School Leadership: Concepts and Evidence: Full Report - Spring 2003
School Leadership: Concepts and Evidence: Full Report - Spring 2003
School Leadership: Concepts and Evidence: Full Report - Spring 2003
Introduction 3
Conclusion 31
Bibliography 36
The College has also commissioned the University of Manchester to conduct desk research on
the mainstream literature on leadership. Accordingly, such literature is largely omitted from this
review but the two reports will be compared with a view to a possible joint paper at a later stage.
The literature on school leadership alone is vast and it is not possible to do justice to so many
sources in a single report. Indeed, two members of the International Steering Group stated that
the task is “impossible”. This paper has a more modest objective; to provide a summary synthesis
of the most important sources in a form which is intended to be accessible for practitioners and
policy-makers. The report includes theoretical literature, to show how leadership has been
conceptualised, and empirical literature, to demonstrate whether and how the research evidence
supports these concepts of school leadership. The report also summarises the key implications of
the desk research for both leadership development and educational research.
Leadership as influence
A central element in many definitions of leadership is that there is a process of influence.
Leithwood et al (1999, p.6) say that “influence… seems to be a necessary part of most
conceptions of leadership”. Yukl (2002, p.3) explains this influence process:
Most definitions of leadership reflect the assumption that it involves a social influence
process whereby intentional influence is exerted by one person [or group] over other
people [or groups] to structure the activities and relationships in a group or organisation.
Yukl’s use of ‘person’ or ‘group’ serves to emphasise that leadership may be exercised by teams
as well as individuals. This view is reinforced by Harris (2002) and Leithwood (2001) who both
advocate distributed leadership as an alternative to traditional top-down leadership models.
Ogawa and Bossert (1995, pp.225–26) also state that leadership involves influence and agree
that it may be exercised by anyone in an organisation. “It is something that flows throughout an
organisation, spanning levels and flowing both up and down hierarchies.”
Cuban (1988, p.193) also refers to leadership as an influence process. “Leadership, then refers to
people who bend the motivations and actions of others to achieving certain goals; it implies taking
initiatives and risks”. This definition shows that the process of influence is purposeful in that it is
intended to lead to specific outcomes. Fidler (1997, p.25) reinforces this notion by claiming that
“followers are influenced towards goal achievement”.
Stoll and Fink (1996) use the similar concept of ‘invitational’ leadership to explain how leaders
operate in schools. “Leadership is about communicating invitational messages to individuals and
groups with whom leaders interact in order to build and act on a shared and evolving vision of
enhanced educational experiences for pupils” (p.109).
• schools are concerned with learning and all members of the school community are
learners
• every member of the school community is valued as an individual
• the school exists to serve its pupils and the local community
• learning is about the development of the whole person and happens in and out of
classrooms
• people prosper with trust, encouragement and praise
(Wasserberg 1999, p.155).
Greenfield and Ribbins (1993) add that leadership begins with the ‘character’ of leaders,
expressed in terms of personal values, self-awareness and emotional and moral capability.
The values adopted by many school leaders can be illustrated by Day, Harris and Hadfield’s
(2001) study of 12 schools in England and Wales which focused on heads who were deemed
effective by Office for Standards in Education (OFSTED) criteria and by the vaguer notion of ‘peer
reputation’. The researchers adopted a 360 degree perspective by interviewing teachers, parents,
governors and students as well as conducting three interviews with each principal. They conclude
that “good leaders are informed by and communicate clear sets of personal and educational
values which represent their moral purposes for the school” (p.53). They elaborate on the nature
of these core ‘personal values’:
These concerned the modelling and promotion of respect (for individuals), fairness and
equality, caring for the well being and whole development of students and staff, integrity
and honesty. These core values were often part of strong religious or humanitarian ethics
which made it impossible to separate the personal and the professional and which
provide empirical support for those who write of the essential moral purposes of those
involved in teaching. (Day, Harris and Hadfield 2001, p.45)
Moos, Mahony and Reeves (1998) reinforce the importance of leaders’ “clear sets of educational
and personal values” and stress the need for a ‘clear personal vision’ (p.70).
The vision… may be a dream expressed in written form as our school will be a learning
centre in the community , where every child will enjoy coming to school and will acquire
the basic skills (p.107).
They cite Bennis and Nanus’ (1985, p.28) view of how this is achieved by visionary leaders:
Their visions or intentions are compelling and pull people towards them. Intensity coupled
with commitment is magnetic (p.109).
They support Bennis and Nanus’ (1985, p.33) assessment that “the management of meaning,
[the] mastery of communication, is inseparable from effective leadership” (p.109). They add that
symbols are important for the communication of meaning.
The principal should work with others to implant the vision in the structures and
processes of the school, something that calls for the technical and human skills of policy-
making and planning (p.115).
These generalisations are essentially normative views about the centrality of vision to effective
leadership. However, there is also some empirical support for these prescriptions. Southworth
(1997) summarises the findings of several research projects and commentaries on leadership in
primary schools. Nias et al’s (1992) study of five primary schools shows that their heads
“provided a vision for the staff and the school” (p.46). Southworth (1993) suggests that heads are
motivated to work hard “because their leadership is the pursuit of their individual visions” (p.47)
while Alexander, Rose and Woodhead (1992) say that primary heads should provide a “vision of
what their schools should become” (p.48).
Dempster and Logan’s (1998) study of 12 Australian schools shows that almost all parents (97%)
and teachers (99%) expect the principal to express his or her vision clearly while 98% of both
groups expect the leader to plan strategically to achieve the vision
These projects show the high level of support for the notion of visionary leadership but Foreman’s
(1998) review shows that, in practice, it remains highly problematic . “Inspiring a shared vision is
the leadership practice with which [heads] felt most uncomfortable” (Kouzes and Posner 1996,
p.24) while Fullan (1992a, p.83) adds that “vision building is a highly sophisticated dynamic
process which few organisations can sustain”. Elsewhere, Fullan (1992b) is even more critical,
suggesting that visionary leaders may damage rather than improve their schools:
The current emphasis on vision in leadership can be misleading. Vision can blind leaders
in a number of ways… The high-powered, charismatic principal who “radically transforms
the school” in four or five years can… be blinding and misleading as a role model… my
hypothesis would be that most such schools decline after the leader leaves… Principals
are blinded by their own vision when they feel they must manipulate the teachers and the
school culture to conform to it. (Fullan 1992b, p.19)
The research by Bolam et al (1993) for the School Management Task Force illustrates a number
of problems about the development and articulation of ‘vision’ in English and Welsh schools.
Their study of 12 self selected ‘effective’ schools shows that most heads were able to describe
The Bolam et al (1993) study also casts doubt on the ability of heads to communicate the vision
effectively and to ensure that it is shared by staff. In only four of the 12 schools were staff clear
about the head’s vision:
In most of the schools comparatively few teachers were able to speak with any
confidence about the elements of the vision. This would suggest that… the headteachers
of these schools had not consciously and deliberately set out to communicate their vision
to colleagues and to ensure that its influence permeated every aspect of organisational
life. (Bolam et al 1993, p.36)
There is contrasting evidence from the research by Greenfield, Licata and Johnson (1992) in the
United States. Using a large sample of 1,769 teachers from 62 schools in rural and small
communities, they demonstrate strong support for the notion that there was a clear vision for the
school and that it was articulated well:
Teachers in this sample seemed to agree that their principals had a vision of what the
school ought to be and that it was in the best interest of their students. Moreover, they
viewed their principals as relatively effective in advancing this vision. (p.74)
The mixed evidence on the efficacy of ‘vision’ as a way of explaining how successful leaders
operate may be explained by using Begley’s (1994) four level analysis of ‘the principal as
visionary’. These levels are examined using five aspects of vision. The ‘vision derived goals’
aspect serves to illustrate the approach (see Table 1).
Table 1 shows that ‘vision’ may operate at different levels. The shift from ‘basic’ to ‘expert’
provides a useful way of categorising the extent to which leaders are able to develop a distinctive
vision, widely regarded as one hallmark of successful leadership. It is evident that the articulation
of a clear vision has considerable potential to develop schools but the empirical evidence of its
effectiveness remains mixed and there are also concerns about the extent to which the leader’s
vision may be imposed on the school. Begley’s (1994) hierarchy suggests that principals vary in
the extent to which they are able to develop and articulate a shared vision for their schools. This
seems to be an area which requires further research.
A further problem relates to the relationship between vision, goals, activities and school
outcomes. Mintzberg (1994) suggests that poor strategic implementation may inhibit the
attainment of vision.
The main focus in this section will be on the differences between leadership and management.
Starratt (2001) adopts an alternative perspective, focusing on the difference between efficiency
and an approach based on core values:
Day, Harris and Hadfield’s (2001) study of 12 ‘effective’ schools leads to a discussion of several
dilemmas in school leadership. One of these relates to management, which is linked to systems
and ‘paper’, and leadership, which is perceived to be about the development of people.
‘Development and maintenance’ are identified as another tension, linking to the Cuban (1988)
distinction identified above.
Fidler (1997, p.26) argues against a firm distinction between leadership and management,
claiming that they have an “intimate connection” and “a great deal of overlap, particularly in
respect of motivating people and giving a sense or purpose to the organisation”. West-Burnham
(1997, p.235) seems to support this view in expressing concern about the “increasing emphasis
on school leadership and management as a technical skill. Increasing levels of definition,
specification and imposed goal setting have served to diminish the creative and critical
components of leading and managing.” (present authors’ emphasis)
These comments are redolent of an earlier period when there was concern about an over-
emphasis on technical implementation, and a lack of creativity and innovation, but these notions
were not always linked to distinctions between management and leadership. Bush (1999), in
arguing for a redefinition of educational management, regrets that “the discipline stands accused
of ‘managerialism’, a stress on procedures at the expense of educational purposes and values”
(p.240).
Given the now widely accepted distinction between leadership, an influence process based on
values and a clearly articulated vision leading to change, and management, the effective
implementation of decisions based mainly on notions of maintenance, it is vital that both
dimensions of this duality are given equal prominence. While a clear vision is essential to
establish the nature and direction of change, it is equally important to ensure that innovations are
implemented efficiently and that the school’s residual functions are carried out effectively while
certain elements are undergoing change. Both aspects are necessary for successful schools, as
writers on both sides of the Atlantic emphasise:
Leading and managing are distinct, but both are important. Organisations which are over
managed but under led eventually lose any sense of spirit or purpose. Poorly managed
organisations with strong charismatic leaders may soar temporarily only to crash shortly
thereafter. The challenge of modern organisations requires the objective perspective of
the manager as well as the flashes of vision and commitment wise leadership provides.
(Bolman and Deal 1997, pp.xiii-xiv)
The dichotomy in Britain and elsewhere is that, while leadership is normatively preferred (Millett
1996, Starratt 2001), governments are encouraging a technical-rational approach through their
stress on performance and public accountability (Glatter 1999, Levacic et al 1999). In the current
policy climate, schools require both visionary leadership and effective management.
Instructional leadership
Leithwood et al (1999) point to the lack of explicit descriptions of instructional leadership in the
literature and suggest that there may be different meanings of this concept. Their definition is:
Instructional leadership… typically assumes that the critical focus for attention by leaders
is the behaviour of teachers as they engage in activities directly affecting the growth of
students. (p.8)
Sheppard (1996) claims that there are ‘narrow’ and ‘broad’ conceptions of instructional leadership
where the latter also involves variables, such as school culture, which may have important
consequences for teacher behaviour:
Southworth (2002, p.78) says that “instructional leadership is likely to be more effective when it is
conceptualised as ‘broad’ rather than ‘narrow’” because it increases the scope for other leaders to
play a role as well as the principal and because it recognises how social organisations operate.
He adds (2002, p.79) that “instructional leadership… is strongly concerned with teaching and
learning, including the professional learning of teachers as well as student growth”. Geltner and
Shelton (1991, p.339) also appear to advocate a broad view in claiming that “effective
instructional leadership… is… characterised by a strategic perspective which leads to the
integrated linkage and deployment of all resources available to the school to achieve its purpose
and mission”.
According to Leithwood et al (1999, p.8), instructional leadership models typically assume that
school leaders, usually principals, have both the expert knowledge and the formal authority to
exert influence on teachers.
Hallinger and Murphy (1985) state that instructional leadership comprises three broad categories:
• modelling
• monitoring
• professional dialogue and discussion
Southworth’s third category confirms Blase and Blase’s (1998) first point but his other strategies
introduce new notions of which instructional leadership practices are likely to be successful. He
also concurs with Hill (2001) that “school leaders may lack sufficient knowledge of teaching and
learning to provide adequate, let alone successful, instructional leadership” (p.87) and advocates
that this dimension should be included in leadership development programmes.
In contrast, Leithwood (1994, p.499) claims that “instructional leadership images are no longer
adequate” because they are “heavily classroom focused” and do not address “second order
changes… [such as] organisation building” (p.501). He adds that the instructional leadership
image “is now showing all the signs of a dying paradigm” (p.502).
Instructional leadership focuses on teaching and learning and on the behaviour of teachers in
working with students. Leaders’ influence is targeted at student learning via teachers. The
emphasis is on the direction and impact of influence rather than the influence process itself.
Transformational leadership
Gunter (2001, p.69) says that transformational leadership is about building a unified common
interest between leaders and followers. She and Allix (2000) both attribute this concept to Burns
(1978).
This form of leadership assumes that the central focus of leadership ought to be the
commitments and capacities of organisational members. Higher levels of personal
commitment to organisational goals and greater capacities for accomplishing those goals
are assumed to result in extra effort and greater productivity. (p.9)
Sergiovanni (1991) makes a similar distinction between transactional and what he calls
‘transformative’ leadership:
In transactional leadership, leaders and followers exchange needs and services in order
to accomplish independent objectives… This bargaining process can be viewed
metaphorically as a form of leadership by bartering. The wants and needs of followers
and the wants and needs of the leader are traded and a bargain is struck. Positive
reinforcement is given for good work, merit pay for increased performance… and so on.
(p.125) (Original author’s emphasis).
Day et al’s (2001) research suggests that successful principals are both transactional, “ensuring
that systems were maintained and met and that their schools ran smoothly” and transformative,
“building on esteem, competence , autonomy and achievement” (p.47).
Goldring (1992) shows that these wide-ranging changes have been the catalyst for a move to a
transformational approach:
Until recently, the principal of a typical Israeli neighbourhood school worked in a relatively
static organisation. Today, principals in experimental project schools aimed at system-
wide diversity are moving towards a dynamic definition of their role. In broad terms, it
seems that principals are being required to move from being routine-managers to leader-
managers, or from transactional to transformational leaders. (p.52)
Murphy and Hallinger (1992) also attribute the shift to transformational leadership to “changes in
the policy context of schools” (p.86) but also show that this is a normative change. “They are
being asked to undergo a metamorphosis, to change from transactional to transformational
leaders.” (p.81) (Present authors’ emphasis)
Leithwood’s (1994) research suggests that there is some empirical support for the essentially
normative transformational leadership model. He reports on seven quantitative studies and
concludes that:
Allix (2000) goes further and alleges that transformational leadership has the potential to become
‘despotic’ because of its strong, heroic and charismatic features. He believes that the leader’s
power ought to raise ‘moral qualms’ and serious doubts about its appropriateness for democratic
organisations:
Leadership [is] a special form of power embodied in a structure of action, in which the
acceptance of ‘superior’ values by followers is forged through social conflict in a context
charged by emotional elevation, rather than reason… there lurks implicitly… the
necessary – though not sufficient – conditions for the development of despotic forms of
social organisation and control… this conceptualisation of education carries with it the
The contemporary policy climate within which schools have to operate also raises questions
about the validity of the transformational model, despite its popularity in the literature. The English
system increasingly requires school leaders to adhere to government prescriptions which affect
aims, curriculum content and pedagogy, as well as values. There is “a more centralised, more
directed, and more controlled educational system [that] has dramatically reduced the possibility of
realising a genuinely transformational education and leadership” (Bottery 2001, p.215).
Webb and Vulliamy (1996, p.313) take a similar view, arguing that “the current climate…
encourages headteachers to be powerful and, if necessary, manipulative leaders in order to
ensure that the policies and practices agreed upon are ones that they can wholeheartedly support
and defend”.
Coleman (1996, 2002), following large-scale research with female and male heads of secondary
schools in England, concludes that women are more likely than men to display the behaviours
associated with transformational leadership. This is an important issue that is beyond the scope
of this report but merits separate attention and further research.
Moral leadership
Moral leadership assumes that the critical focus of leadership ought to be on the values and
ethics of leaders themselves. Authority and influence are to be derived from defensible
conceptions of what is right or good (Leithwood et al 1999, p.10). These authors add thatthis
model includes normative, political/democratic and symbolic concepts of leadership.
An alternative moral perspective is political in origin and focuses on “the nature of the
relationships among those within the organisation and the distribution of power between
stakeholders both inside and outside the organisation” (Leithwood et al 1999, p.11) Values
central to this form of leadership are derived from democratic theory.
Sergiovanni (1984, p.10) says that “excellent schools have central zones composed of values
and beliefs that take on sacred or cultural characteristics”. Subsequently, he adds that
‘administering’ is a ‘moral craft’ (1991, p.322). The moral dimension of leadership is based on
“normative rationality; rationality based on what we believe and what we consider to be good”
(p.326). His conception is closely linked to the transformational model:
The school must move beyond concern for goals and roles to the task of building
purposes into its structure and embodying these purposes in everything that it does with
the effect of transforming school members from neutral participants to committed
followers. The embodiment of purpose and the development of followership are
inescapably moral. (p.323)
West-Burnham’s (1997) second category is ‘moral confidence’, the capacity to act in a way that is
consistent with an ethical system and is consistent over time. The morally confident leader is
someone who can:
Gold et al’s (2002) research in English primary, secondary and special schools provides some
evidence about the nature of the values held and articulated by heads regarded as ‘outstanding’
by OFSTED inspectors. These authors point to the inconsistency between “the technicist and
managerial view of school leadership operationalised by the Government’s inspection regime”
and the focus on “values, learning communities and shared leadership” (p.1).
The heads in Gold et al’s (2002) research demonstrated the following values and beliefs through
their words and deeds:
• inclusivity
• equal opportunities
• equity or justice
• high expectations
• engagement with stakeholders
• co-operation
• teamwork
• commitment
• understanding
Gold et al (1992, p.9) conclude that their case study heads “mediate the many externally-
generated directives to ensure, as far as possible, that their take-up was consistent with what the
school was trying to achieve”.
Grace (2000) adopts a temporal perspective in linking moral and managerial leadership in
England and Wales. He asserts that, for more than 100 years, “the position of the headteacher
was associated with the articulation of spiritual and moral conceptions” (p.241). Subsequently, the
requirements of the Education Reform Act led to the “rising dominance” (p.234) of management,
exemplified by the National Professional Qualification for Headship (NPQH). Grace (2000)
argues, prescriptively, that “the discourse and understanding of management must be matched
by a discourse and understanding of ethics, morality and spirituality” (p.244).
In the principalship the challenge of leadership is to make peace with two competing
imperatives, the managerial and the moral. The two imperatives are unavoidable and the
neglect of either creates problems. Schools must be run effectively if they are to
survive… But for the school to transform itself into an institution, a learning community
must emerge… [This] is the moral imperative that principals face. (p.329)
Greenfield (1991) also stresses that managerial leadership must have a moral base:
Values lie beyond rationality. Rationality to be rationality must stand upon a value base.
Values are asserted, chosen, imposed or believed. They lie beyond quantification,
beyond measurement. (p.208) (Original author’s emphasis)
Moral leadership is based in the values and beliefs of leaders. The approach is similar to the
transformational model but with a stronger values base, that may be spiritual. Moral leadership
provides the school with a clear sense of purpose.
Participative leadership
“Participative leadership… assumes that the decision-making processes of the group ought to be
the central focus of the group” (Leithwood et al 1999, p.12). This is a normative model which is
based on three criteria:
The head or principal is expected to adopt strategies which acknowledge that issues my
arise from different parts of the organisation and be resolved in a complex interactive
process… the head… [is] the facilitator of an essentially participative process. (Bush
1995, pp.64–65)
Sergiovanni (1984, p.13) also points to the importance of a participative approach. This will
succeed in ‘bonding’ staff together and in easing the pressures on school principals. “The
burdens of leadership will be less if leadership functions and roles are shared and if the concept
of leadership density were to emerge as a viable replacement for principal leadership” (original
author’s emphasis).
Savery, Soutar and Dyson (1992) demonstrate that deputy principals in Western Australia wish to
participate in school decision-making but their desire to do so varied across different types of
decision. A majority of their 105 respondents wanted joint decision-making in school policy,
student discipline, teaching load, general policy and time allocation but fewer were interested in
participating in what were described as ‘economic variables’, including budgets and staff
selection, and in responding to parental complaints. The authors conclude that “people are more
likely to accept and implement decisions in which they have participated, particularly where these
decisions relate directly to the individual’s own job” (p.24).
There is… a growing tension between collegial and top-down management strategies at
the whole-school level...The evidence...suggests that, in all but the smallest primary
schools, the impact of more recent government initiatives...is taking schools further down
that path [towards more managerial and directive approaches]. (Webb and Vulliamy
1996, p.313)
Despite this evidence, there is a continuing focus on participative and distributed leadership.
Harris (2002) argues that democratic leadership styles are inevitable in the complex and rapidly
changing world inhabited by schools in the 21st century, despite the current emphasis on
individual leaders:
The orthodoxy of school leadership that promotes the ‘cult of the individual’ stubbornly
prevails. Fuelled by a view of organisational change that is inherently rational, stable and
predictable, it reinforces the status quo of the leader-follower relationship, creating
dependency cultures and an ownership divide. It is easier, far easier, to point the finger of
accountability in the direction of one person than to acknowledge that leadership is
collective, shared and distributed throughout the organisation... To cope with the
unprecedented rate of change in education requires... establishing new models of
leadership that locate power with the many rather than the few. (Harris 2002, p.11)
It remains to be seen whether such powerful, but essentially normative, ideas will be reflected in
school leadership practice.
Participative leadership is concerned primarily with the process of decision-making. The approach
supports the notion of shared or distributed leadership and is linked to democratic values and
empowerment. Participative leadership is thought to lead to improved outcomes through greater
commitment to the implementation of agreed decisions.
Managerial leadership assumes that the focus of leaders ought to be on functions, tasks
and behaviours and that if these functions are carried out competently the work of others
in the organisation will be facilitated. Most approaches to managerial leadership also
assume that the behaviour of organisational members is largely rational. Authority and
influence are allocated to formal positions in proportion to the status of those positions in
the organisational hierarchy. (p.14)
This definition is remarkably close to that adopted earlier by Bush (1986, 1995) in respect to just
one of his six models of management, ‘formal models’. As Leithwood et al (1999, p.15) suggest,
managerial leadership “conveys an orientation to leadership similar to the orientation found in the
classical management literature”. The Bush definition is:
Formal models assume that organisations are hierarchical systems in which managers
use rational means to pursue agreed goals. Heads possess authority legitimized by their
formal positions within the organisation and are accountable to sponsoring bodies for the
activities of their institutions. (p.29)
These two definitions illustrate an interesting temporal phenomenon. During the 1980s and much
of the 1990s, ‘management’ was regarded as the overarching concept and leadership was just
one dimension of this broader notion. During the late 1990s and into the new millennium,
‘leadership’ has been in the ascendancy and Leithwood et al’s (1999) definition suggests that
‘management’ has been reduced to a rump of its former range and significance. At one level, this
matters little because it is partly a matter of semantics and linguistic preference. However, this
narrowing has arisen in part because governments in many countries, including the United
Kingdom, have adopted this limited perspective of management in advancing their reform
programmes (Levacic et al 1999). If heads are simply expected to implement external policy
decisions, they are engaged in a process of managerial leadership sometimes described as
‘managerialism’.
Dressler’s (2001) review of leadership in Charter schools in the United States provides another
perspective on this issue, suggesting that leadership is a ‘management plus’ approach:
The additional responsibilities are said to include interpersonal leadership, such as motivating
others, sensitivity and communication skills, and contextual factors, including philosophical and
cultural values, and policy and political influences (p.176).
Myers and Murphy (1995) identify six specifically managerial functions. Four of these are
described as ‘hierarchical’:
• supervision
• input controls (eg teacher transfers)
• selection/socialisation
• environmental controls (eg community responsiveness)
(Myers and Murphy 1995, p.14)
Leithwood et al (1999, p.14) claim that leaders need to adopt a ‘bifocal’ perspective, management
and leadership. This also supports the views of Glatter (1997) and Bolman and Deal (1997) cited
earlier in this report. Leithwood (1994) adds that “distinctions between management and
leadership cannot be made in terms of overt behaviour... most of the overt practices of
transformational leaders look quite managerial” (p.515).
Managerial leadership focuses on functions, tasks and behaviours. It also assumes that the
behaviour of organisational members is largely rational and that influence is exerted through
positional authority within the organisational hierarchy. It is similar to the formal model of
management.
Post-modern leadership
This is a relatively recent model of leadership which has no generally agreed definition. One
member of the International Steering Group for the project said that “juxtaposing two concepts
routinely accused of vagueness does not hold much promise”. This criticism seems to be valid in
that Starratt’s (2001) discussion of ‘a postmodern theory of democratic leadership’ does not
define the concept beyond suggesting that postmodernism might legitimise the practice of
democratic leadership in schools (p.347).
Keough and Tobin (2001, p.2) provide a definition as a starting point for linking postmodern
leadership to educational policy: “current postmodern culture celebrates the multiplicity of
subjective truths as defined by experience and revels in the loss of absolute authority”. This view
has certain similarities with subjective or interactionist perspectives, which also stress the notion
of individual experience and interpretation of events (Greenfield 1973, Bush 1995).
Interpersonal leadership
West-Burnham (2001, p.1) argues that “interpersonal intelligence is the vital medium. It is
impossible to conceptualise any model of leadership that does not have interpersonal intelligence
as a key component.” This seems to be overstated in that some of the models previously
reviewed do not appear to depend on this notion. His definition is:
West-Burnham (2001, p.2) links this model to the moral perspective and adds that “there is...
moral imperative on school leaders to adopt a model of personal effectiveness which exemplifies
the values of the school”.
These pressures are even more evident in the work of school leaders and suggests a
requirement for high level personal and interpersonal skills (Johnston and Pickersgill 1992).
Interpersonal leadership focuses on the relationships leaders have with teachers, students and
others connected with the school. Leaders adopt a collaborative approach which may have a
moral dimension. They have advanced personal skills which enable them to operate effectively
with internal and external stakeholders.
Contingent leadership
All the models of leadership examined hitherto are partial. They provide valid and helpful insights
into one particular aspect of leadership. Some focus on the process by which influence is exerted
while others emphasise one or more dimensions of leadership. They are mostly normative and
often have vigorous support from their advocates. None of these models provide a complete
picture of school leadership. As Lambert (1995, p.2) notes, there is “no single best type”.
The contingent model provides an alternative approach, recognising the diverse nature of school
contexts and the advantages of adapting leadership styles to the particular situation rather than
adopting a ‘one size fits all’ stance. Leithwood et al (1999) offer a definition of this model:
This approach assumes that what is important is how leaders respond to the unique
organisational circumstances or problems... there are wide variations in the contexts for
leadership and that, to be effective, these contexts require different leadership
Yukl (2002, p.234) adds that “the managerial job is too complex and unpredictable to rely on a set
of standardised responses to events. Effective leaders are continuously reading the situation and
evaluating how to adapt their behaviour to it.”
Bolman and Deal’s (1984) ‘conceptual pluralism’ provides a similar approach to this issue. An
eclectic stance is required where leaders adapt their styles to the context in which they are
operating. These differences are often described in polar terms; people v. performance, male v.
female, managerial v. visionary etc, but the reality is much more complex. Leadership requires
effective diagnosis of problems, followed by adopting the most appropriate response to the issue
or situation (Morgan 1986, Bush 1995).
Fidler (1997, p.27) takes a similar view, arguing that “the choice of conceptualisation will depend
on the situation and on the purpose for which understanding is being sought”. Subsequently, he
argues that “a contingent approach should take account of both the internal situation in the
organisation and the external context in which the organisation operates” (Fidler 2000, p.403).
Leithwood (1994), p.515) makes an interesting link between transformational and contingent
leadership, saying that “transformational leadership practices are themselves contingent”:
1. Technical
This is derived from sound management techniques. The technical leader assumes the role of
‘management engineer’. This category is the same as Leithwood et al’s (1999) ‘managerial
leadership’.
2. Human
This is derived from harnessing available social and interpersonal resources. The human leader
assumes the role of ‘human engineer’. This links to both participative and interpersonal
leadership.
3. Educational
This is derived from expert knowledge about matters of education and schooling. The educational
leader assumes the role of ‘clinical practitioner’. This is closely aligned with instructional
leadership.
4. Symbolic
This is derived from focusing the attention of others on matters of importance to the school.
Purposing is of major concern to the symbolic force. This links to overall definitions of leadership
and has certain similarities to transformational leadership.
5. Cultural
This is derived from building a unique school culture. The cultural leader assumes the role of
‘high priest’, seeking to define, strengthen and articulate those enduring values, beliefs and
cultural strands that give the school its unique identity. This links to contemporary conceptions of
leadership and, specifically, to moral leadership.
1. Structural
2. Human resources
The human resources model also links to the interpersonal approach (see above).
3. Symbolic
• the most important aspect of events and situations is not what happens but what it means
• people interpret the same events in different ways
• many events are ambiguous and uncertain
• faced with uncertainty, people create symbols to reduce confusion
4. Political
Bolman and Deal’s (1997) notion of ‘conceptual pluralism’ is similar to contingent leadership and
also serves to emphasise that successful leaders may need to operate within most or all of these
frameworks. “The truly effective leader and manager will need multiple tools, the skill to use each
of them, and the wisdom to match frames to situations” (p.12).
Elements of leadership
Dimmock and Walker (2002) recognise eight interrelated elements of leadership. They claim that
“the eight provide a convenient and manageable way of encapsulating school leadership” (p.72):
The English and Welsh National Standards for Headteachers (TTA 1998) provide a clear set of
expected leadership and management skills and competencies for school leaders. The standards
are in five parts:
To provide professional leadership for a school which secures its success and improvement,
ensuring high quality education for all its pupils and improved standards of learning and
achievement.
• schools
• pupils
• teachers
• parents
• governors
These are expressed as 16 separate areas of knowledge. The TTA (1998, p.6) states that these
areas “are relevant to all schools, although some aspects will need to be interpreted differently
according to the phase, size and type of school”, a recognition of the need to balance generic and
school-specific knowledge.
Thirty five leadership skills and attributes are identified in five categories:
• leadership
• decision-making
• communication
• self-management
• attributes
This section identifies 33 leadership and management tasks for five ‘key areas’ of headship:
This generic skills approach to NPQH, particularly part four, is similar to trait theory which
dominated the early years of debate about the nature of leadership. Yukl (2002, p.175) defines
trait as “a variety of individual attributes, including aspects of personality, temperament, needs,
motives and values. Personal traits are relatively stable dispositions to behave in a particular way.
Examples include self-confidence, extroversion, emotional maturity, and energy level.”
Yukl (2002) reviews work by Stodgill (1948, 1974) and concludes that:
The review failed to support the basic premise of the trait approach that a person must
possess a particular set of traits to become a successful leader. The importance of each
trait depends on the situation. (p.177)
This approach to leadership and leadership development is also open to the criticism that it
fragments and oversimplifies the requirements for headship. Glatter (1999, p.259), for example,
warned that “the standards were in danger of fostering an excessively atomised and
disaggregated approach which would not reflect the realities of the job”. It also plays little
attention to the different school contexts likely to be experienced by new heads.
Sergiovanni (1984)’s discussion of competence is similar to that of the TTA (1998) while
“excellence is multidimensional, holistic” (p.4). He distinguishes between competent and excellent
schools:
Regardless of the merits and demerits of the National Standards, and trait theory, it could be
argued that generic skills and attributes are at their most helpful in developing new heads, most
of whom will take up their first headships in a new school. They are much less useful for in-
service development where heads need to acquire the ability to modify their approaches to the
specific requirements of their schools.
Wasserstein-Warnet and Klein (2000) conducted research in 20 Israeli schools to identify “the
characteristics of effective leadership” (p.435) and to assess “whether successful principals act in
a situational manner or whether they adhere to a particular leadership style” (p.438). Their work
School size
The research on the impact of school size on styles of leadership is limited. Lashway (2002, p.1)
says that “small schools are more likely to nurture a sense of belonging and community, engaging
active student involvement through a positive, humane and caring atmosphere”. This implies that
leaders are more likely to operate in a participative mode and Cotton (1996), drawing on
American evidence, claims that interpersonal relations are more positive in small schools.
A school’s total faculty should be small enough to meet around one common table.
Whether it’s hammering out a solution to a crisis or working through a long-range
problem, sustained attention over time is required of everyone... once you have more
than 20 people in a group, you’ve lost it. (pp.12–13)
Wilson and McPake’s (1998) research in small Scottish primary schools shows that the main
difference in leadership for such schools is that the headteacher is invariably also a classroom
teacher. As one of their respondents suggests, “I have to come to terms with whether I am the
headteacher or the teacher. The most difficult task is dividing management time and teaching
time.” (p.4)
These authors conclude that the leadership style for small schools should be described as
“situational management – a style based upon a realistic assessment of context, tasks and
available resources” (p.8). This is consistent with the contingent model.
Each of the models discussed in this report is partial. They provide distinctive but uni-dimensional
perspectives on school leadership. Sergiovanni (1984, p.6) adds that “the current focus in
leadership theory and practice provides a limited view, dwelling excessively on some aspects of
leadership to the virtual exclusion of others”.
The eight models adapted from Leithwood et al (1999), and summarised in this report, show that
concepts of school leadership are complex and diverse. They provide clear normative
frameworks by which leadership can be understood but relatively weak empirical support for
these constructs. They are also artificial distinctions in that most successful leaders are likely to
embody most or all of these approaches in their work.
Hallinger (1992) provides a helpful, although dated, temporal perspective on what are probably
the three most important models; managerial, instructional and transformational. He argues that
there has been a shift in expectations of American principals which can be explained as changing
conceptions of school leadership. These three phases were:
1. Managerial
During the 1960s and 1970s, principals came to be viewed as change agents for government
initiatives:
2. Instructional
By the mid 1980s, the emphasis had shifted to the ‘new orthodoxy’ of instructional leadership.
“The instructional leader was viewed as the primary source of knowledge for development of the
school’s educational programme” (p.37).
We noted earlier that this model is primarily about the direction rather than the process of
influence. This view is reflected in two contemporary criticism of instructional leadership:
• an inability “to document the processes by which leaders helped their schools to become
instructionally effective” (pp.37–38)
• principals did not have “the instructional leadership capacities needed for meaningful
school improvement” (p.38)
During the 1990s, a new conception of leadership emerged based on the assumption that
schools were becoming the “unit responsible for the initiation of change, not just the
implementation of change conceived by others” (p.40). This led to the notion of transformational
leadership, as principals sought to enlist support from teachers and other stakeholders to
participate in a process of identifying and addressing school priorities.
Hallinger (1992) follows Sergiovanni (1992) in stating that instructional leadership should not be
the predominant role of principals:
In this view, transformational leadership is the vehicle for promoting and developing the
instructional leadership capabilities of classroom teachers and those leaders with direct
responsibility for promoting learning.
The Hallinger (1992) distinction provides a starting point for a normative assessment of school
leadership in the 21st century. Managerial leadership has been discredited as limited and
technicist but it is an essential component of successful leadership, ensuring the implementation
of the school’s vision and strategy. Instructional leadership is vital to ensure a continuing focus on
teaching and learning but this focuses on the direction rather than the process of influence. Moral
leadership is similar to the transformational model but with a stronger emphasis on values and
beliefs. The participative model stresses the importance of team work but does not constitute a
distinctive approach to leadership. Postmodern leadership focuses on individual interpretation of
events while the interpersonal model emphasises the need for good relationships between staff,
students and other stakeholders. The contingent model outlines an approach that recognises the
significance of situational leadership, with heads and other senior staff adapting their approach to
the unique circumstances of their schools.
An integrated model needs to start with a contingent approach because a specific vision for the
school, a hallmark of the transformational model, cannot be independent of this context.
Transformational leadership then provides the basis for articulating and working towards this
vision. Instructional leadership is compatible with a transformational approach because it
indicates, in broad terms, what the main priority of any learning organisation ought to be.
Managerial leadership remains important because it is necessary to ensure effective
implementation of policies arising from the outcomes of the transformational process.
Table 3 shows a large measure of agreement about models of leadership. All five typologies
include managerial leadership, under various titles, while inter-personal or human resource
models appear in four of them and transformational and participative models feature in three of
them.
• Given the significance of instructional leadership, these programmes should have a clear
focus on learning, the main purpose of schools, and on the teaching required to
promote effective learning. This inevitably means training to ensure that leaders at all
levels are able to monitor and evaluate teaching and learning and are willing and able to
implement strategies such as classroom observation as part of the evaluation process.
• To avoid the problems that may be associated with transformational leadership, including
the potential for manipulation of followers, it is important for leaders to develop a
participative, or team, approach which enables staff and others to contribute to the
process of visioning rather than simply accepting the leader’s personal vision.
• Given the emerging view that women are more likely than men to adopt transformational
leadership styles (Coleman 2002), how and why do women leaders operate within this
paradigm? Qualitative research on how effective women leaders implement
transformational approaches would be a valuable corollary to the wider work on vision
suggested above.
• Given the rapid and multiple changes facing schools in the 21st century, how and to what
extent do leaders adapt their styles to new events and changing situations? Do
successful leaders adopt a contingency approach, choosing the most appropriate tool
from a range of strategies honed from a combination of experience and professional
development?
• What is the impact of different contextual factors on the nature of school leadership? Do
leaders operate differently according to school type, location and socio-economic
factors? How do leaders adapt their approach to cope with stakeholder variables, such as
the nature and level of involvement of governors, parents and staff? What is the impact of
school culture on the nature of leadership and how do new leaders seek to change
school culture?
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• leadership
• management
• administration
• leadership models
• leadership effectiveness
• leadership training
• contingency
This search also included use of the Australian, Hong Kong and Singaporean university web-
sites, which largely produced repeat references. The initial search of all these databases focused
on the period from 1992 until 2002. Following the original trawl, the search focused on material
from 1996 for direct references and on the full period for secondary references.
The original trawl resulted in 849 titles. Many of these were subsequently discarded because the
keywords had been used inappropriately or the areas covered were either too narrow or too
broad for this investigation. From the original list, the abstracts from 482 titles were examined of
which 216 sources were selected for further reading because their content related to definitions,
practice or models of leadership. The 216 titles were included in the initial literature review which,
in turn, formed the basis for the interim report (Bush and Glover 2002) submitted in May 2002. An
additional 32 references were examined following comments from the international consultants.
The audit process is summarised in Table 4: