership and higher student achievement for men principals. This study produced negative relationships for women principals exhibiting transformational and instructional leadership with higher academic achievement. This demonstrates consistent findings with previous work on the part of men principals, but contradicts previous research on the part of women principals who have demonstrated positive results for transformational leadership behavior. However, the majority of past research involving transformational leadership used a construct developed by Leithwood and Jantzi that is similar, but not identical to that of Bass and Avolio so it is difficult to suggest consistency at all. An unexplainable point of contention lies within the results that show negative relationships between principals who exhibit instructional leadership and do not exhibit transformational leadership with higher academic achievement. It could be expected at the very least that there would be a positive relationship between principals exhibiting instructional leadership and high academic achievement. That was not the case. This is a point of contention since there has been well over thirty years of cumulative research, some providing empirical evidence, that instructional leadership is a key factor in schools that perform better academically. So not only do the results of this study not clarify contradictions in previous research, the results of this study provide greater contradictions. This was a completely unanticipated outcome unable to be explained. A significant contribution of this study came about as a result of post-hoc testing. Management-by-exception passive provided the only statistically significant results that
  • 162. 150 demonstrate a relationship between leadership behavior and higher academic achievement. Considerable more research that focuses on transactional leadership behavior would be necessary to generalize this outcome. From pure mathematical and logical reasoning it is understandable that for statistically significant relationship between variables to exist, specifically high academic achievement in this study there must be statistically significant correlations to explain low academic achievement. However, to find negative relationships between leadership behavior for both transformational leadership behavior and instructional leadership behavior was rather unnerving and unexplainable. And then to find it may be gender related was more unexplainable. Though previous research was not reviewed that addressed results by gender, previous research contradicts these results or omits the negative correlational findings. Limitations Through the process of analyzing the data it became more and more evident that the small pool of participants limited any possibility of making generalizations from the results. The small pool of participants was a limiting factor from various perspectives. The hypotheses were designed to address four unique combinations of transformational leadership and instructional leadership. Since there were no participants who exhibited transformational leadership, but did not exhibit instructional leadership, hypothesis two and four could not be addressed. The hypotheses were to be addressed on a basis with the group as a whole and also by gender. The whole group was small to begin with, 31, the sub-groups were very small, n = 14 for men and n = 17 for women. Even if the results had demonstrated statistically significant results by gender, the results would be inferences for further study at best given the nature of the analysis.
  • 163. 151 As with all correlational research, there is limited possibility of causal inferences. There are a vast number of factors that can and do affect student achievement, directly and indirectly, both positively and negatively. It is entirely possible that the results generated in this study are dependent on factors that are not known or addressed in any way. Given the original pool of well over a thousand possible participants invited to participate, it is within the realm of possibilities that the 31 principals who agreed to participate come from some form of unique sub-groups with specific characteristics that are not identified or addressed using the MLQ and PIMRS surveys. It is possible that there are causal factors that have nothing to do with the principals involved. Since it is believed within the research community that the conditions that lead to successful high academically performing schools are in large part due to principals who are perceived to be “strong pragmatic leaders” (Bossert, et al., 1982, p. 35) one would like to think that such causal inferences would not have a significant affect on results. A final limitation lies within the PIMRS survey tool. There is no guarantee the PIMRS will identify principals who delegate dimensions of instructional leadership will be identified as exhibiting instructional leadership. It is possible that principals are delegating responsibility for the dimensions of instructional leadership and that instructional leadership was taking place as a direct result of the principals’ effort, but these principals were not attributed with exhibiting instructional leadership characteristics. That is a limitation of the instrument that could not be addressed within this study. Perhaps future work could involve both quantitative and qualitative data that could identify such cases. Recommendations for Future Research Although the results of this study did not provide statistically significant results for the hypotheses tested, I believe this study warrants further consideration. I would like to see this
  • 164. 152 study performed on a large scale with not less than 100 participants equally segregated by gender. The fact that women principals found to exhibit both transformational and instructional leadership demonstrated a negative relationship to higher student achievement is disturbing. Either the results of this study presented an unexplained anomaly or transformational in conjunction with instructional leadership should not be practiced by women principals in elementary education. The limitations related to the small pool of participation in this study may well be a testament to just how busy elementary principals are, but the benefits from this type of research could provide professional education programs with a better understanding of how to prepare future principals. Philosophically, I believe every country’s greatest asset lies in its ability to educate its’ population. Since principal leadership is a component of the educational process, research of this nature is necessary for appropriate change to occur in how principals are prepared to perform their duties. By virtue of the fact that management-by-exception passive provided the only statistically significant correlational coefficients for this study and that no hypotheses were in place for this post-hoc testing, I believe it would be beneficial for future research to examine all aspects of full range leadership. Broad understandings of leadership behavior are important when the human element is involved because every principal will bring a different set of strengths and weaknesses to the profession. A better understanding of how individuals can benefit from their strengths and develop strategies to over come their weaknesses is the type of pragmatic implementation that can be derived from this type of research. Because the human element of strengths and weaknesses is a factor, as well as the human element that exists in
  • 165. 153 followers, there will not be a single recipe that fits every principal in every building and situation. A broad understanding of leadership is necessary. The thought of the human element within followers raises another point. Perhaps the research of leadership in the realm of education and leadership in general needs to be more follower need focused. When considering change, the decision process within education generally centers on the question, what is best for the students? To assimilate this question to leadership, perhaps the question is what do teachers need in terms of leadership to perform at their best, i.e. what is best for teachers? Herein lays the problem with a single model of leadership since each teacher may need something just a little bit different. Some teachers may want and need to be told what to do to perform at their best, some may need a pat on the back and a piece of chocolate in their mailbox to perform at their best, while others may need and want to be able to close their door and be left alone to perform at their best. For the purpose of providing what should be more reliable data, further research of this nature should strive to include as many teachers as possible to complete rater forms to provide a more accurate assessment of the principal in terms of their leadership behaviors. Having three hand picked raters by the principal may not provide an accurate assessment of actual leadership behavior. I believe it is human nature for a principal to select individuals, who will provide the most favorable response; it would be ideal if it were possible to collect surveys from all teachers under the principal’s supervision. In this study the majority of principals provided only three teacher raters. Summary The purpose of this study was to develop a better understanding of how successful principals lead and more importantly how they help their students achieve at higher levels
  • 166. 154 through their role as principal. The study set out to determine if there is a benefit derived by principals who attend to the various dimensions of instructional leadership and practice transformational leadership behaviors. Studies have been performed that provided statistically significant findings that principals who exhibit a specific array of instructional leadership characteristics had student bodies who performed academically higher than student-bodies whose principals did not exhibit those characteristics. Although it is true that the array of characteristics changed dramatically over a thirty year period and it is also true that what was actually derived from research and what appeared in educational journals varied widely, there were a select number of instructional leadership characteristics that stood out. Five of those characteristics bore statistical evidence in Krug’s work in early to middle part of the 1990’s; “defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate” (Krug, 1992, p. 5). Although not always listed in these exact words, other researchers found these five instructional leadership characteristics to consistently be part of a principal’s repertoire of skills in high performing schools. Although much fewer in number, there have been studies that conclude that principals who exhibit transformational leadership tend to have higher academically performing school bodies. Conclusions of this study do not agree with previous work. Transformational leadership may have a place in educational leadership for men administrators, but may not for women administrators if the results of this study were generalizable. Further, it would seem that even for men administrators transformational leadership may not necessarily be a construct of leadership that programs designed to prepare educational administrators should strive to impart on its
  • 167. 155 students since men principals exhibiting laissez-faire leadership behaviors demonstrated near equally well in terms of having student bodies that perform higher academically. Furthermore; it would appear that principals who attend to the dimensions of instructional leadership also have little to no effect on academic performance. The results of this study demonstrate that principals who exhibit instructional leadership and not transformational leadership behaviors actually produced negative relationships in terms connected to student academic achievement. The conclusion that seems to cut across all lines here is that there is little to no direct or indirect affect on academic student performance derived from the building level principal. I find that difficult to believe, but it can be inferred based upon the results of this study. It appears that other variables need to be factored in.
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  • 180. 168 Ross, J. A., & Gray, P. (2006). Transformational leadership and teacher commitment to organizational values: The mediating effects of collective teacher efficacy. School Effectiveness and School Improvement, 17(2), 179-199. Rost, J. C. (1993). Leadership for the twenty-first century. Westport, CT: Praeger Publishers. Rutter, M., Maughan, B., Mortimore, P., Ouston, J., & Smith, A. (1979). Fifteen thousand hours: Secondary schools and their effects on children. Ambridge, MA: Harvard University Press. Silins, H., Mulford, B., & Zarins, S. (1999). Leadership for organizational learning and student outcomes. The LOLSO Project: The first report of an Australian three year study of international significance. Paper presented at the annual meeting of the American Educational Association, Montreal, Quebec, Canada. Smith, B. N., Montango, R. V, & Kuzmenko, T. N. (2004). Transformational and servant leadership: Content and contextual comparisons. Journal of Leadership and Organizational Studies, 10, 4, 80-91. Smith, S. C., & Piele, P. K. (1997). School leadership: Handbook for excellence. Oregon: Eric Clearinghouse on Educational Management. (ERIC Document Reproduction Service No. ED401596). Retrieved August 6, 2010 from: ERIC. Statistics Solutions, Inc (2009, November 24). Kendall’s Tau and Spearman’s Rank Correlation Coefficient. Retrieved from: http://www.statisticssolutions.com /methods-chapter/statistical-tests/kendall-spearman-rank-correlation-coefficient/. Verona, G. S. & Young, J. W. (2001). The influence of principal transformational
  • 181. 169 leadership style on high school proficiency test results in the New Jersey Comprehensive and Vocational High Schools. Annual Meeting of the American Educational Research Association, 27. Meeting conducted at the meeting of the American Educational Research Association, Seattle, WA. Walberg, H. J. (2007). School coice: the findings. Washington, DC: CATO Institute. Weber, G. (1971). Inner-city children can be taught to read: Four successful schools. Washington, D.C.: Council for Basic Education. (ERIC Document Reproduction Service No. ED057125). Retrieved October 3, 2009 from: ERIC. Whitaker, B. (1997). Instructional leadership and principal visibility. Clearing House, 70(3), 155-156. Witziers, B., Bosker, R. J., & Kruger, M. L. (2003). Educational leadership and student achievement: The elusive search for an association. Educational Administration Quarterly, 39(3), 398-425. Retrieved from: http://0-web.ebsco host.com.sabrecat.marianuniversity.edu/ehost/
  • 182. 170 APPENDIX A: Definition of Terms
  • 183. 171 APPENDIX A: Definition of Terms Academic achievement. Academic proficiency in the areas of Math, Reading, and Language Arts as measured by the Wisconsin Knowledge and Concepts Examination (WKCE). Being visible. The principal visits classrooms often and can also be seen in the hallways, playgrounds, and lunch room on a regular basis. The principal interacts with staff and students on a regular basis. Contingent Reward. A component of transactional leadership that is not corrective in nature. It is an exchange process between leaders and followers in which followers are compensated for contribution of their efforts with rewards such as higher pay, time off, benefits or some form specific pre-arranged reward. Defining mission. Framing the school’s goals, purpose, and mission to drive decision making and design. Elementary School. Schools housing grades one through at-least fifth grade; although may contain grades through eighth grade. Idealized Influence. A component of transformational leadership involving role modeling and leadership that exhibits high moral and ethical standards. It is a form of leadership that places emphasis on the needs of followers in such a way that followers what to emulate their leaders; sometimes characterized as charismatic leadership in nature. Individualized Consideration. A component of transformational leadership that specifically addresses followers’ needs through careful listening and paying attention to individual professional growth. Considered to be a means of assisting followers towards self- actualization through empowerment and providing professional growth opportunities.
  • 184. 172 Inspirational Motivation. A component of transformational leadership in which the leader displays enthusiasm and communicates a shared vision for the organization. Ultimately this component involves motivating and inspiring followers to do what is best for the organization. Instructional Leadership. A combination of five dimensions of the principal role: “defining mission, managing curriculum and instruction, supervising and supporting teaching, monitoring student progress, and promoting instructional climate” (Krug, 1992, p. 5). Intellectual Stimulation. A component of transformational leadership that encourages followers to think out-side the box, to be creative or innovative for the betterment of the organization. Followers need to challenge their own beliefs and per-haps values. Laissez-Faire. A component of full-range-leadership that is non-transformational and non-transactional. It is generally referred to as non-leadership. Management by Exception – Active. A component of transactional leadership that is corrective in nature where the leader that oversees followers watches followers to find mistakes, poor work ethics, or possible rule violations and then takes necessary action. Management by Exception – Passive. A component of transactional leadership that is corrective in nature where the leader that oversees followers does not take action and foresee issues, but intervenes after problems exist or when standards have not been met. Managing curriculum and instruction. Structuring programs and curriculum so there is coherence and alignment both within specific curricula and across programs. Monitoring student progress: is a process which involves interpreting and assessing relevant data to produce criteria for teacher instruction that will best meet individual student needs.
  • 185. 173 PMIRS. Principal Instructional Management Rating Scale; an instrument developed by Philip Hallinger in 1982 and revised in 1985 is designed to measure dimensions of instructional leadership. Principals. Individuals who hold a valid licensure and practice school administration, in the role of school principal, as the direct supervisor for all teaching staff members in a specific school in the state of Wisconsin. Promoting instructional climate. The development of a sound learning environment which involves encouragement for students to be engaged in their learning and where the atmosphere for learning has a shared sense of purpose for students and teachers. Supervising and supporting teachers. Providing professional development that incorporates various strategies related to instruction and learner needs. Supporting teachers also involves developing teacher’s human capital. Teachers. School personnel, holding a valid teaching license in the state of Wisconsin, responsible for direct instruction of students. Transformational Leadership. Leadership construct originally having three components involving peoples’ ethics, morals, emotions, motivators, personal and professional goals, and how to address such needs for the betterment of the organization the leadership is intended for that is now defined to encompass four components: Idealized Influence, Inspirational Motivation, Intellectual Stimulation, and Individualized Consideration. Wisconsin Knowledge and Concepts Examination (WKCE). Standardized tests designed to measure student achievement using Wisconsin academic standards as the standard for school aged students in grades three through eight and ten.
  • 186. 174 APPENDIX B: Principal Invitation Letter of Participation
  • 187. 175 APPENDIX B: Principal Invitation Letter of Participation Principal Invitation Letter of Participation To: [first name] [last name] Principal of [school name] District of [district name] From: Bill Greb Principal District of Three Lakes Re: Principal Leadership Study I am writing to ask for your assistance with an elementary principal leadership study I am conducting. The purpose of the study is to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. If you are at all like me, you learned a great deal of what makes you effective as principal on the job. I don’t expect to be able to provide future principals with a road map to immediate success, but it is my hope that the results of this research will assist institutions that train administrators in the future, to have a better idea of what truly effective principals need to do and how to go about doing it through leadership. Ultimately, what we all want is higher achievement for all students and that is the end goal here. The study involves practicing principals, such as yourself, and preferably four or more of your teachers. If it is not possible to gain four teachers to participate, I would ask that you involve at least three. What you are asked to do is to complete two surveys. Each survey will take conservatively 15 minutes each. One is the Principal Instructional Management Rating Scale (PIMRS) and the other is the Multifactor Leadership Questionnaire (MLQ-5X) short form. You may be familiar with one or both of these surveys from your leadership training. Similarly, participating teachers will complete parallel surveys that also take 15 minutes each. If you choose to participate in this study, you will receive results with an explanation outlining your personal leadership strengths and areas you may want to improve upon. Information in this form will be provided only to you. Overall study results information will be strictly confidential in nature. No personal participant information will be reported in any way. Interested participants may request a complete copy of the research findings upon completion. The identity of all participants, the school, and school district will remain confidential and known only to the researcher.
  • 188. 176 Please feel free to contact me at any time. Thank you for your time and assistance in this endeavor. William Greb Principal School District of Three Lakes PhD candidate, Marian University, Wisconsin To Participate: To participate in this study, you must read the following three page consent form (linked attachment). At the end of the (linked attachment) consent form is the link that will take you directly to the surveys. Once again, thank you in advance for being part of this endeavor. http://www.surveymonkey.com/s/CWPL6XW
  • 189. 177 APPENDIX C: IRB Approval Email
  • 190. 178 APPENDIX C: IRB Approval Email Study Title: PRINCIPAL LEADERSHIP AND STUDENT ACHIEVEMENT IRB Approval File Code: B09100522490 Researchers: William (Bill) Greb Principal, Director of Curriculum & Technology, District of Three Lakes PhD Candidate, Marian University Dr. Marilyn J. Bugenhagen, PhD Director of Doctoral Studies Marian University You are being asked to take part in a research study carried out by William Greb and Dr. Marilyn J. Bugenhagen, PhD. This form explains the research study and your part in it if you decide to join the study. Please read the form carefully, taking as much time as you need. Ask the researcher to explain anything you don’t understand. You can decide not to join the study. If you join the study, you can change your mind later or quit at any time. There will be no penalty or loss of services or benefits if you decide to not take part in the study or quit later. This study has been approved for human subject participation by the Marian University Institutional Review Board. What is this study about? This research study is being done to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. You are being asked to take part because you are a practicing elementary principal. Taking part in the study will take about 30 minutes to complete both surveys. You cannot take part in this study if you do not currently hold a valid Wisconsin Principal licensure. What will I be asked to do if I am in this study? If you take part in the study, you will be asked to complete two surveys, the Principal Instructional Management Rating Scale (PIMRS principal form) and the Multifactor Leadership Questionnaire (MLQ-5X self-report short form). The combined time to complete the surveys is conservatively 30 minutes. You will also be asked to have four or more of your teachers complete parallel surveys. The surveys are designed to determine your leadership in terms of what you do and how you do it. You may elect to withdraw at any time and choose to not answer specific survey questions. An electronic copy of the study results will be provided to all principal participants who would like a copy. Are there any benefits to me if I am in this study?
  • 191. 179 The potential benefits to you for taking part in this study are: Principals will receive a personalized explanation of their leadership qualities and behaviors as determined by a 360 degree leadership evaluation; developed through the combined self and teacher reporting survey results. This evaluation will provide you with an opportunity to reflect on your own leadership behaviors and plan for personal professional development. Beyond that there is no direct benefit to you from being in this study. However, by taking part in this study you may be providing critical information that can be used to prepare future educational administrators with necessary leadership behaviors to be effective principals and have a positive effect for students’ high academic achievement. Are there any risks to me if I am in this study? The potential risks from taking part in this study will involve loss of time. Participants will spend approximately 30 minutes completing two surveys. Individuals completing survey information that can be considered reflective in nature poses a potential for emotional discomfort. It is also necessary to point out that regardless of efforts to protect participant’s anonymity, it impossible to provide a 100% guaranty. Will my information be kept private? The data for this study will be kept confidential to the extent allowed by federal and state law. No published results will identify you, and your name will not be associated with the findings and all data will be reported publicly in aggregate. Under certain circumstances, information that identifies you may be released for internal and external reviews of this project. All participants will be coded and a master list of the participants and coding system will be maintained in a fireproof safe. All data processing and analysis will be maintained on a secure computer. William Greb and Dr. Marilyn J. Bugenhagen will be the only personal with access to un-coded data. The results of this study may be published or presented at professional meetings, but the identities of all research participants will remain anonymous. The data for this study will be kept for 5 years. Are there any costs or payments for being in this study? There will be no costs to you for taking part in this study. You will not receive money or any other form of compensation for taking part in this study. Who can I talk to if I have questions? If you have questions about this study or the information in this form, please contact the researcher:
  • 192. 180 If you have questions about your rights as a research participant, or would like to report a concern or complaint about this study, please contact the Marian University IRB Administrator at (920) 923-8796, or e-mail orsp@marianuniversity.edu, or regular mail at Marian University, ORSP, 45 S. National Avenue, Fond du Lac, WI 54935 What are my rights as a research study volunteer? Your participation in this research study is completely voluntary. You may choose not to be a part of this study. There will be no penalty to you if you choose not to take part. You may choose not to answer specific questions or to stop participating at any time. What does my signature on this consent form mean? Your signature on this form means that: • You understand the information given to you in this form • You have been able to ask the researcher questions and state any concerns • The researcher has responded to your questions and concerns • You believe you understand the research study and the potential benefits and risks that are involved. Statement of Consent I give my voluntary consent to take part in this study. I will be given a copy of this consent document for my records. __________________________________ _____________________ Signature of Participant Date __________________________________ Printed Name of Participant Statement of Person Obtaining Informed Consent I have carefully explained to the person taking part in the study what he or she can expect. I certify that when this person signs this form, to the best of my knowledge, he or she understands the purpose, procedures, potential benefits, and potential risks of participation. I also certify that he or she:
  • 193. 181 • Speaks the language used to explain this research • Reads well enough to understand this form or, if not, this person is able to hear and understand when the form is read to him or her • Does not have any problems that could make it hard to understand what it means to take part in this research. __________________________________ _________________________ Signature of Person Obtaining Consent Date William (Bill) Greb___________________ Principal Investigator____ Printed Name of Person Obtaining Consent Role in the Research Study
  • 194. 182 APPENDIX D: Teacher Invitation Letter of Participation
  • 195. 183 APPENDIX D: Teacher Invitation Letter of Participation Teacher Invitation Letter of Participation To: From: Bill Greb Principal District of Three Lakes Re: Principal Leadership Study Your current school principal provided me with your email address to invite you to partake in an elementary principal leadership study I am conducting. The purpose of the study is to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. I don’t expect the immediate results of this study will provide future principals with a road map to immediate success, but it is my hope that the results of this research will assist institutions that train administrators in the future, to have a better idea of what truly effective principals need to do and how to go about doing it through leadership. Ultimately, what we all want is higher achievement for all students and that is the end goal here. The study involves practicing principals and preferably four or more teachers such as your self. What you are asked to do is to complete two surveys. Each survey will take conservatively 15 minutes each. One is the Principal Instructional Management Rating Scale (PIMRS) for teacher raters and the other is the Multifactor Leadership Questionnaire (MLQ-5X) rater short form. Your identity, the identity of all other participants, the school, and school district will remain confidential and known only to the researcher. A participant numbering system will be assigned for data analysis and reporting purposes. Please feel free to contact me at any time. Thank you for your time and assistance in this endeavor. William Greb Principal School District of Three Lakes PhD candidate, Marian University, Wisconsin To Particiapate:
  • 196. 184 To participate in this study, you must read the following consent form (linked attachment). At the end of the (linked attachment) consent form is the question/link that will take you directly to the surveys. Once again, thank you in advance for being part of this endeavor. http://www.surveymonkey.com/s/ZFT5J86
  • 197. 185 APPENDIX E: Principal Invitation Letter of Participation
  • 198. 186 APPENDIX E: Principal Invitation Letter of Participation To: [first name] [last name] Principal of [school name] District of [district name] From: Bill Greb Principal District of Three Lakes Re: Principal Leadership Study Recently you participated in a principal leadership survey. I am writing to ask for your assistance with a similar study that, with your permission will utilize the data you provided in the first survey in conjunction with data collected for this study. The purpose of the study is to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. If you choose to participate in this study, you will receive results with an explanation outlining your personal leadership strengths and areas you may want to improve upon. Information in this form will be provided only to you. Overall study results information will be strictly confidential in nature. No personal participant information will be reported in any way. Interested participants may request a complete copy of the research findings upon completion. If you are at all like me, you learned a great deal of what makes you effective as principal on the job. I don’t expect to be able to provide future principals with a road map to immediate success, but it is my hope that the results of this research will assist institutions that train administrators in the future, to have a better idea of what truly effective principals need to do and how to go about doing it through leadership. Ultimately, what we all want is higher achievement for all students and that is the end goal here. The study involves practicing principals, such as yourself, and preferably four or more of your teachers. If it is not possible to gain four teachers to participate, I would ask that you involve at least three. What you are asked to do is to complete one survey. The survey will take conservatively 15 minutes. The survey is the Principal Instructional Management Rating Scale (PIMRS). Similarly, participating teachers will complete a parallel survey that also takes 15 minutes. The identity of all participants, the school, and school district will remain confidential and known only to the researcher. Please feel free to contact me at any time. Thank you for your time and assistance in this endeavor. William Greb
  • 199. 187 Principal School District of Three Lakes PhD candidate, Marian University, Wisconsin To Participate: To participate in this study, you must read the following three page consent form (linked attachment). At the end of the (linked attachment) consent form is the link that will take you directly to the survey. Once again, thank you in advance for being part of this endeavor. http://www.surveymonkey.com/s/KN8F35P
  • 200. 188 APPENDIX F: Teacher Invitation Letter of Participation
  • 201. 189 APPENDIX F: Teacher Invitation Letter of Participation Teacher Invitation Letter of Participation To: From: Bill Greb Principal District of Three Lakes Re: Principal Leadership Study Your current school principal provided me with your email address to invite you to partake in an elementary principal leadership study I am conducting. The purpose of the study is to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. I don’t expect the immediate results of this study will provide future principals with a road map to immediate success, but it is my hope that the results of this research will assist institutions that train administrators in the future, to have a better idea of what truly effective principals need to do and how to go about doing it through leadership. Ultimately, what we all want is higher achievement for all students and that is the end goal here. The study involves practicing principals and preferably four or more teachers such as your self. What you are asked to do is to complete a survey. The survey will take conservatively 15 minutes. The Principal Instructional Management Rating Scale (PIMRS) for teachers. Your identity, the identity of all other participants, the school, and school district will remain confidential and known only to the researcher. A participant numbering system will be assigned for data analysis and reporting purposes. Please feel free to contact me at any time. Thank you for your time and assistance in this endeavor. William Greb Principal School District of Three Lakes PhD candidate, Marian University, Wisconsin To Participate:
  • 202. 190 To participate in this study, you must read the following consent form (linked attachment). At the end of the (linked attachment) consent form is the question/link that will take you directly to the survey. Once again, thank you in advance for being part of this endeavor. http://www.surveymonkey.com/s/K3BHZYX
  • 203. 191 APPENDIX G: Second Teacher Invitation Letter of Participation
  • 204. 192 APPENDIX G: Second Teacher Invitation Letter of Participation I apologize for the inconvenience if you have already responded. Since teacher response is anonymous, I can not determine who has responded. Teacher Invitation Letter of Participation to the study your principal is participating in: To: From: Bill Greb Principal District of Three Lakes Re: Principal Leadership Study Your current school principal provided me with your email address to invite you to partake in an elementary principal leadership study I am conducting. The purpose of the study is to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. I don’t expect the immediate results of this study will provide future principals with a road map to immediate success, but it is my hope that the results of this research will assist institutions that train administrators in the future, to have a better idea of what truly effective principals need to do and how to go about doing it through leadership. Ultimately, what we all want is higher achievement for all students and that is the end goal here. The study involves practicing principals and preferably four or more teachers such as your self. What you are asked to do is to complete two surveys. Each survey will take conservatively 15 minutes each. One is the Principal Instructional Management Rating Scale (PIMRS) for teacher raters and the other is the Multifactor Leadership Questionnaire (MLQ-5X) rater short form. Your identity, the identity of all other participants, the school, and school district will remain confidential and known only to the researcher. A participant numbering system will be assigned for data analysis and reporting purposes. Please feel free to contact me at any time. Thank you for your time and assistance in this endeavor. William Greb Principal School District of Three Lakes PhD candidate, Marian University, Wisconsin
  • 205. 193 To Particiapate: To participate in this study, you must read the following consent form (linked attachment). At the end of the (linked attachment) consent form is the question/link that will take you directly to the surveys. Once again, thank you in advance for being part of this endeavor. http://www.surveymonkey.com/s/ZFT5J86
  • 206. 194 APPENDIX H: IRB Approval Email
  • 207. 195 APPENDIX H: IRB Approval Email Study Title: PRINCIPAL LEADERSHIP AND STUDENT ACHIEVEMENT IRB Approval File Code: B09100522490 Researchers: William (Bill) Greb Principal, Director of Curriculum & Technology, District of Three Lakes PhD Candidate, Marian University Dr. Marilyn J. Bugenhagen, PhD Director of Doctoral Studies Marian University You are being asked to take part in a research study carried out by William Greb and Dr. Marilyn J. Bugenhagen, PhD. This form explains the research study and your part in it if you decide to join the study. Please read the form carefully, taking as much time as you need. Ask the researcher to explain anything you don’t understand. You can decide not to join the study. If you join the study, you can change your mind later or quit at any time. There will be no penalty or loss of services or benefits if you decide to not take part in the study or quit later. This study has been approved for human subject participation by the Marian University Institutional Review Board. What is this study about? This research study is being done to gain insight into the relationship between instructional leadership practice in conjunction with transformational leadership practice and student academic achievement. You are being asked to take part because you are a practicing elementary principal. Taking part in the study will take about 30 minutes to complete both surveys. You cannot take part in this study if you do not currently hold a valid Wisconsin Principal licensure. What will I be asked to do if I am in this study? If you take part in the study, you will be asked to complete two surveys, the Principal Instructional Management Rating Scale (PIMRS principal form) and the Multifactor Leadership Questionnaire (MLQ-5X self-report short form). The combined time to complete the surveys is conservatively 30 minutes. You will also be asked to have four or more of your teachers complete parallel surveys. The surveys are designed to determine your leadership in terms of what you do and how you do it. You may elect to withdraw at any time and choose to not answer specific survey questions. An electronic copy of the study results will be provided to all principal participants who would like a copy. Are there any benefits to me if I am in this study?
  • 208. 196 The potential benefits to you for taking part in this study are: Principals will receive a personalized explanation of their leadership qualities and behaviors as determined by a 360 degree leadership evaluation; developed through the combined self and teacher reporting survey results. This evaluation will provide you with an opportunity to reflect on your own leadership behaviors and plan for personal professional development. Beyond that there is no direct benefit to you from being in this study. However, by taking part in this study you may be providing critical information that can be used to prepare future educational administrators with necessary leadership behaviors to be effective principals and have a positive effect for students’ high academic achievement. Are there any risks to me if I am in this study? The potential risks from taking part in this study will involve loss of time. Participants will spend approximately 30 minutes completing two surveys. Individuals completing survey information that can be considered reflective in nature poses a potential for emotional discomfort. It is also necessary to point out that regardless of efforts to protect participant’s anonymity, it impossible to provide a 100% guaranty. Will my information be kept private? The data for this study will be kept confidential to the extent allowed by federal and state law. No published results will identify you, and your name will not be associated with the findings and all data will be reported publicly in aggregate. Under certain circumstances, information that identifies you may be released for internal and external reviews of this project. All participants will be coded and a master list of the participants and coding system will be maintained in a fireproof safe. All data processing and analysis will be maintained on a secure computer. William Greb and Dr. Marilyn J. Bugenhagen will be the only personal with access to un-coded data. The results of this study may be published or presented at professional meetings, but the identities of all research participants will remain anonymous. The data for this study will be kept for 5 years. Are there any costs or payments for being in this study? There will be no costs to you for taking part in this study. You will not receive money or any other form of compensation for taking part in this study. Who can I talk to if I have questions? If you have questions about this study or the information in this form, please contact the researcher:
  • 209. 197 If you have questions about your rights as a research participant, or would like to report a concern or complaint about this study, please contact the Marian University IRB Administrator at (920) 923-8796, or e-mail orsp@marianuniversity.edu, or regular mail at Marian University, ORSP, 45 S. National Avenue, Fond du Lac, WI 54935 What are my rights as a research study volunteer? Your participation in this research study is completely voluntary. You may choose not to be a part of this study. There will be no penalty to you if you choose not to take part. You may choose not to answer specific questions or to stop participating at any time. What does my signature on this consent form mean? Your signature on this form means that: • You understand the information given to you in this form • You have been able to ask the researcher questions and state any concerns • The researcher has responded to your questions and concerns • You believe you understand the research study and the potential benefits and risks that are involved. Statement of Consent I give my voluntary consent to take part in this study. I will be given a copy of this consent document for my records. __________________________________ _____________________ Signature of Participant Date __________________________________ Printed Name of Participant Statement of Person Obtaining Informed Consent I have carefully explained to the person taking part in the study what he or she can expect. I certify that when this person signs this form, to the best of my knowledge, he or she understands the purpose, procedures, potential benefits, and potential risks of participation. I also certify that he or she:
  • 210. 198 • Speaks the language used to explain this research • Reads well enough to understand this form or, if not, this person is able to hear and understand when the form is read to him or her • Does not have any problems that could make it hard to understand what it means to take part in this research. __________________________________ _________________________ Signature of Person Obtaining Consent Date William (Bill) Greb___________________ Principal Investigator____ Printed Name of Person Obtaining Consent Role in the Research Study