THE VOICE OF PRINCIPAL LEADERSHIP:
THE TRANSFORMATIONAL LEADERSHIP OF
ELEMENTARY SCHOOL PRINCIPALS
by
David Amador Roman
D...
UMI Number: 3368415
Copyright 2009 by
Roman, David Amador
INFORMATION TO USERS
The quality of this reproduction is depende...
ABSTRACT
THE VOICE OF PRINCIPAL LEADERSHIP:
THE TRANSFORMATIONAL LEADERSHIP OF
ELEMENTARY SCHOOL PRINCIPALS
David Amador R...
which leadership can positively influence school improvement: (1) purpose and goals;
(2) school planning; (3) organization...
THE VOICE OF PRINCIPAL LEADERSHIP:
THE TRANSFORMATIONAL LEADERSHIP OF
ELEMENTARY SCHOOL PRINCIPALS
by
David Amador Roman
D...
© Copyright David Amador Roman 2009
All Rights Reserved
DEDICATION
/ dedicate this doctorate to my beautiful and gentle wife Laura, "The Love of My Life "
and to our two beautifu...
ACKNOWLEDGMENTS
To those that stumble upon these words, please be reminded of what individuals
can come to realize if they...
your loved ones, contribute to the world, and contribute to your own development.
Accomplish many great endings, but alway...
TABLE OF CONTENTS
Chapter
I INTRODUCTION 1
Defining "Transformational Leadership" 3
Purpose of the Study 4
Objectives of t...
er
III Principal Participants 63
(cont) Teacher Participants 64
Location 66
Consent Procedures/Confidentiality 67
Data Col...
Chapter
V SUMMARY OF CONCLUSIONS, DISCUSSION, AND
RECOMMENDATIONS 259
Introduction 259
Summary 260
Research Questions 261
...
Table
LIST OF TABLES
1 Corresponding Characteristics—Transformational Leadership 32
2 Archival Data Storage System—Informa...
LIST OF FIGURES
Figure
1 Conceptual Diagram—Purpose of Study 6
2 Conceptual Design of the Study—Transformational Leadershi...
1
Chapter I
INTRODUCTION
Schools are continually being challenged to achieve higher standards of academic
excellence, and ...
2
needed to effectively improve schools (Barnett et al., 2001; Bass & Avolio, 1994; Bums,
1978; Hallinger & Heck, 1996; Le...
3
qualities are characterized. Research into the leadership practices of principals will
provide one more dimension to und...
4
high performance expectations; and, (6) developing structures to foster participation in
school decisions (p. 114). By i...
5
transformational. This was enhanced by exploring how both principals and teachers
perceived the leadership practices. As...
6
Figure 1. Conceptual Diagram—Purpose of Study
Derived from the Model of Transformational Leadership
that was developed b...
7
This study also attempted to determine if the perceptions of principals and
teachers can be used as a tool to identify w...
8
The traits linked to the six dimensions of transformational leadership, outlined
previously, have been identified as beh...
9
meetings conducted by each principal with their staff, and examined written minutes and
staff correspondence obtained fr...
10
setting in which the behavior was occurring. As Babbie (1995) states, "direct observation
in the field lets you observe...
11
3. explore the relationship between perceived and observed leadership practices
and the five school conditions that are...
12
leadership practices influence any of the five school conditions? (Leithwood
& Jantzi, 2000, 2005; Silins et al., 2002)...
13
transformational leadership as an individual's concern and vision/inspiration. By contrast,
the attributes of transacti...
14
I directly corresponded with Kenneth Leithwood, one of the prominent researchers
in the field of transformational leade...
15
study are described. Chapter III provides a more detailed analysis of the methodological
constructs of this study's res...
16
Both principals agreed to allow me to speak with the superintendent about their
individual leadership practices.
To enh...
17
academic requirements currently mandated by the New Jersey State Department of
Education.
The selection of two elementa...
18
Researcher's Role in Conducting Study
While conducting research within a field setting in which I also worked, it becam...
19
district in which I worked. The chapter outlines concerns associated with researcher bias
and reactivity, descriptive v...
20
Data Analysis
The data gathered from school documents, principal observations, and principal
and teacher interviews wer...
21
"can continually modify the research design as indicated by the observations, the
developing theoretical perspectives, ...
22
Limitations of the Study
This study was primarily concerned with investigating how principals
demonstrated their abilit...
23
Significance of the Study
I was the sole investigator in this study. The benefit of conducting this study
within the sa...
24
consciously employ transformational leadership practices may influence school
conditions and teacher engagement within ...
25
Leithwood and Jantzi (1996) indicate that not much is known about "teachers'
perceptions of principals' transformationa...
26
Chapter II
REVIEW OF THE LITERATURE
This chapter is primarily concerned with exploring the transformational leadership
...
27
communities. As well, transformational leadership practices can assist individuals in
becoming effective leaders. Credi...
28
assessment of factors attributed to the specific behaviors that are considered to be
effective transformational leaders...
29
Building on this definition, Barnett et al. (2001) identified the features of
transformational leadership as including ...
30
of leadership suggests that for leaders to become successful, they must completely
embrace these six dimensions, as def...
31
enhance and raise participants' level of commitment, as well as to inspire individuals
toward advanced levels of improv...
Table1.CorrespondingCharacteristics—TransformationalLeadership
Leithwood&Jantzi
(2000)
SixDimensionsof
Transformational
Le...
33
Reviewing the Meaning of Educational Leadership
In 1996, Jantzi and Leithwood attempted to determine how a teacher's vi...
34
"leadership continuum" (p. 114). The intention was to identify the primary
transformational leadership characteristic n...
35
Leithwood and Jantzi's (1993) measure of transformational leadership and, similarly,
"Finn's (1989) conceptualization o...
36
designs. These constructs of leadership were: (1) transformational leadership,
(2) transactional leadership, and (3) la...
37
interceded with instruction: (1) developing the school mission and goals;
(2) coordinating, monitoring, and evaluating ...
38
(affective/psychological dimension) and participation (behavioral dimension) in school.
As well, student engagement is ...
39
positive impact. Therefore, transformational leaders should monitor the particular aspects
of school conditions that ap...
Leithwood and Jantzi (2000) suggest that "transformational leadership has strong,
significant direct effects on organizati...
41
Results from Silins et al.'s (2002) study specified no direct effects of the
principal's approach to leadership on dist...
42
behaviors of the principal and the leadership team in the school are in place and
distributed throughout the whole teac...
43
Leadership Impact on Teachers
Other researchers have explored the impact of leadership directly on teachers.
Barnett et...
44
demonstrated the principals' failure to intervene except during problematic situations. As
a result, this had a direct ...
45
leadership is shared with teachers, which in turn will enhance school performance. In a
ripple effect, students were sh...
46
teachers would become self-actualized and work harder if they view a principal giving
teachers individual attention. Bo...
47
The literature clearly identifies that a principal's leadership practices can have
indirect impact on students through ...
48
in exchange for their efforts (Burns, 1978; Sergiovanni, 2004). Sergiovanni (2004) states
that "the wants and the needs...
49
become aligned within the new structure, the work process, and the culture of the
organization" (p. 211). Thus, transfo...
50
attributes of transformational leadership. Despite the general consensus on the definition
of transformational leadersh...
51
individuals who are capable of distributing leadership throughout the school to various
places and to other individuals...
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Thesis tl of elementary school

  1. 1. THE VOICE OF PRINCIPAL LEADERSHIP: THE TRANSFORMATIONAL LEADERSHIP OF ELEMENTARY SCHOOL PRINCIPALS by David Amador Roman Dissertation Committee: Professor Robert Monson, Sponsor Professor James Langlois Approved by the Committee on the Degree of Doctor of Education Date MAY I 8 2009 Submitted in partial fulfillment of the requirement for the Degree of Doctor of Education in Teachers College, Columbia University 2009
  2. 2. UMI Number: 3368415 Copyright 2009 by Roman, David Amador INFORMATION TO USERS The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleed-through, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. ® UMI UMI Microform 3368415 Copyright 2009 by ProQuest LLC All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. ProQuest LLC 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, Ml 48106-1346
  3. 3. ABSTRACT THE VOICE OF PRINCIPAL LEADERSHIP: THE TRANSFORMATIONAL LEADERSHIP OF ELEMENTARY SCHOOL PRINCIPALS David Amador Roman A qualitative case study was conducted over 6 months, from July 2008 through December 2008, to research transformational leadership within two elementary schools consisting of 2 principals and 10 teachers (5 from each principal's school) located in the Central School District in the State of New Jersey. This study was not concerned with evaluating principals; rather, its purpose was to analyze the perceived effects of a principal's transformational leadership practices, both positive and negative, on five specific school conditions to determine what is needed to lead schools effectively toward successful outcomes. Leithwood and Jantzi (2000) describe transformational leadership behaviors as having six dimensions: (1) building school vision and goals, (2) providing intellectual stimulation, (3) offering individual support, (4) symbolizing professional practices and values, (5) demonstrating high performance expectations, and (6) developing structures to foster participation in school decisions (p. 114). This study focused on two specific transformational leadership practices: (1) building school vision and goals; and (2) offering individual support. In addition, it focused on five school conditions through
  4. 4. which leadership can positively influence school improvement: (1) purpose and goals; (2) school planning; (3) organizational culture; (4) structure and organization; and (5) information and decision-making (Leithwood & Jantzi, 2000, pp. 115-116). Data collection consisted of principal and teacher interviews, archival documents, and principal observations. The analysis revealed possible similarities, emerging themes, and patterns in the perceptions of both elementary principals' leadership practices. The predominant leadership attributes found in this study can be characterized according to three major themes: (1) effective communication skills; (2) developing a culture of trust; and (3) modeling desired behavioral practices. The three themes were germane to Leithwood and Jantzi's (1995, 1999, 2000) studies conducted on transformational leadership.
  5. 5. THE VOICE OF PRINCIPAL LEADERSHIP: THE TRANSFORMATIONAL LEADERSHIP OF ELEMENTARY SCHOOL PRINCIPALS by David Amador Roman Dissertation Committee: Professor Robert Monson, Sponsor Professor James Langlois Approved by the Committee on the Degree of Doctor of Education Date MAY 1 8 20M Submitted in partial fulfillment of the requirement for the Degree of Doctor of Education in Teachers College, Columbia University 2009
  6. 6. © Copyright David Amador Roman 2009 All Rights Reserved
  7. 7. DEDICATION / dedicate this doctorate to my beautiful and gentle wife Laura, "The Love of My Life " and to our two beautiful sons, Nicolas (Bear) and Cristian (Skipper), as well as to my loving parents. in
  8. 8. ACKNOWLEDGMENTS To those that stumble upon these words, please be reminded of what individuals can come to realize if they focus their mind on creating realities from their dreams and ambitions. Clearly, the unimaginable is achievable. Dr. Monson, Dr. Langlois, and Dr. Riehl, thank you for all of your support and guidance towards the middle and end of this journey. Dr. Smith, Dr. Sobol, and Dr. Orr, thank you for all of your support and guidance at the beginning of this journey. Dr. Oldham and Dr. Keller, thank you for your support as I concluded this journey. I am grateful to each and every one of you for your generosity, support, kindness, patience, and friendship throughout the years. To my beautiful and gentle wife Laura, I thank you for the words you whisper to me in moments of happiness and triumph, as well as for the words of comfort that you have whispered to me in times of sorrow and despair. Like everything that we have achieved throughout the years, we have also accomplished this moment together. It is solely due to your efforts that our house is a home. You have continually nurtured our family with your embraces. Your warmth and love have helped to shape the best part of my life. Our love, commitment, bond, friendship, and marriage are nestled deep within my soul. The beauty of who you are as well as who you have become captivates my life. To my beautiful boys, Nicolas (Bear) and Cristian (Skipper), thank you for being my sons. Always be mindful of how much I love you both. I am truly humbled and honored to be your father. I thank you for your playfulness. I am a better man because of the both of you. I ask that as you grow into great men, you create your own destiny and happiness. I ask that you search for your purpose in life. I ask that you find your road and follow the path that leads you to inner peace, love, and joy. I ask that you contribute to iv
  9. 9. your loved ones, contribute to the world, and contribute to your own development. Accomplish many great endings, but always keep your eye on the present and on the future. The destination is of less importance than the journey. The journey is what brings you deep and rewarding happiness. This is the one true thing that I can say with complete confidence. To my mother, your strength carried me through moments of struggle. Your love and support encouraged me through my childhood hours and they continue to guide me till this day. Thank you for the gift of intellectual curiosity that you bestowed upon me. To my father, gentle soul that you are. Respect and maturity from childhood to manhood are not easily attainable in life, unless modeled by those you admire. Thank you for the gift of spirituality you have bestowed upon me. To my grandparents (Margarita, Hipolito, Dominga, and Juan Sr.), I love you and remember you from this earth to the heavens above. Anita and Joseph, I thank you for your love and for always supporting me. To my brother Walter and my sister Theresa, you are forever in my heart. Alexandra, Andres, Brian, Christopher, Deanna, Dylan, Christina, Sean, Victoria, and to any of our family's unborn children, share your dreams with the world. It is now time for me to move on to my next quest. Be well! Peace, Love, Joy, D. A. R. v
  10. 10. TABLE OF CONTENTS Chapter I INTRODUCTION 1 Defining "Transformational Leadership" 3 Purpose of the Study 4 Objectives of the Study 10 Research Questions 11 Theoretical Framework of the Study 12 Overview of Methodological Design 14 Methodological Design 15 Participant Selection 15 District Selection 16 Researcher's Role in Conducting Study 18 Data Collection 19 Data Analysis 20 Limitations of the Study 22 Significance of the Study 23 Summary 24 II REVIEW OF THE LITERATURE 26 Definition of Transformational Leadership 28 Historical Roots 30 Reviewing the Meaning of Educational Leadership 33 Leadership Impact on Student Engagement 37 Leadership Impact on Organizational Conditions 38 Leadership Impact on Teachers 43 Transactional Leadership 47 Analysis of Studies on Transformational Leadership 49 Conclusion 53 III METHODOLOGY 57 Research Design 57 Pilot Studies 58 Principal Leadership Practices 58 Leadership Theory 59 Methodological Design 61 Description of Design 61 Significance of Location in Conducting Study 62 VI
  11. 11. er III Principal Participants 63 (cont) Teacher Participants 64 Location 66 Consent Procedures/Confidentiality 67 Data Collection 69 Collection of Data: Multiple Case Field Study 69 Interview Procedures 70 Archival Data 76 Observation of Principals 78 Data Analysis 80 Analysis of Interviews 80 Analysis of Archival Documents 86 Analysis of Observations 89 Validity Threats to Research 93 Researcher's Bias and Reactivity 94 Limitations 98 Significance of Study 98 Conclusion 99 IV FINDINGS 101 Interviews 102 Archival Documents 103 Observations of Principals 104 Principal A 105 Principal A Teachers 141 Summary of Findings-Principal A School 163 Principal B 175 Principal B Teachers 207 Summary of Findings-Principal B School 225 Superintendent Interview on Principal Leadership 237 Cross-Case Findings-Principal A School and Principal B School 244 Summary 258 vn
  12. 12. Chapter V SUMMARY OF CONCLUSIONS, DISCUSSION, AND RECOMMENDATIONS 259 Introduction 259 Summary 260 Research Questions 261 Research Question # 1 261 Research Question # 2 265 Research Question # 3 269 Cross-Case Analysis and Discussion - Principal A School and Principal B School 274 Transformational Leadership—Effect on School Conditions 274 Effective Communication Skills 276 Developing a Culture of Trust 282 Modeling Desired Behavioral Practices 287 Discussion of the Results from Cross-Case Analysis 292 Conclusions 301 Recommendations for Future Research 302 Future Research 302 Reflection of Findings—Related to Professional Practices 305 Final Thoughts 308 REFERENCES 310 APPENDICES A Principal Interview Protocol 315 B Teacher Interview Protocol 322 C Preliminary List of Etic Codes 329 D Preliminary List of Emic Codes 330 E Principal Observation Protocol 331 F Preliminary List of Inductive Codes 334 G Preliminary List of Deductive Codes 335 H Invitation to Participants 336 I Protection of Human Subjects in Research—Application 337 J IRB for Interviewed Principals and Teachers 339 vm
  13. 13. Table LIST OF TABLES 1 Corresponding Characteristics—Transformational Leadership 32 2 Archival Data Storage System—Information Collected 87 IX
  14. 14. LIST OF FIGURES Figure 1 Conceptual Diagram—Purpose of Study 6 2 Conceptual Design of the Study—Transformational Leadership 60 3 Core of Transformational Leadership Practices—Influence on School Conditions 275 x
  15. 15. 1 Chapter I INTRODUCTION Schools are continually being challenged to achieve higher standards of academic excellence, and educational leaders are expected to be at the forefront of most school improvement initiatives (Leithwood & Jantzi, 2000). Therefore, it is necessary to identify the significant leadership practices and characteristics that principals display in school settings to focus on improving school conditions and increasing student achievement as ultimate goals. The goal of this study was to uncover if principals are perceived as affecting school conditions through their leadership practices. The direct involvement of the principal's leadership leads to the actualization of greater advancements in the areas of teacher engagement, student engagement, and school conditions (Bolman & Deal, 1991; Fullan, 1991; Leithwood & Jantzi, 1999, 2000; Sergiovanni, 1995; Silins et al., 2002). Additionally, state and federal regulations mandate that schools improve student test scores annually. For example, federal regulations signed into law by President George W. Bush in the No Child Left Behind Act of 2001 require all schools to make adequate yearly progress regarding students' test scores. Thus, principals need to balance both internal school responsibilities and imposed external obligations from outside the school. Leadership is complex and multifaceted (Barnett et al., 2001; Hallinger & Heck, 1996; Leithwood & Jantzi, 2000; Marks & Printy, 2003; Sergiovanni, 1995; Silins et al., 2002). A multitude of assumptions have been posed about which leadership skills are
  16. 16. 2 needed to effectively improve schools (Barnett et al., 2001; Bass & Avolio, 1994; Bums, 1978; Hallinger & Heck, 1996; Leithwood & Jantzi, 1999, 2000; Marks & Printy, 2003). Investigating what leadership looks like, through principal and teacher perceptions, is an essential component of understanding how leadership affects school conditions. Considerable research has been conducted on effective leadership practices, but little is known about how the leadership behaviors of principals in school settings are perceived by principals and teachers (Barnett et al., 2001; Hallinger & Heck, 1996; Leithwood & Jantzi, 1999, 2000; Marks & Printy, 2003; Silins et al., 2002). This study attempted to fill a gap in the research by investigating how principals' leadership practices were perceived within school settings. Specifically, the leadership practices of two elementary principals were investigated to determine if those principals displayed qualities associated with transformational leadership practices. Research has identified that transformational leaders can directly influence organizational conditions by encouraging teachers to work collaboratively and change their practices and by supporting them in making an extra effort to improve their schools (Geijsel & Sleegers, 1999; Leithwood & Jantzi, 2000, 2005; Marks & Printy, 2003). Research also indicates that principal behavior directly impacts teacher commitment, teacher engagement, and organizational changes that occur within schools (Geijsel, Leithwood, Jantzi, & Sleegers, 2003; Ingram, 1997). Exploring the behaviors that principals display in school settings offers an opportunity to understand how both teachers and principals perceive that leadership practices affect school quality. Principal and teacher perceptions can be used to substantiate if a relationship exists between leadership practices and school conditions, as well as to contrast how specific leadership
  17. 17. 3 qualities are characterized. Research into the leadership practices of principals will provide one more dimension to understanding ways to develop high-quality leaders. Chapter I gives a definition of transformational leadership as it was used in this study. The next section establishes the purpose of the study, its rationale, and the need to uncover significant attributes of transformational leadership as it relates to elementary principals. Following is a description of the objectives of this study and the three specific areas investigated. The subsequent section outlines the research questions which seek to understand the attributes ascribed to transformational leadership practices (Leithwood & Jantzi, 1996, 2000, 2005). Finally, the theoretical framework is discussed in terms of the effects of transformational leadership practices on school conditions. The chapter concludes with an overview of the methods that were used to investigate transformational leadership. Defining "Transformational Leadership " Leithwood and Jantzi's (2000) definition of transformational leadership, which guided this study, refers to leaders who are able to cultivate in followers the capacity to develop a personal commitment to accomplishing common organizational goals (p. 113). In the school setting, individuals who demonstrate transformational leadership are able to affect school conditions by their behavior practices (pp. 113-115). Leithwood and Jantzi (2000) describe transformational leadership behaviors as having six dimensions: (1) building school vision and goals; (2) providing intellectual stimulation; (3) offering individual support; (4) symbolizing professional practices and values; (5) demonstrating
  18. 18. 4 high performance expectations; and, (6) developing structures to foster participation in school decisions (p. 114). By isolating the leadership practice dimensions, associated with these, it will be possible to come to a more realistic understanding of how leadership is conveyed and implemented by principals in school settings. Although a number of different definitions of transformational leadership are available (Barnett et al., 2001; Bass & Avolio, 1994; Burns, 1978; Hallinger & Heck, 1996; Leithwood & Jantzi, 1999, 2000; Marks & Printy, 2003), Leithwood and Jantzi's (2000) definition of transformational leadership was used because it provides the clearest description of what to look for in the leadership practices of principals. Purpose of the Study More research is needed to understand how exemplary leadership is perceived in practice in order to develop high-quality leaders. These perceptions will help to identify the essential characteristics leaders demonstrate within the work setting, i.e., the school. In turn, by identifying the critical practices and characteristics that are attributed to transformational leadership, leaders can become better prepared to initiate school reform. It is important to determine how abstract theories such as transformational leadership can impact teachers in school settings through the principals' behaviors. This may guide individuals who aspire to become leaders to implement successful reform initiatives that can effect positive changes within schools. The purpose of this study was to explore what kinds of transformational leadership behaviors principals may exhibit in their daily interactions with teachers. One objective was to establish if the principals' observed behaviors can be described as
  19. 19. 5 transformational. This was enhanced by exploring how both principals and teachers perceived the leadership practices. As a result, the study could determine if the principals were consciously practicing these behaviors, if they were endeavoring to effect transformation within their schools, and if so, what levels of transformational leadership existed.
  20. 20. 6 Figure 1. Conceptual Diagram—Purpose of Study Derived from the Model of Transformational Leadership that was developed by the researcher This Study Sought to Verify If Principals and Teachers Perceive That. Building School Vision Building School Goals Offering Individual Support to Teachers Does Practicing These Two Components of Transformational Leadership Have Any Impact on the Development of Five Organizational Conditions? *This study responded to the need to understand the nature and quality of leadership by uncovering the essential attributes associated with transformational leadership practices. *The nature and strength of the relationship between teachers and leaders must be understood if one hopes to improve school conditions through transformational leadership practices. *The process of improving schools can best be strengthened by attaining a diverse conceptualization of educational leadership.
  21. 21. 7 This study also attempted to determine if the perceptions of principals and teachers can be used as a tool to identify whether the transformational leadership practices of principals impact school conditions. If the perceptions of principals and teachers align or agree with the idea of how a principal is effective, then it may be possible to link that consensus to the degree to which principals impact school conditions. Finally, this study examined whether two specific transformational leadership traits were evident in the daily practices and behaviors of two individual elementary school principals. This inquiry explored the notion of leadership using Leithwood and Jantzi's (2000) conceptual framework to define and describe those two specific transformational leadership dimensions: (1) building school vision and goals, and (2) offering individual support. Their concept of leaders as embodying specific practices and consisting of varied leadership dimensions offered a clear and practical definition of transformational leadership for this study. Only two leadership dimensions (building school vision and goals, and offering individual support) were chosen out of the six because they are most often seen as influencing school conditions (Barnett et al., 2001; Hallinger & Heck, 1996; Leithwood & Jantzi, 2000; Marks & Printy, 2003; Silins et al., 2002). Research indicates that building school vision and goals and offering support were significant leadership dimensions typifying successful transformational school leaders (Leithwood et al., 1996). The relevant literature repeatedly concludes that these two specific attributes reflect a transformational leader's practices (Barnett et al., 2001; Bass & Avolio, 1994; Burns, 1978; Hallinger & Heck, 1996; Leithwood & Jantzi, 1999, 2000; Marks & Printy, 2003).
  22. 22. 8 The traits linked to the six dimensions of transformational leadership, outlined previously, have been identified as behaviors that can positively impact school conditions when displayed by individuals in leadership roles. The five school conditions are: (1) purpose and goals; (2) school planning; (3) organizational culture; (4) structure and organization; and (5) information and decision-making (Leithwood & Jantzi, 2000). Based on these items, the intent of the study was to establish how teachers and principals perceived that the two leadership dimensions (building school vision and goals, and offering individual support) intersected with the five conditions. The terms "Principal A" and "Principal B" from a "Central School District" were used to identify the two elementary principals and the individual district and schools in which they worked. These principals were selected by the district's superintendent because he believed they best demonstrated transformational leadership practices according to the framework defined by Leithwood and Jantzi (2000). This study examined if Principal A, Principal B, and their teaching staff perceived the principal leadership practices displayed within their particular schools as attributes that supported positive school conditions to exist in the school environment. Once selected, both elementary principals granted me permission to discuss their leadership traits with the superintendent. I also discussed Leithwood and Jantzi's (2000) concept of transformational leadership with the superintendent. This was done to identify exactly what dimensions of leadership the superintendent believed both principals demonstrated within the confines of the Central School District. The superintendent asserted that he had conducted informal and formal observations of each principal throughout the past 18 months during site visits to each of the two schools, observed
  23. 23. 9 meetings conducted by each principal with their staff, and examined written minutes and staff correspondence obtained from each principal's meetings. The superintendent cited examples of why he believed these two principals best personified transformational leadership practices on a daily basis. He provided evidence to support that each principal displayed qualities which could be linked to transformational leadership practices, as described by Leithwood and Jantzi (2002). He also stated how each principal demonstrated traits in the school that offered support for the staff. Specifically, both principals established a school vision which could support the goals they sought to obtain in their schools. The superintendent also affirmed that each principal appeared to have staff which supported the implementation of quite a few initiatives. In short, the qualities ascribed to each principal by the superintendent demonstrated the possibility that transformational leadership practices may be found in the behavior of each principal. As the researcher, I wanted to determine if these two principals displayed transformational leadership behavior in action, not solely in theory. I had already observed each principal informally at district-level meetings and noted how both principals appeared to display characteristics that could be identified with transformational leadership practices. At these meetings, the principals cited examples of how their staff received opportunities to be involved in a decision-making process on the way a program in their school should function. The programs, developed with staff input, seemed to have had a direct and positive effect on the school. The rationale for conducting this field study, then, was that it offered me the advantage of observing how a principal's leadership practices were perceived within the
  24. 24. 10 setting in which the behavior was occurring. As Babbie (1995) states, "direct observation in the field lets you observe events that might not be anticipated or measured otherwise" (p. 283). A qualitative field study approach offers the opportunity to gather information from within the school setting so that a better understanding of the phenomena being investigated can be observed naturally by a researcher (Anderson et al., 1994; Babbie, 1995; Stake, 1995). Objectives of the Study Leithwood and Jantzi (2005) state that "transformational leadership may well be a productive antidote to the stifling effects of excessive organizational constraint" (p. 20). This research attempted to discover what primary leadership traits were perceived as being needed, by both principals and teachers, to successfully improve organizational conditions in schools. This study sought to determine what array of practices displayed by principals could be attributed to the qualities associated with transformational leadership practices. The objectives of this study were as follows: 1. document the observable leadership practices of sampled principals, focusing on two dimensions of transformational leadership: (1) building school vision and goals, and (2) offering individual support to teachers (Leithwood & Jantzi, 2000); 2. identify and describe principals' and teachers' perceptions of the attributes of two transformational leadership dimensions demonstrated by the leadership practices of sampled principals (Leithwood & Jantzi, 2000); and
  25. 25. 11 3. explore the relationship between perceived and observed leadership practices and the five school conditions that are components of school improvement. The five school conditions are: (1) purpose and goals, (2) school planning, (3) organizational culture, (4) structure and organization, and (5) information and decision-making (Leithwood & Jantzi, 2000). Research Questions Leithwood and Jantzi (2005) state, "While there is considerable agreement about the core meaning of transformational leadership, researchers vary on the nature and number of specific leadership dimensions or behaviors they choose to study" (p. 178). The research questions were developed to identify patterns that could contribute to the areas of interest outlined in this study. This study sought to answer the following research questions: 1. In what ways, if any, do principals perceive that they build school vision and goals and offer individual support to teachers? (Leithwood & Jantzi, 2000) 2. In what ways, if any, do teachers perceive that principals demonstrate these two transformational leadership practices within the school setting? (Leithwood & Jantzi, 2000, 2005) 3. If teachers perceive that their principals use these two transformational leadership practices, in what ways, if any, have the five school conditions (purpose and goals, school planning, organizational culture, structure and organization, and information and decision-making) been affected by the behaviors of principals? Do teachers perceive that these transformational
  26. 26. 12 leadership practices influence any of the five school conditions? (Leithwood & Jantzi, 2000, 2005; Silins et al., 2002) Theoretical Framework of the Study The following brief summary of the literature provides different perspectives relevant to transformational leadership practices. The intent of this overview is to provide a clearer definition and a richer description of how transformational leadership is generally understood. In this section, only brief summaries of the key researchers' work are provided. A fuller discussion of the literature is presented in Chapter II. Burns (1978) indicates that transformational leaders are able to inspire individuals to achieve higher goals and that a leader demonstrates behavior that encourages others to develop a common purpose. His research suggests the necessity of examining how leaders and followers interact with one another. Bass and Avolio (1994) identified four main elements of transformational leadership as follows: (1) leaders have the ability to be role models for their followers; (2) leaders are able to motivate and inspire their followers by providing meaning and challenge for them daily; (3) leaders have the ability to stimulate their followers' efforts to become more innovative and creative; and (4) leaders pay special attention to each individual's needs for achievement and growth. Barnett et al.'s (2001) description of transformational leadership was based loosely on Bass and Avolio's (1994) work. They considered that a connection between transformational leadership and transactional leadership is necessary when exploring the behaviors of school principals. Barnett et al. (2001) also identified the features of
  27. 27. 13 transformational leadership as an individual's concern and vision/inspiration. By contrast, the attributes of transactional leadership are described as a leader's active management (proactive leadership) role in conjunction with a passive management (reactive leadership) by exception role. Marks and Printy (2003) assert that transformational leaders have the ability to influence followers to develop to their greatest potential. They also indicate that transformational leaders encourage followers to value the good of the organization rather than furthering their own interest. Their description focused on two aspects of leadership, identified as transformational leadership and instructional leadership. Silins et al. (2002) explored the relationships among school leaders, organizational learning, and student outcomes. Their focus was to identify principals' transformational leadership characteristics and to review the various effects of these characteristics on organizational change in order to determine how they impact organizational learning at all levels. This inquiry into leadership traits was initiated by reviewing Leithwood and Jantzi's (2000) empirical research on transformational leadership and its impact on organizational conditions and teacher engagement. The intent was to obtain a better understanding of how transformational school leadership is perceived within schools. The major steps in Leithwood and Jantzi's (2000) study consisted of developing a framework that could identify different forms and sources of leadership (p. 114). Leithwood and Jantzi's (2000, 2005) research supports the assertion that the behaviors affixed to the six dimensions of transformational leadership practices need further investigation.
  28. 28. 14 I directly corresponded with Kenneth Leithwood, one of the prominent researchers in the field of transformational leadership. The main ideas and themes that emerged from this discourse, as well as from the review of the literature, suggest that traits linked to transformational leadership practices can be essential in instituting successful school reform initiatives. An inquiry into an individual's leadership practices may disclose how that person is perceived as a leader. As Leithwood and Jantzi (2005) state "Transformational leadership is an extremely popular image of ideal practice in schools at the present time (Hallinger, 2003)" (p. 178). Leithwood and Jantzi's (1999, 2000) research found that transformational leadership could have a direct impact on school conditions. They concluded that transformational leaders should monitor the particular aspects of school conditions that can be considerably enhanced by transformational leadership practices. In this study, it was necessary to determine how many of the five school conditions identified by Leithwood and Jantzi (1999, 2000) were present when exploring the effect of leadership on school improvement. Overview of Methodological Design This section provides the rationale for using a qualitative field study approach to investigate the leadership behaviors of two elementary principals. It describes the selection of the participants, the rationale for choosing the study site, and a clarification of my role as researcher in the study. Next presented are the purpose and method of collecting and analyzing the data. Finally, the limitations and significance of this field
  29. 29. 15 study are described. Chapter III provides a more detailed analysis of the methodological constructs of this study's research design. Methodological Design A qualitative field study approach was chosen because it offers an array of opportunities that might not otherwise be possible. Babbie (1995) states that "field research offers the advantage of probing social life in its natural habitat" (p. 283). The benefit of utilizing a qualitative field study methodology has been supported through empirical research (Anderson et al., 1994; Anderson & Jones, 2000; Babbie, 1995; Creswell, 1998; Hedrick et al., 1993; Maxwell, 1996, 2005; Stake, 1995; Strauss, 1987; Yin, 1993). A field study approach was thought to enhance this study by offering an authentic and descriptive analysis of the research under review as it occurs in its natural setting (Anderson et al., 1994; Anderson & Jones, 2000; Babbie, 1995; Maxwell, 1996; Stake, 1995; Yin, 1993). Participant Selection In this research, I studied two elementary principals, employed within two different elementary schools in one school district, in order to explore how principals' transformational leadership practices were related to school conditions. Both schools are located in the State of New Jersey. The two selected principals (Principal A and Principal B) have been employed in the Central School District for several years. I approached the superintendent for approval to allow these two principals to be participants in the study. The superintendent granted permission to conduct this study within his school district.
  30. 30. 16 Both principals agreed to allow me to speak with the superintendent about their individual leadership practices. To enhance the life histories of these principals and gather support for how a principal's leadership is believed to impact school conditions, teachers' perceptions were also captured. With approval from each principal, a random sample of teachers from each elementary school's staff was selected to be part of this research (Babbie, 1995; Maxwell, 1996, 2005; Miles & Huberman, 1994). This approach to sampling allowed every teacher an equal opportunity to be involved in this study. Selecting a sample of participants from the entire school included in the study a wide range of variation from among the staff. This ensured that the participants reflected the entire range of staff employed in each elementary school building (Maxwell, 1996, 2005). District Selection The Central School District was selected for this study because the superintendent indicated his belief that effective leadership is needed to facilitate the mandates of federal regulations of the No Child Left Behind Act of 2001, which require that schools make adequate yearly progress on students' test scores. The Central School District is involved in several statewide initiatives. This school district's student body is comprised of an ethnically-diverse population. The superintendent indicated that he remains concerned with ensuring that a skilled leadership is in place in all of the schools in this district. His goal is to address state initiatives successfully and ensure that the district attends to the needs of its growing diverse student population. The superintendent also indicated that a lack of competent leadership could result in the school district not meeting the necessary
  31. 31. 17 academic requirements currently mandated by the New Jersey State Department of Education. The selection of two elementary schools as the site of this study was also directly related to three other areas of interest. The first was that I as researcher did not clearly understand how a principal's leadership was perceived within elementary schools or, for that matter, how teachers and principals behaved in elementary schools. Second, I have never worked in an elementary school, but have spent most of my career in high school and middle school. Working at the elementary level would eliminate any biases that may interfere with the study because of my high school and middle school experiences. Finally, the superintendent and the township's board of education indicated that they believe that effective principal leadership is needed in several of the school buildings to improve school conditions. This particular school district was selected because I sought to investigate if the leadership in this district had the potential to have a positive effect on school conditions. Another intention of utilizing this location for this research was that it offered the opportunity to possibly assist this school district in understanding effective transformational leadership practices. I was particularly interested in determining what school conditions were necessary for leaders to keep students involved in the educational process so that neither teachers nor students felt disengaged from the school community. I intended to gather a holistic view of leadership by obtaining an understanding of principal leadership.
  32. 32. 18 Researcher's Role in Conducting Study While conducting research within a field setting in which I also worked, it became clear that the situation might be a possible threat to the validity of the study (Anderson et al., 1994; Babbie, 1995). However, it was also noted that conducting research within one's own district offered several advantages. Anderson et al. (1994) indicate that conducting a study from within the same setting in which one works "has great potential for challenging, conforming, and extending current theory and for identifying new dimensions of administrative practice for study" (p. 430). Babbie (1995) states that "By going directly to the social phenomenon under study and observing it as completely as possible, you can develop a deeper and fuller understanding of it" (p. 281). Anderson and Jones (2000) add that studies conducted by individuals working within a familiar setting "can contribute to a knowledge base in the field of educational administration that is not only better grounded in the complexities of administrator's work, but also better reflects the kinds of concerns and dilemmas that administrators struggle with (Lytle, 1996)" (p. 431). Any bias which might indirectly occur due to my involvement in the study needed to be planned for prior to conducting the study (Anderson et al., 1994; Babbie, 1995; Hedrick et al., 1993; Stake, 1995). Maxwell (1996) states that "what you want is a relationship that enables you to ethically learn the things you need to learn in order to validly answer your research questions" (p. 66). Chapter III describes how I prepared for any possible validity threats that might have occurred because I was the primary investigator of a qualitative field study in a
  33. 33. 19 district in which I worked. The chapter outlines concerns associated with researcher bias and reactivity, descriptive validity, interpretive validity, and theoretical validity. Data Collection This field study was oriented toward establishing multiple sources of evidence from principals and teachers working within two different school environments. The purpose of collecting these data was to describe the "real-life context" of a principal's transformational leadership practices in its "natural setting" to determine how leadership was perceived (Yin, 1994). Stake (1995) advises that when conducting a qualitative study, it is necessary to "try not to disturb the ordinary activity of the case" so that the obtained information can be inclusive of "the multiple realities, the different and even contradictory views of what is happening" (p. 12). Archival data such as minutes from meetings were collected and reviewed from each school. Information was also collected by conducting direct observations of principals in a variety of leadership scenarios throughout the day. The intent was to disclose the qualities of effective transformational leadership practices in action as well as to better understand how a principal's individual leadership role was perceived. Thus, data were also collected via interviews with the two principals and their sampled teaching staff. The purpose here was to gather different perspectives of how the leadership practices of the principals were perceived to occur within each elementary school. Conducting a field study of the two principals and their staff ensured a comfortable and natural setting from which to collect information (Creswell, 1998; Hedrick et al., 1993; Miles & Huberman, 1994; Yin, 1993, 1994).
  34. 34. 20 Data Analysis The data gathered from school documents, principal observations, and principal and teacher interviews were analyzed by comparing and contrasting them and juxtaposing these findings with the literature reviewed (Babbie, 1995; Creswell, 1998; Hedrick et al., 1993; Maxwell, 1996, 2005; Miles & Huberman, 1994; Rubin & Rubin, 2005; Seidman, 2006; Stake, 1995; Yin, 1993, 1994). These data were analyzed for frequencies pertaining to how each principal displayed leadership practices that were linked to the school's vision, goals, and support for teachers. This information was compared and contrasted to determine how a principal's behavior practices affected five school conditions. The data collected were sorted and tallied into categories to search for meanings and look for patterns which could identify the behavior practices of each principal (Stake, 1995). Babbie (1995) states that an important initial task of field research "is to create a classification of behaviors" and to also "develop theories, or generalized findings, over the course of your observations" (p. 296). Principal leadership practices were sorted by each leadership dimension to compare, describe, and define how they impacted the five school conditions. The intent was to establish a categorization of each principal's behavior practices so that Leithwood and Jantzi's (2000) theory on transformational leadership could be confirmed or denied from the findings obtained from the data collected. Collecting archival information and conducting observations and interviews are data theory-generating activities (Yin, 1994). Data were collected with the understanding that the study might need modification as the inquiry evolved (Babbie, 1995; Maxwell, 1996, 2005; Stake, 1995; Yin, 1993, 1994). Babbie (1995) indicates that field researchers
  35. 35. 21 "can continually modify the research design as indicated by the observations, the developing theoretical perspectives, or changes in what he or she is studying" (p. 297). He adds that "Introspection—examining your own thoughts and feelings—is natural and crucial process for understanding what you observe" (p. 297). Specific questions were designed to elicit descriptive responses from each participant. As Babbie (1995) states, "Although you may set out to conduct interviews with a pretty clear idea of what you want to ask, one of the special strengths of field research is its flexibility in the field" (p. 290). Accordingly, the design of this study allowed for the opportunity to reframe questions according to the respondents' answers as the study progressed. I interpreted the meaning of what was presented from the participants by asking them to recall past experiences. Probes were used to help participants reflect deeply on the questions being asked (Stake, 1995; Yin, 1994). This approach facilitated the development of a theory or generalization from the answers obtained from each participant (Creswell, 1998; Stake, 1995). Critically reflecting on each of the participants' views about the leadership practices of their principals gave me the opportunity to reflect on the interests, ideas, and theories that initiated from the field study. Creswell (1998) states that when using a critical thinking methodological approach, the researcher could "write about the assumptions behind the literary presentation of the qualitative study" (p. 82). Thus, critically reflecting on the leadership practices of the principals here provided a more robust analysis of the behaviors (leadership dimensions) that the principals demonstrated within their schools (Babbie, 1995; Creswell, 1998; Stake, 1995; Yin, 1994).
  36. 36. 22 Limitations of the Study This study was primarily concerned with investigating how principals demonstrated their ability to build school vision, establish goals, and offer individual support to teachers. As a result, I hope to contribute a more insightful and comprehensive understanding of the leadership practices of principals as they related to the five school conditions considered in the study. This study did not intend to replicate Leithwood and Jantzi's (2000) full model of transformational leadership. Additionally, this inquiry did not seek to validate or corroborate Leithwood and Jantzi's (2000) findings on transformational leadership. This study's analysis did not determine how functional Leithwood and Jantzi's (2000) model of transformational leadership was, nor did this study reference the effectiveness or ineffectiveness of their model. The number of principals involved in this study did not offer a large enough population to generalize the results to all principals. Therefore, when drawing conclusions on what was viewed as transformational leadership practices, the limitations of this field study also needed to be taken into consideration when interpreting and analyzing the results. Conducting qualitative studies involves the understanding that the research being studied continually evolves. Questions asked of participants led me to explore new areas given the answers (emic issues) that respondents offered. As Stake (1995) states, "Case study seems to provide a poor basis for generalization" (p. 7). However, the collection of data from this study offered a focal point from which to modify generalizations.
  37. 37. 23 Significance of the Study I was the sole investigator in this study. The benefit of conducting this study within the same school district in which I was employed as a principal clearly outweighed any potential threats that could have arisen. Because it is essential to understand all aspects of the case one is investigating, the best way to become familiar with the case is by being the sole investigator of that case and immersing oneself in the data (Maxwell, 1996, 2005; Stake, 1995). This school district was ideal for conducting research on transformational leadership because of the convenience of having unrestricted access to the participants selected for this study. As Anderson and Jones (2000) state, "Our data suggested that a major logistical advantage of studying one's own site was that insiders often had privileged access to data that might not have been available to outsiders" (p. 443). The nature and strength of the relationship between teachers and leaders must be understood if one hopes to improve school conditions through transformational leadership practices. To understand what is actually needed by leaders to guide schools effectively, one must first examine the various ideas and perceptions of transformational leadership. Collecting information on the practices of principals from within a school setting can assist in identifying what the attributes of transformational leadership entail, as well as how the behavior of principals are perceived to interrelate with school conditions. Leithwood and Jantzi (2000, 2005) suggest that transformational leadership mediates an influence on school conditions; therefore, one may presume that individuals who
  38. 38. 24 consciously employ transformational leadership practices may influence school conditions and teacher engagement within schools. This study responded to the need to understand the nature and quality of leadership by uncovering the essential attributes associated with transformational leadership practices. The process of improving schools can best be strengthened by attaining a diverse conceptualization of educational leadership. This study hoped to add to the field of knowledge by offering new definitions of how transformational leadership was perceived and by examining and analyzing the factors associated with effective leadership practices. Summary The challenges schools face have been essentially placed before principals to resolve through their leadership practices. If a principal's role is to be viewed as integral in effectuating positive change as well as supporting the development of positive relationships, then the leadership practices of principals within a school setting must be explored. A significant part of enhancing school development, encouraging communication between staff members, increasing learning opportunities, and improving school culture is to better understand how organizational conditions are closely linked with transformational leadership practices (Hallinger & Heck, 1996; Leithwood & Jantzi, 2000, 2005; Silins et al., 2002). This may offer a greater insight into uncovering the factors that foster and encourage leaders to improve school conditions.
  39. 39. 25 Leithwood and Jantzi (1996) indicate that not much is known about "teachers' perceptions of principals' transformational leadership" (p. 530). Identifying how a principal's transformational leadership practices are perceived in practice will add to a deeper understanding of leadership. Research (Matthews & Crow, 2003) acknowledges the gaps in determining which specific organizational conditions are directly affected by an educational leader's behavior. Conducting this research will hopefully contribute to the literature by offering a practical understanding of what a principal's leadership is perceived to be within schools. As Sergiovanni (1995) states, "reflective practice is based on the reality that professional knowledge is different from scientific knowledge" (p. 32). This present inquiry into the leadership practices of principals, as they occurred within a school setting, will hopefully lead to a more precise understanding of the "scientific knowledge" needed to accurately conceptualize how the "reflective practices" of a principal impact school communities.
  40. 40. 26 Chapter II REVIEW OF THE LITERATURE This chapter is primarily concerned with exploring the transformational leadership practices of elementary principals to determine how they impact school conditions. Leithwood and Jantzi (2005) identified that "a compelling body of empirical evidence now demonstrates the significant effects of leadership on school conditions and student learning" (p. 2). This chapter will review the relevant research surrounding the nature and quality of effective leadership that can be used to improve school reform through a principal's daily practices. This review of the literature was based upon a complex set of studies surrounding leadership. Four primary studies of transformational leadership and school and student outcomes focusing on principal leadership between 1996 and 2003 were summarized to provide insight into transformational leadership. The central purpose of reviewing these four studies was to obtain a clearer perspective of how leadership can be used to address school reform successfully. The review also identified the distinguishing attributes of transformational leadership in an effort to clarify how individuals display successful leadership traits. The main ideas and themes emerging from this research were that transformational leaders can, in fact, have positive and long-lasting effects on school
  41. 41. 27 communities. As well, transformational leadership practices can assist individuals in becoming effective leaders. Credible and verifiable data were found to substantiate why a correlation exists between transformational leadership practices and positive teacher engagement within the school culture. According to the relevant studies, individuals who displayed transformational leadership practices had a direct and positive impact on teachers that, in turn, indirectly and positively impacted school communities (Leithwood & Jantzi, 2000, 2005; Silins et al., 2002). Leithwood and Jantzi's (2000) definition served as the organizing structure for examining transformational leadership in this review. A brief historical account summarizing Bass and Avolio's (1994) and Burns's (1978) understanding of transformational leadership offers a conceptualization of how it emerged over time as a significant leadership style. An analysis of the corresponding characteristics of transformational leadership (as reviewed by Barnett et al., 2001; Leithwood & Jantzi, 1996, 1999, 2000, 2005; Marks & Printy, 2003; Silins et al., 2002) summarizes the following: (a) the meaning of educational leadership; (b) the impact of leadership on student engagement; (c) the impact of leadership on organizational conditions; (d) the impact of leadership on teachers; and (e) the impact of leadership on teacher outcomes. A comparative analysis of all the studies helps to clarify and identify the varying interpretations of transformational leadership. In addition, to offer further insights into what transformational leaders must understand to become talented leaders, this review includes a summary of studies on transformative learning for organizational change. Finally, this chapter concludes with an
  42. 42. 28 assessment of factors attributed to the specific behaviors that are considered to be effective transformational leadership. Definition of Transformational Leadership Transformational leadership has been found to contribute to organizational effectiveness within schools (Leithwood & Jantzi, 2000, 2005; Silins et al., 2002). Leithwood and Jantzi (2005) state that "transformational leadership may well be a productive antidote to the stifling effects of excessive organizational constraints" (p. 20). While many theorists and researchers (Barnett et al., 2001; Bass & Avolio, 1994; Burns, 1978; Marks & Printy, 2003) have defined transformational leadership, Leithwood and Jantzi's (2000) definition of the term was used to structure this review because their concept is considered the foundation of what many believe this type of leadership encompasses. Leithwood and Jantzi's (2000, 2005) analysis can be linked with results from other studies that examined the attributes of transformational leadership practices. For example, Burns's (1978) definition of transformational leadership included leaders displaying behaviors that motivated others to want to follow them. Bass and Avolio (1994) documented four attributes of transformational leadership that could be identified through a leader's behavior. The four attributes are: (1) leader's ability to be a role model for their followers; (2) leader's ability to motivate and inspire followers by providing meaning and challenge for them daily; (3) leader's ability to stimulate followers' efforts to become more innovative and creative; and (4) leader's special attention to each individual's needs for achievement and growth.
  43. 43. 29 Building on this definition, Barnett et al. (2001) identified the features of transformational leadership as including the ability to demonstrate a concern for individual development of a vision and to impart that sense of vision and inspiration for others to follow. Additionally, their description of transformational leadership focused on determining how leadership could specifically influence the level of additional effort that individuals exert. Marks and Printy's (2003) definition of transformational leadership expanded the concept by emphasizing how leaders had the ability to encourage individuals to develop to their greatest potential. For them, transformational leaders display characteristics that encourage individuals to value what is best for the organization rather than furthering their own individual concerns. Again, Leithwood and Jantzi's (2000) definition serves to tie these studies together. When describing transformational leadership, Leithwood and Jantzi (2000) state, "This approach to leadership fundamentally aims to foster capacity development and higher levels of personal commitment to organizational goals on the part of leaders' colleagues" (p. 113). They highlight six dimensions of this leadership style: (1) building school vision and goals; (2) providing intellectual stimulation; (3) offering individual support; (4) symbolizing professional practices and values; (5) demonstrating high performance expectations; and (6) developing structures to foster participation in school decisions (p. 114). These dimensions help to identify the behaviors that are specifically attributed to transformational leadership practices in the school setting. Leithwood and Jantzi's (2000) definition of leadership, with these six specific dimensions, contribute to a fuller picture of what effective individual leadership is believed to be. This categorization
  44. 44. 30 of leadership suggests that for leaders to become successful, they must completely embrace these six dimensions, as defined by Leithwood and Jantzi. Therefore, it is necessary to explore whether all six dimensions are equal in importance, as this will determine the need to prepare individuals to develop these related skills through professional development, school culture, preparation programs, individual personalities, and socialization experiences. Historical Roots The first description of transformational leadership was posed by Burns (1978), who drew from his work on political leadership. His ideas consisted of transforming the ideologies of leadership to include the examination of the relationships existing between leaders and followers. This interest in leadership guided Burns to the notion of how leaders and followers interact with one another, which he eventually defined as transactional and transforming. He separated these two leadership dimensions by conceptualizing them as being either "ordinary" or "extraordinary" (p. 2). Burns defined transactional as being ordinary leadership and transformational as being extraordinary leadership. Transactional (ordinary) leadership is based on a relationship between the leader and followers who conform to the leader's wishes in exchange for anticipated rewards. Transformational (extraordinary) leadership consists of a leader inspiring followers to higher levels of accomplishment by successfully motivating them to achieve in unimagined ways for the greater good. Burns viewed individuals who display transformational leadership as working with others to develop a common purpose to
  45. 45. 31 enhance and raise participants' level of commitment, as well as to inspire individuals toward advanced levels of improvement for everyone's personal enrichment. Bass and Avolio (1985) expanded Burns's original work by identifying the components of transformational leadership as follows: (1) Idealized Influence, which involves being role models for their followers; (2) Inspirational Motivation, which involves motivating and inspiring followers by providing meaning and challenge; (3) Intellectual Stimulation, which involves stimulating followers' efforts to be innovative and creative; and (4) Individualized Consideration, which involves paying special attention to each individual's needs for achievement and growth. (Geijsel & Sleegers, 1999, p. 2) According to Bass and Avolio (1994), transformational leaders who successfully motivate others to do more than what was originally intended, or that was thought possible, are critical to maintaining the goals of an organization. Bass and Avolio (1994), and their colleagues conducted a series of studies on transformational leadership. They concluded from their findings that the notion of transformational leadership is a significant and necessary attribute for improving organizations. At the same time, Leithwood and his colleagues, who focused specifically on educational leadership, pursued another line of research on transformational leadership. Their series of studies explored the relationship between transformational leadership and outcomes for schools, teachers, and students. They concluded that transformational leadership has a strong, significant effect on organizational conditions. Table 1 presents specific attributes associated with transformational leadership as depicted by various researchers, to demonstrate the similarities attributed to this particular leadership.
  46. 46. Table1.CorrespondingCharacteristics—TransformationalLeadership Leithwood&Jantzi (2000) SixDimensionsof Transformational Leadership (p.114) Buildingschool visionandgoals Providingintellectual stimulation Offeringindividual support Symbolizing professionalpractices andvalues Demonstratinghigh performance expectations Developingstructures tofosterparticipation inschooldecisions N/A Silinsetal.(2002) SixFactorsof Transformational Leadership (p.620) Visionandgoals Intellectual stimulation Individualsupport N/A Performance expectation Structure Culture Barnettetal.(2001) BehavioralComponentsof Transformational Leadership (p.3of14) N/A Intellectualstimulation Individualized consideration Idealizedinfluence (behavior) Idealizedinfluence (attributes) N/A N/A Marks&Printy(2003) NineFunctionsofTransformationalLeadershipClustering inThreeAreas (p.375) MissionCentered(developingawidelysharedvisionfortheschool, buildingconsensusaboutschoolgoalsandpriorities). PerformanceCentered(holdinghighperformanceexpectations, providingindividualizedsupport,supplyingintellectualstimulation) PerformanceCentered(holdinghighperformanceexpectations, providingindividualizedsupport,supplyingintellectualstimulation) CultureCentered(modelingorganizationalvalues,strengthening productiveschoolculture,buildingcollaborativecultures,and creatingstructuresforparticipationinschooldecisions) PerformanceCentered(holdinghighperformanceexpectations, providingindividualizedsupport,supplyingintellectualstimulation) CultureCentered(modelingorganizationalvalues,strengthening productiveschoolculture,buildingcollaborativecultures,and creatingstructuresforparticipationinschooldecisions) CultureCentered(modelingorganizationalvalues,strengthening productiveschoolculture,buildingcollaborativecultures,and creatingstructuresforparticipationinschooldecisions) to
  47. 47. 33 Reviewing the Meaning of Educational Leadership In 1996, Jantzi and Leithwood attempted to determine how a teacher's view of transformational leadership was developed. Their objective was to gain insight into how variations of a teacher's perceptions of transformational leadership were defined and to determine the changeable conditions (external and internal) found within the environments in which teachers work. Three years later, Leithwood and Jantzi examined the nature and strength of relationships between alterable school conditions and transformational leadership to determine the direct and indirect effects of principal and teacher leadership on student engagement. This was a quantitative study of 110 schools (N=l 10) with students from kindergarten through grade 9; information was obtained from 9,941 students and 1,762 teachers. Leithwood and Jantzi (1999) found that principal leadership, although not strong, had a statistically significant effect on student engagement (pp. 696-697). In 2000, Leithwood and Jantzi replicated their research. Their studies were concerned with determining the different effects of leadership on organizational change to produce positive and significant organizational outcomes to improve specific school conditions. Each of the studies included the identical independent measure of transformational leadership, mediating variables (organizational condition, school conditions, classroom conditions), and a dependent variable (student engagement). The researchers indicated that the dimensions they used to identify transformational leadership for their studies were derived from the work of Bass and Burns (1985), which looked at transactional and transformational leadership as representing opposite ends of the
  48. 48. 34 "leadership continuum" (p. 114). The intention was to identify the primary transformational leadership characteristic needed within principals to successfully improve organizational conditions and student engagement in schools. The research of Leithwood et al. (1996) identified significant attributes surrounding three dimensions of transformational school leadership: 1. Charisma/Inspiration/Vision—leaders inspire teachers to become engaged in their work by establishing a particular vision for the school; 2. Individual Consideration—leaders demonstrate concern and respect for the personal feelings and needs of teachers; and 3. Intellectual Stimulation—leaders challenge teachers in professionalizing themselves in such a manner that the organization develops into a learning environment. Leithwood and Jantzi (2005) reported that a range of experiences that individuals encounter had a meaningful influence on leaders' transformational leadership practices. Clearly, more exploration is warranted of how leadership experience in the field directly affects leaders. The clarifying points in need of review are directly related to identifying the qualities that impact leaders as well as the behaviors that are directly attributed to transformational leadership practices. Ultimately, research must be able to uncover and categorize what leaders do in addition to how and why they do it. If leaders are to be successfully prepared to initiate meaningful and purposeful school reforms, it is necessary to identify the characteristics that leaders demonstrate within the work setting. Silins et al. (2002) built on the work of Leithwood and Jantzi by looking more deeply at how transformational leadership impacted organizational learning. They used
  49. 49. 35 Leithwood and Jantzi's (1993) measure of transformational leadership and, similarly, "Finn's (1989) conceptualization of student participation in engagement with school" (p. 27) as dependent variables. Silins et al. (2002) used a "quantitative study" to examine the nature of organizational learning and the leadership practices and processes that foster organizational learning in Australian high schools. They also wanted to determine the "nature and process of organizational learning" by examining the impact that leadership has on teachers' work and the connection between "school-level factors and school outcome measures in terms of students' participation and engagement with school" (p. 613). Their goal was to explore the relationships between school leaders, organizational learning, and student outcomes. Although Silins et al. used Leithwood and Jantzi's (2000) six factors of transformational leadership; they found that they worked as one single factor rather than several. Two other studies developed different constructs of transformational leadership, building on the work of Bass and Avolio, outlined earlier in the "Historical Roots" section of this chapter. Barnett et al. (2001) examined the relationship between transformational leadership and transactional leadership to explore the behaviors of school principals. Their intention was to explore "Bass's conception of transformational and transactional leadership with teacher outcomes, and with teacher perceptions of school-learning culture" within a school setting (p. 5). Their definition of transformational leadership was based on Bass and Avolio's (1994) work. The "quantitative study" of Barnett et al. (2001) examining 12 secondary schools in Australia found that the measures they used to describe leadership were drawn from three essential
  50. 50. 36 designs. These constructs of leadership were: (1) transformational leadership, (2) transactional leadership, and (3) laissez-faire (non-leadership). Barnett et al. (2001) developed categories as an attempt to gain a greater understanding of the outcomes generated from each leadership model. The objective was to establish how leadership specifically influences the level of additional effort that individuals exert, and to determine how individuals perceive organizational efficiency and organizational satisfaction as they relate to the direct effect of leadership. Barnett et al. (2001) described the features of transformational leadership as consisting of individual concerns and vision/inspiration, while the aspects of transactional leadership included active management (proactive leadership) by exception and passive management (reactive leadership) by exception. In a separate study, Marks and Printy (2003) built on Bass and Avolio's (1994) work on how transformational leaders encourage followers to develop to their greatest potential. Their specific research centered on two notions of leadership: transformational leadership and instructional leadership. Marks and Printy (2003) conducted a "mixed methods study" of 24 elementary, middle, and high schools, in which they defined transformational leadership as having the following characteristics: idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration. They concluded that transformational leaders inspire followers to value the importance of transcending their own concerns for the good of the organization. They also defined instructional leadership as being directly connected to teaching and learning, indicating that this form of leadership demonstrates both direct and indirect attributes as they relate to leadership functions. In particular, Marks and Printy (2003) identified four areas that
  51. 51. 37 interceded with instruction: (1) developing the school mission and goals; (2) coordinating, monitoring, and evaluating curriculum, instruction, and assessment; (3) promoting a climate for learning; and (4) creating a supportive learning environment (p. 373). In sum, Marks and Printy's (2003) study examined how school leadership relationships between the principal and teachers influence the quality of teaching and student performance. They found that leadership and the instructional process interface with one another, and specifically that the focus of instructional leadership is directly related to teaching and learning. Leadership Impact on Student Engagement Leithwood and Jantzi (2000) measured student participation (behavior component) and identification (affective component) as aspects of student engagement. By contrast, Silins et al. (2002) measured the influence of leadership variables on organizational learning, and the impact of leadership and organizational learning through teachers' work on student participation in school (behavioral), as well as student engagement with school (psychological). Both sets of research found no significant effects of teacher leadership on student engagement and suggested that student engagement may be more vulnerable to impact from variables occurring outside the classroom, as opposed to variables from within the classroom. Leithwood and Jantzi's (2000) findings indicate that student participation (behavior component) and identification (affective component) of student engagement are not strongly affected by transformational leadership. They specified that transformational leadership has a significant, although weak, impact on students' identification
  52. 52. 38 (affective/psychological dimension) and participation (behavioral dimension) in school. As well, student engagement is mediated by school conditions and results from the influence generated more from outside conditions rather than teachers' classroom practices. Silins et al.'s (2002) study indicates that transformational leadership does not influence students' participation in school; instead, organizational learning is a significant intermediary of principal and leadership team effects on teachers' work and students' outcomes. The authors also point out that the conditions needed to improve school and to advance student outcomes differ in that distributed leadership dimensions do not significantly contribute to student participation and engagement with school. These findings suggest that the influence of distributed leadership does not extend to student participation in school (behavioral) and engagement (psychological) with school. Student engagement can be related to teacher influence and work in the classroom. This influence is indirectly related to the principal and to the leadership team's influence on school conditions that are established to support organizational learning. Leadership Impact on Organizational Conditions As indicated in Chapter I, Leithwood and Jantzi (2000) outlined five school conditions that would demonstrate how leadership could influence organizational conditions: purpose and goals, school planning, organizational culture, structure and organization, and information and decision-making (pp. 115-116). Leithwood and Jantzi also noted that school conditions serve as a strong mediating variable in their studies; accordingly, it is an area in which transformational leadership can have a direct and
  53. 53. 39 positive impact. Therefore, transformational leaders should monitor the particular aspects of school conditions that appear significantly improved by transformational leadership. The intention of Leithwood and Jantzi's study was to discover the number of differences found in various areas of the school setting, "explained by teachers' perceptions of the extent of transformational practices exercised in their schools" (p. 120). The present study, by contrast, focused on uncovering whether specific transformational leadership dimensions could be explained by principals' behaviors, as revealed in principals' and teachers' perceptions. The goal was to reveal the number of transformational practices that were being exercised within each particular school. Information from data collected on the effects of transformational leadership, obtained from Leithwood and Jantzi's (2000) study, is presented below. Their study reported that the "means and standard deviations, aggregated to the school level, of teachers' ratings of transformational leadership and all school and classroom conditions" had produced results which indicated that "the internal reliabilities of all scales were acceptable, ranging from 0.74 to 0.95" (p. 122). Teacher ratings of school and classroom conditions, as well as of transformational leadership results, indicated "five of the conditions loaded at 0.83 or higher, whereas the relationship of structure and organization to the factor was somewhat weaker at 0.72" (p. 122). Leithwood and Jantzi's (2000) study also described that purpose and goals had a factor loading of 0.85, which resulted from teacher ratings of conditions within their school (Table II in Leithwood & Jantzi, p. 122). Their study further documented that providing individual support had a factor loading of 0.90, which resulted from teacher ratings of leadership within their schools.
  54. 54. Leithwood and Jantzi (2000) suggest that "transformational leadership has strong, significant direct effects on organizational conditions" but a moderate effect on student engagement (p. 124). Leithwood and Jantzi (2000) delineate that transformational school leadership does "explain a large proportion of the variation in organizational conditions, those features of the school to which leaders have direct access and which are, conceptually, the means through which school effects are exercised" (p. 125). Their data indicate that relationships between transformational leadership and organizational conditions were deemed to be statistically significant (Table IV of Leithwood & Jantzi, p. 123). The data from their study reveal the relevance of the relationships between transformational leadership and the attributes of leadership (building school vision and goals, and offering individual support) that have been selected as areas of further inquiry for the present study. Furthermore, these findings suggest that future studies, which investigate the attributes of transformational leadership, are warranted to further clarify and enhance how leadership is perceived and understood. Looked at from another angle, Silins et al. (2002) defined organizational conditions as: school-level factors associated with leadership, organizational learning, and student outcomes (p. 630). They described the conditions needed for organizational learning as being directly associated with the establishment of three school leadership variables: principal transformational leadership; active involvement with administrative teams; and distributed leadership. Silins et al. implemented "a nine-variable model" to investigate "the influence of leadership variables on organizational learning, and the impact of leadership and organizational learning through teachers' work on students' participation in engagement with school" (p. 627).
  55. 55. 41 Results from Silins et al.'s (2002) study specified no direct effects of the principal's approach to leadership on distributed leadership. However, they did suggest a strong indirect influence of leadership practices relating to the extent of distributed leadership found in the school. As Silins et al. state, "In our study, principals' transformational practices, directly or indirectly, influenced every school and outcome variable except students' participation in school" (p. 634). Data obtained from their study indicate the following: 1. The proportion of variance of organizational learning accounted for by leaders was 25% (.30 x .84), distributed leadership was 28% (.36 x .78), and total proportion of variance of organizational learning accounted for by the total leadership in schools was 53%. 2. Three variables emerged as direct predicators of organizational learning: leader (p=.30), active leadership (p=.36), and distributed leadership (p=.36). 3. The leader exerted a dominant total influence on organizational learning and was the direct predictor (p=.28) of teachers' work. 4. Organizational learning mediated indirect leader effects (i=.23) and, to a lesser extent, indirect active leadership effects (i=.17). 5. Teachers' work exerted a direct influence on participation (p=.41). Silins et al. (2002) believe that their findings authenticated the assumption that a principal's transformational behavior, along with the leadership team's participation in the school's core work, needs to be fostered throughout the school community. They indicate that to assist teachers in leadership roles, organizational structures must be in place within the school to support this. Their position is that once the leadership
  56. 56. 42 behaviors of the principal and the leadership team in the school are in place and distributed throughout the whole teaching staff, the influence of leadership on organizational learning will establish educational learning within the school. Silins et al. (2002) also point out that the level of leadership within a school will establish the level of organizational learning that occurs there. Similarly, the conditions that enhance student learning are directly related to the conditions and systems in place to enable staff at all levels to seek new learning experiences collaboratively and continuously. Silins et al. emphasize that organizational learning and leadership practices have equal effects on each other, and together, organizational learning and leadership can prevail over the complexities that thwart improved student learning. Additionally, Silins et al. advocate that varying levels of organizational learning impinge on teachers' work with students. They concluded that organizational learning, along with teachers' instructional work, is an essential variable that intercedes with school conditions and student outcomes. Silins et al.'s (2002) results indicate that transformational leadership does not directly or indirectly influence all school outcomes. Their study supports the critical function of encouraging leadership throughout schools, given that a leader's influence can directly impact a school's level of organizational learning. In short, transformational leadership practices are needed to support positive organizational change. According to Silins et al., once the conditions for organizational learning are established within a school, the level of organizational learning can affect teachers' work with their students in the classrooms.
  57. 57. 43 Leadership Impact on Teachers Other researchers have explored the impact of leadership directly on teachers. Barnett et al. (2001) found that positive teacher results could be obtained within the school when relationships existed between the transformational and transactional leadership behaviors of the school principal. These behaviors, however, must be related to other aspects of the school learning culture. In addition, teaching and learning may be hindered or negatively linked to students' learning outcomes because teachers' perceptions surrounding the attributes of vision/inspiration—which they relate to transformational leadership practices—are negative. Teachers did not distinguish between the transformational leadership behaviors of charisma, intellectual stimulation, and inspirational motivation, nor did they distinguish between transformational leadership behavior, individual concern, and the transactional leadership behavior of contingent reward. Clearly, these findings indicate that teachers did not distinguish between transformational and transactional leadership with respect to contingent reward. However, Barnett et al. (2001) concluded that these two practices were connected. Transformational leadership was successful when it incorporated transactional practices in a way that was receptive as well as accepted by teachers. In addition, individual concern accounted for 65% of the variance in teacher outcomes. Teachers viewed the principal as effective when the principal gave teachers individual attention; accordingly, when this occurred, teachers were more likely to feel satisfied and willingly put forth the extra effort needed. Barnett et al. (2001) also indicate that "passive management by exception" explained 11% of the variance in their study. This passive management by exception
  58. 58. 44 demonstrated the principals' failure to intervene except during problematic situations. As a result, this had a direct and negative effect on the satisfaction and extra effort of the teachers. Additionally, teachers who perceived principals as demonstrating this behavior found these principals to be ineffective leaders. Barnett et al.'s (2001) findings also indicate that teachers might perceive a principal's visionary practices as a hindrance to their classroom work. That is, a principal's visionary practices may place greater demands on teachers to do extra work outside the classroom. Results obtained from other studies indicate that other factors need to be considered when exploring the effective dimensions of transformational leadership. Marks and Printy (2003) disagreed with Leithwood and Jantzi's (1999) position that teachers who are given opportunities to act as leaders do "a disservice to teachers and leaders" (p. 393). They emphasize that schools that integrate leadership to include teachers eventually develop into organizations that learn and achieve at higher levels. Marks and Printy's results indicate that instructional leadership elicits the characteristics of transformational leadership that are necessary to increase teachers' commitment and professionalism which are required to improve schools. They suggest that transformational leadership and shared instructional leadership play critical roles in attaining commitment from teachers. Marks and Printy (2003) also stress that transformational leadership is needed because it encourages teachers to share leadership functions. Their findings suggest that teachers have both the desire and the expertise to lead. Thus, transformational leadership and instructional leadership are effective methods of improving and developing instructional leadership within teachers themselves. Marks and Printy (2003) claimed that
  59. 59. 45 leadership is shared with teachers, which in turn will enhance school performance. In a ripple effect, students were shown to perform at higher levels on authentic measures of achievement when there was "integrated leadership." Integrated leadership then directly links principals and teachers in developing a common commitment to education (Marks & Printy, 2003). However, "shared instructional leadership" does not occur unless it is deliberately sought and cultivated (Marks & Printy, 2003). Barnett et al. (2001) and Marks and Printy (2003) summarized the impact of leadership on teacher outcomes. They attribute the following characteristics to leadership: (1) leaders demonstrate both transformational and transactional leadership; (2) behaviors of the school principal connect to other characteristics of the school learning culture; (3) transformational and transactional leadership helps to develop contingent rewards for teachers; (4) leadership encourages teachers to share leadership functions; (5) transformational leadership and instructional leadership improve and develop instructional leadership within teachers; (6) shared leadership with teachers enhances school performance; (7) integrated leadership between leaders and teachers enhances student performance through teacher involvement; (8) the integration of transformational and instructional leadership improves school conditions; and (9) shared instructional leadership must be deliberately sought and cultivated if it is to be successful. Barnett et al. (2001) and Marks and Printy (2003) provide a brief overview of how specific leadership traits are believed to impact teacher outcomes. Both authors summarized that teaching and learning may be delayed if teachers are not supported and acknowledged by principals. They also believed that teachers aspire to lead and have useful knowledge to be effective leaders if given the opportunity by principals. In fact,
  60. 60. 46 teachers would become self-actualized and work harder if they view a principal giving teachers individual attention. Both researchers maintain that the principal's transformational and transactional leadership behaviors can cause positive teacher results within the school. However, the satisfaction and extra effort of teachers may also be affected if principals fail to get involved during difficult times and that a principal's visionary practices may be perceived more by teachers as an obstacle to their effectiveness in the classroom. Contrasting how principals perceive their own leadership as well as how teachers perceive the leadership practices of the principal provides an opportunity to capture a broader understanding of a principal's leadership practices in schools. The benefit in conducting this research is connected to determining how a principal's leadership practices directly affect school conditions. This is a critical element in being able to disclose the principal's role in improving school conditions. Research indicates that to successfully engage teachers in their work, educational leaders must first establish school conditions which directly or indirectly influence the environments in their schools (Leithwood & Jantzi, 1999, 2000; Sergiovanni, 1995; Silins et al., 2002). Findings such as these require further inquiries into how leadership is viewed within schools. Observing the effect of two specific transformational leadership dimensions on five specific school conditions may provide results that possibly suggest how the leadership practices of principals are perceived. Commonalities found in the reviewed studies of transformational leadership have established that a relationship between leaders and followers is a positive factor in establishing school conditions that lead to school improvement (Leithwood & Jantzi, 1999, 2000, 2005; Silins et al., 2002).
  61. 61. 47 The literature clearly identifies that a principal's leadership practices can have indirect impact on students through direct impact on teachers (Leithwood & Jantzi, 2000, 2005; Silins et al., 2002). Investigating the leadership practice of principals provides an opportunity to obtain a more thorough understanding of how principals possibly affect positive school reform initiatives to occur within schools. The research contributes to the literature by providing a greater understanding of how a principal's leadership is perceived to be practiced. Transactional Leadership The following section briefly elaborates on the differences between transactional and transformational leadership. One of the key proponents in this area is Henderson (2002), who states that transformative learning focuses on change at the individual level, while transformational change refers to the basic ways in which an individual functions within an organization. Henderson (2002) adds that "Transformational learning is the process of examining, questioning, validating, and revising our perceptions of the world (Cranton, 1994)" (p. 200). He further denotes that the learning process involves individuals making sense of their worlds from experiences to which they have been pre- exposed. Leaders must understand the difference between transformative learning and transformational change if they expect to be able to "contribute to a more holistic and effective approach to understanding change in organizations" (p. 187). Transactional leadership is dependent upon the leaders' focus on perfecting their abilities to effectively suggest tangible rewards in an effort to barter for something else in return (Burns, 1978). Transactional leaders seek to reward followers as well as to barter
  62. 62. 48 in exchange for their efforts (Burns, 1978; Sergiovanni, 2004). Sergiovanni (2004) states that "the wants and the needs of followers are traded against the wants and the needs of the leader and a bargain is struck" (p. 174). Henderson (2002) suggests that "Fundamental changes in perception lead to changes in behavior within the organization" (p. 189). First-order change (transactional: system changes) and second-order change (transformational: leadership changes) are two separate and distinct concepts. However, both ideas are critical for developing an understanding of how to improve organizations. Accordingly, it is necessary for transformational leaders to understand the concepts of transactional change and transformational change. Transactional change requires that the processes (systems, policies, procedures, management practices, structure) that individuals use to interact within the organization are connected to the "climate" of the organization. Transformational change is described as an involvement directed towards an organization's mission and policy, the leadership, and the organizational "culture" that permeates the environment of the organization. Transformational change involves varying the way people perceive their positions, responsibilities, and relationships within the organization. Henderson (2002) denotes that "Transformational change in organizations involves radical changes in how members perceive, think, and behave at work (Cummings & Worley, 1997)" (p. 186). In addition, Henderson (2002) states that "critical reflection is essential for transformational change at both the individual and organizational levels" (p. 210). Transformational change in organizations depends on a true "transformative change in the organization and move to a higher level of performance, in which the individual must
  63. 63. 49 become aligned within the new structure, the work process, and the culture of the organization" (p. 211). Thus, transformational change for the individual is the "essential outcome of the change process" (p. 206). Henderson (2002) notes that a concept critical to this idea is that transformative learning theory can balance and enhance transformational change efforts by promoting commitment rather than conformity. In considering transformational leadership, one must also consider transactional leadership. The literature poses varying views surrounding transformational and transactional leadership (Burns, 1978). The research describes how transformational leaders must engage their followers in aspiring to achieve greater results, as opposed to transactional leaders who engage their followers by offering them a pre-determined established agreement to achieve greater results (Bass & Avolio, 1988; Burns, 1978; Henderson, 2002; Sergiovanni, 2004). Although transactional and transformational leadership are different concepts, research indicates that perhaps both aspects must be present if leadership is to be effective (Bass & Avolio, 1988). Thus, the relevance of providing a description of transactional leadership is to provide information which could be utilized when reflectively comparing and contrasting transformational leadership and transactional leadership to obtain a richly descriptive depiction of what leadership traits embody. Analysis of Studies on Transformational Leadership Because varying interpretations of transformational leadership can be found in the research, it becomes possible to narrow down the current description of transformational leadership dimensions and inform this study's direction by identifying the effective
  64. 64. 50 attributes of transformational leadership. Despite the general consensus on the definition of transformational leadership, agreement on the number of specific leadership dimensions and the importance of each dimension has been found to vary (Barnett et al., 2001; Leithwood & Jantzi, 1999, 2000, 2005; Marks & Printy, 2003; Silins et al., 2002). Outlined below are several different conceptions of transformational leadership extracted from this review of the research. Leithwood and Jantzi (2000) note that in general, leaders have the ability to cultivate individuals' aspirations to achieve greater personal commitment and accomplish common organizational goals. Specifically, they delineate six dimensions of transformational leadership: (1) building school vision and goals; (2) providing intellectual stimulation; (3) offering individual support; (4) symbolizing professional practices and values; (5) demonstrating high performance expectations; and (6) developing structures to foster participation in school decisions (p. 114). Leithwood and Jantzi (2000) suggest that leadership can have a direct impact on school conditions. By contrast, Silins et al. (2002) indicate that effective leadership is more contingent upon the indirect influence of leaders on school conditions than on their direct leadership practices on teachers. As mentioned earlier, Silins et al. used Leithwood and Jantzi's same six factors, but found that they could be used as one single factor. However, Silins et al. also measured distributed leadership that exists in schools as perceived by teachers. They point out that a principal's leadership, along with distributed leadership that is shared with others, represents the total leadership in any one school. Further, distributed leadership is shared by all constituents of the school community. Their position is that
  65. 65. 51 individuals who are capable of distributing leadership throughout the school to various places and to other individuals are leaders who demonstrate active leadership. Silins et al. conclude with the suggestion that active leadership corresponds to teachers viewing and perceiving themselves as working collaboratively with the leader to improve school conditions. As indicated previously, Barnett et al's. (2001) conception of leadership involves a framework that consists of both transactional leadership and transformational leadership. As discussed before, although each is a separately defined leadership behavior, together they are also integrated ideologies that supplement and complement one another in practice. Barnett et al's. definition of transformational leadership was identified by five specific characteristics, as summarized by Bass and Avolio (1998): (1) Idealized Influence (attribute)—followers identify and imitate leaders who are trusted and seen as having an attainable mission and vision; (2) Idealized Influence (behavior)— followers identify with leaders' behavior and want to be like them; (3) Inspirational Motivation—closely related to Idealized Influence, followers are motivated and inspired when provided meaning and challenge; (4) Intellectual Stimulation—followers' efforts to be innovative and creative are encouraged and stimulated; and (5) Individualized Consideration—leaders relate to followers one-on-one to elevate goals and objectives by attending to individual needs for achievement and growth. Barnett et al.'s features of transactional leadership include: (1) Contingent Reward—exchange of rewards for meeting agreed-upon objectives; (2) Management by Exception (active)—a leader monitors followers to ensure that mistakes are not made; and (3) Management by Exception (passive)—a leader intervenes only when a problem arises.

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