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QUANDARIES
OF SCHOOL
LEADERSHIP

VOICES FROM
PRINCIPALS IN THE FIELD

Edited by
Debra J. Touchton
Mariela A. Rodríguez
Gary Ivory
Michele Acker-Hocevar
Quandaries of School Leadership
Debra J. Touchton • Mariela A. Rodríguez •
Gary Ivory • Michele Acker-Hocevar
Editors

Quandaries of School
Leadership
Voices from Principals in the Field
Editors
Debra J. Touchton Mariela A. Rodríguez
Stetson University University of Texas at San Antonio
Celebration, USA San Antonio, USA

Gary Ivory Michele Acker-Hocevar


Educational Leadership and Washington State University Tri-Cities
Administration Richland, Washington
New Mexico State University USA
Las Cruces, New Mexico
USA

ISBN 978-3-319-59119-3 ISBN 978-3-319-59120-9 (eBook)


DOI 10.1007/978-3-319-59120-9

Library of Congress Control Number: 2017946888

© The Editor(s) (if applicable) and The Author(s) 2018


This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher,
whether the whole or part of the material is concerned, specifically the rights of translation,
reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any
other physical way, and transmission or information storage and retrieval, electronic adaptation,
computer software, or by similar or dissimilar methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are
exempt from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in
this book are believed to be true and accurate at the date of publication. Neither the publisher
nor the authors or the editors give a warranty, express or implied, with respect to the material
contained herein or for any errors or omissions that may have been made. The publisher
remains neutral with regard to jurisdictional claims in published maps and institutional
affiliations.

Cover image © PhotoAlto/Laurence Mouton/PhotoAlto Agency RF Collections/


Gettyimages

Printed on acid-free paper

This Palgrave Macmillan imprint is published by Springer Nature


The registered company is Springer International Publishing AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
CONTENTS

1 The Journey Begins 1


Debra J. Touchton

2 Understanding Role-Making in Leadership Performance 9


John Mancinelli and Michele Acker-Hocevar

3 Developing a Leadership Platform: Using and


Understanding the Professional Standards for Educational
Leaders 37
Mariela A. Rodríguez

4 The Ambiguity in Clarifying Expectations 47


William Ruff

5 Ethics: Acting Ethically to Promote Each Student’s


Academic Success and Well-Being 73
Teresa Wasonga

6 Principals Supporting English Learners in US Public Schools 93


Karina I. Vielma, Gloria Jean Martinez, and Mariela A. Rodríguez

v
vi CONTENTS

7 Quandaries of Assessment and Accountability 105


Betty Alford and Julia Ballenger

8 Emotional Intelligence as a Means to Combat Funding Cuts:


Meeting Student Academic Success and Promoting
Well-Being in Challenging Financial Times 127
Rene Guillaume

9 Elementary School Principals Supporting the Professional


Capacity of Teachers 143
Jennifer Zavala and Venus Valenta

10 Shared Voice and Vision: Fostering Professional


Communities for Student Success 157
Joyce A. Mundy

11 Leadership and Resource Allocation in Schools: Applying


Micropolitical Perspectives 181
Chad R. Lochmiller and Colleen R. Pawlicki

12 Leadership for Change 207


Donna Augustine-Shaw, Robert Hachiya, and
Teresa Northern Miller

13 Leadership Development and the Study of Expertise 225


Gary Ivory and Rhonda McClellan

Index 239
NOTE ON CONTRIBUTORS

Michele A. Acker-Hocevar is Professor and Interim Vice Chancellor of


Academic Affairs, and holds an interdisciplinary PhD in Organizational
Studies and School Leadership. She is one of the coinvestigators of the
University Council for Educational Administration (UCEA) Voices 3 study
and was the past coeditor of the Journal of Research on Leadership Educa-
tion. Her work focuses on schools that have been both high and low
performing, change leadership, and decision-making for school
improvement.

Betty Alford is a professor and co-doctoral program director of the Edu-


cational Leadership Doctoral Program at California Polytechnic State Uni-
versity in Pomona, California, and a professor emerita at Stephen F. Austin
State University. She teaches qualitative research, organizational transfor-
mation, and dissertation courses. Her research agenda focuses on educa-
tional leadership in high-need schools.

Donna Augustine-Shaw is an assistant professor in the Educational Lead-


ership Department, Kansas State University. Her responsibilities include
teaching masters leadership academies and building and district leadership.
She served as a teacher, principal, and superintendent and holds a Doctorate
in Educational Administration, Wichita State University. Her research inter-
ests include leadership, mentoring, and change.

vii
viii NOTE ON CONTRIBUTORS

Julia Ballenger is an associate professor in the Educational Leadership


Department at Texas A&M University-Commerce.

Rene O. Guillaume is an assistant professor in the Department of Educa-


tional Leadership and Administration at New Mexico State University. His
teaching interests include higher education law and qualitative research
methods, and research interests include social justice issues in education,
and faculty teaching, life, and culture.

Robert F. Hachiya is an assistant professor in the Educational Leadership


Department in the College of Education at Kansas State University.
Hachiya teaches for both building and district level licensure including
education law, ethics, and leadership for diverse populations. His research
interests include school law and education policy.

Gary Ivory is one of the coinvestigators of the UCEA Voices 3 study,


coeditor with Michele Acker-Hocevar of Successful School Board Leadership:
Lessons from Superintendents (2007), and coeditor with Michele Acker-
Hocevar, Julia N. Ballenger, and A. William Place of Snapshots of School
Leadership in the 21st Century (2012).

Chad R. Lochmiller is an assistant professor in educational leadership and


policy studies at Indiana University. His research examines leadership and
policy issues, including those related to school finance and instructional
leadership. A particular focus in his research is the acquisition, management,
and development of human capital in schools.

John Mancinelli is the chief of staff for Washington State University


Tri-Cities. With 24 years of experience in the K-12 system as both a teacher
and an administrator at all levels, Mancinelli brings a unique and compre-
hensive view to educational leadership. His research interests center on how
role-making impacts a leader’s ability to build academic capacity.

Gloria Jean Martinez is a principal in the San Antonio Independent


School District. She holds an EdD in the Department of Educational
Leadership and Policy Studies at the University of Texas at San Antonio
in 2016. Martinez’s research focuses on testimonios that give voice to
participants, primarily Latina school district leaders.
NOTE ON CONTRIBUTORS ix

Rhonda McClellan is Professor and Director of Interdisciplinary PhD in


Leadership Studies, University of Central Arkansas, and has taught and
coordinated graduate programs in educational leadership development in
New Mexico, Texas, and Arkansas. She has special research interests in
leader development and integrative community leadership and her articles
have appeared in Educational Administration Quarterly, Journal of Educa-
tional Administration, Journal of Higher Education, and Journal of School
Leadership.

Teresa Northern Miller is an associate professor emeritus at Kansas State


University, College of Education and Department of Educational Leader-
ship. She has served as a co-liaison for multiple leadership academies,
designed to develop prospective principals and teacher leaders. Her research
interests include public school/university partnerships and leadership
development.

Joyce A. Mundy is an assistant professor at Stetson University. She teaches


human resources and instructional leadership. Mundy has spent 15 years as
a school administrator. Her research focuses on inclusive, culturally respon-
sive schools and principal efficacy. Mundy also trains school administrators
in restorative practices and designing systemic culture change frameworks.

Colleen R. Pawlicki is a doctoral student in Education Policy Studies with


a concentration in Educational Leadership at Indiana University. She serves
as an associate instructor for IU’s Urban Program, an undergraduate prep-
aration program for aspiring Chicago Public Schools teachers. Pawlicki’s
research interests include issues in urban education and school governance.

Mariela A. Rodríguez is an associate dean of the Graduate School at the


University of Texas at San Antonio. She is also an associate professor in the
Department of Educational Leadership and Policy Studies. Her research
focuses on the supportive role of principals in leading schools with bilingual
education programs, specifically dual language education. Rodríguez’s
research has been published in the Journal of School Leadership and the
Journal of Latinos and Education.

William Ruff is a Professor of Educational Leadership at Montana State


University, and has published more than a dozen journal articles and book
chapters addressing school leadership, social justice issues, and comprehen-
sive school reform. Additionally, he has served as the primary investigator
for a series of US Department of Education grants resulting in the
x NOTE ON CONTRIBUTORS

preparation and placement of over 100 American Indian educational leaders


serving Indigenous communities at the federal, state, tribal, or local level.

Debra J. Touchton is a Professor and Program Director of Educational


Leadership Graduate Programs at Stetson University. She holds a PhD in
Interdisciplinary Studies with an emphasis on organizational development.
Her research focus is in the areas of organizational change and develop-
ment, women in leadership, and leadership in schools of poverty. She
teaches graduate courses in communication, leadership, and systems
planning.

Venus Valenta is a public school educator who has served over ten years as
an administrator in a large urban school district in San Antonio, Texas. She
holds a doctorate degree from the University of Texas at San Antonio. Her
research interests include educational administration, the superintendency,
and Latina leadership.

Karina I. Vielma, Ed.D. is a Research Fellow at the University of Texas at


San Antonio College of Engineering where she specializes in education and
community outreach initiatives. Her research interests center on leadership
and equity initiatives in science, technology, and mathematics (STEM)
fields. With experience as a first-generation college student at the Massa-
chusetts Institute of Technology, a public school mathematics teacher, and
now a researcher, her mission is to promote programs that motivate more
women and underrepresented students to persist and excel in STEM
careers.

Teresa J. Wasonga is Presidential Engagement Professor of Education


Leadership at Northern Illinois University (NIU) and a Fulbright scholar.
Besides teaching educational leadership courses at NIU, she is also the
cofounder of an innovative all girls’ secondary boarding school in Kenya
where educational leadership theories are put into practice.

Jennifer Zavala has served the south San Antonio community as a public
educator for the past eight years and has an administrative role as an academic
dean in the Harlandale Independent School District. She earned holds a
doctorate degree from the University of Texas at San Antonio in Educational
Leadership and Policy. Her research interests include social justice leadership,
the principalship, Latino-serving institutions, and public K-12 schools.
LIST OF TABLES

Table 1.1 Principals’ demographics 3


Table 8.1 Goleman’s (2001) theory of emotional intelligence 129
Table 11.1 Quandaries, resources, and sources of micropolitical conflict 198

xi
CHAPTER 1

The Journey Begins

Debra J. Touchton

Leadership development is a life-long journey. It is not an event; it is a


process. Vaill (1989) asserts in his book Managing as a Performing Art:
New Ideas for a World of Chaotic Change that management/leadership is a
performing art. Have you ever thought of leadership that way? I had not
until reading his book (1989).
He states:

If management is a performing art, the consciousness of the management is


transformed, I think. One becomes much more interested in the quality of the
process and much more aware of how a given course of action does or does
not resemble other things that one has done or not done (p. 1544).

We want you to see this book as a piece of sheet music, the map to your
own leadership development; the school leader as the conductor; the school
as the orchestra. Using this metaphor, the chapter authors assist you, the
conductor, as you create your own music to lead your school. Let’s think
about the conductor: What does a conductor do? The orchestra conductor

D.J. Touchton (*)


Stetson University, DeLand, FL, USA

© The Author(s) 2018 1


D.J. Touchton et al. (eds.), Quandaries of School Leadership,
DOI 10.1007/978-3-319-59120-9_1
2 D.J. TOUCHTON

leads the musicians with exactness, inspiration, and passion. Isn’t that how
effective, successful school leaders conduct the music of teaching and
learning? You will read more about this concept of leadership as a
performing art in the contributions by John Mancinelli and Michele
Acker-Hocevar (Chap. 2), and by Gary Ivory and Rhonda McClellan
(Chap. 13).
This book provides you with four products:

1. Descriptions of quandaries faced by real school leaders in the twenty-


first century, told to us in their own words. These leaders provide
vivid and compelling views of the world in which you work or aspire
to work. Your work as an educational leader will be largely about
facing quandaries, such as those our principals described.
2. A variety of different perspectives: (a) those of principals who partic-
ipated in focus groups across the nation; (b) theoretical frameworks
introduced to you that offer insight into patterns of behavior;
(c) those of the chapter authors; and (c) additional resources found
within each chapter.
3. Reflective questions, providing you with the opportunity to think
about how you might resolve quandaries that principals have faced
in their lives and work as they described them in focus groups. Your
solutions may be as multifaceted as the quandaries.
4. The opportunity to develop a leadership platform that reflects your
knowledge, values, and beliefs based on quandaries that principals
have faced in the field. This platform is your own perspective on
education and educational leadership. It is a reminder of what you
think is valuable, and important to know and remember—an ethical
compass of sorts—suggesting the direction you might take and not
regret later.

WHAT’S IN THIS BOOK FOR ME?


In each chapter, you will be given a glimpse into principals’ work through
excerpts from the Voices 3 focus transcripts. The principals’ contributions
portray quandaries that they faced. The chapter authors introduce theoret-
ical frameworks for you to think about while you examine a principal’s
quandary. The authors’ job is to make addressing each quandary compli-
cated, while your job is to anticipate the various viewpoints of stakeholders
so as to consider a multitude of solutions about how you might address the
THE JOURNEY BEGINS 3

quandaries, and what responses and reactions might occur. The authors
have included reflection questions. Some have chosen to embed these
within the chapter while others have added them at the end of their chapter.
Either way, the questions are a way for you to ponder the quandaries, as well
as further develop and enhance your leadership platform and cognitive
sophistication when thinking about solutions.

THE VOICES 3 RESEARCH PROJECT


The voices you encounter in these chapters are real. In a project entitled
Voices from the Field: Phase 3 (Voices 3), researchers across the USA
conducted focus groups in which the interviewer asked questions and
encouraged a conversation among the participants (Acker-Hocevar et al.
2009). Between 2003 and 2006, thirteen principal focus groups were
conducted around the country in small and medium-sized school districts.
The gender and ethnicity of the eighty-four principals in the study are
shown in Table 1.1.
The focus group questions were based on Murphy’s (2006) “anchors”
for school-leadership preparation. Principals were asked to share their per-
spectives on (1) the No Child Left Behind Act (in force at the time of the
study); (2) doing what’s best for children; and (3) how they involve “other
people wanting to have a voice in decision making” (Acker-Hocevar et al.
2012, p. 4). The focus groups’ conversation were transcribed and analyzed,
and the stories presented within the chapters come directly from these
transcripts. Each Voices 3 principal cited in this book has been given a
number to ensure confidentiality. Some chapter authors have supplemented
the Voices 3 data with interviews they have conducted with other principals.
Those principals are not numbered.

Table 1.1 Principals’ demographics

Gender African European Hispanic Other Not reported Total


American American

Female 7 18 5 7 6 43 (50.6%)
Male 3 29 4 3 2 41 (48.2%)
Total 10 (11.8%) 47 (55.3%) 9 (10.6%) 10 (11.8%) 9 (10.6%) 84 (100%)
4 D.J. TOUCHTON

PROFESSIONAL STANDARDS FOR EDUCATIONAL LEADERS


When conceiving of and compiling this book, the chapter authors were
asked to address one of the ten Professional Standards for Educational
Leaders (PSELs) that most related to their chapter. The National Policy
Board for Educational Administration adopted the PSELs in 2015 (NPBEA
2015). The PSELs replaced the Interstate School Leaders Licensure Con-
sortium (ISLLC) Standards. Like the ISLLC Standards, the PSELs were
designed to guide policy, to frame most licensure examinations, and to
outline the competencies needed by today’s school leaders. The ten stan-
dards are listed below and are explained further in Chap. 3:

1. Mission, Vision, and Core Values


2. Ethics and Professional Norms
3. Equity and Cultural Responsiveness
4. Curriculum, Instruction, and Assessment
5. Community of Care and Support for Students
6. Professional Capacity of School Personnel
7. Professional Community for Teachers and Staff
8. Meaningful Engagement of Families and Community
9. Operations and Management
10. School Improvement

Quandary: What Is It?


You may be asking yourself, “What is a quandary?” The Oxford English
Dictionary defines it as a state of uncertainty over what to do in a difficult
situation. A few synonyms to further the understanding of a quandary are
predicament, trouble, mess, and dilemma. Principals encounter many situ-
ations and challenges during their day. Leaders who think about opposing
ideas, and who compare and contrast solutions from different frameworks
and perspectives when handling quandaries, are more likely to be consider
creative and innovative solutions (Acker-Hocevar et al. 2015).
So why did we choose “quandary” to shape the chapters in this book?
Let’s go back to the idea of leadership as a performing art. Think of a group
of musicians getting together to jam. Do they follow a piece of music note
by note or do they begin with the original piece and add as they go? It
depends on the setting, the context, doesn’t it? If you have ever sat in on a
jam session as the listener or as one of the “jammers,” you know that the
THE JOURNEY BEGINS 5

music that the musicians start with isn’t what they may end up with. This is
based on who comes in and goes out during the jam, what instruments the
musicians are playing, and the feel of the room. That is what happens when
principals are faced with a certain quandary: the context is never the same
and the players have different skill sets.
You will read about many different quandaries that the chapter authors
have gleaned from the principal focus group transcripts. Acker-Hocevar
et al. (2015) posit: “School leadership is not simply putting prescribed
solutions into action, but a constant encounter with quandaries that
demand thinking and problem-solving, responding, and adjusting to the
situations at hand” (p. 5). This is what jazz improvisation is all about. As a
leader, you must develop a finely honed set of skills that allow you to use
them as a toolbox of sorts to address different problems and arrive at
workable solutions that fit with the overall direction, as well as your beliefs
and values.

Theoretical Frameworks
In addition to learning from their experiences and the opinions of others,
leaders can benefit from the guidance of theoretical frameworks. These
function like crude maps or unfinished sheets of music. They are not exact
formulas or recipes but they can inform and guide behavior for someone
who reflects on them (Argyris and Schon 1978). Bolman and Deal (2008)
wrote:

The world for most managers and administrators is a world of messes: com-
plexity, ambiguity, value dilemmas, political pressures and multiple constitu-
encies. For managers whose images blind them to important parts of the
chaotic reality, it is a world of frustration and failure. For those with better
theories and the intuitive capacity to use them with skill and grace, it is a world
of excitement and possibility (p. 41).

The authors present a variety of theoretical frameworks across this book.


Here is a brief look at Chaps. 4, 5, 6, 7, 8, 9, 10, 11, and 12 (principal
quandary chapters) and the perspectives on which the authors have based
their individual chapters. The Chap. 4 uses the bureaucratic and participa-
tory models as a theoretical framework to explore how principals clarify
organizational expectations to meet the demands often levied upon their
schools. Chapter 5 examines the interplay of ethics through the lens of a
6 D.J. TOUCHTON

distributive and facilitative power framework in promoting the academic


success and well-being of all students. Social justice serves as the theoretical
framework for Chap. 6 for school leaders promoting the acceptance and
inclusion of all culturally and linguistically diverse groups of students in
school today. Chapter 7 focuses on the principal as the leader of learning and
school improvement while dealing with accountability issues. In Chap. 8,
the author examines the emotional intelligence (EI) framework for
school leaders grappling with how to best support their students while
being tasked with doing more with less owing to recent and continuing
budget cuts. The authors of Chap. 9 frame their contribution within the
principal effectiveness theoretical perspective and the importance that school
leaders have in encouraging teachers in their professional capacity within the
accountability movement. School leaders’ role in creating a professional
learning community that emphasizes a culture of trust, shared vision, and
action research that impacts student success serves as the theoretical frame-
work for Chap. 10. Chapter 11 invites readers to consider the micropolitical
theoretical framework for challenges that principals often address in their
leadership when dealing with resource allocation. Chapter 12 shares theo-
retical perspectives on effective leadership through first- and second-order
change as principals lead stakeholders and navigate change in their schools.
Reading and thinking about the different theoretical frameworks
included in this book should help you develop more perspectives on quan-
daries and make you better at negotiating them. Perhaps that is why
psychologist Kurt Lewin remarked: “Nothing is as practical as a good
theory” (1951, p. 169).

SUMMARY
The everyday work of principals is complex and, at times, frustrating.
However, there are many days of satisfaction and enjoyment. As mentioned
earlier, there are no easy solutions to quandaries that school leaders face
daily. Just as there are no easy solutions, nothing replaces understanding
that leadership and learning are not separate constructs but should be
intertwined and supportive of ongoing improvement and practice. Just as
the most accomplished musicians continue to practice, so must a leader
continue to develop their knowledge so as to be responsive and adaptive like
the jazz improvisation player.
THE JOURNEY BEGINS 7

Acknowledgments I am extremely grateful for several groups of people who have


made contributions to this book. First and foremost, I thank the principals across the
nation who took time from their busy schedules to participate in the Voices 3 focus
groups, the heart of this book. Secondly, to the researchers who scheduled and
facilitated the focus groups, your work is greatly appreciated. A special thank-you
to the chapter authors’ for their commitment and flexibility. Lastly, I must
acknowledge my co-editors for their perseverance and teamwork on this project.

REFERENCES
Acker-Hocevar, M., Miller, T. N., & Ivory, G. (2009). The UCEA project on
education leadership: Voices from the field, Phase 3. Educational Considerations,
36(2), 1–5.
Acker-Hocevar, M., Ballenger, J., Place, W., & Ivory, G. (Eds.). (2012). Snapshots of
school leadership in the 21st century: The UCEA voices for the field project. Char-
lotte: Information Age Publishing.
Acker-Hocevar, M., Hyle, A., Ivory, G., & McClellan, R. (2015). In G. Ivory,
A. Hyle, R. McClellan, & M. Acker-Hocevar (Eds.), Quandaries of the small-
district superintendency (pp. 1–14). New York: Palgrave Macmillan.
Argyris, C., & Schon, D. A. (1978). Organizational learning: A theory of action
perspective. Reading: Addison-Wesley.
Bolman, C. L. G., & Deal, T. E. (2008). Reframing the organization: Artistry,
choice, and leadership. San Francisco: Jossey-Bass.
Lewin, K. (1951). Problems of research in social psychology. In D. Cartwright
(Ed.), Field theory in social science: Selected papers (pp. 155–169). New York:
Harper & Row.
Murphy, J. (2006). Preparing school leaders: Defining a research and action agenda.
Lanham: Rowman & Littlefield Education.
National Policy Board for Educational Administration. (2015). Professional stan-
dards for educational leaders 2015. Reston: Author.
Vaill, P. (1989). Managing as a performing art: New ideas for a world of chaotic
change. San Francisco: Jossey-Bass.
CHAPTER 2

Understanding Role-Making in Leadership


Performance

John Mancinelli and Michele Acker-Hocevar

This book is a cooperative effort between academics and practitioners to


provide aspiring principals with an understanding of how their future role
can be shaped by rehearsing leadership quandaries. Within these quandaries,
we examine leadership complexity from two related concepts referred to as
role-taking and role-making. We discuss how various leadership theories
and personal and contextual factors will influence your choices in role-
making. We compare role-taking and role-making to the journey of a
musician who gains fluency over time to that of a leader gaining expertise
over time.
Role-taking is simply imitating what you think you should do as a
principal without much thought as to why or how this supports intentional
leadership action to promote student success. Although role-taking can be
highly efficient in recreating templates for people to mimic a prescribed set
of role behaviors, it may be quite deficient in helping the same new leader
adapt to new and unique challenges s/he will be facing to improve learning
outcomes and solve other serious organizational problems. Therefore, lead-
ership adaptation requires role-making where the leader adjusts his/her role

J. Mancinelli (*) • M. Acker-Hocevar


Washington State University, Tri-Cities, Richland, WA, USA

© The Author(s) 2018 9


D.J. Touchton et al. (eds.), Quandaries of School Leadership,
DOI 10.1007/978-3-319-59120-9_2
10 J. MANCINELLI AND M. ACKER-HOCEVAR

within a specific context and time in history to address problems with


intentional action. This action should include how you understand and
use leadership frameworks to see problems in practice in distinctive ways.
Your leadership platform differs from your use of leadership frameworks.
Your leadership platform is the compass that guides how and what frame-
works might be a better match for you with your values and beliefs. But
role-making adds another layer of understanding because role-making
involves how you bring extant knowledge together with your beliefs and
values to conceive your role. Fundamentally, the conception of this role is
related to the more knowledge a leader has of himself/herself, of different
leadership theoretical frameworks, of the historical evolution of the princi-
pal’s role over time, and the interplay between personal and contextual
factors to solve problems and innovate, the better leader they will become.
In fact with this knowledge, the leader becomes more sophisticated in
his/her responses to problems-of-practice. And the more willing the leader
is to learn and ask questions about why s/he is doing what they are doing
and how s/he might incorporate various aspects of his/her learning into
practice to shape the role, the more agile the leader will become as a role-
maker, an innovator versus a conformer.
We review several leadership theories in this chapter so you can see why
leaders must be adaptive. Subsequently, and within the quandaries
presented in this book, we ask you to explore questions that distinguish
role-taking from role-making. In regard to role-taking, consider “What
defines my role?” “Who defines my role?” In contrast to role-taking, role-
making is about your intentional adaptation to the school context and your
deliberate choices for a course of action that will influence purposeful
change. Questions such as, “What impact does my interpretation of the
role here on how I go about solving this problem” and “How should I use
my role to select an appropriate leadership theoretical framework to create
excellence in this context?” These questions should punctuate your thinking
as you become a more expert leader. Notably, and as you read the following
book chapters, ask yourself what arguments chapter authors might wish you
to consider on your journey to becoming a role-maker. Reflect on our
analogy between the development of a musician and your development as
a performance-based leader. In other words, imitation in role-taking may be
a natural progression to role-making in the process of what we call
performance-based leadership. Recognizing rehearsal time, such as imita-
tion, is needed for any performance to become part of your own repertoire.
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 11

We explore now how our music analogy might elucidate a clearer under-
standing of what we mean.

EXPLORING PERFORMANCE-BASED LEADERSHIP THROUGH


A MUSICAL ANALOGY

To assist the reader in understanding role-taking and role-making, we use


an analogy of performance-based leadership through the eyes of a musician
throughout this chapter. Both the leader and the musician must be skillfully
prepared, self-aware, and continuously attuned to the environment s/he is
situated within to achieve a successful performance. Both must practice
his/her leadership or musical performance as s/he gains knowledge or
automaticity over time to enhance his/her repertoire of conceptual flexibil-
ity, intentional choice, and reflection on how to improve student learning or
impact a musical recitation positively. Carefully enacting the role or skillfully
playing the piece challenges the emerging leader and the novice musician to
enlarge conceptual fluency and to address problems-of-practice as new
musical pieces challenge a musician. By thinking like a musician who must
be both a proficient player and an adaptive interpreter of the audience, s/he
is trying to influence (not to mention the other musicians with whom s/he
is performing)—the leader too must possess a knowledge of many genres of
music as a leader must understand different leadership theories. Musicians
appreciate the legacy from Brahms to the Beatles. Ultimately, however, the
leader will need to understand how to use elements from leadership legacy
that will explicitly shape his/her role. This role will be informed by his/her
leadership platform and as a response to many messy problems s/he will
surely encounter—problems that will require conceptual flexibility and
nuanced responses. Hence, we encourage the emergent leader to recognize
how personal values and dispositions will influence choices and idiosyncratic
responses and personal interactions with others that will either positively or
negatively impact his/her ability to lead changes within his/her school. The
skillset you develop as a leader that is yours affects and is tied to role-making.

THE COMPLEXITY OF THE PRINCIPALSHIP


Once you enter the official role of principal, it won’t take long for you to
realize that there are many expectations placed upon you. The job posting
usually outlines some expectations for you; however, it leaves out the
12 J. MANCINELLI AND M. ACKER-HOCEVAR

expectations of peer administrators, supervisors, teachers, parents, and stu-


dents. Not all of these expectations will align with your own perception of
the role nor even be complimentary with each other. The reason for
inherent contradictions can be traced to an amalgamation of perceived
responsibilities from past roles. Many of these expectations were shaped
from global legacies passed from one generation of administrators to
another. They were sculpted into current educational policy, role expecta-
tions from mentors, and create a gateway of passage for the new principal to
be seen as legitimate players as s/he enters the new role. For the new
principal, the challenge, therefore, is to construct his/her role carefully
and incorporate legacy while simultaneously being aware that strict adher-
ence to any predefined role or role-taking (Hart 1993) ignores adaptability.
Role-taking is static and disregards a reciprocal leadership process that is
grounded in the dynamic interaction between the leader and the various
audiences s/he must interact—performance leadership.
Performance-based leadership, therefore, is reflective, relational, contex-
tual, and collaborative. It engages constituents with the leader to define and
agree upon how a model performance will appear. Simply put, traditional
role-taking processes inadequately prepare principals for the complexities of
the role today. These processes do not provide the forward strategy to assess
what leadership frameworks can assist a leader with different skillsets from
role-taking (Crow 2010). Rather, role-taking provides more of a backward
gaze. A shift from role-taking to role-making, a relatively recent phenom-
enon, represents leadership as synonymous with learning. Role-making
allows a leader to construct their role to respond to existing conditions
that can influence reciprocal leadership performance between leaders and
followers. We provide a present-day example.

ROLE-MAKING: A CONTRASTING PERSPECTIVE TO TRADITIONAL


ROLE-TAKING
So we must now look forward to role-making as a contrasting perspective to
more traditional characteristics of role-taking. This is complicated because
we cannot totally ignore the historical evolution of the principal’s role over
time. Yet role-making is about the principal’s ongoing adaptation to
existing conditions that influence his/her role and include legacy (e.g.,
what has occurred in the school prior to your leadership and what has
occurred overall in the role writ large), personal context (e.g., leadership
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 13

platform, dispositions, and values), and school context (e.g., type of school,
location) (Crow 2010).
For example, today’s Principals are rated on performance within
assumptions that they—as performers—must possess high levels of skills
that apply deep and broad knowledge, adapt to various challenges, and
continuously respond to changing student needs, teacher requirements,
technological advancements, and shift educational standards to improve
learning within a community (Knapp et al. 2010; Mancinelli 2014; Portin
et al. 2009). Previous generations of principals were rated on building
management and operations with limited responsibility toward student
performance or instructional leadership. Such a shift toward enhanced
performance means that the principal must prioritize leadership behaviors
over managerial behaviors that do not impact learning performance but may
be necessary to ensure things like clean building are completed. Bluntly put,
the ends justify the means. Or said another way, leaders today must be
creative and ethical; they must be adaptive solution-centered thinkers. This
requires the principal to imagine the performance and what s/he needs to
be successful. Conformity must be replaced by adaptability.

PERFORMANCE-BASED LEADERSHIP
Thus as a new aspiring principal, it will be essential for you to have a strong
understanding of your role in order to be effective. You will need to
understand the scope of your responsibilities; what resources are available
to you; how to contextualize problems-of-practice for student learning
improvement to occur; how to make decisions about setting expectations
with a depth of content knowledge, instructional pedagogy, and data use;
how to manage resources; how to develop human capital; how to create
structures to support effective practices. Even more significantly as a new
principal, you will need to understand how to accomplish all of these things
in varying school contexts by adapting your leadership strategies to define
and enact your role in situ. Therefore, it does not take long for anyone
considering becoming a principal to realize that leading schools in today’s
educational environment is a very complex task and one in which the
demands of the principal’s role can be overwhelming.
Because the principal’s role has evolved from a traditional managerial role
to a performance-based distributed leadership role that focuses much more
today on student learning, your ability to apply multiple concepts and skills
to be a successful leader means you must enact the role differently and build
14 J. MANCINELLI AND M. ACKER-HOCEVAR

collective expertise and efficacy within your school (Acker-Hocevar et al.


2012; Hallinger and Heck 2010; Leithwood and Strauss 2008; Portin et al.
2006; Thompson and Vecchio 2009). Contributing to this shift toward
performance-based leadership is educational policies that increase the
accountability of teachers and school leaders to respond dynamically to
student needs. This requires new and vigorous leadership approaches (Cop-
land et al. 2003; Knapp et al. 2010; Lai 2015; Mancinelli 2014; Portin et al.
2006, 2009).
As a leader then, you will be measured by your abilities to address contin-
ually changing contexts that affect your students’ achievement. Many educa-
tional leaders draw upon their teaching experiences for decision-making as a
principal. This may be appropriate if you are leading a school with similar
contexts; however, it is erroneous to think that you know all the various
teaching and learning contexts you will encounter as a leader. For instance, as
a teacher you may have worked in an affluent school where your challenges
were significantly different from the myriad of problems and demands in a
neighboring school of poverty. Drawing upon your experience is essential in
order to relate to teachers and anticipate problems affecting implementation;
however, a shift of a school context requires adaptability. Adapting to a new
context will require you to interpret and reinterpret your role as you take cues
from others as to what is needed to enact your role in this new situation—
again that reciprocal relationship to be both understood and understand what
the issues are will enable you to focus.
Your current experiential knowledge may not be enough to lead schools
in today’s dynamic environment. For this reason, it is incumbent upon you
to prepare, as a musician would, for any type of performance that might
come your way. Your preparation, critical to your success, requires thought-
ful attention to your leadership platform, understanding of leadership the-
oretical frameworks, knowledge of legacy, and the ability to adapt to various
contexts. But, all of these must also be paired with your willingness to
learn—it is an ongoing process of reflection and personal insights.

PREPARING FOR THE PERFORMANCE JOURNEY AS AN ASPIRING


MUSICIAN
We relate to the journey that you are about to embark upon as similar to the
journey one of the authors, we’ll refer to as “Paul,” took during his
undergraduate years as an aspiring musician and music educator. As a
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 15

musician, Paul had to prepare himself with skills and knowledge that
allowed him to walk onto any stage and perform inspiring and stylistically
appropriate music in his role as a lead trumpeter. This meant he had to
develop technical skills and knowledge through consistent and regular
practice until his playing became a subconscious response to his context.
Additionally, Paul had to learn to use these skills within various theoretical
frameworks or, to use a musical term, genres.
As a principal, you will be faced with similar challenges. You will need to
develop your understanding of theory and technical skills to the point that
you can apply them naturally while performing daily functions. This does
not mean that you are unaware of what you are doing nor does this refute
reflection on your actions at a later time. It means that you will need to
achieve a level of automaticity or fluency with various skillsets in order to
focus on the big picture of the performance.
To the point, as a musician, Paul needed to understand his role and how
to adjust it within various performing groups in order to achieve an inspiring
performance. Role anticipation allowed him to better prepare, make deci-
sions, and take actions within the context of any venue. Specifically, it was
important to know if and when it was his turn to lead or follow. Paul’s role
became malleable and flexible enough to achieve an excellent performance
while working with others. Again, this required him to continuously learn
and reflect on his choices. This is also true as you think about more
contemporary approaches and corresponding theories to educational lead-
ership discussed in this chapter.
As a soloist, Paul learned to be out front directly engaging his audience
and leading the rest of the musicians with poise and confidence. Paul had to
learn to interpret the reaction from the audience in order to select appro-
priate music and adjust his performance to engage them fully. Understand-
ing stylistic interpretation was essential because all other musicians would
take cues from him based upon their collective understanding of the char-
acteristics of that style. This affected the performance expressively by placing
intricate inflections on certain notes or phrasing of the melody. Paul’s
personal interpretation formed and informed his role and the role of others
in the performance group.
Paul also learned to play background parts that required him to be
extremely sensitive to the lead performer and careful so as not to over-
shadow but to follow someone else’s interpretation of the music. In short,
as a musician, it was essential to maintain a command of technical skills and
theoretical perspectives in order to understand and adjust his role within
16 J. MANCINELLI AND M. ACKER-HOCEVAR

each performance context to be successful. A principal must also know when


it is appropriate to take the lead, follow a lead, and when to solicit leadership
from others.
Finally, Paul had to learn how to identify appropriate feedback from the
audience and fellow musicians and adjust his performance when needed to
ensure that the audience connected meaningfully with the music. Using this
analogy of a musician illustrates the complexity of educational leadership in
today’s schools (Crow 2010). The elements of becoming a strong musician
parallel with the skills needed to be developed by principals to adapt their
roles to the continuously changing landscape and contexts required by
leaders in today’s schools.
Of course a principal needs a strong command of technical skills so as to
not be distracted from thinking forward—meaning a fluent contextually
appropriate response to what is occurring in the context that will contribute
to a good performance. Just as a musician caught up in reading and playing
notes cannot focus on the larger context of performance, a principal con-
sumed in the mechanics of daily operations cannot address the larger
context of what is occurring in the school. Fluency of skills directly affects
the capacity of the performer’s abilities to be effective in addressing more
complex and nuanced issues and to focus on what is required.
Fluency relies partially on the fact that higher-order thinking and rea-
soning can only occur after rudimentary skills can be performed with a level
of automaticity allowing for the strategic application of knowledge and skills
to solve routine problems. Grashow et al. (2009) describe the fluency
phenomenon as the ability to “sit in the balcony” where the leader is able
to keep perspective about the larger context in order to make sound
judgments and not go off on tangents. Although the development of
these skills and knowledge are important and must be part of ongoing
learning for principals, these areas are not the focus of this chapter. In this
chapter, we ask you to move beyond technical skills toward the more
sophisticated application skills of leadership. This is where you think about
your role in terms of what it means to enact that role within a particular
context; how you identify with your role and define it. Of course, technical
skills form the foundation for your leadership development and should not
be forgotten. Remember, however, that just as a musician practices his/her
scales on a daily basis in order to achieve automaticity and stamina, you too
may need regular practice with basic skills in terms of increasing your
technical knowledge. That is where the toolbox comes in for you to use.
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 17

UNDERSTANDING THE COMPOSER’S INTENT: THE ANALOGY


CONTINUES
Performance leadership requires a person to develop a toolbox from which
to draw upon during the “heat of the battle.” Understanding various
leadership theories provides frameworks for operation by principals
to apply into practice. Just as a musician will study the music theory to
determine the composer’s intent, principals can use leadership theory to
anticipate next steps in problem-solving. For example, a practical response
to the question “Why do I need to learn theory” is “theory gives you a
framework from which to interpret intent and address issues that you
encounter in practice.” This saves you time and effort (fluency), the two
most valuable commodities in educational leadership (Mancinelli 2014,
p. 96). To further illustrate, music theory allows the musician to anticipate
what will happen when performing because of structure, form, and specific
characteristics of the composer. The ability to use theory allows the musi-
cian to strategically act on making the performance meaningful to the
audience. This incorporates both role-taking and role-making. Role-taking
would explain why understanding theory and the historical context of the
piece is important to having a rudimentary knowledge, while role-making
would allow the musician to interpret the context of the written piece and
apply a personalized and learned interpretation to the present performance.
Role-taking demonstrates the theory but role-making translates intentional
aspects of a theory into meaningful practice. Music is built upon common
principles that create predictability for the performer which allows for
improvisation and embellishment. As a result, the musician has a framework
from which to build on any genre of music giving him/her flexibility in
addressing the dynamic opportunities within the performance. Leaders too
have frameworks to draw upon that provide flexibility in conceptualizing
and addressing problems within an organization.
As an example, all songs possess form, chord structure, melody, har-
mony, and rhythmic patterns. Another layer of frameworks, called genre,
allows the musician to use these rudimentary blocks within the appropriate
style. The musician, in turn, is able to quickly and efficiently break down any
piece of music, process it, and act upon these inputs to shape the perfor-
mance. To an untrained musician, the execution looks effortless but, in
reality, it is a result of disciplined preparation contributing to an artful
performance. This translates into the need for principals to understand the-
oretical frameworks that allow for the efficient understanding of problems,
18 J. MANCINELLI AND M. ACKER-HOCEVAR

potential solutions, and their strategic implementation based upon their


school’s needs—again the artful performance of leadership.
Having the ability to keep contextual perspectives in mind (“sitting in the
balcony”) while performing rudimentary tasks will be an essential part of
your role-making as you effectively interpret the larger context to make
strategic decisions to address local problems (Grashow et al. 2009). Lead-
ership theories, therefore, provide you with ways to interpret your context
from varying perspectives in order to clearly understand problems. Having
clarity about problems will prevent you from spending large amounts of
resources on addressing secondary symptoms that detract from focusing on
the core problems. In order to consider multiple solutions to a problem, you
must use various lenses to view the problem so you can arrive at a solution
that matches your leadership platform with a productive solution that is
aligned with your values and beliefs (Bryk et al. 2011; Copland 2003; Portin
2004).
To reiterate, principals, like musicians, have leadership theories
(or frameworks) at their disposal to apply in varied and purposeful ways as
appropriate to the audience, venue, and genre. It is important to understand
why multiple theoretical approaches are critical. Applying a single theoret-
ical approach to all leadership situations is similar to a musician walking onto
stage for a rock concert and playing a Bavarian folk song because it was the
only thing s/he knew. This would be absurd to most audiences and likely
result in the audience leaving or booing him/her off the stage! Albeit a
humorous example, this directly relates to the need for a principal to have
multiple leadership frameworks from which to draw upon in order to meet
the needs of the school and demonstrate competency.
And so you can see that we argue that a principal must transcend a single
set of leadership framework that impacts his/her leadership platform in
order to effectively adapt to the dynamic needs of a school. In essence, the
static concept of the principal conforming to traditional role-taking activi-
ties is too narrow because of the constant and ongoing changes of school
contexts. In this educational environment, role-making is ongoing and
depends on the principals’ abilities to align their leadership to their constit-
uents’ readiness for following and a host of other internal and external
variables. As an educational leader, you need to understand various leader-
ship frameworks (or theories) to best engage your constituents and view
problems and solutions from a number of perspectives.
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 19

KNOWING YOUR GENRES CAN INFLUENCE ROLE-TAKING


AND ROLE-MAKING

Theoretical frameworks are as important to a leader as knowing genres such


as jazz, classical, rock, and country are to a musician in his/her performance
repertoire. Understanding genres allows a musician to develop performance
strategies appropriate to the present performance. We now show how
McGregor (1957) identified different theories about leadership that influ-
ence role enactment—theories that can enhance your repertoire. While
traditional role-taking would require new principals to adopt a single frame-
work (perhaps from their mentor), role-making broadens the idea of lead-
ership to a dynamic framework based upon the context (Emison 2004;
Heifetz and Laurie 1997; Honig and Ikemoto 2008; Portin et al. 2006).
This is not to suggest that leadership is applied in a haphazard fashion.
Rather, as a musician incorporates a nuanced stylistic interpretation to
enhance the impact of the music on the audience, a leader too must skillfully
select the approach that best reflects thoughtful choices and a contextual
awareness of what is needed.
Let’s consider the fact that leadership frameworks are generally based
upon two psychological principles of human motivation: (a) extrinsic and
(b) intrinsic motivation. Various leadership styles strive to describe the
relational aspects between the leader and the follower as it pertains to
these two concepts. McGregor (1957) defines extrinsically motivational
leadership as Theory X and intrinsically motivational leadership as Theory
Y. He simply states, “Theory X places exclusive reliance upon external
control of human behavior, whereas Theory Y relies heavily on self-control
and self-direction” (McGregor 1957). McGregor (1957) delineates some
differences between these two motivational concepts and generally shows
that Theory X leaders work under assumptions critical of workers that
require the leader to closely monitor their work, while Theory Y leaders
work under assumptions of optimism about workers that require the leader
to develop people as assets. Historically, it’s important to understand that
these theories were influenced by American industry and specifically steeped
in Henry Ford’s assembly line innovation for manufacturing. Several lead-
ership styles emerged from McGregor’s Theory XY dichotomy. It will be
important that you understand how these various leadership frameworks
shape your personal leadership enactment.
Within Theory X, you will find a range of leader-centric styles. The
bureaucratic leader is typically seen in government, universities, and other
20 J. MANCINELLI AND M. ACKER-HOCEVAR

large organizations. There is little room for a leader to be innovative and


decision-making requires disciplined, methodical, and hierarchical problem-
solving. The autocratic leader (Lewin et al. 1939) possesses total authority
to make independent decisions with no input from subordinates or supe-
riors. Fiedler (1967) identified task-oriented leadership as goal-oriented
micro-management of workers similar to the autocratic leader. The trans-
actional leader (Burns 1978) uses rewards and punishments in return for
worker compliance and performance. Theory X concepts of leadership
are based upon a clear chain of command with the dissemination of
decisions from the top-down. These concepts require the leader to be
intensely engaged in monitoring, rewarding, and providing consequences
to employees.
Within Theory Y, you will find a range of humanistic-centric styles. The
charismatic leader or transformational leader (Bass 1985) seeks to motivate
workers through positive attitude and employee supports, vision-setting,
employee development, relationship-building, and appealing to the greater
organizational cause (Yukl 2013). The democratic leader (Lewin et al. 1939)
encourages participation by the workers through representative input to
decision-making. Shared leadership not only distributes decision-making
overarching goals but also distributes daily operations and management
across all members of the organization regardless of authority or position.
Laissez-faire leadership (Lewin et al. 1939) operates under the assumptions
that the workers are highly skilled, intelligent, and trained and can self-
manage. Some argue that laissez-faire leadership is the absence of leadership
because of the absence of intervention the “leader” enacts on the “followers.”
Fiedler (1967) identified people-oriented leadership as focused on effective-
ness and efficiency through supports, professional development, and fostering
the genuine interest of others to do a good job. Theory Y places a high level of
trust in workers by leadership to make decisions and take actions that benefit
the organization. This theory places the responsibility on the leader to
facilitate good worker decisions and actions through professional develop-
ment, removal of barriers, and the distribution of leadership functions.
There are costs and benefits to both the leader and the follower for any
theoretical approach. Leaders charged with responsibilities to create change
within a bureaucratic system can experience high frustration. Equally,
teachers trying to be innovative within a bureaucratic leadership style that
rewards compliance rather than experimentation will also be highly frus-
trated. Conversely, teachers and leaders that view themselves as being highly
effective and efficient may like the bureaucratic environment because it
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 21

maintains the status quo. Proponents of Theory X argue that it is efficient


and gets a better quality product while critics argue that it leaves no room
for adaptation and limits responsiveness to new environmental demands.
Proponents of Theory Y argue that the development of employees creates
organizational capacity to adapt to competitive markets while critics argue
that it does not provide timely decision-making or ensure uniform results.
These opposing points of view illuminate how theoretical leadership frame-
works are often presented from an idealistic perspective and how your
identification with a particular framework clearly delimits what may be
called for in a particular context. It’s important, therefore, to remember
that leadership-in-practice isn’t an either/or proposition but should be
intentional and require discernment to make thoughtful decisions (Copland
2003; Grashow et al. 2009; Portin 2004; Sergiovanni 1991).
To review, McGregor’s theory provides a binary portrayal of leadership.
In reality, both perspectives have to be integrated into leadership depending
upon the context and the readiness of followers. As an historical example,
musicians followed a guild code of conduct where strict adherence to
mentorship ensues until the musician reaches a certain level of maturity.
This maturity is assumed when the mentee demonstrates competence and
mastery of the mentor’s curricula. Today, an emergent principal leader may
have a mentor shepherding him/her to adhere to a particular role-taking
model (Theory X), one which requires strict compliance. Compared to role-
making (Theory Y), the mentee or new principal will begin to demonstrate
role-taking when they can improvise new behaviors similar to Theory Y, or
when they learn to trust their decisions to enact their role. The days of
simply assimilating leadership responsibilities and actions from mentor
leaders (role-taking) are gone. Role-taking does not serve the genuine
demands placed upon today’s principals to respond to emerging needs
(role-making). In other words, principals must consider new leadership
frameworks that allow for flexibility, adaptation, and execution of actions.
Some examples of role-making leadership frameworks are emerging.

BECOMING A MUSICIAN: A ROLE-MAKER INSTEAD


OF A ROLE-TAKER

Understanding the historical shifts in the principals’ role, you can see that
expectations have continually increased with a demanding list of tasks. The
increasing demands require that a principal’s skills are continuously honed
22 J. MANCINELLI AND M. ACKER-HOCEVAR

in order to handle operational decision-making with automaticity or fluency


as to not be paralyzed from leadership decisions. Just as a musician who has
learned to trust his/her interpretation of music, the principal must contin-
uously revisit his/her foundational learning or question some of his/her
assumptions. Becoming a role-maker is the result of an internal balance
between the role of the principal to be a manager (Theory X) and a leader of
influence (Theory Y) simultaneously. It is the result of acknowledging the
history of and building upon previous generations of managerial expecta-
tions. It is an understanding that many of these principals who foster the
legacy role of the principal are in central office now and draw upon their
experiences and many role-taking expectations regardless of the current
demands on the principal (Honig 2006). Therefore, it will be important
for new principals to understand history in order to communicate with elder
leadership, but also to redefine their role for new demands to be successful.
Similarly, musicians claim legitimacy with other musicians by knowing
about their genres before establishing new genres.
The literature identifies three general phases of educational reform
resulting in the changes to the principal’s role. The first phase occurred
prior to the 1980s when the principal was seen as a manager of resources,
time, and organizational structures similar to the business manager of the
time. The second phase occurred roughly during the 1980s–1990s and
shifted the principal’s role from management to a focus on teaching and
learning inputs such as curricula alignment and program development. The
third, and current role, continues to shift the work of the principal from
teaching and learning inputs to a learning-focused leadership role where
student performance drives learning priorities for teachers. As the principal’s
role transformed over time, each generation added a new layer of expecta-
tions to the role while very little was abandoned.

Phase 1: The Manager Prior to the 1980s, the principal’s role emulated
industry’s vision of a business manager who focused on the optimization of
time, resources, and finances (Cawelti 1984; Dwyer 1984). This model of
the principal was based upon scientific management principles outlined in
McGregor’s (1957) Theory X. Specifically, the principal focused more on
protecting instructional time, promoting and delivering professional devel-
opment, maintaining high visibility, providing incentives and consequences
for teachers and students, and enforcing academic standards. Principal
activities prioritized managerial responsibilities of ensuring the school
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 23

building was running smoothly over the supervision of teacher practices


(Cuban 1988; Hallinger and Murphy 1985; Reilly 1984).
In 1983, the Department of Education report “A Nation at Risk”
provided a new direction charging the American education system with
the responsibility of getting all students to higher performance levels
because of economic competitiveness. The shift toward all students
performing to standard was a significant change requiring a new approach
for teaching and learning. Elmore and McLaughlin (1988) emphasized the
need for principals to focus their reform efforts on how teachers learn to
teach, how school organization affects practice, and how these factors
collectively affect student performance. The principals’ role shifted from
authoritarian tasks to winning the hearts and minds of teachers to improve
performance expectations regardless of student demographics or socio-
economic status. “A Nation At Risk” specifically recommended to school
boards that they retrain principals from their role as managers to adopt a role
with more instructional influence tactics that required “leadership skills
involving persuasion, setting goals and developing community consensus”
(1983, p. 27). The shift in the principals’ role toward human relations soft
skills required an extensive amount of time. The time required to learn and
apply these skills impacted principals’ abilities to continue with the previous
management expectations. As with many transitions, the principal’s role had
to be reshaped to meet the new demands. In the music world, we have seen
certain new genres emerge and change the way we think about contempo-
rary music. Rock and roll was based upon rhythm and blues, later to be
changed by the various movements of the Beatles, heavy metal, punk, and
rap. Similarly, educational management leadership transformed into
instructional leadership.

Phase 2: The Instructional Leader During this second phase, the Elemen-
tary and Secondary Education Act of 1965 (ESEA) was replaced by the
“Improving America’s Schools Act of 1994” (IASA). The nation’s educa-
tional policy shifted from learning inputs to learning outputs through public
accountability on educators. This new policy required comparative school
reporting on student performance across schools and districts. Student
performance shifted to a high-stakes proposition for schools and principals.
The principal now required a new set of skills to engage the community,
mobilize staff and teachers into action, and understand how to accomplish
systemic school improvement (Dwyer 1985; Heck 1992; Louis and Kruse
24 J. MANCINELLI AND M. ACKER-HOCEVAR

1995). Changing the hearts and minds of educators from talking about
serving all students to actually and effectively changing educators’ behaviors
and practices became essential to making school improvement gains for all
student subgroups (Hallinger et al. 1996).
The principal in this historical phase focused on breaking down barriers
of preconceived notions about students who were learning and those who
were not. This required the principal to spend time directly observing
classroom practices, promoting discussion about instructional issues, and
emphasizing the use of test results for program and school development.
This approach to classroom reform through influence signaled a change to
the principal’s role that further necessitated focusing on supportive struc-
tures that allocated needed classroom resources and fostered increased
learning outcomes for students (Danielson 1996; Scribner 1998). This
also altered the nature of the relationship between the principal and the
teacher and the principal and the community. By educating staff and
implementing practices that closed the learning gap for all students, princi-
pals were able to create a climate that influenced classroom practice (Heck
1992).
Thus, part of the impetus for educational reform during this time was
the change in federal policy. The Goals 2000: Educate America Act of
1994 broadened educational reform to not only improve “at risk” student
performance but to include all students. The purpose of this policy change
helped ensure American economic competitiveness once again (Heise
1994; Jorgensen and Hoffmann 2003). The “Educate America Act of
1994” raised student learning standards and required teachers to be
more knowledgeable and to develop better skills within their disciplines.
This meant that principals’ responsibilities included teacher professional
development in workshops, clinics, and staff meetings. Teacher evaluation
centered on summative qualities of teachers in their content areas
(Darling-Hammond 2000).
Raising teacher quality became the focus of principal’s work during this
time period. Borman and Kimball (2005) found that principals had signif-
icant influence on teacher quality through the evaluation process and dem-
onstrated that teacher evaluation scores could be strong leading indicators
of improved student learning. Instructional leadership demonstrated a sig-
nificant yet indirect effect on improved student learning and was viewed as a
new and valuable skillset for principals (Hallinger and Heck 1998). This laid
the groundwork for the next phase of educational reform that focuses on
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 25

systemic learning-focused leadership to build school-wide capacity for mak-


ing school-wide improvements. In music, one of the hallmarks of music that
has stood the test of time and is considered “classical” is the music’s appeal
to audiences today. But standing the test of time does not ensure that the
music fits what an audience wants to listen to while paying for a perfor-
mance. Conditions that influence what an audience wants are always
shifting. Leaders too must pay attention to what is altering the present
context.

Phase 3: The Learning-Focused Leader Since the early 2000s, educators


continue to experience increased accountability through evaluation criteria
and public scrutiny. The intent of educational policies during this era was to
create more responsive teachers and principals to student learning needs.
The traditional managerial model of top-down leadership became increas-
ingly unsustainable for principals. Specifically, the volume of decisions based
upon deep and broad knowledge increased greatly making sound decisions
in a timely fashion very difficult. Because of the “bottle-neck” effect, the
principal’s decision-making responsibilities became redistributed across
schools and districts. Decision-making was no longer tied to people per se
but to processes and structures, for example, putting systems in place, which
promoted ongoing learning and continuous improvement. This shift
toward distributed leadership required both managerial and instructional
leadership skills by principals. For example, some schools developed pro-
grams and interventions that addressed student remediation with greater
timeliness (Bolam et al. 2005). Other schools focused on developing class-
room instructional strategies and curricula to address academically
unprepared students (Abbott and Fouts 2003). With the shift toward
distributed leadership, new levels of complexities arose for principals to
grapple with and learn (Elmore 2000).
Portin (2004) identified seven common functions of principals that
captured these complexities: instructional leadership, cultural leadership,
managerial leadership, human resources leadership, strategic leadership,
external development leadership, and micro-political leadership. All of
these competencies suggest an understanding of the theories that undergird
the approaches. His research demonstrates the accumulation of responsi-
bilities for the principal’s role over the past three decades. Portin (2004)
describes the quandary of compounding expectations rooted in both edu-
cational management and instructional leadership converging on the prin-
cipals’ role that demands leveraging processes, structures, policies, and
26 J. MANCINELLI AND M. ACKER-HOCEVAR

people in different ways to improve student learning. Whether you call this
new approach to leadership distributed leadership, collective leadership,
shared leadership, collaborative leadership, or learning-focused leadership,
the principal’s role shifted to find a balance between the competing
demands of managerial and instructional leadership. Yukl (2013) describes
distributed leadership as “the process by which focal leaders encourage and
enable others to share responsibility for leadership functions” (p. 294).
Sharing decision-making responsibility challenges traditional school hierar-
chies and calls for shared accountability for learning outcomes in school
improvement.
The evolution of the principal’s role over the past 30 years is significant.
Within two generations of principals, the role has gone from an authoritar-
ian leadership framework to a distributed leadership model. Such a short
transition means that there are many different experiences equating to many
different legacies that do not apply to current roles of principals. And there
are leaders in place from these various legacies.
It is important for the aspiring principal to understand how legacy affects
his/her role in order to make sense of and effectively communicate with
his/her senior administrators about how to develop his/her new role. After
all, many of the senior administrators “grew up” personally experiencing the
aforementioned educational shifts and hold opinions about the role of the
principal based upon these experiences. Because they now hold central
office positions and have not personally experienced continued educational
changes while in the role of principal, they may not understand how the role
must change. For this reason, as an aspiring principal, you must be sensitive
to this fact and understand how to use history for your benefit.
Referring back to the musician analogy, historical context and tradition
were essential to the development of modern music. The same musical
tenants established by Johann Joseph Fux and Johann Sebastian Bach are
used today by musicians performing their music. But to reach today’s
audiences and perform with their contemporaries, they cannot simply rep-
licate Fux and Bach yet continue to use their principles and theories.
Understanding the lessons from previous generations of principals will assist
you in the continuous development of your role. But each generation has
added a new layer of expectation to the principals’ role requiring new
learning and skillsets. By relating experiences of senior administrators to
your current context, you have a tool from which to forge your new and
unique role.
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 27

Becoming a principal, like becoming a musician, is an ongoing journey


that is continually adapting to the times. As described previously, learning
from history and building upon its lessons to help shape your leadership is
essential. Time-tested principles are available for your taking, while oppor-
tunities to create new leadership roles are an exciting proposition. It is the
very reason music continues to be vibrant throughout time being both
shaped by and shaping our culture.

COMING INTO YOUR OWN AS A MUSICIAN: A LEADER


You bring a number of personal factors into what informs your leadership
platform through your understanding of role-taking and your interpretation
of role-making. Your leadership platform is a vision of how you desire to
lead based upon your perceptions, experiences, and knowledge. Just as a
musician has been exposed to various genres, composers, and performers,
they will select characteristics that they want to make their own style. Bill
Hailey and the Comets, Elvis Presley, and John Lennon all performed
within the rock and roll genre yet performed with very different styles.
Your personality traits, professional experience, formal education, and
induction to the principalship are all factors that shape how you will develop
your leadership role or style (Goldring et al. 2008).

Professional Experience As a principal, you will rely upon knowledge and


skills that you glean from personal experience. For instance, many principals
come from the teaching ranks and draw from their experiences of interac-
tion with past principals in order to measure “good” from “bad” leadership
(Crow 2010). Many principals will also draw from their teaching experience
in order to provide support for their current teachers. Drawing upon
personal teaching experiences to talk about pedagogy, content knowledge,
and policies or initiatives creates a sense of confidence of your leadership by
teachers (Coburn 2005; Stien and Nelson 2003). The insight possessed by a
principal because of personal experience assists in defining their new role as a
“supporter of teachers” and “supervisors of teachers.”
As supporters of teachers, principals gain authority through demonstra-
tion of their technical expertise in teaching and learning (Sergiovanni 1992).
Principals who have a deep understanding of subject matter are better able to
identify missed opportunities for students to learn and therefore point out
ways teachers can modify lessons. Having experience teaching in a classroom
also provides the principal a deep understanding of how youth learn. This
28 J. MANCINELLI AND M. ACKER-HOCEVAR

assists the principal to develop resources for teachers to better meet student
needs. Additionally, principals who have teaching experience understand the
emotional and complex learning needs of teachers. Understanding that
teacher-learning is significantly improved by reflective practices assists the
principal in designing questions and providing opportunities for teachers to
observe and discuss instructional practices both individually and within
groups. Interactions with teachers are valuable for the principal to determine
potential professional development and other resources for teachers. The
insights a principal has from their teaching experiences directly shape the
principal’s role as “teacher supporter” and “teacher evaluator.”
Your professional experience, as a teacher, will also inform your role as a
supervisor and evaluator. As supervisors, principals hold a significant respon-
sibility for the success of teachers and staff meeting student needs (Borman
and Kimball 2005). Specifically, your leadership will be judged by the
manner in which you approach hiring, induction, formative conversations,
professional development, and accountability with teachers. Knapp et al.
(2003) connect teacher evaluation to learning-focused leadership as a vehi-
cle that promotes vision-setting, the development of teachers, and the
creation of structures and processes that support a collaborative culture.
In this context, teacher evaluation is both motivational and developmental.
A principal engaging in regular classroom visits and guided conversations
about student learning develops the motivation for guiding teaching foci.
Conversations centered on improved student learning, in turn, help to
improve cohesive instructional practices and foster increased teacher collab-
oration. These conversations in conjunction with interpreting student per-
formance data and celebrating successes support teacher motivation and
learning. Overall, an effective evaluation system and process potentially offer
intellectual stimulation, individualized support, and modeling for teachers
to learn and grow (Darling-Hammond et al. 1983; Wei et al. 2009). To
illustrate in music, the accomplished musician seeks to have many different
experiences and plays with other accomplished musicians. They open them-
selves to critique to learn and stretch.

Formal Education A principal’s formal education helps to unify leadership


concepts and provide frameworks for applying skills and knowledge into
practice. Through a deep understanding of leadership theory, principals are
equipped to select appropriate leadership strategies to address organiza-
tional, political, human resources, and symbolic solutions to problems
(Bolman and Deal 2008). Also, principals are able to learn from empirically
UNDERSTANDING ROLE-MAKING IN LEADERSHIP PERFORMANCE 29

based research and ferret out which research is meritorious and appropriate
for increasing quality decision-making as well as applicable to improving
learning opportunities. A rich base of knowledge about various theories
provides principals with high-value leverage strategies to address chal-
lenges they will face. Peer relationships made through formal education
provide a network with others and assist principals in problem-solving.
Over all, formal education provides a platform from which to make sense
of the complexities of the job through theories, formal mentoring, and
networking (Grissom and Harrington 2010) and to decide how to exer-
cise personal role-making to capitalize on personal and organizational
strengths. Again, expert musicians seek to expand their professional net-
works and connect with other musicians who have been educated in
similar genres.

Induction A significant factor in principal role development is the induc-


tion process. An induction process is the manner in which a candidate learns
the roles and responsibilities of the principalship. Crow (2010) categorizes
these perspectives into four types of socialization: (a) anticipatory socializa-
tion, (b) professional socialization, (c) organizational socialization, and
(d) personal socialization.
Anticipatory socialization occurs before entering the role of principal.
During the anticipatory socialization, perceptions are built as being an
outsider looking in. Perhaps as a student, parent, or teacher, the aspiring
principal bases his/her opinions of the principals’ role through observation
and interaction with practicing principals. There is little access to the
principals’ thought processes or understanding of the contextual dynamics
surrounding these observations. The observing candidate is left to draw
conclusions on his or her own.
Professional socialization occurs in the university and internships. During
this time, the university, school district, and schools collaborate to define
how aspiring principals build specific knowledge, skills, and dispositions
within context. Aspiring principals begin to see the internal workings of
the principalship and begin to access rationale behind decisions. Prior to or
simultaneously, these same candidates take certification courses containing
a myriad of theoretical knowledge and skill development.
Organizational socialization occurs on the job, within a specific school
context and traditionally in a subordinate administrative role. During this
time, traditionally assistant principals play a backup role and are bombarded
30 J. MANCINELLI AND M. ACKER-HOCEVAR

with responsibilities delegated by the veteran lead principal. This is often the
place and time where rudimentary technical skills are developed. Such technical
skills include data collection, assessment interpretation, scheduling, resource
management, budgeting, and contractual processes. In some instances, this
could be true for lead principals as well. This is the place where expectations of
the principals’ role are handed down from the senior generation (senior
principal or central administration) to the junior principal with expectations
for strict adherence. Hart (1993) refers to this as “role-taking.”
Crow (2010) describes personal socialization as the point a principal
gains a global view of his/her role and how it relates to society. Personal
socialization involves the change of self-identity as new roles are learned
with an understanding of the social impact one has on the school commu-
nity. During this phase of development, principals emerge as “role-makers,”
meaning they continually refine and adapt their role as they are faced with
new challenges.
To summarize, your personal context is an important part of your
leadership platform and impacts role-taking and role-making. As the musi-
cian brings various personal preferences and experiences to their music, you
bring your own set of professional experiences to the principal-teacher
relationship to provide perspectives on such things as how to motivate
teachers. Your content knowledge reinforces your technical authority with
teachers and fellow administrators. Your formal education creates a strong
foundation from which to draw upon as a principal. Your understanding of
the induction process shapes your perspective as you mature and allows you
to discern what your role can become.
Understanding your personal context will be an ongoing process and is
only one-half of the contextual picture. Like a musician, you must have a
strong understanding of the personal context in order to develop your own
style of leadership that is effective. This is because, as a leader, you will need
to effectively use your personal context in order to respond to the school’s
context or in the case of the musician, the audience.

ORCHESTRATING A SUCCESSFUL PERFORMANCE: WHAT DOES


THE AUDIENCE SAY IN THE END?

Now that we have explored the basics of leadership frameworks, the impact
of principal legacy, and elements of personal context, we can better under-
stand the concept of role-making. Most significantly, role-making is a
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