Leading organizational change in America's K-12 schools: a literature review

Leading Organizational Change in America's K-12 Schools: A Literature Review

Creating positive changes in America's schools is a key responsibility of educational leaders. Researching best practices via the relevant scholarly literature can assist those seeking to manage and improve the learning environment in America's K-12 schools, in contributing to the creation of a thriving instructional atmosphere. By integrating the knowledge of 'what works best' into their curriculum planning and decision-making processes, educational leaders can help to bring about the positive changes that the American school system so critically needs.

Best Practices and Related Theories

Using various types of proven best practices will create a positive learning culture in which education for students (and teachers) becomes less of a chore and more of an adventure. For example, according to Brookfield (2005), the best types of instructional methods promote critical thinking, which is a skill that is needed throughout the life span. As such, the promotion of lifelong learning requires critical reflection on the part of the teacher as well as on the part of the student. Critical reflection is not merely an assessment tool, but it is also a way to promote best practices and ultimately, a positive learning environment.

Applying best practices to create a positive learning culture also requires some application of theoretical concepts. For example, many teachers seek to motivate their students to learn by using what is known as a "constructive approach." This involves building on the students' past knowledge to create an ongoing learning cycle. The underlying philosophy of the constructive approach is that "the essence of learning is the constant effort to assimilate new information" (Webb, Mertha & Forbis, 2007, p. 217).

According to Webb et al. (2007) constructivism is based on the notion that building on the information that has been previously learned is the best way to facilitate learning. They believe, as many educational leaders do, that application of this theory in the classroom can improve the lifelong learning process by promoting the 'building blocks' approach to knowledge that favors understanding over mere memorization.

Constructivism is just one example of a theoretical concept that teachers can apply to their classrooms. However it is one of the most established and validated educational theories, and therefore definitely warrants the status of a 'best practice'. This is because, firstly, in order truly learn the materials (as opposed to merely memorizing them), students must be involved in interesting, interactive and applicable activities. Secondly, instruction methods and materials must be tailored to meet the unique needs of the students. Constructivism is applicable to both these beliefs because constructivism presumes that the learning process requires the active processing of information, and that this will in turn lead to the construction of true understanding rather than simply the gaining of information (Webb et al., 2007).

In regard to specific approaches to classroom instruction, research shows that the following objectives will help to guide the process successfully:

1) To identify essential instructional knowledge, skills and attitudes to improve student achievement (Keyes at al., 2003).

2) To introduce students to an array of instructional tools that will meet their diverse needs, build upon their current knowledge, integrate technology and promote critical reflection (Raban, 2001).

3) To design and implement an assessment process that reflects the diversity of student learning and also allows teachers to evaluate and re-evaluate the effectiveness of their model and methods (Sadker & Zittleman, 2007).

4) To improve content instruction by tailoring decisions to meet individual student needs and to maximize enthusiasm for the learning process (Keyes at al., 2003).

It is important to remember that schools do not operate in a vacuum. There are many stakeholders involved, including not only the students and teachers, but also their parents and the wider community (Cooper, et al., 2004). According to Keys, Sharp, Greene, and Grayson (2003) the demands of teachers in the 21st century are becoming increasingly complex. These demands are not being met due to a host of unresolved problems that include: "poor management, budget deficits, unsatisfactory buildings, staffing problems, low levels of pupil attainment on entry, behavior management problems, high rates of pupil exclusion and unauthorized absence, low levels of parental involvement, falling rolls and high pupil turnover, and lack of public confidence in the school" (p. 2). It is the educational leader's responsibility to help reverse these trends and mindsets.

Principle-Centered Leadership

One way to avoid the weakening of the organizational culture in the American school system is to employ Stephen Covey's model of "Principle-Centered Leadership." This model is based on three primary concepts. The first as that leadership principles are not able to be forfeited; they are enduring and permanent. The second is that the desire for personal growth is paramount. Finally, the third is that leadership principles are the key to effective organizational management. The principles that Covey is referring to in each of these concepts are described as follows: "Principles are self-evident, self-validating natural laws. They don't change or shift...Principles apply at all times in all places. They surface in the form of values, ideas, norms, and teachings that uplift, ennoble, fulfill, empower, and inspire people. Principles, unlike values, are objective and eternal" (p. 69). This sense of permanence adds a feeling of stability to the often tumultuous change process.

Without a sense of enduring principles, conflict can occur not only between individuals and groups, but within themselves. This occurs when their expected role is not in alignment with their perceived role. For example, a leader may perceive her role as telling everyone exactly what to do, how to do it and when to do it. However, his expected role is not actually that of a micromanager but as a transformational leader who expects his employees to be qualified enough to make certain decisions on their own. When the perceived role and the expected role are incongruent, conflict can occur both between the leader and his followers, and within himself. This can result in a slowdown in production, a lowering of morale and resistance to changes that the leader may be trying to implement (Robbins & Judge, 2007).

According to Shafritz & Ott (2005) an organization is essentially a tool that people use to coordinate their actions as a means of achieving their goals. Often, the attainment of these goals requires some form of negotiation. Negotiating conflict is the area of leadership communication that can be the most problematic because if matters are not handled correctly, the conflicts can escalate until they are no longer under control. Leaders who are not attentive to their employees' needs and desires are not very likely to have a happy and productive workforce (Shafritz & Ott, 2005). Thus communication is ultimately about action.

Action Models

According to Northouse (2010) the following components can be identified as a central to a phenomenon a) Leadership is a process, b) Leadership involves influence, c) Leadership occurs is a group context, and d) Leadership involves goal attainment. Thus, leaders not only need to communicate their vision effectively to others, but they need to make sure that their actions are aligned with the vision they have communicated. By developing a solid and obtainable vision and communicating the components of the vision effectively, leaders are helping to create a sense of understanding in the employees by letting them in on the 'why's' and 'how's' instead of just the 'what's' and 'when's'.

According to Frese, Beimel and Schoenborn (2003), including employees in the decision-making process and the implementation of new ideas is a type of 'action-communication' that has been shown to be extremely successful. By including the employees in this process, a powerful coalition has been formed that will see employees working to make the change succeed instead of fighting to make it fail. This is because employees feel empowered to act when they feel they are an integral part of the machine. When they are merely being dictated to, they are much more likely to be resistant. The more employees feel involved, the more likely it is that morale will be boosted, especially if the employees are able to see the successes of the changes in small doses, which allows them to envision the overall success of the change in the future. Therefore, as Mayfield and Mayfield (2006) suggests, it is critical to reiterate the goals and components of the plan regularly, in order to consolidate the change and to keep employees informed and motivated. Once the initial tasks have been accomplished, new approaches can be implemented smoothly and effectively.

Applicable Theories of Leadership

Understanding how to communicate effectively as a leader requires at least some knowledge of the major theories of leadership. Transformational Leadership, Transactional Leadership and Conflict Management are three theories that school leaders need to be familiar with in order to communicate effectively.

Transformational Leadership

The task of communicating effectively can be facilitated through the use of transformational leadership. The theory of transformational leadership was originally developed by Bernard Bass in 1985. It centers on the relationship between the leader and his or her followers and the extent to which they are able to align their goals, values and beliefs. It is also a proactive model, meaning that it is based on putting ideas into action rather than simply postulating about them (Kent & Chelladurai, 2001). Bass described the transformational leader as a person who uses his or her communication skills to inspire followers to exceed their own expectations, to consider the objectives of the group or the community rather than their own well-being, and to become conscious of things that are important.

To outline the qualities of a successful transformational leader, Bass (1985) developed the Multifactor Leadership Questionnaire (MLQ). Using 177 senior officers in the U.S. military for his study, Bass (1985) analyzed the MLQ and identified five leadership qualities of a transformational leader: (a) charismatic leadership, where the charismatic leader has a special talent that earns respect and admiration from followers; (b) idealized influence, where the leader expresses his or her vision to the followers; (c) inspiration, where the leader expresses what he or she expects from the followers; (d) intellectual stimulation, where the leader encourages creativeness in the followers; and (e) individualized consideration, where the leader focuses on the growth of the followers.

Years later, Bass and Avolio (1994) conducted a study on transformational leadership characteristics that compared male and female managers. Bass and Avolio presented the profile of a female manager who took charge in any given situation, gained the trust and respect of her peers and coworkers, and cared about the desires of each person. Although both men and women viewed women as being more supportive and fulfilling as leaders, the glass ceiling may thwart the advancement of women to leadership positions and not make use of their full potential as leaders (Bass & Avolio).

According to Freese et al. (2003) "Bass described idealized influence and inspiration as two aspects of transformational leadership (which, in addition, comprises intellectual stimulation and individual consideration)." Effective communication can facilitate each of these factors in that it influences and inspires people to work hard and succeed, and it also stimulates them intellectually as individuals.

Transactional Leadership

Transactional Leadership is an offshoot of transformational leadership that encourages leaders to "guide or motivate their followers in the direction of established goals by clarifying role and task requirements" (Robbins & Coulter, 2005, p. 433). Essentially, transactional leadership is about rewarding employees for their hard work and dedication, with the hopes that this will motivate them to perform at their optimum level (Goodwin, Wofford & Whittington, 2001). It is as if there is a transaction that occurs between the employer and the employee that is much like any other business transaction that involves an exchange. For example a leader might exchange more flexible working schedules for going the extra mile. This is a transaction that benefits both the leader and the follower.

Because transactional leadership is only a branch of transformational leadership, it is not considered to be as effective on its own without the other qualities of transformational leadership. However despite being a derivative, transactional leadership has its own set of qualities. Bass (1985) analyzed the Multifactor Leadership Questionnaire (MLQ) and identified three of the most important leadership qualities of a transactional leader, which are: (a) contingent reward, where the leader manages reward and punishment, where appropriate; (b) management by exception (active), where the leader oversees any changes in the behavior of the followers; and (c) management by exception (passive), where the leader looks for changes in the behavior of the followers (Bass, 1985).

Gellis (2001) conducted a study to determine the perceptions of transactional and transformational leadership within hospital settings that were undergoing major changes in their service delivery as a result of reforms in health care coverage. A total of 187 respondents from 26 different hospitals in large cities were surveyed using the MLQ. Although Bass only identified three subscales for transactional leadership, Gellis added a fourth, laissez-faire which "measures the absence or avoidance of leadership" (p. 18). The results showed that "all five transformational factors and one transactional factor [contingent reward] were significantly correlated with leader outcomes of effectiveness, satisfaction, and extra effort" (p. 17). Contributing to these outcomes was also the leader's ability to manage conflict.

Conflict Management

Communication, and in particular, negotiation is critical to effectively managing conflict. According to Corvette (2007) there are several different negotiating styles that leaders tend to practice. Some leaders are accommodating and are willing to compromise, others are cooperative and collaborative, while others are dictatorial and inflexible. In a realistic sense it is very difficult to give both sides what they want without either side giving up something they want. Therefore most negotiations end in compromise because usually there has to be some sort of concession in order to reach a solution. Searching for that perfect solution in which everybody gets what they want could result in a perpetual standstill.

If it is true, as the Robbins & Judge (2007) professes, that "the whole is more than the sum of the parts" (p. 291) then managing conflict requires a group analysis, and that a group analysis must begin with the influence of individual attitudes. Communication strategies often need to be tailored to meet the different dynamics of groups vs. individuals because individuals may react differently if they are in the company of their peers. Therefore, leaders need to take into account the effect that peer influence can have on the communication strategy, as well as what type of impact the vulnerability of being in a one-on-one type of communication can have. Ultimately, for a leader to communicate successfully, he must be adept at tailoring his words and actions to appeal to both groups and individuals (Bisel, Ford & Keyton, 2007).

Clifton (2006) recommends the use of what is known as conversation analysis to analyze the conversations that take place during business meetings so that managers can gain a clearer understanding of which communication strategies are effective and which are not. This type of analysis is a part of the evaluation process, which is also an essential factor in successful communication. Without analyzing communication, it is virtually impossible to discover new ways of communicating more effectively. Roby (2009) adds that "Becoming aware of leadership skill strengths and weaknesses is crucial for growing...and for leading coworkers to higher levels of contribution at the workplace" (p. 608).

Summary and Conclusion

Great leadership does not occur in a vacuum; very often, it is by observing admirable leaders that people learn to become good leaders in their own right. Self-observation can also be a valuable asset to enhancing one's leadership and communication skills, such as using the method of Conversation Analysis as described by Clifton (2006). As leaders become more adept at communicating their vision to their employees both individually and collectively, they begin to develop a feel for how to best approach certain situations. Overall, a good leader knows when to delegate and when to take control; he knows how to motivate employees through a perfect balance of charisma, persuasion and logic; and most importantly, he is willing to listen as readily as he is willing to talk.

An effective leader is more than just a manager whose main concern is "efficiency" -- he is a true leader because he is all about "effectiveness." He is extremely charismatic as well and garners high production and respect from his employees. According to Robbins & Judge (2007) "There is an increasing body of research that shows impressive correlations between charismatic leadership and high performance and satisfaction among followers" (p. 434). Ultimately, a successful leader is a transformational leader, because he is able to "inspire followers to transcend their own self-interests for the good of the organization and [is] capable of having a profound and extraordinary effect on [his] followers" (Robbins & Judge, 2007, p. 437).

When it comes to managing change, which is perhaps one of the most sensitive communication-related endeavors, it is important to look at the big picture, as well as at the 'sum of its parts'. The long-term success of any organization is dependent on the leadership functions that define it. These include employee motivation and attitude shaping, creating and maintaining high levels of dedication and performance, effectively managing conflict, facing challenges without fear and ultimately, incorporating the principles of transformational and transactional leadership into the communication process.

Ultimately, creating an effective educational environment requires the ability to not only research and discover best practices, but also to successfully implement changes based on those findings. This means learning how to communicate effectively with those who will be most notably affected by the changes. It means learning how to plan for and overcome resistance to change. And finally, it means involving all of the valuable stakeholders in the decision-making process. By implementing best practices and overcoming resistance to change, educational leaders will help students to excel in both the classroom and the larger learning arena of life.