Sustainable School Improvement: Suburban Elementary Principals

Spring,

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ship

and Instruction

Sustainable School Improvement:

Suburban Elementary Principals'

Capacity Building

By Alison J. Clark, Ph.D.

Introduction

Current federal and state reform agendas, with their

focus on funding, accountability systems, and mandates,

are not sufficient to produce sustainable, meaningful

change. Reforms however must focus on sustainability so

that the overall system can continuously self-improve. Any

reform work meant to sustain itself must be embedded di-

rectly into the school, changing teaching and learning prac-

tices as well as school culture (Copland, 2003; Levin &

Fullan, 2008). Policies must go beyond competition and

intense performance requirements.

Leithwood, Day, Sammons, Harris, and Hopkins

(2006) concluded that leaders have the responsibility

for revealing the abilities of teachers that potentially exist

within the school setting. While there is no single model

of successful school leadership, there is a common

repertoire of actions and values used by effective lead-

ers. Wahlstrom, Louis, Leithwood, and Anderson (2010)

classified effective leadership practices into four broad

categories:

• Setting directions - focuses on developing vision,

goals, communication of the direction;

• Developing people - relates to increasing the knowl-

edge and skills of faculty;

• Redesigning the organization - focuses on estab-

lishing positive relationships and supporting col-

laboration;

• Managing the instructional program - relates to

teaching and learning, such as staffing, provid-

ing instructional support, and aligning resources.

Principals draw upon these basic leadership val-

ues and practices as they attend to school improvement

and student achievement (Wahlstrom et al., 2010).

One way to support change is through capacity

building. Critical to the change process, capacity building

brings a group of people together to work toward a com-

mon goal, therefore strengthening their efficacy (Fullan,

2007). The effective leader directs and nurtures the ability

of others through building capacity to support long-term

school improvements. This type of reform begins at the

building level, strengthening individual abilities while in-

creasing the collective efficacy of the entire school. Rais-

ing capacity is a key task of principal change leadership

efforts. Capacity building is a process to increase the

individual and collective abilities of professional staff to

continuously improve student learning.

Theoretical Framework

For nearly 30 years, res earchers studied

schools and leadership, developing models to deter-

mine the linkage between leaders and school improve-

ment. Most models frame leadership as a one-way flow

of influence and change whereby leaders influence

school improvement indirectly through other variables

between them. Another perspective of leadership is

through the reciprocal effects model. Heck and Hallinger

(2010) found that the reciprocal effects model, when com-

pared to unidirectional models, demonstrated the most

statistically significant findings. This perspective con-

siders the interactive nature of people in schools em-

phasizing a mutually reinforcing relationship rather than

a one-way flow of influence. It conceptualizes principals

as changing in response to what is happening within

the school. It is a dynamic, adaptive process that offers

a contrasting, more comprehensive way to view leader-

ship. Few studies have investigated leadership through

a reciprocal effects model.

Figure 1 illustrates the reciprocal effects model as

principals build capacity through the four leadership prac-

tices as described by Wahlstrom et al. (2010). The figure

represents the indirect effects that leadership has on stu-

dent and school growth. As a principal focuses on setting

directions, developing people, redesigning the organization,

and managing the instructional program, a change in think-

ing and behavior among teachers occurs. Subsequently,

as capacity among teachers increases, the change cycles

back to the principal resulting in new responses, interac-

tions, and influence demonstrating a dynamic, mutual pro-

cess of change.

Spring,

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Journal for Lea

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and Instruction

Research Purpose and Questions

The increase of intense

pressures to ensure long-term

education reforms have created a

challenge for school leaders as

they direct and nurture the abilities

of others. Researchers present the

challenge of initiating school im-

provement efforts that support sus-

tainable change (Century, 1999;

Levin & Fullan, 2008; Heck &

Hallinger, 2010). With the role of

change leadership as a necessary

component for school improve-

ment endeavors, it is more impor-

tant than ever to understand how

principals build capacity.

The purpose of this research was to understand

and describe suburban elementary principals' practices

and perceptions as change leaders related to capacity

building through the leadership categories of setting di-

rections, developing people, redesigning the organiza-

tion, and managing the instructional program and sub-

sequently how the principals reacted to the changing en-

vironment within the reciprocal effects model. The fol-

lowing research questions guided the study:

RQ1: How do elementary school principals who have led

sustainable school improvement initiatives build capacity in

their schools?

RQ2: What experiences have shaped these elementary

school principals' leadership related to building capacity?

RQ3: How do these elementary school principals' capacity

building practices align with the reciprocal effects model?

Methodology

The concept of building capacity is based on social

interactions and processes. Using a descriptive case study

approach provided a way to look in depth at the complex

phenomenon of principals' capacity building processes by

capturing details in context. This study took place within

suburban elementary schools in New York State. Principals

of schools having received New York State Reward School

designation in the 2013-2014 school year were identified

and needed to be tenured at their schools from 2010-2011

until the Reward School designation. Three principals,

along with their superintendents and one teacher from each

school, provided data for the three cases.

Data were collected through interviews and docu-

ments. Each principal was interviewed three times, while

each superintendent and teacher had one interview. Inter-

views were independently reviewed and coded for concepts

related to the research questions. Additionally, each case

was explored for alignment to the reciprocal effects model.

Once each within-case analysis was completed, a cross-

case analysis was used to build general explanations about

how principals build capacity in elementary schools.

Findings

Research Question 1: How do elementary school princi-

pals who have led sustainable school improvement initia-

tives build capacity in their schools?

The findings suggest that building capacity is all

encompassing. In other words, as principals seek to in-

crease the individual and collective abilities of professional

staff to continuously improve student learning, there are many

interconnected actions. While each leadership category was

unique and could be viewed individually, capacity building

happened as the result of varied actions; change in one

area connected to change in another. Each principal: estab-

lished direction with input from teachers; nurtured a learner-

centered community; provided professional development

relative to teacher needs; fostered teacher reflection; and

cultivated collaboration and shared responsibility.

Established direction with input from teachers.

Each principal established a direction for their school based

on district mission and state demands. The vision was com-

municated, discussed, and input was gathered from teach-

ers, thereby establishing buy-in, a sense of commitment,

and even inspiration. In some instances teachers helped to

craft the schools' goals, while in other instances teachers

identified individualized goals for their own growth that typi-

cally connected to the greater school or district objectives. In

either case, everyone was working towards the same goals.

In each case, the principal identified and communicated the

overall direction for the school and kept it at the forefront of

their work with teachers and communication with parents.

Nurtured a learner-centered community. The prin-

cipals established themselves and the teachers as part of a

learning community. They were responsive to what teach-

ers needed and wanted to learn consistent with the overall

Figure 1. Principal leadership practices within a reciprocal effects model

Teachers

Principal

Setting Directions

Developing People

Redesigning the

Organization

Managing the

Instructional Program

Student/School

Growth

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direction of the school. There was a clear value placed on

continuous growth for the principals and teachers; princi-

pals shared their learning with teachers and supported teach-

ers who wanted to learn more. Although the principals rec-

ognized that not all of their teachers sought out continued

professional development, they made it clear that adult learn-

ing was valued.

Provided professional development relative to

teacher needs. The structure and content of professional

development was determined and delivered in various ways.

Professional development was provided by the principal,

other administrators, or outside consultants. Opportunities

for learning also came from within and could be the most

meaningful as teachers shared their knowledge with each

other. Professional development also happened as princi-

pals provided clear and consistent feedback during the su-

pervisory process of observation and evaluation. Not only

was specific feedback provided, but principals ensured that

resources were available for improvement as they held

teachers accountable for follow-through. In schools with a

capacity-building mindset, teachers appreciated the feed-

back and strived to implement recommendations. This pro-

cess could only happen with a principal seen as supportive

and one who encouraged growth.

Fostered teacher reflection. Each principal en-

couraged teachers to continually reflect on curriculum, data,

and instructional strategies, indicating that opportunities

were put in place to ensure conversations about their work

with students. Furthermore, teachers were asked to reflect

on their own learning. Reflection was encouraged through-

out the formal supervisory process and during informal meet-

ings and conversations with the principals. There was a

constant focus on aspects of curriculum, instruction, and

student learning as reflection was nurtured.

Cultivated collaboration and shared responsibil-

ity. Each principal cultivated a spirit of collaboration as struc-

tures were put in place to ensure that teachers were work-

ing together. Although the structures may have looked differ-

ent in each context, teacher leadership was encouraged.

Capacity was developed as teachers, along with their prin-

cipals, planned, learned, and shared aspects of leadership

together. Principals embraced the understanding that suc-

cess depended on the collaborative efforts of the entire team,

including the superintendent, teachers, and parents.

Research Question 2: What experiences have shaped these

elementary school principals' leadership related to building

capacity?

The second question sought information about ex-

periences that shaped the elementary school principals' lead-

ership related to building capacity. Results demonstrate var-

ied practices, skills, and responsibilities used among princi-

pals and cited by Waters, Marzano, and McNulty (2003) as

essentials to promote school improvement. Each principal:

situated self as a learner; maintained focus on goals; estab-

lished trust and honored relationships; reflected on input.

Situated self as a learner. Each principal situated

her or himself as a learner and collaborator in achieving dis-

trict, school, teacher, and student goals. Striving to be a model

for learning, principals sought out information and brought it

back to teachers. Each principal engaged with teachers as

new curriculum and instructional strategies were learned.

Maintained focus on goals. Each principal kept a

regular focus on district, building, and individual teacher

goals. Maintaining consistent and specific communication

happened as each principal remained on a steady course.

Each principal demonstrated this as a critical aspect of sup-

porting change as they kept goals at the forefront of the daily

work through verbal and written communication.

Established trust and honored relationships. Each

principal appeared to have engendered trust and confidence

through consistently clear, honest, and candid communica-

tion that formed not only professional, but personal, relation-

ships. The importance of relationships built around trust were

evident as the principals, superintendents, and teachers

spoke about their experiences. This research demonstrated

how the principals were caring and committed individuals

who placed the development of relationships as a priority.

Reflected on input. Each principal's experience

demonstrated his/her willingness to gather, consider, and

genuinely reflect upon input from teachers. Principals' abil-

ity to reflect was not only a model for teachers, but showed

through in the decision-making process. As each principal

was willing to make difficult decisions, it appeared to be

done in the best interest of the school, teachers, students,

families, and the district. Decisions ensured that teachers'

use of time was purposeful, whether it was in the classroom

with students or during professional time with colleagues.

The principal's actions of gathering feedback and account-

ing for others' opinions furthered the teachers' belief and

trust in the principal.

Research Question 3: How do these elementary school

principals' capacity building practices align with the recipro-

cal effects model?

In the reciprocal effects model, leadership is viewed

as an adaptive and developmental process as thinking and

behavior change and develop based on the environment

(Hallinger & Heck, 1996; Pitner, 1988). As each principal

initiated a change, he or she was reflective and responded

based on how the teachers responded. Each principal built

teacher capacity, recognized change, and responded by:

motivating teachers and self; supporting continued collabo-

ration; recognizing and encouraging teacher leadership; and

adapting to new circumstances.

Motivating teachers and self. Each principal had

the ability to motivate others to achieve the district and

school vision through communication, collaboration, and

dedication in establishing school identity. As the principal

inspired change in teachers, that in turn cycled back to

motivate the principal creating a deeper understanding

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and appreciation for the work taking place. As new de-

mands were placed within the school, the principal re-

sponded and set a course of action with a greater aware-

ness of the direct work of teachers.

Supporting continued collaboration. The devel-

opment of meaningful collaboration has been identified by

Fullan (2011) as a way to foster capacity building. Each

principal embraced the understanding that success de-

pended on the collaborative efforts of the entire team, includ-

ing the superintendent, teachers, and parents. As the princi-

pals realized changes based on the collaborative work, they

responded with new types of support and recrafted the goals

based on new knowledge.

Recognizing and encouraging teacher leader-

ship. As each principal initiated a change, whether it was

curricular, instructional, or for the school culture, he or she

observed development among teachers. Once new abili-

ties developed, the principal often encouraged teacher lead-

ership. In all three schools, the principals wanted to in-

crease teacher participation. Teachers became more in-

vested, motivated, and learned more when leading.

Adapting to new circumstances. Each principal

was adaptable and responded to the school context since

there is no true set of rules to follow when building capacity.

Each principal worked towards curricular and instructional

goals and approached his or her teachers as a whole group

and as individuals.

The four themes that surfaced suggest reciprocal

effects is a leadership model that recognizes the dynamic

relationships among variables. This can only be seen

through exploring the interactive encounters among people

within their settings.

Conclusions

A comprehensive repertoire of actions and values

were used by effective leaders. These findings confirm

that capacity building is a key to sustainable school im-

provement. It is important for principals to be inclusive and

collaborative. Although at times the principal as school

leader may be the final decision-maker, capacity building

happens when teachers are involved in the process of set-

ting the direction, establishing individual and department

goals consistent with the direction, and having choice.

Furthermore, nurturing teacher leadership plays a critical

role for the principal. When teachers are in leadership

roles it is evident that capacity building is valued.

The findings confirm that principals' capacity

building practices align with the reciprocal effects model

as change flows back and forth evidencing a fluid model.

For capacity building to be successful, individuals within

the organization must believe that collectively they can

bring about change. This type of reform begins at the

building level, strengthening individual abilities while in-

creasing the collective efficacy of the entire school. There

is much potential for the idea that reciprocal effects is a

more comprehensive theoretical model of school lead-

ership, because it provides a broad and dynamic under-

standing of school improvement.

References

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temic educational reform. Paper presented at the annual

meeting of the American Educational Research Association,

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Copland, M. (2003). Leadership of inquiry: Building and sus-

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Fullan, M. (2007). The new meaning of educational change

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Fullan, M. (2011). Change leader: Learning to do what mat-

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Hallinger, P., & Heck, R. (1996). Reassessing the principal's

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Pitner, N. (1988). The study of administrator effects and ef-

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___________________

Alison J. Clark, Ph.D., is a Principal at Plainview-Old Bethpage

CSD.