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Preparing school leaders

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Preparing school leaders a case study of practitioner growth during a principal licensure cohort program
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Browne-Ferrigno, Patricia Ann
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304 leaves : ; 28 cm

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School principals -- Certification -- Case studies -- United States ( lcsh )
Educational leadership -- Case studies ( lcsh )
Educational leadership ( fast )
School principals -- Certification ( fast )
United States ( fast )
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Case studies. ( fast )
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )
Case studies ( fast )

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Includes bibliographical references (leaves 292-304).
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School of Public Affairs
Statement of Responsibility:
by Patricia Ann Browne-Ferrigno.

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University of Colorado Denver
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Full Text
PREPARING SCHOOL LEADERS:
A CASE STUDY OF PRACTITIONER GROWTH
DURING A PRINCIPAL LICENSURE COHORT PROGRAM
by
Patricia Ann Browne-Ferrigno
B.A., Florida State University, 1968
M.A., University of South Florida, 1996
A thesis submitted to the
University of Colorado at Denver
in partial fulfillment
of the requirements for the degree of
Doctor of Philosophy
Educational Leadership and Innovation
2001


2001 by Patricia Ann Browne-Ferrigno
All rights reserved.


This thesis for the Doctor of Philosophy
degree by
Patricia Ann Browne-Ferrigno
has been approved
W. Alan Davis
Rodney Muth
Christian Pipho
' Date
j
1
!
I


Browne-Ferrigno, Patricia (Ph.D., Educational Leadership and Innovation)
Preparing School Leaders: A Case Study of Practitioner Growth during a Principal
Licensure Cohort Program
Thesis directed by Associate Professor W. Alan Davis
ABSTRACT
This study describes professional growth of 18 educational practitioners
participating in a principal licensure program. The main unit of analysis was a closed
cohort within an urban-universitys educational leadership program conducted in
partnership with a local education agency.
The case study was bounded in time, from January 2000 to December 2000. It
began at the cohorts orientation and continued through completion of three of the four
required content domains. A set of researcher propositions guided the focus of this
mixed-methods study. Participants career aspirations, awareness of leadership
potential, role conceptualization of the principalship, and socialization into the
community of practice were explored. Additionally, program effects that stimulated
professional growth and real-time student assessments of learning in a closed cohort
were examined.
Findings reflect important implications for the professional development of
schools leaders: (a) career aspirations of educators are linked to learner engagement;
(b) multiple factors influence personal awareness of leadership potential and feelings of
competency to assume a principalship; (c) educators role conceptualization of the
principalship is related to number of years teaching experience; and (d) experiential
learning and interaction with practicing school administrators are critical to the
IV


socialization process. Additionally, while the cohort model may stimulate collegial
support and enhance student learning, initial and ongoing community-building activities
are needed for optimum benefit. Differences in students ages and professional
experiences can negatively impact learning opportunities in a cohort.
Data indicate that professional growth while participating in a principal licensure
cohort depends upon multiple factors indirectly and directly related to the program.
Students reasons for pursuing licensure as a school principal are associated with their
degree of engagement as learners and role-identity development as future school
leaders. The K-12 principalship is changing to meet complex societal and educational
issues, and thus, role conceptualization is difficult for aspiring principals. Therefore,
experiential learning must be the core element of principal preparation to ensure
needed skill development and socialization into the community of practice. Career
counseling is needed, especially for women, to assist teachers as they transition from
classrooms to administrative offices. Using the cohort model requires careful attention
to community-development and norm-building processes.
This abstract accurately represents the content of the
its publication.
Signed
recommend
W. Alan Davis
v


DEDICATION
This dissertation is dedicated first to the educational practitioners in the principal
licensure cohort who volunteered as participants for this case study, and in particular, to
the five key informants whose detailed insights and perceptions added considerably to
the rich description in this report. I wish ail these individuals the best in the future as
they carry their passions and convictions about educating our children and youth into
their roles as educational leaders.
My father, Hank Phillips, celebrated his 80th birthday as I completed this thesis.
Because we share a love for writing and because he always admonished me to work
hard, I dedicate this book to him as well. This dissertation represents the culmination
of a great deal of hard work, Papa!
Finally, I dearly thank my husband, Darrell Ferrigno, for his tireless support and
encouragement throughout my doctoral studies. He helped me work through difficult
moments, listened to my ideas and offered constructive suggestions, and reviewed
every page of this thesis. Without his unfailing loyalty and understanding, this study
would never have been completed. This dissertation is dedicated especially to you,
Darrell, for helping me achieve a long-held dream of earning a doctorate and for being
my dearest friend.


ACKNOWLEDGMENT
This dissertation represents the combined efforts of many people on the faculty and
staff of the School of Education and Graduate School who encouraged and guided me
during the entire process. While too numerous to name, I wish to acknowledge their
efforts in helping me through my doctoral studies. I especially acknowledge the
following individuals who provided special assistance to me.
Professor Alan Davis introduced me to qualitative inquiry and case study methodology,
which I have learned to love, and supported my efforts by volunteering to serve as my
dissertation advisor. I am deeply grateful to him for his support during the final stages
of my doctoral program.
My gratitude is extended to Professor Bruce G. Barnett, University of Northern
Colorado, who offered ideas that enriched this case study and encouragement that
sustained me. He served as my outside reader.
I am very grateful for the assistance in learning to write academic papers that Dr.
Marcia Muth provided in the advanced writing workshops that I took during my doctoral
studies. I especially appreciate the advice and editorial critique she provided as I
completed this study.
Two members of my committee. Dr. May Lowry and Dr. Christian Pipho, provided
ongoing guidance throughout my entire doctoral studies by serving as members of both
my program and dissertation committees. They also directed two doctoral laboratory
experiences that broadened my understandings about adult learning and educational
policy and supported my professional growth beyond the university setting. My life has
been enriched through knowing and working with them.
Finally, I am deeply indebted to Professor Rodney Muth for his advice, wisdom, and
guidance throughout my program. This dissertation may never have been completed
without his assistance, constructive criticism, and moral support. He taught me to focus
my energies and challenged me to achieve more than I ever realized was possible. I
am especially grateful to him for the mentoring he provided toward my professional
development and preparation for the professorship.


CONTENTS
Rgures...............................................................xviii
Tables...............................................................xix
CHAPTER
1. INTRODUCTION........................................................1
School Leadership Challenges: Complex Issues.....................2
Environmental Challenges.................................3
Policy Challenges........................................4
Leadership Challenges....................................5
Preparation of School Leaders: Conceptual Frameworks.............5
Leadership and Change Agentry............................5
Leadership and Culture...................................6
Preparation of School Leaders: Significance of Study.............7
Study Focus..............................................8
Study Purpose............................................9
Study Value.............................................10
Investigating Practitioner Growth: Case Study Design............11
Researcher Propositions.................................11
Data Collection and Analysis............................12
Standards of Quality and Verification...................13
Context: The Licensure Program..................................14
Standards-Based Curriculum..............................14
viii


Cohort Structure
15
Integration of Information Technology....................15
Authentic Assessment.....................................16
Program Tenets...........................................16
Complications and Limitations: Potential Influences.............17
Environmental Issues.....................................17
Researcher Issues........................................18
Structure of the Dissertation...................................22
2. LEADERSHIP AND CHANGE AGENTRY.......................................24
Elements within Current Educational Debates.....................25
Reform versus Renewal....................................25
Two Views about Change...................................26
Leadership for Change...........................................27
Hall and Hords Definition...............................28
Fullans Definition......................................29
Schlechtys Definition...................................29
Operational Definition...................................30
Collaborative Leadership: An Emerging Change Model..............30
Bums Perspective........................................31
Schlechtys Perspective..................................32
Others Perspectives.....................................33
Collaborative Leadership: Its Origins...........................34
Collaborative Leadership: Its Use in Schools....................35
School-University Partnership............................36


Four-Frame School Model
36
Summary...................................................37
Change Agentry: Struggles and Strategies.........................37
Struggles: Group Resistance...............................38
Strategies: Group Inquiry.................................39
Summary...................................................41
The Principalship: New Role as Change Leader.....................42
Restructuring School Structure............................44
Restructuring School Governance...........................44
Restructuring School Community............................45
Restructuring School Leadership...........................45
Summary...................................................46
Future Trends: Predictions and Proposals.........................47
Futurists Vision.........................................48
Policy Analysts Vision...................................49
Business Educators Vision................................50
Leadership Educators Proposals...........................51
3. EMPOWERED LEARNING CULTURES..........................................53
Group Culture: Balancing Solidarity and Sociability..............53
Empowered Learning Cultures......................................55
Learning Organizations....................................55
Learning Cultures.........................................56
Collaborative Cultures....................................57
Operational Definition....................................59
Learning Cultures in Schools.....................................60
x


Leithwood and Jantzis Perspectives....................60
Sergiovannis Perspective..............................61
Deal and Petersons Perspective........................61
Learning Cultures in Cohorts...................................62
Influence of Group Dynamics............................63
Influence of Cohort Structure..........................63
Influence of Mutual Support............................64
Influence on Learning..................................64
Summary................................................65
Developing Empowered Learning Cultures.........................65
Environmental Influence................................65
Risk-Safe Environment..................................66
Experience-Valued Learning.............................66
Varied Learning Activities.............................67
Experiential Learning..................................68
Problem-Based Learning.................................68
Summary................................................69
Acculturation: Preparing New School Leaders....................69
Role Conception........................................70
Situated Learning......................................71
Preparing School Leaders: Prelude..............................72
4. MIXED-METHODS CASE STUDY...........................................74
Case Study Design..............................................75
Embedded Single-Case Design............................75
Data Collection and Analysis...........................76
XI


Standards of Quality and Verification.....................76
Entry and Changed Focus...................................77
Potential Study Effects...........................................78
Closed Cohort.............................................79
Program Requirements......................................79
Cohort Theme and Program Differences......................80
Case Study Participants...........................................81
Demographics and Diversity................................82
Professional Experience...................................82
Educational Background and Aspirations....................84
District Representation...................................84
Informant Volunteers......................................85
Data Collection Methodology.......................................85
Pre-Survey and Post-Survey................................86
Open-Ended Questionnaires.................................88
Informant Interviews......................................89
Focus-Group Interview.....................................90
Participant Observation...................................91
Artifact Review...........................................91
Organization of the Data..........................................92
Data Collection Information...............................93
Original Data Sources.....................................94
Informant Data............................................94
Online Interactions.......................................94
Reid Notes and Artifacts..................................95
xii


Organization of the Case Study............................95
Data Analysis Methodology.........................................97
Closed-Ended Questions...................................98
Open-Ended Questions.....................................100
Intervaew Questions......................................101
Online Interactions......................................102
Case Study: Quality and Verification Checks......................103
Case Study Reeport: Rve Chapters.................................105
5. ASPIRATIONS: PARTICIPANTS CAREER GOALS.............................110
Practitioner Gnrowth: Prologue...................................111
Researcher Awakening.............................................112
Participants Career Goals.......................................114
Careesr Aspiration: School Principalship.................115
Careesr Aspiration: District Administration..............120
Careesr Aspiration: Uncertain............................121
Aspiration: Cartalystfor Professional Growth.....................123
6. LEADERSHIP: PARTICIPANTS UNDERSTANDINGS.............................125
Leadership Development...........................................126
Participants Assessment of Leadership Activities................126
Required Assignment......................................127
Effective Activities.....................................128
Ineffective Activities...................................131
Leadership Awareness: Catalyst for Professional Growth...........131
Leadesrship through Experience...........................133
Leadesrship through Action...............................135
xiii


Leadership through Resourcefulness.......................137
Leadership through Confidence Building...................138
Leadership through Influence.............................140
Leadership Awareness: Summary............................142
Leadership Definitions: Evidence of Professional Growth..........143
Leadership as Empowerment................................143
Leadership as Transformation.............................144
Leadership as Challenge..................................144
Leadership Domain: Participants Concerns........................146
7. THE PRINCIPALSHIP: PARTICIPANTS PERCEPTIONS.........................149
Participants Perceptions about the Principalship........149
Practitioner Experience: 5 or Fewer Years................151
Practitioner Experience: 6 to 10 Years...................155
Practitioner Experience: 11 to 20 Years..................161
Practitioner Experience: Over 20 Years...................163
Analysis of Participants Role Conceptions.......................166
Common Perceptions: All Subgroups........................167
Common Perceptions: Three Subgroups......................169
Common Perceptions: Two Subgroups........................170
Differences among Subgroups..............................171
Influences on Readiness to Assume Principalship..................171
Age as Stumbling Block...................................172
Gender as Stumbling Block................................173
Parenthood as Stumbling Block............................174
Redefining Principalship: Catalyst for Change....................175
XIV


Reflections about Practitioners Role Conceptions.............176
8. SOCIALIZATION: PARTICIPANTSTRANSFORMATIONS.......................178
Professional Behaviors: Measurement Challenges................179
Data Collection Strategies.............................179
Data Analysis Strategies...............................180
Professional Behaviors: Analysis and Interpretation...........181
Ensuring Quality Learning Experiences..................183
Learning within School Community.......................187
Behaving Ethically and Responsively....................189
Linking Diversity and Equity...........................191
Engaging in Professional Development...................194
Managing School Environment............................197
Acculturation into the Principalship...................199
Professional Behaviors: Summary of Analysis...................202
Mindset Shift: Transformative Professional Growth.............203
Socialization: Catalyst for Professional Growth...............206
9. THE COHORT: PARTICIPANTS ASSESSMENTS.............................209
Positive Assessments of Cohort Experience.....................210
Teamwork and Camaraderie...............................211
Peer Interaction and Collegial Support.................212
Professional Relationships and Networking..............216
Online Interaction and Sharing.........................218
Less-Positive Assessments of Cohort Experience................220
Frustrations about Group Work..........................221
Frustrations about Age Differences.....................223
xv


Frustrations about Experience Differences.................224
Frustrations about Online Activities.....................225
Frustrations about Cohort Norms..........................227
Researchers Assessment of Cohort Experience.....................228
Peer Interaction and Camaraderie.........................229
Collegial Support........................................231
Online Assignments.......................................232
Cohort Norms.............................................233
Professional Development.................................234
The Cohort: Opportunity for Learning.............................236
Professional Growth: Epilogue....................................238
10. IMPLICATIONS FOR PRACTICE AND RESEARCH..............................242
Career Aspirations...............................................243
Findings.................................................243
Implications.............................................244
Leadership Development...........................................245
Findings.................................................246
Implications.............................................247
Role Conceptualization and Socialization.........................249
Findings: Role Perceptions...............................249
Findings: Professional Behaviors.........................250
Findings: Role Identity..................................252
Implications.............................................252
Cohort Programs..................................................257
Findings.................................................257


Implications..............................258
Case Study Summary and Conclusion...............261
APPENDIX
A. HUMAN SUBJECTS COMMITTEE APPROVAL............263
B. PARTICIPANT PRE-SURVEY: JANUARY 2000.........264
C. QUESTIONNAIRE 1: MARCH 2000..................269
D. KEY INFORMANT INTERVIEW 1: APRIL 2000........271
E. KEY INFORMANT INTERVIEW 2: JULY 2000.........273
F. QUESTIONNAIRE 2: AUGUST 2000.................275
G. QUESTIONNAIRE 3: OCTOBER 2000...............277
H. QUESTIONNAIRE 4: OCTOBER 2000...............278
I. PARTICIPANT POST-SURVEY: NOVEMBER 2000......279
J. FOCUS-GROUP INTERVIEW: NOVEMBER 2000........289
K. KEY INFORMANT INTERVIEW 3: NOVEMBER 2000....290
REFERENCES...........................................292


FIGURES
Rgure
4.1 Chronological Sequence of Data Collection................................87
4.2 Chronological Sequence of Cohort Program.................................109
xviii


TABLES
Table
4.1 Record of Case Study Data Sources.........................................96
4.2 Content Analysis Coding Key..............................................102
5.1 Career Goal: School Principal............................................115
5.2 Career Goal: Assistant Principal.........................................118
5.3 Career Goal: District Administrator......................................120
5.4 Career Goal: Not Sure....................................................122
6.1 Participants Perceptions about Leadership...............................132
7.1 Perceptions of Teachers: 5 or Fewer Years Experience.....................152
7.2 Perceptions of Teachers: 6 to 10 Years Experience........................156
7.3 Perceptions of Teachers: 11 to 20 Years Experience.......................161
7.4 Perceptions of Teachers: Over 20 Years Experience........................164
7.5 The Principalship: Comparison of Role Conceptions........................167
8.1 Effect Sizes: Standard 1 Self-Assessment Items...........................184
8.2 Effect Sizes: Standard 2 Self-Assessment Items...........................187
8.3 Effect Sizes: Standard 3 Self-Assessment Items...........................190
8.4 Effect Sizes: Standard 4 Self-Assessment Items...........................192
8.5 Effect Sizes: Standard 5 Self-Assessment Items...........................195
8.6 Effect Sizes: Standard 6 Self-Assessment Items...........................197
8.7 Effect Sizes: Standardization Self-Assessment Items......................200


CHAPTER 1
INTRODUCTION
Leading K-12 schools amid the current complexities of educational reform and
paradigm shifts is challenging (Leithwood, Jantzi, & Steinbach, 1999; Schlechty, 2001).
The capacity of a school to respond appropriately to external change forces (Fullan,
1993; Hargreaves & Fullan, 1998) or to initiate and sustain self-renewal (Fullan &
Hargreaves, 1996) depends upon a principals ability to address multiple, sometimes
conflicting, issues (Brewer, 2001; Fullan, 1999). Further, research on schools that are
effective shows a direct link to effective principal leadership (Dosdall & Diemert, 2001;
Lemley, 1997; Sergiovanni, 2001).
Adding to the complexities is the dynamic evolution of a principals role and
responsibilities as the leader of a learning community (Peterson, 2001; Sergiovanni,
2001). Increased demands for teacher empowerment and shared school governance
(DuFour & Eaker, 1998), renewed focus on instructional leadership (Blase & Blase,
2001), and expanded school functions based upon changing student populations and
learner needs (Levine, Lowe, Peterson, & Tenorio, 1995) define new expectations for
educational leaders and practitioners working in K-12 schools.
Another emerging problem is finding leadership talent. The current pool of
educational practitioners willing to assume positions as school leaders is small (Daresh
& Capasso, 2000; Kelley & Peterson, 2000). As retirement rates of experienced
administrators increase and numbers of qualified applicants choosing to become school
principals decrease, the pool of candidates available to fill open principal positions is
shrinking (Copeland, 2001). Although many practitioners participate in principal training
1


programs, only a portion of the graduates assumes positions as a school leader
(Daresh & Capasso, 2000; Lovely, 1999).
Preparing new school leaders who understand diverse challenges and possess
skills needed for future-oriented work (Lemley, 1997, p. 33) is critically important.
Professional educators who provide leadership development (Barnett & Muth, 2000;
Donmoyer, Monroe, Cordeiro, Getz, & Scherr, 2000; Kelley & Peterson, 2000) and
district administrators who need leadership talent (Lemley, 1997; Lovely, 1999; Peel,
Wallace, Buckner, Wrenn, & Evans, 1998) are exploring program revisions to improve
principal preparation and leadership development.
School Leadership Challenges: Complex Issues
School leaders work in settings where conflicting assumptions about education
impede the implementation of needed change. Outdated assumptions that narrowly
limit the imagination and fail to focus on the realistic needs of children and youth cause
the failure of many school reforms (Astuto, Clark, Read, McGree, & Fernandez, 1994).
The basic grammar of schooling" (Tyack & Cuban, 1995, p. 85) is another
stumbling block to successful implementation of educational innovation. The public,
which controls policy makers through the voting process and educational practitioners
through the local taxing process (Cuban, 1990; House, 1998), holds an institutionalized
perception of what schooling should be. Memories of the past clash with current
realities and projected needs, thus making it difficult for educators to introduce new
instructional practices or respond to changing student demographics (Tyack & Cuban,
1995).
Controversy even arises about the essentia! purposes of schools in 2131 century
America (Glickman, 1998; Goodlad, 1997; Postman, 1995). Societal beliefs about
2


education, historical customs of schooling, and legal mandates interactively create
stumbling blocks for K-12 school leaders (Pipho, 2000; Pulliam & Van Patten, 1999;
Smith & ODay, 1990).
Environmental Challenges
Principals in urban districts face added challenges. Urban-situated schools are
usually part of large centralized bureaucracies with limited resources and slow
response times for meeting the needs of individual schools within the districts
(Peterson, 1994). Additionally, students living in urban areas often bring into their
classrooms burdening challenges to their learning created by the effects of poverty,
limited English proficiency, and underdeveloped school readiness. These challenges
for students and teachers within urban schools are less often experienced in suburban
schools (Goodlad, 1984; Kozol, 1991).
Per pupil funding discrepancies between urban and suburban schools further
hinder learning opportunities. Oversized classes, lack of appropriate books and
supplies, dearth of challenging courses and qualified teachers, and cramped and
decrepit school facilities are common occurrences in many urban districts (Berliner &
Biddle, 1995; Kozol, 1991). Parental and local community support structures are not
well defined or may even be non-existent, further increasing the challenges faced by
urban school leaders (Goodlad, 1984; Peterson, 1994). The cumulative differences
between urban and suburban schools create inequitable opportunities for learning and
future opportunities (Goodlad, 1984; Kozol, 1991).
However, the differences between urban and suburban schools also influence
principals responsibilities. According to Hallinger and Murphy (1983, as cited in Crow
& Glascock, 1995), the geographic, demographic, and structural elements of schools
create different role conceptions. Principals of low socioeconomic status (SES) schools
3


often assume controlling and coordinating functions, whereas principals in high SES
schools emphasize the coordinating tasks of leadership. Principals of urban schools
often face tougher environmental influences than do their peers in suburban settings.
Policy Challenges
Another challenge currently faced by urban schools is the emphasis on content-
focused curricula and high-stakes accountability. Many policy makers, business
leaders, and educators posit that standards-based pedagogy and assessments create
effective schools that improve the quality of teaching and learning (Berliner & Biddle,
1995; Glasser, 1990; Schlechty, 1990; Sizer, 1992). Proponents of market-based
education accountability recommend linking salaries, even the very Jobs, of school
principals to the quality of student performance on assessment measures (Finn, 1991 ;
The Teachers We Need," 1999).
The process of systemic school reform is fraught with complexity, often caused
by continual cycles of change (Cuban, 1990; Smith & ODay, 1990). Repeating patterns
of reforms generate resistance to change by veteran teachers responsible for
implementation (Evans, 1996; Fullan, 1993; House, 1998). Thus, the current national
focus on student achievement and effective schools creates a dynamic of resistance by
some educational practitioners. Teacher resistance creates internal problems to be
addressed by principals (Schlechty, 1997). External forces, such as (a) state-mandated
accountability measures with accompanying political and public scrutiny of student
performance, (b) limited resources for implementing school reform or renewal
measures, and (c) poorly developed and economically stressed community support
bases, further impact leadership in urban schools.


Leadership Challenges
Another dimension of educational reform affecting the principalship is
empowerment of teachers through collegial activities and empowerment of stakeholders
through shared decision making (Deal & Peterson, 1999; DuFour & Eaker, 1998;
Sergiovanni, 1992). Teachers extend their influence beyond the classroom by
participating as equal partners with principals, students, parents, and members of the
broader community in governance practices (Carr, 1997; Crockett, 1996; Hord,
Rutherford, Huling-Austin, & Hall, 1987; Tye, 1998).
As teachers assume greater leadership within schools and as more
representatives of the broader school community engage in school governance, the
roles and responsibilities of the principal change. The conflicting demands of
accountability and empowerment require greater attention to moral and cultural
components of leadership (Starratt, 2000).
Preparation of School Leaders: Conceptual Frameworks
The complex interaction of multiple new paradigms for K-12 education expands
the range of responsibilities for school principals and changes the roles assumed by
school leaders. Out of the contextual challenges currently faced by school leaders, two
conceptual frameworks emerged that shaped the focus for this investigation.
Leadership and Change Aqentrv
Because of the complexity of educational challenges, K-12 principals have
difficulty leading schools alone. New models of leadership based upon building
relationships and sharing responsibilities are being explored (Bums, 1998; Napier,
2000; Telford, 1996). Empowering teachers to engage in collegial activities and
participate in shared school governance is changing power relationships in schools
5


(Carr, 1997; Crockett, 1996; Sergiovanni, 1992; Tye, 1998). The implementation of
site-based management, the use of school-wide action research, and the introduction of
school-defined initiatives have been tried with mixed success (Brown, 1994; Dana,
1992; Riordan & da Costa, 1998; Short & Greer, 1997; Sidener, 1995).
Sharing school leadership with representatives of stakeholder groups does not
occur without careful preparation and implementation (DuFour& Eaker, 1998; Fullan,
1999; Schwahn & Spady, 1998b; Sergiovanni, 1998). Redefining the principalship from
traditional top-down leadership to collaborative partnership through shared leadership
and management (Lemley, 1997) involves time and patience and requires new
perspectives and understandings about leadership (Barth, 1990; Fullan, 1993; Hoban,
1998; Wagner, 1998). The successful implementation of innovation through new
leadership models also requires changes in how principals are selected, trained,
mentored, and supported (Barth, 1990; Cline & Necochea, 1997; Lemley, 1997; Milstein
& Kruger, 1997).
Thus, the first conceptual framework shaping this research became the
interrelationship of leadership and change agentry. A review of literature about school
reform and renewal, leadership processes that initiate and sustain innovation, and
redefined roles of school leadership is presented in Chapter 2.
Leadership and Culture
The second conceptual framework guiding this study is the reciprocal influence
of leadership and culture: Leadership generates interaction among parties that creates
a cultural dynamic based upon accepted behavior patterns (Collins & Porras, 1997;
Deal & Kennedy, 1982; Goffee & Jones, 1998). The resulting culture must be managed
through leadership (Schein, 1992). Thus, an important function of the principalship is
6


symbolic and cultural leadership (Deal & Peterson, 1999; Schlechty, 1997; Sergiovanni,
1998).
Systemic change within organizations requires new types of organizational
learning, core competencies, and individual responsibilities (Deal & Kennedy, 1999;
Hendry, 1999; Stewart, 1999). Reorganization from centralized authority to self-
directed work teams often generates learning cultures (Schein, 1992; Senge, 1990) or
collaborative cultures (Fullan, 1999; Leithwood & Jantzi, 11990). Further, many
universities are using learning cohorts to deliver professional development for future
school leaders (Barnett & Muth, 2000; Kelley & Peterson, 2000; Milstein & Krueger,
1997). These unique groups of learners provide opportunities to explore multiple
dynamics within the culture of learning communities.
Hence, the second conceptual framework shaping this study became the
interrelationship of leadership and culture within learning communities. Chapter 3
includes a review of the literature about organizational anad school culture, a discussion
about the effect of the cohort model on creating learning cultures, and an overview of
instructional strategies that engage participants in active collaborative learning.
Preparation of School Leaders: Significance of Study
Sharing school leadership (DuFour& Eaker, 199S; Fullan, 1999; Sergiovanni,
1992) and creating empowered school cultures responsive to innovation (Deal &
Peterson, 1999; Leithwood & Jantzi, 1990; Schlechty, 19997) frame this study.
Implementation of collaborative leadership processes ancri creation of empowered
school cultures requires training and professional developoment.
During the last decade of the 20th century, administrative leadership education
associations and state committees developed professional standards for the
7


preparation, licensure, and performance of school leaders (Sergiovanni, 2001; Van
Meter & McMinn, 2001). The introduction of new professional standards for licensed
school leaders required many university-based programs to adopt standards-based
curricula and modify program delivery formats (Barnett & Muth, 2000; Kelley &
Peterson, 2000; Muth, forthcoming).
Study Focus
Redesigning professional development programs for school principals in the
midst of paradigm shifts is not easy (Milstein & Krueger, 1997). One reason is that
district administrators often recruit potential candidates who fit profiles of the traditional
principal (Cline & Necochea, 1997). Another reason is that many beginning principals
report difficulty in balancing technical and managerial tasks while simultaneously
performing as visionary instructional leaders (Daresh & Playko, 1997). Administrative
internships (Duffrin, 2001; Krueger & Milstein, 1995) and mentoring programs for new
principals (Crow & Glascock, 1995; Dosdalt & Diemert, 2001; Willen, 2001) have been
added to many leadership development programs. Research about the effectiveness of
program redesigns, however, is limited.
Additionally, many university-based principal preparation programs deliver
instruction through cohort models (Barnett & Muth, 2000; Kelley & Peterson, 2000;
Milstein & Krueger, 1997). A premise for using cohorts is that keeping students
together as a unique group of learners enhances professional learning and skill
development (Crow & Glascock, 1995; Norris & Barnett, 1994; Peel et al., 1998).
However, most research about educational leadership cohort programs is based upon
anecdotal evidence collected from participants at the close of programs rather than
during active participation in the cohort (Barnett & Muth, 2000).
8


Finally, fueled by special-interest-group agitation for elimination of licensure or
certification! (Finn, 1991; Kanstroom & Finn, 1999; Thobum, 1986), policy makers are
beginning to seek public accountability of effectiveness from university principal
preparation programs (Kelley & Peterson, 2000). Current evidence is scant showing
that what is learned in a principal preparation program transfers to professional practice
(Barnett & Muth, 2000).
This investigation describes and analyzes professional growth of educational
practitioners participating in a leadership education and skills development program.
The study began concurrently with a new principal licensure cohort. Data were
collected in real time as the students were actively engaged in learning and as the
cohort transitioned through program stages. Because the investigation spanned one
calendar year, changes in participants insights and understandings as learners and as
practitioners were traced. Further, this study was conducted as research to understand
the nature of these changes and the processes through which they occurred, rather
than to evaluate a particular program of principal preparation.
Study Purpose
This case study about practitioner growth explored and analyzed changes in
participants perceptions and understandings while they were participating in a
university-based principal licensure cohort program. Study participants were graduate
students enrolled in a closed cohort formed through a partnership between an urban
university and an urban school district. Most cohort members were working as teachers
or educational practitioners in urban schools throughout the study, and a majority of the
participants aspired to become principals in urban districts. Program instructors during
the bounded time frame of the study included two university professors and a practicing
school district superintendent.
9


A unique feature of the sample cohort was its theme: to study collaborative
leadership and explore ways to change the principalship. A cited goal for the cohort
was to train practitioners with skills necessary for organizing community support and
building collaborative initiatives with broad-based involvement and participation. The
cohort provided an opportunity to explore a new conceptualization of the principalship.
Study Value
The five themes investigated in this study were (a) career aspirations, (b)
leadership self-awareness and understanding, (c) role conceptualization of the
principalship, (d) socialization into the community of practice, and (e) learning in
cohorts. Each topic connects to other studies in the field and is important to the
knowledge base concerning educational leadership and principal preparation.
Evidence of practitioner growth was linked to influences created by program
activities and experiences within a closed cohort. Data collection began at the first
meeting of the cohort in January 2000 and continued through the final session of the
third domain of study and final informant interview in December 2000. Triangulation of
multiple data sources and analysis methods provided reliability and validity of findings.
Further, data collected during this study will be integrated with additional data
collected over time from the same participants after the conclusion of the program to
explore transference of learning as students to professional practices as new school
leaders. Additionally, data collection instruments developed in this study were used in
other principal licensure cohorts within the same university-based program to generate
a database for comparative studies.
This study was not intended as a program evaluation of the university-based
principal licensure program in which the sample cohort was a part. However, the
conclusions and implications based upon the findings from this study have potential
10


value in the design of this and other educational leadership programs. Findings also
have potential value to the broader body of knowledge about the recruitment and
preparation of aspiring principals and the use of cohorts in higher education.
Investigating Practitioner Growth: Case Study Design
Transformation of student perceptions and understandings while participating in
a principal licensure program was the phenomenon of interest for this inquiry. The case
study design was selected because the inquiry met two important criteria (Yin, 1994).
First, the investigation was bounded by time, from January 2000 to December 2000.
Data were collected during the initial three domains of study in a standards-based
licensure program. Second, the particular instance or case was a unique cohort within
a specific university-based educational leadership program, formed through a new
university-school district partnership. Composite responses provided by each
participant became sub-units within the single case study. Additionally, because the
goal of the licensure program was to prepare teachers for the principalship, the
potential for interpreting program effectiveness existed. The case study design was
selected because it can illustrate complexities of issues (Stake, 1995; Yin, 1994).
Researcher Propositions
A set of researcher propositions guided the design and focus of this
investigation (Creswell, 1998; Stake, 1995). One premise was that practitioners chose
to participate in the professional preparation program to acquire basic knowledge and
skills required for becoming members of an aspired group (Lave & Wenger, 1991).
Thus, as participants expanded their knowledge bases and applied skills in their
professional practice, transformations would occur in the participants understandings
and perceptions.
11


The second proposition for this case study was that participants in the
administrative licensure cohort would show evidence of their growth through self-
reported changes in their perceptions of themselves as leaders and their
understandings about leadership. Additionally, practitioner growth would become
evident by changes in participants (a) role conceptions about the principalship and (b)
socialization through adoption of professional behaviors aligned with those of school
leaders. The conceptualization of professional growth reported by study participants
was developed using grounded theory techniques and procedures (Strauss & Corbin,
1998).
The final proposition was that various activities and assignments within the
licensure program would provide stimuli for professional growth. Also, because
participants remained together throughout the program as a unique group of learners,
the learning environment of the closed cohort would also influence practitioner growth.
Data Collection and Analysis
Data collection was triangulated through three different methods. First,
practitioner perceptions and understandings were collected through (a) surveys, (b)
open-ended questionnaires, (c) private interviews, and (d) a focus-group interview.
Evidence of change emerged from comparisons of responses provided at different
times throughout the study. Second, researcher insights and understandings were
developed as a participant-observer of cohort sessions and through content analysis of
online communication among cohort members. Third, program influences emerged
through (a) a review of documents and artifacts generated during the yearlong study,
(b) participant-observation of program transitions, and (c) student evaluations of
learning activities.
12


Data analyses drew primarily on case study methodologies (Creswell, 1998;
Stake. 1995; Yin, 1994). Survey strategies suggested by Fishel (1998) and Fowler
(1993) were used, and content analysis was conducted on selected data sources
(Weber, 1990). Additionally, quantitative methodologies were integrated into a portion
of the analysis process to understand magnitude of change over time (Ary, Jacobs, &
Razavieh, 1996; Krathwohl, 1998; Mahadevan, 2000). The integration of qualitative
and quantitative strategies created a mixed-method case study (Tashakkori & Teddlie,
1998).
. Standards of Quality and Verification
Multiple procedures were employed to ensure that the case study met
standards of quality and verification (Creswell, 1998; Stake, 1995: Yin, 1994). Data
collection was linked to the propositions guiding the study (Stake, 1995). An organized
system of data management was carefully constructed and employed so that a chain of
evidence could be constructed (Yin, 1994). The breadth of data sources and the use of
mixed methods during analysis supported multiple forms of triangulation (Tashakkori &
Teddlie, 1998; Yin, 1994).
Draft copies of the reports were provided to key informants to review for
accuracy of reporting and interpretation. The informants and primary investigator met
as a focus group to discuss and evaluate the study report. This quality assurance
strategy is known as member checking (Creswell, 1998; Kvale, 1996; Stake, 1995;
Tashakkori & Teddlie, 1998; Yin, 1994). Extensive amounts of participant commentary
were integrated into the report, and thus the required thick description detailed the
unique case (Creswell, 1998; Stake, 1995). A complete description of the case study
methodology is presented in Chapter 4.
13


Context: The Licensure Program
The case study was conducted within a unique cohort that was part of a
university-based professional leadership program. Following the state adoption of
professional standards in 1994, the educational administration faculty at the urban
university in a western state progressively revised its principal licensure program into a
problem-based (Ford, Martin, Muth, & Steinbrecher, 1997), active-learning (Muth,
1999), portfolio-assessed (Muth, Murphy, Martin, & Sanders, 1996) model. The
leadership preparation program transformed from a series of on-campus courses into
off-campus cohorts developed through school district partnerships. As a standards-
driven program (Ford, Martin, Murphy, & Muth, 1996; Murphy, Martin, & Muth, 1994),
the goal is to endorse graduates as competent professionals ready to assume roles as
licensed school leaders.
Standards-Based Curriculum
The university licensing program focuses upon all knowledge bases and
performance benchmarks defined by the states Principal and Administrator
Professional Standards Board (Ford etal., 1996; Murphy etal., 1994; Muth,
forthcoming). The program is a sequence of four learning domains that concentrate on
specific areas of school administration and connect to concurrent field experiences.
Each domain usually spans an entire semester. Individual and group activities within
the domains or "content umbrellas" (Muth, 2000, p. 60) center on four broad topics: (a)
educational leadership, (b) school environment, (c) supervision of curriculum and
instruction, and (d) school improvement. Domains of study overlap both to integrate
subject matter across domains and to take advantage of cycles of events in schools
relevant to the domains and standards to be met.
14


Each domain has an integrated set of field-based learning activities to connect
content to practice. A 135 clock-hour intensive internship provides additional immersion
into practice and experience as a school administrator. Content learning is balanced
with field experiences so that students gain clinical skill to recognize and solve
problems of professional practice.
Cohort Structure
The faculty selected the closed cohort structure because it delivers instruction
suited to the diverse needs of adults (Barnett & Caffarella, 1992; Mahoney, 1990),
fosters collegial learning (Barnett & Muse, 1993; Reynolds, 1993), and increases
student retention through empowering students (Teitel, 1995; Yerkes, Basom, Norris, &
Barnett, 1995). A closed cohort keeps students together as a group throughout the
entire program (Basom, Yerkes, Norris, & Barnett, 1995) and provides ongoing peer
support and professional collegiality (Barnett, Basom, Yerkes, & Norris, 2000).
Because most learning cohorts in the program are developed in partnership
with local school districts, unique problems of practice emerge as potential projects and
learning events (Martin, Ford, Murphy, & Muth, 1998). Partnership cohort sessions are
held at district sites and jointly taught by university professors and administrative
practitioners.
Integration of Information Technology
Adoption of a sophisticated online communication system by the universitys
school of education opened myriad opportunities to integrate online instruction and
learning into the school's licensing programs. The FirstClass Client e-mail and
conferencing system provides statewide service to the school of education, area
districts, and educational associations (Muth, 2000). The online system permits
15


synchronous as well as asynchronous communications, easy file sharing, and Internet
access" (Muth, 2000, p. 60).
Additionally, this user-friendly system allows discussion sites known as
conferences. Within a cohort conference, participants can post questions, comments,
and responses viewed by all conference members. The electronic conferences provide
an avenue for developing relationships outside the regularly scheduled cohort sessions
and facilitating completion of special online projects. In addition, the communication
system offers private electronic mail and live-chat opportunities. All program-related
online communication housed in a conference is archived for three years.
Authentic Assessment
Mastery of learning is presented through defense of self-constructed portfolios
(Muth et al., 1996). Artifacts included in portfolios are created through cohort activities
developed through professional experiences that link to specific benchmarks. These
artifacts are compiled into a portfolio and presented as evidence of expertise.
Students who complete all licensing program requirements and successfully
pass a state-approved examination are eligible to receive a provisional state license as
a school principal. Students participating in the licensing program can earn a Master of
Arts (MA) or Educational Specialist (EdS) degree by completing nine additional credits
of specified coursework beyond the required 31 credits (Muth, 2000).
Program Tenets
The principal licensing program is structured upon principles of transformational
leadership and empowerment developed through practitioner experience and reflection
and expanded through intellectual consciousness (Napier, 2000). The curriculum
integrates problem-based learning and action research, exploration of problems of
16


practice through group projects, online mentoring and instruction, and personal
reflection (Muth, forthcoming; Mirth et a!., 1999). The cohort provides an evolving,
adaptable learning environment that allows participants to empower themselves
through practical applications of knowledge and integration of personal and professional
experiences in their own learning (Muth et al., 1999; Napier & Lowry, 1999).
Complications and Limitations: Potential Influences
Two types of influences potentially affected the findings in this case study.
Complications emerged due to environmental issues: (a) passage of an omnibus
educational bill by the states general assembly, and (b) restructure of the licensure
program by the cohort leader. Limitations due to researcher bias may also have
influenced the findings.
Environmental Issues
Two important factors, one external to the licensure program and the other
internal, influenced the findings in this case study. First, during the early months of data
collection, the states general assembly passed an omnibus education bill that initiated
dramatic changes to the system of public school accountability. Yearly high-stakes
testing was expanded to all levels from third through tenth grade, and state-regulated
school report cards were added. During the legislative process, the local media
provided extensive coverage of political debates among policy makers, citizens, and
educators. Passage of the contested legislation directly impacted the practices of all
public school teachers and principals in the state. Data reflected the reactions and
concerns of the participants as they wrestled with the implications of the new policy on
their current professional practices and their future responsibilities as school leaders.
17


Modifications that the cohort leader made to the universitys licensure program
created a second influence on the study. Because the theme of the sample cohort was
collaborative leadership, the cohort leader developed a unique action-learning project.
Students were required to conduct research about collaboration in schools during the
last two domains of their program. To provide time to conduct the research, the cohort
leader eliminated the usual concurrent field-based learning experiences in each
domain. Thus, students in the sample cohort did not have program-supported
opportunities to integrate content learning with ongoing field experiences or to work
directly with acting school leaders on authentic problems of practice. Findings suggest
that the modifications to the universitys principal licensure program directly influenced
practitioner growth experienced by the study participants.
Researcher Issues
I designed this case study as an exploratory inquiry about the transformations
that educational practitioners experience and report as students in a professional
development program. The propositions were developed to guide data collection and
analysis and to report findings. The assumptions were based on two foundations: (a)
reviews of literature about K-12 school leadership, and (b) my personal experiences as
a teacher, curriculum developer, researcher, and cohort instructor.
My selection of the literature used to construct the conceptual frameworks for
this study included elements of researcher bias. Also, my prior experiences as a
teacher leader working with school principals on school renewal projects and as a
national consultant working with educational practitioners in the adoption of new
curriculum disposed me toward an interest in leadership for change.
My recent work as a curriculum developer, researcher, and instructor in other
university-based cohorts presented the greatest potential for creating researcher bias.
18


While I support collaboration as an important element when implementing change, I
believe collaborative leadership cannot be used all the time: Leaders often must make
quick and firm decisions without seeking consensus. During the summer of this case
study, I heard several principals talk about leadership styles with students in another
licensure cohort. Their comments confirmed my perceptions that school leaders need
to be adept at determining what type of leadership to use in a given situation. Several
books about the principalship further confirmed my opinion.
The introduction of the states new accountability measures required immediate
action, thus limiting opportunities for public schools to develop and implement broad-
based collaborative leadership processes. While the literature supports collaboration
within school settings, many authors and researchers posit that a time span of three to
five years is needed to implement shared leadership. Unfortunately, public schools in
the state where the study was conducted were not given time to make gradual changes.
Based upon my observations as the graduate research assistant for the
educational leadership division, I perceived that the principal licensure cohort I selected
as my sample was formed quickly. The faculty did not engage in extensive program
planning prior to orientation. Further, the change in the licensure program (splitting the
leadership domain with law studies and eliminating concurrent field-based experiences)
did not appear to be a faculty-wide decision.
Fully aware of my dispositions, I attempted to maintain an objective perspective
during the conduct of this case study. In the next three sections, I describe in greater
detail what I perceive are sources of potential researcher bias.
Program development and pilot study. During the year prior to beginning this
case study, I worked closely with a professor from another division in the school of
education and with professional practitioners to develop a new off-campus cohort
19


program for corporate trainers. For six months I participated in program design
meetings, student recruitment activities, and implementation preparation for a new
information and learning technologies (ILT) cohort.
As a member of the network faculty, I attended planning and curriculum
meetings with the cohort leader and a professional program designer. These two
educators also served as co-instructors for the first course in the two-year program. I
observed the instructors integrating culture-building activities and team-building
strategies during my weekly observations of the ILT cohort during its first semester.
As a network faculty member, I also had the opportunity to conduct an action
research study during the first semester of the new program. The inquiry focused on
adult-student perceptions of psychological safety in a learning environment. Findings
were shared with all cohort members at the close of the first semester to assist their
professional development as corporate trainers and program developers. The action
research study also served as a pilot for data collection methods used in this
dissertation.
I gained new insights into the challenges of designing cohort programs and new
understandings about the value of collaboration among faculty in the design of a
cohesive program. Findings from the pilot study also sensitized me to the critical
importance of creating group norms and risk-safe environments (Juraschek, 1999, p.
10) within cohort programs for adult learners.
Cohort instruction and ongoing assessment. Five months after beginning this
case study, I was invited by two professors in the administrative leadership division to
join the instructional team for a new principal licensure cohort. The curriculum we
adopted focused closely on the states professional standards for the preparation of
school leaders. Using findings from the pilot study described above, we integrated
20


culture-building activities to develop cohort cohesiveness and used problem-based
learning strategies to help students identify problems of practice they wanted to
address. Students engaged in related field-based learning experiences during each of
the content domains.
The following semester, another principal licensure cohort was developed in
partnership with two other school districts and in collaboration with another local
university's administrative leadership faculty. I was invited to serve on the instructional
team for this new cohort as well. The faculty integrated many of the strategies used in
the other cohort in which I taught.
My experiences as the primary investigator in the earlier pilot study and this
case study prompted me, as an instructor in the two principal licensure cohorts, to
collect ongoing student assessments and reflections about their learning. Using the
input from the students, the instructional teams modified the curriculum and learning
environment when needed.
Collaborative program development. Through my experiences as a curriculum
developer, action researcher and cohort instructor, I learned that ongoing discussions
with fellow instructors focused attention on the desired program goals and student
outcomes. Team-shared focus and action resulted in observable evidence of learning.
These experiences prejudice me toward the time-consuming and sometimes frustrating
work of collaborative curriculum development. I believe that a shared vision among
faculty creates a cohesive professional development program and provides the needed
diversity to create engaging and meaningful learning experiences. I also believe
ongoing program assessments by students ensure that the instruction and environment
meet the needs of adult learners. Rndings from this study further convince me that my
perceptions are accurate.
21


Structure of the Dissertation
Creswell (1998) and Yin (1994) provide guidance in reporting a case study,
which I used to structure this thesis. The challenges faced by current K-12 principals
open this chapter and set the broader context of this study. Environmental, educational
policy, and school leadership issues serve as a prelude to the study focus: preparation
of new school leaders. The description of the principal licensure program includes an
explanation of the uniqueness of the sample cohort. Possible influencing complications
and limitations are also presented.
The studys conceptual frameworks serve as introductions to the research
focus and to the purpose and value of this inquiry. Chapter 2, Leadership and Change
Agentry, and Chapter 3, Empowered Learning Cultures, present expanded descriptions
of the research and cited works supporting the two conceptual frameworks.
This introductory chapter also includes an overview of the study methodology.
Chapter 4, Mixed-Methods Case Study, provides a complete description of the sample
cohort, data collection and analysis methodologies, and quality checks.
The methodology chapter closes with an explanation of the formats for
Chapters 5 through 9. The five chapters present findings related to the researcher
propositions that guided this study. Chapter 5, Aspirations: Participants Career Goals,
opens with a prologue vignette tracing one participants growth during the study. The
next three chapters describe results in three different areas: Chapter 6, Leadership:
Participants Understandings: Chapter 7, The Principalship: Participants Perceptions;
and Chapter 8, Socialization: Participants Transformations. Chapter 9, The Cohort:
Participants' Assessments, closes with an epilogue vignette that encapsulates the study
participants assertions about their professional growth during the study.


Chapter 10, Implications for Practice and Research, presentas interpretations
and suggested implications for practice and future research. A copy of the universitys
approval to conduct the study, examples of all data collection instrurments and prompts,
and a reference list of all cited works follow Chapter 10.
23


CHAPTER 2
LEADERSHIP AND CHANGE AGENTRY
Effective leadership is the cornerstone of any successful organization,
regardless of the nature of its work (Barker, 1997; Bennis & Townsend, 1995). Yet,
despite a rich history of theory development and research studies, a single definition of
leadership is still not universally accepted (Barker, 1997; Hall & Hord, 1987; Rost,
1991). While examining leadership from multiple and diverse perspectives adds to the
body of knowledge of leadership practices that transcend all organizations (Cantor &
Bemay, 1992; Luthar, 1996), exploring the full scope of the literature is daunting.
Hence, the models and practices of leadership presented in this chapter are
deliberately limited to a focus on leading change efforts.
New leadership models are needed to implement and sustain successful
innovation in schools. Change agentry requires leadership that builds relationships
(Bums, 1998; Short & Greer, 1997) and engages representatives of various stakeholder
groups in decision making (Fullan, 1999). The principalship is changing to meet this
added dimension to school leadership (Barth, 1990; DuFour & Eaker, 1998; Fullan,
1997; Sergiovanni, 2001).
To frame the context in which leadership and change agentry emerged as a
conceptual framework for this study, the chapter begins with a short presentation of
elements within current educational debates that is followed by a review of emerging
models of leadership and discussion of change strategies. Findings from studies about
leadership for change in schools also are included. The closing section presents future
24


projections about public education in America as a link between this literature review
and the one that follows in Chapter 3, Empowered Learning Cultures.
Elements within Current Educational Debates
While multiple courses of action are used to address todays challenges in
public education, an interesting paradox evolves within the semantics of proposed
initiatives. Two wordsreform and renewalused in the context of educational change
seem to fuel continuing debates, instead of supporting consensus for action.
Reform versus Renewal
According to dictionary definitions, reform means to improve by change of form
or by removal of defects as measured against some standard of excellence. Renewal
means to revive or bring back to an original condition of freshness and vigor (Random
House Websters College Dictionary, 1999; Webster's Seventh New Collegiate
Dictionary, 1963). Based upon a review of literature, it appears that advocates for
reform are often government officials and policy makers, business leaders and special
interest groups, and school board members. Usually, reform proposals are efforts
directed toward correcting perceived shortcomings in public schools that cause broader
societal or economic problems (Cuban, 1990; House, 1998; Napier, 2000; Smith &
ODay, 1990; Tyack & Cuban, 1995).
In contrast, advocates for renewal are usually principals, classroom teachers,
parents, students, education scholars who work in K-12 schools, and occasionally
representatives of the local communities where schools are situated. Educational
innovation through renewal is perceived as the primary responsibility of those groups
that work in schools or that are most closely connected to schools (Glickman, 1998;
Goodlad, 1984; House, 1998; Napier & Lowry, 1999).
25


Even though a difference between the meanings of the two words exists,
reform and renewal appear to lose clarity in the literature promoting educational
innovation. Following are two examples of the confusion that can arise with regard to
the use of reform and renewal.
Two Views about Change
An advocate for school reform, Schlechty (1997) believes that school renewal
and improvement are too limiting perspectives for the types of systemic change needed
in public education today. He calls for reexamination of the fundamental assumptions
upon which the American school system is based and a willingness to modify those
assumptions to meet the realities of the 21st century.
A proponent of school renewal, Glickman (1998) suggests that the paradox
surrounding educational innovation is that there is not anything particularly new to
learn about powerful education" (p. 176). He believes that the purpose for school
change has been lost in the confusion and distractions that fail to define what good
education is with respect to the public democratic good. He proposes revolutionizing
Americas schools through implementation of a democratic pedagogy that would
reconnect public education to its original purpose: the continuation of the work of the
American Revolution.
Schlechty specifically states that he is a reform advocate, and Glickman is an
avowed renewal advocate. Both authors persuasively write about the need for systemic
change and propose ways to redesign schools. However, trying to differentiate
between the meanings of reform and renewal in the two proposals presented above is
difficult. Therefore, despite differences in meaning and perspective, reform and
renewal are used interchangeably in this chapter, as cited in the language presented in
the literature.
26


Leadership for Change
Beyond semantics, multiple factors influence the success or failure of
educational change efforts. At times the outcome depends upon the nature of the
innovation and how it is introduced (Evans, 1996; Fullan, 1993; Schwahn & Spady,
1998b) or the strategies used to implement the innovation (Oakley & Klug, 1991;
Schneider & Goldwasser, 1998; Short & Greer, 1997). Success or failure of
implementation can depend upon why change is introduced, what kind of change it is
(procedural, technological, or systemic), and what training opportunities and structural
support is provided to those required to implement the change effort (Fullan, 1997;
Schlechty, 1997).
Other factors that influence change efforts include the character of the
organization itself (Brown, 1994; Crockett, 1996; Deal & Peterson, 1999) and the role
orientation of the individuals involved in the initiative (Bums, 1998; Cline & Necochea,
1997; Evans, 1996; Schlechty, 1997). Success or failure can depend upon the cultural
orientation of the organization toward innovation and the alignment of the change
initiative to a shared vision.
The outcome of a change initiative can also depend upon the way in which
individuals choose to engage in the process and how conflict is resolved and
consensus is developed (Bums, 1998; Fullan, 1999; Oakley & Klug, 1991).
Additionally, the power of assumptions influences change initiatives in
education and often stymies successful implementation. Outdated assumptions that
narrowly limit the imagination and fail to focus on the realistic needs of children and
youth are root causes for the failure of many reforms (Astuto et al., 1994).
Similarly, the basic grammar of schooling" (Tyack & Cuban, 1995, p. 85)
becomes another stumbling block to change. The general public holds an
27


institutionalize perception of what school should be (Cuban, 1990; House, 1998).
Memories of the past clash with current realities and projected needs, thus making it
difficult for educators to introduce new instructional practices and respond to changing
student demographics (Tyack & Cuban, 1995). Historical customs of schooling,
societal beliefs about education, and legal mandates interactively affect change efforts
in schools (Pipho, 2000; Pulliam & Van Patten, 1999; Smith & ODay, 1990).
A common theme woven into many popular seminar workshops and books is
that applied leadership is defined by situations or in the context in which it occurs
(Fullan, 1997; Schwahn & Spady, 1998a: Smith, OConnell, & Hughes, 1999). Because
leadership and change agentry in schools is the focus of this conceptual framework, the
breadth of literature was further narrowed. Hall and Hord (1987), Fullan (1997), and
Schlechty (1997) are authors who connected leadership and change in their writings
about educational innovation.
Hall and Hord's Definition
In their book about change in schools published in 1987, Hall and Hord devote
an entire chapter to leadership for change" in which they summarize portions of the
then-current literature about leadership and change. The four reviewed leadership
perspectives include "leadership traits, leadership styles, the interaction of the situation
with the leaders' traits, and last, the interaction of the situation with the leader's
behaviors" (p. 24). Hall and Hord conclude that while many hypotheses connect style,
behavior, and situation to leadership, none has been carefully tested in practice to
suggest a definition.
Further, Hall and Hord determined that the then-current literature about change
did not address leadership. Therefore, their literature review focuses on change
models: (a) Havelock's three perspectives (social interaction models; research.
28


development, and diffusion model; and problem-solver model); (b) organizational
development; (c) linkage model; and (d) the Rand Change Agent Study. Most of these
change models were designed with a teacher-proof orientation, which make them less
suitable for localized change efforts. Hall and Hord conclude that the critical aspect of
leadership for change is in the exercise of day-to-day actions that are required to
initiate and sustain the change and improvement process" (p. 51).
Fullans Definition
Another writer about educational change, Fullan (1997) uses the phrase
leadership for change" as an action plan for principals to use when (a) addressing
advocacy and resistance, (b) leading whole school reform, and (c) working with school
councils. He suggests that "leaders for change must immerse themselves in real
situations of reform and begin to craft their own theories of change, constantly testing
them against new situations and the accounts of others' experience" (p. 9). However,
Fullan cautions that no standard techniques or tools exist that a principal can simply
adopt and adapt in this new concept called leadership for change.
Schlechtvs Definition
In his action plan for reinventing schools, Schlechty (1997) dedicates an entire
chapter to leading the change process." He presents differences between three types
of changes (procedural, technological, and systemic) and offers four questions that
leaders can use to guide the change process. Schlechty posits that procedural and
technological change is commonplace in most organizations and that most empirical
studies focused only on procedural and technological change efforts.
Systemic change, however, challenges the fundamental roots and assumptions
of the structure and culture of organizations, making this type of change "cataclysmic
29


events in the life of the organization" (p. 206) and not easily accessible for study.
Schlechty advises educators to follow the practice of business leaders and engage in
discussions about systemic change. He believes business leaders have learned that
the variance in performance of all organizations and of the people in those
organizations has to do with the properties of the systems themselves rather than the
attributes and motives of individual men and women" (Schlechty, 1997, p. 221).
Thinking systemically redirects the actions of leadership for change.
Operational Definition
Scholars of leadership theory and practice have not crafted a definition for
leadership for change; nonetheless, the concept needs a working description. For
purposes of this conceptual framework, the following definition of leadership for change
is provided: In the context of schools, leadership for change is the process of
implementing educational innovation through collaboration with empowered
stakeholders within the school community and through a continuing cycle of inquiry,
evaluation, reflection, and proaction.
Leadership for change that engages multiple stakeholders in designing,
implementing, and sustaining innovation is viewed as means of building capacity and
lessening the responsibilities of the principalship. The following sections present a
review of literature about new leadership models, change processes, and findings from
various studies about new forms of school leadership.
Collaborative Leadership: An Emerging Change Model
During the late 20th century, many leaders of organizations and institutions that
engaged in restructuring processes discovered their leadership roles redefined as
change agents (Patterson, Grenny, McMillan, & Switzler, 1996; Schwahn & Spady,
30


1998a). Successful reorganization often requires groups of individuals to engage
collectively in leadership processes in order to achieve a defined goal. As empowered
work teams in business replaced traditional hierarchical structures, leadership scholars
began to explore a new phenomenon of leadership based upon collaboration.
Collaborative leadership, although not yet a concisely defined construct,
integrates change agentry with leadership processes. This new leadership model is
also called collective leadership (Allen, Bordas, Hickman-Robinson, Matusak,
Sorenson, & Whitmire, 1998), facilitate leadership (Sidener, 1995), participative
leadership (Hoban, 1998), and webs of potential collaborative leadership (Bums, 1998).
Because collaborative leadership is an emerging theory, the current body of knowledge
regarding the construct is open-ended and exploratory, rather than fixed and well
defined (Rost, 1991).
Bums Perspective
Twenty years after the publication of his seminal work, Bums (1998) is
revisiting his earlier definition of leadership. Rather than viewing leadership as a
mutually recognized relationship between a leader and followers, he now postulates
that potential leadership exists within any body of individuals or web" (p. 11) and
depends upon the behavior of an initiator and the conditions that influence action.
Bums' new understanding of leadership requires a multiplicity of actors roles" or
"complex differentiation" (p. 13) determined by five different responses to stimuli. The
roles include the
Initiator [one who takes the first step toward change by breaking away from the
state of equilibrium in a web and communicating with other potential actors to gain
a positive response];
Partners (collaborators, co-leaders?) who respond positively to the initiator's
original message;
Opponents, who respond negatively;
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Passives, who initially do not respond but may be drawn into participation by the
above actors; and
Isolates, who share the motivations and attitudes of other persons in the web but
who may stand aside because of apathy or anomie, (p. 13)
Bums (1998) believes that the merging with others in a series of interactions is
what constitutes collective leadership. Within this framework, conflict becomes the
most critical component of the process, since it is through resolving conflict that the
motivations of others emerge with regard to change actions. Further, Bums contends
that leadership supplies the most vital and central source of intended change" (p. 31).
Bums envisions collaborative leadership as a form of group change agentry that
incorporates diverse perspectives and that requires fluidity and conflict as critical
components of the process.
Schlechtvs Perspective
Interesting parallels exist between how Bums (1998) and Schlechty (1997)
describe the actors in a change process. Bums identifies the five roles in a change
process. Initiators" lead an agitation for change, partners respond positively to a
change effort, passives eventually respond to a change initiative (p. 13). Isolates" do
not become involved in the change because of apathy or anomie, and opponents
respond negatively to the attempted change (p. 13).
Schlechty uses descriptive terms, borrowed from the era of western expansion
in America, to describe the five different roles participants play in change efforts.
Despite the names given by Schlechty (1997) or Bums (1998), the actions of the groups
of participants are nearly identical. In the following paragraphs, Schlechtys terms are
enclosed in quotes and are followed by Bums terms within parentheses.
Trailblazers (initiators) are risk takers, the first to take steps in the change
process (p. 210). While trailblazers have a clear, guiding personal vision that sustains
32


them, they often need to be reminded that the change effort is a community venture, not
a private quest.
Pioneers (partners) are willing to begin innovation without much
encouragement (p. 213). They need only some assistance with concept development
and value clarification about the change effort. Settlers (passives) need to know what
is expected of them in the change effort (p. 214). Because change for them is likely to
create doubt, uncertainty, and confusion, settlers want skill development and continual
feedback about their progress.
Stay-at-homes (isolates) do not respond enthusiastically or compliantly to
change efforts. They potentially can move either toward advocacy or toward
resistance, or they can remain apathetic (p. 216). Saboteurs"(opponents) actively
commit to stopping the change, probably because they behaved as trailblazers or
pioneers during a previous change movement and were betrayed for their efforts to
agitate for change (p. 218). Schlechty (1997) posits that change leaders can learn a
great deal from saboteurs and stay-at-homes by keeping them involved with the school
community and the change-initiative planning and implementation.
Others Perspectives
Leadership directed toward community action is another area in which
collaborative leadership is being explored (Napier & Lowry, 1999). The dynamic trends
predicted to emerge in the 21st century are perceived by Allen et al. (1998) to require
collective leadership practices that build and sustain relationships and that seek
diversity to find solutions to multifaceted problems.
In their study of community activism, Chrislip and Larson (1994) found that
collaboration is not simply a strategy or tactic to achieve an end. Instead, collaboration
is a broad-based, committed involvement among stakeholders who work together and
33


share the responsibility, authority, and accountability for achieving the desired goals. In
this context; leadership as a collaborative process engages appropriate stakeholders in
facilitating and sustaining interaction (Chrislip & Larson, 1994).
According to Barker (1997), the concept of leadership as a process involves
much more than the action or behaviors of the one identified as a leader. Further
expanding the process orientation, Dentico (1999) views collaborative leadership as a
collective involvement of individuals who share common purposes, visions, and goals
and who unite for the purpose of making a change. This collective interaction creates a
community forum where people can derive meaning from their endeavors
Cleveland (1997) posits that collaborative leadership is required as
organizations and institutions change through integration of computer technology and
telecommunications. The emerging trend of transforming hierarchical institutions into
flatter organizations composed of self-directed work teams creates a sense of
community that empowers individuals to participate in collective leadership.
Collaborative Leadership: Its Origins
Understanding the origins of the concept of collaborative leadership often helps
in understanding how collaborative leadership is evolving into a construct. Most of the
literature about collaborative leadership is set within the context of leadership studies
(Barker, 1997; Bums, 1998; Rost, 1991) or within business and industry settings
(Bennis, 1998; Bennis & Townsend, 1995; Patterson et al., 1996; Prestwood &
Schumann, 1997). Discussion about creating collaborative groups or collaborative
processes is usually a topic included as part of leading change efforts in corporate
settings (Bennis & Mische, 1995; Harper, 1998; Schneider & Goldwasser, 1998; Senge,
1990) or in community action (Chrislip & Larson, 1994; London, 1995; Lowry, 2000).
34


Expanding leadership from power vested in position to power residing within
individuals is an important element of collaborative leadership. The purpose for
transforming from traditional hierarchical leadership models to "webs of potential
collaborative leadership" (Bums, 1998, p. 11) or participative leadership" (Hoban,
1998, p. 2) is to engage multiple stakeholder groups in empowering processes.
When implemented within an educational setting, these new forms of
leadership are perceived as a means of creating a collaborative school culture that
successfully addresses the needs of all (Fullan, 1999; Sergiovanni, 1998). Groups
beyond the physical school boundaries often provide the diversity needed to enrich
change activities. Thus, potential community members involved in participative
leadership include parents and members of student families, educators from
universities and colleges, representatives of social service agencies and local
commercial enterprises, and school district administrators and policy makers (Fullan,
1999; Goodlad, 1997; Hoban, 1998).
Collaborative Leadership: Its Use in Schools
Reports of using collaborative leadership as a model for change agentry within
the field of education are limited because site-based management is often mistakenly
equated with collaborative leadership. While site-based management engages
teachers in collective interaction, the model gives teachers only limited decision-making
power in selected areas of school management (Brown, 1994; Riordan & da Costa,
1998; Tye, 1998).
Current literature about the changing role of a principal also addresses
changing the culture of a school and empowering teachers and other stakeholder
groups (Carr, 1997; Koll, Robertson, Lampe, & Hegedus, 1996; Sergiovanni, 1992;
35


Sidener, 1995; Short & Greetr, 1997). Educational leadership literature suggests that
engaging multiple groups in shared decision making and collegial activities creates
collaboration. However, onlyvtwo studies conducted in K-12 schools specifically used
the term collaborative leadership. Following are summaries of those two studies.
School-University Partnership)
For three years, a tetam of university researchers (Clift, Veal, Holland, Johnson,
& McCarthy, 1995) worked together to create a model for collaborative leadership within
a school-university partnership. The project began as an initial teacher preparation
partnership but expanded over time into a multifaceted project that integrated teacher
inquiry, collaborative leadersl-hip, action research, and professional reflection.
Among the multiple obstacles encountered, the researchers found that the
structure of educational institiutions and professional work made collaboration very
difficult. Further, their findings suggested to them that collaborative leadership creates
a great deal of ambiguity, requires time-intensive maintenance, and changes
significantly as participants esnter and exit the process (Clift et al., 1995).
Four-Frame School Model
Telford (1996) reportls findings from a second study about collaborative
leadership in K-12 schools. H/Vhile conducting a qualitative study of five schools in
Australia, Telford explored tine qualities that made the schools successful models of
collaborative cultures. Using a concept borrowed from organizational theory (Bolman &
Deal, 1991), she organized (ner study into four main frames: (a) structural, (b) human
resources, (c) political, and ( d) symbolic.
Based upon the worBc of Bolman and Deal (1991), Telford adapted their four
frames in the following manmer. The structural frame focuses on the centrality of
36


teaching and (earning and uses the structure of the school to enhance individual
student achievement. The human resource frame seeks the skills and talents of school
community members to match roles to aspects of needed leadership. From a human
resources orientation, collaborative leadership responds to the needs of individuals and
accommodates diverse talents as appropriate to the overall vision.
Collaborative leadership viewed through the political frame involves active
participation by all sections of the school community in the decision-making processes.
The symbolic frame draws attention to institutionalization of attitudes and norms into the
school culture. Telford (1996) posits that although each frame requires different
strategies to achieve different outcomes, the result of using all four frames is
collaborative leadership.
Summary
Even though the two studies cited above focused somewhat on the same
phenomenon, the findings did not lead to consensus about what collaborative
leadership is within educational settings. Just as leadership has no universally
accepted definition (Rost, 1991), collaborative leadership may depend upon the
situation and the participants involved in the process. Currently, theories and practices
related to collaborative leadership lack common fundamental elements.
Change Aaentrv: Struggles and Strategies
The literature related to change agentry often describes chaos and confusion
as partners in the change process, causing participants to experience discomfort and
loss, sometimes disillusionment and frustration. Leaders attempting to establish
collaborative efforts must see the connections between their actions as change agents
and the incredible ripple effect on the whole system (Smith, 1999).
37


Preparing individuals to participate in shared leadership activities requires
crucial training in how to integrate inquiry and reflection as ongoing practice, to use
strategies in consensus building, and to know when to act independently and when to
seek collaborative support (Cleveland, 1998). A twelve-step conceptual model for skill
development is proposed by Rubin (1998) as a successful way to engage participants
in collaborative leadership.
Struggles: Group Resistance
Transforming schools into learning communities with collective forms of
leadership increases opportunities for teachers to participate more directly in shared
governance and collegiality. Yet, efforts to change school governance are often
resisted by the very individuals who seem theoretically to benefit most from the change.
Two writers provide their understandings about why change in schools is difficult.
Evans perspective. A clinical and organizational psychologist, Evans (1996)
explored educational change from the human perspective. He suggests that many
types of change efforts fail to engage teachers in leadership activities. Teacher
leadership requires an alteration in teachers role conception, a change to which many
teachers are resistant.
First-order changes do not significantly alter the day-to-day features of the work
in schools or how individuals perform their roles. Modifications of this type are intended
to improve efficiency or effectiveness of the work already being done. Second-order
changes, however, alter the entire structure and culture of an organization. These
systemic changes are much more difficult because people are required to alter their
assumptions and roles, not just do old things slightly differently (Evans, 1996, p. 5).
Resistance to change by reluctant faculties (p. 91) is intensified by differences
in ages, career stages, and experiences of a schools faculty. Evans posits that a
38


chronic problem in school improvement is the failure of change agents to build
readiness for innovation.
*
Carr's perspective. While teachers often appear resistant to increased
empowerment efforts and leadership responsibilities, Carr (1997) suggests that
resistance is linked to low self-confidence. She provides thoughtful insights into
possible reasons why teachers seem to prefer the status quo.
Too many teachers have survived the challenges of teaching by finding comfort
in the isolation of their classrooms. There, they can avoid challenges from their
peers and maintain a comfort zone with their students. When a teacher learns
to step out of that comfort zone, however, and gains the self-confidence
required to accept challengesto reach beyond the day-to-day routinea
collegial leader emerges. It takes a special person to assume such a school
leadership role outside of an administrative position. And unfortunately, within
the teaching profession, there is little to nurture such potential, (p. 240)
Successful adoption of innovation in schools requires practitioner growth and changed
perceptions that result in a variety of responses by those involved in the process (Carr,
1997).
Strategies: Group Inquiry
Change leaders need to become cognizant of the potential responses of others
to systemic reform efforts (Hargreaves & Fullan, 1998; Schein, 1992; Smith, 1999;
Schlechty, 1997). Among suggestions offered in the literature by change proponents,
Schwahn and Spady (1998b) identified five strategies that help to guide change efforts
within organizations or institutions.
First, organizational values, mission, and vision surrounding the innovation
must be so clearly understood that people can state them simply and enthusiastically.
Unless people share a compelling reason to change, they will not accept it. Second, all
stakeholder groups need to be involved, either directly or indirectly, in the development
39


of the vision and strategic design. People do not change unless they have ownership of
the sought change.
Third, leaders need to use the change vision in every important action and
decision (agenda planning, communication, and resource use). Leaders who embrace
the innovation repeatedly model to others that they are serious about the change effort.
Fourth, every individuals role and responsibility needs to be linked to the innovation.
Without a concrete picture of what the change will look like, people are unlikely to
accept the change personally.
Finally, every structure, policy, procedure, and practice in the organization
needs to be linked to the new vision. Without receiving organizational support for the
change, people cannot successfully implement it (Schwahn & Spady, 1998b).
Initiating school reform or renewal efforts requires careful and cautious
preparation. Appreciative inquiry and comprehensive action research are two
strategies that ease resistance to change and engage stakeholders in the process of
identifying needed innovation.
Appreciative inquiry. A traditional strategy used to formulate a change agenda
is problem solving, a methodology that unfortunately often results in a negative mindset
(Lowry, 2000). Appreciative inquiry offers an alternative model for designing
organizational change, based upon a constructivist view of the reality of the
organization.
In contrast to problem-solving strategies that assume something is wrong and
needs fixing, appreciative inquiry is based upon an assumption that simultaneously
"something is going wrong AND something is going right" (Lowry, 2000, p. 6) within the
organization. Appreciative inquiry uses recursive steps similar to the process used in
40


problem solving; however, the significant difference between the two models is the type
of questions asked and the resulting outcomes.
A broad-based group of authentic practitioners must engage in appreciative
inquiry in order to collect the breadth and depth of data needed. Using appreciative
inquiry, shareholders seek solutions through four essential steps: (a) discovery to
determine what is, (b) dream to envision what might be, (c) design to create a plan of
action, and (d) delivery to guide implementation of the desired change. Research
suggests that appreciative inquiry can provide engaging and empowering opportunities
for principals, classroom teachers, students, parents and staff to discover the positive
elements of their school (Lowry, 2000).
Community-based action research. Another systemic change strategy is
community-based action research (Stringer, 1996), which is similar to appreciative
inquiry (Lowry, 2000) but which focuses on problem solving through action. The basic
framework for action research involves three processes Stringer (1996, p. 16) calls
"look" (gather relevant information and describe the situation), "think (explore and
analyze, interpret and explain), and act" (plan, implement, and evaluate).
Action research becomes a continually recycling process of observation,
reflection, and action that can be a complex process involving large groups or be an
individual process of reflective practice. The value of community-based action research
is that it shares power and often leads "toward more cooperative, consensual ways of
living" (Stringer, 1996, p. 160).
Summary
Appreciative inquiry and community-based action research are two systemic
change strategies that can be used to build school cultures that are open to shared
decision making and supportive of collaboration. Because both appreciative inquiry and
41


action research use current data collected within the setting, outdated assumptions
(Astuto et al., 1994) that often guide decision making can be challenged with the
realities of the present.
Another outcome of using appreciative inquiry and community-based action
research in schools is that principals must face and resolve the paradox of their
changing roles as school leaders. Since schools represent what Schein (1992) calls
mature organizations, introducing new models of principal leadership can be quite
difficult.
The Principalship: New Role as Change Leader
According to Wagner (1998), effective school reform requires a very different
type of leadership than is usually found today in most educational systems. While new
styles of leadership have been successfully implemented in corporate change efforts,
Wagner believes thus far there has been very little discussion in our schools and
districts of the new roles and skills educational leaders must learn" (p. 514).
To be effective and credible, Wagner believes that educational leaders must
develop genuine collaborative relationships with teachers, parents, union leaders, and
other invested stakeholders through a constructivist approach to change that is based
on collaboration. His model of an alternative to the compliance strategy of top-down
school reform initiatives is defined as a multifaceted, integrated process involving many
participants.
A constructivist approach to change ... is a process of action research
and development in which everyone works to understand the problem, engages
in discussion to reach agreement on the goal, and shares in the responsibility
for implementing change, assessing progress, and achieving results.
Ultimately, a constructivist change process helps to create and becomes
embedded in a new school and district culture that values continuous learning
and improvement both for adults and for students. (Wagner, 1998, p. 516)
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Berliner and Biddle (1995) express concern about redefining the principalship in
the current era of standards and accountability, which usually pinpoints the principal as
the person whose job is on the line. Additionally, Pool (1998) believes parental
involvement, inclusion programs, school choice, and vouchers are among many
recommended ways for improving student performance levels that impact the
principalship in new ways.
With regard to the current accountability movement, Hoban (1998) posits that
redefining school leadership from the traditional autocratic model with the principal at
the helm into a collaborative empowering model involving multiple groups can be
viewed as a clash of paradigms. He openly expresses his struggle to find balance
between the ideology of new school leadership designs and the "major onus of
improvement" (Hoban, 1998, p. 5) of student performance and achievement expected
today from school administrators.
I still remain convinced, from an idealistic position, there really is a place for
participative leadership and that Dewey was right in his call for democracy and
school administration.... But, I also am coming to the conclusion that what we
teach about leadership and what is actually being practiced, and maybe even
desired, are two different things, (p. 8)
Rethinking the role of the principal as a change initiator" (Bums, 1998, p. 12)
cannot be viewed as an easy solution to educational reform. Transforming the
principalship from the traditional position as the primary school leader into the role of an
actor within a collective leadership process requires new understandings and clarity of
purpose and responsibilities. Not only the person assuming the role as the school
principal, but also all others within the entire organizational community must understand
the redefined roles and expectations (Barth, 1990; Cline & Necochea, 1997; Fullan,
1999; Koll etal., 1996).
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Within the research about educational change, four studies presented evidence
that both principals and teachers struggle to reconcile their new roles in collaborative
processes. Reviews of those four studies follow.
Restructuring School Culture
In a dual role as university researcher and teacher educator, Dana (1992)
served as the primary investigator in a collaborative study with the principal and
teachers at an elementary school. The group sought to initiate a change from a school
culture of isolation and seclusion to one of collegiality and caring.
The teachers, principal, and university researcher used action research to
explore, initiate, implement, and document change in the school related to teacher
leadership and teacher voice. Dana (1992) reports a negative response toward the
process by those not participating in the effort and difficulties encountered by the
principal in relinquishing power as the primary school leader.
Restructuring School Governance
In a second school research project, Sidener (1995) conducted a seven-year
study about participants beliefs concerning the distribution of authority and the nature
of work during the transition from a traditional hierarchical leadership model to site-
based management in a high school. Sidener discovered that successful restructuring
requires (a) a change in the entire organizational culture, (b) a shift in the core beliefs
and assumptions by all members of the school community, and (c) a clear definition of
new roles for all participants at every level.
Sidener supports transforming the principalship into a model of facilitative
leadership that encourages participant ownership. However, she asserts that systemic
change must be understood to be an emerging, dynamic process requiring consistent
44


support from the district as well as sufficient time and ongoing assistance to make the
goal a reality.
Restructuring School Community
Brown (1994) reports a third perspective about the challenges principals and
teachers face when redefining roles and responsibilities to develop collaborative
interactions in schools. Serving as a participant-observer in an 18-month qualitative
inquiry, Brown studied an elementary schools transition to site-based management.
He investigated the issue of trust, the value of commitment and collaboration among
members of the school community, and the confusion created from introducing new
roles and responsibilities.
Based upon the findings of his study, Brown recommends that a school
community clearly determine the level of its commitment prior to initiating a change in
its leadership model. Two critical implications are that (a) transitioning school
leadership into a more collaborative model requires support both during and following
the process and (b) training and integrating new teachers into this emerging style of
school leadership must be ongoing.
Restructuring School Leadership
A fourth study about actions taken by principals and teachers that contributed
to effective collaborative work in Canadian and Australian schools was reported by
Riordan and da Costa (1998). Their findings suggest strategies a principal can use to
create a school culture that supports a collaborative leadership model.
First, by recruiting teachers with experience in collegial work and by allowing
teachers the freedom to choose their assignments and work groups, Riordan and da
Costa found that the principal establishes an atmosphere of teamwork. Additionally, by
45


providing early and continuing collegial interactions and group leadership among
beginning teachers, the principal demonstrates a commitment toward empowerment.
Rndings from this study also suggest that by encouraging professional
development activities with educators from other schools, the principal supports
opportunities for the development of collaborative networks. Finally, Riordan and da
Costa (1998) discovered that by supporting mentoring between experienced and
beginning teachers and by clearly delineating supervisory and collaborative relations,
the principal creates a climate where collegial and collective work becomes expected.
Summary
As these four studies conducted in K-12 schools have shown, leading systemic
change often introduces chaos and confusion, causing even the principal to experience
discomfort and loss. Change leaders who introduce or support collaborative efforts
must see the connections between their actions as change agents and their modeled
responses (Schein, 1992; Smith, 1999). This caution may be easier to suggest than to
practice in the day-to-day demands of school administration. A school leaders focus
traditionally has been managerial in nature; thus, a principal often spends more time
addressing ways to solve small issues rather than focusing on broader leadership
activities (Barth, 1990).
Another challenge faced by school principals actually may begin with the very
process by which they are selected and developed (Cline & Necochea, 1997).
Mentoring has long been a method for inculcating the beliefs, values, and norms of an
organization, and school systems regularly use this method of leadership development
for prospective and new school principals.
Cline and Necochea (1997) posit that those who are selected for mentoring are
those who most closely resemble those already in administrative positions. This can
46


create for many principals a confusing dilemma: how to be visionary leaders while at
the same time conforming to the norm. Further, while literature about change in
schools suggests that the central administrative office should act supportively and help
facilitate change, school principals rarely receive that kind of assistance from district-
level administrators (Barth, 1990).
Based upon a review of recently published books and articles about school
leadership, it is evident that the role of the principal is changing. The current movement
to increase involvement by ail groups within a school community (classroom teachers,
parents, staff, and even students) requires principals to leam new skills in relationship
and community building.
In the current era of demands for educational innovation and accountability, the
converging point for action and results lands on the principalship. Todays school
leaders assume awesome responsibilities in meeting divergent demands and
expectations (Brewer, 2001; Lemley, 1997; Sergiovanni, 2001). Challenges presented
by school communities, policy makers, business and industry leaders, and the public
are changing this key educational role (Fullan, 1997, Peterson, 2001; Schlechty, 2001;
Sergiovanni, 2001) and creating evidence of personnel shortages to fill vacancies
(Copeland, 2001; Daresh & Capasso, 2000; Kelly & Peterson, 2000; Lovely, 1999).
Future predictions indicate that even greater changes lie ahead for educators.
Future Trends: Predictions and Proposals
Just as the past affects what is happening today in schools, present actions
impact the future direction of public education. While we cannot accurately predict the
future, trending forecasts emerge by using numerous futurist strategies (Pulliam & Van
Patten, 1999).
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Using a variety of research methods, futurists produce anticipated
developments, predictable probabilities within a time span, and consequences of
possible alternatives. The informed forecasts generated by futures research then can
be used to guide strategic planning and policy making (Pulliam & Van Patten, 1999).
Three brief descriptions of predicted trends in education that have impact on the
principalship and the preparation of future educational leaders follow.
Futurists Vision
Pulliam and Van Patten (1999) are historians, not futurists. Yet, in their most
recent edition of a textbook about the history of American education, they report five
trends in education predicted by futurists. These projections were made in the absence
of major global disruptions, such as war or a new invention.
First, the pattern of education will change from chunks of formal education to
continuous streams of lifelong learning. Rather than job training, adults will move
through cycles of knowledge acquisition and skills development. Second, because of
multiple new learning-delivery systems such as distance learning, large traditional
university campuses will cease to exist.
Third, although fewer classroom teachers will be needed, a greater number of
people will be engaged in teaching and learning within differentiated staffs. Because
lifelong learning will be the norm, the distinction between the teacher and the taught will
diminish. Additionally, those who are allowed to manage a future learning environment
will have completed long years of training.
A fourth future trend predicted by Pulliam and Van Patten (1999) is that
knowing how to learn in an efficient and joyful way will be a very highly prized future
skill" (p. 304). In the ideal future, learning will be less competitive, less standardized,
less grouped by ability, and less pressured for the student.
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Their fifth prediction has significance for the future of K-12 schools: the demise
of "age-specific compulsory learning institutions" (p. 304). In place of schools, a variety
of learning environments will emerge where children, youth, and adults will work
together in the same learning situations. Thus, a learning society will emerge, one in
which most people will spend a great deal of every day of their lives in some kind of
learning environment (Pulliam & Van Patten, 1999, p. 304).
Policy Analysts Vision
Based upon his nearly 30-year career of studying educational policy, Pipho
(2000) offers his probable developments in the 21st century (p. 16). Many are similar
to those projected by Pulliam and Van Patten (1999). Rrst, changes in educational
policy will create more choices for students and parents. Choice will require that
compulsory attendance laws be removed and that all education providers be required to
adhere to uniform achievement standards. Second, constituent lobbying for
modification in school-funding policies will make access to education monies available
to a wide variety of providers. Third, the responsibility for teacher training and
professional certification will extend beyond the current domain of higher-education
institutions and state boards of education. A variety of providers, including private for-
profit groups, will engage in the business of teacher training and professional
development.
Further, Pipho (2000) predicts that new governance models will evolve.
Because information technology crosses boundaries, the federal government may
develop an interstate commerce model to substitute state responsibility for public
education. Pipho's sixth prediction for the 21a century is that the federal government
also will assume a greater role in providing day care for young children and community
49


centers for senior citizens. And last, traditional professional associations that often take
a status-quo stance will be replaced or dissolved. As the number of for-profit
educational providers increases, new professional organizations will emerge (Pipho,
2000).
Business Educators Vision
A professor of management and communications asserts that education in
America is "ripe for revolution" (Buchen, 2000, p. 34). The predicted revolution,
however, will be unofficial and will emerge from many sources.
Buchen (2000) forecasts that the future model of education will emerge from
three essential elements: (a) new organizational structures; (b) new advancements and
monitoring systems; and (c) new roles for teachers, students, and administrators. His
model does not discard current goals of education but extends them based on the
needs of students and society.
Since one goal of education is liberation, the process of education should
transport students from dependence to independence, then from independence to
interdependence" (p. 31). Buchen posits that his model emphasizes multiplicity in how
intelligence is measured, success is defined, and goals are achieved.
Like Pipho (2000), Buchen envisions new governance models for schools. In
the future, school administrator positions will be eliminated and replaced by teacher
committees that manage learning, curriculum, assessment, discipline, and
development. All administrative duties that principals now have (such as purchasing,
finance, maintenance, and security) will be handled by professionals hired by the
school. Teachers will seek advice from futurists, educational technology innovators,
experts in problem solving, psychologists and group dynamics experts, community
50


leaders, social analysts, environmental experts, and a global network of other teachers
and students" (Buchen, 2000, p. 33).
Leadership Educators Proposals
Based upon emerging trends for the future of education in the 21st century, all
educators need to become skillful collaborative leaders and change implementers. To
meet ever-increasing demands, Schlechty (2001) calls for shaking up the schoolhouse
through restructuring and systemic change. He believes, as a society, we must begin
the educational change process through a quest for what we have in common rather
than the celebration of what divides us" (p. 226).
Thus, school leaders must arrive at consensus about (a) the purpose for public
schooling, (b) the identification of school clients, (c) the products for school customers,
and (d) the necessary current school improvements and future creations. Unless
leaders of public education initiate wide-sweeping innovation, Schlechty (2001)
envisions a privatized system of schools that would change the fabric of America's
democratic society.
Based upon four broad trends (social, economic, technological, and political),
both centralizing and decentralizing forces are stimulating change in schools. Thus,
Leithwood et al. (1999) advocate strongly for changing leadership for changing times
through envisioning future schools. Todays schools can begin evolving by meeting
three important criteria through imagining schools in three different models. The three
criteria and models are (a) inclusiveness through schools as community (p. 211), (b)
efficiency and effectiveness through schools as high-reliability organizations (p. 213),
and (c) adaptability through schools as learning organizations (p. 2.14). The
leadership focus becomes different for each of the three school models.
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While the authors advocate sweeping changes in the basic structure of: schools,
they recognize that fundamental restructuring is highly unlikely. Therefore, Leitffriwood
et al. (1999) posit that school leaders must leam to maneuver the swampy proHblem of
moving their present schools towards a defensible vision of future schools (p. 223).
They believe that the tools for schools transformation into the future are principals.
Preparation to face the unknown and the unexpected comes through continual
professional improvement to guarantee high-quality learning opportunities (Lermley,
1997). As new roles emerge for all educational stakeholders, not just principalss, the
ability to work collaboratively becomes critically important (Fullan, 1999). Ho weaver,
working together requires organizational learning and shared understandings.
Lambert (1998) views leadership as an energy flow or synergy that builads
capacity in schools for flexibility and adaptability. She defines leadership as "thee
reciprocal learning processes that enable participants in a community to constn_ict
meaning toward a shared purpose" (p. 18). The organizational environments neecessary
to support continuous learning for all are empowered learning cultures.
Culture is the powerful, sometimes hidden, stream of norm, values, beliefs,
traditions, and rituals" (Peterson & Deal, 1998, p. 28) that defines an organization or
group. Thus, school leaders need to understand the important link between leadership
and culture if they hope to transform schools into learning communities. Chapter 3
presents a literature review about the interrelationship between culture and empowered
learning.
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CHAPTER 3
EMPOWERED LEARNING CULTURES
Ail organizations have a culture, a system of shared beliefs and assumptions,
rites and rituals, and corporate identity that influences the work within the organization
(Collins & Porras, 1997; Deal & Kennedy, 1982; Schein, 1992). Organizational culture,
as well as the culture of subgroups within the organization, is important since a positive
culture creates effectiveness and responsiveness, while a negative culture decreases
levels of productivity and can ultimately destroy the organization (Collins & Porras,
1997; Patterson etal., 1996; Schein, 1992).
Maintaining a strong organizational culture requires new employees to go
through a process of orientation and acculturation that is intended to align the values
and assumptions of new members with those of the organization (Collins & Porras,
1997). Additionally, factors in the external environment can alter the culture within an
organization (Fullan, 1999; Schein, 1992), thus requiring organizational leaders to be
ever involved in a balancing act to meet the needs of various groups both internal and
external to the organization (Patterson et al., 1996).
Group Culture: Balancing Solidarity and Sociability
According to Goffee and Jones (1998), corporate culture is social architecture
determined by levels of solidarity and sociability, which in turn identifies the character of
the organization and its greatest strengths or weaknesses. They define solidarity as an
intermittent form of relationship that does not have to be sustained by face-to-face
interactions and is inconsistent over time. Sociability is the intensity of friendliness
53


among people within an organization and the extent to which members mingle their work
and non-work lives. The interactive levels of solidarity and sociability create four types of
cultures: (a) fragmented, (b) networked, (c) mercenary, and (d) communal.
When people work autonomously, the focus becomes the reputation of the
individual and the prestige of the affiliated organization. Thus, a fragmented culture
displays low levels of both solidarity and sociability. Goffee and Jones suggest that
journalists, lawyers, academicians, and consultants work in fragmented cultures.
The second type of culture is defined by display of low solidarity and high
sociability. People working in a networked culture help each other through strong
communication networks. Sometimes, however, a networked culture in a work
environment can degenerate into politicized cliques that can become too consensus-
driven and thus the organization fails to take action when needed.
The third type of culture defined by Goffee and Jones (1998) is a mercenary
culture. In this type of work environment people are not particularly friendly, but
everyone knows the goals and objectives, how to achieve the goals, and who the
enemy" is. Goffee and Jones liken teamwork in a mercenary culture to eagles flying in
formation. The high solidarity, low sociability factor of a mercenary culture can result in
an organization where protecting corporate interests is so focused that creativity is
lacking and resistance to change is high.
The fourth type of culture is characterized by intense emotional, personal
relationships inside the system. An organization that has a communal culture outwardly
displays a very clear focus on its mission. This communal culture, often cult-like and
hard to maintain, manifests high levels of both solidarity and sociability. Goffee and
Jones (1998) posit that successful organizations exhibit elements of all four types of
cultures.
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Empowered Learning Cultures
Another influence on organizational culture can be the transition from traditional
hierarchies of power to innovative work-group structures that require new types of
organizational learning, core competencies, and individual responsibilities (Deal &
Kennedy, 1999; Hendry, 1999; Stewart, 1999). Restructuring organizations from
frameworks of centralized authority into self-directed work teams generates challenges
and requires new working relationships in what are called learning organizations (Senge,
1990) or learning cultures (Schein, 1992). The following reviews of the theories by
Senge and Schein are presented as background for Fullans (1999) concept of a
collaborative culture.
Learning Organizations
In presenting his vision of the practice and art of a learning organization, Senge
(1990) postulates that creating empowered learning organizations is accomplished
through the collective awareness and capabilities of its members. Senge defines five
disciplines that form the core of a learning organization and thus instill a sense of
systemic awareness within a team of people.
The first discipline, personal mastery, expands an individuals capacity to create
desired results. Mental models (the second discipline) reflect, clarify, and improve
internal pictures of the world to shape the actions and desires of each team members. A
shared vision, built communally by developing images of the desired future, is the third
discipline.
Team learning (the fourth discipline) is a transformation of conversational skills
and collective-thinking skills that together create the sum of the groups ability that is
greater than that of each individual. The fifth discipline in a learning organization is
55


systems thinking, the understanding of interrelationships that shape the behavior of a
system (Senge, 1990).
Learning Cultures
According to Schein (1992), the culture in a learning organization supports
perpetual diagnosis and self-management of transformations needed because of
changes in the external environment. Schein argues that well-established traditional
organizational cultures often discourage and inhibit adaptability and responsiveness to
change. In a learning culture there is a shared core assumption that the organization
has some level of control over environmental influences.
Schein (1992) posits that a learning culture exhibits ten different characteristics.
The first five characteristics include (a) a core corporate assumption that the
environmental context can be managed to some degree, (b) evidence of proactive
human activity, (c) a pragmatic search for truth, (d) a corporate perspective of human
nature as basically good and mutable, and (e) a structured balance between
authoritarian and collegial relationships. The continued list of Scheins ten characteristics
of a learning culture are (f) a shared pragmatic understanding of time, (g) a fully
connected communication and information system based upon truth and trust, (h)
evidence of high levels of connected diversity, (i) a balanced orientation between tasks
and relationships, and (j) a systems-thinking orientation.
Further, Schein posits that changing the culture of a mature and potentially
declining organization requires a break from the tyranny of the old culture" (p. 379).
Changing the culture of an organization is extremely challenging because organizational
culture is complex, an often hidden pattern of shared assumptions that guides the
thinking and actions of organizational members. Schein (1992) also believes that
56


leaders of the future will experience an "inevitable pain of learning" (p. 392) during the
process of creating a learning culture in which everyone participates.
Collaborative Cultures
Theories about learning organizations (Senge, 1990) and learning cultures
(Schein, 1992) are integrated into Fullans (1999) description of a collaborative culture.
Fullan posits that it is impossible to create a simple model for organizations to adopt
when transforming into a learning organizationthe transformation is too complex and
unique for each setting.
Further, Fullan believes that learning is only part of the synergy needed to create
the dynamic forces for change within an organization. The key to change is "effective
collaborative cultures for complex times" (p. 36) that evolve from unique local conditions
and transform organizations through capacity building. Nonetheless, Fullan suggests
that exploring the three major characteristics of collaborative cultures can provide
insights for how collaborative cultures can be developed.
Diversity and conflict. Rrst, the myth that collaboration means like-minded
consensus must be dispelled. Fullan (1999) suggests that individuals who work together
within collaborative cultures value diversity and actively seek alternative viewpoints and
different perspectives. The diversity creates the necessary conflict that members within
collaborative organizations use to provoke learning, clarify understanding, and guide the
moral purpose of the organization. Conflict is supported within the culture because trust
and compassion are developed through intense interactions and information sharing.
Open-endedness and relentless pursuit of complex problems are two additional
elements of collaborative organizations.
Anxiety and cohesiveness. Second, Fullan suggests that while conflict
generates group anxiety, anxiety produces the cohesiveness that holds the collaborative
57


culture finely balanced. A culture that is too structured becomes stagnant and one that
is too chaotic becomes fragmented. For members of collaborative organizations, the
quality of relationships is central to its success" (p. 37). Members share a commitment
and energy to pursue complex goals, and thus they encourage passionate emotions and
provide the necessary emotional support for one another. In order to remain adaptive to
changing memberships and external demands, collaborative organizations continually
strive to balance coherence and discord.
Knowledge generation. The third characteristic of a collaborative culture is the
generation of quality ideas, the creation of knowledge and expertise, and the continuous
development of best practices. Knowledge creation in a collaborative organization is
different from learning, which Fullan (1999) suggests is the acquisition of best practices
created by others. Collaborative organizations create new ideas from explicit knowledge
(numbers and words that can easily be shared) and tacit knowledge (beliefs and skills
that are not easily communicated). According to Nonaka and Takeuchi (1995, as cited in
Fullan, 1999, p. 15),
Tacit knowledge is highly personal and hard to formalize, making it difficult to
communicate or share with others. Subjective insights, intuitions, and hunches
fall into this category of knowledge. Furthermore, tacit knowledge is deeply
rooted in an individuals action and experience, as well as in the ideals, values,
or emotions that he or she embraces.
A collaborative culture structures itself so that tacit knowledge is shared among
organizational members through multiple methods (such as observing others at work)
and opportunities (such as participating in dialogue with others). Tacit knowledge is
converted into explicit knowledge, and then the explicit knowledge is tested against new
ideas and knowledge created outside the organization.
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Fusion. Fullan believes that a collaborative culture is more complex and exciting
than a collegial or professional learning community. Three powerful change forces work
together to energize and sustain a collaborative culture. Fullan (1999) writes.
Moral purpose (the spiritual) gains ascendancy. Power (politics) is used to
maximize pressure and support for positive action. Ideas and best practices (the
intellectual) are continually being generated, tested and selectively retained. In
collaborative cultures these three forces feed on each other. They become
fused, (p. 40)
Fusion involves creating coherence amid the necessary discord, the joining and
connecting of differences that strengthens the work done and knowledge generated
within a collaborative culture. Because interaction and communication is so intense,
members of collaborative organizations develop confidence to explain their work and
knowledge to others beyond the boundaries of the organization.
Thus, a collaborative organization purposefully seeks connection and
involvement in the larger diverse environment, what Fullan describes as a two-way
"inside-outside" collaboration (p. 43). This reciprocal flow of information across
boundaries opens the exchange of ideas and provides opportunities for continual
improvement and development.
Operational Definition
The definition of an empowered learning culture for the second conceptual
framework for this study integrates components of theories offered by Senge (1990),
Schein (1992), and Fullan (1999). Further, the operational definition for an empowered
learning culture is set within an educational setting. Thus, an empowered learning
culture is the shared set of explicitly stated and implicitly held beliefs, assumptions, and
norms made evident by the ways in which everyone in the learning setting works
together in trusting and supportive relationships. Members of the group collaborate to
59


create and test knowledge that is integrated into practice, and they act collectively and
proactively to initiate and sustain needed innovation.
Learning Cultures in Schools
The purpose for building collaborative capacity through empowering
stakeholders in the school community is often linked with successful reform efforts.
Leithwood and Jantzi (1990), Sergiovanni (1998), and Deal and Peterson (1999) suggest
ways that schools can create empowerment.
Leithwood and Jantzis Perspectives
Leithwood and Jantzi (1990) conducted a study of Canadian schools to
investigate the strategies used to develop collaborative school cultures. Findings from
their comparison study suggest that the degree of culture change in a school is affected
by four broad factors. The change indicators include (a) the endorsement by the district
board, (b) the type of innovation support by the school administration, (c) the
effectiveness of external experts in guiding staff development, and (d) the degree of staff
inertia.
Based upon their findings, Leithwood and Jantzi posit that successful
implementation of innovation depends upon significant changes in staff members'
individual and shared understandings of their current purposes and practices" and "an
enhanced capacity to solve future professional problems, individually and collegially" (p.
30). However, they caution that changing a school's culture in order to integrate
innovation requires a span of two to three years, as teachers and staff confront the
dissonance about processes and practices.
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Sergiovannis Perspective
A second perspective about building empowered school cultures is provided by
Sergiovanni (1998). He is exploring pedagogical leadership as a way to cultivate a deep
culture of learning and teaching that presents a strong and clear commitment to
academic achievement.
In Sergiovanni's model, the school becomes the center of communities of
practice that generate professional capital for educators. Teachers are active learners
who model intellectual practices for students. Among the ten tasks of pedagogical
leadership, three connect directly to building empowered learning cultures. Purposing"
brings together shared visions into a covenant understood by administrators, teachers,
students, and parents. Maintaining harmony1' builds consensual understanding of
school purposes and functions and of individual roles and responsibilities within the
culture. Institutionalizing values" translates the school's covenant into workable
procedures and structures to accomplish the school's purposes. According to
Sergiovanni (1998),
The source of authority for leadership is found neither in bureaucratic rules and
procedures nor in the personalities and styles of leaders but in shared values,
ideas and commitments. Those who identify with this ... structure are members
of a community of mind. This membership both empowers them and requires
them to accept responsibility for providing leadership and for helping the
leadership provided by others to work. (p. 43)
Deal and Petersons Perspective
A third perspective linking school culture and educational innovation is offered
by Deal and Peterson (1999). The principal is the culture manager, a responsibility of
leadership that Deal and Peterson call the "heart of leadership." To shape positive
school cultures, a principal assumes eight symbolic roles. As the historian (p. 88), the
principals seeks to understand the social and normative past of the school, while in the
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role as anthropological sleuth (p. 88), the principal analyzes and probes the realities of
the current school culture.
Working as a visionary (p. 89), the principal leads the school community in
defining a deeply valued picture of what the school will be in the future. The principal is
the symbol (p. 90) of the school who continually must affirm cultural values by always
modeling them in every action taken. As a potter (p. 92), the principal shapes the
school culture, and as a poet (p. 95), reinforces the school's cultural values through
language (Deal & Peterson, 1999).
The principal assumes the role of actor (p. 97) to improvise the inevitable
dramas, tragedies, and comedies that occur within the school. In the role as healer
(p. 98), the principal helps to heal the wounds of conflict and loss that occur during the
transitions and changes within the school community. Deal and Peterson (1999) posit
that by assuming the various eight symbolic roles of leadership, a principal can create
an empowered school culture where teaching and learning are woven intricately
together.
To prepare future educational administrators for the challenging task as culture
manager, students aspiring to the principalship need opportunities to engage in
activities that develop skills in creating collaborative cultures. A recent trend in higher
education in response to this professional preparation need is the conversion from
separate-course programs to cohort programs.
Learning Cultures in Cohorts
Learning cohorts are organizational structures used in higher education to deliver
instruction suited to the unique needs of adults and to foster collegial learning (Barnett &
Muse, 1993). Based upon research findings, the cohort model appears to foster
62


interpersonal relationships, create caring climates, and support students competence and
sense of well being.
As several studies cited below indicate, the culture of a well-functioning cohort
increases the level of learning for all participants. Further, most studies described in this
section involved learning cohorts in university-based administrative leadership
development programs.
Influence of Group Dynamics
In order to determine if scheduling structures created differences in group
dynamics, Reynolds (1993) compared cohort programs, in which students took all or
nearly all courses together, with intensive-schedule classes that met in time blocks of
four or more hours for each session. Three group dynamics variables were selected:
(a) group cohesiveness, (b) group interaction, and (c) instructional style. Reynolds
found that cohort programs provide higher levels of cohesiveness and group interaction
than traditional separate-course programs.
Influence of Cohort Structure
The influence of the cohort structure in developing learning communities was
the focus of a study conducted by Basom et al. (1995). Anecdotal evidence suggests
that cohorts provide advantages to both students and instructors, making worthwhile
the additional time and cost required in planning and coordination.
Student members of well-functioning cohort groups reported greater feelings of
inclusiveness, more opportunities for collaboration and networking, and enhanced
academic performance. Advantages for using the cohort structure cited by faculty
members included improved student-faculty relationships and opportunities for
professional growth through increased intradepartmental cooperation.
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As a result of their expansive research on the effectiveness of educational
cohort experiences, Basom et al. (1995) conclude that the structure of cohorts provides
adult students with feelings of inclusiveness that benefits their learning by promoting
collaboration. Group affiliation and collaborative learning enhances academic
performance for all.
Influence of Mutual Support
Using data derived from an analysis of reflective journals, Norris and Barnett
(1994) sought evidence of interdependence, group interaction, and purpose in student
writing. Analysis indicates that students participating in cohorts reported (a) mutual
support and solidarity that increased group interdependence, (b) significant personal
growth and enhanced knowledge, and (c) increased contributions to group development
through greater individual empowerment.
Further, in a national study conducted by Yerkes. Basom, Norris, and Barnett
(1995) , faculty who taught in cohort programs reported using instructional strategies to
encourage independent student learning and empowered learning environments.
Students reported, as outcomes of their cohort experiences, (a) a sense of belonging
and social bonding, (b) enhanced professional confidence, (c) new collaboration and
networking opportunities, and (d) a strengthened ability to reflect on practice.
Influence on Learning
Wesson (1996) also explored the impact of cohort structure on student
learning. Through student interviews, Wesson discovered that group dynamics
changed over time and that each cohort developed its own personality. Students
reported that collusion shut down learning, whereas cohesion facilitated higher levels of
mental processing and introduced new ways of constructing knowledge. Wesson
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asserts that findings from his study validate the positive benefits of the cohort structure
and the application of principles of cognitive learning theory.
Summary
A well-functioning cohort represents a learning community as defined by Senge
(1990) in his seminal work. Senge posits that team learning occurs when group
members perceive one another as colleagues. Treating one another as colleagues
acknowledges the mutual risk and establishes the sense of safety in facing the risk"
(p. 245).
Through learning how to dialogue and discuss different perspectives, some
supportive and some conflicting, members of a learning team feel free to share views
openly. Within a safe environment, learning becomes playful" (p. 246) and new ideas
can be presented, examined, and tested by the group. Team learning is further
enhanced when learner-centered instructional strategies are implemented.
Developing Empowered Learning Cultures
Adult students bring their distinctive perspectives and frames of reference into a
learning environment. Thus, it is critical that multiple factors be attended to and
respected so that everyone can participate actively.
Environmental Influence
Adult learners can influence the learning environment through two broad types
of adverse baggage" (Mahoney, 1990, p. 51) that can interfere with the learning
process. External influences include situations related to family, work, and community
obligations, while internal influences refer to an individuals health, interpersonal
conflicts, and attitudes toward a problem or situation. Issues related to a learners
perception of self-worth and ability as a returning student can also influence the
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learning environment. Mahoney believes that educators of adult students must be
cognizant of such potential sources of interference and take necessary steps to
diminish any negative influence in the learning environment.
Expanding upon the concept of external influences that can impede the
learning process, Ortman (1995) addresses the concerns of commuting adult students.
He maintains that university professors and instructors must take into consideration
adult student work responsibilities and the challenges of travel during high-density
commuter hours as well as the challenges of balancing coursework with managing
households and caring for family members.
Risk-Safe Environment
Achinstein and Meyer (1997) recommend providing opportunities within a
caring environment for students to deliberate about and make sense of difficult
situations. When this process is extended further by providing students with guidance
in how to constructively critique their own work and the work of their peers, it leads to
the creation of critical friendships and collegiality within the group.
Further, since learning in a classroom-like environment is as much a socially
shared undertaking as it is an individually constructed enterprise" (Lambert &
McCombs, 1998, p. 39), social interactions, interpersonal relationships, and
communication with others influences learning. It is crucial that the environment be
stable and built upon trust and caring among the group members.
Experience-Valued Learning
Additionally, instructors of adult learners who design educational programs
need to be cognizant of and address the special characteristics of adult students
(Barnett & Caffarella, 1992). The special attributes of adult learners include the need
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for acknowledgment and use of students experience, active involvement of the
students in the learning process, implementation of a variety of learning techniques to
meet the multiple styles of experienced learners, and need for group affiliation.
Barnett and Caffarella (1992) suggest four strategies that instructors can use to
address the special characteristics of adult students in a cohort program. To build
group cohesion and enhanced learning opportunities, cohort instructors should
integrate (a) initial group development activities, (b) reflective seminars, (c) individual
learning opportunities, and (d) long-term involvement with all members of the cohort.
Varied Learning Activities
Adult students occasionally develop blocks to learning and therefore instructors
need to stay attuned to that possibility and make necessary program adaptations to
eliminate or diminish the learning blocks. Warren (1968) proposes that adult learning
programs be structured to foster both the acquisition of facts, skills, and attitudes and
the development of inner potential.
By integrating a variety of classroom strategies, an instructor can eliminate
blocks to learning while also developing group synergy and providing novelty and
variety within the program (Warren, 1968). Examples of such strategies include the use
of portfolio assessments that requires reflection about professional practice and
engagement of students in collaborative group learning and teaching (Geltner, 1994).
Glickman (1998) advocates for adult students and instructors working together to create
course curricula that covers the required content in ways that actively engage adult
learners.
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Experiential Learning
Learning that is relevant and conducted as a fundamentally natural process
engages students (Bruner, 1960; Dewey, 1938; Lambert & McCombs, 1998). One of
the challenges in designing a cohort program based upon learning through experiences
is the selection of the kind of "present experiences that live fruitfully and creatively in
subsequent experiences" (Dewey, 1938, p. 27). Relevant learning requires the
acquisition of principles and attitudes and the development of skills that can be
transferred to other settings (Bruner, 1960).
With regard to experiential learning, Dewey (1938) believed that the "greatest of
all pedagogical fallacies is the notion that a person learns only the particular thing he is
studying" (p. 48). He advocated teaching for understanding through the use of
educative experiences in the classroom. Dewey cautioned, however, that active
learning requires careful and purposeful planning of instructional strategies that engage
students in experiences that connect to larger goals. Activities without purpose are not
educative, but simply meaningless (Dewey, 1938).
Problem-Based Learning
Citing the theories of Dewey and many others, Muth (2000) presents a
comparison of traditional and contemporary viewpoints about aspects of learning, such
as what is to be learned, how it is to be learned, what process is to be used, and what
teachers and students should do. The comparison frames Muths three-point argument
for a revision of learning activities and teaching strategies utilized in educational
administration cohort programs.
By using problem-based learning activities linked to real problems of practice in
K-12 schools, students begin early to use theories and develop skills needed in their
future roles as school leaders. By integrating group action research projects and
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appreciative inquiry activities into the curriculum, students learn the power of
collaborative inquiry and the importance of careful use of data and reflection. By
working together in a variety of small group and whole class settings, students learn the
challenges of group dynamics when membership changes. Muth (2000) posits that
"collaborating on problems of practice is fundamental to learning to be a professional"
(P-15).
Summary
Although bountiful anecdotal data exists, empirical evidence currently is lacking
on the effect that participation in a learning cohort has on future practice as a
collaborative leader in an empowered school culture. Transference may be a variable
impossible to measure. Nonetheless, the integration of experiential activities and the
modeling of exemplary teaching strategies within educational leadership cohorts may
help future school leaders understand the importance of creating empowered learning
cultures in schools.
Acculturation: Preparing New School Leaders
The preparation of new principals, ready to assume leadership of schools
challenged by change forces both external and internal to the building, has become
critically important. Kelley and Peterson (2000) assert that the quality and
improvement of American public schools is threatened by a crisis in school leadership
(p. 2). Statistics indicate that a shortage of qualified principals may occur in the near
future (Daresh & Capasso, 2000; Kelley & Peterson, 2000), and thus, the preparation of
new school leaders has become a high priority.
Many university-based leadership development programs have evolved into
administrator preparation programs with coherent, sequenced curriculum delivered
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through cohorts of about 20-25 students (Barnett & Muth, 2000; Kelley & Peterson,
2000; Milstein & Krueger, 1997). In many programs faculty work collaboratively with
local practitioners to balance theory with practical reality. Additionally, professional
standards for the preparation, licensure, and practice of school administrators guide
many professional development programs (Ford et a!., 1996; Sergiovanni, 2001; Van
Meter & McMinn, 2001).
Six elements have been identified as necessary for effective preparation of
aspiring principals: (a) selection and screening of potential candidates, (b) coherence of
curriculum and pedagogy, (c) cohesive program vision and goals, (d) learning in
cohorts, (e) clinical experiences, and (f) effective internships (Kelley & Peterson, 2000;
Milstein & Krueger, 1997). Mentoring programs for new principals (Dosdall & Diemert,
2001; Willen, 2001) and continuous professional development for experienced
administrators (Kelley & Peterson, 2000) are used to broaden and strengthen
leadership development.
Becoming a school principal requires socialization into the profession through
phases of role conceptualization and through phases of interaction within community
practitioners. Descriptions about these two important socialization processes follow.
Role Conception
Crow and Glascock (1995) posit that restructuring schools requires new
understandings about the role of the principalship, achieved through a multifaceted
socialization process. The process of socialization required to become a principal
requires three phases.
The first step is making the decision to become a principal and then acting
upon it. This step may be as simple as deciding that becoming a principal is a real
possibility, or the process may take extended time for investigation, research, and
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reflection. The second phase requires giving up ones previous role as a master
teacher and becoming a novice in a new position, often a major hurdle to an individuals
self-esteem. This role conceptualization may be the most difficult step because it
requires divestiture of long-held norms of behavior and adoption of new ones. The third
phase requires adjusting to oneself in a new role and learning professional and
organizational behaviors (Crow& Glascock, 1995).
In their study about socialization of principal candidates during a cohort
program, Crow and Glascock (1995) found that three groups influenced role
conceptualization: (a) college faculty who emphasized the future of education, (b)
mentor principals who emphasized the present reality, and (c) cohort peers who
validated the individuals values and sense of mission. Prior experiences as teachers
created tensions for the candidates: Their vision of the principalship changed
dramatically while working with their mentor principals during the program (Crow &
Glascock, 1995).
Situated Learning
According to Lave and Wenger (1991), the socialization process of becoming a
new member in an aspired community of practice begins by the creation of a new
identify as a practitioner. Lave and Wenger posit there is a difference between talking
about a practice from outside and talking within it" (p. 107). They contend that learning
to speak the language and model the behaviors of the practice is critically important.
Therefore, community-based learning can only be accomplished while working with
experienced practitioners (Lave & Wenger, 1991).
Learning involves the integration of understandings and linkage to applications,
as well as the construction of identities" (p. 53) that implies a transformation of the
individual. Further, Lave and Wenger assert that the development of a new identity is
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central to the careers of newcomers in communities of practice (p. 115). They caii
learning within a community of practice legitimate peripheral participation (p. 29).
Interestingly, the interactions between new entrants and old-timers create change
dynamics that also transform the communitys practice. Legitimate peripheral
participation becomes both learning experiences for newcomers and renewal processes
for the professional community.
Preparing School Leaders: Prelude
The literature about leadership, change agentry, and learning cultures
indicates that the core technology of schools is changing, and thus, the purpose of the
principalship is changing. Further, while preparing prospective administrators to
assume leadership roles in K-12 schools is the goal of university-based principal
licensure programs, multiple factors both external and internal to the programs affect
whether graduates seek school leadership positions.
Preparing school leaders cannot be encapsulated into a single leadership
education and skills development program because the process of becoming a principal
often begins years before action is taken toward preparing for the role. Future leaders
can emerge through self-determination or through encouragement from others, and
thus, the decision to enroll in a principal preparation program may be purposeful or
exploratory. Factors that influence program graduates decision to seek a principalship
include the practitioners (a) professional aspirations, (b) leadership self-awareness and
understandings, (c) role conceptualization of the principalship, (d) socialization into the
community of practice, and (e) learning experiences during the program.
This study explored these five elements related to practitioner growth during a
university-based principal licensure cohort program. The literature reviewed that
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supports the study propositions is presented in Chapter 10 within the discussion of
suggested implications for practice and research that emerged from the findings.
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CHAPTER 4
MIXED-METHODS CASE STUDY
A set of researcher propositions guided the design and focus of this investigation
(Cresweil, 1998; Stake, 1995; Yin, 1994). One supposition was that most students who
enrolled in the professional development program sought basic knowledge and skills
needed to become licensed school leaders. As the learners expanded their knowledge
base and applied skills in their professional practice, personal transformation and
acculturation would elicit insights about the principalship (Lave & Wenger, 1991).
Thus, a second assumption for this investigation was that participants in the
administrative licensure cohort would evidence professional growth over time through
self-reported changes in perceptions about themselves as leaders. These
transformations would be demonstrated further by changes in (a) the participants
understandings about leadership and (b) their perceptions about the roles and
responsibilities of a school principal. The adoption of new professional behaviors that
align to the behaviors modeled by school principals would provide additional evidence of
professional growth.
A final proposition was that program activities and assignments would provide
stimuli for professional growth. Because the program was delivered through a closed
cohort model, peer interactions would influence the learning experiences within the
cohort. Thus, the group would exhibit changes in professional relationships and
behaviors as well.
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Case Study Design
The case study design is the most appropriate methodology for study of a
phenomenon within a particular instance or case (Creswell, 1998; Stake, 1995; Yin,
1994). The main unit of analysis for this investigation was a closed cohort within an
administrative licensure program conducted in partnership with a local education agency.
Practitioner growth while participating in the cohort was the phenomenon of interest.
Additionally, the case study design is used appropriately when the phenomenon
studied is bound by a specific time period and encapsulated in a particular structure
(Creswell, 1998; Stake, 1995; Yin, 1994). This study of the sample cohort from January
2000 to December 2000 met both criteria. Because the goal of the administrative
licensure program was to prepare educational practitioners to become school principals,
the case study provided an opportunity for interpretive analysis of professional growth of
practitioners from their perspectives (Stake, 1995; Yin, 1994).
Additionally, mixed methods for data analysis were employed (Fowler, 1993;
Kvale, 1996; Strauss & Corbin, 1998; Tashakkori & Teddlie, 1998; Weber, 1990). While
most data collection and analyses employed qualitative methodologies, analysis and
interpretation of forced-choice responses on surveys relied heavily upon descriptive
statistics and magnitude of change ratios.
Embedded Single-Case Design
Adopting suggestions by Creswell (1998), Stake (1995), and Yin (1994) for
designing a case study, I constructed the investigation of the cohort as an embedded
single-case design. The rationale for such a model was based upon the uniqueness of
the cohort and its focused attention upon a specific theory of leadership. The embedded
sub-units of the single-case study were the study participants who volunteered to provide


viewpoints and perceptions about their experiences during the initial three domains of the
licensure program.
Data Collection and Analysis
Data collection and analysis included triangulation of both qualitative and
quantitative approaches, making this a mixed-model study (Tashakkori & Teddlie, 1998).
Analysis of interview transcriptions, questionnaire responses, and online interactions
included qualitative strategies (Kvale, 1996; LeCompte & Schensul, 1999), grounded
theory techniques and procedures (Strauss & Corbin, 1998), and content analysis
(Weber, 1990). A variety of survey methodologies (Ary et al., 1996; Fishel, 1998; Fowler,
1993; Krathwohl, 1998) were used in construction and analysis of the pre-survey and
post-survey. Although some analysis was conducted by hand, both QSR NUD'IST Vivo
1.1 for Microsoft Windows (NVivo) software for qualitative research and SPSS Graduate
Pack 10.0 for Windows (SPSS) software for quantitative research were used for most of
the analyses. Microsoft Excel was used to compute one statistical measure.
Standards of Quality and Verification
Multiple procedures were employed to ensure that the case study met standards
of quality and verification (Creswell, 1998; Stake, 1995; Yin, 1994). Data collection was
linked carefully to the purpose for conducting the study and the specific research
questions (Stake, 1995). Information was collected from multiple sources: (a) surveys
and questionnaires, (b) interviews, (c) participant-observations, and (d) reviews of
artifacts and documents (Creswell, 1998; Stake, 1995; Yin, 1994). A system of data
management was carefully constructed and employed so that a chain of evidence could
be constructed (Yin, 1994). The breadth of data sources and the use of mixed methods
76


during analysis allowed for multiple forms of triangulation (Tashakkori & Teddlie, 1998;
Yin, 1994).
The case study spanned one calendar year during which I engaged with the
cohort and various study participants in a variety of activities on an almost weekly basis.
External checks were provided through peer reviews of my progress during doctoral lab
meetings and debriefing conferences with my dissertation advisor. Member checking is a
quality assurance strategy used in qualitative inquiry; A researcher provides study
participants with draft copies of reports for them to review for accuracy of reporting and
interpretation (Creswell, 1998; Kvale, 1996; Stake, 1995; Tashakkori & Teddlie, 1998;
Yin, 1994). Extensive amounts of participant commentary were integrated into the report.
Therefore, I asked the key informants to review the findings presented in the case study
reports. Further, the case study report was written with thick description in order to detail
the program and participants (Creswell, 1998; Stake, 1995).
Entry and Changed Focus
Opportunity for me to conduct this case study arose through an invitation from a
faculty member in the administrative leadership division where I was conducting my
doctoral studies. We shared a common interest in the study of leadership models that
support and sustain innovation. The professor assumed responsibility as the cohort
leader in a cohort that was forming. Because collaborative leadership was the theme of
the cohort, the professor suggested that l might want to select this particular cohort as
the sample for my dissertation study. Thus, entry into the cohort was easy.
With complete support from the cohort leader, I recruited study participants
during the cohort orientation meeting in January. The cohort leader introduced me to the
other instructors who supported my regular presence at cohort sessions as a participant-
observer. All cohort instructors provided me with copies of handouts and allowed me to
77


make an occasional announcerment about data collection during classes. Access to
conduct this case study was ope-n.
My original intent was to focus on practitioner growth during a leadership
education and skills development program, with collaborative leadership as the
phenomenon of interest. Early cilata analysis indicated to me that the richer phenomenon
of interest was the transformation of teachers and other educational practitioners into
school leaders while participating in the program. Therefore, in August 1999 I reordered
my research propositions. How (educational practitioners changed perceptions about
themselves as school leaders while participating in a principal licensure cohort became
the overarching focus. How practitioners changed their understanding about leadership
became a secondary proposition! that guided data collection and analysis. All other
components of my original research design remained the same.
Potential Study Effects
The participants in this s=tudy were graduate students who remained together as
a learning community in what is called a closed cohort. They began the licensure
program together and completed the four content domains together. The participants
engaged in a variety of learning activities that individually and collectively focused
specifically on leadership education and skills development. The theme of the cohort
with its emphasis upon the study* of collaborative leadership and empowerment was a
significant change in the usual format for the licensure program. Thus, participation as a
learner in a closed cohort, the re-quirements of the program, and the emphasis upon
collaborative leadership became- potential study effects.
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Closed Cohort
As members of a closed cohort, study participants began the principal licensure
program together as an identified group, took all coursework together as a group, and
completed the required domains of study at the same time. The elements of interest
about learning cohorts were the effects that differences in age, professional experience,
and career aspirations had on group dynamics. The effects were measured in changes
over time in (a) peer support and relationships and (b) peer interactions and teamwork.
Program Requirements
A variety of constructivist learning strategies were used by the three instructors
who directed the domains of study conducted during the time frame of this study. Each
instructor organized the content domain and presented information in a very different
manner. Although the teaching techniques differed with each change of instructor, the
program requirements remained somewhat consistent. During each domain, the
instructional activities included (a) problem-based learning through completion of group
projects, (b) integration of computer technology, (c) research and production of academic
papers, and (d) personal reflective writing.
Throughout the case study, students performed as members of small groups and
as individuals to complete assignments and make formal presentations. Cohort
members were expected to participate in class discussions and online asynchronous
dialogues, research and analyze professional literature, and reflect about their
experiences. Additionally, as participants in the universitys administrative licensure
program the cohort members were required to develop an individual leadership plan and
a portfolio containing artifacts and products. The leadership plan served two purposes:
(a) to assist aspiring educational leaders in identifying personal core values and
79


professional passions, and (b) to demonstrate to licensing program instructors the
attainment of knowledge and skills with respect to the state standards.
During the study, students were expected to begin construction of their individual
portfolios used as the main assessment tool. Documents required for the final portfolio
included a completed three-part leadership plan, reflections about activities and learning
throughout the program, examples of project products, and internship logs. Portfolio
artifacts were created through cohort activities or developed through professional
experiences that linked to specific state standards and benchmarks.
At the beginning of the leadership program, the cohort leader applied for a grant
to underwrite the costs of a longitudinal study about collaborative leadership. One of the
budget items included funds for the cohort members to conduct extensive action research
during the program and then present their findings at a conference they coordinated.
This activity was intended to replace the portfolio requirement. When notification arrived
in late spring that the grant had not been funded, students were told that they had to
construct a portfolio. Frustration about this change in course requirements emerged in
the data. Additionally, several participants were highly critical of the portfolio method of
assessment.
Cohort Theme and Program Differences
The cohort used as a sample in this study was different from other program
cohorts in two important ways. First, a goal to which the cohort leader aspired was that
practitioners develop skills in community-based organizing and experience first-hand the
complexities of collective processes. The curriculum originally was developed to
research collaborative leadership processes and the changed roles for principals in
schools where such processes are used. While collaborative leadership was not a
80


phenomenon of interest for this inquiry, the data reflected the cohorts orientation toward
that one model of leadership.
Second, the cohort leader changed the program format by replacing the usual
field experiences during each domain with one long-term action-learning project. The
universitys program usually balances content learning with ongoing field experiences in
each domain. These field experiences provide opportunities for students to gain clinical
skills in recognizing and solving problems of professional practice in K-12 school settings.
Rather than integrating content learning with the usual 45-hour field experiences, the
cohort leader created an action-learning project. The project was designed without
student input and introduced to the cohort via an e-mail message in late July.
The action-learning project explored the perceived impact of public school
leadership on school outcomes and was framed upon Telfords (1996) exploratory model
of the nature of leadership in schools. Data collection strategies were based upon
Telfords models, which were highly structured. Students were scheduled to begin
collecting data during the third domain (Fall 2000 semester) and complete analysis during
the fourth domain (Spring 2001 semester), after the close of this case study. Because
this action research project replaced the concurrent internship hours in each content
domain, the students in the sample cohort did not engage in ongoing field experiences.
Data reflected the consequences of this program modification.
Case Study Participants
Participant attrition over time was problematic for this case study. Twenty of the
22 original members of the cohort agreed in January to participate in the yearlong study.
During the ensuing months, three students withdrew from the program. One left in the
spring due to a debilitating illness, and another dropped out in the fall because of a
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Full Text

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PREPARING SCHOOL LEADERS: A CASE STUDY OF PRACTITIONER GROWTH DURING A PRINCIPAL LICENSURE COHORT PROGRAM by Patricia Ann Browne-Ferrigno B.A., Florida State University, 1968 M.A., University of South Florida, 1996 A thesis submitted to the University of Colorado at Denver in partial fulfillment of the requirements for the degree of Doctor of Philosophy Educational Leadership and Innovation 2001

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by Patricia Ann Browne-Ferrigno All rights reserved.

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This thesis for the Doctor of Philosophy degree by Patricia Ann Browne-Ferrigno has been approved by Rodney Muth

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Browne-Ferrigno, Patricia {Ph.D., Educational Leadership and Innovation) Preparing School Leaders: A Case Study of Practitioner Growth during a Principal Licensure Cohort Program Thesis directed by Associate Professor W. Alan Davis ABSTRACT This study describes professional growth of 18 educational practitioners participating in a principal licensure program. The main unit of analysis was a closed cohort within an urban-university's educational leadership program conducted in partnership with a local education agency. The case study was bounded in time, from January 2000 to December 2000. It began at the cohort's orientation and continued through completion of three of the four required content domains. A set of researcher propositions guided the focus of this mixed-methods study. Participants' career aspirations, awareness of leadership potential, role conceptualization of the principalship, and socialization into the community of practice were explored. Additionally, program effects that stimulated professional growth and real-time student assessments of learning in a closed cohort were examined. Findings reflect important implications for the professional development of schools leaders: (a} career aspirations of educators are linked to Ieamer engagement; (b) multiple factors influence personal awareness of leadership potential and feelings of competency to assume a principalship; (c) educators' role conceptualization of the principalship is related to number of years teaching experience; and {d) experiential learning and interaction with practicing school administrators are critical to the iv

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socialization process. Additionally, while the cohort model may stimulate collegial support and enhance student learning, initial and ongoing community-building activities are needed for optimum benefit. Differences in students' ages and professional experiences can negatively impact learning opportunities in a cohort. Data indicate that professional growth while participating in a principal licensure cohort depends upon multiple factors indirectly and directly related to the program. Students' reasons for pursuing licensure as a school principal are associated with their degree of engagement as learners and role-identity development as future school leaders. The K-12 principalship is changing to meet complex societal and educational issues, and thus, role conceptualization is difficult for aspiring principals. Therefore, experientialleaming must be the core element of principal preparation to ensure needed skill development and socialization into the community of practice. Career counseling is needed, especially for women, to assist teachers as they transition from classrooms to administrative offices. Using the cohort model requires careful attention to community-development and norm-building processes. This abstract accurately represents the content of the its publication. W. Alan Davis v

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DEDICATION This dissertation is dedicated first to the educational practitioners in the principal licensure cohort who volunteered as participants for this case study, and in particular, to the five key informants whose detailed insights and perceptions added considerably to the rich description in this report. I wish all these individuals the best in the future as they carry their passions and convictions about educating our children and youth into their roles as educational leaders. My father, Hank Phillips, celebrated his 80111 birthday as I completed this thesis. Because we share a love for writing and because he always admonished me to "work hard," I dedicate this book to him as well. This dissertation represents the culmination of a great deal of hard work, Papa! Rnally, I dearly thank my husband, Darrell Ferrigno, for his tireless support and encouragement throughout my doctoral studies. He helped me work through difficult moments, listened to my ideas and offered constructive suggestions, and reviewed every page of this thesis. Without his unfailing loyalty and understanding, this study would never have been completed. This dissertation is dedicated especially to you, Darrell, for helping me achieve a long-held dream of earning a doctorate and for being my dearest friend.

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ACKNOWLEDGMENT This dissertation represents the combined efforts of many people on the faculty and staff of the School of Education and Graduate School who encouraged and guided me during the entire process. While too numerous to name, I wish to acknowledge their efforts in helping me through my doctoral studies. I especially acknowledge the following individuals who provided special assistance to me. Professor Alan Davis introduced me to qualitative inquiry and case study methodology, which I have learned to love, and supported my efforts by volunteering to serve as my dissertation advisor. I am deeply grateful to him for his support during the final stages of my doctoral program. My gratitude is extended to Professor Bruce G. Barnett, University of Northern Colorado, who offered ideas that enriched this case study and encouragement that sustained me. He served as my outside reader. I am very grateful for the assistance in learning to write academic papers that Dr. Marcia Muth provided in the advanced writing workshops that I took during my doctoral studies. I especially appreciate the advice and editorial critique she provided as I completed this study. Two members of my committee, Dr. May Lowry and Dr. Christian Pipho, provided ongoing guidance throughout my entire doctoral studies by serving as members of both my program and dissertation committees. They also directed two doctoral laboratory experiences that broadened my understandings about adult learning and educational policy and supported my professional growth beyond the university setting. My life has been enriched through knowing and working with them. Finally, I am deeply indebted to Professor Rodney Muth for his advice, wisdom, and guidance throughout my program. This dissertation may never have been completed without his assistance, constructive criticism, and moral support. He taught me to focus my energies and challenged me to achieve more than I ever realized was possible. I am especially grateful to him for the mentoring he provided toward my professional development and preparation for the professorship.

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CONTENTS Figures ........................................................................................... xviii Tables .............................................................................................. xix CHAPTER 1. INTRODUCTION ............................................................................ 1 School Leadership Challenges: Complex Issues ............................ 2 Environmental Challenges ................................................ 3 Policy Challenges .......................................................... 4 Leadership Challenges .................................................... 5 Preparation of School Leaders: Conceptual Frameworks ................... 5 Leadership and Change Agentry ....................................... 5 Leadership and Culture ................................................... 6 Preparation of School Leaders: Significance of Study ....................... 7 Study Focus .................................................................. 8 Study Purpose .............................................................. 9 Study Value ................................................................. 1 0 Investigating Practitioner Growth: Case Study Design ..................... 11 Researcher Propositions ................................................ 11 Data Collection and Analysis .......................................... 12 Standards of Quality and Verification ................................ 13 Context: The Licensure Program ................................................. 14 Standards-Based Curriculum .......................................... 14 viii

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Cohort Structure ........................................................... 15 Integration of Information Technology ............................... 15 Authentic Assessment ................................................... 16 Program Tenets ........................................................... 16 Complications and Limitations: Potential Influences ........................ 17 Environmental Issues ..................................................... 17 Researcher Issues ........................................................ 18 Structure of the Dissertation ....................................................... 22 2. LEADERSHIP AND CHANGE AGENTRY .......................................... 24 Elements within Current Educational Debates ................................ 25 Reform versus Renewal. ................................................ 25 Two Views about Change ............................................... 26 Leadership for Change .............................................................. 27 Hall and Hord's Definition ............................................... 28 Fullan's Definition ......................................................... 29 Schlechty's Definition .................................................... 29 Operational Definition .................................................... 30 Collaborative Leadership: An Emerging Change Model.. ................. 30 Bums' Perspective ........................................................ 31 Schlechty's Perspective ................................................. 32 Others' Perspectives ..................................................... 33 Collaborative Leadership: Its Origins ........................................... 34 Collaborative Leadership: Its Use in Schools ................................. 35 School-University Partnership ......................................... 36 ix

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Four-Frame School Model.. ............................................ 36 Summary ................................................................... 37 Change Agentry: Struggles and Strategies .................................... 37 Struggles: Group Resistance .......................................... 38 Strategies: Group Inquiry ............................................. 39 Summary .................................................................... 41 The Principalship: New Role as Change Leader ............................ .42 Restructuring School Structure ....................................... 44 Restructuring School Govemance .................................... 44 Restructuring School Community .................................... .45 Restructuring School Leadership ..................................... 45 Summary .................................................................... 46 Future Trends: Predictions and Proposals ..................................... 47 Futurists' Vision ............................................................ 48 Policy Analyst's Vision .................................................. .49 Business Educator's Vision ............................................. 50 Leadership Educators' Proposals ..................................... 51 3. EMPOWERED LEARNING CULTURES ............................................ 53 Group Culture: Balancing Solidarity and Sociability ......................... 53 Empowered Learning Cultures .................................................... 55 Learning Organizations .................................................. 55 Learning Cultures ......................................................... 56 Collaborative Cultures .................................................... 57 Operational Definition .................................................... 59 Learning Cultures in Schools ..................................................... 60 X

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i i I I I I l i I I I I I i I I i i I i i I I i I I I i I I i I I i i I I Leithwood and Jantzi's Perspectives ................................ 60 Sergiovanni's Perspective .............................................. 61 Deal and Peterson's Perspective ..................................... 61 Learning Cultures in Cohorts ..................................................... 62 Influence of Group Dynamics ......................................... 63 Influence of Cohort Structure .......................................... 63 Influence of Mutual Support ............................................ 64 Influence on Learning ................................................... 64 Summary .................................................................... 65 Developing Empowered learning Cultures ................................... 65 Environmental Influence ................................................ 65 Risk-Safe Environment .................................................. 66 Experience-Valued leaming ........................................... 66 Varied learning Activities ............................................... 67 Experientiai Learning ..................................................... 68 Problem-Based leaming ................................................ 68 Summary .................................................................... 69 Acculturation: Preparing New School Leaders ................................ 69 Role Conception ........................................................... 70 Situated Leaming .......................................................... 71 Preparing School Leaders: Prelude ............................................. 72 4. MIXED-METHODS CASE STUDY ...................................................... 74 Case Study Design .................................................................. 75 Embedded Single-Case Design ........................................ 75 Data Collection and Analysis ........................................... 76 xi

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Standards of Quality and Verification ................................ 76 Entry and Changed Focus ............................................. .77 Potential Study Effects .............................................................. 78 Closed Cohort ........................................................... 79 Program Requirements .................................................. 79 Cohort Theme and Program Differences ........................... 80 Case Study Participants ............................................................ 81 Demographics and Diversity ............................................ 82 Professional Experience ................................................. 82 Educational Background and Aspirations ........................... 84 District Representation ................................................... 84 Informant Volunteers ..................................................... 85 Data Collection Methodology ..................................................... 85 Pre-Survey and Post-Survey ........................................... 86 Open-Ended Questionnaires ........................................... 88 Informant Interviews ...................................................... 89 Focus-Group lnterview .................................................. 90 Participant Observation .................................................. 91 Artifact Review ............................................................. 91 Organization of the Data ........................................................... 92 Data Collection Information ............................................ 93 Original Data Sources ................................................... 94 Informant Data ............................................................ 94 Online Interactions ....................................................... 94 Field Notes and Artifacts ............................................... 95 xii

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Orgarmization of the Case Study ....................................... 95 Data Analysis Methodology ....................................................... 97 Closelld-Ended Questions ............................................... 98 Open-Ended Questions ................................................ 1 00 lnterviiew Questions ................................................... 1 01 Online Interactions ...................................................... 1 02 Case Study: Quality and Verification Checks ............................... 1 03 Case Study Raeport: Rve Chapters ............................................ 1 05 5. ASPIRATIONS: PN\RTICIPANTS' CAREER GOALS ........................... 110 Practitioner Grrowth: Prologue ................................................... 111 Researcher Av.vakening ............................................................ 112 Participants' C:areer Goals ....................................................... 114 Aspiration: School Principalship ........................... 115 Aspiration: District Administration ......................... 120 Aspiration: Uncertain ......................................... 121 Aspiration: Ca::1alystfor Professional Growth ................................ 123 6. LEADERSHIP: PARTICIPANTS' UNDERSTANDINGS ........................ 125 Leadership Development.. ....................................................... 126 Participants' A.ssessment of Leadership Activities ......................... 126 Requitred Assignment ................................................... 127 Effectiive Activities ....................................................... 128 I Activities ..................................................... 131 Leadership A'II'Vareness: Catalyst for Professional Growth ............... 131 through Experience ..................................... 133 through Action ............................................ 135 xiii

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I I I I I I i I I i I l : I i i I I I i I i i i Leadership through Resourcefulness .............................. 137 Leadership through Confidence Building .......................... 138 Leadership through lnfluence ........................................ 140 Leadership Awareness: Summary .................................. 142 Leadership Definitions: Evidence of Professional Growth ............. 143 Leadership as Empowerment ........................................ 143 Leadership as Transformation ....................................... 144 Leadership as Challenge .............................................. 144 Leadership Domain: Participants' Concerns ................................ 146 7. THE PRINCIPALSHIP: PARTICIPANTS' PERCEPTIONS ................... 149 Participants' Perceptions about the Principalship ............... 149 Practitioner Experience: 5 or Fewer Years ....................... 151 Practitioner Experience: 6 to 10 Years ............................ 155 Practitioner Experience: 11 to 20 Years ........................... 161 Practitioner Experience: Over 20 Years ........................... 163 Analysis of Participants' Role Conceptions .................................. 166 Common Perceptions: All Subgroups .............................. 167 Common Perceptions: Three Subgroups ......................... 169 Common Perceptions: Two Subgroups ........................... 170 Differences among Subgroups ...................................... 171 Influences on Readiness to Assume Principalship ........................ 171 Age as Stumbling Block ............................................... 172 Gender as Stumbling Block .......................................... 173 Parenthood as Stumbling Block ..................................... 174 Redefining Principalship: Catalyst for Change ............................. 175 xiv

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Reflections about Practitioners' Role Conceptions ....................... 176 8. SOCIALIZATION : PARTICIPANTS' TRANSFORMATIONS ................ .. 178 Professional Behaviors: Measurement Challenges ... .................... 179 Data Collection Strategies ............................. ............. 179 Data Analysis Strategies .................. ........................... 180 Professional Behaviors: Analysis and Interpretation ...................... 181 Ensuring Quality Learning Experiences ........................... 183 Learning within School Community ................. . .......... ... 187 Behaving Ethically and Responsively ............................. 189 Linking Diversity and Equ ity ................ ....................... . 191 Engaging in Professional Development ................ ..... ..... 194 Managing School Environment ..................................... 197 Acculturation into the Principalship ............... . ................ 199 Professional Behaviors: Summary of Analysis ............................. 202 Mindset Shift: Transformative Professional Growth ................. ...... 203 Socialization: Catalyst for Professional Growth ............................ 206 9. THE COHORT: PARTICIPANTS' ASSESSMENTS ............ ... ............. 209 Positive Assessments of Cohort Experience ............................... 2i 0 Teamwork and Camaraderie .............. ............ . ... .. .. ...... 211 Peer Interaction and Collegial Support ............................ 212 Professional Relationships and Networking ................... .. 216 Online Interaction and Sharing ....... . .................. ....... . 218 Less-Positive Assessments of Cohort Experience .............. ......... 220 Frustrations about Group Work ..................................... 221 Frustrations about Age Differences ................................ 223 XV

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Frustrations about Experience Differences ....................... 224 Frustrations about Online Activities ................................. 225 Frustrations about Cohort Norms .................................... 227 Researcher's Assessment of Cohort Experience .......................... 228 Peer Interaction and Camaraderie .................................. 229 Collegial Support ........................................................ 231 Online Assignments ..................................................... 232 Cohort Norms ............................................................. 233 Professional Development .......................................... .. 234 The Cohort: Opportunity for Learning ......................................... 236 Professional Growth: Epilogue .................................................. 238 10. IMPLICATIONS FOR PRACTICE AND RESEARCH ........................ 242 Career Aspirations ................................................................. 243 Rndings .................................................................... 243 lmplications ............................................................ .. 244 Leadership Development ........................................................ 245 Findings .................................................................... 246 Implications .. ............................................................. 24 7 Role Conceptualization and Socialization .................................. 249 Findings: Role Perceptions ........................................... 249 Rndings: Professional Behaviors .................................. 250 Findings: Role Identity ................................................. 252 Implications ............................................................... 252 Cohort Programs .................................................................. 257 Findings ................................................................... 257 xvi

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i I I I .I I I I l I i I I I j I I I I I i I i I I I Implications ................................................. .... ....... .. 258 Case Study Summary and Conclusion ....................................... 261 APPENDIX A. HUMAN SUBJECTS COMMITTEE APPROVAL. .................... 263 B. PARTICIPANT PRE-SURVEY: JANUARY 2000 ..................... 264 C. QUESTIONNAIRE 1: MARCH 2000 .................................... 269 D. KEY INFORMANT INTERVIEW 1: APRIL 2000 ...................... 271 E. KEY INFORMANT INTERVIEW 2: JULY 2000 ....................... 273 F. QUESTIONNAIRE 2: AUGUST 2000 ....... .. ......................... 275 G. QUESTIONNAIRE 3: OCTOBER 2000 ................................. 277 H. QUESTIONNAIRE 4: OCTOBER 2000 ................................. 278 I. PARTICIPANT POST-SURVEY: NOVEMBER 2000 ................ 279 J. FOCUS-GROUP INTERVIEW: NOVEMBER 2000 ....... .. ......... 289 K. KEY INFORMANT INTERVIEW 3: NOVEMBER 2000 ............. 290 REFERENCES ...................... .. ........................................................ 292 xvii

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! II I I I i i I I I l I I i FIGURES Figure 4.1 Chronological Sequence of Data Collection ................................................. 87 4.2 Chronological Sequence of Cohort Program ............................................... 1 09 xviii

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: \ TABLES i Table 4.1 Record of Case Study Data Sources ......................................................... 96 4.2 Content Analysis Coding Key ................................................................. 1 02 5.1 Career Goal: School Principal. ............................................................... 115 5.2 Career Goal: Assistant Principal.. ........................................................... 118 5.3 Career Goal: District Administrator ......................................................... 120 5.4 Career Goal: Not Sure ......................................................................... 122 6.1 Participants' Perceptions about Leadership .............................................. 132 7.1 Perceptions of Teachers: 5 or Fewer Years Experience .............................. 152 7.2 Perceptions of Teachers: 6 to 10 Years Experience ................................... 156 7.3 Perceptions of Teachers: 11 to 20 Years Experience ................................. 161 7.4 Perceptions of Teachers: Over 20 Years Experience .................................. 164 7.5 The Principalship: Comparison of Role Conceptions .................................. 1 67 8.1 Effect Sizes: Standard 1 Self-Assessment Items ....................................... 184 8.2 Effect Sizes: Standard 2 Self-Assessment Items ....................................... 187 8.3 Effect Sizes: Standard 3 Self-Assessment Items ....................................... 190 8.4 Effect Sizes: Standard 4 Self-Assessment Items ....................................... 192 8.5 Effect Sizes: Standard 5 Self-Assessment Items ....................................... 195 8.6 Effect Sizes: Standard 6 Self-Assessment Items ....................................... 197 8.7 Effect Sizes: Standardization Self-Assessment ltems ................................. 200 xix

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CHAPTER 1 INTRODUCTION Leading K-12 schools amid the current complexities of educational reform and paradigm shifts is challenging (Leithwood, Jantzi, & Steinbach. 1999; Schlechty, 2001 ). The capacity of a school to respond appropriately to external change forces (Fullan, 1993; Hargreaves & Fullan, 1998) or to initiate and sustain self-renewal (Fullan & Hargreaves, 1996) depends upon a principal's ability to address multiple, sometimes conflicting, issues (Brewer, 2001; Fullan, 1999). Further, research on schools that are effective shows a direct link to effective principal leadership (Dosdall & Diemert, 2001 ; Lemley, 1997; Sergiovanni, 2001). Adding to the complexities is the dynamic evolution of a principal's role and responsibilities as the leader of a learning community (Peterson. 2001; Sergiovanni, 2001 ). Increased demands for teacher empowerment and shared school governance (DuFour & Eaker, 1998). renewed focus on instructional leadership (Blase & Blase, 2001 ). and expanded school functions based upon changing student populations and learner needs (Levine, Lowe, Peterson, & Tenorio, 1995) define new expectations for educational leaders and practitioners working in K-12 schools. Another emerging problem is finding leadership talent. The current pool of educational practitioners willing to assume positions as school leaders is small (Daresh & Capasso. 2000; Kelley & Peterson, 2000). As retirement rates of experienced administrators increase and numbers of qualified applicants choosing to become school principals decrease, the pool of candidates available to fill open principal positions is shrinking (Copeland, 2001 ). Although many practitioners participate in principal training 1

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programs, only a portion of the graduates assumes positions as a school leader (Daresh & Capasso, 2000; Lovely, 1999). ; Preparing new school leaders who understand diverse challenges and possess skills needed for "future-oriented work" (Lemley, 1997, p. 33) is critically important. Professional educators who provide leadership development (Barnett & Muth, 2000; Donmoyer, Monroe, Cordeiro, Getz, & Scherr, 2000; Kelley & Peterson, 2000) and district administrators who need leadership talent (Lemley, 1997; Lovely, 1999; Peel, Wallace, Buckner, Wrenn, & Evans, 1998) are exploring program revisions to improve principal preparation and leadership development. School Leadership Challenges: Complex Issues School leaders work in settings where conflicting assumptions about education impede the implementation of needed change. Outdated assumptions that narrowly limit the imagination and fail to focus on the realistic needs of children and youth cause the failure of many school reforms (Astuto, Clark, Read, McGree, & Fernandez, 1994). The abasic grammar of schooling" (Tyack & Cuban, 1995, p. 85) is another stumbling block to successful implementation of educational innovation. The public, which controls policy makers through the voting process and educational practitioners through the local taxing process (Cuban, 1990; House, 1998), holds an institutionalized perception of what schooling should be. Memories of the past clash with current realities and projected needs, thus making it difficult for educators to introduce new instructional practices or respond to changing student demographics (Tyack & Cuban, 1995). Controversy even arises about the essential purposes of schools in 2151 century America (Glickman, 1998; Goodlad, 1997; Postman, 1995). Societal beliefs about 2

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! i i I I I I I I i I j i i education, historical customs of schooling, and legal mandates interactively create stumbling blocks for K-12 school leaders (Pipho, 2000; Pulliam & Van Patten, 1999; Smith & O'Day, 1990). Environmental Challenges Principals in urban districts face added challenges. Urban-situated schools are usually part of large centralized bureaucracies with limited resources and slow response times for meeting the needs of individual schools within the districts (Peterson, 1994). Additionally, students living in urban areas often bring into their classrooms burdening challenges to their learning created by the effects of poverty, limited English proficiency, and underdeveloped school readiness. These challenges for students and teachers within urban schools are less often experienced in suburban schools (Goodlad, 1984; Kozel, 1991 ). Per pupil funding discrepancies between urban and suburban schools further hinder learning opportunities. Oversized classes, lack of appropriate books and supplies, dearth of challenging courses and qualified teachers, and cramped and decrepit school facilities are common occurrences in many urban districts (Berliner & Biddle, 1995; Kozel, 1991 ). Parental and local community support structures are not well defined or may even be non-existent, further increasing the challenges faced by urban school leaders (Goodlad, 1984; Peterson, 1994). The cumulative differences between urban and suburban schools create inequitable opportunities for learning and future opportunities (Goodlad, 1984; Kozel, 1991 ). However, the differences between urban and suburban schools also influence principals' responsibilities. According to Hallinger and Murphy (1983, as cited in Crow & Glascock, 1995), the geographic, demographic, and structural elements of schools create different role conceptions. Principals of low socioeconomic status (SES) schools 3

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i I I i often assume controlling and coordinating functions, whereas principals in high SES schools emphasize the coordinating tasks of leadership. Principals of urban schools often face tougher environmental influences than do their peers in suburban settings. Policv Challenges Another challenge currently faced by urban schools is the emphasis on content-focused curricula and high-stakes accountability. Many policy makers, business leaders, and educators posit that standards-based pedagogy and assessments create effective schools that improve the quality of teaching and learning (Berliner & Biddle, 1995; Glasser, 1990; Schlechty, 1990; Sizer, 1992). Proponents of market-based education accountability recommend linking salaries, even the very jobs, of school principals to the quality of student performance on assessment measures (Finn, 1991; "The Teachers We Need," 1999). The process of systemic school reform is fraught with complexity, often caused by continual cycles of change (Cuban, 1990; Smith & O'Day, 1990). Repeating patterns of reforms generate resistance to change by veteran teachers responsible for implementation (Evans, 1996; Fullan, 1993; House, 1998). Thus, the current national focus on student achievement and effective schools creates a dynamic of resistance by some educational practitioners. Teacher resistance creates internal problems to be addressed by principals (Schlechty, 1997). External forces, such as (a) state-mandated accountability measures with accompanying political and public scrutiny of student performance, (b) limited resources for implementing school reform or renewal measures, and (c) poorly developed and economically stressed community support bases, further impact leadership in urban schools. 4

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Leadership Challenges Another dimension of educational reform affecting the principalship is empowerment of teachers through collegial activities and empowerment of stakeholders through shared decision making (Deal & Peterson, 1999; DuFour & Eaker, 1998; Sergiovanni, 1992). Teachers extend their influence beyond the classroom by participating as equal partners with principals, students, parents, and members of the broader community in governance practices (Carr, 1997; Crockett, 1996; Hard, Rutherford, Huling-Austin, & Hall, 1987; Tye, 1998). As teachers assume greater leadership within schools and as more representatives of the broader school community engage in school governance, the roles and responsibilities of the principal change. The conflicting demands of accountability and empowerment require greater attention to moral and cultural components of leadership (Starratt, 2000). Preparation of Schoof Leaders: Conceptual Frameworks The complex interaction of multiple new paradigms for K-12 education expands the range of responsibilities for school principals and changes the roles assumed by school leaders. Out of the contextual challenges currently faced by school leaders, two conceptual frameworks emerged that shaped the focus for this investigation. Leadership and Change Agentry Because of the complexity of educational challenges, K-12 principals have difficulty leading schools alone. New models of leadership based upon building relationships and sharing responsibilities are being explored (Bums, 1998; Napier, 2000; Telford, 1996). Empowering teachers to engage in collegial activities and participate in shared school governance is changing power relationships in schools 5

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(Carr, 1997; Crockett, 1996; Sergiovanni, 1992; Tye, 1998). The implementation of site-based management, the use of school-wide action research, and the introduction of school-defined initiatives have been tried with mixed success (Brown, 1994; Dana, 1992; Riordan & da Costa, 1998; Short & Greer, 1997; Sidener, 1995). Sharing school leadership with representatives of stakeholder groups does not occur without careful preparation and implementation (DuFour & Eaker, 1998; Fullan, 1999; Schwahn & Spady, 1998b; Sergiovanni, 1998). Redefining the principalship from traditional top-down leadership to collaborative partnership through shared leadership and management (Lemley, 1997) involves time and patience and requires new perspectives and understandings about leadership (Barth, 1990; Fullan, 1993; Hoban, 1998; Wagner, 1998). The successful implementation of innovation through new leadership models also requires changes in how principals are selected, trained, mentored, and supported (Barth, 1990; Cline & Necochea, 1997; Lemley, 1997; Milstein & Kruger, 1997). Thus, the first conceptual framework shaping this research became the interrelationship of leadership and change agentry. A review of literature about school reform and renewal, leadership processes that initiate and sustain innovation, and redefined roles of school leadership is presented in Chapter 2. Leadership and Culture The second conceptual framework guiding this study is the reciprocal influence of leadership and culture: Leadership generates interaction among parties that creates a cultural dynamic based upon accepted behavior patterns (Collins & Porras, 1997; Deal & Kennedy, 1982; Goffee & Jones, 1998). The resulting culture must be managed through leadership (Schein, 1992). Thus, an important function of the principalship is 6

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symbolic and cultural leadership (Deal & Peterson, 1999; Schlechty, 1997; Sergiovanni, 1998). Systemic change within organizations requires new types of organizational learning, core competencies, and individual responsibilities (Deal & Kennedy, 1999; Hendry, 1999; Stewart, 1999}. Reorganization from centralized authority to self directed work teams often generates learning cultures (Schein, 1992; Senge, 1990) or collaborative cultures (Fullan, 1999; Leithwood & Jantzi, 11990). Further, many universities are using learning cohorts to deliver professioonal development for future school leaders (Barnett & Muth, 2000; Kelley & Peterson, 2000; Milstein & Krueger, 1997). These unique groups of learners provide opportunities to explore multiple dynamics within the culture of learning communities. Hence, the second conceptual framework shapin!!J this study became the interrelationship of leadership and culture within learning c:ornmunities. Chapter 3 includes a review of the literature about organizational ancx:i school culture, a discussion about the effect of the cohort model on creating learning cultures, and an overview of instructional strategies that engage participants in active collaborative learning. Preparation of School Leaders: Significance of Study Sharing school leadership (DuFour & Eaker, 1998; Fullan, 1999; Sergiovanni, 1992) and creating empowered school cultures responsiwe to innovation (Deal & Peterson, 1999; Leithwood & Jantzi, 1990; Schlechty frame this study. Implementation of collaborative leadership processes and:1 creation of empowered school cultures requires training and professional develoJDment. During the last decade of the 20th century, leadership education associations and state committees developed professional standards for the 7

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I I I I -I i preparation, licensure, and performance of school leaders (Sergiovanni, 2001; Van Meter & McMinn, 2001) The introduction of new professional standards for licensed school leaders required many university-based programs to adopt standards-based curricula and modify program delivery formats (Barnett & Muth, 2000; Kelley & Peterson, 2000; Muth, forthcoming). Study Focus Redesigning professional development programs for school principals in the midst of paradigm shifts is not easy (Milstein & Krueger, 1997). One reason is that district administrators often recruit potential candidates who fit profiles of the traditional principal (Cline & Necochea, 1997). Another reason is that many beginning principals report difficulty in balancing technical and managerial tasks while simultaneously performing as visionary instructional leaders (Daresh & Playko, 1997). Administrative internships (Duffrin, 2001; Krueger & Milstein, 1995) and mentoring programs for new principals (Crow & Glascock, 1995; Dosdall & Diemert, 2001; Willen, 2001) have been added to many leadership development programs. Research about the effectiveness of program redesigns, however, is limited. Additionally, many university-based principal preparation programs deliver instruction through cohort models (Barnett & Muth, 2000; Kelley & Peterson, 2000; Milstein & Krueger, 1997). A premise for using cohorts is that keeping students together as a unique group of learners enhances professional learning and skill development (Crow & Glascock, 1995; Norris & Barnett, 1994; Peel et al., 1998). However, most research about educational leadership cohort programs is based upon anecdotal evidence collected from participants at the close of programs rather than during active participation in the cohort (Barnett & Muth, 2000). 8

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Finally. fueled by special-interest-g;oup agitation for elimination of licensure or certification (Finn, 1991; Kanstroom & Finn, 1999; Thobum, 1986), policy makers are beginning to seek public accountability of effectiveness from university principal preparation programs (Kelley & Peterson, 2000). Current evidence is scant showing that what is learned in a principal preparation program transfers to professional practice (Barnett & Muth, 2000). This investigation describes and analyzes professional growth of educational practitioners participating in a leadership education and skills development program. The study began concurrently with a new principal licensure cohort. Data were collected in real time as the students were actively engaged in learning and as the cohort transitioned through program stages. Because the investigation spanned one calendar year, changes in participants' insights and understandings as learners and as practitioners were traced. Further, this study was conducted as research to understand the nature of these changes and the processes through which they occurred, rather than to evaluate a particular program of principal preparation. Study Purpose This case study about practitioner growth explored and analyzed changes in participants' perceptions and understandings while they were participating in a university-based principal licensure cohort program. Study participants were graduate students enrolled in a closed cohort formed through a partnership between an urban university and an urban school district Most cohort members were working as teachers or educational practitioners in urban schools throughout the study, and a majority of the participants aspired to become principals in urban districts. Program instructors during the bounded time frame of the study included two university professors and a practicing school district superintendent. 9

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I I I -I I I I ! i I I I I i l i I I I I I i I A unique feature of the sample cohort was its theme: to study collaborative leadership and explore ways to change the principalship. A cited goal for the cohort was to train practitioners with skills necessary for organizing community support and building collaborative initiatives with broad-based involvement and participation. The cohort provided an opportunity to explore a new conceptualization of the principalship. Study Value The five themes investigated in this study were (a) career aspirations, (b) leadership self-awareness and understanding, (c) role conceptualization of the principalship, (d) socialization into the community of practice, and (e) learning in cohorts. Each topic connects to other studies in the field and is important to the knowledge base concerning educational leadership and principal preparation. Evidence of practitioner growth was linked to influences created by program activities and experiences within a closed cohort. Data collection began at the first meeting of the cohort in January 2000 and continued through the final session of the third domain of study and final informant interview in December 2000. Triangulation of multiple data sources and analysis methods provided reliability and validity of findings. Further, data collected during this study will be integrated with additional data collected over time from the same participants after the conclusion of the program to explore transference of learning as students to professional practices as new school leaders. Additionally, data collection instruments developed in this study were used in other principal licensure cohorts within the same university-based program to generate a database for comparative studies. This study was not intended as a program evaluation of the university-based principal licensure program in which the sample cohort was a part. However, the conclusions and implications based upon the findings from this study have potential 10

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I I I i i ) i j t I ! I I I I i i I 1 I I I I I i I I l I i I I i I ! I I ! I I I I I I I I I I 1 I I value in the design of this and other educational leadership programs. Findings also have potential value to the broader body of knowledge about the recruitment and preparation of aspiring principals and the use of cohorts in higher education. Investigating Practitioner Growth: Case Study Design Transformation of student perceptions and understandings while participating in a principal licensure program was the phenomenon of interest for this inquiry. The case study design was selected because the inquiry met two important criteria (Yin, 1994). First, the investigation was bounded by time, from January 2000 to December 2000. Data were collected during the initial three domains of study in a standards-based licensure program. Second, the particular instance or case was a unique cohort within a specific university-based educational leadership program, formed through a new university-school district partnership. Composite responses provided by each participant became sub-units within the single case study. Additionally, because the goal of the licensure program was to prepare teachers for the principalship, the potential for interpreting program effectiveness existed. The case study design was selected because it can illustrate complexities of issues (Stake, 1995; Yin, 1994). Researcher Propositions A set of researcher propositions guided the design and focus of this investigation (Creswell, 1998; Stake, 1995). One premise was that practitioners chose to participate in the professional preparation program to acquire basic knowledge and skills required for becoming members of an aspired group (Lave & Wenger, 1991 ). Thus, as participants expanded their knowledge bases and applied skills in their professional practice, transformations would occur in the participants' understandings and perceptions. 11

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I I l I ! i i I i I ' I i I I I I l The second proposition for this case study was that participants in the administrative licensure cohort would show evidence of their growth through selfreported changes in their perceptions of themselves as leaders and their understandings about leadership. Additionally, practitioner growth would become evident by changes in participants' (a) role conceptions about the principalship and (b) socialization through adoption of professional behaviors aligned with those of school leaders. The conceptualization of professional growth reported by study participants was developed using grounded theory techniques and procedures (Strauss & Corbin, 1998) The final proposition was that various activities and assignments within the licensure program would provide stimuli for professional growth. Also, because participants remained together throughout the program as a unique group of learners the learning environment of the closed cohort would also influence practitioner growth. Data Collection and Analysis Data collection was triangulated through three different methods. First, practitioner perceptions and understandings were collected through (a) surveys, (b) open-ended questionnaires, (c) private interviews, and (d) a focus-group interview. Evidence of change emerged from comparisons of responses provided at different times throughout the study. Second, researcher insights and understandings were developed as a participant-observer of cohort sessions and through content analysis of online communication among cohort members. Third, program influences emerged through (a) a review of documents and artifacts generated during the yearlong study, (b) participant-observation of program transitions. and (c) student evaluations of learning activities. 12

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Data analyses drew primarily on case study methodologies (Creswell, 1998; Stake, 1995; Yin, 1994). Survey strategies suggested by Rshel (1998) and Fowler (1993) were used, and content analysis was conducted on selected data sources (Weber, 1990). Additionally, quantitative methodologies were integrated into a portion of the analysis process to understand magnitude of change over time (Ary, Jacobs, & Razavieh, 1996; Krathwohl, 1998; Mahadevan, 2000). The integration of qualitative and quantitative strategies created a mixed-method case study (Tashakkori & Teddlie, 1998) . Standards of Quality and Verification Multiple procedures were employed to ensure that the case study met standards of quality and verification (Creswell, 1998; Stake, 1995: Yin, 1994). Data collection was linked to the propositions guiding the study (Stake, 1995). An organized system of data management was carefully constructed and employed so that a chain of evidence could be constructed (Yin, 1994). The breadth of data sources and the use of mixed methods during analysis supported multiple forms of triangulation (Tashakkori & Teddlie, 1998; Yin, 1994). Draft copies of the reports were provided to key informants to review for accuracy of reporting and interpretation. The informants and primary investigator met as a focus group to discuss and evaluate the study report. This quality assurance strategy is known as member checking (Creswell, 1998; Kvale, 1996; Stake, 1995; Tashakkori & Teddlie, 1998; Yin, 1994). Extensive amounts of participant commentary were integrated into the report, and thus the required thick description detailed the unique case (Creswell, 1998; Stake, 1995). A complete description of the case study methodology is presented in Chapter 4. 13

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I .I I I i i I I i I I I I I I I .l r Context: The Licensure Program The case study was conducted within a unique cohort that was part of a university-based professional leadership program. Following the state adoption of professional standards in 1994, the educational administration faculty at the urban university in a western state progressively revised its principal licensure program into a problem-based (Ford, Martin, Muth, & Steinbrecher, 1997), active-learning (Muth, 1999), portfolio-assessed (Muth, Murphy, Martin, & Sanders, 1996) model. The leadership preparation program transformed from a series of on-campus courses into off-campus cohorts developed through school district partnerships. As a standardsdriven program (Ford, Martin, Murphy, & Muth, 1996; Murphy, Martin, & Muth, 1994), the goal is to endorse graduates as competent professionals ready to assume roles as licensed school leaders. Standards-Based Curriculum The university licensing program focuses upon all knowledge bases and performance benchmarks defined by the state's Principal and Administrator Professional Standards Board (Ford et al., 1996; Murphy et al., 1994; Muth, forthcoming). The program is a sequence of four learning domains that concentrate on specific areas of school administration and connect to concurrent field experiences Each domain usually spans an entire semester. Individual and group activities within the domains or "content umbrellas" (Muth, 2000, p. 60) center on four broad topics: (a) educational leadership, (b) school environment, (c) supervision of curriculum and instruction, and (d) school improvement. Domains of study overlap both to integrate subject matter across domains and to take advantage of cycles of events in schools relevant to the domains and standards to be met. 14

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Each domain has an integrated set of field-based learning activities to connect content to practice. A 135 clock-hour intensive internship provides additional immersion into practice and experience as a school administrator. Content learning is balanced with field experiences so that students gain clinical skill to recognize and solve problems of professional practice. Cohort Structure The faculty selected the closed cohort structure because it delivers instruction suited to the diverse needs of adults (Barnett & Caffarella, 1992; Mahoney, 1990), fosters collegial learning (Barnett & Muse, 1993; Reynolds, 1993), and increases student retention through empowering students (Teitel, 1995; Yerkes, Basom, Norris, & Barnett, 1995). A closed cohort keeps students together as a group throughout the entire program (Basom, Yerkes, Norris, & Barnett, 1995) and provides ongoing peer support and professional collegiality (Barnett, Basom, Yerkes, & Norris, 2000). Because most learning cohorts in the program are developed in partnership with local school districts, unique problems of practice emerge as potential projects and learning events (Martin, Ford, Murphy, & Muth, 1998). Partnership cohort sessions are held at district sites and jointly taught by university professors and administrative practitioners. Integration of Information Technology Adoption of a sophisticated online communication system by the university's school of education opened myriad opportunities to integrate online instruction and learning into the school's licensing programs. The FirstCiass Client e-mail and conferencing system provides statewide service to the school of education, area districts, and educational associations (Muth, 2000). The online system "permits 15

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I i ., I i I synchronous as well as asynchronous communications, easy file sharing, and Internet i l I i i I I i access" (Muth, 2000, p. 60). Additionally, this user-friendly system allows discussion sites known as conferences. Within a cohort conference, participants can post questions, comments, and responses viewed by all conference members. The electronic conferences provide an avenue for developing relationships outside the regularly scheduled cohort sessions and facilitating completion of special online projects. In addition, the communication system offers private electronic mail and live-chat opportunities. All program-related online communication housed in a conference is archived for three years. Authentic Assessment Mastery of learning is presented through defense of self-constructed portfolios (Muth et al., 1996). Artifacts included in portfolios are created through cohort activities developed through professional experiences that link to specific benchmarks. These artifacts are compiled into a portfolio and presented as evidence of expertise. Students who complete all licensing program requirements and successfully pass a state-approved examination are eligible to receive a provisional state license as a school principal. Students participating in the licensing program can earn a Master of Arts (MA) or Educational Specialist (EdS) degree by completing nine additional credits of specified coursework beyond the required 31 credits (Muth, 2000). Program Tenets The principal licensing program is structured upon principles of transformational leadership and empowerment developed through practitioner experience and reflection and expanded through intellectual consciousness (Napier, 2000). The curriculum integrates problem-based learning and action research, exploration of problems of 16

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I l i I I i I I I I I l i i I i i i i I ! practice through group projects. online mentoring and instruction, and personal reflection (Muth, forthcoming; Muth et al., 1999). The cohort provides an evolving, adaptable learning environment that allows participants to empower themselves through practical applications of knowledge and integration of personal and professional experiences in their own learning (Muth et al., 1999; Napier & Lowry, 1999). Complications and Limitations: Potential Influences Two types of influences potentially affected the findings in this case study. Complications emerged due to environmental issues: (a) passage of an omnibus educational bill by the state's general assembly, and (b) restructure of the licensure program by the cohort leader. Limitations due to researcher bias may also have infiuenced the findings. Environmental Issues Two important factors, one external to the licensure program and the other internal, influenced the findings in this case study. Rrst, during the early months of data collection, the state's general assembly passed an omnibus education bill that initiated dramatic changes to the system of public school accountability. Yearly high-stakes testing was expanded to all levels from third through tenth grade, and state-regulated school report cards were added. During the legislative process, the local media provided extensive coverage of political debates among policy makers, citizens, and educators. Passage of the contested legislation directly impacted the practices of all public school teachers and principals in the state. Data reflected the reactions and concerns of the participants as they wrestled with the implications of the new policy on their current professional practices and their future responsibilities as school leaders. 17

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-' i i I I I I I I i i Modifications that the cohort leader made to the university's licensure program I j created a second influence on the study. Because the theme of the sample cohort was I collaborative leadership, the cohort leader developed a unique action-learning project. Students were required to conduct research about collaboration in schools during the last two domains of their program. To provide time to conduct the research, the cohort leader eliminated the usual concurrent field-based learning experiences in each domain. Thus, students in the sample cohort did not have program-supported opportunities to integrate content learning with ongoing field experiences or to work directly with acting school leaders on authentic problems of practice. Findings suggest that the modifications to the university's principal licensure program directly influenced practitioner growth experienced by the study participants Researcher Issues I designed this case study as an exploratory inquiry about the transformations that educational practitioners experience and report as students in a professional development program. The propositions were developed to guide data collection and analysis and to report findings The assumptions were based on two foundations: (a) reviews of literature about K-12 school leadership, and (b) my personal experiences as a teacher, curriculum developer, researcher, and cohort instructor. My selection of the literature used to construct the conceptual frameworks for this study included elements of researcher bias. Also, my prior experiences as a teacher leader working with school principals on school renewal projects and as a national consultant working with educational practitioners in the adoption of new curriculum disposed me toward an interest in leadership for change. My recent work as a curriculum developer, researcher, and instructor in other i j university-based cohorts presented the greatest potential for creating researcher bias. I I I i 1 1a

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I I I I I While I support collaboration as an important element when implementing change, I believe collaborative leadership cannot be used all the time: Leaders often must make quick and firm decisions without seeking consensus. During the summer of this case study, I heard several principals talk about leadership styles with students in another licensure cohort. Their comments confirmed my perceptions that school leaders need to be adept at determining what type of leadership to use in a given situation. Several books about the principalship further confirmed my opinion. The introduction of the state's new accountability measures required immediate action, thus limiting opportunities for public schools to develop and implement broad-based collaborative leadership processes. While the literature supports collaboration within school settings, many authors and researchers posit that a time span of three to five years is needed to implement shared leadership. Unfortunately, public schools in the state where the study was conducted were not given time to make gradual changes. Based upon my observations as the graduate research assistant for the educational leadership division, I perceived that the principal licensure cohort I selected as my sample was formed quickly. The faculty did not engage in extensive program planning prior to orientation. Further, the change in the licensure program (splitting the leadership domain with law studies and eliminating concurrent field-based experiences) did not appear to be a faculty-wide decision. Fully aware of my dispositions, I attempted to maintain an objective perspective during the conduct of this case study. In the next three sections, I describe in greater detail what I perceive are sources of potential researcher bias. Program development and pilot study. During the year prior to beginning this case study, I worked closely with a professor from another division in the school of education and with professional practitioners to develop a new off-campus cohort 19

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., I I I i I I I l program for corporate trainers. For six months I participated in program design student recruitment activities, and implementation preparation for a new information and learning technologies (IL T) cohort. As a member of the network faculty, I attended planning and curriculum meetings with the cohort leader and a professional program designer. These two educators also served as co-instructors for the first course in the two-year program. observed the instructors integrating culture-building activities and team-building strategies during my weekly observations of the IL T cohort during its first semester. As a network faculty member, I also had the opportunity to conduct an action research study during the first semester of the new program. The inquiry focused on adult-student perceptions of psychological safety in a learning environment. Findings were shared with all cohort members at the close of the first semester to assist their professional development as corporate trainers and program developers. The action research study also served as a pilot for data collection methods used in this dissertation. I gained new insights into the challenges of designing cohort programs and new understandings about the value of collaboration among faculty in the design of a cohesive program. Findings from the pilot study also sensitized me to the critical importance of creating group norms and "risk-safe environments" (Juraschek, 1999, p. 1 0) within cohort programs for adult learners. Cohort instruction and ongoing assessment. Rve months after beginning this case study, I was invited by two professors in the administrative leadership division to join the instructional team for a new principal licensure cohort. The curriculum we adopted focused closely on the state's professional standards for the preparation of school leaders. Using findings from the pilot study described above, we integrated 20

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I I j culture-building activities to develop cohort cohesiveness and used problem-based learning strategies to help students identify problems of practice they wanted to address. Students engaged in related field-based learning experiences during each of the content domains. The following semester, another principal licensure cohort was developed in partnership with two other school districts and in collaboration with another local university's administrative leadership faculty. I was invited to serve on the instructional team for this new cohort as well. The faculty integrated many of the strategies used in the other cohort in which I taught. My experiences as the primary investigator in the earlier pilot study and this case study prompted me, as an instructor in the two principal licensure cohorts, to collect ongoing student assessments and reflections about their learning. Using the input from the students, the instructional teams modified the curriculum and learning environment when needed. Collaborative program development. Through my experiences as a curriculum developer, action researcher and cohort instructor, I learned that ongoing discussions with fellow instructors focused attention on the desired program goals and student outcomes. Team-shared focus and action resulted in observable evidence of learning. These experiences prejudice me toward the time-consuming and sometimes frustrating work of collaborative curriculum development. I believe that a shared vision among faculty creates a cohesive professional development program and provides the needed diversity to create engaging and meaningful learning experiences. I also believe ongoing program assessments by students ensure that the instruction and environment meet the needs of adult learners. Findings from this study further convince me that my perceptions are accurate. 21

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I I l I i i I I I I I I i I I I I Structure of the Dissertation Creswell (1998) and Yin (1994) provide guidance in reporting a case study, which I used to structure this thesis. The challenges faced by current K-12 principals open this chapter and set the broader context of this study. Environmental, educational policy, and school leadership issues serve as a prelude to the study focus: preparation of new school leaders. The description of the principal licensure program includes an explanation of the uniqueness of the sample cohort. Possible influencing complications and limitations are also presented. The study's conceptual frameworks serve as introductions to the research focus and to the purpose and value of this inquiry. Chapter 2, Leadership and Change Agentry, and Chapter 3, Empowered Learning Cultures, present expanded descriptions of the research and cited works supporting the two conceptual frameworks. This introductory chapter also includes an overview of the study methodology. Chapter 4, Mixed-Methods Case Study, provides a complete description of the sample cohort, data collection and analysis methodologies, and quality checks. The methodology chapter closes with an explanation of the formats for Chapters 5 through 9. The five chapters present findings related to the researcher propositions that guided this study. Chapter 5, Aspirations: Participants' Career Goals, opens with a prologue vignette tracing one participant's growth during the study. The next three chapters describe results in three different areas: Chapter 6, Leadership: Participants' Understandings; Chapter 7, The Principalship: Participants' Perceptions; and Chapter 8, Socialization: Participants' Transformations. Chapter 9, The Cohort: Participants' Assessments, closes with an epilogue vignette that encapsulates the study I participants' assertions about their professional growth during the study. I I -! I I I

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I I I I I I I i I I ! Chapter 1 o, Implications for Practice and Research, presentes interpretations and suggested implications for practice and future research. A copy of the university's approval to conduct the study, examples of all data collection instrurments and prompts, and a reference list of all cited works follow Chapter 1 0. 23

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l i i ., I i I I I CHAPTER2 LEADERSHIP AND CHANGE AGENTRY Effective leadership is the cornerstone of any successful organization, regardless of the nature of its work (Barker, 1997; Bennis & Townsend, 1995). Yet, despite a rich history of theory development and research studies, a single definition of leadership is still not universally accepted (Barker, 1997; Hall & Hard, 1987; Rost, 1991 ). While examining leadership from multiple and diverse perspectives adds to the body of knowledge of leadership practices that transcend all organizations (Cantor & Bemay, 1992; Luthar, 1996), exploring the full scope of the literature is daunting. Hence, the models and practices of leadership presented in this chapter are deliberately limited to a focus on leading change efforts. New leadership models are needed to implement and sustain successful innovation in schools. Change agentry requires leadership that builds relationships (Bums. 1998; Short & Greer, 1997) and engages representatives of various stakeholder groups in decision making (Fullan, 1999). The principalship is changing to meet this added dimension to school leadership (Barth, 1990; DuFour & Eaker, 1998; Fullan, 1997; Sergiovanni, 2001 ). To frame the context in which leadership and change agentry emerged as a conceptual framework for this study, the chapter begins with a short presentation of elements within current educational debates that is followed by a review of emerging models of leadership and discussion of change strategies. Rndings from studies about leadership for change in schools also are included. The closing section presents future 24

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projections about public education in America as a link between this literature review and the one that follows in Chapter 3, Empowered Learning Cultures. Elements within Current Educational Debates While multiple courses of action are used to address today's challenges in public education, an interesting paradox evolves within the semantics of proposed initiatives. Two words-reform and renewal-used in the context of educational change i i i seem to fuel continuing debates, instead of supporting consensus for action. i ! Reform versus Renewal According to dictionary definitions, reform means to improve by change of form or by removal of defects as measured against some standard of excellence. Renewal means to revive or bring back to an original condition of freshness and vigor (Random House Webster's College Dictionary, 1999; Websters Seventh New Collegiate Dictionary, 1963). Based upon a review of literature, it appears that advocates for reform are often government officials and policy makers, business leaders and special interest groups, and school board members. Usually, reform proposals are efforts directed toward correcting perceived shortcomings in public schools that cause broader societal or economic problems (Cuban, 1990; House, 1998; Napier, 2000; Smith & O'Day, 1990; Tyack & Cuban, 1995). In contrast. advocates for renewal are usually principals, classroom teachers, parents, students, education scholars who work in K-12 schools, and occasionally representatives of the local communities where schools are situated. Educational innovation through renewal is perceived as the primary responsibility of those groups that work in schools or that are most closely connected to schools (Glickman, 1998; Goodlad, 1984; House, 1998; Napier & Lowry, 1999). 25

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I I I I I I I I i i j i i I I j l I I I j i Even though a difference between the meanings of the two words exists, reform and renewal appear to lose clarity in the literature promoting educational innovation. Following are two examples of the confusion that can arise with regard to the use of reform and renewal. Two Views about Change An advocate for school reform, Schlechty (1997) believes that school renewal and improvement are too limiting perspectives for the types of systemic change needed in public education today. He calls for reexamination of the fundamental assumptions upon which the American school system is based and a willingness to modify those assumptions to meet the realities of the 21st century. A proponent of school renewal. Glickman (1998) suggests that the paradox surrounding educational innovation is that there is "not anything particularly new to learn about powerful educationa (p. 176). He believes that the purpose for school change has been lost in the confusion and distractions that fail to define what good education is with respect to the public democratic good. He proposes "revolutionizing America's schools" through implementation of a democratic pedagogy that would reconnect public education to its original purpose: the continuation of the work of the American Revolution. Schlechty specifically states that he is a reform advocate, and Glickman is an avowed renewal advocate. Both authors persuasively write about the need for systemic change and propose ways to redesign schools. However, trying to differentiate between the meanings of reform and renewal in the two proposals presented above is difficult. Therefore, despite differences in meaning and perspective, reform and renewal are used interchangeably in this chapter, as cited in the language presented in the literature. 26

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I l l 11 I I I I I I Leadership for Change Beyond semantics, multiple factors influence the success or failure of educational change efforts. At times the outcome depends upon the nature of the innovation and how it is introduced (Evans, 1996; Fullan, 1993; Schwahn & Spady, 1 998b) or the strategies used to implement the innovation (Oakley & Klug, 1991; Schneider & Goldwasser, 1 998; Short & Greer, 1 997). Success or failure of implementation can depend upon why change is introduced, what kind of change it is (procedural, technological, or systemic), and what training opportunities and structural support is provided to those required to impiement the change effort (Fullan, 1997; Schlechty, 1997). Other factors that influence change efforts include the character of the organization itself (Brown, 1994; Crockett, 1996; Deal & Peterson, 1999} and the role orientation of the individuals involved in the initiative (Bums, 1998; Cline & Necochea. 1 997; Evans, 1996; Schlechty, 1 997). Success or failure can depend upon the cultural orientation of the organization toward innovation and the alignment of the change initiative to a shared vision. The outcome of a change initiative can also depend upon the way in which individuals choose to engage in the process and how conflict is resolved and consensus is developed (Bums, 1998; Fullan, 1999; Oakley& Klug, 1991}. Additionally, the power of assumptions influences change initiatives in education and often stymies successful implementation. Outdated assumptions that narrowly limit the imagination and fail to focus on the realistic needs of children and youth are root causes for the failure of many reforms (Astuto et al., 1 994). Similarly, the "basic grammar of schooling" (Tyack & Cuban, 1995, p. 85) becomes another stumbling block to change. The general public holds an 27

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institutionalize perception of what school should be (Cuban, 1990; House, 1998). Memories of the past clash with current realities and projected needs, thus making it difficult for educators to introduce new instructional practices and respond to changing student demographics (Tyack & Cuban, 1995). Historical customs of schooling, societal beliefs about education, and legal mandates interactively affect change efforts in schools (Pipho, 2000; Pulliam & Van Patten, 1999; Smith & O'Day, 1990). A common theme woven into many popular seminar workshops and books is that applied leadership is defined by situations or in the context in which it occurs (Fullan, 1997; Schwahn & Spady, 1998a: Smith, O'Connell, & Hughes, 1999). Because leadership and change agentry in schools is the focus of this conceptual framework, the breadth of literature was further narrowed. Hall and Hard (1987), Fullan (1997), and Schlechty (1997) are authors who connected leadership and change in their writings about educational innovation. Hall and Hard's Definition In their book about change in schools published in 1987, Hall and Hard devote an entire chapter to "leadership for change" in which they summarize portions of the then-current literature about leadership and change. The four reviewed leadership perspectives include "leadership traits, leadership styles, the interaction of the situation with the leaders' traits, and last, the interaction of the situation with the leader's behaviors" (p. 24). Hall and Hard conclude that while many hypotheses connect style, behavior, and situation to leadership, none has been carefully tested in practice to suggest a definition. Further, Hall and Hard determined that the then-current literature about change did not address leadership. Therefore, their literature review focuses on change models: (a) Havelock's three perspectives (social interaction models; research, 28

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l I l development, and diffusion model; and problem-solver model); (b) organizational I 1 development; (c) linkage model; and (d) the Rand Change Agent Study. Most of these I change models were designed with a teacher-proof orientation, which make them less i suitable for localized change efforts. Hall and Hord conclude that the critical aspect of I I leadership for change "is in the exercise of day-to-day actions that are required to i I initiate and sustain the change and improvement process" (p. 51). I i j Fullan's Definition I Another writer about educational change, Fullan (1997) uses the phrase "leadership for change" as an action plan for principals to use when (a) addressing advocacy and resistance, (b) leading whole school reform, and (c) working with school councils. He suggests that "leaders for change must immerse themselves in real situations of reform and begin to craft their own theories of change, constantly testing them against new situations and the accounts of others' experience" (p. 9). However, Fullan cautions that no standard techniques or tools exist that a principal can simply adopt and adapt in this new concept called leadership for change. Schlechty's Definition In his action plan for reinventing schools, Schlechty (1997) dedicates an entire chapter to "leading the change process." He presents differences between three types of changes (procedural, technological, and systemic) and offers four questions that leaders can use to guide the change process. Schlechty posits that procedural and technological change is commonplace in most organizations and that most empirical studies focused only on procedural and technological change efforts. Systemic change, however, challenges the fundamental roots and assumptions of the structure and culture of organizations, making this type of change "cataclysmic 29

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I ! i I I l I i I I ! i I I j l events in the life of the organization (p. 206) and not easily accessible for study. Schlechty advises educators to follow the practice of business leaders and engage in discussions about systemic change. He believes business leaders have learned that "the variance in performance of all organizations and of the people in those organizations has to do with the properties of the systems themselves rather than the attributes and motives of individual men and women" (Schlechty, 1997, p. 221). Thinking systemically redirects the actions of leadership for change. Operational Definition Scholars of leadership theory and practice have not crafted a definition for leadership for change; nonetheless, the concept needs a working description. For purposes of this conceptual framework, the following definition of leadership for change is provided: In the context of schools, leadership for change is the process of implementing educational innovation through collaboration with empowered stakeholders within the school community and through a continuing cycle of inquiry, evaluation, reflection, and proaction. Leadership for change that engages multiple stakeholders in designing, implementing, and sustaining innovation is viewed as means of building capacity and lessening the responsibilities of the principalship. The following sections present a review of literature about new leadership models, change processes, and findings from various studies about new forms of school leadership. Collaborative Leadership: An Emerging Change Model During the late 20th century, many leaders of organizations and institutions that engaged in restructuring processes discovered their leadership roles redefined as change agents (Patterson, Grenny, McMillan, & Switzler, 1 996; Schwahn & Spady, 30

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! i I l i I I I I I I l I I 1998a). Successful reorganization often requires groups of individuals to engage collectively in leadership processes in order to achieve a defined goal. As empowered work teams in business replaced traditional hierarchical structures, leadership scholars began to explore a new phenomenon of leadership based upon collaboration. Collaborative leadership, although not yet a concisely defined construct, integrates change agentry with leadership processes. This new leadership model is also called collective leadership (Allen, Bordas. Hickman-Robinson. Matusak, Sorenson, & Whitmire, 1998), facilitative leadership (Sidener, 1995}, participative leadership (Hoban, 1998}, and webs of potential collaborative leadership (Bums, 1998}. Because collaborative leadership is an emerging theory, the current body of knowledge regarding the construct is open-ended and exploratory, rather than fixed and well defined (Rost, 1991 ). Bums' Perspective Twenty years after the publication of his seminal work, Bums (1998) is revisiting his earlier definition of leadership. Rather than viewing leadership as a mutually recognized relationship between a leader and followers, he now postulates that potential leadership exists within any body of individuals or "web" (p. 11) and depends upon the behavior of an initiator and the conditions that influence action. Bums' new understanding of leadership requires a "multiplicity of actors' roles" or "complex differentiation" (p. 13) determined by five different responses to stimuli. The roles include the Initiator [one who takes the first step toward change by breaking away from the state of equilibrium in a web and communicating with other potential actors to gain a positive response]; Partners (collaborators, co-leaders?) who respond positively to the initiator's original message; Opponents, who respond negatively; 31

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I i l I l i I I i I I l ; I I i I I I i 1 Passives, who initially do not respond but may be drawn into participation by the above actors; and Isolates, who share the motivations and attitudes of other persons in the web but who may stand aside because of apathy or anomie. (p. 13) Bums {1998) believes that the merging with others in a series of interactions is what constitutes collective leadership. Within this framework. conflict becomes the most critical component of the process, since it is through resolving conflict that the motivations of others emerge with regard to change actions. Further, Bums contends that leadership Qsupplies the most vital and central source of intended changeq (p. 31 ). Bums envisions collaborative leadership as a form of group change agentry that incorporates diverse perspectives and that requires fluidity and conflict as critical components of the process. Schlechty's Perspective Interesting parallels exist between how Bums (1998) and Schlechty (1997) describe the actors in a change process. Bums identifies the five roles in a change process. "Initiators" lead an agitation for change, "partners" respond positively to a change effort, "passives" eventually respond to a change initiative {p. 13). "Isolates" do not become involved in the change because of apathy or anomie, and "opponents" respond negatively to the attempted change {p. 1 3). Schlechty uses descriptive terms, borrowed from the era of westem expansion in America, to describe the five different roles participants play in change efforts. Despite the names given by Schlechty (1997) or Bums (1998), the actions of the groups of participants are nearly identical. In the following paragraphs, Schlechty's terms are enclosed in quotes and are followed by Bum's terms within parentheses "Trailblazers" (initiators} are risk takers, the first to take steps in the change process (p 210). While trailblazers have a clear, guiding personal vision that sustains 32

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I I I i I i I I I 1 l I them, they often need to be reminded that the change effort is a community venture, not a private quest. "Pioneers" (partners) are willing to begin innovation without much encouragement (p. 213). They need only some assistance with concept development and value clarification about the change effort. "Settlers" (passives) need to know what is expected of them in the change effort (p. 214). Because change for them is likely to create doubt, uncertainty, and confusion, settlers want skill development and continual feedback about their progress. "Stay-at-homes" (isolates) do not respond enthusiastically or compliantly to change efforts. They potentially can move either toward advocacy or toward resistance, or they can remain apathetic (p. 216). "Saboteurs"(opponents) actively commit to stopping the change, probably because they behaved as trailblazers or pioneers during a previous change movement and were betrayed for their efforts to agitate for change (p. 218). Schlechty (1997) posits that change leaders can learn a great deal from saboteurs and stay-at-homes by keeping them involved with the school community and the change-initiative planning and implementation. Others' Perspectives Leadership directed toward community action is another area in which collaborative leadership is being explored (Napier & Lowry, 1999). The dynamic trends predicted to emerge in the 21st century are perceived by Allen et al. {1998) to require collective leadership practices that build and sustain relationships and that seek diversity to find solutions to multifaceted problems. In their study of community activism, Chrislip and Larson {1994) found that collaboration is not simply a strategy or tactic to achieve an end. Instead, collaboration is a broad-based, committed involvement among stakeholders who work together and 33

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I I I I I I l I i I I I i I I I I ! share the responsibility, authority, and accountability for achieving the desired goals. In this context; leadership as a collaborative process engages appropriate stakeholders in facilitating and sustaining interaction (Chrislip & Larson, 1994). According to Barker (1997), the concept of leadership as a process involves much more than the action or behaviors of the one identified as a leader. Further expanding the process orientation, Dentico {1999) views collaborative leadership as a collective involvement of individuals who share common purposes, visions, and goals and who unite for the purpose of making a change. This collective interaction creates a community forum where people can derive meaning from their endeavors Cleveland (1997) posits that collaborative leadership is required as organizations and institutions change through integration of computer technology and telecommunications. The emerging trend of transforming hierarchical institutions into flatter organizations composed of self-directed work teams creates a sense of community that empowers individuals to participate in collective leadership. Collaborative Leadership: Its Origins Understanding the origins of the concept of collaborative leadership often helps in understanding how collaborative leadership is evolving into a construct. Most of the literature about collaborative leadership is set within the context of leadership studies (Barker, 1997; Bums, 1998; Rost, 1991) or within business and industry settings (Bennis, 1998; Bennis & Townsend, 1995; Patterson et al., 1996; Prestwood & Schumann, 1997). Discussion about creating collaborative groups or collaborative processes is usually a topic included as part of leading change efforts in corporate settings (Bennis & Mische, 1995; Harper, 1998; Schneider & Goldwasser, 1998; Senge, 1990) or in community action (Chrislip & Larson, 1994; London, 1995; Lowry, 2000). 34

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i I I I I j I I i I I I Expanding leadership from power vested in position to power residing within individuals is an important element of collaborative leadership. The purpose for transforming from traditional hierarchical leadership models to "webs of potential collaborative leadership" (Bums, 1998, p. 11) or uparticipative leadership" (Hoban, 1998, p. 2) is to engage multiple stakeholder groups in empowering processes. When implemented within an educational setting, these new forms of leadership are perceived as a means of creating a collaborative school culture that successfully addresses the needs of all (Fullan, 1999; Sergiovanni, 1998}. Groups beyond the physical school boundaries often provide the diversity needed to enrich change activities. Thus, potential community members involved in participative leadership include parents and members of student families, educators from universities and colleges, representatives of social service agencies and local commercial enterprises, and school district administrators and policy makers (Fullan, 1999: Goodlad, 1997; Hoban, 1998). Collaborative Leadership: Its Use in Schools Reports of using collaborative leadership as a model for change agentry within the field of education are limited because site-based management is often mistakenly equated with collaborative leadership. While site-based management engages teachers in collective interaction, the model gives teachers only limited decision-making power in selected areas of school management (Brown, 1994; Riordan & da Costa, 1998; Tye, 1998). Current literature about the changing role of a principal also addresses changing the culture of a school and empowering teachers and other stakeholder groups (Carr, 1997; Koll, Robertson, Lampe, & Hegedus, 1996; Sergiovanni, 1992; 35

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I I I i I I I I I I I I Sidener, 1995; Short & Greetr. 1997). Educational leadership literature suggests that engaging multiple groups in sshared decision making and collegial activities creates collaboration. However, only.two studies conducted in K-12 schools specifically used the term collaborative leader::ship. Following are summaries of those two studies. School-University Partnershim For three years, a teo.am of university researchers (Clift, Veal, Holland, Johnson, & McCarthy, 1995) worked together to create a model for collaborative leadership within a school-university partnerstwip. The project began as an initial teacher preparation partnership but expanded over time into a multifaceted project that integrated teacher inquiry, collaborative leadersl.hip, action research, and professional reflection. Among the multiple aobstacles encountered, the researchers found that the structure of educational institlutions and professional work made collaboration very difficult. Further, their findings suggested to them that collaborative leadership creates a great deal of ambiguity, requires time-intensive maintenance, and changes significantly as participants and exit the process (Clift et al., 1995). Four-Frame School Model Telford (1996) reportis findings from a second study about collaborative leadership in K-12 schools. '"While conducting a qualitative study of five schools in Australia, Telford explored ttne qualities that made the schools successful models of collaborative cultures. UsinQ;;J a concept borrowed from organizational theory (Solman & Deal, 1991), she organized mer study into four main frames: (a) structural, (b) human resources, (c) political, and (_d) symbolic. Based upon the worik of Solman and Deal (1991 ), Telford adapted their four frames in the following manmer. The structural frame focuses on the centrality of 36

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I i i l i ! I I I I 1 I I I I I I I I I i I I I I l l I i I I I I j I I I teaching and learning and uses the structure of the school to enhance individual student achievement. The human resource frame seeks the skills and talents of school community members to match roles to aspects of needed leadership. From a human resources orientation, collaborative leadership responds to the needs of individuals and accommodates diverse talents as appropriate to the overall vision. Collaborative leadership viewed through the political frame involves active participation by all sections of the school community in the decision-making processes. The symbolic frame draws attention to institutionalization of attitudes and norms into the school culture. Telford (1996) posits that although each frame requires different strategies to achieve different outcomes, the result of using all four frames is collaborative leadership. Summary Even though the two studies cited above focused somewhat on the same phenomenon, the findings did not lead to consensus about what collaborative leadeiship is within educational settings. Just as leadership has no universally accepted definition (Rost, 1991). collaborative leadership may depend upon the situation and the participants involved in the process. Currently, theories and practices related to collaborative leadership lack common fundamental elements. Change Agentry: Struggles and Strategies The literature related to change agentry often describes chaos and confusion as partners in the change process, causing participants to experience discomfort and loss. sometimes disillusionment and frustration. Leaders attempting to establish collaborative efforts must see the connections between their actions as change agents and the incredible ripple effect on the whole system (Smith, 1999). 37

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I i i I I I i l I i I I I i i I I I i l I i i i I I I Preparing individuals to participate in shared leadership activities requires crucial training in how to integrate inquiry and reflection as ongoing practice, to use strategies in consensus building, and to know when to act independently and when to seek collaborative support (Cleveland, 1998). A twelve-step conceptual model for skill development is proposed by Rubin (1998) as a successful way to engage participants in collaborative leadership. Struggles: Group Resistance Transforming schools into learning communities with collective forms of leadership increases opportunities for teachers to participate more directly in shared governance and collegiality. Yet, efforts to change school governance are often resisted by the very individuals who seem theoretically to benefit most from the change. Two writers provide their understandings about why change in schools is difficult. Evans' perspective. A clinical and organizational psychologist, Evans (1 996) explored educational change from the human perspective. He suggests that many types of change efforts fail to engage teachers in leadership activities. Teacher leadership requires an alteration in teachers' role conception, a change to which many teachers are resistant. First-order changes do not significantly alter the day-to-day features of the work in schools or how individuals perform their roles. Modifications of this type are intended to improve efficiency or effectiveness of the work already being done. Second-order changes, however. alter the entire structure and culture of an organization. These systemic changes are much more difficult because people are required to alter their assumptions and roles, "not just do old things slightly differently" (Evans, 1996, p. 5). Resistance to change by "reluctant faculties" (p. 91) is intensified by differences in ages, career stages, and experiences of a school's faculty. Evans posits that a 38

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I ., I I I i I i I l I i I I i I I I I I I I i I I I i i I i I I chronic problem in school improvement is the failure of change agents to build readiness for innovation. Carr's perspective. While teachers often appear resistant to increased empowerment efforts and leadership responsibilities, Carr (1997) suggests that resistance is linked to low self-confidence. She provides thoughtful insights into possible reasons why teachers seem to prefer the status quo. Too many teachers have survived the challenges of teaching by finding comfort in the isolation of their classrooms. There, they can avoid challenges from their peers and maintain a comfort zone with their students. When a teacher learns to step out of that comfort zone, however, and gains the self-confidence required to accept challenges-to reach beyond the day-to-day routine--a collegial leader emerges. It takes a special person to assume such a school leadership role outside of an administrative position. And unfortunately, within the teaching profession, there is little to nurture such potentiaL (p. 240) Successful adoption of innovation in schools requires practitioner growth and changed perceptions that result in a variety of responses by those involved in the process (Carr, 1997}. Strategies: Group Inquiry Change leaders need to become cognizant of the potential responses of others to systemic reform efforts (Hargreaves & Fullan, 1998; Schein, 1992; Smith, 1999; Schlechty, 1997). Among suggestions offered in the literature by change proponents, Schwahn and Spady (1998b) identified five strategies that help to guide change efforts within organizations or institutions. First, organizational values, mission, and vision surrounding the innovation must be so clearly understood that people can state them simply and enthusiastically. Unless people share a compelling reason to change, they will not accept it. Second, all stakeholder groups need to be involved, either directly or indirectly, in the development 39

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l I i i I I I I I i i I I I of the vision and strategic design. People do not change unless they have ownership of the sought change. Third, leaders need to use the change vision in every important action and decision (agenda planning, communication, and resource use). Leaders who embrace the innovation repeatedly model to others that they are serious about the change effort. Fourth, every individual's role and responsibility needs to be linked to the innovation. Without a concrete picture of what the change will look like, people are unlikely to accept the change personally. Rnally, every structure, policy, procedure, and practice in the organization needs to be linked to the new vision. Without receiving organizational support for the change, people cannot successfully implement it (Schwahn & Spady, 1998b). Initiating school reform or renewal efforts requires careful and cautious preparation. Appreciative inquiry and comprehensive action research are two strategies that ease resistance to change and engage stakeholders in the process of identifying needed innovation. Appreciative inquiry. A traditional strategy used to formulate a change agenda is problem solving, a methodology that unfortunately often results in a negative mindset (Lowry, 2000). Appreciative inquiry offers an alternative model for designing organizational change, based upon a constructivist view of the reality of the organization. In contrast to problem-solving strategies that assume something is wrong and needs fixing, appreciative inquiry is based upon an assumption that simultaneously "something is going wrong AND something is going right" (Lowry, 2000, p. 6) within the organization. Appreciative inquiry uses recursive steps similar to the process used in 40

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problem solving; however, the significant difference between the two models is the type of questions asked and the resulting outcomes. A broad-based group of authentic practitioners must engage in appreciative inquiry in order to collect the breadth and depth of data needed. Using appreciative inquiry, shareholders seek solutions through four essential steps: (a) discovery to determine what is, (b) dream to envision what might be, (c) design to create a plan of action, and (d) delivery to guide implementation of the desired change. Research suggests that appreciative inquiry can provide engaging and empowering opportunities for principals, classroom teachers, students, parents and staff to discover the positive elements of their school (Lowry, 2000). Community-based action research. Another systemic change strategy is community-based action research (Stringer, 1996), which is similar to appreciative inquiry (Lowry, 2000) but which focuses on problem solving through action. The basic framework for action research involves three processes Stringer (1996, p. 16) calls "look" (gather relevant information and describe the situation), "think" (explore and analyze, interpret and explain), and "act" (plan, implement, and evaluate). Action research becomes a continually recycling process of observation, reflection, and action that can be a complex process involving large groups or be an individual process of reflective practice. The value of community-based action research is that it shares power and often leads "toward more cooperative, consensual ways of living" (Stringer, 1996, p. 160). Summary Appreciative inquiry and community-based action research are two systemic change strategies that can be used to build school cultures that are open to shared decision making and supportive of collaboration. Because both appreciative inquiry and 41

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I I I l ! I I I I I i I I I i i I I i I I i I l I l l action research use current data collected within the setting, outdated assumptions (Astute et al., 1994) that often guide decision making can be challenged with the realities of the present. Another outcome of using appreciative inquiry and community-based action research in schools is that principals must face and resolve the paradox of their changing roles as school leaders Since schools represent what Schein (1992) calls mature organizations, introducing new models of principal leadership can be quite difficult. The Principalship: New Role as Change Leader According to Wagner ( 1998), effective school reform requires a very different type of leadership than is usually found today in most educational systems. While new styles of leadership have been successfully implemented in corporate change efforts, Wagner believes uthus far there has been very little discussion in our schools and d i stricts of the new roles and skills educational leaders must learn" (p. 514). To be effective and credible, Wagner believes that educational leaders must develop genuine collaborative relationships with teachers, parents, union leaders, and other invested stakeholders through a constructivist approach to change that is based on collaboration. His model of an alternative to the compliance strategy of top-down school reform initiatives is defined as a multifaceted, integrated process involving many participants. A constructivist approach to change ... is a process of action research and development in which everyone works to understand the problem, engages in discussion to reach agreement on the goal, and shares in the responsibility for implementing change, assessing progress, and achieving results. Ultimately, a constructivist change process helps to create and becomes embedded in a new school and district culture that values continuous learning and improvement both for adults and for students. (Wagner, 1998, p. 516) 42

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I l I I I I I I I I I I I I I I l I j I I I i I I I I I I I I I I Berliner and Biddle (1 995) express concern about redefining the principalship in the current era of standards and accountability, which usually pinpoints the principal as the person whose job is on the line. Additionally, Pool (1998) believes parental involvement, inclusion programs, school choice, and vouchers are among many recommended ways for improving student performance levels that impact the principalship in new ways. With regard to the current accountability movement, Hoban (1998) posits that redefining school leadership from the traditional autocratic model with the principal at the helm into a collaborative empowering model involving multiple groups can be viewed as a clash of paradigms. He openly expresses his struggle to find balance between the ideology of new school leadership designs and the "major onus of improvement" (Hoban, 1998, p. 5) of student performance and achievement expected today from school administrators. I still remain convinced. from an idealistic position, there really is a place for participative leadership and that Dewey was right in his call for democracy and school administration .... But, I also am coming to the conclusion that what we teach about leadership and what is actually being practiced, and maybe even desired, are two different things. (p. 8) Rethinking the role of the principal as a change "initiator" (Bums, 1998, p. 12) cannot be viewed as an easy solution to educational reform. Transforming the principalship from the traditional position as the primary school leader into the role of an actor within a collective leadership process requires new understandings and clarity of purpose and responsibilities. Not only the person assuming the role as the school principal, but also all others within the entire organizational community must understand the redefined roles and expectations (Barth, 1990; Cline & Necochea, 1997; Fullan, 1999; Koll et at., 1996) 43

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! I I f j I i i I i I I I I I I i I I I I I I Within the research about educational change, four studies presented evidence that both principals and teachers struggle to reconcile their new roles in collaborative processes. Reviews of those four studies follow. Restructuring School Culture In a dual role as university researcher and teacher educator, Dana (1992) served as the primary investigator in a collaborative study with the principal and teachers at an elementary school. The group sought to initiate a change from a school culture of isolation and seclusion to one of collegiality and caring. The teachers, principal, and university researcher used action research to explore, initiate, implement, and document change in the school related to teacher leadership and teacher voice. Dana (1992) reports a negative response toward the process by those not participating in the effort and difficulties encountered by the principal in relinquishing power as the primary school leader. Restructuring School Governance In a second school research project. Sidener (1995) conducted a seven-year study about participants' beliefs concerning the distribution of authority and the nature of work during the transition from a traditional hierarchical leadership model to site-based management in a high school. Sidener discovered that successful restructuring requires (a) a change in the entire organizational culture, (b) a shift in the core beliefs and assumptions by all members of the school community, and (c) a clear definition of new roles for all participants at every level. Sidener supports transforming the principalship into a model of facilitative leadership that encourages participant ownership. However, she asserts that systemic change must be understood to be an emerging, dynamic process requiring consistent 44

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i j i I I I I i I I I I I I I i I j i i I I I I I I I l i I i I I support from the district as well as sufficient time and ongoing assistance to make the goal a reality. Restructuring School Community Brown (1994) reports a third perspective about the challenges principals and teachers face when redefining roles and responsibilities to develop collaborative interactions in schools. Serving as a participant-observer in an 18-month qualitative inquiry, Brown studied an elementary school's transition to site-based management. He investigated the issue of trust, the value of commitment and collaboration among members of the school community, and the confusion created from introducing new roles and responsibilities. Based upon the findings of his study, Brown recommends that a school community clearly determine the level of its commitment prior to initiating a change in its leadership model. Two critical implications are that (a) transitioning school leadership into a more collaborative model requires support both during and following the process and (b) training and integrating new teachers into this emerging style of school leadership must be ongoing. Restructuring Schoof Leadership A fourth study about actions taken by principals and teachers that contributed to effective collaborative work in Canadian and Australian schools was reported by Riordan and da Costa (1998). Their findings suggest strategies a principal can use to create a school culture that supports a collaborative leadership model. First, by recruiting teachers with experience in collegial work and by allowing teachers the freedom to choose their assignments and work groups, Riordan and da Costa found that the principal establishes an atmosphere of teamwork. Additionally, by 45

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I I I i I l I I I I I I i I providing early and continuing collegial interactions and group leadership among beginning teachers, the principal demonstrates a commitment toward empowerment. Rndings from this study also suggest that by encouraging professional development activities with educators from other schools, the principal supports opportunities for the development of collaborative networks. Finally, Riordan and da Costa (1998) discovered that by supporting mentoring between experienced and beginning teachers and by clearly delineating supervisory and collaborative relations, the principal creates a climate where collegial and collective work becomes expected. Summary As these four studies conducted in K-12 schools have shown, leading systemic change often introduces chaos and confusion, causing even the principal to experience discomfort and loss. Change leaders who introduce or support collaborative efforts must see the connections between their actions as change agents and their modeled responses (Schein, 1992; Smith, 1999). This caution may be easier to suggest than to practice in the day-to-day demands of school administration. A school leader's focus traditionally has been managerial in nature; thus, a principal often spends more time addressing ways to solve small issues rather than focusing on broader leadership activities (Barth, 1990). Another challenge faced by school principals actually may begin with the very process by which they are selected and developed (Cline & Necochea, 1997). Mentoring has long been a method for inculcating the beliefs, values, and norms of an organization, and school systems regularly use this method of leadership development for prospective and new school principals. Cline and Necochea (1997) posit that those who are selected for mentoring are those who most closely resemble those already in administrative positions. This can 46

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create for many principals a confusing dilemma: how to be visionary leaders while at the same time conforming to the norm. Further, while literature about change in schools suggests that the central administrative office should act supportively and help facilitate change, school principals rarely receive that kind of assistance from district level administrators (Barth, 1 990). Based upon a review of recently published books and articles about school leadership, it is evident that the role of the principal is changing. The current movement to increase involvement by all groups within a school community (classroom teachers, parents, staff, and even students) requires principals to learn new skills in relationship and community building. In the current era of demands for educational innovation and accountability, the converging point for action and results lands on the principalship. Today's school leaders assume awesome responsibilities in meeting divergent demands and expectations (Brewer, 2001; Lemley, 1997; Sergiovanni, 2001). Challenges presented by school communities, policy makers, business and industry leaders, and the public are changing this key educational role (Fullan, 1997, Peterson, 2001; Schlechty, 2001; Sergiovanni, 2001) and creating evidence of personnel shortages to fill vacancies (Copeland, 2001; Daresh & Capasso, 2000; Kelly & Peterson, 2000; Lovely, 1999). Future predictions indicate that even greater changes lie ahead for educators. Future Trends: Predictions and Proposals Just as the past affects what is happening today in schools, present actions impact the future direction of public education. While we cannot accurately predict the future, trending forecasts emerge by using numerous futurist strategies (Pulliam & Van Patten, 1999). 47

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I i I l i I I I l i I l Using a variety of research methods, futurists produce anticipated developments, predictable probabilities within a time span, and consequences of _possible alternatives. The informed forecasts generated by futures research then can be used to guide strategic planning and policy making (Pulliam & Van Patten, 1999). Three brief descriptions of predicted trends in education that have impact on the principalship and the preparation of future educational leaders follow. Futurists' Vision Pulliam and Van Patten (1999) are historians, not futurists. Yet, in their most recent edition of a textbook about the history of American education, they report five trends in education predicted by futurists. These projections were made in the absence of major global disruptions, such as war or a new invention. First, the pattern of education will change from chunks of formal education to continuous streams of lifelong learning. Rather than job training, adults will move through cycles of knowledge acquisition and skills development. Second, because of multiple new learning-delivery systems such as distance learning, large traditional university campuses will cease to exist. Third, although fewer classroom teachers will be needed, a greater number of people will be engaged in teaching and learning within differentiated staffs. Because lifelong learning will be the norm, the distinction between the teacher and the taught will diminish. Additionally, those who are allowed to manage a future learning environment will have completed long years of training. A fourth future trend predicted by Pulliam and Van Patten (1999) is that "knowing how to learn in an efficient and joyful way will be a very highly prized future skill" (p. 304). In the ideal future, learning will be less competitive, less standardized, less grouped by ability, and less pressured for the student. 48

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i I i l Their fifth prediction has significance for the future of K-12 schools: the demise of "age-specific compulsory learning institutions" (p. 304). In place of schools, a variety of learning environments will emerge where children, youth, and adults will work together in the same learning situations. Thus, a "learning society will emerge, one in which most people will spend a great deal of every day of their lives in some kind of learning environment" (Pulliam & Van Patten, 1999, p. 304). Policy Analysfs Vision Based upon his nearly 30-year career of studying educational policy, Pipho (2000) offers his "probable developments in the 21st century'' (p. 16). Many are similar to those projected by Pulliam and Van Patten (1999). Rrst, changes in educational policy will create more choices for students and parents. Choice will require that compulsory attendance laws be removed and that all education providers be required to adhere to uniform achievement standards. Second, constituent lobbying for modification in school-funding policies will make access to education monies available to a wide variety of providers. Third, the responsibility for teacher training and professional certification will extend beyond the current domain of higher-education institutions and state boards of education. A variety of providers, including private forprofit groups, will engage in the business of teacher training and professional development. Further, Pipho (2000) predicts that new governance models will evolve. Because information technology crosses boundaries, the federal government may develop an commerce model to substitute state responsibility for public education. Pipho's sixth prediction for the 21st century is that the federal government also will assume a greater role in providing day care for young children and community 49

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I I j I i I i i I I j I ! l I I I l l I I I centers for senior citizens And last, traditional professional associations that often take a status-quo stance will be replaced or dissolved. As the number of for-profit educational providers increases, new professional organizations will emerge (Pipho, 2000). Business Educator's Vision A professor of management and communications asserts that education in America is "ripe for revolution" (Buchen 2000, p. 34) The predicted revolution, however, will be unofficial and will emerge from many sources. Buchen (2000) forecasts that the future model of education will emerge from three essential elements: (a) new organizational structures; (b) new advancements and monitoring systems: and (c) new roles for teachers, students, and administrators. His model does not discard current goals of education but extends them based on the needs of students and society. Since one goal of education is liberation, the process of education should transport students from dependence to independence, then from independence to ninterdependence" (p. 31 ). Buchen posits that his model emphasizes multiplicity in how intelligence is measured, success is defined, and goals are achieved. Like Pipho (2000), Buchen envisions new governance models for schools. In the future school administrator positions will be eliminated and replaced by teacher committees that manage learning, curriculum, assessment, discipline, and development. All administrative duties that principals now have (such as purchasing, finance, maintenance, and security) will be handled by professionals hired by the school. Teachers will seek advice from "futurists, educational technology innovators. experts in problem solving, psychologists and group dynamics experts, community 50

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i i i I I t I leaders, social analysts, environmental experts, and a global network of other teachers and students" (Buchen, 2000, p. 33). Leadership Educators' Proposals Based upon emerging trends for the future of education in the 21st century, all educators need to become skillful collaborative leaders and change implementers. To meet ever-increasing demands, Schlechty (2001) calls for "shaking up the schoolhouse" through restructuring and systemic change. He believes, as a society, we must begin the educational change process through "a quest for what we have in common rather than the celebration of what divides us" (p. 226). Thus, school leaders must arrive at consensus about (a) the purpose for public schooling, (b) the identification of school clients, (c) the products for school customers, and (d) the necessary current school improvements and future creations. Unless leaders of public education initiate wide-sweeping innovation, Schlechty (2001) envisions a privatized system of schools that would change the fabric of America's democratic society. Based upon four broad trends (social, economic, technological, and political), both centralizing and decentralizing forces are stimulating change in schools. Thus, Leithwood et at. (1999) advocate strongly for "changing leadership for changing times" through envisioning future schools. Today's schools can begin evolving by meeting three important criteria through imagining schools in three different models. The three criteria and models are (a) inclusiveness through "schools as community" (p. 211 ), (b) efficiency and effectiveness through "schools as high-reliability organizations" (p. 213), and (c) adaptability through "schools as learning organizations" (p. 2.14}. The leadership focus becomes different for each of the three school models. 51

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I ! I I I I I I i I i 1 I I I I i I I I I I i I I i While the authors advocate sweeping changes in the basic structure of schools, they recognize that fundamental restructuring is highly unlikely. Therefore, Leittflwood et al. (1999) posit that school leaders must learn to maneuver "the swampy proll>lem of moving their present schools towards a defensible vision of future schools" (p. 223). They believe that the tools for schools transformation into the future are principals. Preparation to face the unknown and the unexpected comes through continual professional improvement to guarantee high-quality learning opportunities (Lellllley, 1997). As new roles emerge for all educational stakeholders, not just principals;, the ability to work collaboratively becomes critically important (Fullan, 1999). Howewer, working together requires organizational learning and shared understandings. Lambert (1998) views leadership as an energy flow or synergy that buila:ls capacity in schools for flexibility and adaptability. She defines leadership as pthe reciprocal learning processes that enable participants in a community to construct meaning toward a shared purpose" (p. 18). The organizational environments neecessary to support continuous learning for all are empowered learning cultures. Culture is the powerful, sometimes hidden, "stream of norm, values, traditions, and rituals" (Peterson & Deal, 1998, p. 28) that defines an organization or group. Thus, school leaders need to understand the important link between lea.dership and culture if they hope to transform schools into learning communities. Chapter 3 presents a literature review about the interrelationship between culture and empowered learning. 52

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CHAPTER3 EMPOWERED LEARNING CULTURES All organizations have a culture, a system of shared beliefs and assumptions. rites and rituals, and corporate identity that influences the work within the organization (Collins & Porras, 1997; Deal & Kennedy, 1982; Schein, 1992). Organizational culture, as well as the culture of subgroups within the organization, is important since a positive culture creates effectiveness and responsiveness, while a negative culture decreases levels of productivity and can ultimately destroy the organization (Collins & Porras, 1997; Patterson et al., 1996; Schein, 1992). Maintaining a strong organizational culture requires new employees to go through a process of orientation and acculturation that is intended to align the values and assumptions of new members with those of the organization (Collins & Porras, 1997). Additionally, factors in the external environment can alter the culture within an organization (Fullan, 1999; Schein, 1992). thus requiring organizational leaders to be ever involved in a balancing act to meet the needs of various groups both internal and external to the organization (Patterson et al., 1996). Group Culture: Balancing Solidarity and Sociability According to Goffee and Jones {1998), corporate culture is social architecture determined by levels of solidarity and sociability, which in tum identifies the character of the organization and its greatest strengths or weaknesses. They define solidarity as an intermittent form of relationship that does not have to be sustained by face-to-face interactions and is inconsistent over time. Sociability is the intensity of friendliness 53

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I I I I i I I i I i i I I i i 1 I I I i I I among people within an organization and the extent to which members mingle their work and non-work lives. The interactive levels of solidarity and sociability create four types of cultures: (a} fragmented, (b) networked, (c) mercenary, and (d) communaL When people work autonomously, the focus becomes the reputation of the individual and the prestige of the affiliated organization. Thus, a fragmented culture displays low levels of both solidarity and sociability. Goffee and Jones suggest that journalists, lawyers, academicians, and consultants work in fragmented cultures. The second type of culture is defined by display of low solidarity and high sociability. People working in a networked culture help each other through strong communication networks. Sometimes, however, a networked culture in a work environment can degenerate into politicized cliques that can become too consensusdriven and thus the organization fails to take action when needed The third type of culture defined by Goffee and Jones (1998} is a mercenary culture. In this type of work environment people are not particularly friendly, but everyone knows the goals and objectives, how to achieve the goals, and who the "enemy" is. Goffee and Jones liken teamwork in a mercenary culture to eagles flying in formation. The high solidarity, low sociability factor of a mercenary culture can result in an organization where protecting corporate interests is so focused that creativity is lacking and resistance to change is high. The fourth type of culture is characterized by intense emotional, personal relationships inside the system. An organization that has a communal culture outwardly displays a very clear focus on its mission. This communal culture, often cult-like and hard to maintain, manifests high levels of both solidarity and sociability. Goffee and Jones (1998} posit that successful organizations exhibit elements of all four types of cultures. 54

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i i I i I I i I I I i I I I I I i i I i I i I I i i I I I l Empowered Learning Cultures Another influence on organizational culture can be the transition from traditional hierarchies of power to innovative work-group structures that require new types of organizational learning, core competencies, and individual responsibilities (Deal & Kennedy, 1999; Hendry, 1999; Stewart, 1999). Restructuring organizations from frameworks of centralized authority into self-directed work teams generates challenges and requires new working relationships in what are called learning organizations (Senge, 1990) or learning cultures (Schein, 1992). The following reviews of the theories by Senge and Schein are presented as background for Fullan's (1999) concept of a collaborative culture. Learning Organizations In presenting his vision of the practice and art of a learning organization, Senge {1990) postulates that creating empowered learning organizations is accomplished through the collective awareness and capabilities of its members. Senge defines five disciplines that form the core of a teaming organization and thus instill a sense of systemic awareness within a team of people. The first discipline, personal mastery, expands an individual's capacity to create desired results. Mental models (the second discipline) reflect, clarify, and improve internal pictures of the world to shape the actions and desires of each team members. A shared vision, built communally by developing images of the desired future, is the third discipline. Team learning (the fourth discipline) is a transformation of conversational skills and collective-thinking skills that together create the sum of the group's ability that is greater than that of each individual. The fifth discipline in a learning organization is .. 55

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systems thinking, the understanding of interrelationships that shape the behavior of a system (Senge, 1990). Learning Cultures According to Schein (1992), the culture in a learning organization supports perpetual diagnosis and self-management of transformations needed because of changes in the external environment. Schein argues that well-established traditional organizational cultures often discourage and inhibit adaptability and responsiveness to change. In a learning culture there is a shared core assumption that the organization has some level of control over environmental influences. Schein (1992) posits that a learning culture exhibits ten different characteristics. The first five characteristics include (a) a core corporate assumption that the environmental context can be managed to some degree, (b) evidence of proactive human activity, (c) a pragmatic search for truth, (d) a corporate perspective of human nature as basically good and mutable, and (e) a structured balance between authoritarian and collegial relationships. The continued list of Schein's ten characteristics of a learning culture are (f) a shared pragmatic understanding of time, (g) a fully connected communication and information system based upon truth and trust, (h) evidence of high levels of connected diversity, (i) a balanced orientation between tasks and relationships, and (j) a systems-thinking orientation. Further, Schein posits that changing the culture of a mature and potentially declining organization requires a break from "the tyranny of the old culture" (p. 379). Changing the culture of an organization is extremely challenging because organizational culture is complex, an often hidden pattern of shared assumptions that guides the thinking and actions of organizational members. Schein (1992) also believes that 56

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I I } i I i I i I I l I I ! j i j I l I I j I I I I i I I leaders of the future will experience an "inevitable pain of learning" (p. 392) during the process of creating a learning culture in which everyone participates. Collaborative Cultures Theories about learning organizations (Senge, 1990) and learning cultures (Schein, 1992) are integrated into Fullan's (1999) description of a collaborative culture Fullan posits that it is impossible to create a simple model for organizations to adopt when transforming into a learning organization-the transformation is too complex and unique for each setting. Further, Fullan believes that learning is only part of the synergy needed to create the dynamic forces for change within an organization. The key to change is "effective collaborative cultures for complex times" (p. 36) that evolve from unique local conditions and transform organizations through capacity building. Nonetheless, Fullan suggests that exploring the three major characteristics of collaborative cultures can provide insights for how collaborative cultures can be developed. Diversity and conflict. Rrst, the myth that collaboration means like-minded consensus must be dispelled. Fullan (1999) suggests that individuals who work together within collaborative cultures value diversity and actively seek alternative viewpoints and different perspectives The diversity creates the necessary conflict that members within collaborative organizations use to provoke learning, clarify understanding, and guide the moral purpose of the organization. Conflict is supported within the culture because trust and compassion are developed through intense interactions and information sharing. Open-endedness and relentless pursuit of complex problems are two additional elements of collaborative organizations. Anxiety and cohesiveness. Second, Fullan suggests that while conflict generates group anxiety, anxiety produces the cohesiveness that holds the collaborative 57

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I I I I i I I I I I i I I i I i culture finely balanced. A culture that is too structured becomes stagnant and one that is too chaotic becomes fragmented. For members of collaborative organizations, athe quality of relationships is central to its successp (p. 37). Members share a commitment and energy to pursue complex goals, and thus they encourage passionate emotions and provide the necessary emotional support for one another. In order to remain adaptive to changing memberships and external demands, collaborative organizations continually strive to balance coherence and discord. Knowledge generation. The third characteristic of a collaborative culture is the generation of quality ideas, the creation of knowledge and expertise, and the continuous development of best practices. Knowledge creation in a collaborative organization is different from learning which Fullan (1999) suggests is the acquisition of best practices created by others Collaborative organizations create new ideas from explicit knowledge (numbers and words that can easily be shared) and tacit knowledge (beliefs and skills that are not easily communicated). According to Nonaka and Takeuchi (1995, as cited in Fullan, 1999 p. 15), Tacit knowledge is highly personal and hard to formalize, making it difficult to communicate or share with others. Subjective insights, intuitions, and hunches fall into this category of knowledge. Furthermore, tacit knowledge is deeply rooted in an individual's action and experience, as well as in the ideals, values or emotions that he or she embraces. A collaborative culture structures itself so that tacit knowledge is shared among organizational members through multiple methods (such as observing others at work) and opportunities (such as participating in dialogue with others). Tacit knowledge is converted into explicit knowledge, and then the explicit knowledge is tested against new ideas and knowledge created outside the organization. 58

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Fusion. Fullan believes that a collaborative culture is more complex and exciting than a collegial or professional learning community. Three powerful change forces work together to energize and sustain a collaborative culture. Fullan (1999) writes, Moral purpose (the spiritual) gains ascendancy. Power (politics) is used to maximize pressure and support for positive action. Ideas and best practices (the intellectual) are continually being generated, tested and selectively retained. In collaborative cultures these three forces feed on each other. They become fused. (p. 40) Fusion involves creating coherence amid the necessary discord, the joining and connecting of differences that strengthens the work done and knowledge generated within a collaborative culture. Because interaction and communication is so intense, members of collaborative organizations develop confidence to explain their work and knowledge to others beyond the boundaries of the organization. Thus, a collaborative organization purposefully seeks connection and involvement in the larger diverse environment, what Fullan describes as a two-way "inside-outside" collaboration (p. 43). This reciprocal flow of information across boundaries opens the exchange of ideas and provides opportunities for continual improvement and development. Operational Definition The definition of an empowered learning culture for the second conceptual framework for this study integrates components of theories offered by Senge (1990), Schein (1992), and Fullan (1999}. Further, the operational definition for an empowered learning culture is set within an educational setting. Thus, an empowered learning culture is the shared set of explicitly stated and implicitly held beliefs assumptions, and norms made evident by the ways in which everyone in the learning setting works together in trusting and supportive relationships. Members of the group collaborate to 59

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I i I I I i l I j l I I l I I i create and test knowledge that is integrated into practice, and they act collectively and proactively to initiate and sustain needed innovation. Learning Cultures in Schools The purpose for building collaborative capacity through empowering stakeholders in the school community is often linked with successful reform efforts. Leithwood and Jantzi {1990), Sergiovanni (1998), and Deal and Peterson (1999) suggest ways that schools can create empowerment. Leithwood and Jantzi's Perspectives Leithwood and Jantzi (1990) conducted a study of Canadian schools to investigate the strategies used to develop collaborative school cultures. Findings from their comparison study suggest that the degree of culture change in a school is affected by four broad factors. The change indicators include (a) the endorsement by the district board, (b) the type of innovation support by the school administration, (c) the effectiveness of external experts in guiding staff development, and (d) the degree of staff inertia. Based upon their findings, Leithwood and Jantzi posit that successful implementation of innovation depends upon "significant changes in staff members' individual and shared understandings of their current purposes and practices" and "an enhanced capacity to solve future professional problems, individually and collegially" (p. 30). However, they caution that changing a school's culture in order to integrate innovation requires a span of two to three years, as teachers and staff confront the dissonance about processes and practices. 60

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I I I I I I i I I I i I I l I i I i Sergiovanni's Perspective A second perspective about building empowered school cultures is provided by Sergiovanni (1998). He is exploring pedagogical leadership as a way to cultivate a deep culture of learning and teaching that presents a strong and clear commitment to academic achievement. In Sergiovanni's model, the school becomes the center of communities of practice that generate professional capital for educators. Teachers are active learners who model intellectual practices for students. Among the ten tasks of pedagogical leadership, three connect directly to building empowered learning cultures. "Purposing brings together shared visions into a covenant understood by administrators, teachers, students, and parents. "Maintaining harmony" builds consensual understanding of school purposes and functions and of individual roles and responsibilities within the culture. "Institutionalizing values" translates the school's covenant into workable procedures and structures to accomplish the school's purposes. According to Sergiovanni (1998), The source of authority for leadership is found neither in bureaucratic rules and procedures nor in the personalities and styles of leaders but in shared values, ideas and commitments. Those who identify with this ... structure are members of a community of mind. This membership both empowers them and requires them to accept responsibility for providing leadership and for helping the leadership provided by others to work. (p. 43) Deal and Peterson's Perspective A third perspective linking school culture and educational innovation is offered by Deal and Peterson (1999). The principal is the culture manager, a responsibility of leadership that Deal and Peterson call the heart of leadership." To shape positive school cultures, a principal assumes eight symbolic roles As the "historian" (p. 88), the principals seeks to understand the social and normative past of the school, while in the 61

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! i I I I I I I role as "anthropological sleuth" (p. 88), the principal analyzes and probes the realities of the currentschool culture. Working as a "visionary'' (p. 89), the principal leads the school community in defining a deeply valued picture of what the school will be in the future. The principal is the "symbol" (p. 90) of the school who continually must affirm cultural values by always modeling them in every action taken. As a "potter" (p. 92), the principal shapes the school culture, and as a "poet" (p. 95), reinforces the school's cultural values through language (Deal & Peterson, 1999). The principal assumes the role of "actor" (p. 97) to improvise the inevitable dramas, tragedies, and comedies that occur within the school. In the role as "healer" (p. 98), the principal helps to heal the wounds of conflict and loss that occur during the transitions and changes within the school community. Deal and Peterson (1999) posit that by assuming the various eight symbolic roles of leadership, a principal can create an empowered school culture where teaching and learning are woven intricately together. To prepare future educational administrators for the challenging task as culture manager, students aspiring to the principalship need opportunities to engage in activities that develop skills in creating collaborative cultures. A recent trend in higher education in response to this professional preparation need is the conversion from separate-course programs to cohort programs. Learning Cultures in Cohorts Learning cohorts are organizational structures used in higher education to deliver instruction suited to the unique needs of adults and to foster collegial learning (Barnett & Muse, 1993). Based upon research findings, the cohort model appears to foster 62

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interpersonal relationships. create caring climates, and support students' competence and sense of well being. As several studies cited below indicate, the culture of a well-functioning cohort increases the level of learning for all participants. Further, most studies described in this section involved learning cohorts in university-based administrative leadership development programs. Influence of Group Dynamics In order to determine if scheduling structures created differences in group dynamics, Reynolds (1993} compared cohort programs, in which students took all or nearly all courses together, with intensive-schedule classes that met in time blocks of four or more hours for each session. Three group dynamics variables were selected: (a} group cohesiveness, (b) group interaction, and (c) instructional style. Reynolds found that cohort programs provide higher levels of cohesiveness and group interaction than traditional separate-course programs. Influence of Cohort Structure The influence of the cohort structure in developing learning communities was the focus ot a study conducted by Basom et al. (1995). Anecdotal evidence suggests that cohorts provide advantages to both students and instructors, making worthwhile the additional time and cost required in planning and coordination. Student members of well-functioning cohort groups reported greater feelings of inclusiveness, more opportunities for collaboration and networking, and enhanced academic performance. Advantages for using the cohort structure cited by faculty members included improved student-faculty relationships and opportunities for professional growth through increased intradepartmental cooperation. 63

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I I i -I I i I I I I I I I I As a result of their expansive research on the effectiveness of educational cohort experiences, Basom et al. (1 995) conclude that the structure of cohorts provides adult students with feelings of inclusiveness that benefits their learning by promoting collaboration. Group affiliation and collaborative learning enhances academic performance for all. Influence of Mutual Support Using data derived from an analysis of reflective journals, Norris and Barnett (1 994) sought evidence of interdependence, group interaction, and purpose in student writing. Analysis indicates that students participating in cohorts reported (a) mutual support and solidarity that increased group interdependence, (b) significant personal growth and enhanced knowledge, and (c) increased contributions to group development through greater individual empowerment. Further, in a national study conducted by Yerkes. Basom, Norris, and Barnett (1 995), faculty who taught in cohort programs reported using instructional strategies to encourage independent student learning and empowered learning environments. Students reported, as outcomes of their cohort experiences, (a) a sense of belonging and social bonding, (b) enhanced professional confidence, (c) new collaboration and networking opportunities, and (d) a strengthened ability to reflect on practice. Influence on Learning Wesson (1 996) also explored the impact of cohort structure on student learning. Through student interviews, Wesson discovered that group dynamics changed over time and that each cohort developed its own personality. Students reported that collusion shut down learning, whereas cohesion facilitated higher levels of mental processing and introduced new ways of constructing knowledge. Wesson 64

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I I I I l I i I I I I I I I i I I I I I i I I i I j asserts that findings from his study validate the positive benefits of the cohort structure and the application of principles of cognitive learning theory. Summary A well-functioning cohort represents a learning community as defined by Senge (1990) in his seminal work. Senge posits that team learning occurs when group members perceive one another as colleagues. Treating one another "as colleagues acknowledges the mutual risk and establishes the sense of safety in facing the risk" (p. 245). Through learning how to dialogue and discuss different perspectives, some supportive and some conflicting, members of a learning team feel free to share views openly. Within a safe environment, learning becomes "playful" (p. 246) and new ideas -can be presented, examined, and tested by the group. Team learning is further enhanced when learner-centered instructional strategies are implemented. Developing Empowered Learning Cultures Adult students bring their distinctive perspectives and frames of reference into a learning environment. Thus, it is critical that multiple factors be attended to and respected so that everyone can participate actively. Environmental Influence Adult learners can influence the learning environment through two broad types of "adverse baggage" (Mahoney, 1990, p. 51) that can interfere with the learning process. External influences include situations related to family, work, and community obligations, while internal influences refer to an individual's health, interpersonal conflicts, and attitudes toward a problem or situation. Issues related to a Ieamer's perception of self-worth and ability as a returning student can also influence the 65

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I I I I I I I i I I l I I l l I i learning environment. Mahoney believes that educators of adult students must be cognizant of such potential sources of interference and take necessary steps to diminish any negative influence in the learning environment. Expanding upon the concept of external influences that can impede the learning process, Ortman (1995) addresses the concerns of commuting adult students. He maintains that university professors and instructors must take into consideration adult student work responsibilities and the challenges of travel during high-density commuter hours as well as the challenges of balancing coursework with managing households and caring for family members. Risk-Safe Environment Achinstein and Meyer (1997) recommend providing opportunities within a caring environment for students to deliberate about and make sense of difficult situations. When this process is extended further by providing students with guidance in how to constructively critique their own work and the work of their peers, it leads to the creation of critical friendships and collegiality within the group. Further, since teaming in a classroom-like environment nis as much a socially shared undertaking as it is an individually constructed enterprise" (Lambert & McCombs, 1998, p. 39) social interactions interpersonal relationships, and communication with others influences learning. It is crucial that the environment be stable and built upon trust and caring among the group members. Experience-Valued Learning Additionally, instructors of adult learners who design educational programs need to be cognizant of and address the special characteristics of adult students (Barnett & Caffarella, 1992) The special attributes of adult learners include the need 66

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for acknowledgment and use of students' experience, active involvement of the students in the learning process, implementation of a variety of learning techniques to meet the multiple styles of experienced learners, and need for group affiliation. Barnett and Caffarella (1992) suggest four strategies that instructors can use to address the special characteristics of adult students in a cohort program. To build group cohesion and enhanced learning opportunities, cohort instructors should integrate (a) initial group development activities, (b) reflective seminars, (c) individual learning opportunities, and (d) long-term involvement with all members of the cohort. Varied Leamino Activities Adult students occasionally develop blocks to learning and therefore instructors need to stay attuned to that possibility and make necessary program adaptations to eliminate or diminish the learning blocks. Warren (1968) proposes that adult learning programs be structured to foster both the acquisition of facts, skills, and attitudes and the development of inner potentiaL By integrating a variety of classroom strategies, an instructor can eliminate blocks to learning while also developing group synergy and providing novelty and variety within the program (Warren, 1968). Examples of such strategies include the use of portfolio assessments that requires reflection about professional practice and engagement of students in collaborative group learning and teaching (Geitner, 1994). Glickman {1998) advocates for adult students and instructors working together to create course curricula that covers the required content in ways that actively engage adult learners. 67

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I I I I I I ., I I I I i I I I I I I I I I I I i I I I I I I I I Experiential Learning Learning that is relevant and conducted as a fundamentally natural process engages students (Bruner, 1960; Dewey, 1938; Lambert & McCombs, 1998). One of the challenges in designing a cohort program based upon teaming through experiences is the selection of the kind of "present experiences that live fruitfully and creatively in subsequent experiences" (Dewey, 1938. p. 27). Relevant learning requires the acquisition of principles and attitudes and the development of skills that can be transferred to other settings (Bruner, 1960}. With regard to experiential teaming, Dewey (1938} believed that the "greatest of all pedagogical fallacies is the notion that a person teams only the particular thing he is studying (p. 48}. He advocated teaching for understanding through the use of educative experiences in the classroom. Dewey cautioned, however, that active teaming requires careful and purposeful planning of instructional strategies that engage students in experiences that connect to larger goals. Activities without purpose are not educative, but simply meaningless (Dewey, 1938). Problem-Based Learning Citing the theories of Dewey and many others, Muth (2000) presents a comparison of traditional and contemporary viewpoints about aspects of teaming, such as what is to be learned, how it is to be teamed, what process is to be used, and what teachers and students should do. The comparison frames Muth's three-point argument for a revision of learning activities and teaching strategies utilized in educational administration cohort programs. By using problem-based teaming activities linked to real problems of practice in K-12 schools, students begin early to use theories and develop skiJ[s needed in their future roles as school leaders. By integrating group action research projects and 68

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I I l I I i i I i i I i I I I I I 1 j appreciative inquiry activities into the curriculum, students learn the power of collaborative inquiry and the importance of careful use of data and reflection. By working together in a variety of small group and whole class settings, students learn the challenges of group dynamics when membership changes. Muth (2000) posits that "collaborating on problems of practice is fundamental to learning to be a professional" (p. 15). Summary Although bountiful anecdotal data exists, empirical evidence currently is lacking on the effect that participation in a learning cohort has on future practice as a collaborative leader in an empowered school culture. Transference may be a variable impossible to measure. Nonetheless, the integration of experiential activities and the modeling of exemplary teaching strategies within educational leadership cohorts may help future school leaders understand the importance of creating empowered learning cultures in schools. Acculturation: Preparing New School Leaders The preparation of new principals, ready to assume leadership of schools challenged by change forces both external and internal to the building, has become critically important. Kelley and Peterson (2000) assert that "the quality and improvement of American public schools is threatened by a crisis in school leadership" (p. 2). Statistics indicate that a shortage of qualified principals may occur in the near future (Daresh & Capasso, 2000; Kelley & Peterson, 2000), and thus, the preparation of new school leaders has become a high priority. Many university-based leadership development programs have evolved into administrator preparation programs with coherent, sequenced curriculum delivered 69

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I i I I I l I I i I i I I I i I i I l l i through cohorts of about 20-25 students (Barnett & Muth, 2000; Kelley & Peterson, 2000; Milstein & Krueger, 1997). In many programs faculty work collaboratively with local practitioners to balance theory with practical reality. Additionally, professional standards for the preparation, licensure, and practice of school administrators guide many professional development programs (Ford et al., 1996; Sergiovanni, 2001; Van Meter & McMinn, 2001 ). Six elements have been identified as necessary for effective preparation of aspiring principals: (a) selection and screening of potential candidates, (b) coherence of curriculum and pedagogy, (c) cohesive program vision and goals, {d) learning in cohorts, (e) clinical experiences, and (f) effective internships (Kelley & Peterson, 2000; Milstein & Krueger, 1997). Mentoring programs for new principals (Dosdall & Diemert, 2001; Willen, 2001) and continuous professional development for experienced administrators (Kelley & Peterson, 2000) are used to broaden and strengthen leadership development. Becoming a school principal requires socialization into the profession through phases of role conceptualization and through phases of interaction within community practitioners. Descriptions about these two important socialization processes follow. Role Conception Crow and Glascock (1995) posit that restructuring schools requires new understandings about the role of the principalship, achieved through a multifaceted socialization process. The process of socialization required to become a principal requires three phases. The first step is making the decision to become a principal and then acting upon it. This step may be as simple as deciding that becoming a principal is a real possibility, or the process may take extended time for investigation, research, and 70

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reflection. The second phase requires giving up one's previous role as a master teacher and becoming a novice in a new position, often a major hurdle to an individual's self-esteem. This role conceptualization may be the most difficult step because it requires divestiture of long-held norms of behavior and adoption of new ones. The third phase requires adjusting to oneself in a new role and learning professional and organizational behaviors (Crow & Glascock, 1995). In their study about socialization of principal candidates during a cohort program, Crow and Glascock (1995) found that three groups influenced role conceptualization: (a) college faculty who emphasized the future of education, (b) mentor principals who emphasized the present reality, and (c) cohort peers who validated the individual's values and sense of mission. Prior experiences as teachers created tensions for the candidates: Their vision of the principalship changed dramatically while working with their mentor principals during the program (Crow & Glascock, 1995). Situated Learning According to Lave and Wenger (1991), the socialization process of becoming a new member in an aspired community of practice begins by the creation of a new identify as a practitioner. Lave and Wenger posit there is "a difference between talking about a practice from outside and talking within it" (p. 1 07). They contend that learning to speak the language and model the behaviors of the practice is critically important. Therefore, community-based learning can only be accomplished while working with experienced practitioners (Lave & Wenger, 1991). Learning involves the integration of understandings and linkage to applications, as well as the "construction of identities" (p. 53) that implies a transformation of the individual. Further, Lave and Wenger assert that the development of a new identity is 71

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i I I I I I I I I I i I i I I I I I I l i I "central to the careers of newcomers in communities of practice" (p. 115). They call teaming within a community of practice "legitimate peripheral participation" {p. 29). Interestingly, the interactions between new entrants and old-timers create change dynamics that also transform the community's practice. Legitimate peripheral participation becomes both learning experiences for newcomers and renewal processes for the professional community. Preparing School Leaders: Prelude The literature about leadership, change agentry, and learning cultures indicates that the core technology of schools is changing, and thus, the purpose of the principalship is changing. Further, while preparing prospective administrators to assume leadership roles in K-12 schools is the goal of university-based principal licensure programs, multiple factors both external and internal to the programs affect whether graduates seek school leadership positions. Preparing school leaders cannot be encapsulated into a single leadership education and skills development program because the process of becoming a principal often begins years before action is taken toward preparing for the role. Future leaders can emerge through self-determination or through encouragement from others, and thus, the decision to enroll in a principal preparation program may be purposeful or exploratory. Factors that influence program graduates' decision to seek a principalship include the practitioners' (a) professional aspirations, (b) leadership self-awareness and understandings, (c) role conceptualization of the principalship, (d) socialization into the community of practice, and (e) learning experiences during the program. This study explored these five elements related to practitioner growth during a university-based principal licensure cohort program. The literature reviewed that 72

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supports the study propositions is presented in Chapter 1 0 within the discussion of suggested implications for practice and research that emerged from the findings. 73

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I I I I i I i I I I I I I l i I I i I i l ! I I i l ! i I I i I l I l I I I .I I CHAPTER4 MIXED-METHODS CASE STUDY A set of researcher propositions guided the design and focus of this investigation (Creswell, 1998; Stake, 1995; Yin, 1994). One supposition was that most students who enrolled in the professional development program sought basic knowledge and skills needed to become licensed school leaders. As the learners expanded their knowledge base and applied skills in their professional practice, personal transformation and acculturation would elicit insights about the principalship (Lave & Wenger, 1991 ). Thus, a second assumption for this investigation was that participants in the administrative licensure cohort would evidence professional growth over time through self-reported changes in perceptions about themselves as leaders. These transformations would be demonstrated further by changes in (a) the participants' understandings about leadership and (b) their perceptions about the roles and responsibilities of a school principal. The adoption of new professional behaviors that align to the behaviors modeled by school principals would provide additional evidence of professional growth. A final proposition was that program activities and assignments would provide stimuli for professional growth. Because the program was delivered through a closed cohort model, peer interactions would influence the learning experiences within the cohort. Thus, the group would exhibit changes in professional relationships and behaviors as well. 74

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I I I I i ! l I I I I I i i I I j I i I i i I l l I Case Study Desian The case study design is the most appropriate methodology for study of a phenomenon within a particular instance or case (Creswell, 1998; Stake, 1 995; Yin, 1 994). The main unit of analysis for this investigation was a closed cohort within an administrative licensure program conducted in partnership with a local education agency. Practitioner growth while participating in the cohort was the phenomenon of interest. Additionally, the case study design is used appropriately when the phenomenon studied is bound by a specific time period and encapsulated in a particular structure (Creswell, 1998; Stake, 1 995; Yin, 1 994). This study of the sample cohort from January 2000 to December 2000 met both criteria. Because the goal of the administrative licensure program was to prepare educational practitioners to become school principals, the case study provided an opportunity for interpretive analysis of professional growth of practitioners from their perspectives (Stake, 1 995; Yin, 1 994). Additionally, mixed methods for data analysis were employed (Fowler, 1 993; Kvale, 1996; Strauss & Corbin, 1998; Tashakkori & Teddlie, 1998; Weber, 1990). While most data collection and analyses employed qualitative methodologies, analysis and interpretation of forced-choice responses on surveys relied heavily upon descriptive statistics and magnitude of change ratios. Embedded Single-Case Design Adopting suggestions by Creswell (1 998), Stake (1995), and Yin (1994) for designing a case study, I constructed the investigation of the cohort as an embedded single-case design. The rationale for such a model was based upon the uniqueness of the cohort and its focused attention upon a specific theory of leadership. The embedded sub-units of the single-case study were the study participants who volunteered to provide 75

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viewpoints and perceptions about thei r experiences during the initial three domains of the licensure program. Data Collection and Analysis Data collection and analysis included triangulation of both qualitative and quantitative approaches, making this a mixed-model study (Tashakkori & Teddlie, 1998). Analysis of interview transcriptions, questionnaire responses, and online interactions included qualitative strategies (Kvale, 1996; LeCompte & Schensul, 1999), grounded theory techniques and procedures (Strauss & Corbin, 1998), and content analysis (Weber, 1990). A variety of survey methodologies (Ary et al., 1996; Fishel, 1998; Fowler, 1993; Krathwohl, 1998) were used in construction and analysis of the pre-survey and post-survey. Although some analysis was conducted by hand, both QSR NUD*IST Vivo 1.1 for Microsoft Windows (NVivo) software for qualitative research and SPSS Graduate Pack 10.0 for Windows (SPSS) software for quantitative research were used for most of the analyses. Microsoft Excel was used to compute one statistical measure. Standards of Quality and Verification Multiple procedures were employed to ensure that the case study met standards of quality and verification (Creswell. 1998; Stake, 1995; Yin. 1994}. Data collection was linked carefully to the purpose for conducting the study and the specific research questions (Stake, 1995). Information was collected from multiple sources: (a) surveys and questionnaires, (b) interviews, (c) participant-observations, and (d) reviews of artifacts and documents (Creswell, 1998; Stake, 1995; Yin, 1994). A system of data management was carefully constructed and employed so that a chain of evidence could be constructed (Yin, 1994}. The breadth of data sources and the use of mixed methods 76

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I I I I l I l I j i I I I I I l i I I I i I during analysis allowed for multiple forms of triangulation (Tashakkori & Teddlie, 1998; Yin, 1994). The case study spanned one calendar year during which I engaged with the cohort and various study participants in a variety of activities on an almost weekly basis. External checks were provided through peer reviews of my progress during doctoral lab meetings and debriefing conferences with my dissertation advisor. Member checking is a quality assurance strategy used in qualitative inquiry: A researcher provides study participants with draft copies of reports for them to review for accuracy of reporting and interpretation (Creswell, 1998; Kvale, 1996; Stake, 1995; Tashakkori & Teddlie, 1998; Yin, 1994). Extensive amounts of participant commentary were integrated into the report. Therefore, I asked the key informants to review the findings presented in the case study reports. Further, the case study report was written with thick description in order to detail the program and participants (Creswell. 1998; Stake, 1995). Entry and Changed Focus Opportunity for me to conduct this case study arose through an invitation from a faculty member in the administrative leadership division where I was conducting my doctoral studies. We shared a common interest in the study of leadership models that support and sustain innovation. The professor assumed responsibility as the cohort leader in a cohort that was forming. Because collaborative leadership was the theme of the cohort, the professor suggested that I might want to select this particular cohort as the sample for my dissertation study. Thus, entry into the cohort was easy. With complete support from the cohort leader, I recruited study participants during the cohort orientation meeting in January. The cohort leader introduced me to the other instructors who supported my regular presence at cohort sessions as a participantobserver. All cohort instructors provided me with copies of handouts and allowed me to 77

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l I l I I i I I I I I I : i j i make an occasional announcemaent about data collection during classes. Access to conduct this case study was ope-n. My original intent was to focus on practitioner growth during a leadership education and skills developme111t program, with collaborative leadership as the phenomenon of interest. Early dlata analysis indicated to me that the richer phenomenon of interest was the transformati01n of teachers and other educational practitioners into school leaders while participating in the program. Therefore, in August 1999 I reordered my research propositions. How -educational practitioners changed perceptions about themselves as school leaders while participating in a principal licensure cohort became the overarching focus. How practitioners changed their understanding about leadership became a secondary propositio111 that guided data collection and analysis. All other components of my original reseaarch design remained the same. Potential Study Effects The participants in this s;tudy were graduate students who remained together as a learning community in what is a:alled a closed cohort. They began the licensure program together and completed the four content domains together. The participants engaged in a variety of learning activities that individually and collectively focused specifically on leadership education and skills development. The theme of the cohort with its emphasis upon the studY' of collaborative leadership and empowerment was a significant change in the usual format for the licensure program. Thus, participation as a Ieamer in a closed cohort, the re-quirements of the program, and the emphasis upon collaborative leadership became potential study effects. 78

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I I I I i I I l I I I I I I I t I I i l i I !, Closed Cohort As members of a closed cohort, study participants began the principal licensure program together as an identified group, took all coursework together as a group, and completed the required domains of study at the same time. The elements of interest about learning cohorts were the effects that differences in age, professional experience, and career aspirations had on group dynamics. The effects were measured in changes over time in (a) peer support and relationships and (b) peer interactions and teamwork. Program Requirements A variety of constructivist learning strategies were used by the three instructors who directed the domains of study conducted during the time frame of this study. Each instructor organized the content domain and presented information in a very different manner. Although the teaching techniques differed with each change of instructor. the program requirements remained somewhat consistent. During each domain, the instructional activities included (a) problem-based learning through completion of group projects, (b) integration of computer technology. (c) research and production of academic papers, and (d) personal reflective writing. Throughout the case study, students performed as members of small groups and as individuals to complete assignments and make formal presentations. Cohort members were expected to participate in class discussions and online asynchronous dialogues, research and analyze professional literature, and reflect about their experiences. Additionally, as participants in the university's administrative licensure program the cohort members were required to develop an individual leadership plan and a portfolio containing artifacts and products. The leadership plan served two purposes: (a) to assist aspiring educational leaders in identifying personal core values and 79

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I I I I l I I i i I I I I l I I I l l \ I i i I l professional passions, and (b) to demonstrate to licensing program instructors the attainment of knowledge and skills with respect to the state standards. During the study, students were expected to begin construction of their individual portfolios used as the main assessment tooL Documents required for the final portfolio included a completed three-part leadership plan, reflections about activities and learning throughout the program, examples of project products, and internship logs. Portfolio artifacts were created through cohort activities or developed through professional experiences that linked to specific state standards and benchmarks. At the beginning of the leadership program, the cohort leader applied for a grant to underwrite the costs of a longitudinal study about collaborative leadership. One of the budget items included funds for the cohort members to conduct extensive action research during the program and then present their findings at a conference they coordinated. This activity was intended to replace the portfolio requirement. When notification arrived in late spring that the grant had not been funded, students were told that they had to construct a portfolio. Frustration about this change in course requirements emerged in the data. Additionally, several participants were highly critical of the portfolio method of assessment. Cohort Theme and Program Differences The cohort used as a sample in this study was different from other program cohorts in two important ways. First, a goal to which the cohort leader aspired was that practitioners develop skills in community-based organizing and experience first-hand the complexities of collective processes. The curriculum originally was developed to research collaborative leadership processes and the changed roles for principals in schools where such processes are used. While collaborative leadership was not a 80

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I I l l I I i I i I I : I l I l I I i I i I i l I I I r I i I i I I phenomenon of interest for this inquiry, the data reflected the cohort's orientation toward that one model of leadership. Second, the cohort leader changed the program format by replacing the usual field experiences during each domain with one long-term action-learning project. The university's program usually balances content learning with ongoing field experiences in each domain. These field experiences provide opportunities for students to gain clinical skills in recognizing and solving problems of professional practice in K-12 school settings. Rather than integrating content learning with the usual 45-hour field experiences, the cohort leader created an action-learning project. The project was designed without student input and introduced to the cohort via an e-mail message in late July. The action-learning project explored the perceived impact of public school leadership on school outcomes and was framed upon Telford's (1996) exploratory model of the nature of leadership in schools. Data collection strategies were based upon Telford's models. which were highly structured. Students were scheduled to begin collecting data during the third domain (Fall 2000 semester) and complete analysis during the fourth domain (Spring 2001 semester), after the close of this case study. Because this action research project replaced the concurrent internship hours in each content domain, the students in the sample cohort did not engage in ongoing field experiences. Data reflected the consequences of this program modification. Case Study Participants Participant attrition over time was problematic for this case study. Twenty of the 22 original members of the cohort agreed in January to participate in the yearlong study. During the ensuing months, three students withdrew from the program. One left in the spring due to a debilitating illness, and another dropped out in the fall because of a 81

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planned relocation to another state prior to the end of the program. Both students were study participants. The third exiting student, who enrolled in the cohort late and chose not to participate in the study, withdrew during the summer and subsequently enrolled in a licensure program at another university. At the close of data collection in December, the cohort was composed of 19 students. Eighteen students completed both the pre-survey administered in January and the post-survey distributed in November. Fifteen of the 18 participants (83%} consistently responded to the other four data collection instruments during the study. The 18 students who volunteered to be study participants comprised 95 percent of the cohort membership. Demographics and Diversity The participant group included seven men and eleven women. The diversity of age, a range from 25 to 61 years, influenced the learning environment. The cohort as a whole was not ethnically diverse. The only African American member of the cohort was also a study participant, and one of the two students of Hispanic origin participated in this inquiry. The remaining students identified themselves as Caucasian, although one also proudly claimed Italian descent. Marital status was almost equally split: Eleven participants were married, and seven were single. Additionally, 1 0 participants reported having children under the age of 18 living with them. Professional Experience Professional experience within the field of education was quite diverse. Six of the group had been teaching for five years or less. Five other participants had taught between 6 and 1 0 years. Another group of 5 participants had worked in the field of 82

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education between 1 1 and 20 years. Two study participants had completed over 20 years as educational practitioners. The reported length of time in current positions at the beginning of the study provided another type of diversity. On the pre-survey administered in January, 12 participants reported that they had worked in their current positions since 1997 or later. Two others began their current positions in 1994 or 1 995, while three other practitioners had been in their positions since 1990 or 1991. One participant with extensive experience in the field of education had relocated from another state just prior to beginning the licensure program; she remained a full-time student throughout the study. A total of five participants had taught outside the state where the study was conducted. During class discussions, these five cohort members shared stories about their teaching experiences in Arizona, Illinois, New Mexico, New York, Texas, and Wisconsin. Additionally, 8 of the 18 participants reported that they also had worked full time in non-education careers. At the midpoint of data collection, which was the beginning of a new school year, nine participants changed positions by (a) transferring to new schools in different districts, (b) changing grade levels or teaching assignments in the same schools, or (c) assuming positions of leadership. When data collection began, two participants were teaching in elementary schools, eight in middle schools, and four in high schools. Two other students were serving in district administrative positions. The full-time student from another state had been a university instructor, and another student was a middle school teacher on maternity leave of absence. At the close of data collection, two participants were teaching in elementary schools, six in middle schools, and two in high schools. One high school teacher had been appointed as the principal of a new private K-8 school. Another high school teacher 83

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i i i I I I I l ' I I I I I I l I I I I I i I I I I I i and two middle school teachers served on their schools' administrative teams as assistant principals or as the site coordinator for teacher candidates. These positions were special assignments for the teachers, and thus they had limited authority as acting administrators. Two cohort members continued working as district-level coordinators, and two others were full-time students. Educational Background and Aspirations The highest degree of formal education completed by 12 study participants was a Baccalaureate degree. Six other participants had earned a Master's degree prior to enrolling in the cohort. All participants, except for one student already holding a Master's degree, reported goals of advancing their degree level through the program. Earning a Master's degree was an education goal for seven participants. Three others set goals of earning an Educational Specialist degree, while eight participants aspired to earn a doctorate sometime in the future. District Representation Another element of diversity was the representation of public school districts and private schools within the cohort itself. The specific purpose for the university-district partnership organizing the cohort was to develop leadership capacity at the secondary level within the local education agency. At the beginning of the program 8 of the 22 students in the cohort were from the partnering district. Two of those students withdrew from the program and one transferred during the summer to another school district. f:'ience, only five cohort members held positions within the partnership district at the close of data collection. The remaining 14 cohort members served as teachers or district-level coordinators in 8 other public school districts and 2 private school systems within the 84

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i i I i I t r I I I I I i i I I l i I I I same metropolitan area. One cohort member had recently relocated from another state and had not worked in education in the state where the program was conducted. Informant Volunteers Six of the 18 study participants volunteered as informants to participate in a series of personal interviews. Unfortunately, due to a host of personal hardships, one of tl)e six informants did not complete the four questionnaires administered during the data collection period. Without additional intermittent data, tracing professional growth of this student over time was Jess definitive. However, elements of this individual's interview responses were included in the findings. The five remaining informants represented the diversity of the larger group of study participants in gender, professional experience, and professional goals. However, with the loss of the sixth informant, the group no longer included a representative of the youngest subgroup within the cohort. Data Collection Methodology According to Yin (1994), a case study must follow three principles of data collection in order to increase the construct validity and reliability of the study. Rrst, multiple sources of evidence must be used to show convergence on the same set of facts or findings through triangulation. Data sources need to span a range of historical, attitudinal, and behavioral issues. Second, a formal, presentable database of evidentiary sources needs to be developed. The evidentiary base should include original responses to surveys and questionnaires, interview transcriptions, case documents and artifacts, observational field notes, and memos. The database needs to be organized and stored in such a manner that information can be retrieved efficiently. Finally, the case study report should include sufficient citations to specific elements in the database so that a chain of evidence is maintained. An external observer should be able to trace the 85

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derivation of evidence from initial data collection to final conclusions. Proof that Yin's (1994) first principle, the use of multiple data sources, was met is provided in this section. Descriptions about how the second and third principles were met are presented in the ! following section of this chapter. I I Multiple sources of evidence were employed and excess data were available for I I analysis. Data collection strategies in this case study included the administration of I I questionnaires, the conduct of individual and focus group interviews, participant! 1 observations, analysis of online exchanges generated during the leadership domain, and I I review of artifacts. With these ample data sources, "potential problems of construct l validity" (Yin, 1994, p. 92) were addressed through data triangulation. I I j Data collection began January 24, 2000, and continued through December 1 i i 2000. Multiple methods were used to gather data from a variety of sources. Rgure 4.1 i presents a chronological sequence of the process. Pre-Survey and Post-Survey The first survey was distributed to all attendees at the cohort orientation meeting in late January. I asked students who wanted to participate in the study to sign the consent form, complete the survey, and return both documents to me via self-addressed stamped envelopes I provided. Study participants returned their signed consent forms and completed pre-surveys within two weeks of the orientation meeting. The data collected in the first survey served as baseline information (Fishel, 1998; Fowler, 1993; Krathwohl, 1998; LeCompte & Preissle, 1993) about participants' self-perspectives as leaders, their assessments of professional experience, and their understandings about leadership prior to beginning the program. Both closed-ended and open-ended questions were used on the pre-survey. Participants completed an inventory of 36 professional behaviors using a rating scale (Ary et al., 1996). The instrument also 86

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:::0 CD "'0 a a. c: () CD a. ::E ;:+: ::T -g -------------------------------------------------------------------------------------------------------------------------------------------------------3 u; CJl a ::::l 0 ::T CD () 0 "'0 '< ..., ce ::T "'0 CD 3 u; CJl a ::::l Figure 4.1 Chronological Sequence of Data Collection Jan 00 Feb 00 Mar 00 Apr 00 May 00 Jun 00 July oo Aug 00 Sep 00 Oct 00 Nov 00 Dec 00 Pre-Survey 1/24/00 Participant Observation 1/24/00 to 6/20/00 Questionnaire 1 2/26/00 Key Informant Interviews 4/6/00-5/5/00 Key Informant Interviews 6/29/00-8/28/00 Participant Observation 8/28/00-11/27/00 Questionnaire 2 8/20/00 Post-Survey 11/20/00 Questionnaire 3 10/11/00 Questionnaire 4 10/20/00 Key Informant Interviews 11/27/00-1211/00 Focus-Group Interview 11/27/00

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I I I I I I 1 1 I I I I i gathered demographic data about cohort composition (age, gender, ethnicity, years of teaching experience, prior higher education experiences) and potential external influences (current work assignment, extracurricular activities, educational goals, membership in professional networks and collegial groups). A post-survey was distributed to all participants during a cohort session in mid-November and returned by the end of November. Many of the questions on the post-survey were identical or nearly identical to questions posed on the pre-survey so that comparative analysis was possible (Ary et al., 1996; Rshel, 1998; Fowler, 1993; Krathwohl, 1998; LeCompte & Preissle. 1993). Participants were also asked to evaluate their learning experiences in the program and offer their suggestions for improvement (Brainard, 1996). See Appendix 8 and Appendix I for complete surveys. Open-Ended Questionnaires A series of four open-ended questionnaires (see Appendices C, F. G, and H) were administered to assess changes in participant perceptions at certain points in time during the study (Fowler, 1993; Krathwohl, 1998; LeCompte & Preissle. 1993; Schensul et al., 1999). Questions on all four of these instruments were open-ended and delivered to participants as multi-formatted attachments to e-mail messages. Because some participants reported difficulty in downloading the first questionnaire, I also pasted a copy of the questionnaire into the body of subsequent e-mail messages. Using the university's e-mail and conferencing system, I sent each of the four messages to my private account with America Online with blind copies to all study participants. Cohort members then had the opportunity to download the questionnaire on their computers, write responses to the prompts using their word-processing programs, and print hard copies to return to me via self-addressed stamped envelopes. Some participants chose to print a copy of the questionnaire and write their answers rather than 88

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word-process them. Over the course of the study, as participants became comfortable with me and began to trust my promise of confidentiality, many returned their completed questionnaires to me personally during a class session or as an attachment to an e-mail message they sent only to me. The one exception to this procedure was the third questionnaire that was administered in October (see Appendix G). This instrument focused specifically on student reactions to the use of the university's online messaging system as an instructional tooL Because all members of the cohort gave their consent to allow me to analyze their online messages, I sent an open e-mail message to the entire cohort in early October. The following evening during a cohort meeting, those students who did not have time to respond electronically were given time during class to complete the questionnaire. This particular questionnaire provided an additional rich data source to triangulate with field notes taken during the opening weeks of the cohort and with the content analysis of asynchronous virtual interactions among members of the cohort (Tashakkori & Teddlie, 1998}. Informant Interviews Six student members of the cohort were randomly selected from the group that volunteered to participate in a series of in-depth interviews (Krathwohl, 1998; Kvale, 1996;_LeCompte & Preissle, 1993; Stake, 1995). The interviews were conducted shortly after the beginning of the program (April-May), near the mid-point of the study (July August), and at the close of the study (November-December). The interviews were held at mutually agreeable times and locations for the informants and me. Some were held in classrooms, media centers, or school administrative offices during conference periods, lunch breaks, or after school dismissaL Others were conducted in private rooms at a local public library. Most of the interviews were approximately one hour in duration. 89

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I I l I I I I I I I j I i ! i I I I I I i I I I I Open-ended questions asked during the interviews were formally structured to ensure that, as much as possible. any difference in answers could be attributed to the differences in responses and not to the way the questions were presented (Krathwohl, 1998; LeCompte & Preissle, 1993; Schensul et al., 1999). Many interview questions duplicated questions asked on the surveys and questionnaires (see Appendices D, E. and K). All interviews were recorded both by audiotape and by the researcher's notes. This six-member group of interviewees was formed to provide a collective voice of students participating in the cohort. The intention was to form a sub-unit of analysis composed of these six students who represented one-third of the study participants and the diversity of the cohort membership. Unfortunately, one informant did not complete any of the four questionnaires, and I opted not to conduct a third interview with him. Thus, the informant sub-unit was composed of only five students. Focus-Group Interview At the close of the study, six study participants who were not informants were invited to participate in a focus group interview (Fowler, 1993; Krathwohl, 1998: LeCompte & Preissle, 1993;). This group had consistently responded to all data collection instruments throughout the study. Invitations were mailed to each of the perspective interviewees explaining that their participation in the focus group breached the promise of anonymity as study participants. Nonetheless, all six participated in the focus group interview conducted in the media conference room at the middle school where regular cohort meetings were held. This interview was both audiotaped and videotaped. The camera was set up behind me so that the video recording was presented from my perspective as the interviewer. The interaction of focus group members and their spontaneity in responding to both my questions and comments by their peers created a snapshot reflection of the 90

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cohort's history (Kvale, 1996). Interesting revelations also emerged that added significantly rich data for analysis. See Appendix J for focus-group interview prompts. Participant Observation With full support from the three cohort instructors, I was able to observe the participants in the natural context of 28 of the 37 cohort meetings between January and November. l adopted the role as participant-observer with only limited involvement during the cohort sessions (Krathwohl, 1998; LeCompte & Preissle, 1993; Schensul et al., 1999; Stake, 1995}. Reid notes were recorded in two spiral notebooks. References were noted with regard to the seating arrangements, arrival times of cohort members, topics of discussion, and course assignments and due dates. During some cohort sessions, I was able to script class discussions. However, this was not always valuable because large portions of the cohort sessions included delivery of content by instructors or students, viewing of videos, small-group activities or work on projects, and presentations by guest speakers. I used a researcher-designed contact summary sheet to document what I observed and heard and to note what I might look for during the next cohort session (Miles & Huberman, 1994}. The focus of these field observations was how the cohort members changed over time in their (a) relationships with one another and as a group, (b) participation in class discussions and the content of their comments, and (c) questions about the future. Artifact Review The final data sources were artifacts generated during the course of the case study (Schensul et al., 1999; Yin, 1994). I collected and reviewed (a) the cohort notebook distributed during orientation and (b) calendars, domain syllabi, assigned reading materials, class handouts, and other documents distributed during class 91

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meetings and generated electronically. Artifacts were filed chronologically in my copy of the cohort notebook. I designed a document summary form (Miles & Huberman, 1 994) to note the purpose and content of each artifact as it related to the five research categories. I also reviewed most of the cohort conference messages in the university's online messaging system. All 157 messages in the leadership subconference were printed and analyzed. This data source provided a rich context in which to explore early cohort interactions and developing peer relationships. The content of the e-mail messages (Weber, 1990) in many instances rivaled the onsite discussions observed during cohort meetings. Organization of the Data Case study data and evidentiary sources were organized into a manageable system that provided efficient retrieval and derivation linkage. Thus, this case study met Yin's (1994) second and third principles of data collection: (a) creation of a case study database, and (b) maintenance of a chain of evidence. Although not proposed in the same language, Stake (1995) also cautions case study researchers to develop a reliable and manageable data storage system. Further, Miles and Huberman (1994) suggest multiple strategies and provide sample forms to manage large-scale qualitative studies. Through careful management of data, I constructed a case study database described below that other investigators could use to reconstruct this study. The creation of such a database "markedly increases the reliability of the entire case study" (Yin, 1994, p. 95). Additionally, the careful construction of data collection instruments specifically connected to the research questions maintains a chain of evidence, which is Yin's (1994) third principle of data collection. Further, study participants coded each of their 92

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completed data collection instruments by using a unique four-digit identification number. The coding of responses allowed individual patterns and changes over time to be traced. During the data analysis stage, the coding process that I used maintained the identities and the time when their responses were made. Triangulation with the calendar of program events linked participant responses and program effects that established possible causal connections. Maintaining such a chain of evidence increases "the reliability of the information in the case study" (Yin, 1994, p. 98). Using suggestions from Yin (1994), Stake (1995) and Miles and Huberman (1994), I carefully and deliberately developed a data storage system. Throughout the conduct of this case study, I organized the data and documentation in different notebooks depending upon the type of data source and its purpose in the study. The first page of each notebook included a description of the purpose for this study and a copy of the research questions that guided data collection. I intentionally kept this information at the forefront so that my attention would remain focused during the many months in which data were collected (Stake, 1995). Data Collection Information One notebook contains all critical information related to data collection. Included in this notebook are (a) a copy of the approved human subjects review application, (b) originals of signed consent forms from all study participants, (c) correspondence with participants who withdrew from the study, and (d) copies of cohort rosters and contact information. Copies of all data collection instruments, distribution e-mail messages, and journal memos were also filed in this notebook. I recorded the dates that the instruments were administered and what I observed during cohort sessions that were conducted at the same time. I also filed copies of the structured interview questions in this notebook. 93

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l I i I I I I I I I Original Data Sources Another notebook contains ori!Qinals of all data collection instruments completed by study participants. The instruments;; were organized into sections according to the participants' identification codes. I tramscribed all hand-written instruments into Microsoft Word documents that were saved bottn on my computer hard-drive and on floppy disks. carefully compared the computer-baseed documents I created against the original instruments to be certain that my trans-criptions were accurate. Informant Data For each of the six informants_ I created a separate notebook of all data that they provided. These notebooks contain (a.I) copies of their original responses to the surveys and questionnaires, (b) professionally 11>repared transcriptions of each of their taped interviews, and (c) part one of their plans developed during the first six months of the program. The transcription serv:-ice I used provided floppy discs of each interview transcription, and the informants sent electronic copies of their leadership essays to me as attachments to personal e-mail messages. I also saved copies of the leadership plans on my computer hard drive and on flopopy disks. At the conclusion of data anai)Wsis and report writing, I sent to each informant electronic copies of the contents of theeir data notebooks. The data were provided to the informants to use as a reference sourc:=e during their review of the study report. Online Interactions Information related to online interactions was organized in another notebook. The notebook contains (a) copies of al iJI 157 messages in the leadership domain and (b) a copy of the code key and analysis matlrix that I created to record coding information. 94

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i i I j i I I i I I I I I I I I i I i I I I I i I I I I I I i I i I i I Because coding and analysis of the e-mail messages were conducted by hand, all documents related to those processes were filed in this notebook. Reid Notes and Artifacts All field notes and artifacts were filed in my copy of the original cohort notebook distributed to students during the orientation meeting. Field notes and artifacts were dated and placed into the corresponding content domain section (leadership studies, school environment, and supervision of curriculum and instruction). The information was placed in chronological order beginning with the first regular cohort meeting on January 31,2000. Organization of the Case Study In order to trace the progress of my study, I created three different organizers (Stake, 1995; Yin, 1994). First, I used a month-by-month calendar to record all cohort meetings, noting those that I attended and those that I missed. On this calendar I also recorded the dates that I administered data collection instruments and conducted personal interviews of informants. This calendar clearly shows the distribution of data collection activities throughout the case study. Second, I created a matrix of student responses to data collection instruments. This matrix indicated who had returned completed documents during the data collection phase. When response returns were slow, I sent a second or third request to the study participants. Last, I organized into a table all pertinent information about the sources of data used in this case study. Information included the type of data sources available, the dates when data were collected, and the content or purposes of the data source. Table 95

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I i I I I I l I I I I I I I I I j i I i 4.1 condensed the content of the various notebooks I had created into a quick reference that was immensely helpful during the analysis phase (Stake, 1995). Table 4.1 Record of Case Study Data Sources Data Source Participant Pre-Survey (Appendix B) Questionnaire 1 (Appendix C) Key Informant Interview 1 (Appendix D) Key Informant Interview 2 {Appendix E) Questionnaire 2 (Appendix F) Questionnaire 3 (Appendix G) Questionnaire 4 (Appendix H) Participant Post-Survey (Appendix I) Date(s) Administered 1/24/00 2/26/00 4/6/00-5/5/00 06/29/00-08/28/00 8/20/00 10/8/00 10/20/00 11/20/00 96 Content or Purpose Demographic information Professional behaviors Career goals Open-ended questions using research propositions as guide Open-ended questions using research propositions as guide Open-ended questions using research propositions as guide Open-ended questions using research propositions as guide Online activities Cohort interactions Peer online sharing Ready to be principal Professional growth activities Demographic information Professional behaviors Careers goals Program evaluation

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Table 4.1 (Cont.) Record of Case Study Data Sources Data Source Focus-Group Interview (Appendix J) Key Informant Interview 3 (Appendix K) Reid Notes: Observation of Cohort Sessions Artifacts Date(s) Administered 11/27/00 11 /27/00-12/1 /00 1/24/00-11/27/00 (28 of 37 classes) 1/24/00-12/1/00 Content or Purpose Professional growth Cohort experience Program improvement Comments in prior interviews Professional growth Cohort experience Program improvement Seating arrangements Class discussions Class activities Student presentations Guest speakers Domain syllabi Project assignments Reading assignments Information handouts Miscellaneous information OERI grant narrative Cohort leader's vision for cohort (memo. paper) Data Analysis Methodology Expansive amounts and types of data were available for analysis in this yearlong case study. Thus. thoughtful consideration about how to use the information was required to trace effectively practitioner growth over time. Because both qualitative and quantitative analyses were conducted, this case study utilized mixed-method strategies 97

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(Tashakkori & Teddlie, 1998; Yin, 1994). Portions of analysis of both quantitative and qualitative data were conducted by hand and by computer. Closed-Ended Questions The surveys administered at both the beginning and end of the study required counting responses on only 18 instruments each time. Most analysis of demographic data and responses to yes-no questions was conducted by hand. The results were compiled on a spreadsheet. and selected demographic data were transferred to attribute tables in both NVivo and SPSS. Thirty-six statements about professional behaviors were developed for which respondents were required to select an answer from one of four ordinal scale choices: (a) never, (b) rarely, (c) sometimes, and (d) often (Ary et al., 1996; Fowler, 1993). The same 36 questions were included on the pre-survey administered in January and the postsurvey administered in November (see Appendices B and I). For analysis using SPSS, the responses were converted to numbers. A "never" answer was equivalent to 1 and "often" was equivalent to 4. Thus, the greater the engagement in the activity, the higher the number. Descriptive statistical measures for each pair of professional behaviors were computed in order to determine significant levels of change during the time frame of the case study. The magnitude of change statistic was computed using Microsoft Excel. The "magnitude of effect statistic" (Mahadevan, 2000) or simply "effect size" (Ary et al., 1996) is an estimate used to explore the significance of change. Cohen (1967, 1977, 1988, as cited in Mahadevan, 2000) posits that effect size is a suitable measure to compare two groups. This descriptive statistic d is the difference between the means of the treatment and control group items divided by the standard deviation of the control group item. The formula for effect size (Ary et al., 1996} is 98

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d= (MEMc)I6C where dis the estimated effect size, ME is the mean of the experimental group, Me is the mean of the control group, and 6C is the standard deviation of the control group. Effect size is used in this case study to measure significance of change over time. Thus, the control group is the set of responses on the pre-survey inventory items, and the experimental group is the set of responses on the post-survey inventory items. Cohen defined effect size in terms of being small (0.1 < d < 0.29}, medium (0.30 < d < 0.69), or large (d?:. 0.70). The greater the effect size, the more significant the change. Another series of 1 0 questions on the post-survey assessed participants' attitudes about the licensure program (see Appendix 1). In the first set of responses, the students used a rating scale to describe how the program was actually delivered. In the second set of identical scales, they provided opinions about how it should be delivered. The five-scale response choices for both sets of attitudinal questions were (a} not this way at all, (b) slightly this way, (c) more this way than not, (d) largely this way, and (e) completely this way (Brainard, 1996}. Again, I used SPSS and Microsoft Excel to compute descriptive statistics and effect sizes to analyze the differences among responses for the 1 0 questions. Qualitative and quantitative methodologies were used to analyze changes in professional behaviors and attitudes about program effectiveness (Tashakkori & Teddlie, 1998). I used effect sizes to assess the significance of change in reported professional behaviors against responses to open-ended questions about professional behaviors provided by participants on questionnaires and during interviews. The effect sizes for program elements were triangulated with respondents' concerns abm1t the program and their suggestions for program improvement. 99

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! I I i I I I I j I I I I I I I I I I I J I i I i I I Ooen-Ended Questions Five major categories, as defined by the research questions for this case study, framed the open-ended questions posed in the two surveys and the four questionnaires (Stake, 1995). The five categories included inquiries about participants' (a) perceptions of self as a leader, (b) perceptions about leadership, (c) perceptions about the roles and responsibilities of a school principal, (d) reported changes in professional behaviors, and (e) opinions about program effects on learning and professional growth. Several questions were repeated multiple times on questionnaires administered to the entire group and during personal interviews with the informants. Additionally, probing questions were included to facilitate a smooth transition from one category of questions to the next. Participant responses to open-ended questions in the six data collection instruments were transcribed using my word-processing program and saved as separate documents identified by the first name of the participant and the type and number of the instrument. This allowed me to trace over time the responses for each individual (Stake, 1995; Yin, 1994). Once the participants' documents were transported into NVivo, I coded the documents using grounded theory strategies (Kvale, 1996; Strauss & Corbin, 1998). I discovered that my first failed attempts using NVivo proved quite useful in developing and defining the free nodes I eventually adopted. I created multiple document sets using various demographic statistics (gender, age, marital status, number of years teaching experience, professional aspirations, and such). Once I completed the free-node coding of all the documents, I created document reports in NVivo by triangulation of demographic characteristics with participant responses in the coding nodes. 100

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l I I I I I I I I I I l I I I I I I i i Interview Questions Several of the questions asked during interviews were repetitions of questions posed on questionnaires or in previous interviews. Although I allowed the interviews to flow somewhat freely, I created a framework of structured questions for each of the interviews (see Appendices D, E. and K). Before beginning the interview, informants were given time to read the questions and formulate some of their thoughts. I asked all of the structured questions to maintain consistency in the focus of the interviews and to allow for later comparison of responses (Kvale, 1996). Prior to our last interviews, the informants provided me with electronic copies of the first part of their individual leadership plans. Before meeting with each of the informants, I carefully reviewed their essays. These reflective papers contained identification of their core values and sources of their professional leadership passions. The essays were drafted around responses to a set of probing questions determined by the licensure faculty as important elements in the professional development of effective educational leaders. I did not code these essays or include information taken directly from the papers in my analysis. Only the informants' responses to probing questions during the taped interviews became part of the data available for analysis. This agreement was made with the informants when I asked if they would share their personal reflections with me. Analysis of interview data followed the same system used for the responses to open-ended questions on the data collection instruments (Kvale, 1996; Strauss & Corbin, 1998). Informants were given copies of their interview transcriptions and a draft of the case study report in order to edit the narrative for interpretation and to suggest revisions (Creswell, 1998; LeCompte & Preissle, 1993; Stake, 1995; Yin, 1994). Further, the 101

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I I I l 1 i I I I i I I I I I I informants met with me as a group to assess the accuracy of my reporting and interpretation. Online Interactions Online activities constituted 30% of the instruction during the leadership studies domain. Therefore, I determined that the content of online messages provided a rich data source related to peer interaction and cohort norm development during the early months of the program. I printed copies of all 157 e-mail messages in the leadership subconference of the cohort conference and hand coded each message. Table 4.2 lists the content codes and descriptions developed to analyze the e-mail messages in the cohort's leadership subconference. Table 4.2 Content Analysis Coding Key Code a g n c p r s t L E-mail Message Content Description Reference to assignment (clarification, redirection, reminder, wrap-up) Greeting and/or closing Suggestion for action Reference to cohort activities and/or studies Reference to personal matter and/or personal message Reference to professional responsibilities and/or experiences Self disclosure: I agree, I believe. I disagree, I feel, I found, I think Reference to technical support and/or trouble Reference to leadership theory and/or practice Permission to analyze online messages was obtained from all members of the cohort, including those students who had withdrawn from the program or who were not study participants. Reviewing all messages created a context for the analysis. I 102

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designed a matrix to record the content of each message generated by all cohort participants. To help me understand the results found in the content analysis (Weber, 1990) of online interactions, I devoted one of the open-ended questionnaires specifically to reflections about the students' early experiences with virtual learning. The results displayed on the analysis matrix were triangulated with (a) NVivo analysis of the open-ended responses on questionnaires and during interviews and (b) analysis of field notes taken during observations of early cohort sessions (Tashakkori & Teddlie, 1998; Yin, 1994). The content of the electronic messages was quite different from the observed behaviors and comments of participants during cohort sessions. Case Study: Quality and Verification Checks Extensive verification is required for a case study (Creswell, 1998; Stake, 1995; Yin, 1994). Thus, multiple standards of quality and verification were employed. First, I realized that conducting a case study required that I use multiple sources of evidence to support both data source triangulation and methodological triangulation (Stake, 1995; Tashakkori & Teddlie, 1998: Yin, 1994). The use of diverse evidentiary sources diminishes potential problems of construct validity (Yin, 1994}. Descriptions of the types of data sources used have been provided earlier in this chapter. Further, a system of data management was developed to support establishing a chain of evidence (Stake, 1995; Yin, 1994). According to Yin (1994}, reliability of a case study depends upon the investigator carefully documenting the procedures followed by making "as many steps as possible as operational as possible" (Yin, 1994, p. 37). Doing this helps to minimize the errors and biases in a study. I documented and organized my study so that "an auditor could repeat the procedures and arrive at the same results" (Yin. 1 994, p. 37). 103

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Careful construction of a database that links data to study conclusions increased the reliability of this case study. Second, in order to build trust with study participants and capture the true essence of the cohort culture (Creswell, 1998}, I purposefully engaged in observations of the cohort and interactions with participants throughout the bounded time. By observing and participating in 28 of the 37 cohort sessions, I was able to check for possible misinformation by talking with instructors and students. If I felt that I misunderstood something, I asked questions. Additionally, as greater trust was created, study participants felt safe to contact me via e-mail or telephone about various matters. Third, I understood that potential researcher bias must be clarified at the outset of the study (Creswell, 1998). Limitations based upon my past experiences and connection to the university licensure program were presented in the introductory chapter to this study. However, I knew that researcher bias could develop during the course of the study through prolonged engagement with the informants. The potential for becoming "schizophrenic" (leCompte & Preissle, 1993, p. 97) during the yearlong association with the cohort was a real possibility. Therefore, I established a careful balance between subjectivity as a participant and objectivity as a researcher. My personal knowledge about the university's principal licensure program served as an auxiliary source of data and enhanced my understanding of what usually occurs in a licensure cohort (Tashakkori & Teddlie, 1998). Additionally, as an instructor in two other licensure cohorts, I was able to collect data using the instruments developed for this case study. By comparing data taken from two other cohorts in the licensure program, I was able to discern to some extent the importance of findings in this case study. Last, I understood the critical importance of having participants review the draft of the case study report for accuracy of reporting and interpretation. All five informants 104

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conducted a member check of a draft of the report (Creswell, 1998; Stake, 1995). We met together as a focus group in February 2001 to discuss the findings and interpretations and to make needed corrections to the report. Further, the case study was written in "rich, thick description" (Creswell, 1998, p. 203), supported by extensive use of the participants' own words. Presenting the case study as a detailed story allows readers to transfer information from this case to other settings that may share common characteristics. Finally, as a last step to insure the quality of the report, I assessed the features of the finished dissertation against Stake's "critique checklist for a case study report" (1995, p. 131 ). Case Study Report: Five Chapters Describing complex phenomena experienced by educational practitioners preparing to become school leaders required the blending of two interpretations. First, exploring phenomena from the viewpoint of the study participants was one approach used to report findings. This ernie perspective (Krathwohl, 1998: LeCompte & Preissle 1993) assigns subjective meanings to the phenomena studied Insider interpretations were provided by participants through their written responses on questionnaires and their comments recorded during interviews. These captured words gave glimpses into the participants' understandings about their experiences as learners in the principal licensure cohort Second, as an outsider to the group being studied, I assumed an objective viewpoint. This approach allowed me to make conceptual sense of the case and report the findings through linkage to the existing literature base. This outsider viewpoint is called an etic perspective (Krathwohl, 1998; LeCompte & Preissle, 1993). By observing 105

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i I I ! i I I i I the participants during cohort sessions and visiting their work settings to conduct interviews, I explored phenomena from an outsider perspective. In presenting evidence of practitioner growth, I used both the words of the participants and my understandings as a participant-observer. My task as the reporter was "to reveal participant ideas of reality and truth" (LeCompte & Preissle, 1993, p. 329} as I could discern them. Thus, findings were based upon a variety of sources collected throughout the nearly yearlong case study. Weaving subjective perspectives provided by the participants with my objective interpretations as the researcher resulted in a balanced reporting of the phenomena studied. Further, the expansive use of participants' own words provided the "thick description" (Creswell, 1998, p. 203) needed to report fully the results of the case study. Preliminary data analysis indicated that transformations from teacher to principal were stimulated by a variety of catalysts. Evidence of change appeared in chunks of data that often emerged through patterns of comparison or through an unexpected event reported by a participant. Because practitioner growth from the participants' perspective required the extensive use of quotes, the report became too long to present in a single chapter. Thus, in order to make reading the report easier, I divided the findings into five separate chapters that focus on specific themes related to the study propositions explained earlier. The five chapters were linked together by the overarching focus on practitioner growth during a principal licensure program. I began analyzing the data for evidence of changes over time by comparing the participants' initial and later purposes for enrolling in the licensure program. Findings indicated that aspirations linked participants' career goals to their readiness to assume positions as school leaders. Analysis of the reasons practitioners enrolled in the licensure program is described in Chapter 5, Aspirations: Participants' Career Goals. 106

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'I I I I I I I I i I I I The next phase of analysis explored the HJarticipants' self-concepts as leaders and their understandings about leadership. of data suggested that the influence of program activities on professional growth varie .. d among the practitioners. Those findings are presented in Chapter 6, Leadership: (Participants' Understandings. The purpose of the administrative leadership program was to prepare educational practitioners to apply for provisional s;tate licensure as school leaders. Hence, the third organizer was framed around the principalship and what perceptions the participants had about the position they hoped to assume. Although most students in the licensure program aspired to become school prinacipals, findings indicated the practitioners' understandings about the did not change during the program. Analyses of participants' understandings are described in Chapter 7, The Principalship: Participants Perceptions. Evidence of changes in professional behaviors became the last major theme about professional growth. Comparative analysis; of participants responses on the selfinventory required computations and of descriptive statistical measures. The findings are presented in Chapter 8 Socialization: Participants' Transformations. A discussion about the significance of an identity miindset shift from teacher to principal as a catalyst for practitioner growth closes that chaptter. The cohort was the environment from wh1ich many stimuli emerged to prompt transformation The fifth chapter in the series (CI"7lapter 9, The Cohort: Participants' Assessments) describes the participants' learning experiences as members of a closed cohort. Figure 4.2 displays the chronological seqauence of program activities and assignments in which the participants engaged dwring the case study. Some words in the text of the following fi\./e chapters are italicized and others are enclosed within quotes. Italicized words represemt the prompts or statements that were 107

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printed on data collection instruments or posed during interviews. Words encased within quotation marks or presented in single-spaced indented paragraphs are participants' words written on questionnaires or spoken during interviews. 108

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;o CD "0 a c. c (') CD c. :if: ;:::;: ::::r "0 CD ----------------------------------------------------------------------------------------------------3 c;, CJl a :::l 0 ::::r CD (') 0 "0 '< .., <0" ::::r 11 c ;:::). ::::r CD .., Cil "0 a c. c a :::l "0 a ::::r 0' ;:::;: CD c. :if: ;:::;: ::::r 0 c "0 CD 3 u; CJl a :::l Figure 4.2 Chronological Sequence of Cohort Program I Jan 00 I Feb 00 I Mar 00 I Apr 00 I May 00 I Jun 00 I July 00 I Aug 00 I Sep 00 I Oct 00 I Nov 00 EDUC 5700 Leadership 1/31/00-2/28/00 Domain Activities Text: Matusak Group-building activities Self-discovery (passion statement, life-map, leadership survey, lead journey, carousel reflections) Online discussions Class activities Shadowing activity Begin Leadership Plan EDUC 5710 School Law 3/6/00-5/8/00 Domain Activities Text: state school law, Alexander & Alexander Guest speaker (OCR) Lectures Class discussions Case methods study Group presentations In the News activity "LA Law" activity (review) Scenarios (canceled) Cohort member withdrew EDUC 5700 Leadership 5/9/00-6/1/00 Domain Activities No text No classes 6/21/00-8/20/00 Lecture: leadership theories, dialogue v. discussion Class discussions, small group work Videos (decision-making In juries, groupthlnk, Postman) Book Club (Instructor-provided list) Leadership Plan Part 1 due Online problem-solving activities Cohort member withdrew EDUC 5710 School Finance 6/3/00-6/20/00 Domain Activities EDUC5720 Supervision 8/21/00-11/20/00 Domain Activities Benchmark definitions Required books: Brainard, Glickman, Glatthom, Snowden & Gorton Class discussions, small group work Videos (supervision, curriculum, brain theory, marginal teacher, teacher evaluation) Guest speakers (CSAP, McREL) Group/individual presentations Readings and scenarios Conferencing/observation packet Cohort member withdrew Lectures about school finance and budget Individual issues management papers Group PowerPoint budget presentations EDUC 5930 Action Learning Project 7/20/00-517/01

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CHAPTERS ASPIRATIONS: PARTICIPANTS' CAREER GOALS My first researcher assumption was that students enrolled in the professional development program to gain the basic knowledge and skills required for provisional state licensure as school leaders. Over time, as learners expand their knowledge base through program activities and apply new skills in their professional practices, personal transformations occur. These transformations lead to beginning acculturation into the ranks of the principalship. When I developed my research propositions, I did not consider career aspirations as a significant influence on professional growth. I believed that teachers who enrolled in principal preparation programs intended to change their careers by moving from classrooms to administrative offices. The findings about future career plans surprised me in two ways. Rrst, prior to conducting this study, I did not realize that significant numbers of qualified graduates of educational leadership programs never assume positions as school leaders. After the close of data collection, I conducted another literature review to help me understand the findings from my case study and thus learned about the diminishing pool of potential principal candidates and the growing concerns within the field of educational leadership. Careful recruitment and selection of teachers to participate in principal development programs may be important keys to increasing the candidate pool. Implications relating career aspirations to principal preparation are discussed in Chapter 1 0. A second awakening occurred for me during this study. I did not consider that increased confidence served as an important stimulus and by-product of professional 110

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I I I I I I I l I I i I i I I I I I I j growth. I began data analysis by looking at patterns of growth within the four themes I created when I originally designed my study. Then, I explored the phenomenon of professional growth within the sub-cases, the responses and reflections provided by each participant. I aggregated all data each student provided and sought patterns of individual growth within their written responses and recorded comments. That is when I discovered the richest evidence of changes. The transformation presented in the following prologue is an example of one individual's professional growth during the study. Practitioner Growth: Prologue "Pursuit of leadership and responsibility" was the reason a cohort member gave in January when asked why she aspired to earn licensure as school principal. Six months later, she assumed a position on the leadership team of the school where she h_ad been teaching for many years. At the beginning of the new school year in August, she shared reflections about her new responsibilities: "I have insecurities, but I have been forced to lead by my [new] position. I enjoy the challenge, but I have a long way to go before I feel I am an effective leader." On the fourth open-ended questionnaire distributed in mid-October, I posed the question, If you received a phone call today to become a school principal tomorrow, would you accept the position? The same participant wrote this answer that included her underlined emphasis: "Yes, but with much apprehension and a humble attitude. I am ready to take on the leadership role, but I lack knowledge about laws and theory. I would still be learning as I took on this position." Then at the end of November, she responded to another probe about what prompted her decision to assume responsibilities as a school principal: During my professional career. principals and some teachers have said I should become a principal. I did not have the confidence or even the desire while I was still enthusiastic in the classroom. My current principal gave me specific reasons 111

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I I I I I I I I I I I I I I I and encouraged me-relentlessly! ... I am gaining confidence, but I would like to be an assistant principal first, learning and practicing leadership with a mentor. Her principal did more than encourage "relentlessly!" She nominated this teacher as a participant in the licensure program and then supported her nominee by providing ongoing opportunities for professional growth. The participant explained the support provided to her by her mentor: "My principal solicits my feedback and help on many issues. I am part of the administrative team in our building." My purpose for sharing this vignette as an opener to the report that follows is to prepare the reader to discover-as I did-that practitioner growth was demonstrated in many ways. Transformation was different for each individual in this study. Researcher Awakening Evidence of professional growth sometimes emerged through action and assertion, and other times as awakenings and reflections. Professional growth also developed through growing self-realization of leadership potential. Often that growth was stimulated by encouragement from others who saw leadership potential that was not yet evident to the individual. A participant wrote about this truth quite simply: "If others feel I am capable, in spite of my own insecurities, I must be capable to lead as a principaL" Sprinkled throughout the data was evidence that support and encouragement by others provided needed momentum to stimulate and sustain professional growth. Leadership development did not occur only through participation in the licensure program. I discovered that some practitioners arrived as cohort members possessing bold confidence in their leadership abilities and definitive career goals. Previous successful leadership experiences fueled their feelings of competence. Other participants grew professionally during the initial stages of the administrative leadership program in ways that were often private, hidden in the reflections they seemed to share only with me. At 112

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i i I I I I i I I l I I I j I I I I I I I I I I i I I I I I I I other times, evidence of their transformations was public, visible during cohort sessions. A few students, however, reported little professional growth as a result of participating in the program. At the close of the study, their career goals remained unclear. Students in this study became candidates for the program either through nominations by an educational administrator or through self-nomination. Within this group of 1 8 study participants, 1 5 enrolled in the program by initiating the admission process on their own behalf. I began the study by asking the participants what prompted them to seek licensure as a school principaL The catalyst for my exploring more about what compelled these educational practitioners to seek a career change was a response provided by a student in March on the first open-ended questionnaire. He used the words "my destiny" as part of his answer to what was stimulating his thinking about himself as a leader. I am ready to make the next step in my career. I feel comfortable enough in my job to make things happen that I feel are right or needed ... it is my destiny to help children realize their dreams. I want all children to see the future and feel good about themselves. I added destiny as a coding node in the software program I used to analyze the qualitative data to explore further this concept about career purpose. I learned that this student used destiny only once as a descriptor for what was stimulating his thinking about himself as a leader. Only one other participant in the study used the word destiny in a response. On the questionnaire administered in August she wrote, "I have learned that leadership is a passionate call to lead others on the quest that fulfills a cause or destiny." Making sense of the purposes students gave for participating in the licensure program became an important first step in interpreting the data. Therefore, I began analysis by exploring the reasons students gave for pursuing licensure as a school leader. 113

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Participants' Career Goals Almost all students in the administrative licensure program worked in urban school districts challenged by multiple environmental factors. High-stakes accountability, increasingly diverse student populations, and diminishing school resources were common topics for discussion and debate during many cohort sessions. Some students reported at various times that few of their fellow teachers wanted to become principals. One informant disclosed in an interview that principals from both public and private schools were discouraging her from seeking a principalship. Even a guest speaker, the supervisor of assessment for a large school district, advised the students three times during his presentation not to become school administrators. Given this information, understanding what motivated these educational practitioners to enroll in the licensure program became an important consideration during the analysis phase. Comparing their reasons given at the beginning and end of the study provided one opportunity to assess professional growth. A second strategy was analysis of responses to a question posed on the final survey: Within the two years following completion of the principal licensure cohort, what type of school leadership role will you seek? Three groups emerged as a result of the participants' selected career goals. The students separated themselves into groups of practitioners who hoped to become (a) a school principal or assistant principal or (b) a district administrator or who were (c) not sure at the close of the study. The indicated career goals within the first two years following completion of the licensure program became the determining factor for group membership. The reasons for pursuing licensure were compiled into tables in order to examine possible related factors in the participants' career objectives. 114

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! I I I I i I I l i I i i i I l Career Aspiration: School Principalship A total of nine participants, including the cohort member whose professional growth was presented in the prologue at the beginning of this chapter, indicated that becoming a principal was their next career goal. Table 5.1 displays the pre-and post-survey responses to the probes about what prompted the students to enroll in the licensure program. One set of participant's reasons were presented earlier, and thus, only the responses by the other eight practitioners a presented in the table. Table 5.1 Career Goal: School Principal Pre-Survey Response I joined the program because I have a desire to lead. I enjoy the challenges of creating an environment where people work together to solve issues. I also love working with kids and families. I substituted as a full-time dean of students for a semester and enjoyed it. [I want] to become a change agent. I want to ensure success of educational programs and ensure linkages with the community and business environment that are circular and not one-way conduits. I love the business of education. I am often described as a natural leader. Post-Survey Response I am drawn to leadership and positions [that] make broad impact. I wanted a license as a district administrator, but now I am very interested in becoming a school principal. [The principalship] is the next level, and I had some experience being a dean of students before I started the program. I enjoy leading organizations and taking [them) to a higher leveL Being a principal will allow me to do that in a way that impacts the whole society. My passion to lead and recommendations [from others]. 115

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Table 5.1 (Cont.) Career Goal: School Principal Pre-Survey Response I want to make a difference in schools. [I currently work in a district position] and desire to be connected to a single school versus involvement in several schools. [I want] to have an opportunity to positively affect larger groups and organizations. Post-Survey Response I always wanted to lead a school! I desire to be an administrator in a school building. At first, it was to provide myself a chance to get out of "professional poverty. n Now it is to support others in helping as many students as possible to achieve. This group was composed of educators who had gained significant leadership experience prior to entering the principal licensure program. One respondent was a middle school teacher and athletic coach who had served as a local sheriff in the district where he taught. For a time, he worked as a mid-level manager in a Fortune 500 company. Another middle school teacher, who was also completing his alternative teaching licensure requirements, was a retired business executive who held an MBA degree He regularly served as the acting principal whenever his school's administrative staff was out of the building. One member of this group had 27 years teaching experience. She was the director of a Catholic elementary school at the beginning of the program. During the summer, she voluntarily returned to the classroom as a first-grade teacher. The participant who had substituted as a dean was a middle school mathematics teacher and district trainer. Although she was on maternity leave throughout the study, she remained closely connected to her school and district. 116

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During the summer, three participants in this group were promoted to administrative positions. One was a high school mathematics teacher who was selected as the principal of a new private K-8 school scheduled to open in August 2001. Another middle school teacher was promoted to an assistant principalship, serving as a teacher on special assignment until he completed the state licensing requirements. The third participant to assume an administrative position was a veteran middle school English teacher. During the summer, she assumed the responsibilities as the school's site coordinator for teacher candidates. Her reflections about professional growth were presented in the opening prologue. A somewhat interesting finding was that two members of the group who aspired to become school principals held positions at the district level when they began the program. One participant had worked several years as a technology coordinator. The other had completed 20 years of varied work in the field of education and coordinated a district's pre-school program. One shared attribute among the nine participants in this group was their focus on a specific career goal: to be working as a principal within two years after the close of the program. All nine participants actively sought opportunities to work with school administrators in a variety of settings and reported receiving support and advice from educational leaders. All three students nominated to the program by school administrators were members of this group who aspired to become principals. In response to probes about their professional growth during the licensure program, they shared how they regularly participated in field-based learning experiences. Several sought opportunities to participate in district meetings for school administrators, shadow principals whenever possible, and engage in discussions with school leaders 117

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I I i I I I I I I i l I I I I I I I I i I I i I I I i I I I I I I I i about the work required for the principalship. Seven of the nine completed their intensive internship requirements before the close of the study. Another shared attribute was the content of their responses to why they were pursuing licensure as principals. A desire to assume leadership, implement change, and make a difference in schools is woven through their pre-and post-survey responses. Three participants wrote "assistant principal" as their response to the probe about future career plans, although that answer was not listed as a choice on the post-survey instrument Table 5.2 compares their beginning and closing reasons for pursuing licensure as a school leader. Table 5.2 Career Goal: Assistant Principal Pre-Survey Response i really want to make positive change in schools. I was frustrated with trying to make change as a special education teacher and not having enough power to make enough change. [I want] the opportunity to provide leadership. I believe I possess the skills necessary to lead in a school setting. Post-Survey Response I desire to promote and encourage school change. Schools need to be adequately funded so teachers have the opportunity to pursue their educational ideal. I love challenging adults and children to excel or change as the situation dictates. It is a [district] requirement, if I want to be an administrator. I worked under a horrible principal and saw I could do a better job than he [did]. The participants who wanted to become assistant principals had less prior leadership experience than their other peers did in this grouping. Before becoming a special education teacher three years earlier, one participant served as an Outward 118

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i l I I I ! I I I I I I I I I I i I I 1 Bound instructor. During the early months of the study, he testified before a state legislative subcommittee to advocate for additional funding for special education. The second participant was a high school athletic coach and mathematics teacher with 10 years experience in the classroom. During the summer she assumed responsibilities as an assistant principal, serving as a teacher on special assignment until she completed the licensing requirements. However, she had to take a short maternity leave from her administrative duties following the birth of her second child during the fall semester. The third cohort member who aspired to become an assistant principal was the youngest member of the cohort. She was completing the first half of her third year of fulltime teaching when the study closed. During the summer she transferred from a K-8 parochial school to a public elementary school. By the close of the study. she began to voice uncertainty about her career direction. During the focus-group interview that was held a week after she completed the final survey, this participant cited her youth, gender, and limited teaching experience as reasons why she planned to delay seeking a principalship. Unlike their peers who hoped to become school principals, the three members of this group did not report seeking opportunities outside the program or beyond their daily work to engage in field-based learning activities. The only member of this sub-group who completed the intensive internship prior to the close of the study was the acting high school assistant principal. The absence of reported support by current supervisors is another noticeable difference in comparison to the previous sub-group. 119

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I i I I I i I I I i i i I I I I I I I i I I I I i l I I i I I i I I i Career As;piration: District Administration T\tWo study participants selected district administrator as their future career goal on the post-survey. A comparison of their pre-and post-responses to why they were pursuing !Licensure as school leaders is presented in Table 5.3. Table 5.3 Career Goal: District Administrator Pre-Survey Response I would lik.e to work as an administrator in special eclucation. I am interested in curriculum development. Post-Survey Response [I originally] wanted to help lead special education departments as a district administrator, but now I have considered a principal's job also. I felt it was time to move to the next level as an educator. Dt uring the summer, the special education teacher transferred to a newly opened high schoeol where she assumed responsibilities as a department chair. Although she expressed confusion about whether to seek a principal or district administrator position, her principal at the new school provided some assistance. The support included "information about conferences for administrators" and a recommendation to "a summer school priW1cipal and district administrator" for her upcoming internship. Tile other member of this group was a high school English teacher who transferrettd during the summer from the school where she had interned and taught for eight year.-s to a high school in a more affluent district. As she progressed through the licensure ;Jrogram, she became less involved in the cohort activities and missed many class sessions. She participated in the closing focus-group interview where she shared 120

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i I I i I 1 i I I I I I I I I I I I I I I I I 1 I j l I l i i I i I i I l I that she planned to remain in the classroom before seeking a district-level position. Becoming a school pnncipal was not a career goal for her. Both participants who aspired to become district administrators planned to complete their intensive internships during the summer after completing the fourth content domain. Only the special education teacher regularly engaged in cohort discussions. However, her focus remained on special education issues, not the principalship. Career Aspiration: Uncertain By the close of the study, four participants remained uncertain about their career directions. Table 5.4 displays their early and later responses to the probe about their reasons for enrolling in the principal licensure program. Two members of this group taught at the same middle school where cohort sessions were held. One was an art teacher who had completed five years of teaching. Her disclosure on the post-survey about her father and grandmother being principals was surprising because she had not mentioned that fact earlier in the study. During observed cohort discussions about accountability issues, she voiced frustration about feeling excluded because she was as an instructor in the electives program. The current state accountability program did not include elective courses. The other middle school teacher had taught science for 12 years. As the father of three young boys, he devoted most of his time outside of school to coaching and supporting his sons' activities. Although his confidence as a leader grew during the program, he remained indecisive about his future career goals. His early claim about his "destiny" of becoming a school leader seemed to wane at the close of the study. 121

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l I -I I I Table 5.4 I 1 Career Goal: Not Sure Pre-Survey Response [I want to] earn a master's degree for higher pay, while at the same time learn more about school climate and all that it affects. I have an interest in the position. I believe I would make an excellent administrator and that I can make a positive difference in education. I recently moved to [this state] and am unfamiliar with its education laws and requirements. I am eager to learn if there are many similarities to other states. Post-Survey Response I entered this profession later in life and feel the need to advance quickly. Another reason is that my father and grandmother were both principals. It is a career goal. I was intrigued by the role of the principaL wanted something new for my master's degree and to strengthen a weak knowledge base in this area. I wanted to expand my understanding of education [here]. The participant who began the licensure program with optimism about his potential as an "excellent administrator" appeared to lose his enthusiasm during the program. At the close of the study, he reported that as a newlywed participation in the cohort created time management problems and "conflicted priorities" that made the balancing act between his personal and professional life quite difficult for him. His frustrations are evident in a comment he wrote on the final survey in November. "This fall has been tough with other influences. I am not as motivated to learn and [look forward to] the day when I finish the program." The lack of a specific career aspiration became a perplexing, even troublesome, concern for the cohort member who had recently moved to the state when her husband 122

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i I I I 1 j I i i I I I I I I I I l I I I I I I I I l received a promotion. Because the participant was also one of the study informants, I learned many things about her personal frustrations and struggles as a student in the cohort. During our second interview that summer, we talked about her early frustrations and how these affected her participation within the cohort. I am not from [this state]. I'm not teaching now, and I've never taught [here]. was at a different level of education [in my home state]. I was always able to relate to the teachers very well; they knew me or knew of me. So there's a difference I had to re-establish my expertise, where I come from. My background is really not well known here. I guess thafs my fault. I really haven't shared much with everybody. But it was kind of nice to come into the program with a clean slate and just start where I want to be, ... [but now] I'm starting to want to be heard ... Maybe now that I am better known for who I am, my words are taken in a different light. I asked her directly if she felt like an outsider in the cohort because she had never worked as an educator in the state. Her response was, "Definitely." Our conversation then proceeded into an exchange about how the relocation had affected her career as an educational leader. She shared, "I have no credibility" in this state's educational system. By the close of the study, she was convinced that becoming a school principal was definitely not a career goal for her. Aspiration: Catalyst for Professional Growth As the words of the participants have shown, their purposes and future goals differed considerably. The comparison between responses given in January and those in November suggested that goal statements specifically related to leadership and change agency provided a focused purpose for participating in the licensure program. Ancillary to the students' aspirations was the type and amount of support provided by professionals within the field to which the participants seek membership. Opportunities to work and socialize with school principals appeared to influence significantly the professional growth of many participants and to hasten their acculturation into the principalship 123

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I .I I I l i I I Educational practitioners who were recruited for future leadership positions or who were mentored during their leadership development set definitive career goals. Their enthusiasm tor seeking a new career sustained them as learners during their professional development. Thus, the career aspirations of applicants to principal preparation programs have important implications for practice and future research. Enrolling in an administrative licensure program was the action that followed the decision to seek greater responsibilities as a school leader. Taking such action suggested that each individual in this study had a self-perception of being a leader prior to beginning the program. One of the participants explained this succinctly when she wrote, "Leadership begins long before an individual realizes or publicly acknowledges he or she is a leader." Exploring participant understandings about leadership and their self-awareness of leadership abilities is the second theme for describing professional growth within the cohort. Throughout the case study, the participants shared their varied responses to the introspective activities used during the first content domain of the program. A discussion about leadership from the participants' perspectives is presented in the next chapter. 124

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CHAPTERS LEADERSHIP: PARTICIPANTS' UNDERSTANDINGS The second assumption for this investigation was that participants in the administrative licensure cohort would evidence professional growth over time through self-reported changes in perceptions about themselves as leaders. Professional growth would also be demonstrated by changes in (a) the participants' understandings about leadership and (b) their perceptions about the roles and responsibilities of a school principal. In this chapter, reported changes in participants' awareness of themselves as leaders and their understandings about leadership are presented. Participants' perceptions about the principalship are presented in Chapter 7. Professional growth related to leadership is presented in two ways. First, a set of vignettes illustrates the unique differences in leadership awareness among members of the cohort. Rve participants framed their leadership perceptions in terms of experience, action, resourcefulness, confidence building, and influence. Second, professional growth is evident through changes in leadership definitions. Three participants presented their learning through expanded definitions of leadership based upon new understandings of empowerment. transformation, and challenge. Because the participants often linked their learning to specific elements within the program, the chapter begins with an overview of the licensure program requirements and follows with a summary of the participants' assessment of the leadership development activities. The five vignettes about leadership awareness and the three descriptions of leadership definitions follow. The chapter closes with a presentation of the participants' concerns about the leadership domain. 125

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l I I I i i j I I l I I I l I I I l i I I i I I I I i I I i i i I I i 1 i I I I I i I Leadership Development Each cohort in the university's administrative leadership program begins with an introductory seminar about educational leadership, which is called simply the leadership domain. The curriculum includes topics about educational organizations, organizational behavior, and school culture. Emphasis is placed on two of the state's professional standards for school administrators that relate to the knowledge base school administrators need to lead learning communities and to behave ethically. A concurrent 45-hour field experience provides opportunities for learners to practice using their knowledge about leading educational organizations in authentic settings. A goal of the licensure program is to develop principals who are reflective practitioners. Thus, during the first domain students learn to write reflectively by creating artifacts to include in their assessment portfolios. These artifacts must link to the state's professional standards for school administrators and include a reflective essay about what the student learned through the readings or activities. Journal writing is also assigned to encourage reflection. The leadership domain was presented differently in the cohort used as the sample for this case study. The domain opened with four weeks of concentrated attention on self-awareness activities. Then leadership studies were stopped for two months while the cohort studied school law. In mid-May the emphasis returned to leadership studies during five additional cohort sessions. Additionally, the concurrent field experience was replaced with an extended action-learning project introduced in July. Participants' Assessment of Leadership Activities During the early weeks of the licensure program, the students engaged in a variety of introspective activities to stimulate discovery of their core values and 126

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educational passions related to leadership. The activities were both private and public: (a) reflective essays in response to assigned readings, (b) journal writing in response to probing questions, (c) paired-sharing and model-building activities during cohort sessions, and (d) online reflections posted in the cohort's conference within the university's telecommunication system. The intent of these introspective activities was to stimulate practitioners' self-discovery of their leadership abilities and to assist them in developing their personal educational philosophies. Their reflections became elements of the first segment of a three-part leadership plan required by all students' in the administrative leadership program. Required Assignment In part one of their leadership plans. the practitioners shared their beliefs. ideas, and perceptions about schooling and their roles in the educational process. A set of guiding questions were provided to help them define individual core values, articulate assumptions about the leadership process, address passionate convictions about educational issues, and identify personal strengths and weaknesses. This first section of the leadership plan was due at the end of the leadership domain that summer. i Students completed the other two parts of their leadership plans at the close of I !1 the licensure program, which was after the close of this study. Almost all participants' comments reflected only their opinions about the first part. Part two was a conceptual framework based upon a critical review of the literature, due at the close of the fourth domain of study. Part three focused on application: Students combined their educational philosophies, critiques of the literature, and internship experiences into an action plan. The resulting leadership plan became an educational platform for each practitioner. 127

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I I I I I i I I I I I I I I I i 1 i i Effective Activities When asked to describe the program activities that had been most useful to them, many students wrote positive descriptions about specific leadership activities. Descriptions about some of those activities follow. Passion statement. After writing answers to a series of prompts provided by the instructor, students then analyzed their responses by looking for patterns in their life events. The premise was that personal beliefs emerged that together formed an individual's passion, which was encompassed in a passion statement. During an early cohort session, students developed individual and group models of their passion statements One student described how much she enjoyed that specific class activity. One of the most exciting nights ... [was when] we all presented models of our passion as individuals and then as a group of four. It was a very creative and enthusiastic night where many passions about education were shared .... The life mapping activity was the most useful so far. It was very helpful to see how I arrived at the place that I am right now concerning leadership Another student also remarked about the significance of sharing individual passion statements with the entire cohort: "Modeling our passions was a great way to see passions from a collective perspective." A third participant shared the value of the activity from a more personal perspective: [I enjoyed] the passion statement and the ideas behind it. I had never thought about "passion" and although I had a passion, I now realize that it is important to act on it ... I had never considered who I was or what I stood for before. For one participant, creating the passion statement made a lasting impression. Several times throughout the study, she mentioned it as one of the most useful learning activities. Even during the focus group interview in November. she elaborated upon its value to her: "For me [the most valuable activity] was the passion statement. I mean having it all articulated and realizing that whether I stay in education or not, this is my passion. That was interesting for me." 128

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., I I I I I .I l i I I I I I I I i I I I I I l j I I I I Online sharing. Online activities were used throughout the licensure program as an instructional tool to enhance learning. The first online assignment was given in late January during the cohort's first semester. Students were to reflect upon assigned readings and post their thoughts in the cohort's electronic conference. Several participants wrote that sharing personal beliefs and reflections about readings was one of their favorite activities in the leadership domain. One student explained, "The online communication has been extremely helpful. The honesty and openness in communication via computer is less intimidating. I think it allows one to think and reread thoughts before sharing them." Another participant described the online activity metaphorically as "a place at the table of discussion." I work hard to articulate and be humbly introspective and thoughtful. Therefore, these types of discussion are great venues to exercise those goals. I am also confident in my perspective and feel that I have a place at the table of discussion. During the focus group interview at the close of the study, another participant explained why the online activity was a particularly valuable learning experience for him. I think the online part is an important piece because it gives you. not necessarily anonymity, but a shield. You're in your own home, in your own office or study or wherever you have your computer, and you can say what you feel with trusted friends and colleagues, but you're not staring them in the face. That medium is a great way to share things relating to our personal lives as well as issues we talked about in class. It was a great way for us to kind of develop our own opinions as well as for learning what other people have to say. Leadership plan. Completing the first part of the leadership plan was considered one of the most valuable assignments of the entire licensure program. Throughout the study, participants mentioned how much they had learned about themselves through drafting their personal philosophies. While many reported that reflective writing was difficult for them, most participants agreed with a student who wrote, .. in the long run it's been helpful to sit back and analyze and look at that I believe." 129

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. i I i i I i I l I I I I I I i I I I l I I I I l i One student shared a creative and enthusiastic description about writing his leadership plan. He further articulated how he intends to use his educational platform in his future practice as a school leader. I began to articulate what was curing in my head and spirit. It was a magical experience of self-discovery and refining of perspective. I spent a great deal of time on this project and reaped the benefits accordingly. Furthermore, I am now able to courageously lead by standing on a firm, thought-out personal philosophy. During the focus group discussion at the close of the study, the leadership plan became a lengthy topic of discussion. Participants shared how they grew professionally from the experience of writing about their core values and educational passions. A portion of the transcription of that discussion follows The names used in the transcription printed below are not the participants' real names. Phillip: I spent a lot of hours on my leadership plan. I had a lot of people review it, and then we'd get together and discuss it. They would give me all kinds of feedback. These people weren't just educators; in fact. only one of them was an educator. These were people in church, business, and political leadership. It [became} a great time for me growth-wise. Jared: I'd like to echo Phillip's sentiment about the leadership plan. Of all the assignments, that was probably the most challenging for me to do. I spent a lot of time writing it, probably 20 hours on my first draft, and then I just threw it away. I started over again and then asked a trusted friend to read it. Even then, selfdisclosure was a challenge. I gave it to my friend and left her apartment. Then I went back in an hour, just grabbed it from her, and went home. That was a hard part for me as far as personal growth. However, the leadership plan really helped me to see myself as a leader. As challenging as it was, I think it was probably one of the most rewarding activities I've done in all of my college experience. Bonnie: I could echo that, Jared and Phillip But unlike you two, I was a chicken and I didn't share mine with anybody .... I've been an English teacher for fifteen years so I didn't feel like I needed anybody to proof it. But that doesn't mean [the instructor] didn't find some errors! It was like a soap opera to me ... (I wondered} why [I had} to share it? But after writing 15 pages later, I grew a lot. The reflection in part one was a great process and a great assignment. During an interview with an informant, she offered a thoughtful, yet concerned, reflection about her leadership plan. She appeared to have been working on the second 130

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I 1 i i I I I I I I I I i I i I I I I I I part, which was a critical review of the literature and identification of the major debates and key issues in education Her response is different from her peer's presented above. As I continue to complete my leadership plan and respond to the numerous articles, I sometimes become discouraged about the reality of the education system and society at large. There seems to be so much work to be done, and I'm unclear if the support is there. I admire the individuals in this cohort and pray they keep the energy they will need to create change. Because the leadership plan was considered an extremely effective assignment, an additional discussion is presented in Chapter 9. The purpose for presenting this section here is to help the reader frame what stimulated some of the participants' comments presented in the next section of this chapter. Ineffective Activities Not all cohort members enjoyed the introspective activities. Some students explained why particular activities failed to achieve the desired outcomes for them. Others felt that posting personal reflections in the public online conference was too riskladen. A few students reported feeling disheartened and ignored when none of their peers responded to their posted reflections. Further. one participant complained several times during the study that too much time was wasted during the early cohort meetings. Descriptions about the participants' frustrations and concerns about the learning environment are presented in Chapter 9 Leadership Awareness: Catalyst for Professional Growth The decision to change careers begins before an individual takes an action toward change, such as enrolling as a student in a professional development program. Over 80 percent of the participants investigated the university administrative leadership programs available and then enrolled themselves in the graduate licensure program. 131

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I I I I i I I I I I I I I I I I I I I l I I i i I I To explore how participation in the licensure cohort changed their leadership perceptions, a series of questions were posed on the survey administered in November at the close of the study. Table 6.1 presents the responses to four of those questions. Table 6.1 Participants' Perceptions about Leadership Questions Posed on Post-Survey Responses Are you a leader? Before you began the licensure cohort. did you perceive of yourself as a leader? Has participating in the licensure cohort changed your perception of yourself as a leader? Has participating in the licensure cohort changed your understanding about leadership? Yes 18 17 14 16 At the close of the study, which coincided with the end of the third content domain, all 18 participants affirmed that they were leaders. Only one cohort member No 0 1 4 2 admitted to "not really" perceiving of himself as a leader at the beginning of the program. Most participants (78%) reported that their perceptions about themselves as leaders changed as a result of participating in the professional development program. The assessment by the four cohort members whose self-perceptions had not changed was summarized best in a statement by one of them: "I have had many leadership experiences; however, participating in the cohort has re-enforced what I have learned or practiced." Almost all students (89%) reported that their understanding about leadership changed as a result of participating in the licensure program. 132

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I I I I I l I I I ! I I i I I I l i I I The contrasting responses to the cohort experience provided by study participants gave valuable insights into their transformation from teachers into principals. To show the differences, a series of five stories framed by the words of the participants are presented next. The series begins with reflections by two students whose selfperceptions as leaders did not change. These two informants repeatedly shared their dislike for the introspective process, perhaps because they perceived themselves to be leaders long before enrolling in the program. The third story contrasts with the first two: This participant consistently reported enjoying the introspective activities from the beginning of the study to its end. The fourth practitioner shared his growth as a leader through gaining confidence in his abilities and convictions about needed action. The last story exhibits how the program developed a reflective practitioner who believes that leadership is influence. Leadership through Experience One of the three nominated participants in the cohort, this teacher and athletic coach had clear purposes for being in the program: to eam a master's degree and licensure as a school principal. While he had worked in other professions prior to entering teaching, he had grown up in the school district where he taught and had strong connections to the community. He displayed an assured and unflappable temperament, perhaps developed during his years in law enforcement. His caring spirit for humanity was easily discerned in his speech and behavior. However, he made no pretense about his forthright assessment of his leadership abilities: I believe that I am a good leader. Sometimes I am hardheaded and ambitious, but the bottom line with me is kids, so I try to promote that part as much as possible .... I believe I am a very good leader at facilitating and focusing the task at hand and utilizing the gifts and talents of those around me. 133

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I I I I i I I I I I i I I I i l I i i i I I I I I I I I I l i I i I I During our first interview in April, we discussed his response to the introspective activities during the early months of the program. He explained at length why the leadership domain had not been particularly enjoyable for him. I'm a leader now, and I want to be a more effective leader so I don't really delve into the past to see why I want to become a leader. I'm already a leader. I need to find ways to better myself as a leader and to have more people involved in the vision and the process. I listen to other people [in the cohort] and their ideas about leading, but they haven't really changed my ideas .... I'm not trying to be boastful, just frank that I am a leader .... I learned different leadership techniques, not necessarily through coursework or knowledge base, but by getting up every morning and doing it. Now I'm learning the names of some of the things that I've done for so long, [and that's} interesting. Further in the interview, I asked him to define leadership and to share how the licensure program had changed his definition. Leadership is a position that one would take to help facilitate change or growth. A person doesn't necessarily have to be the final or ultimate voice. [A leader is] a person who sees a vision and recruits people to partake in that vision and see it through .... No, my definition has not changed. I've just been thinking about it more, about specific things dealing with leadership .... I didn't learn these lessons in class. I learned them through the different things that I've done in my life. During our second interview a few months later, our conversation again returned to his perception of himself as a leader and his definition of leadership. While he admitted to becoming more aware of himself, he continued to be quite assertive. This time, however. he spiced his assertion with a humorous comment about himself. I guess I'm more open to input and that's a bad thing to say, but it's true. [I'm] trying to learn better interpersonal techniques to motivate people .... When you're put in a position of leadership, you know that you're the one who's going to take the fall for specific loses or the reward for gains in your organization. You always want to have the final say. I don't think that will ever change for me. Maybe I didn't teeth long enough as a child or something, I'm not sure. It's just something that I believe. I asked him to share his current definition of leadership and explain how participation in the program had changed it over the months since our previous conversation. I still see it the same way. A person is either put in a role of responsibility or assumes a role of responsibility and creates a focus or direction .... You create 134

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j I -I I I I I l I' I I I I I I I I I I I i I l i l I i a philosophy about what you would like to see that organization become. And then you find the people and the resources that would support those ideas to further the organization or further the idea. Then you'd sit back, evaluate what's happened and the direction you're going. [If it is not] achieving what you ultimately set out, you go back and start again. Even at the close of the study, he reiterated his self-awareness of his leadership skills and how participation in the program had affected him. In response to probes on the final survey, he continued to assert that he was already a leader. Not trying to be bold, but I am a leader. The fact that people often look to me for leadership is hard because I do not have the answers; however, I seem to find a path that puts us in the right direction .... [Participating in the program] has helped me to groom my skills and start focusing on my future. In some regards, it has opened my mind to the diversity of ideas that exit, ... [however] my definition of leadership, what I want to accomplish, hasn't changed. While the student's words appeared bold and forthright in writing, he radiates a calm assurance and patient manner. He took the state licensing examination during the summer and received notification in the fall semester that he had passed the test. He planned to apply for a principalship as soon as he completed the fourth content domain. Leadership through Action Another cohort member whose self-perception as a leader never changed during the leadership development program was also a teacher and athletic coach. She called herself an "in the know" teacher because over the ten years that she had taught, she developed an expansive network with fellow educators throughout the state. She often shared with me interesting tidbits of information about licensure programs at other universities and about activities in other administrative leadership cohorts. Although somewhat quiet during class, she spoke with authority whenever she contributed to discussions. She often sent me e-mail messages about concerns that she heard from other cohort members. While I was writing this case-study report, she regularly sent e-mail messages filled with encouraging words for me. 135

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I I I j I I I I I i i 1 I Unlike her fellow colleague in the cohort who de$cribed his leadership expertise based upon experience, her assessments about herself .as a leader were based upon action. Her responses to questions about leadership on the first questionnaire in March reflect her action orientation and self-assurance. I consider myself a leader because I am an initiaator [who is] self-motivated and consistent. I follow through with projects. I believe in myself .... I don't think there is anything the program] to stimulate thinking. I am just that way, raised that way .... [I am learning] that it is impoartant to know who you are, what you value and how your values affect your leadership style. It is exciting to be with peers that have similar values and want to rmake a difference in education. During her first interview in early May, she again described herself as a leader through her actions as a mentor for other teachers, a member of district-level committees, and a team member of an instructional growp. When I probed about ways in which the program had changed her definition of leaderg;hip, she stated: "I don't think it has changed. I may think more about my core values, vwhich I never really thought [about] before. I didn't see the purpose of that ... My definition didn't change." Throughout the remainder of the study, her resp0o0nses to prompts about leadership on questionnaires and during interviews remaained similar to her earlier ones. A few of her comments follow. I think I am a good leader. I initiate many ideas and voice my opinion when I think it needs voicing .... I have participated in many committees [where] I have had to voice the concerns of my school and then rep0o0rt back to my faculty. If I had not been there, then our voice [as a school] woulld not be heard .... In small groups, I would rather sit back and let other peoRJie do the job at times. But it never fails, if no one is willing to step up and stallt things, I usually step up and start the small group. I think this is a leadership quality I am an initiator . [and] I think that I can make a difference in a school. I have innovative ideas, and I enjoy sharing them with others. Near the close of the study, I asked participants what they needed to learn in order to feel competent, confident and comfortable to lead a school. This participant replied succinctly, "At this point I would feel comfortable in the position. I feel I'm just doing my time." Although she was ready to assume leadership of a school, she had two 136

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I I I I i I I I I I I I I i l I i I I young children at home. During our final interview, we talked about her conflicting emotions: remain home with her children another year or continue with her career as a new principal. Leadership through Resourcefulness In contrast to her peers, the introspective activities during the leadership domain made a deep and lasting impression on this study participant. From the first questionnaire through the focus-group interview, her remarks reflected how important she felt that leadership be grounded in morality. When asked in March to describe the activities that had been most helpful to her learning, she provided a lengthy description. The life-mapping activity helped me to see a recurring theme in my life. I realized that when it comes to core values, you must not be afraid to stand alone. The carousel activity revealed to me that where there is mutual respect amongst group members, a lot could be accomplished. Finally, the passion model allowed me to see where I was inwardly and how much our cohort has in common. Her definition of leadership at the beginning of the program linked her learning through cohort activities to her belief that leadership is modeled through resourcefulness. Likewise, her early self-assessment of her leadership talent mirrored the importance she consistently placed on resourcefulness. Leadership begins with morality. Leaders will be most effective when given the opportunity to use their strengths. To compensate for weaknesses, leaders need to be resourceful. Leaders must realize they cannot do it all. They are to do what they do well, so to speak .... [I am] a leader who helps people fulfill their purpose in life and reach greater levels of productivity, ... I am an active listener and resourceful, as well as one who likes to provide solutions to problems. For the first eight years of her teaching career, this participant had worked in an urban district where student needs were great and resources were small. During the summer, she transferred to a more affluent school district. As a participant in the late November focus-group interview, she described the differences between the two student populations and explained how her teaching responsibilities differed in her new position. 137

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I I I i I I i I I I I I I I I Nonetheless, the change in work locations did not alter her understanding of leadership or her perception about her strengths as a leader. As a leader, whatever you bring to it is what you bring to it. Good leadership is not so much trying to do everything as much as it is doing what you do best, and then being able to recognize where you can go for the things that you don't know . . I am one who is resourceful. People come to me for helpful and accurate information. [Through participating in the program] I realize that there is room for what I know and excel in. For that which I do not know, it is my job to know where to go for the answers. This participant was one of the cohort members who enrolled in the program with unclear career goals. At the close of the study, she stated that despite her interest in leadership and enjoyment of the program, she was not planning to leave the classroom. Leadership through Confidence Building This fourth vignette about professional growth presents a very different story from the previous three. In written responses provided throughout the case study, this student shared an emergent perspective about his understanding of leadership and his role as a leader. As time passed, his insights and statements became deeply reflective, indicating a remarkable level of introspection. The responses he wrote on the later data collection instruments became somewhat like journal entries. I was deeply moved by his candor. He was among the more experienced teachers in the cohort, involved in a variety of school-and community-based activities for children and youth. His busy professional and personal life and the demands of the program created tremendous time management problems for him. Despite his demanding schedule, he responded thoughtfully to most prompts on the questionnaires, which he returned on a timely basis. At the close of the study in November, he was the only respondent to write "no, not really" when asked if he had perceived himself to be a leader before beginning the licensure program. As his confidence increased, he assumed leadership positions at his school and in community groups. 138

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! I I l i j I I I I i I I I i By combining his responses to several prompts about leadership, the pattern of growth became evident. In March, he reflected about what he had learned about leadership and himself. I am learning now that any person can be a leader. A leader is not a magical person. A leader is a person who has a passion about something and is willing to do anything to make it work .... I think up to this point I am a quiet leader. I have always tried to lead by example. Some of my colleagues understand me, and others ignore me. I have developed strong beliefs about what is right and wrong, what the needs of children are. I think it is time to quit sitting on my hands and start putting these ideas into action. When the new school year began in August, he continued to describe himself as a "quiet leader" who was dedicated to the needs of children. However, his words reflected a decision to be more action-oriented. I have learned that leadership is not an easy task. I can have great ideas about where I want to go, but I also must have a staff with me that will accept my ideas . . My desire to put my ideas into action [is stimulating my learning about leadership]. As I get [further] along in my career, I have opinions and ideas about how I think a school can be more effective. I would really like to see some of these ideas happen .... I am a quiet leader. I do not engage in lengthy conversation with peers. I am not a person to talk 'theory.' I am a realistic, concerned-about-students type of leader. I think one of the most important things we can do is to build relationships. In the post-survey administered in November, I asked the students to reflect upon their experiences as members of the licensure cohort. The same participant wrote I teamed that leaders are people who believe in themselves and work to make their visions into realities. I realized through cohort activities that my thoughts, feelings. beliefs, and worries are similar to others. If they can lead, then so can I. Another response on the final survey further demonstrates his newfound confidence as a leader. At this point, I feel good about my ability, but I have not had the opportunity to demonstrate it. I have taken on leadership positions since I started the program. I am currently a board member of [a community organization and] have had the opportunity to apply techniques I have learned .... I believe in myself as a leader. 139

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I I i I I I I i i I I I I I l l I I i _j I I l Despite his confidence building during the program and assumption of leadership responsibilities, this participant remained a "quiet leader" during the cohort sessions. The father of three young boys, he remained committed to providing leadership that directly affected children. Leadership through Influence This fifth story about changed leadership understandings is different from the others because it shows the professional growth of an experienced educational practitioner. This study participant had almost 20 years experience in the field of education when she enrolled in the program. Yetfrom the start, she immersed herself intensely into learning new knowledge and applying her learning to her professional practice. She too questioned the value of some of the introspective activities and described how writing the personal reflections was very difficult for her. She also shared in detail the incredible difficulties she experienced learning to use the university's electronic communication system. Despite these hurdles, she continually focused on her learning and understanding about leadership. With support from her supervisor, she was able to engage in a variety of district meetings and professional development activities for principals. She originally enrolled in the program to complete licensure as a district administrator. However, during the ensuing months she discovered a calling to become a school principal. Her written remarks and recorded comments show how hard she worked to grasp the meaning of what she was discovering. I feel really "out of the box" when it comes to a leadership style (becauseJI feel that ownership belongs in each individual's arms. I believe every institution needs a leader, but that leader should have the skills to expand the leadership across the environment. [A leader] should not feel threatened by people who are smarter, more skilled, or more talented--but instead, pull them around to help. 140

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! l I I -I i I I I I i I I I l I i I I j I I i I I I i i During our first interview in April, she described how her definition of leadership had not changed, only expanded. She used her hands expressively as she explained that she viewed leadership across a horizontal "continuum rather than top to bottom" as in a hierarchy. Her deep convictions about responsibility to others were often evident in her remarks. I think that leadership is a desire to help a community, group of people, or individuals achieve goals .... Good leadership comes from people who have a sense of direction about where they're going and what they'll be doing. I believe that people come into leadership with inherent qualities that make them good leaders. But I don't think that leaders are bom. I think they're made .... But I also believe that leadership can be a gift or calling, and that's how I think about myself .... I believe I have good leadership qualities, but I don't think I have arrived. Later in the study she shared how she had read extensively about leadership, reviewed studies about leading schools, and reflected about leadership perspectives provided by others. She further reported various ways in which she transferred her learning into her current practice. The successful results increased her desire to continue learning and experimenting. I think that my leadership skills are growing as I see myself working in buildings and feeling comfortable in my progress .... I feel so immersed both on the job and at school that I am feeling like a leader and attempting to act like I know what I am doing. During our final interview In November, I read portions from the transcriptions of our earlier conversations, including her visual representation of leadership across a horizontal continuum in which she used her hands. Then I asked her if her definition remained the same as she had described it in April. I think so. I don't think that leadership is where you are on the ladder or a position you hold. I still think that influence is the key. What is your influence among the people that you're working with? Influence can't be evidenced unless you're touching a lot of people. I mean it has to be broad. I believe that's why I used the word "horizontal." [Leadership] has to go across several continuums. It can't be just a position on a ladder. 141

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i ; I i I I I I I I I I I I i I I I I i i I I I I I I I I I I i I I i i I I I i I ! At the close of the study, she wrote an extensive response to a question about noticing a changed perspective about herself as a leader. She shared that, between the end of the summer session in mid-June and the beginning of the new school year in August. she realized how much her competence and knowledge had grown. She described how writing her portfolio artifacts had changed from being simply the completion of class assignments to becoming critical analyses of her supervisory experiences and patterns of leadership. "I have gone from completing work in a way that is a robot response to one of a thinking process about what this means to me." Her growth was evidenced in her concise written answer to a question posed on the final survey about her leadership abilities: "I believe a leader is one who exerts influence over situations and people. I also believe a leader is a continual Ieamer, a reflective practitioner. I think I am exhibiting leadership in these areas." Another mother of four young children, this informant was ready to assume leadership of a school. However, she decided to wait two years until her youngest child was in school before interviewing for a position. Leadership Awareness: Summary The five vignettes in this section show the breadth in leadership development that occurred during the study. Although most participants perceived of themselves as leaders prior to beginning the professional development program, to some degree, all participants in the study experienced growth. For some, the transformation was significant as they discovered over time the extent of their potential as school leaders. The introspective activities used at the beginning of the program provided stimuli for their continued reaming about themselves. Others began the program with a great deal of prior experience in positions of leadership and held strong perceptions about their leadership abilities. For many 142

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I I I I I i I I i I i I i I l I i I i I i I practitioners in the cohort, the leadership-development activities did not address areas of needed growth for them. However, analysis of data indicated that even the most experienced, self-assured participants admitted to some new understandings about leadership. In the following section, three such individuals share in their own words how they developed new understandings about leadership during the program. Leadership Definitions: Evidence of Professional Growth The second assumption for this investigation was that professional growth would be demonstrated through changes in understandings about leadership. Although several participants did not report significant change in their self-awareness as leaders, their words indicated evidence of changes in their thinking about leadership. The following three examples indicate that professional growth did occur, when measured by new understandings about leadership. Leadership as Empowerment This informant was a former Outward Bound instructor who had spent 78 days on a solo survival wilderness experience. Despite his youth, his strength of character and self-assurance was evident in his thoughtful assessments about schools and how he believed they needed to change He shared this definition of leadership during our first interview in April. I think leadership is the ability to empower others to achieve beyond their internal expectations and limitations and being able to lead through difficult situations. Ultimately, a leader has to make decisions. As long as those are informed decisions, I think people respect a leader who can make a difficult decision, stick with it, and move forward. His theme of leadership as empowerment remained consistent when he shared his definition with me during our summer conversation. However. in this second statement. he changed the role of the leader from one who makes decisions to one who 143

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I I I I I I I l I j I I I I -I j I I I l I l I encourages others. He explained: "I think leadership is really about empowering people. It's encouraging people to go beyond what they think their limitations are, encouraging them to stretch themselves to be able to accomplish more in a balanced way." Leadership as Transformation The cohort member who enrolled in the program to learn about the state's educational system had relocated from an area of the country where unions are strongly entrenched As a full-time student, she had time to conduct extensive literature reviews beyond the readings assigned in the program. She spent a great deal of time searching information about leadership over the Internet and discussing leadership with her husband who was a business executive. During our first interview in April, she talked at length about her new thinking about leadership outside the realm of rules. regulations, and hierarchies. She shared her emerging understandings about leadership: "Leadership is more than following rules. The values and morals of a leader are often shown in his or her actions. It is essential for a leader to understand oneself." Several months later, she admitted that her old understandings about leadership had changed. She began to use the new terms for different types of leadership that she had discovered as a student in the licensure program. She admitted that her "antiquated definitions of leadership have been redefined and broadened." She explained further: "A true leader needs to be secure in delegating leadership responsibilities to others. The terms 'transformational leadership' and 'transactional leadership' were new to me." Leadership as Challenge This third example of rethinking leadership emerged during interviews with a cohort member who had served as a noncommissioned officer in the military. He later 144

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earned an MBA and engaged in ongoing leadership development activities throughout his career as a business executive. During our first recorded conversation, he shared colorful stories about his first years in the military and how he studied leadership through observing his superior officers. To be a leader, one must leam to follow. One must also leam to listen and hear, to evaluate all the data prior to making a decision. A decision made by all involved has a better chance of being implemented and supported, thus ensuring its success. During an interview several months later, he talked about how he enjoyed opportunities for leadership that made significant changes in organizations. To him, leadership meant having the frame of mind to identify a problem and seek multiple answers, to face the challenge with determination and commitment. He stated assuredly: '"Leadership is a state of mind as well as a state of being. One cannot walk away from a challenge that one has accepted." Our last interview was conducted on a Friday afternoon in early December. We met in the principal's office of the school where he taught because that day he had served as the "acting principal." He was still wearing a badge proclaiming him as such. His enthusiasm for meeting the multiple challenges presented by middle school children that day was etched in a broad grin that remained on his face throughout our interview. Eventually, our conversation returned to the topic of leadership, and I asked him if his definition had changed as a result of participating in the licensure program. He replied It's changed [because] it's been broadened. In the beginning when somebody asks what leadership means to you, you to get [a meaning from] Webster's Dictionary. It's not that simple. There's much more to it. I think the word "collaboration" and "diversity" all now coincide .... Yes, [my definition has] changed; it's been expanded. Even this highly educated and very experienced cohort member admitted to gaining new understandings about leadership during the study. 145

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I I I i I I I i I I I I I I I I I I I i I I I I j Leadership Domain: Participants' Concerns During the final series of interviews, each informant was asked to clarify comments made sometime earlier in the study. One participant had stated during the summer interview that she believed that the leadership domai n was too short. She elaborated about her concerns during our closing conversation. The most important position that principals (assume] are as instructional leaders; they're going to have influence over people. If they don't really understand the different techniques to use with people, then they're still missing a critical piece You can understand curriculum and law and finance. but if you don't have the most important piece under your belt, you're still lacking .... (The study of] leadership should be ongoing, should never stop .... To me it should be something like the internship: It goes all year long and you discuss it constantly. As our interview continued, the topic of principal burnout arose. She shared with me that principals in both public and private schools had discouraged her from assuming a principalship. Further, she explained that she had recently observed a district-level principal meeting in which an occurrence created a new concern for her. I don't think that in the leadership domain we had enough [practice to be] able to make decisions qui ckly, to put groups of people into processes where they think and brainstorm. I don't feel adequate to do that .... I'm not in a hurry to graduate Do I sit through another leadership cohort? What do I do? A second informant. who was trained in strategies to facilitate meetings, echoed her colleague's concerns during her final interview. She shared her ideas about the practical tools that principals need to know in order to be effective leaders. During earlier interviews she talked about the committees she had chaired and the skills she had developed as a meeting facilitator. Her assessment shared during our final interview was that the leadership domain failed to provide important skills development. I think this [cohort] is still missing something about leadership. I think we understand law, finance, curriculum and instruction but as far as leading I think there's something missing. We could have [learned] how, as a leader, you develop norms as a group and facilitate a meeting I think those are leadership qualities that should fall under the leadership domain. I don't think we covered [topics like], How do you stay focused on an agenda? How do you not go out on 146

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I i I I i I I I I l I I I I I I I I I i I I I I tangents? How do you keep the group, the staff as a whole, focused? I think those are things that needed to be addressed that weren't addressed. Another informant shared his opinion, quite different from his two previous colleagues. that the format of the leadership domain had not met the learning styles of many of his peers. He perceived that some cohort members expected the instruction to be directive and straightforward. He also suggested that the design of the instructional strategies used in the program required prior experience. We operate at two levels: an abstract level and a concrete level. The concrete is where we do things in sequential order because that's safe and you can' t really screw it up. That's the piece that I heard a lot of my peers talk about: Give me some guidance, give me some direction or tell me what to do. The course is designed for you to find out what to do and [experience] the struggles that go along with that .... (But my peers] were expecting the normal "it's in the textbook, read chapter 3, follow what it says" stuff. The leadership domain didn't follow that model. You [had to] pull out the nuggets that can work for you, [which is] hard to do if you have not had experience. Other specific criticisms about the leadership domain emerged in statements written by experienced teachers who attended a licensing exam review session with students from other principal licensure cohorts. One student expressed concern about not being prepared to take the state licensing examination: I went to the exam review workshop and all the other students seemed to have a great deal more background knowledge about leadership theory and practice. I enjoyed [the leadership] presentations and activities, but I do not feel ready to lead. Another student shared her assessment that the leadership domain was not an i enriching experience She further voiced concern about the specific type of leadership l i j that the cohort was supposed to explore. I I I did not care for the leadership part of the class; I just did not get much out of it. I did not know where we were going. I do not think we really ever addressed the collaborative part that the class is supposed to be based on We had a book group, but I do not think the books addressed the real issue of collaboration. A similar disappointment about the focus of the cohort was made by another experienced practitioner. 147

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I I I I I I I ' I I I I I In the beginning of the cohort, I believed that we were all trying to find new ways to look at [the principal] position that is obviously high in stress and demands. Lately, I believe that we are not looking at it in that same vein, that we are back to the traditional modeL That is disappointing to me and makes me feel out of sync with the group at times. I understand the traditional roles and responsibilities; I would like to think about new ones and begin to live in that thought process. During the first weeks of the program, the cohort leader provided verbal explanations during classes about how she hoped this cohort would accomplish something unique. Students were provided an electronic copy of the narrative for a federal grant to which she applied to support a three-year research project about collaborative leadership. Her vision was that the overarching theme for the cohort would be an intensive study of collaborative leadership and community development. An aspired goal was that students in the cohort would redefine the principalship from its traditional positional leadership model to a facilitator of collaborative processes. References to collaboration and collaborative leadership were woven into participants' responses throughout the study. While many participants seriously doubted the reality of being able to change the principalship, others expressed hope that the principalship can be restructured to spread responsibilities throughout the school community. The following chapter presents the participants' perceptions about the principalship. 148

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i I I i I I 1 I l I I J I ICHAPTER 7 THE PRINCIPALSHIP= PARTICIPANTS' PERCEPTIONS The second proposition for investigation was that participants in the administrative licensure cohort evidenaced professional growth through their changed perceptions about the principalship. Findings indicated that no discernible change occurred. Further, a lack of consensuJs about the roles and responsibilities of a school principal was evident in the data. Eighteen students enrolled in .a professional development program that prepares teachers and other educatiomaJ practitioners to apply for provisional state licensure as K-12 school principals. 'ret at the close of the study and near the end of the program. the 18 cohort members did not share many common perceptions about a principal's responsibilities. Also, only :J of the 18 students in the licensure cohort reported that they hoped to be a school principal within two years following the close of this case study. Therefore, the finding;s may have important implications about candidate recruitment for licensure programs that prepare school leaders and about the curriculum and design of professional development for educational administrators. Participants' Perceptions about the Principalship Practitioner perceptions about! the principalship were gathered through questions posed on several instrumemts and during recorded interviews. The prompts and questions about the principalship aremained consistent throughout data collection. At the beginning and ending O"'"f the case study, participants were asked almost identical questions about a principal's lleadership style. On the first survey administered 149

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i I I "I i I l I I I I I I I j I I I I I I I I I i ; in January, the students were given a quote from an article by Urbanski (1999) in which he cited seven critical factors that principals need to address in order for schools to be more effective for all students (see Appendix 8). Study participants were asked to prioritize the seven factors. Then they were asked to describe what they believed would be the most effective leadership style a school principal could use to address the challenges listed in the quote. On the final survey, participants again were asked to describe what they considered to be the most effective leadership style a principal could use to address the challenges in schools today. The second survey did not include a quote or request to prioritize critical issues (see Appendix I). Participants were also asked to describe their understandings about the roles and responsibilities of a school principal on two open-ended questionnaires (see Appendix C and Appendix F) and on the survey administered at close of study (see Appendix I). Similar questions were used as prompts during informant interviews held during the summer months (see Appendix E). Analysis strategies included cross-referencing the responses according to gender, readiness to assume a principalship, and years of teaching experience. Cross-referencing the participants' responses according to years of experience generated the most interesting patterns for discussion. The four subgroups of participants used in analysis were developed according to the number of years that practitioners had worked in the field of education. The range of years selected was based upon research findings that indicate almost 50 percent of new teachers exit the field during their first five years as teachers (Chase, 1999). Further, Sanders (1999) posits that throughout the first decade of their career, teachers continue to grow professionally and are adaptable to experimenting with new instructional strategies. During the second decade, professional growth of teachers 150

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I I I I I I I I I I I I I begins to plateau. As teachers develop greater tacit knowledge over the years, they began to become less inventive and adaptive. By the third decade as a classroom teacher, Sanders found that teachers generally begin to decline in their growth and efficacy as classroom instructors. Evans (1 996) describes similar relationships to teacher responses to systemic change initiatives. Almost all study participants remained classified as classroom teachers during the case study. On the post survey, 9 of the 18 participants indicated that they were ready to assume leadership of a school. However, when asked on the same instrument what type of school leadership role they hoped to seek within two years after completing the program, only seven selected school principal as their choice. Four other respondents wrote assistant principal, even though that choice was not provided. Therefore, grouping responses about the principalship into four subgroups based upon years of practitioner experience (5 or less years, 6 to 10 years, 1 1 to 20 years, and over 20 years) seemed plausible. Subgroup findings are presented in this section. The next section in this chapter describes the findings generated by conducting cross-subgroup comparisons. Practitioner Experience: 5 or Fewer Years The subgroup formed by the six participants who had been teachers for five or less years was quite diverse in ages, prior work experiences, and current work assignments. Both the oldest and youngest members of the cohort were in their third year of teaching at the close of the study. The 36-year range in ages created vast differences in professional work experiences as well. Three of the six participants had worked full-time in non-educational positions prior to becoming teachers. Further, gender differences were noticeable within this subgroup. Of the seven men in the 151

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i I I I I j I i I l I I I I i i l i I I study, four were among the six participants who had five or fewer years of teaching experience. Table 7.1 is a summary of responses provided by the participants on four data collection instruments. The prompt used in March and in August was Describe your understanding of the roles and responsibilities of a school principal. The prompt included on the preand post-surveys was Describe what you consider to be the most effective leadership style a principal can use to address the chalfenges in schools today. One of the members of this subgroup was an informant who provided expanded responses to the questions during interviews. Table 7.1 Perceptions ofT eachers: 5 or Fewer Years Experience Actions A principal must: Assume fiduciary responsibility Be involved in the community Focus on students Keep an open perspective Listen, hear and then act Manage front office Provide solid structure in school Set high academic standards Stand up for school staff Attributes A principal must be: Assertive Collaborative Communicative Courageous Extremely flexible Multifaceted Strong Passionate Principled Roles A principal is a(n): Assessor Decision maker Disciplinarian Educator Facilitator Goal setter Leader Organizer Resource person Role model Visionary Of the six practitioners in this subgroup, five reported at the close of the study that they were ready to assume positions as principals or assistant principals. This group included the new principal of a private elementary school, a teacher on special 152

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I l I I I l I I I I I I i i I j I assignment as a middle school assistant principal, and a middle school teacher who served as the acting principal from time to time. Analyzing responses over time indicated understandings about of the principalship did not change significantly for one participant as a result of her participating in the licensure program. Principal is school representative. At the beginning of the program, an elementary teacher wrote: "A principal is a person who represents the student body, the staff, and administration. A principal is a decision-maker, organizer, and facilitator." During the summer the teacher transferred from a parochial school to a public school. Yet when the new school year began, she continued to describe the principalship mainly as a representative role: "'A school principal represents the teachers. He or she acts in many roles to run a sound school where everyone is respected." Twice the students were asked to describe the most effective leadership style a principal could use. On the pre-survey administered in January, the novice teacher expressed her opinion that a principal needs to "listen to teachers, staff, parents. and students," and after listening to everyone's views and opinions, the principal can "make a judgment [that takes into consideration] every issue." In her response in November, the same participant wrote, "[A] principal needs to work collaboratively with the staff to make the teachers feel that they are appreciated and that their opinions matter." Although she used the word "collaboratively" in her response at the end of the study, the essence of her ideas about leadership style remained the same. The elementary teacher's motivation for pursuing licensure as a principal was tied to her valuation of a former supervisor. She explained that she had "worked under a horrible principal" and believed that she "could do a better job than he." Her 153

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I I I i I I perception about the principalship appeared to remain linked to her assessment of the actions by a former principal and her purpose for wanting to become a school leader Principal is community liaison. A similar example of consistent understanding about the principals hip was found by tracing over time the responses by another participant in the group of novice teachers. The linking word throughout all his responses is "community." On the pre-survey, the participant wrote that he believed "a principal must be involved in the community where the school is located." In his long response, he explained that community involvement meant "visiting homes on a regular basis" and "informing parents of global and local expectations." He connected community outreach to "higher academic standards that are beneficial to both the student and the community at large." His descriptions about the roles and responsibilities of a school principal provided at different times during the study continued to tie the principal to the larger community. On the questionnaire administered in March, he wrote, "The principal is a go-between for the administrative and teaching staff, as well as an educator, a disciplinarian, [and] a community advocate." The same prompt used on the questionnaire in August generated a similar response: "The principal has to lead; be an example to parents, students, and teachers; and has to know and understand the community." Although he expanded upon his understanding of the principalship during three interviews, he continued to assert that the principal is "a facilitator between school and the community." Like his peer, his understanding was framed upon his reasons for pursuing licensure as a principal. His purpose was "to become a change agent, to ensure success of educational programs, and to ensure [that] linkages with the 154

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I I I I I i I I I I i I I I ! community and business environment are circular and not one-way conduits." Further, in our final interview, I asked him directly if his understanding about the principalship had changed since beginning the licensure program. He responded, "Not really." Summary. The teachers with the fewest years of experience presented a wide range of understandings about the principalship. The descriptors they used for the role of a principal included "decision maker, goal setter, disciplinarian, organizer, role model." The terms connote the principal as a positional leader with a great deal of authority. As the next section shows, the teachers with a few more years of experience working in schools presented different perceptions about the principalship. Practitioner Experience: 6 to 1 0 Years The five participants who had been teaching between six to ten years were less diverse than the first subgroup. Their ages ranged from 32 to 42 years. Gender distribution was more evenly split: two men and three women were in this group. Four of the five participants had worked full-time in non-education positions sometime during their adulthood. All the teachers taught core curriculum courses. Three participants worked in middle schools and another in a high school. The fifth member of the group was a district coordinator. Three members of this subgroup expressed a desire to assume the position as a principal or assistant principal as soon as possible. Table 7.2 summarizes the responses provided by the participants to the prompts about the principalship. One respondent in this subgroup wrote that describing the roles and responsibilities "would take a long time with a long list." However, his responses about leadership style appeared to change overtime. On the pre-survey, he provided his forthright opinion about the leadership style that a principal should use, which included his underlined emphasis. 155

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I l i i I I I I I I i I I I I I ! i I I I I I i I believe (the leadership style] would have the characteristic of caring about people and education. I have seen too many administrators with their own agenda. instead of doing what is best for all the students I believe if someone truly cares about people, he or she will be led to do what is best for them. Interestingly, his response to the same question on the post-survey was somewhat different: "Any leader leading from his or her own values and passions will be successful." The influence of the introspective activities during the early weeks of the program appeared to have left a lasting imprint. Table 7.2 Perceptions of Teachers: 6 to 1 0 Years Experience Actions A principal must: Act as liaison between school and community Be final decision maker Facilitate staff in helping students as best they can Guide the staff, students, community to function together within school board's requirements Have mindset to be a principal Attributes A principal must be: Active listener Collaborative Flexible Knowledgeable about educational policy Open to new ideas Strong Roles A principal is a(n): Advocate Coach Communicator Director Educator Evaluator Facilitator Leader Mediator Organizer Problem solver Role model Supporter Visionary Another cohort member remained faithful to her belief that leadership is connected to "understanding [one's] passion" and "moral values." However, she expanded upon this theme further by explaining how a principal's actions depend upon why the individual chose to become a school leader. Word emphasis was supplied by respondent. 156

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It depends on whether or not the individual was supposed to be in that position-as opposed to moving into that possibility because it SEEMED like the next best position to take. Once that has been determined, it would be a matter of outlining what they hope to accomplish as a principal-a matter of vision. Another practitioner in this subgroup wrote that the most effective leadership style a principal can use is "collaborative decision making." "Teacher buy-in is a must'' and thus the principal needs to involve "all staff in decisions relating to the education of students." Additionally, focusing on the needs of all students was identified as a responsibility of a principal by four of the five practitioners in this group. Two participants within this subgroup provide remarkably parallel understandings about the principalship. One middle school teacher was nominated to the program by his principal who began mentoring the participant from the beginning of the cohort. The other middle school teacher had served as a dean of students prior to beginning the licensure program. Their real-world experiences, coupled with their strong self-awareness of leadership abilities and their desires to become school leaders, seemed to have instilled shared understandings about the principalship. During individual interviews, both informants initiated discussions based upon their perceptions that a principal must address issues about (a) meeting students' needs, {b) dealing with high-stakes accountability, and (c) providing ongoing teacher development. Shared focus on children. In response to questions about the most pressing demand on schools today and how principals should respond to the current challenge, both respondents expressed their beliefs that schools should serve the needs of children. One respondent explained that principals "need to be leaders not only of schools, but also communities." Further, the participant believed that principals should "look at the student-child as a whole and create not just an academic institution, but a place where the child-and in some cases the parent--can grow." The other 157

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I ., I i I I i I I I I I I i I i I I I I I i participant wrote a remarkably similar response: "Principals need to bring more parental involvement in a school." She explained further that "schools need to have more student-parent activities after hours." She believed that the activities should be positive and engaging because "parents that are not involved in their children's schools often were not successful themselves in school." During their interviews, both informants also shared their views about the purposes of schooling and their deep commitments toward children. The first participant asserted that the vision for a school should be "student achievement." He then contrasted the differences in problem solving and goal accomplishment between the business world, where he once worked as a mid-level manager, and the education world. In education we don't look to see how we're going to become better. We just say, "little Johnny's mom doesn't care, he's not doing good in school, and he'll never do good in school." We put up roadblocks. In the private sector, they knock the roadblocks down. His colleague detailed what she had learned that summer in a psychology class about risk and resilience. The classroom topics discussed in that graduate seminar awakened a new understanding for her about how student needs connect to their success in school and how schools must face the reality of student needs. Our problems in schools stem from students [whose] basic needs aren't being met. They've lost trust or learned to mistrust, or they don't have their basic survival needs such as food, shelter, and water met .... [Students] don't bring their homework to school because that's not their first priority, which may be getting food that morning or something else .... I think [the students] would be more successful knowing that they could come to school and not be humiliated in class .... I think that if [we] help students meet their needs, they would be more successful in the school setting. Shared focus on accountability. Both informants made reference to the highstakes accountability created through passage of the governor-initiated omnibus education bill during the first semester of the licensure program. The first teacher 158

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I i j I i I I viewed accountability as a "test on schools." He perceived that the challenge created by the increased number of tests to be "'a system problem" because "not everybody wants to reach the goal" of student achievement. The other teacher considered the state's testing program as the most pressing demand upon principals. She elaborated that "how their school is going to rate, what new action plan [will] meet the needs of the school, and how [the schooij will look with the [student test] scores" to be the major concerns. She also expressed a personal hope that the accountability system would be dismantled: "I am hoping that by the time I'm a principal, we've done away with it." Shared focus on staff development. Staff development linked to accountability was the third common theme of the two participants' understandings about the principalship. Both informants viewed staff development as capacity building. One perceived the role of the principal as a leader whose responsibility was "to orchestrate people and bring out the best in them." He stated further that "bringing out the best [in] different people [would] make the organization thrive." The other informant explained that as a principal she would "make sure that the teachers had whatever staff development and resources they needed." Similar response to collaboration. In response to the same prompt on the post-survey, the two students again wrote answers displaying common ideas that also reflected the theme of the cohort. The first participant explained that a principal needs to "be collaborative, get as many ideas and opinions as possible to guide the staff." The second participant wrote her response in first person, thus expressing her plans for collaboration when she becomes a school leader: I would use strategies of a collaborative and informational leader. I would like the staff to have a voice in how the school is run. They would form the committees needed to meet their needs, and I would help facilitate those meetings, if necessary. I would listen and together we would run a school. 159

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I I I I I i I i i I l I I ! Dissimilar response to learning experiences. Differences emerged in their responses to questions about how the licensure program had changed their understanding about the principalship. The respondent with six years teaching experience said his perception changed because "once you start to focus on something, you kind of understand it a little bit more." Prior to beginning the program, he explained that he had an outsider view, but by the midpoint of the study, he had developed an insider view. "You understand how some decisions are made and the different implications in arriving at certain solutions." The additional four years in the field of education, which included a semester as an acting dean of student. created a different response about the licensure program for the other teacher. Her confidence in understanding the principalship was clearly stated at the midpoint of the study. I think I am just putting the time in towards the license. First, I don't mean to be cocky, but I have a pretty good understanding of the position [because I was a dean]. Second, I'm always in the know about whafs going on in the school building .... I'm learning things [such as law and finance], but I already have an idea of what the role of the principal is, how things operate, and what a principal needs to look at. Summary. The students in the cohort who had been teachers for six to ten years appeared to have a balanced understanding between the leadership and management responsibilities of the principalship. Their descriptors for the principal's role in the school environment included "advocate, coach, communicator, mediator, supporter." Their words to describe a principal represented a perception toward shared leadership, which was not perceived by the group of novice teachers. However, as the next section will show, teachers in their second decade as educational practitioners place much greater emphasis on the instructional leadership role of a principal. 160

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I I I I I I I I i I I j I I I I I I I l I i I I i i I l I I Practitioner Experience: 11 to 20 Years The five practitioners in this subgroup shared similar attributes with their colleagues who had six to ten years of experience in education. The range of age was from 32 to 44 years. Four of the five participants were women. The group was composed of two middle school teachers, two high school teachers, and a district coordinator. All the experienced teachers had taught or were teaching core curriculum subjects. One of the middle school teachers was on special assignment as the site coordinator for teacher candidates, and one of the high school teachers was an acting assistant principal. Two teachers had taught outside the state. Table 7.3 indicates how the more experienced teachers viewed the principal as a colleague. Their years in the field appeared to influence strongly their perception that the principal is the instructional leader of the school. Table 7.3 Perceptions of Teachers: 11 to 20 Years Experience Actions A principal must: Allow autonomy for staff Believe all students can learn Facilitate learning to improve education for all Have high academic standards Make staff content Provide resources to reach desired outcomes Work with teachers, students, other schools, and the community Attributes A principal must be: Able to deal with set backs Good listener Empathetic Flexible Knowledgeable about curriculum Open to new ideas Problem solver Strong 161 Roles A principal is a(n}: Communicator Evaluator Facilitator Friend Implementor of new programs Instructional leader Motivator Visionary

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Fi11dings. One difference between the members of the previous subgroup and this subgroup was that only two practitioners with 11 to 20 years of experience had worked full-time in a non-education position. Another difference was gender related: Only one male was a member of this group of more experienced teachers. In comparison to the previous two groups. these teachers oriented the roles and respo11sibilities of the principal toward teaching and learning. One participant in this subgroup wrote: "The number one responsibility of a principal is the students. Every decision must be made keeping the students in mind." The most experienced practitioner stated during an interview. "I think principals make a huge difference in kids' lives." Uke their colleagues with six to ten years in education, the practitioners in this subgroup addressed the principal's responsibilities within the state's new high-stakes accountai>ility program. One participant shared her concerns about the "mix and match brain wires" a principal needs in order to interpret test score data correctly and know what types of interventions or actions to implement. Another practitioner presented a straightforward new truth for school leaders in the state: "[The principal] must raise about the fact that those principals and teachers [whose students] do not score proficient on [the state's tests] will be replaced." 011e participant described a principal's responsibilities systemically: "to facilitate a school improvement plan, to incorporate a school-wide safety plan, to promote staff development. to research curriculum that best matches the school population, and to promote a leadership style in which all teachers can grow." Expanding on her written words. the participant explained in an interview that principals "don't know everything and [sometimes need to] lock themselves in a room to concentrate." She asserted that a principan simply could not have the expertise needed to meet all the demands of the 162

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I I i I I j I I I I I I I I I I I l i I i I position. One of her peers in this subgroup shared a similar viewpoint. She wrote, "I believe it is the responsibility of the principal to provide direction and resources to those who will work to reach the desired outcomes." Almost all members of this subgroup used the words "'collaborative" to describe the most effective leadership style a principal can use. One teacher explained that an effective leader "'must first model the practices" to be implemented. Then, by sharing the leadership, a principal gets buy-in from the staff members who feel the goal is "'their vision and mission." Empowering teachers by giving them responsibility and autonomy was viewed by four participants as the only way a principal could accomplish all that needs to be done. Summary. Educational practitioners who have worked in the field from 11 to 20 years focused on the instructional leadership role of the principaL Additionally, they reported that their understandings about the principalship did not change as a result of participating in the licensure program. A review of their responses throughout the program supports their assessments. This subgroup used the words "communicator, friend, motivator" to describe the principal, which indicated they had worked closely with school principals over the years and perceived the principal as a supportive colleague. Additionally, three of the five practitioners in this group expressed a hope to be working as a school principal or assistant principal within two years of the close of the study. Practitioner Experience: Over 20 Years The two women in this last subgroup had completed 27 or more years in the field of education at the time they enrolled in the licensure program. One had served as the director of a small Catholic school and was anxious to assume the leadership of a schooL The other practitioner had worked as a teacher, college instructor, and coordinator for student teachers in another state. At the close of the study, she 163

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I i -I I I i I i i I I l i I I I i I I i remained uncertain about her future career plans. Both were in their late 40s, and neither had worked full-time in a non-education position. Table 7.4 presents a summary of their perceptions about the principalship. Table 7.4 Perceptions of Teachers: Over 20 Years Experience Actions A principal must: Communicate openly Create team approach Deal with community and School board Lead community with mission and philosophy Model high standards Supervise staff Think logically Attributes A principal must be : Able to empathize with others Attentive to varied dilemmas Good listener Roles A principal is a(n): Decision maker Facilitator Findings. Because this group consisted of only two participants, the summary of their responses provided in Table 7.4 is quite short. At first, I considered grouping the two participants with the practitioners who had completed 11 to 20 yours of experience. However, as the chart indicates, their responses were different from their peers in the previous subgroup. Therefore, maintaining this fourth subgroup appeared to be important. The most interesting contrast between the responses given by these two educators in this last subgroup and all other subgroups is the difference in their focus. The participant uncertain about her future professional goals used a variety of words to describe a principal's responsibilities: "immense, enormous, quite overwhelming, extensive, demanding, expansive She explained at the midpoint of the program that 164

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I I I I I I I I I I I I I I I I I I i i i I participating in the licensure program had raised her understanding of education to a national perspective. By the close of the progiam, she shared that she recognized now the similarities and differences between the systems of education in two states where she had lived. During our recorded conversations, she began to formulate possible career directions that would allow her to assist principals. However, by the end of the program she was convinced that becoming a school principal was not a career choice for her. The other cohort member, while enthusiastic about becoming a principal, indicated a realistic understanding about the demands she would face. What is interesting about her response to the prompt about the roles and responsibilities of a school principal is her use of a first-person pronoun. I believe that the roles and responsibilities of a school principal are to lead the community with [one's] mission and philosophy. I believe that they will need my strengths as a facilitator. I know that I have many jobs to delegate and that the parents, staff and the state all want to have schools run successfully. It will be a very demanding role. She expressed a hope that the school where she will one day serve as the principal will believe in collaboration: "I want to see the model of the school set up in a cooperative spirit." Further, her colleague with 28 years experience shared her belief that collaboration is an important strategy to relieve the "overburdened responsibility of a principal." The two most experienced practitioners in the cohort shared very different viewpoints about the principalship, which were based upon differing motivations for enrolling in the licensure cohort. Yet they both shared a belief that collaboration was a style of leadership that would be effective for a principal to use. Summary. An interesting paradox emerged concerning the only two words this subgroup used to describe the principal's role: decision maker and facilitator. First, 165

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I l I I I I I I I I I i i I I I I I i I I I I I I j i neither participant used the word "collaborator" although they both strongly believed in collaboration. Second, the women used descriptive phrases rather than words to describe the principalship which is different from responses in the other three subgroups. Their peers in the other groups used a variety of one-word descriptions. Third, the only descriptors used by the most experienced teachers also appeared on the list generated by the novice teachers. These two subgroups were the only ones to identify "decision maker" as a principal's role. The most experienced practitioners shared few similar perceptions about the principalship with their peers in the subgroups composed of educators with 6 to 20 years of experience. Yet, their responses indicated common understandings held by novice teachers. Perhaps because the women entered teaching almost 30 years ago, their viewpoint was framed by the autocratic leadership displayed by principals in the era prior to shared decision making and site-based management. Without data, however, that explanation can be only speculative. Analysis of Participants' Role Conceptions The participants in the subgroups used a variety of descriptors for roles assumed by a principal. A comparison of their role descriptors indicated that perceptions about the principalship changed according to experience as an educational practitioner. Table 7.5 summarizes the last column in the four tables (Tables 7.1 through 7.4) presented earlier. Placing the role descriptors together in one table allowed interesting patterns of understandings and beliefs about the principalship to emerge quickly. Comparisons of role descriptions, actions taken by school principals, and attributes ascribed to the principalship are explained in the follow sections. 166

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Table 7.5 The Principalship: Comparison of Role Conceptions Role Descriptors Used by Teachers in Four Subgroups Based upon Years of Experience 5 or less Years A principal is a(n): Assessor Decision maker Disciplinarian Educator Facilitator Goal setter Leader Organizer Resource person Role model Visionary 6 to 10 Years A principal is a(n): Advocate Coach Communicator Director Educator Evaluator Facilitator Leader Mediator Organizer Problem solver Role model Supporter Visionary Common Perceptions: All Subgroups 11 to 20 Years A principal is a(n): Communicator Evaluator Facilitator Friend Implementor of new programs Instructional leader Motivator Visionary Over 20 Years A principal is a(n): Decision maker Facilitator The only role descriptor used by cohort members in all subgroups was "facilitator." However, further analysis of the attributes and actions added other common perceptions that link to facilitation. Three groups made references to a principal being a "listener" as an attribute. The adjectives attached to the word listener were "active" for the second subgroup and "good" for the last two subgroups. Within the group of least experienced teachers, the reference to a principal as a listener was included in the action category: A three-year teacher wrote that a principal should "listen, hear, and then act" 167

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I I I i l I I l i I I I i i i I l j Additionally, "communicator" was a role descriptor used by the practitioners within the middle two subgroups (6 to 10 years and 11 to 20 years of experience). A teacher with five or less years used the word "communicative" was an attribute desired for a principal, while a teacher with over 20 years experience wrote "communicate openly" as a responsible action by a principal. Another common reference in each subgroup was the use of the word "community" in describing actions of a principal. In addition to one lengthy explanation about a principal's responsibility to connect to the broader community, another member of the first subgroup explained that a principal needed to "be involved in the community." Two participants within the second subgroup provided their understandings about the importance of a principal maintaining ties with the community. Teachers with 6 to 10 years experience wrote that a principal should (a) "act as a liaison between the school and community" and (b) "guide the staff, students. and community to function together within the school board's requirements." Further, a practitioner who had worked in the field of education between 11 and 20 years perceived that a principal should "work with students, teachers. the community, and other schools." Both experienced teachers viewed working with the "community" as an important action by a principal. The perception that a principal needs to be "collaborative" was an attribute identified by several cohort members in all subgroups A 28-year veteran further viewed collaboration as a way to diminish the scattered responsibilities of a principal. On the first questionnaire administered in March, she wrote, "The idea of collaborating, although it may be time-consuming, may be helpful to the overburdened responsibilities of a principal." 168

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Common Perceptions: Three Subgroups Educational practitioners who had completed 20 or fewer years of experience shared several common perceptions about the principalship One interesting difference was how often perceptions held by the most experienced practitioners differed from the understandings of participants in the other subgroups. Principal is visionary. In the first three subgroups participants specifically used the word "visionary" as a role descriptor for the principal. A teacher in the fourth subgroup made an indirect reference to vision in her action statement: "lead community with mission and philosophy." However, the word visionary was not used by either of the most experienced educational practitioners. Principal is leader and educator. The principal's role as a "leader" was identified by responses found within the first three subgroups. However, teachers with 11 to 20 years used the phrase "instructional leader" as a role descriptor. Closer analysis of their combined responses indicated a strong emphasis upon the teaching and learning aspects of school leadership. One teacher wrote that a principal needed to "have high academic standards and believe all students can learn." The use of "educator" as a principal role descriptor by the first two subgroups could be taken as a link to instructional leadership. However, the two descriptors, "leader" and "educator," were not connected in any responses provided by participants within the first two subgroups. Somewhat surprisingly, the most experienced practitioners did not use the words leader or educator in any of their comments about the principalship. Principal is flexible Another shared attribute among members of the first three subgroups was the ability of a principal to be "flexible." A new teacher emphasized the importance of this attribute by writing "extremely flexible." The need for flexibility was not mentioned by the most experienced teachers. 169

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Principal is strong. The first three subgroups shared an understanding that a principal must be "strong, .. and most respondents simply used the word "strong" in describing an attribute of a principaL A practitioner with 20 years of experience elaborated upon her beliefs about principal strength. In a written response to a prompt on the first survey, she wrote: "Principals should have great abilities to lead people to find their own strengths and skills. I believe every institution needs a leader, but that leader should have the skills to expand the leadership across the school environment." Common Perceptions: Two Subgroups Participants who had worked in the field of education between 6 to 1 0 years and 11 to 20 years used the word "evaluator" as another role a principal assumes as a school leader. While the subgroup of new teachers may have meant the same thing, a participant used the word assessor. The use of "assessor" was puzzling because the term is defined as a person who makes assessments, especially for tax purposes, or who serves as an advisor or assistant to a judge (Random House Webster's College Dictionary, 1999). Neither of the most experienced practitioners mentioned evaluation as a responsibility of a principal. A surprising finding is that only the least experienced and most experienced practitioners described a role as "decision maker." The descriptor seemed appropriate for use by the new teachers who perceived the principalship as a position of authority. Interestingly, the responses provided by both practitioners with over 20 years of experience also seemed linked to positional authority, which is a more traditional view of the principalship. Responses given by participants placed in the middle two subgroups are significantly different with respect to power and authority residing outside the principalship. 170

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i i i l i i i i i I I I I I Differences among Subgroups Analysis of some role descriptors used by study participants in the first three subgroups presented interesting patterns. The perceptions changed most noticeably for two chains. Rrst. with regard to control issues, the least experienced teachers used the descriptor "disciplinarian." With a few more years of experience, the control role for a principal changed to that of a "mediator." Finally, teachers with 11 to 20 years perceived the principal as a "motivator." One teacher in this subgroup explained further that a principal must "allow autonomy for the staff." Findings suggest that the greater the number of years in education, the greater the desire for independence and autonomy as a teacher. The second chain of comparison centers upon the responsibility of a principal for providing guidance. The least experienced teachers perceived the principal as a "goal setter," while teachers with a little more experience described the principal's role as a "coach." The greatest difference about guidance was made evident by the perceptions provided by teachers with 11 to 20 years of experience. This group considered a principal's role relationship as a "friend." Further, a member of this subgroup explained that the principal "must try hard to make the staff a content one" because "a teacher is more productive if he or she is happy." Influences on Readiness to Assume Principalship During the design phase of this case study, I did not consider the possibility that demographic characteristics would influence the findings. My observation of another principal licensure cohort suggested to me that most educational practitioners who enrolled in such a program were somewhat close in age and years of teaching experience. The cohort that I selected as my sample, however, had a significant 171

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differential on two demographic factors The age span between the youngest (age 25) and oldest (age 61) members of the cohort was 36 years Further, the difference in years of experience in the field of education was 25 years (from 3 to 28 years). Some students were completing only their third year of teaching at the close of the study, while others had 27 or more years of experience. As I analyzed the data, both of these issues emerged in remarks made by various members of the cohort. Age as Stumbling Block Among the youngest members of the cohort, age was an expressed concern about opportunities for being hired or accepted as a school principal. The youngest male participant shared his assessment in a response written on a questionnaire administered in March. He was responding to a prompt that asked him to describe what he thought about himself as a leader. People have told me I would make a good leader because of my ability to work with a lot of people. I consider myself an emerging leader. My age (25) and my inexperience leave me with a lot to learn, although I am eager to learn. A male peer and close friend in the cohort expressed a very similar viewpoint during an interview in April This participant believed that his youth and inexperience would negatively affect his career advancement in the near future. I'm getting into principal leadership early. I'm 31 years old and I've taught for only three years. So it's early as far as getting into the principalship. But I think if you re motivated and passionate and doing what you want to do, then why not start as early as possible. When I complete the program, I will have taught four years which probably will make it more difficult for me to get a job over someone who has more teaching experience. The youngest member of the cohort also believed that age and inexperience would hamper promotion to a position as a principal. While the participant expressed confidence in being able to work effectively she believed that her youth, inexperience and gender would create almost insurmountable roadblocks. 172

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Gender as Stumbling Block On the first survey administered in January, the novice female teacher wrote. "My inexperience (few years of teaching) is a hindrance to my professionalism." On the questionnaire administered in March, she described what she learned from a past experience as a participant in school leadership: As part of a middle school team, I am the only female teacher. I am younger and willing to serve as a voice for the children of our school. I am repeatedly struggling with other teachers [for them] to hear or see the students' point of view. I have learned to stand my ground. During the program, however, she seemed to have lost some of her earlier bravado. First, she purposefully sought a new teaching assignment at a different school during the summer. Second, when reflecting in October about her response to the first online leadership activity, she wrote: "I struggled with this assignment because I truly had not seen myself as a leader. I was apprehensive to put those words online for all to read." Her reticence to share her thoughts with her peers was also evident during cohort sessions. On the closing survey, she described the professional hardships she had experienced while participating in the licensure program: ul struggle with balancing my life as a teacher and a future principal. I find myself being pulled in two directions: I want to succeed as a teacher and a soon-to-be principal." She also shared her dilemma with some of her cohort peers during the focus group interview. I think as a principal, you have to pay your dues as a teacher in order to get respect ... I'm young and I'm a female. I mean there's all these different elements. I'm not married. and I don't have a family. [Therefore], I need to go through all of that to earn the respect I think teachers will give you because you've "been there," because you've been "in the trenches." The irony of this young woman's perception about being married and having children was evident in the voices of two female informants and the real-world experience of another female peer in the cohort. 173

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I I I I I I I I I I I i I j I I l i i I I I i Parenthood as Stumbling Block Two informants enrolled in the licensure program because they set specific career goals to become school leaders. Both were confident in their leadership abilities and well aware of the roles and responsibilities of today's principalship. Both engaged in a variety of outside activities during the cohort to enhance their professional growth. During interviews throughout the study, both women shared their understandings about the myriad challenges found in schools today. They both provided lengthy descriptions about how they envisioned addressing those challenges as future school leaders. When asked in October if they were ready to assume leadership of a school immediately, both responded positively, but with conditions. As mothers of young children who were not yet school-aged, both women realized that the demands of the principalship would create hardships on their families. One mother explained the tug-of-war she was experiencing between her professional goals and her personal realities. She was ready to assume a principalship; however, she was committed to waiting until her youngest child entered school before taking a position. The other mother of young children was on an extended maternity leave from her middle school teaching assignment The recent birth of two children had curtailed her career advancement for approximately two years. When asked if she was ready to assume a principalship, she wrote: "I would want to start as an assistant principal at the elementary level. [My decision to accept a position would depend] upon the responsibilities. I would prefer a part-time or half-time position During the fall semester, two other cohort members became new parents. Ironically, both participants had daughters born only 12 hours apart who were each named Sophia. Both cohort members were also acting school administrators, one as a school principal and the other as a high school assistant principal. The cohort member 174

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who became a new father missed only a few days of work following the birth of his daughter. However, the cohort member who became a new mother missed over three months of work due to maternity leave. The reality of motherhood as a hindrance to assuming school leadership positions was encapsulated in the lives of at least three women in the cohort. Thus, the comment by the youngest, unmarried female participant during the focus group interview showed her naivete. Redefining Principalship: Catalyst for Change While other members of the cohort expressed appreciation for the idea of changing the principalship through collaborative leadership, the two mothers of young children were especially interested in the prospect. During interviews and casual conversations, both informants consistently expressed their beliefs that collective school governance would increase the pool of potential principals. One informant provided this explanation during our recorded conversation in July: "I think [the principalship] should be specialized with key people around this person who specialize in certain areas. I think we would see dramatic changes in many areas." Her peer in the cohort shared a similar sentiment during our second interview. She relayed how changes in the principalship were becoming noticeable in her district. My district is open ... and working towards a collaborative model of leadership. Old principals who have the "ifs my way, this is how we're doing it" ideas are retiring. Things are changing toward a more collaborative type of model of shared decision making. Later in the same interview, she explained her vision and reasons for wanting a new principalship model. 175

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i I I I i I I I I I I I I I I I I I I I ! I I i I I l I I i : I i I've got this idealistic school in my mind. and I'm ready to go with it. I could even pick the person that I know I can work well with as a collaborative leader. And I can see us doing really great things together. But I think it takes [a certain] person to do it. I think it's going to be hard to find such a person. [There's] another question: How are we going to change to a more collaborative way? The reason I say that is I have a young family at home. I don't want to be spending every night at school, so I have a reason for wanting this. During our final recorded conversation, we again discussed her vision of the principalship. She stated simply, "I want a principalship with a group of people that feel comfortable sharing a lot of responsibilities." These two practitioners perceived that the responsibilities of the principalship were too vast and varied for one person to handle effectively. Both informants also expressed disappointment that the original focus of the cohort did not remain a constant theme throughout their professional development as future school leaders. They had hoped the program would fuel needed reform in redefining the principalship. Reflections about Practitioners' Role Conceptions Two important factors may have contributed to a lack of consensus about what a principalship entails. First. students did not engage in class activities together that included interaction with acting school principals or assistant principals. They did not have opportunities as a group to ask questions or discuss issues with current school leaders. Most classroom topics were addressed theoretically with only hypothetical links to the real world. Additionally, analyzing scenarios and debating possible courses of action did not begin until the third domain. The topics covered in those scenarios, however, linked only to instructional leadership issues. Second, students did not engage in concurrent field-based learning experiences during the licensure program. Therefore, as a group, they did not apply their growing knowledge base or develop specific skills while performing tasks 176

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alongside practicing principals. The absence of ongoing socialization with a variety of school leaders working in all three levels of K-12 schools minimized opportunities for students to observe principals working in different settings. On the fourth open-ended questionnaire administered in October, the participants were asked what else they needed to feel competent, confident, and comfortable to lead a school. The most common response (62%) was "experience." One informant commented during an interview in July about linking application to leaming: "A fellow cohort member is doing his internship as he goes through the program, which I think is the best way." The students who assumed positions as acting administrators, engaged in their intensive internships during the fall semester, or were mentored by their principals were the most confident and goal-oriented students in the cohort. The findings that further support the need for more clinical-experience opportunities are presented in Chapter 8, Socialization: Participants' Transformations. 177

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I -I I ' I I I I i I j \ i I I I I i I I I I I i I I I l i I I \ CHAPTERS SOCIALIZATION: PARTICIPANTS' TRANSFORMATIONS The adoption of new professional behaviors that align with behaviors modeled by school principals and district administrators was proposed as another evidentiary source of professional growth. The litmus test of professional expertise is knowledge used in practice through demonstrated behaviors that match those of qualified practitioners in the field (Lave & Wenger, 1991). At the close of this study, none of the participants had assumed positions as regular school administrators. The cohort member who was named as a private school principal worked on pre-opening tasks for a school under construction. Selecrtion of the faculty and staff was planned for late spring in 2001 and the school was not scheduled to open formally until the following fall. While he worked closely with several educational administrators, he had not yet experienced the full range of responsibilities arud challenges of the principalship. The two students who were promoted to positions as assistant principals during the study remained classified as teachers. They engaged in on-the-job trainimg for their positions but worked under the supervision of licensed practitioners. Until the-y successfully completed the licensure program and passed the state licensing examination, their authority as school administrators was limited. The fourth participant who served in an administrative leadership position had assumed responsibilities as the site coordinator for teacher interns in her school. Along with her school principal and site professor from the partnering university, she: coordinated the field experiences for students enrolled in the initial teacher ecliucation 178

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program. This quasi-administrative post was a two-year commitment for a teacher on special assignment. While the opportunity greatly enhanced her professional development as a school administrator, she remained classified as a teacher. Like her peers in the cohort who were designated as acting principals from time to time, authority to act independent from the school principal was limited. The remainder of the study participants continued working as classroom teachers or district coordinators. Opportunities to engage in administrative duties or to observe the practice of administration differed according to the support provided by their direct supervisors. The two cohort members who were not working in school settings had even fewer opportunities to implement their learning into professional practice. Professional Behaviors: Measurement Challenges The replacement of the 45-hour field experience in each of the content domains eliminated a potentially rich data source for examining changes in professional behaviors. Usually, students in the program prepare a log for each field experience within a content domain and identify performance benchmarks to be developed. These logs provide detailed information about the clinical experiences including location, number of hours, and task engagements. The field-experience logs also include reflections in which students write about what they learned while working with school administrators. Since the students did not engage in the traditional field experiences, logs were not available for analysis. Data Collection Strategies Measuring changes in professional behaviors relied solely upon the participants' reporting changes through instruments I created and through observable changes during cohort sessions. One strategy for collecting information about changes in professional 179

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l i j I I I I I I I I I I behaviors was through open-ended questions on the instruments developed for this case study. A total of seven questions related to changes in professional behaviors were posed in four of the six instruments (see Appendices C, F, H, and I) and during the focus-group interview (see Appendix J). Participant responses to open-ended questions were triangulated with statistical measures computed using responses to a self-assessment inventory. On the pre-survey (see Appendix B) distributed to the cohort at the orientation meeting, baseline information about the participants' professional work was collected. In addition to questions about demographic factors, participants were asked to share information about (a) family and financial support as a graduate student, (b) level of computer expertise, (c) level of post-secondary education, and (d) involvement in athletic, extracurricular and community activities. An inventory of 36 professional behaviors was also included on the first survey. A similar survey was given to the participants at the close of the study. The identical inventory was included on the post-survey thereby making comparative analysis possible (see Appendix 1). Almost all inventory statements aligned to selected performance benchmarks, although the inventory item language did not match the benchmark language. Because most participants were classroom teachers at the beginning of the study, the inventory items related only to activities in which teachers might engage. Those unique to a principal's practice were not included among the inventory statements. Data Analvsis Strategies Participants were asked to self-assess their professional behaviors as educators by rating how often they engaged in each activity described. To measure change in professional behaviors, responses on the pre-survey became control scores and responses on the post-survey became treatment scores. The magnitude of change ratio 180

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(effect size) for each inventory item was calculated. In addition, frequency statistics (median, mode, range, minimum value, and maximum value) for each item were computed. When necessary, frequency statistics were used to interpret the meaning of the effect size statistic. When completing the inventory, respondents selected an answer from five possible choices: (a) never, (b) rarely, (c) sometimes, (d) often, and (e) not applicable or possible. In order to conduct quantitative analysis, the responses were converted to numbers from 1 to 4. A "never" answer was equivalent to 1, and "often" was equivalent to 4. Therefore, the greater the engagement in the activity, the higher the number. The participants not working in school settings were the only respondents who selected "not applicable or possible" as their answer to some items on the inventory. The "not applicable or possible" responses were excluded from the computation of statistical measures. A detailed description of the analysis methodology was presented in Chapter 4, Mixed-Methods Case Study {Closed-Ended Questions). Effect size is reported as small (0.1 0 < d < 0.29), medium (0.30 < d < 0.69), or large 0.70) according to descriptors developed by Cohen (1967, 1977, 1988, as cited in Mahadevan, 2000). That is. the greater the effect size value, the more significant the change. Cohen's labels are used throughout the remainder of this chapter to describe magnitude of change. Professional Behaviors: Analysis and Interpretation Measuring evidence of practitioner growth through self-reported changes in professional behaviors proved to be a somewhat challenging undertaking. My perception while drafting my study proposal was that behavior meant an observable activity or the way in which an individual acts. However, responses to open-ended questions indicated 181

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that participants perceived behavior to mean a new way of thinking, a greater awareness of the environment in which they worked. Many comments included in this section were not descriptions of changed activities: instead, the statements described differing ways of viewing or understanding things. The words provided by the participants reflected their interpretations of how their behaviors changed over time. Thus, the findings reflect both an objectivist perception measured by statistical comparisons of inventory responses and an interpretivist perception provided by participants as they constructed their own interpretations (Hall & Hard, 2001) Because the participants brought to the program a broad range of prior experiences and professional expertise, many reported changes in behaviors for the entire cohort were negligible. This finding was not totally unexpected. Additionally, at the midpoint of data collection, which was the beginning of a new school year, nine participants changed work assignments. Assuming new work responsibilities appeared to influence negatively the adoption of some professional behaviors. Further, several students reported that limited time was the reason they did not engage in outside learning activities. Some study participants were taking additional graduate courses in order to complete the required nine additional credits toward earning a master or educational specialist's degree. Several students reported financial hardships due to the costs of tuition, books, and technology-related purchases. Despite these circumstances, growth as evidenced by changes in professional behaviors was significant in some areas. Since the six standard statements were used as a framework to develop the items, they served as organizers for the presentation of findings. Each subsection begins with a table that links the standard statement to specific inventory items on the surveys. The estimated effect sizes for each self-assessment statement are also displayed in the 182

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' I I I I I I I i I i I I I I I I l I l I i I I ' ' ; table. The items are grouped together according to selected performance benchmarks within each professional standard. A discussion about the changes in professional behaviors follows each table. Participants' written responses, interview comments, and researcher observations further support the findings. In cases where the effect size was surprising or confusing, frequency statistics are also presented and discussed. Ensuring Quality Learning Experiences The first professional standard for school principals emphasizes the importance of aligning the school's curriculum, student assessments, teacher performance appraisals, and change processes to the academic standards-based education approved by the state's board of education. A total of nine inventory items, which are displayed in Table 8.1, relate to several performance benchmarks under this standard. Almost all the changes in items related to Standard 1 were small to medium. The two lowest effect sizes appeared puzzling at first, but become plausible upon further analysis. Statistical measures for the statement, I mentor (or have recently mentored} a new teacher, was an instance of a negative influence created when practitioners changed work location. Among the nine who changed jobs, five transferred to different schools in different districts. The answers selected by two of the respondents changed from "often" to "sometimes," thereby lowering the mean for the treatment group responses. Transfers to new schools made the respondents new teachers themselves. Also, frequency statistics show greater engagement in mentoring in January than in November. On the i pre-survey, the mean was 3.06, median and mode were both 4, and the range was from i 1 to 4. On the post-survey, the mean was 3 and the median was 3, while the mode and j range remained unchanged. i l I I 183 I I

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i i i I i I I i I I i I I I I I I I I l I i ! Table 8.1 Effect Sizes : Standard 1 Self-Assessment Items Standard 1. The principal models and sets high standards to ensure quality learning experiences that lead to success for all students. I participate in activities that relate to school accountability issues. I participate in curriculum development activities. I function as an effective change agent in school improvement. I participate in school-wide action research. I supervise (or have recently supervised) a preservice teacher. I mentor (or have recently mentored) a new teacher. I share with colleagues new knowledge learned from electronic sources. I explore the Internet for new ideas to improve my practice. I participate in education-related Web chat room discussions. Effect Sized 0.33 0.11 0.38 0.28 0.42 -0.05 0.57 0.47 0.28 Based upon the frequency statistics for the statement, I participate in curriculum development activities, most respondents selected "often" as their responses on both surveys. The mean equaled 3.5, the median and mode were both 4, and the range was from 1 to 4 on both surveys. The study participants appeared to have been actively engaged in curriculum development projects prior to beginning the licensure program. The fact that the frequency statistics were identical on the post-survey item indicated that the participants remained actively engaged in curriculum development throughout the case study. Participation in the licensure program appeared to have initiated greater involvement by the cohort members in the learning experiences at their schools. Some 184

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i I I i I I I I I i i i I I I I I I participants reported specific examples about how they conducted studies to evaluate new curriculum. One wrote, "I initiated an independent study of teachers' perceptions about the new P-2 curriculum." Another explained how she engaged in action research to evaluate a new program: "I created an action research project where I field-tested the positive effects of implementing a reading skills curriculum into our students' reading and writing activities." Their involvement with curriculum development and teacher mentoring was reported in other ways. One cohort member shared that during the program, he volunteered to "serve as a member of a committee that is rewriting the district's curriculum for technology integration." The site coordinator explained her responsibilities: "I conference with, coach and evaluate intern teachers. I am on the school's literacy team (creating and implementing curriculum), and I mentor two new teachers in the building." For other participants, professional growth emerged through greater awareness of strategies that ensure quality learning experiences. One participant stated simply, "I am more aware of 'best practices' in the classroom." Another described increased knowledge and confidence as evidence of his changed professional behaviors: "I have become more knowledgeable in many areas and feel more confident and able to discuss and explore decisions backed by research." Another participant disclosed his expanded understanding of the challenges that principals sometimes face: "I am much more aware of professional and pedagogical practices in the classroom ... and I am much more sympathetic to decisions made by building leaders." The effect of using the university's telecommunication system as an instructional tool in the principal licensure program was evident by the magnitude of change in two items. Effect sizes for both statements, I share with colleagues new knowledge learned 185

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from electronic sources, and I explore the Internet for new ideas to improve my practice, indicated a somewhat medium change. During many of the cohort sessions. students were observed sharing information taken from the Internet and providing Web addresses for educational and professional leadership sites. Because behavior was observed among colleagues within the cohort, the possibility exists that similar behavior occurred in school settings. However, learning to use the university's telecommunication system was not easy for some cohort members, and becoming proficient users was a major accomplishment for them. Two study participants reported experiencing major difficulties during the early months of their licensure program. Even near the close of the study, one informant recalled the problems she encountered and provided a lengthy description in response to a survey question. Nonetheless, both students overcame their challenges and integrated the use of computer technology and telecommunications in their professional practices. One participant wrote near the close of the study, "I am more likely to use the computer (email and online activities). My level of proficiency with computers has increased." The other described how she adapted one of the online leadership activities to use as a staff development activity. I asked my staff to begin reading Finding Your Voice [a required book for the licensure cohort]. This book was 1 00 times better than sending them to a supervision crash course through Career Track. I also set up a discussion thread on the district email system so that we could dialogue about our feelings. I thought this activity would stimulate teacher sharing. The online activity described above was a replication of the first online activity assigned in the leadership domain of the licensure program. During an interview that spring, the informant elaborated further about the expertise she had developed in using 186

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j I i I f I I I I I I the telecommunication system. She transferred that learning into her professional practice. Learning within School Community The second professional standard for principals encompasses knowledge bases about the theory of leadership, group processes such as conflict resolution strategies and decision making, vision-building strategies, and the political environment of the school and district. Performance benchmarks relate to building strong school cultures through involvement and empowerment of stakeholders and through vision building and renewal. Table 8.2 lists the five items on the self-assessment inventory that relate to the themes in this standard. Table 8.2 Effect Sizes: Standard 2 Self-Assessment Items Standard 2. The principal leads and supports a school community that is committed to and focused on learning. Effect Sized I work as a member of a learning community. 0.51 I involve parents when creating new projects or programs for the school. 0.44 I involve other faculty members when creating new projects or programs for 0.17 the school. I involve students when creating new projects or programs for the school. 0.00 I seek support for school activities from community and business sources. 0.34 The largest change among these five inventory items occurred for the statement, I work as a member of a learning community. One interpretation for the medium effect size could be that the participants learned a definition for learning community during the 187

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I I i I I i I I I I I I I I I i I I I I I I course of the program. However, review of field notes and syllabi did not indicate that the topic was covered in the curriculum. Many participants reported doing extensive outside reading and thus the concept of a learning community could have been discovered through the additional readings. Another possible reason for the significant change could be that five practitioners relocated to new schools in different districts. Based upon the positive comments the teachers shared about their new working conditions, the transfers achieved a desired change in work conditions. The cultures in the new schools may have represented the attributes of a learning community. Whatever the reason for the change, written responses on questionnaires indicated that the participants were more engaged in their school's community. One participant described how the leadership development activities improved his professional practice: "Finding and developing my leadership qualities has helped me as a teacher and as a co-worker. I am more involved in my schooL" Another explained that she perceived changes in her relationships with peers: "I have noticed [that] others' responses to me are generally more positive. My relationships are more fun because I am not so intense." A third participant wrote assertively about her growing confidence as a leader and how that affected a peer. I am a stronger, more active, and more aware leader in my cluster [group] and in my grade level and department ... I just had a cluster member walk down the hall with me yesterday and say he really appreciates my support and leadership these past few months. He said he had felt isolated and alone before I joined his team. I think the program has made me more aware of my leadership strength. Other participants shared instances during cohort meetings of their transferring learning to their work settings. They described how they used observational skills to understand situations in which they were engaged and then transferred the learning to their practices. One participant wrote, "I am observing our cohort meetings to watch how 188

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dialogue is handled. I use the conflict dispute methods that were taught to us." Another described how he was adopting skills as a reflective practitioner. I pay close attention at meetings, not only about the matter at hand, but also [about] group dynamics." Written comments from the participants did not provide information to explain the effect size estimates for the statements about seeking support from the community or businesses. The same was true for involving parents, students, and other teachers in the creation of new projects or programs for the school. Behaving Ethically and Responsively Standard 3 encompasses understanding of one's personal convictions and implications of one's actions, ethical leadership responsibilities, and sensitivity to culturally diverse school communities. The performance benchmarks require examining one's personal beliefs, matching behavior to educational values and convictions, and exercising judgment and responsibility for one's actions. One performance benchmark stipulates that principals need to examine their personal beliefs and articulate their educational values. I purposefully did not ask a question connected to this performance benchmark because the students were required to develop their individual leadership plans to include in their program portfolio The effect that drafting a leadership plan had on their professional growth was discussed in the earlier chapter about leadership. Table 8.31ists the items and effect sizes for the statements falling under this standard. Effect sizes for three of the four items indicate moderate change. Greater awareness of systemic or environmental issues emerged in some responses provided by the study participants. One respondent wrote simply, "I am more involved in school meetings, and I act on what I feel is right." Additionally, growing sensitivity to the 189

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challenges a principal sometimes faces was evidenced in responses provided by the students. Table8.3 Effect Sizes: Standard 3 Self-Assessment Items Standard 3. The principal behaves ethically and creates an environment that encourages and develops responsibility, ethics. and citizenship in self and others. I display enthusiasm and interest in my work. I try new ideas and/or strategies in my practice. I challenge rules and/or policies when I believe an educational or professional issue is at stake. I attempt to influence educational decisions in the district. Effect Sized 0.38 0.28 0.14 0.31 One participant shared her understanding of how administrators and teachers often respond differently to circumstances: "I understand the decisions administrators make and the reasons why teachers occasionally feel so isolated or even when an 'us vs. them (administration)' mentality sometimes emerges." Another explained how he was more aware of the difficulties a principal faces when trying to make change. That awareness led to greater support for the principal. I now realize what our principal is up against. I know she does not get support for every idea she has. It has been interesting to watch her work around these problems. I have also been more supportive as I try to realize why she made the decision she did. Another respondent wrote about how defining his passion statement during the leadership domain made him aware of his convictions and gave him strength to stand firm. 190

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I I I I i I I I I I I I I i I I i I When other teachers try to "sabotage" [a school activity I sponsor], I do not let them swa")d me from what I know is right I work through the problems and realize that this is ; good for children. This is my passion. One partic::;ipant consistently responded throughout the study that her professional beha\.1/iors had not changed. However, in the following statement she admitted to a greatler awareness of her values. She also shared here that she was reflecting upon actions taken by her principal and was considering alternatives. While she may not have perceived that her own behaviors had changed, she used observation and speculation as tools for learning about professional behaviors. I don't thinak I'm doing anything differently, but I may be more aware of my values and how I respond to something. I put myself in the principal's position and think how I woulld do it, or I play "what if." The neglig:Jible effect size for the statement, I challenge rules and/or policies when I believe an .educational or professional issue is at stake, however, provided a perplexing finding. Frequency statistics on the preand post-surveys were identical: The mean, media, and mode were 3, and the range was from 1 to 4. Therefore, analysis indicated no signifi=icant change in behavior on this item. The participants identified their core values and educational passions during the leadership domain and several wrote about assuming greater leadership responsibilities during the study. \.iNhen the post-survey was administered, the students had completed three-fourths of the content domains. Yet, data did not reflect growth in demonstrating professional convicctions. In the current era of educational challenge, the practitioners that assume positieons as school leaders need this skill. Linking Diversity amd Equity The fourth standard statement emphasizes the importance of supporting diverse stakeholders in the school community and providing equitable treatment and consideration. DiV:9ersity items were not included on the inventory because almost all 191

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ll study participants worked in urban districts with diverse school communities. I mistakenly assumed that school districts in the metropolitan area provided extensive training about diversity issues. As shown in Table 8.4. the three items on the inventory only addressed methods of communication and community outreach. Table 8.4 Effect Sizes: Standard 4 Self-Assessment Items Standard 4. The principal recognizes, appreciates, and supports ethnic, cultural, gender, economic and human diversity throughout the school community, while striving to provide fair and equitable treatment and consideration for all. Effect Sized I contact media to report school activities and successes. 0.13 I prepare or assist with production of the school newsletter. 0.00 I assume professional leadership positions outside the school, such as PTA, 0.00 community organizations. The effect sizes for the three items within this standard indicated little to no change in professional behaviors. Communication and community outreach were not covered in the licensure program until the school improvement domain, which was completed after the close of the case study. Low effect sizes on these three items seemed somewhat reasonable from a curriculum perspective. However, the frequency statistics provided some surprising findings. The inventory statement, I contact media to report school activities and success, produced low frequency measures on both data collection instruments. On the pre-survey, the mean was 1 71, the median and mode were both 1 and the range was from 1 to 3. The only changes on the post-survey were an increase in the mean to 1.82 and an expanded range from 1 to 4. Clearly, the most typical response was "never." This finding 192

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seemed somewhat surprising because most participants were involved in school activities (clubs, competitions, productions, and sports). With the recent passage of an omnibus education bill and its expanded accountability, it seemed advisable that schools increase media coverage about their activities and successful achievements. Even more surprising was the lack of involvement that future principals had in the production of a school newsletter. Based upon the frequency statistics for the item, little change occurred during the program. The mean remained at 2, the median and mode at 1, and the range from 1 to 4. Like the previous item, the most frequent response was "never." Although the third item showed a zero effect size, analysis of the supporting frequency measures indicated that the study participants held leadership positions in outside activities. The most common responses on both surveys were "often" and "sometimes," thus generating a mean, median and mode at 3. Despite the challenges of balancing their personal lives and professional responsibilities with the demands of the licensure program, participants maintained their connections to their communities beyond their schools. A middle school special education teacher provided one of the richest examples of a changed behavior. I've taken an active role in being a leader within my school, at the district level, and at the state level. Within the school I'm on a number of different committees; I'm the special education team leader. At the district level, I'm a member of the special education advisory committee. Through my involvement in that advisory committee I have testified in front of [a state legislative committee] to advocate for additional special education funding. There aren't many people that would try to effect positive change in that way. I asked colleagues to go with me, but I didn't have anyone from my school go with me, [only] people on the district-level committee. Another participant shared during an interview that she recently had run for a position on the advisory board for her children's charter school. Placing herself on the ballot was her first attempt ever to run for an elected office. Although she did not earn 193

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i I I i I I I sufficient votes to gain a position on the board, she volunteered to chair a major board committee She attributed this change in behavior to her participation in the licensure program. Although the inventory items did not address diversity issues, some respondents provided answers to open-ended questions about changed behaviors that connected to this particular standard. As before, the comments related more to awareness than action. One participant described how she looked "at my students and staff differently, with a broader perspective than I used to have." Evidence of sensitivity to diversity issues appeared in other ways. One teacher voiced his desire to provide learning opportunities for students: "I want to make sure that the kids have the best this country has to offer, no matter where they come from." Another participant wrote about how her increased use of reflection helped her to assess changes needed in her practice : "I now look closely at my weaknesses in communication and focus on moving people toward change and accepting change. I also try to change my own leadership practices to be more effective: Engaging in Professional Development The fifth professional standard directs the principal's attention to the need for continuous learning, both for self and other. A total of eight items in the inventory shown in Table 8.5 relate to continuing professional development. A large effect size for the statement, I maintain a reflective journal related to my practice. was expected for students participating in the university's administrative licensure program. In addition to developing an intensely reflective essay as one part of their leadership plan, students were required to write reflections for each of the artifacts included in their licensure portfolios. A small effect size would have indicated cause for concern. 194

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Table 8.5 Effect Sizes: Standard 5 Self-Assessment Items Standard 5. The principal is a continuous Ieamer who encourages and supports the personal and professional development of self and others. Effect Sized I maintain a reflective journal related to my practice. 0.89 I read professional books and/or journals to improve my practice as an 0.42 educator. I belong to professional education organization(s) at the local, state, and/or 0.38 national/eve/. I seek feedback from others regarding my effectiveness as an educator. 0.26 I evaluate my own performance as an educator. 0.00 I attend professional education meetings and/or conferences. 0.00 I share with colleagues new knowledge learned from reading professional 0.53 books and/or journals. I share with colleagues new knowledge learned from attending professional 0.18 meetings and/or conferences. The effect sizes for statements about reading professional books and journals and about sharing new knowledge with colleagues implied anticipated changes for practitioners actively engaged in learning. The statistical measures indicated changes in professional behaviors on those inventory items. The two items with zero effect sizes, I evaluate my own performance as an educator and I attend professional education meetings and/or conferences, appeared strange in the context of this standard. However, on both surveys, the means for both statements were almost 4, and the median and mode were 4. That is, almost all 195

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responses were "often" on both items in both surveys. Hence, the zero ratios were accurate statistics. Responses to open-ended questions about changed behaviors as evidence of professional growth mirrored the statistical findings. Student responses displayed commitment to continuous learning for self and others, evidence of growth in selfawareness and control, and purposeful action. One participant asserted that ongoing professional development was critically important: "Professional growth is never ending. constantly have to challenge myself to learn new and creative ways to deal with personnel and situations. I need to stay at the forefront of educational theory." Greater understanding of self and interpretations about changed behaviors were described by another participant: "I am more aware of ramifications of actions and decisions. I am less likely to respond to a situation emotionally and more likely to think about long term effects and the big picture." A third respondent explained specifically how she had changed her professional behaviors in her practice. I practice (what I have learned] in my own job. I practice bringing together those around me who have different skills and strengths. I have just backed oft a little bit and watched what people were able to do. And I've seen the results: It works much better than when I try to do it all myself. Reading material that supported professional development was another strategy that participants adopted to enhance their learning during the program. One shared how her selection of reading materials had changed dramatically since beginning the licensure program: "I read about leadership all the time now. I buy four leadership and education books to one fiction book these days-that used to be reversed!" One participant who had assumed an administrative position during the summer described how he was using reading to support his practice: "I read journal-type material that revolves around current practice. I find this to be intellectually engaging and useful in my daily practice as a young administrator." 196

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I i I i I I I I I i I I I I I i ! I I While many participants supplemented their learning in the program by reading additional resources and joining professional organizations, not all did. Umited time and money prohibited some students from engaging in such endeavors. Their frustrations about such hindrances emerged through their written responses and recorded interview comments. Some frustrations were voiced during cohort sessions and during casual conversations with me. Managing School Environment The final standard delineates the organizational and managerial responsibilities of the school principal. Most of the knowledge bases and performance benchmarks refer to school environment issues (human resources, finance, law, maintenance, and safety). Only two items on the inventory relate to this standard; they are presented in Table 8.6. Table 8.6 Effect Sizes: Standard 6 Self-Assessment Items Standard 6. The principal organizes and manages human and financial resources to create a safe and effective working and learning environment. I understand the purposes, operations and organization of the total educational program of the school where I work. I seek counsel, advice and/or support from the district office. Only four participants changed their work assignments from teaching to Effect Sized 0.23 0.36 administration during the data collection phase for this case study. One of the four was selected as the principal of a new private K-8 school. The other three served as teachers on special assignment in public schools while they completed the state-required 197

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I I I I I I l professional development activities. The effect sizes for these two items indicated that participants had broadened their awareness beyond their classrooms. Responses on the last open-ended questionnaire and the post-survey provided interpretations about how participant thinking had changed. Several students acknowledged a new systemic perspective. One explained that "participating in cohort has helped me to understand better the role of the teacher and the role of the administrator." Another respondent described how he noticed his changed perspective. At the beginning of the new school year, his awareness had expanded beyond his classroom: "I have noticed this year that I have taken a more global view on issues. have begun to think school-wide, rather than just about my own classroom." A third participant explained how his broadened perspective included looking at future trends. I am looking at issues, not so much about how they involve me, but how they affect the whole. What is, or could be, the impact on the school's focus and goals. I am also more aware of viewing those ideas that are on the horizon and how they could enhance what is currently in use. Even more significant was the awaking to a transformation from being a teacher to being a school administrator. An identity transformation began to emerge at the close of the study. One participant who was still a classroom teacher wrote about her new perspective: "I think of myself as an administrator. I look at the school day differently. noticed that when I started teaching school at the beginning of this year, I looked at the school differently." During the focus group interview in November, she further explained her new awareness. I started looking at the people I was around and I really started acting like an administrator, even more so than my experience. When I transferred to a new school this year, even though I am in the classroom teaching first grade, I [realized I was] always looking at things differently, and that was a strange phenomenon for me. After teaching for so long, it was really great to get the encouragement. That was wonderful! 198

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Transformations seemed to begin with a reconceptualization about the nature of work in schools and the roles assumed by various individuals within a school community. Then, a new self-awareness emerged for some participants that led to further changes in professional behaviors. Acculturation into the Principalship The final four inventory items do not relate to the professional standards adopted by the state. Instead, these statements represent what Daresh and Playko (1997) call socialization skills. These socialization skills for school principals involve two distinct areas. The first skills area concerns (a) knowing the culture. traditions, and history of the school and district; (b) understanding the informal norms, such as how to dress as a principal or how to address the superintendenfs secretary; and (c) participating in administrative social events. The second skills area includes learning about the culture of the principalship as a career, such as how principals are supposed to act and what they are supposed to know. The four items shown in Table 8.7 fall into the second area and represent networking, peer support activities, and feelings of affiliation with other school administrators. The purpose for exploring these self-assessment items was to determine if participants engaged in socialization activities as teachers. If these behaviors were part of their professional practice of teachers, then it seemed reasonable that the behaviors might continue when the practitioners become school administrators. Once again, it became necessary to analyze the frequency statistics in order to understand the true meaning of the negligible effect sizes in this group of items. Although the magnitude of change ratio was 0.18 for the first statement. I network with educators outside the school and/or district, the change involved both a higher mean and a reduction in range. On the pre-survey, the mean was 3.12, median was 3, the mode 199

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i i II I I I I i was 4, and the range was 1 to 4. On the post-survey. the mean was 3.29. However, the most prevalent answer was "sometimes," thus moving the mode to 3 and reducing the range from 2 to 4. This finding was a bit perplexing because the demographic makeup of the cohort membership seemed to support networking. The cohort members represented nine local districts and two private school systems. Many participants did not appear to consider the cohort as an opportunity to network with practitioners outside their normal work environments when they responded to this inventory item. Table 8.7 Effect Sizes: Socialization Self-Assessment Items Socialization Activities. Aspiring principals need to learn about the culture of the principalship as a career. such as how principals are supposed to act and what they are supposed to know. I network with educators outside the school and/or district. I work as a member of a professional community. I participate in peer support group(s). I seek counsel. advice and/or support from my peers. Effect Sized 0.18 0.17 0.11 0.08 The second statement, I work as a member of a professional community. had an effect size almost the same as the first statement However, this time the participants indicated clearly that they believed they were members of professional communities. On both surveys. the means approximated 3.65, and the medians and modes equaled. Also, membership within a professional community appeared to include seeking counsel, advice and support from peers. The change on the fourth item was negligible. The mean 200

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was approximately 3.56, the median and mode were 4, and the range remained from 2 to 4 on both surveys. However, the third statement presented another perplexing result. The university's licensure program is delivered only through cohorts, a model specifically selected by the faculty because long-term associations within a cohort supposedly provide peer support. Apparently, the students did not consider the cohort a peer group as the phrase was used in the statement. Pre-survey frequencies indicated that "never" was the most common response to the statement, I participate in peer support group(s) Post-survey responses were evenly disbursed among the four answer choices. On both surveys, the mean and median equaled 2, the mode remained 1, and the range spanned from 1 to 4. Although these findings suggested that most participants had not engaged in broader networking or formed peer support groups. the cohort members who worked in district positions or assumed roles as school administrators did. Additionally, these students were also completing all or a portion of their intensive internship during the third domain of study. They seemed to grab opportunities whenever possible to socialize with school principals and engage in acculturation activities. The site coordinator explained that her principal "provides me articles about the 'principalship' and allows me to sit i n on situations that she feels would be a learning experience. She asks me to fill in as an administrator when she is out of the building." A classroom teacher who occasionally assumed responsibilities as the acting principal wrote that he mentored "several teachers about ways to resolve a variety of issues." Afterwards, he met "with principal or assistant principal to discuss the issues and seek other solutions." 201

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I I i I I I I I I i I I I I I I I i I I i A district coordinator seemed to grab every opportunity to observe and socialize with principats in the field. She explained the additional activities she employed to further prepare herself for the principalship. I spend additional time visiting and shadowing administrators when I am in their building [in order] to learn more each time I am there. I also told them that I am studying to be a principal, and they have willingly shared administrative information with me, knowing where I have set my goals. The other district coordinator shared the various activities outside the program that she engaged in to further her acculturation into the principalship. These included "spending time with building principals, attending conferences on school leadership and school improvement." She stated that she looked for "opportunities to integrate the [professional] benchmarks into my work activities." An observed change in professional behaviors occurred during cohort sessions that fall semester following the summer when students were named as acting school administrators. Two male cohort members began arriving to class wearing ties instead of the more casual attire they wore earlier in the program. However, the two female cohort members who were acting as school administrators did not wear noticeably different clothing to class following their promotions. Professional Behaviors: Summary of Analysis Data sources for triangulation of analysis were limited for this study proposition. Responses to the items on the inventories generated data to conduct comparisons of professional activities in which teachers engage. Participants' written responses to questionnaires and recorded comments during interviews provided data to support interpretations of statistical measures. However, the lack of principal-related data sources, such as student logs developed during field experiences. limited the findings for this particular theme. 202

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The effect size values on nearly half (44%) the inventory items indicated that the changes in professional behaviors ranged from medium to large. Approximately one-third (36%) of the effect size values fell within the small range. Although the effect size for 7 of 36 (19%) inventory items suggested no significant change, analysis of descriptive statistics for several items indicated high incidence of selected professional behaviors prior to enrolling in the licensure program. In many cases, the reported changes in professional behaviors during the program occurred as result of activities initiated by the learners or supported by their supervisors, rather than through cohort-specific activities. One of the most interesting evidences of professional growth from an interpretivist perspective was the mindset shift reported by several study participants. Mindset Shift: Transformative Professional Growth Shortly before I began collecting data for this study, I was asked by the administrative leadership faculty to conduct telephone interviews with students in a distance learning licensure cohort. The group had not been able to schedule a joint meeting with all participants at the mid-point in their program. The purpose of the telephone calls was to reconnect with the students. The faculty believed that having a graduate student call, instead of a professor, would allow the students to speak openly about whatever matters concerned then. As I began speaking with members of the distance learning cohort, an interesting theme began to arise in their comments. They explained that over the weeks prior to my call, they had realized that they had begun to think differently, more like a principal instead of a teacher. The concept of a changed mindset as evidence of practitioner growth originated during those telephone interviews. 203

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1 I I I I I I I I I i l i i I i When the final open-ended questionnaire for this case study was administered in late October, the participants had reached the mid-point in their licensure program. Therefore, I asked them if they had begun to "think like a principal or administrator" and, if so. to explain when they noticed their changed perspectives. The range of answers was intriguing, including two that used articles of clothing as metaphors. A high school teacher wrote simply, "Yes, I have a 'new pair of glasses' when it comes to the magnitude of what we have to do." An elementary teacher explained, "I have begun to think like a principaL I am anxious to use my classroom experience in a true setting. I put myself in the principal's shoes to see what I would have done had I been leading." Unlike her peers, a middle school teacher seemed somewhat perplexed by the question. She believed her values for wanting the best for students would not change by becoming a principaL I'm not sure how a school principal thinks. I think that [as} a teacher, you are thinking about the well being of your 60-1 00 students. It would just increase to 800-1 000 students. You would want the best for all of your students in the school. I do not think your values as a teacher would change by becoming an administrator. Another participant shared how she noticed a change in her personal behaviors: "When making personal decisions, I have begun to take time to view the situations from various perspectives. I feel a bit more open to various possibilities and solutions, as well as listening and requesting other views." One of the acting assistant principals wrote a lengthy response to the question. He described how the change had begun to occur during the previous year when he was still a classroom teacher. He believed that the mindset change was initiated when he realized that others viewed him differently. Last school year it became apparent to me that I was thinking more like an administrator than a teacher. I was very involved in different school activities and 204

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I I I I I I I I I I .I I I I I I I I I I I was already seen as a leader throughout the staff. When people see you as a leader or ask for your guidance, you start to feel like an administrator. I think the change in my perspective came as a result of the way other people saw me. For another cohort member, however, the mindset shift occurred simply from his perceiving himself as an educational leader. His new frame of mind was further enhanced by the way that other administrators treated him as a peer. Oh, yes! I feel that in many ways I was made to be an educational leader. I love the cerebral challenge and the practical impact. I feel like I am able to make a difference as well as make a significant contribution to society. I began to notice this reality [first when I was writing my leadership plan and] ... second, when cooperating administrators began to treat me as a peer. When administrators tutored me as I completed fieldwork, they empowered me [to] see education from the leadership perspective. I like the view! During the focus-group interview, I opened the conversation by asking the group members how they had grown professionally during the past year. The group shared a variety of personal stories. One student disclosed how taking the initial step of enrolling in the licensure program was the beginning point of her transformation. A few others talked about seeking new teaching positions as evidence of their growth as educational practitioners. Discussion followed about how various program activities and assignments, such as the leadership plan and reflective writing, had stimulated professional growth. Then, a comment turned the conversation in another direction. A portion of the focus-group interview transcription follows. As before, the actual names of the students are not given. Jared: There's another thing that my principal has mentioned to me. She said there will come a time in your life when you know that you are no longer a teacher and that you are an administrator. At the time she said that, I thought, "No, I wasn't there, I wasn't there." But now that I look back, I can pinpoint that time as being the middle of this past summer: I didn't think of myself as a teacher anymore. It's not that I didn't think of myself of a teacher, but I saw myself in a different role. It was an ideology or paradigm shift that helped me to see myself in that new perspective, which led to my professional growth .... I'd say the shift came (mostly] from me, just the way I viewed myself. Eunice: I feel like I have a split image. [laughter] I really do. No, I don't think of myself as a teacher as much anymore. But, you know, there's a part of me 205

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saying goodbye to that. And thafs a little bit sad. I don't know if any of you have experienced that Jared: Even my principal says she can tell that it's hard for me to give up teaching and being in the classroom. Occasionally, I sneak back into the classroom, not sneak per se, but have gone back to work with my old teaching teammates, helped out by teaching lessons and [things] like that. I think you have to let go and say goodbye to teaching. I don't see myself ever going back into the classroom, but I see myself missing some of those things. Not all participants in the focus group, however, were ready to leave the classroom. A teacher who had transferred to a new school in another district talked at length about the outcomes of her decision to change schools. She explained that over the previous eight years, she had felt compelled to "water down" the curriculum to meet the needs of her students at her previous schooL For the first time in her teaching career, she felt that she was finally able to be the teacher she had dreamed of being. When I asked her if she had experienced a mindset shift during the licensure program, she replied, "No, I'm still driven by teaching." Several participants shared that new ways of thinking about oneself made a significant difference in their professional growth. Transformation from teacher to school leader appeared to require more than just content learning through a licensure program. Socialization: Catalyst for Professional Growth The description of practitioner growth within the principal licensure cohort began with an exploration of the aspirations that triggered the practitioners' decisions to enroll in the professional development program. Rndings suggested that students who set and maintained somewhat consistent career goals throughout the program received the greatest benefits. Further, participating in the cohort appeared to provide only limited influence on the career goals of many participants. 206

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I I i I I l I I I I ., I I I I I I ! Professional growth as evidenced by changes in self-awareness as a leader was presented next. Changes in participants' perceptions about their leaders;hip potential and ability were stimulated through a variety of internal and external factors. I For most students, cohort activities and assignments expanded self-awareness an1d expanded understandings about leadership. Findings indicated that most participants, regardless of their prior leadership experiences, gained awareness of their leadership abilities and developed some new understandings about leadership as students in the licensure program. Next, professional growth was described in relation to the participants' understandings about the complexities of the principalship. Multiple factors influenced those perceptions, especially the length of time study participants had wc:orked in educational settings. Findings suggested that educational practitioners l/\lo/ho understood the complex nature of work in schools and who had been classroom teac:::hers for 6 to 20 years held more realistic perceptions about what a principal does. In this chapter, evidence of professional growth was evident throiUgh transference of learning to practice and through construction of new interpretations. For many participants, change often began with a broader awareness and understanding of the larger system in which the practitioners worked. The findings indicated that greater change occurred when practitioners had opportunities to observe and work closely with practicing school leaders. Cohort members who engaged in ongoing clinical experiences where they worked directly with principals greatly enhanced their knowledge base. They also began transferring their learning to practice through the adoption of mew professional behaviors. Therefore, acculturation into the principalship began for partic:::ipants who spent time in community with experienced leadership practitioners. 207

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Additionally. transformation into the principalship appeared to require a mindset shift. Some participants experienced the transformation prior to enrolling in the program. Others experienced it during their licensure program. For some, the new mindset as a school leader had not occurred after a year of participating in the licensure program. Composite findings in these four chapters indicate that professional development of educational leaders is stimulated through a variety of activities and experiences. When participants described some of their growth experiences, they often linked those changes to components of the licensure program. which was expected. The central learning environment was the closed cohort. The participants began the licensure program together as a unique group and remained together through the completion of the required four content domains. The upcoming final chapter about findings describes the influences of cohort membership on participant learning and their assessments of the cohort experience. 208

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CHAPTER 9 THE COHORT: PARTICIPANTS' ASSESSMENTS Many institutions of higher education now deliver professional development programs through cohort models. Anecdotal evidence, usually provided by students and faculty at the close of programs, suggests that a cohort fosters interpersonal relationships, creates caring learning climates, and supports students' competence and sense of well being. Several studies investigated group dynamics, group affiliation, participant interaction, and personal relationships within cohorts. Yet, a great deal remains unknown about the efficacy of the cohort structure on student learning and performance. This case study was unique in relation to other studies about learning cohorts While the main interest was the professional growth of practitioners, exploring how the changes were linked specifically to elements of the cohort experience was a focus of the investigation. Data collection began at the first cohort meeting and continued regularly throughout the first calendar year of a four-semester program. Changes in content emphasis and instructors were recorded, and student responses to program changes were collected almost simultaneously with the transitions. Thus, participants' responses to probes were collected in real time as opposed to being later reflections after the close of the program. Various cohort and program factors affected the learning environment, and evidence of those factors was presented in the previous four chapters. This final chapter about study findings presents how the participants assessed their experiences as members of a closed cohort. 209

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Positive Assessments of Cohort Experience During the yearlong case study, almost all participants reported that they enjoyed something about the cohort experience. They identified teamwork and camaraderie, peer interaction, sharing and critiquing of work. and developing professional relationships as some advantages for learning in a cohort rather than separate courses During the focus-group interview in November, I asked the students to share what they believed were the benefits of learning in a cohort. Comments made by one participant expressed well the feelings shared by most members of the group. I think it's great. Any other graduate work that I do I hope would be in a cohort. A lot of the reason is because as a group of 22, and now 19 of us, we started together. We took that leap of faith into administration together .... I [think that] the learning has become much more real because of the relationships that [we made] within the cohort I liken it to looping students in schools. You get to know very well the group of kids that you have for two or three years. You get to know their attributes and things that you can improve on, what skills they have and what they offer to that group as a whole. I think [back to] what it was like that last spring when we first started this group. I was very apprehensive and a little bit timid in certain situations, whereas now I feel extremely comfortable to have any kind of group discussion. I challenge other people's opinions or suggestions and do not feel like I'm challenging them as a person. I think the cohort is a wonderful experience, and I hope to have more experiences like that in the future. Another focus-group participant gave a specific instance about how being in the cohort provided support when she felt unsure of her abilities. The law domain made me really nervous because I don't know much about law. It was very foreign to me. But the cohort was supportive. I would watch different groups get up and interact with each other and present cases. It was all sort of overwhelming, but every time I came [to class]. a part of me changed ... every time something happened in class, something happened inside of me. A third focus-group participant responded simply: "I enjoy the personal touch of the program-it accommodates the needs of the student." A similar assessment was provided by an informant during our interview in April. She commented upon previous group-work experiences in her practice and then compared those experiences to what was happening in the licensure cohort. She said 210

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I I i .I I I simply, "I believe we have a dynamic cohort." Then during our final interview, she expanded upon the advantages of being a member of a cohort that was "diverse in age and experience in education." I think that cohorts are wonderful ... you watch people develop and grow and understand their perceptions. A comment. an answer to a question, or a presentation [is] given, and then all of a sudden ifs clarified with some other information about that person and [his or her] background. She continued explaining that the cohort was a "little group" within the field of education where practitioners saw "the diversity" in education. Further, she believed that getting to know "different people and a lot of different backgrounds" helped the cohort members understand differing viewpoints. Despite the diversity in gender, age. and professional experiences, she expressed disappointment that there were "not as many backgrounds" as she had hoped to see represented in the cohort. During another interview in November, the informant explained that some cohort members had recently reminisced about their first session together. The students recalled that the instructor used a "two truths and a lie" activity as an icebreaker strategy to learn names The informant laughingly shared some of the remembered lies and then remarked: "That was a funny moment for us [because] that seems so long ago, but we were able to remember it. I think the group process has been really important to watch." She also shared that she and her peers in the cohort had "learned over time to be comfortable" with each other. Teamwork and Camaraderie On three open-ended questionnaires during the study, students were asked to describe the cohort activities that were most effective for them. Nine of the 18 participants listed group work as an effective instructional strategy. Most written responses were short lists of selected activities that included "group work" as an item However, one participant used the words "teamwork" and "camaraderie" in his written 211

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response in March. Then at the close of the study, he explained that "working with other members of the cohort on various projects has been helpful in developing thoughts and ideas." During the summer interviews, two informants explained why working in small groups had been helpful to them. One cohort member stated, "I think the activities that have been the most useful have been the activities where we were given very little information, formed into groups, and had to solve the issues ourselves." A cohort peer was particularly fond of the small group experience during the finance component of the program. The project we did in finance was wonderful. Maybe it was the group I was with. We had a wonderful time, but I also think that we worked well together. We saw what each of us was able to contribute to the group and utilized each other's strengths. [And where] there was a Jack of knowledge. we would support each other .... I developed very nice relationships with people that I probably wouldn't have had it not been a project-oriented exercise. Working on projects in small groups was especially important to this participant. On the open-ended instrument administered in August, she again wrote about the advantages she perceived in working as a member of a small group I especially like working in small groups . . This allows me to form relationships with fellow classmates and work on team projects. It is helpful to recognize each team member's talents and share in the responsibilities for the project. The interaction creates a bond that can be reunited in the future. Although working in small groups was cited as an effective learning experience, some participants believed the group selection process was divisive. The students usually self-formed their work teams that resulted in frustrations about the cohort presented later in this chapter. Peer Interaction and Collegial Support Half the participants identified "interaction with other students" and "class discussions" as effective learning activities. One participant wrote, "Interacting with other 212

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members of the cohort and sharing experiences in the various settings has been quite effective for learning new ideas and strategies used by successful principals." Such activities "allowed cohort members to express their views and even change their minds." Another participant wrote that he found "the occasions of scholarly conversations" to be "very beneficial and motivating." On the first open-ended questionnaire administered in March, a young cohort member wrote, "I enjoy the class discussions and hearing people's views and beliefs about topics [that] I am struggling with." Later in the study, the same student continued to assert her belief that peer interaction and group discussions were effective learning activities. In October she wrote "The class presentations and discussions have helped out greatly because peers have prepared and discussed topics that we all need to learn about." An informant explained that in regular courses "it takes weeks to get to know people and then the class is over." He believed that an important difference between a cohort and traditional classes is that "only dynamic people talk" in courses. Because that usually happens. those class discussions do not include "good ideas from other people that don't step out in front of everybody. He believed that the cohort model allows students to get to know one another better and thus share "things that you don't get in a class." Further, he would willingly participate in another cohort if he continued his formal education. According to another informant, being with the same students "night after night after night as a group" required them to "work together." She believed that being in a cohort "forced people to pick out the best of themselves to make things work," which overflowed into "being able to help each other." 213

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The issues of "trust and risk taking" mentioned by one participant in October emerged during the focus-group session in late November. When asked to share their perceptions about the advantages of learning in a cohort, one student elaborated upon how time allowed them to develop relationships based upon candidness. I felt that having the closed cohort idea allowed us to have candid conversations. If we switched classmates every semester, we would go through that period of getting to know each other. Then during the last couple weeks of [the class}. we would be comfortable enough to actually get down to work. [Laughter} However, in the cohort, once we got through that initial phase, we've been able to go through all the other ones productively. Another focus-group member expanded upon her peer's comment She believed that reaming in the cohort required the students "to be more honest with each other." She then compared how the cohort members acted with one another at the beginning of the program to how they acted a year later. The animation and humor she used while explaining this had her peers laughing and nodding with her. At first it seemed like everyone was trying to paint a different picture: "Yeah, I have that figured out" [Laughter} You know what that was like. [Murmurs of agreement} Someone would say, "Did you get this?" and we would say, "Yes, I did." At the beginning a defense was up. People in the cohort were trying to portray an image of "Yeah, all my 't's are crossed and all my 'i's are dotted." Then I noticed as time has gone on, we now say, "No, I'm still working on that artifact. Do you have yours? Could I look at yours for an example?" It [became} an opportunity [for us} to be real [with each other}. While talking about cohort separateness, she used hand motions as if she was putting up a fence or a shield. I asked her if her body language represented the separateness she perceived among cohort members at the beginning of the program. She replied, "Oh, yes." During an interview the following day, an informant talked about the peer support through sharing that occurred in the cohort. She explained that cohort members "frequently will ask for papers" and that students were "very willing to help and to share." Further, she believed that the "design of the cohort" created an atmosphere where 214

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i I i l I I I I I students "had to rely more on cohort members than professors." She viewed the student interdependence as a positive outcome. As she continued to discuss the collegial support among cohort members, she explained how a teammate had completed a major portion of a group project. Although her peer did most of the work, she added all group members' names to the paper "without even batting an eye." That professional behavior by a fellow group member impressed the informant greatly. Another informant expressed her amazement that "everybody was so honest from day one. Her assessment was that the students enrolled in the licensure program to achieve "more understanding of the education system in urban settings" and that "the only way to do this was to put all the cards on the table, see what we have, and work from there." Like several of her peers, she too believed that knowing the group would be together for a long time created a unique dynamic. However, her explanation was different from other participants' ideas. She perceived that when individuals thought they would not see a stranger again, the individuals are "more honest." However, it seemed to work "the opposite way with this cohort. She was "not sure whether it was the dynamics of the cohort or the leadership of the cohort or just the people that were in there." However, according to this informant, somehow "it worked" for the cohort. On the final survey at the close of the study, another participant summarized how the cohort environment provided the learning that he particularly liked. He wrote I have met some great people and gained some practical insights into the field of education. The foundation of learning for me has been [through] interacting with other people. Up to this point, I have enjoyed my experiences. At times. it was confusing, but as a group we have pulled through it. I have really enjoyed the student interaction, and I have liked being with this group all along. 215

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I I I I I I I I i l I l i I I I I Peer interaction and collegial support were successful for most members of the cohort. However. for a few, the diversity in age and professional experience created situations that were not always positive. Their reported frustrations will be discussed later in the chapter. Professional Relationships and Networking Several participants identified the diversity of district and school system representation as an element of the cohort that added "something to the learning experience." Participants viewed the diversity as "an opportunity to see through different people how things are achieved in their school districts." The cross-district sharing helped the students to learn about similar and contrasting challenges in schools throughout the greater metropolitan area. One informant who worked in the same district where he also had attended school found it particularly "interesting to see what they do" in other districts. He chuckled and said, "Sometimes I wonder if I should be in this school district." Then he seemed to remind himself quickly that the "grass always looks greener." Conversely, a peer reported that that cross-district sharing among cohort members was "an eye-opener and a learning experience" to the point where she "would be selective [about] not going into [a certain] district." Another participant shared that occasionally competition emerged between cohort members from the same partnering district, particularly when student test scores or other statistics were announced by the district administrative offices. He appreciated the fact that most cohort members represented other school districts because he believed that the diversity eliminated competition. The opportunity through teaming in a cohort was cited as an important reason people developed the "rapport" that led to developing professional relationships. Through 216

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I I l I I I I the relationships developed in the cohort, students gained "the support of group members." However, according to several participants those professional relationships with cohort peers required time, and in some cases, patience to develop. The participants also reported that rapport and respect grew through "working together on projects, learning from each other, and being candid" with one another. One informant talked at length during a closing interview about how a particular adversarial situation [transformed] to a respectful situation between two cohort members. Over time, their disagreements changed from instances of saying, "you don't know what the hell you're talking about, to understanding and acceptance by saying "that is your position and you're not going to move from it The informant shared further that he believed the cohort had the potential for developing into a learning community, but it had not yet occurred. He stated, "In a true collaborative environment, people are very candid and very open. Instead of criticizing, they critique and make suggestions. don't think we've reached that point. But the potential is there for that to happen." Several participants viewed the peer relationships, developed while students in the cohort, as professional relationships that would extend after the close of the program. One informant explained that she had worked with "a couple of people" who shared "the same philosophical ideas and drive." She commented that she "would work together in a heartbeat" with one particular cohort peer. She also believed that "a lot of those relationships" were emerging within the cohort, and thus, she "would not be surprised to see people at some point in time working together" in the future. Another informant also perceived that cohort relationships could potentially develop into networking opportunities for future employment. He projected his thinking into the future when he assumes leadership of a school: "What happens when I become 217

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principal? Who in [the cohort] would I like to ask to be an assistant principal or work on that staff?" A focus-group participant shared a similar view about the collegial relationships being developed in the cohort. She described the cohort as "a friendly atmosphere" where she was able to connect with her peers, and she believed that the cohort was composed of "great educators who are going to make a difference." She also expressed hope that the cohort members would remain connected in the future: "I look forward to future times when I run into people from this cohort." While several participants cited the diverse district representation as an advantage in the learning environment, a few specifically identified "networking" opportunities as an advantage of being in a cohort. One informant explained that the cohort experiences made it possible to develop a "contact in another district if you needed one in the future." Online Interaction and Sharing Within the first month of the program, cohort members were assigned a series of introspective readings about which they were to write reflections and then post in the cohort's sub-conference in the university's telecommunication system. The purpose of that assignment was two-fold: (a) to engage students early in the program in reflective writing and peer sharing. and (b) to force students to learn how to use the university's electronic conferencing system as an auxiliary instructional tool. Analysis of those early e-mail messages in the leadership sub-conference provided rich data about peer interactions in the early months of the cohort. Content analysis indicated limited incidence of personal sharing among cohort members until the 26th posted message in the 157-message sequence. The student 218

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who posted the e-mail message began her reflection with a quote from an assigned reading that referenced a "spiritual gift on the inner journey." She then wrote, In the chaos of my husband losing his job, losing our house, starting again at forty years of age and having two active teenagers, I came back to life (literally because I was confined to bed with Lupus). This student's bold risk-taking served as the beginning point for the cohort's willingness to include personal sharing within reflections about the assigned readings. The two student responses to the message about personal challenges contained peer-to-peer support comments and references to their own times of personal chaos (i.e., a parenfs recent death and another parenfs confinement to a nursing home). Almost immediately, other students began to share openly their spiritual convictions that were discussed and debated within the virtual environment over several weeks. Some students also disclosed their struggles with drug and alcohol use as teenagers, their reactions to divorce, and their fears experienced during wilderness training activities. Analysis of the e-mail messages indicated that the personal sharing remained directly connected to the content of the assigned readings. The finding is remarkable because the virtual exchanges were markedly different from the observed in-class sharing among cohort members. The focus-group participant's description of early separateness among cohort members was verified in the field notes. The cohort appeared to be two very different groups during the early months of the program. Several participants in the focus-group interview mentioned the use of online activities as an effective instructional strategy. I then questioned the students about the perplexing differences between the early in-class interactions and online interactions. j One participant explained that sharing online with peers served as a form of protection: I I I 1 219 I I I

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It was the feeling of not having to look someone-in the eye and say, "You know, my father this or that or in my childhood I did this or those kind of things." Being in your own environment when you're disclosing that information helps. However, a cohort peer in the focus group did not share the same enthusiasm for the online activities. She admitted that she did not participate in the personal disclosures. I was a little guarded during all that online stuff. I read everybody's messages, but I didn't share that much. Looking back on it now, I realize that I read and thought about the messages. It was enriching fa:>r me. but it wasn't so enriching that I wanted to share. Other participants also refrained from participatiLng in the online activities tor similar reasons. Likewise, many students did not enjoy eothers elements of the cohort experience and voiced specific concerns about group behavior and dynamics. The next section describes some of the less positive responses. Less-Positive Assessments of Cohort Experience Students joined the licensure cohort for a variet)./ of reasons that were described in an earlier chapter. Purpose for enrolling in the progrrum, prior professional training, supervisory support, and career goals were different for each student. Additionally, the cohort membership was quite diverse in age and educattional experience. Adult life cycles played another factor: Younger cohort members ...vere single, newlyweds, or new parents; most had family obligations that often conflicted:l with cohort activities. Further, the adult learners had different learning styles and expectations. All these factors influenced the learning environment in the cohort:t. Some influences created frustrations that participants shared throughout the Five major concerns or frustrations for students emerged from the data: (a) group work, (b) differences in age, (c) differences in experience, (d) online activities, and (e) cohort norms. 220

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Frustrations about Group Work While most participants reported enjoying working in small groups, the way the teams formed created divisive currents within the cohort. The issue appeared to move to the forefront following the intensive schedule during the summer. Comments made by informants during the July interviews and responses written on the August questionnaire included references to the problem of a "clique" within the cohort. An experienced teacher wrote that she was "distracted by a small group of classmates who talk when others are speaking and seem to exclude others from their group." An informant spoke at length about the same concern. I speak for several cohort members when I complained about the issues within our cohort, such as teaming and respect for one another. It has been obvious that some members of the cohort are divisive and, for a lack of a better word, rude in their treatment of peers and instructors. We should not have to wait so long for instructors to step in and initiate some resolution. This has been very frustrating for several cohort members. Another informant explained that the strategy for group forming used by the first two instructors was counterproductive to cohesive group development. Rather than explaining to students that an "objective is [to] work with someone differenf' on each project, instructors allowed the students to self-select their teams. The result was that some cohort members became "leftovers" during the group selection process. Further, the informant explained why getting to know everyone in the professional development cohort was important. The basic idea is that you work with someone you've never worked with before. That gives some real hands-on experience that you [need] when walking into a school where you've never been .... At some point in time. all of us will be principals, and we really should be teaming to work together .... In business schools they teach you to network, network, network, network; in the educational system that's missing. The small group that formed the clique was easily observed during cohort meetings. The students regularly sat together and often talked to one another throughout 221

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I I I I i I I I I I i I classes-even during presentations by instructors, peers, and guest speakers. Most members of the clique were younger male members of the cohort or special education teachers. Also, the students lived within the same region of the large metropolitan area. That proximity made "it easier to get together at somebody's house to work on a project" according to one member of the "clique During an interview with him, I mentioned observing that he always sat with the same students in the cohort. He explained. "We carpool together for each class so it's just natural to hang out'' together in class. We talked at length about the reasons he perceived the group stayed together. Then I asked him if he wanted to get to know other students in the cohort. He responded I think it would be great for the next group projects if people [were] encouraged to choose other cohort members so we could get to know people better. I don't know if branching out would work without having that process forced on us .... I'm for meeting new people and working with new people. But, if I wanted to branch out from my group, I think I would hurt their feelings That's why it would be better to have more of an artificial process to do it. After learning that the cohort had reached a storming stage in its group development, I shared the students' concerns with the instructor for the supervision domain that fall. She asked me to help her create a set of small grouping patterns to use with the cohort. Despite the intervention, by the end of the semester, the small group had reformed itself and began repeating its earlier exclusionary behaviors. During all final interviews at the close of the study, the issue of small groups emerged. One informant shared his perception that "we're creatures of habit." He believed that sitting together with certain people just happens. Who you were sitting by in the first meeting is [the person] you end up sitting by the second meeting and so on. And you start creating rapport. You put 30 people in a room and it's going to happen; it's a social dynamic. I think everybody listens to what everybody has to say and everybody participates. But, when you team up with people, it's usually with the same groups. 222

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I I I I I I l I j i I I I I I j i I I ! I I I I i I I Other participants, however, approached being in a cohort differently. During class sessions, I observed three women who seemed to be sitting with different people each time. All three confirmed what I had observed and explained that they wanted to meet as many people as possible. One woman reported at the close of the study that she had met everyone but had "not had the opportunity to work with" everyone. She realized that she "did not develop relationships" with all cohort members because it was impossible to develop "total rapport with each person." Another woman who sat with different students each week believed that building rapport required trust-building activities at the beginning of the program. She believed that because the group was "going to stay together for over a year," activities to build personal trust and sharing would have been more effective than "just throwing questions out." Frustrations about Age Differences At least once during the study, the two oldest members of the cohort used the word "outsider" to describe their relationships to the group. They were very cognizant of their breadth of experiences and reported purposefully refraining from speaking too much during class. Both held advanced degrees and had engaged in a number of previous educational programs. As mid-life adults with grown children, they recognized the differences in perspectives and priorities they had compared to younger cohort peers. In many ways, these two individuals served as mentors and peer instructors by sharing their expertise in quiet manners. However, both reported concerns about how the other students accepted their offers of assistance. Their comments during interviews reflected their ambivalence about their roles within the cohort. One participant shared the strategies he adopted and the confusion he experienced while working with a small group on a major project. 223

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i I I I I I I I I I I I i t i l I I I I I I I I I I I i I I i I I I I I The frustrating part was that I would come up with questions and only one person responded to [me]. I got to thinking: Did I talk too much? Did I ask too many questions? Did I become offensive? Was my approach wrong? Or was I asking something they did not want to explore? ... [I continued to ask questions] because I believe an answer is within a question .... At the end [my group members] said that they were very thankful that I was with them because they reamed a lot from me. Expanding further about frustrations encountered during cohort sessions, the oldest student discussed the issue of authority. He described how the unspoken norm in the classroom setting was not to challenge the professor by asking for clarification. Sometimes I get the feeling that people sit there, and terms are used or comments are made that go zinging over their heads. (My peers are] very reluctant to raise their hands and say excuse me but I have no idea what that means ... [I think] an instructor wishes to be challenged ... that's a component that is missing in our cohort sessions .... Our cohort has not developed the ability to read other people and to assist them [by asking questions that need to be posed]. Frustrations arose for both the older cohort members about how the curriculum was developed, classes were conducted, and assignments were given. They shared their concerns at length during our recorded conversations. However, while observing them during cohort sessions, I noticed that both of them actively engaged in the learning environment with their peers. They conducted themselves as knowledgeable individuals and team players and did not allow their frustrations to emerge during classes. Frustrations about Experience Differences Lack of professional experience generated concern for some practitioners. The 25-year span in teaching experiences created a gulf in understandings and perceptions that apparently was never bridged. One veteran teacher with 15 years experience wrote: "I notice that many people in our cohort have little or no experience in the classroom or in public schools .... I feel fortunate for my own experiences!" Another teacher believed that inexperience was a handicap for some of the newest teachers: "They do not have enough background knowledge to do some of the 224

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course work and are learning how a school works as we go." An educational practitioner with 20 years experience explained that perceptions and understandings were different even for those pursuing different graduate degrees. She also offered a suggestion to improve future cohorts. I also feel that people who are working on a Master's degree versus people who are pursuing more advanced degrees and certification see the world very differently. Twenty years of teaching compared to three years of teaching bring very different philosophical ideas and degrees of passion and commitment. Grouping of cohorts may need to be a consideration in the future. Frustrations about Online Activities The third open-ended questionnaire administered in early October focused specifically for the online leadership activities during the early months of the cohort. Only 7 of the 17 respondents reported positive assessments of the first online assignment. Among those was one student who wrote a particularly enthusiastic evaluation. I personally love this type of assignment. I believe that it is appropriate for the graduate level and gets people out of the "regurgitation of information" mode. As I observe others in the cohort, I detect that many are not dedicated to this method of learning. It is unfortunate .... This assignment, however, prodded [us] to think deeply and investigate, evaluate, and speculate. An interesting observation was that this student rarely participated in face-to-face cohort discussions. Like other reticent students, he seemed to prefer online sharing. At another time he wrote: "I appreciate the convenience of online discussions. The topics and venue allows people to be more introspective and share personally." During an interview that spring, an informant expressed surprise that her peers were willing "to share their experiences and come forward with steps that they took to get where they are." When asked why the same candidness was not evident during class discussions, she remarked Thafs interesting because when you write something down, it becomes permanent. When you're talking to somebody, the words just flow and disappear 225

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into the air. But when you write words online, they are permanent .... I think there's a tendency when you write to be less open than when you talk. She too could not provide a reason why the early online discussions were richer than the early class discussions. Almost half of the cohort, however, did not like the assigned online dialogue activities at the beginning of the program. Five students reported feeling overwhelmed, perplexed, worried, and even threatened about writing self-disclosing reflections. One participant wrote on the online questionnaire: "I felt threatened because I was asked to expose my inner thoughts to 21 people that I did not know." During our final interview in November, we returned to the topic of those first online assignments. She explained further her objections to the early online cohort activity: "I'm not sure I understood why the assignment was given because I thought it was an inner reflection. I did not feel comfortable expressing my thoughts or feelings with the group. I had not built any trust." Even at the close of the study, she remained amazed by the openness displayed by her peers in their online communications during the early weeks of the program. Further, approximately one-third of the respondents reported that they did not enjoy the online conferencing because their peers did not respond to e-mail messages. One of the younger participants wrote: "It [made] me feel that what I had to say was not important. I also began to (wonder] why I should even do this if it is not read or responded to by anyone." Another participant explained that not having responses to messages "was like being involved in a conversation with yourself." Others voiced a preference for class discussions. One participant wrote that the online assignments were not her favorite activities because she enjoyed "personal faceto-face discussions more." A cohort peer concurred with her by stating: "Nothing beats face-to-face communication and learning." 226

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Frustrations about Cohort Norms The last major frustration fell into the broad area of cohort norms, or actually. the absence of any. Participants indicated that a variety of issues emerged because the cohort failed to develop a set of shared norms about group behavior and common agreements about learning outcomes. Several participants wrote about too much "wasted time during class." An informant stated during an early interview: "I think that the first couple classes could have been more content intensive. It sometimes felt like we were hanging out in class and chatting. We didn't cover enough material to justify being in class for five hours." Another student expressed a similar concern. He explained on the first questionnaire that the cohort "has been a good experience. although I do feel we could be more productive during class time." In a response to a prompt on the August questionnaire, he wrote, I am learning but am overwhelmed with time-taking tasks that are not related to learning .... There are a lot of nights I feel I could better use my time at home working on a class project. On the final survey he again shared his frustrations about wasted time: "I could have been challenged more with less time-consuming work." A third participant wrote about her frustrations over "weeks of inactivity and then everything coming at once." A fourth student wrote a blunt statement: "Some classes were a waste of my time." All four students suggested changes in the class format. Two wanted "more hands-on activities and experiences." One student suggested exploring "case studies about real school problems" and then have the cohort work "together as a mock staff and community" to solve the problems. He believed that cohort members would then be 227

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I I I i i i I I I i l I i i I "better prepared to handle the challenges we face." Another student explained simply that he was the type that liked "start something and go with it." An interesting fact is that these four students are all part of the cohort "clique" described earlier. Additionally, at the close of the study, they all described personal issues and external distractions that had generated hardships for them as students in the licensure program. Professional obligations and family needs made balancing graduate work difficult for them. Two reported that their not being home at night with their families created problems for them. Another frustration voiced by cohort members was the class starting time Although the group decided on the second night of the program to move the starting time forward half an hour, only half the cohort members habitually arrived on time. Participants wrote comments on questionnaires about how distracting and frustrating it was to have late arrivals to every class. Observational field notes indicated that some students regularly arrived from 15 to 30 minutes late. The habitual lateness also created frustrations for the cohort instructors during the last two content domains. Researcher's Assessment of Cohort Experience As a participant-observer during cohort sessions, I was not involved in the teaching or learning activities and hence was free to observe peer interactions and relationships student reactions to class experiences, and environment elements within the cohort. I attended over 75 percent of the cohort sessions spanning the initial three domains of the program, observing the program transitions and stages of cohort development. Further, I had access to multiple data sources about the participants' interpretations and reflections about their experiences. Additionally, during the period of this study I assisted with curriculum development and instruction in three other cohorts; 228

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two of those groups were part of the same administrative licensure program as the sample cohort. I collected data from students in the other licensure cohorts to help me interpret findings in this study. Therefore, the assessments of this cohort's experiences presented here are based upon a unique combination of first-hand experiences and understandings about learning cohorts. Peer Interaction and Camaraderie Most practitioners in this cohort bonded as a group of professionals sharing a common purpose. Unlike the two other licensure cohorts in which I taught, this cohort did not have a ready association that occurs when most students are from the same school district. The diversity in district representation and the sharing of information about differences in school settings were definite advantages for the learners. Despite significant differences in age and professional experience that were somewhat unique to this cohort, in most instances I observed respect and support in the peer interactions during cohort sessions. The greatest level of teamwork was observed during the finance component in June. Despite the intensive three-week schedule, participants rated the finance segment as the most effective portion of their licensure program. The instructor was a district superintendent who had served as an educational administrator at different levels in several districts within the metropolitan area. He threaded real world stories and suggestions for action into all his instruction. During the first class, the finance instructor provided a complete syllabus and defined the expected outcomes. He made it clear that promptness to class was a requirement and that deadlines had to be met. Then, he proceeded to balance each class with lecture and group work, giving students large chunks of time in class to design 229

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I I I I i : I i I ; j I i i I I I i a school and develop a budget. When not lecturing, he worked with the four small groups and shared solutions to problems with the entire cohort as needed. The major assignment was hands-on and interactive. The project required many hours outside of class to complete, but the students did not appear to object to that requirement. On several occasions, teams were observed working prior to or immediately following cohort sessions. The final products were the most professionally developed and presented projects observed during the entire study. Peer and instructor feedback was immediate and public. While some participants expressed concern about disagreements among cohort members, the conflict that arose was not unusual or unexpected for students engaged in extended graduate studies as a group. However, the cliquish behavior described by some participants was an observed reality that created undercurrents of frustration. Further, the "leftover" phenomenon described by one of the informants was another reality. I observed that the Hispanic member of the cohort who chose not to be a participant in the study usually sat on the fringes and participated in class activities and peer interactions only when required. The African-American student often arrived to class late and sat on the fringes as well. although she developed peer relationships with some cohort members while working on group projects. At the beginning of the program. a few get-acquainted activities were used, which were reported to be effective by several participants even at the close of the study. However, team-building strategies and conflict resolution methods for groups were not a part the curriculum. Prior to the intervention at the beginning of the fall semester, students determined their small group memberships without direction or assistance from the instructors. Because students were not forced early and consistently to pair or group with 230

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different students in the cohort, opportunities for building rapport and collegiality with cohort peers were limited. Even the three women who were observed making efforts to sit with different cohort members reported that they did not accomplish their goals of getting to know everyone in the cohort. Collegial Support Many members of the cohort developed peer support systems and professional relationships. These interactions were observed during cohort sessions as students shared written work and provided feedback, assisted one another to solve professional challenges or dilemmas, or delivered information about professional development. Students collected materials distributed in class and shared notes with peers who were absent. According to study participants, many cohort members contacted one another via private e-mail messages and phone calls to provide help and encouragement. Three key informants interacted with me in much the same manner throughout the study and even afterwards as I drafted the study report. Most collegial interactions, however, were observed among the more experienced practitioners in the cohort. Clique members appeared to share among themselves social interactions related to family and leisure matters, rather than professional issues. One minority member of the cohort seemed to exclude himself from the large group, even when different cohort members sat next to him. By the last semester of the study, he was often late or absent from class. An informant shared privately with me that she believed the cohort missed an opportunity to learn more about second-language learning issues and Hispanic heritage from their peer who was a bilingual teacher. During the fall semester, the student shared with the group during a curriculum presentation that he did not learn to speak English 231

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until he was eight years old. Because the practitioners worked in urban districts where large numbers of students with limited English proficiency were enrolled, some cohort members believed that their peer was a readily available, but untapped, resource for learning about diversity. During the first five months of the program, prior to the finance segment, interactions among cohort members during class were more instructor-driven than peerinitiated. Then. during the summer session students began to challenge one another in the context of learning about school finance. Soon after the beginning of the fall semester, students engaged in discussions about controversial issues without input or guidance from the instructor. These exchanges about curriculum and instruction usually began in response to assigned readings and scenarios. Unlike the previous instructors, the professor for the supeNision domain required students to purchase several books. In addition to readings within the core books, she provided many additional handouts throughout the domain. The assigned readings from the core books and handouts became the foundation for many class discussions and debates. Online Assignments Most online learning activities occurred during the first semester of the program. Students received instruction in the use of the university's telecommunication system through an overhead demonstration by the system manager. After the second meeting, the cohort moved from the university to a middle school in the partnering district. Sessions were held in the media center where computers were available for hands-on instruction. Several participants reported major difficulties accessing and learning how to use the electronic communication system. However, within a few months, all students appeared to be proficient with most functions. 232

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Content analysis of online interaction during the leadership domain indicated that students attempted to connect what they were learning in the licensure program to their professional responsibilities or experier1ces. Rfty-one of the 139 (37%) students' messages within the leadership contained statements in which cohort members mentioned professional respaonsibilities. However, approximately one-third of the respondents to the October questio-nnaire about online learning reported that they did not enjoy the online asynchronous confferencing. Some students stated that closure and accountability were missing componens of the online teaming process. A comparison of the cohort curriculum calendar with the dates of the student posted messages in the leadership dormain showed that the intensity of the discussions occurred during the same weeks as in-class leadership sessions. However, many students were hesitant during the early weeks to share self-disclosures with their peers. One student did not engage in the proc:ess until three weeks after the assignment was made. Among the four messages he p.osted in the conference. only one contained a personal statement. Another student diid not post any messages until almost five weeks after the assignment was made. By that time, the cohort was actively engaged in law studies. Analysis of the online messages and observation field notes indicated that the cohort did not spend time discussing nc:>rms or rules for online behavior. What emerged during online communication worked f():)r some students. but not for others. Issues of anonymity and confidentiality in the onliine cohort conference were not clarified for the students. Cohort Norms The cohort did not develop groiUp norms and rules of behavior for online activities or for class activities. The absence of defined group norms created problems related to 233

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group cohesiveness and bonding that have already been presented. The class starting time remained an unresolved issue throughout the study. During the second cohort meeting, the group supposedly determined a time for class to begin. However, one group of students consistently arrived early or on time for class, while another group of students consistently arrived late. The first instructor waited to start class, sometimes over half an hour after the cohort-determined beginning time. The delays created frustration for the on-time arrivals. Further, although students were asked to bring dinner to class in order to shorten the sessions to four-hour periods. many cohort members left the building to purchase food. Their absence often further delayed the resumption of class. However, a noticeable difference occurred during the summer finance segment. Classes were held on days other than the regularly scheduled night. The cohort members arrived promptly and brought food to class sessions, perhaps because the instructor stated his expectations and then proceeded whether everyone was present or not. The instructors for the last two domains reported their frustrations to the cohort about some of the group's behaviors. During the fall semester, I referenced in field notes that the instructor began to start class closer to the established time regardless of how many students were present. According to the informants who met together with me in late February 2001 to discuss the case-study report, the instructor for the last content domain expressed public frustrations with the cohort about their tardiness. The informants reported that he started class at the scheduled time, but late-arrivals continued. Professional Development The supervision of curriculum and instruction domain was the only time that students were required to work directly with school principals to complete an assigned 234

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project. The assignment was to observe a principal conducting a teacher-evaluation conference. Then, the students were to conduct classroom observations and evaluation conferences with three other teachers. One of those conferences was observed and evaluated by a practicing school principal. Throughout the first three domains, the students researched topics and formally presented information to the cohort, and the instructors lectured occasionally. However, only three guest speakers were invited: (a) a representative from the Office of Civil Rights who presented federal guidelines about legal issues, (b} a consultant from a regional research center who reviewed instructional strategies. and (c) a district assessment director who discussed state testing and accountability issues. The absence of presentations by practicing school leaders limited the cohort's understanding about the roles and responsibilities of the principalship. Students did not have opportunities during class to question principals and then debrief the principals' responses as a group. Because the action-teaming project replaced the concurrent fieldbased learning experiences in each domain, as a group of learners the cohort did not engage in socialization activities with members of the aspired professional community. Although participants reported networking with one another, the structure of the cohort's curriculum did not provide them opportunities to network with active educational administrators. During the fall semester, a noticeable change occurred in the group dynamics. Four students were promoted to positions as new school administrators, and four others were engaged in intensive internships. Thus, the content of cohort discussions changed. The eight practitioners often shared their on-the-job learning experiences with their cohort peers. They linked the content topics to real-world applications and discussed how their supervising administrators addressed problems of practice. 235

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I i i l I I I I I I 1 i i However, the differences in role conception about the principalship and socialization experiences created a new shift in peer interactions. Eight students planned to graduate at the end of the fourth domain (May 2001) and five students registered to take the state licensing examination in January 2001. The effect of differences in professional aspirations began to be noticed by the end of the case study as students began talking about their future plans. The Cohort: Opportunity for Learning The closed cohort experience for most learners in the principal licensure program was positive and enriching. Evidence emerged from multiple data sources that the practitioners engaged in cohort activities that developed teamwork and camaraderie. The "night after night after night" association with the same learners increased peer interaction and collegial support. While rapport was not developed with every member of the group, participants reported that as time passed they felt safe to share honestly with peers without fear of reprisaL Many participants reported developing professional relationships with peers that they hoped would continue long after the program ended. Participants also reported that the unique diversity of district representation within the cohort provided broader networking possibilities. Creating a cohort to deliver a graduate program eases some of the administrative difficulties related to class loads and curriculum planning. However, based upon data provided through this case study, putting educational practitioners together as a student group does not insure the development of a learning community. Throughout the data, evidence emerged that some critical elements of group dynamics were not addressed. Participants shared concerns about divisiveness within the cohort and its effect on the learning environment. A few expressed frustrations because instructor intervention did 236

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not occur. Despite the observed and reported difficulties, the cohort members "muddled through" according to an informant after the close of the study. Although cohort instructors were not interviewed for this case study, two of the four instructors asked me for assistance in understanding the group dynamics in the cohort. The professors assumed teaching responsibilities late in the program sequence and were perplexed by the cohort's culture. Unlike the finance instructor who was able to establish new norms for the group during summer classes, instructors for the third and fourth domains met with the cohort on its usual night once a week. Both instructors tried to redefine the group's behavior, but experienced little success in changing long established patterns. Habitual tardiness of students was a frustration for the two instructors later in the program. One guiding question for this case study about practitioner growth was how the changes linked specifically to elements of the cohort experience. To identify possible stimuli leading to professional growth, three times during the study cohort members were asked to Describe the program activities that have been most useful, and then Describe program activities that have been least useful and indicate what could be improved to make them effective. Data analysis indicated that linkages to program stimuli often appeared. Discussions about the effect of program activities and assignments were presented in the chapters about the findings. Because the data collected during this study were extensive, only the most significant elements of the licensure program were described in this report. Study participants provided thoughtful critiques about their learning experiences and offered suggestions for program improvement. Because the focus of this research was practitioner growth, not program evaluation, a description of the participants' assessment of the licensure program was excluded from this report. However, a 237

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compilation of student concerns and recommendations was delivered to the administrative leadership faculty for review. Professional Growth: Epilogue Thirteen months have passed since the practitioners and I met during their cohort orientation. Before beginning this closing section to the participants' story, I reflected upon the changes that the practitioners reported and I observed. I reviewed again responses to the question I posed on the final survey, Have you experienced professional growth as a result of participating in the licensure program? All participants responded, "Yes." I reviewed statements provided by the respondents to my request, Please explain your answer. Many of their replies were incorporated into descriptions of professional growth in the preceding four chapters. A few were not and are added to this closing section. The new principal of a private school wrote, "I have gained an enormous amount of information and grown professionally through the challenge of the program." Challenge seemed to be something he enjoys: He applied to the university's doctoral program in educational administration. If accepted, he would begin doctoral studies at the same time he assumes responsibility as a principal of a newly opened schooL The high school mathematics teacher wrote that she discovered "learning to lead resulted in also learning to follow." Surprisingly, although she served as a school administrator at the close of the study, she described her professional growth in terms of teaching: "Although our focus has been on school leadership from an administrative perspective, I have grown in other aspects, specifically teaching." The high school English teacher, who transferred to a new school where she is becoming the teacher she had dreamed of being, reported that she had grown 238

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!I I I I I I I I i I i I "professionally by understanding the perspective of administration." Further, she stated during the focus-group interview, "I discovered some qualities in myself that I had not really realized were there." However, she also shared that she was still "driven by teaching" and may never become a principal. During the summer months, the novice teacher transferred from a parochial to a public school where she was learning new things about teaching. She explained that "studying about the principalship" made it "definitely conflicting" to balance the two perspectives. Her reported professional growth was her newfound desire to become an assistant principal. But like her cohort peer, she was "not ready to leave the classroom quite yet." Ending the report with those closing comments in November would omit important evidence about further practitioner growth. A few days prior to writing this last section, the key informants and I spent four hours together reviewing the case study report. As we discussed the drafts of the chapters, they shared news about their cohort colleagues and about the final content domain. We then talked about their news. The middle-school social studies teacher and coach, the "bold" leader with experience, had passed the state's licensing examination the previous summer. He reported discovering that the state where his extended family resides shares licensure reciprocity with this state. He was exploring principalship opportunities through relocation. The "in-the-know" teacher, an experienced middle-school mathematics teacher who was on maternity leave during the study, applied for a summer school principalship in her district. She had just received notification that she was accepted and was excited about the upcoming training that the district provides. She admitted that an additional class each week during the school improvement domain might be challenging, but she 239

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I I I I I I I I I I I I II I I I j \ i believed the additional professional development would enhance her ability to lead a schooL She impatiently awaited news about her score on the state's principal licensing exam she had taken six weeks earlier. The district coordinator of the pre-school program had just learned that she was the recipient of a full scholarship to complete doctoral studies through an out-of-state university's distance-learning program. Because she will not assume a principalship until her youngest of four children enters school, she planned to continue her graduate education during the interim. The middle school mathematics teacher, who was completing alternative teaching licensure while participating in the principal licensure program, had recently received a letter from his sister. She wrote to tell him that the community college in her town was conducting a search for a new president. After reviewing the required qualifications for the position, the informant realized that he fit the profile. He shared that although he loved working in K-12 schools, as a former business executive, the appeal of college administration could not be denied. He planned to submit his application for the presidency of the community college. The cohort member who relocated from another state and enrolled in the principal licensure program to learn about the education system here shared with her colleagues and me that she was stunned by what she read about herself in the chapter about career aspirations. She reviewed the transcripts of her interviews and realized that she had grown little during the program. After her fellow informants left, we talked about her career goals for another two hours. Two days later she called to report that she was applying to the university's doctoral program in administrative leadership. She realized it was time for her to move forward with her career. 240

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Practitioner growth was evident in the participants' responses on the final survey and the updates provided by the key informants The most intriguing finding was that the practitioners in the cohort shared common experiences within the licensure program but grew professionally in very diverse ways. The quest now becomes learning what the practitioners are doing two years from the date of this writing . but that is another story. 241

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CHAPTER 10 IMPLICATIONS FOR PRACTICE AND RESEARCH This study describes and analyzes professional growth in educators while participating in a principal licensure program in order to understand the nature of changes and the processes through which they occurred. Although the inquiry explores the preparation of educational leaders within a unique cohort of a university-based licensure program. the purpose for the research was not intended to evaluate a particular program of principal preparation. The preparation of K-12 school leaders from the practitioners' perspectives is the over-arching focus for this case study. The complex challenges faced by current practitioners in public schools are creating a crisis in educational leadership: the pool of potential principal candidates is shrinking (Copeland, 2001; Daresh & Capasso, 2000; Kelley & Peterson, 2000). Multiple pressures to improve schools converge on the effectiveness of principals to meet the complex challenges (Dosdall & Diemert, 2001; Lemley, 1997; Sergiovanni, 2001 ). The focus on changing the principalship is forcing leadership educators to evaluate current principal preparation programs (Barnett & Muth, 2000; Kelly & Peterson, 2000; Milstein & Krueger, 1997). Research is needed to seek greater understanding about the reasons why educators trained for the principalship chose not to seek positions as K-12 school leaders. The cohort selected as the sample for this case study was developed in partnership with a local education agency, and the theme for the cohort was the study of collaborative leadership as a means of redefining the principalship. Although this thesis serves as an exit requirement for a doctoral degree, data suggest implications for increasing the pool of prepared candidates willing to assume principalships. 242

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I I I I I I i I I I i I l i i I I i l i i I I I I I I I I I I ! Several researcher propositions guided the design and focus of this mixed-methods case study about practitioner growth. In the following sections, a review of the propositions and findings from the previous five chapters is presented. Section headings link to chapter titles for easy cross-reference. Each section closes with suggested implications for practice and research. Career Aspirations One proposition for this study was that students who enroll in principal licensure programs seek basic knowledge and skills required to become school leaders. The educators' reasons for enrolling in the professional development cohort program used as the sample are presented in Chapter 5, Aspirations: Participants' Career Goals. Rndings Comparisons made between practitioners' initial and later purposes for pursuing licensure as a school administrator indicate that students who entered the program with clear aspirations committed time and energy to their learning. This evidence emerged by grouping the participants' paired responses into three disjoint sets determined by their indicated career goals two years following the close of this study. The students separated themselves into groups of practitioners who hoped (a) to become a school principal or assistant principal or (b) a district administrator or who were (c) not sure of their career plans at the close of the study. Responses to prompts and comments to interview questions provided by participants were compiled into one data source for each student. Tracing their reflections over time suggested that students who defined and maintained clear career goals (i.e., becoming a principal or assistant principal) throughout the study received the greatest self-perceived benefits from the program. Many students in this group reported 243

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I I I I I I I I I i I I l I I I receiving encouragement from their principals or sponsors, and several sought opportunities outside of the program to engage in field-based learning experiences. The story of one participanfs professional growth outlines how career aspirations are influenced by many factors (Practitioner Growth: Prologue. pp. 111-112). At the close of this study, in which 18 of 19 students in the cohort participated, only nine respondents indicated that they planned to seek positions as a school principal within two years of completing the program. Three other students identified becoming an assistant principal as their next career goal. Implications Educators' aspirations have implications for the recruitment and selection of program participants, and thus, careful review of applicants' purposes for seeking admission to principal preparation programs is important. At the close of this study, participants identified youth and limited teaching experience as hindrances to their seeking principal positions after completing their program. Students with few years of classroom teaching experience reported difficulty understanding the core technology of schools and the broader systemic structures of the educational enterprise. Some less-experienced educators also indicated that balancing skill development as new teachers and as future principals was difficult for them. Further, only 12 of 18 (67%) participants planned to pursue positions as school administrators following completion of their licensure program Using the 1987 report by the National Commission on Excellence in Educational Administration as the basis of their paper, Milstein and Krueger (1997) assessed the current status of administrator preparation and offered suggestions for program improvements. They identified the recruitment and selection of candidates as critically 244

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important processes because a laissez-faire approach to student admission is destructive to the profession and the reputation of programs. If accountability policies are enacted that measure the effectiveness of principal licensure programs based upon performance on job (Barnett & Muth, 2000), issues of candidate recruitment and selection become critical. Also, while the pool of qualified candidates for the principalship is shrinking (Daresh & Capasso, 2000; Kelley & Peterson, 2000), little empirical evidence about the causes for the trend is available. Studies have been conducted that link career aspirations to career paths in educational administration (Begley, 1990; Merrill & Pounder, 1999; Pavan, 1987; Whitcombe, 1979). Nonetheless, more research is needed to determine if educators' career aspirations are linked to the reasons why many graduates of administrative programs do not assume positions as school principals. Leadership Development A second assumption for this investigation was that, as learners expand their knowledge base and apply skills in their professional practice, their personal transformation and acculturation elicits insights about the principalship. This proposition was based upon the concept of situated learning through legitimate peripheral participation developed by Lave and Wenger {1991 ). The second assumption guided the search for evidence of professional growth through personal transformations (changes in participants' self-awareness as leaders and understanding about leadership) and through acculturation (changes in participants' role conception of the principalship and participants' professional behaviors). 245

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! I I I I I I I i I i i I i I I I I I Findings Participants' personal transformations became explicit through their reported self-discoveries of core values and educational convictions, raised to a level of consciousness by reflective writing. Various internal and external factors reported by the participants further uncovered personal awareness of leadership abilities. Students identified several cohort activities and assignments that expanded their understandings about leadership and, thus. stimulated their self-awareness of leadership potential. Most participants cited developing the reflective portion of their leadership plans as the greatest influence in self-discovery. For some respondents, developing a passion statement and engaging in online reflective sharing with peers also encouraged their personal transformations. At the close of the study, all 18 participants responded to the prompt, Are you a leader? Only one student admitted that he did not perceive of himself as a leader prior to enrolling in the program. His story of professional growth is described in Chapter 6 as Leadership through Confidence Building {pp. 138-140). Two participants, however, reported that their perceptions of themselves as leaders did not change as a result of participating in the program. These two educators entered the cohort with prior leadership experiences and clear career goals. Reasons why changes in perceptions did not occur are presented through their explanations, titled Leadership through Experience (pp. 133-135) and Leadership through Action (pp. 135-137). One of these educators explained at the close of the program that she was "just doing time" to complete the principal licensure requirements defined by the state. Most participants, regardless of prior leadership experiences, admitted that they developed new understandings about leadership while participating in the licensure program. However, several students voiced concerns about the content presented in the 246

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leadership domain. They believed that important elements of leadership development had been omitted from their principal preparation. Other students expressed disappointment that the theme of the cohort, the study of collaborative leadership as a means of redefining the principalship, was not fully developed (Leadership Domain: Participants' Concerns, pp. 146-148). Implications Some critics of district nomination present opposing views in the literature about selection of students for principal preparation programs (Cline & Necochea, 1997). However, participants in this study shared that encouragement from their principal or supervisor instilled beliefs in them about their leadership potential that stimulated their professional growth. Additionally, the nominating administrators often provided opportunities for field-based learning experiences beyond program activities, which further enhanced the students' leadership development. Development of leadership talent is an important outcome for principal preparation programs. and thus, candidate identification and preparation needs to begin prior to program admission (Milstein & Krueger, 1997). Career-ladder positions, administrative internships. leadership training programs, and principal shadowing opportunities for talented teachers, prior to admission to a principal licensure program, are recommendations suggested by Hertling (1999). After conducting an extensive literature review and talking with nearly 1 00 administrators nationwide, Yerkes and Guaglianone (1998) concluded that districts need to provide teachers with opportunities to engage in authentic leadership and socialization experiences with school administrators. When districts provide professional advancement opportunities for teachers and demonstrate value in the principalship and its requirements, talented educators seek the position (Yerkes & Guaglianone, 1998). 247

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However, a tension arises in identifying and mentoring teachers as potential candidates for the principalship. Many principals are asked to look for teachers who show leadership qualities; however, by nurturing leadership qualities in teachers to groom them for future administrative positions at other schools, they lose valued teacher-leaders in their own schools {Ripley, 1997). Another important component of educational leadership development is program curriculum and pedagogy. Stein {1998) advocates situated learning in classrooms where adult learners engage in simulated group activities, group discussions, and critical reflection where they can verbalize knowledge gained and engage in problem-solving approaches with experts in the field. Content, context, community, and participation are the main elements of situated cognition and collaborative classrooms for adult learners {Stein, 1998). Preservice training for principals must include group-processing skills. problemsolving strategies, and problem-based learning {Lumsden, 1992). Bridges and Hallinger {1997} identify numerous student benefits from problem-based learning, in particular, mastery of leadership skills and ability to make more informed decisions about being a school leader. Based upon an extensive literature base, Muth et al. {1999} constructed a learning-oriented programming model in which deliberative action, reflective practice, and lifelong learning are outcomes for graduates of principal licensing programs. Kelly and Peterson (2000) posit that leadership development includes "recruitment to the profession, early preparation and licensure, recruitment and selection to a district and placement in a school, ongoing evaluation and supervision and coaching, and continuous career-long professional developmenf' (p. 20}. Based upon the literature and findings in this study, recruitment of candidates by educational administrators is critically important in the process of principal preparation. Additionally, administrative 248

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leadership programs need to engage all students, even those with prior leadership experiences, in meaningful learning activities and skills development that mirror the work of today's principals and tomorrow's school leaders. Expanded evaluation of university-based and district-sponsored principal licensure programs is needed. Additionally, findings from longitudinal studies that trace career paths of program graduates would provide additional information about the effectiveness of professional development for educational leaders. Role Conceptualization and Socialization The second study proposition also suggested that acculturation into the principalship is an outcome of participation in a principal licensure program. The assumption is that, as learners expand their knowledge base, changes occur in their role conception of the principalship and in their professional behaviors. Although discussions about role conceptualization and professional behaviors are presented in two chapters, summaries of findings are presented together in this section because both link to the same implications for practice and research Role-identity transformation emerged from the data and is also included in this section. Findings: Role Perceptions Professional growth is described in relation to the practitioners' understandings about the roles and responsibilities of a school principal. Multiple factors influenced the participants' perceptions, in particular the length of time the students had worked in educational settings. Educational practitioners who understand the complex nature of work in schools, as evidenced through their reflections and responses, and who have been classroom teachers between 6 and 20 years held more realistic perceptions about what a principal 249

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! I I I I I I I I does than did less experienced teachers. Evidence of the differences in perception emerged by grouping participants' descriptions of a principal's actions, attributes, and roles into sets according to the number of years of experience. The groupings, based on the work by Sanders (1999) and Evans (1996), created four distinct sets according to the number of years working as educators: (a) 5 years or fewer, (b) 6 to 1 0 years, (c) 11 to 20 years, and (d) over 20 years. Group responses were displayed in tables, and the role descriptors from all four groups were compiled into a single display (Table 7.5, The Principalship: Comparisons of Role Conceptions, p. 167}. The comparisons indicated that few common role conceptions were found within all four groups of educators. The shared perceptions about the principalship were that the principal is a "facilitator," "communicator," and "community liaison" who "collaborates." Additionally, data collected about the participants' perceptions of the principalship indicated that some students perceived that age, gender, and parenthood created stumbling blocks for them. Several cohort members cited limited teaching experience, youth, and parental responsibilities as reasons why they did not plan to seek positions as principals immediately following successful completion of the licensure requirements. These findings about role conceptualization of the principalship suggest important implications for identifying candidates and integrating clinical experiences into principal preparation programs. These issues are presented in the implications section following findings about socialization and role identity. Rndings: Professional Behaviors Evidence of professional growth through construction of new perceptions and transference of learning to practice is presented in Chapter 8, Socialization: Participants' Transformation. For many students, transformation began with a broader awareness of the core technology of schools and an expanded understanding of educational systems. 250

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I I l I I I i I I i I i I I I Greater change seemed to occur, however, when students had opportunities to observe and work closely with practicing school leaders. Practitioner growth, measured through changes in professional behaviors, emerged in comparisons between participants' responses to initial and closing self-assessment inventories. Participants indicated how often they engaged in the activities presented as 36 identical statements on the preand post-survey. Most statements on the inventory linked to the state's six professional standards for school administrators and only focused on actions that teachers also performed. Possible responses to the inventory statements included (a) never, (b) rarely, (c) sometimes, (d) often, and (e) not applicable or possible. The initial responses were treated as the control group. and the closing responses served as the treatment group in the computation of effect size for each statement (Ary et aL, 1996). A complete description of the analysis process is presented in Chapter 4, Mixed-Methods Case Study (pp. 98-99). Descriptive statistics and magnitude of change ratios were computed for each statement. Triangulation of quantitative and qualitative data indicated that changes in many professional behaviors occurred while the educators were participating in the program. Additionally, participants' answers on open-ended questionnaires and comments during interviews indicated that students who engaged in ongoing clinical experiences began transferring their teaming about school leadership to their current practice as teacher leaders or as acting administrators. At the midpoint of the study, four cohort members assumed school leadership positions and four other students enrolled in their intensive administrative internships. Additionally, students nominated to the program received ongoing support from their supervisors to participate in various principal-related activities. Data reflect that working with educational administrators stimulated the adoption of new professional behaviors. 251

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Socialization into the principalship began for students who spent time in community with experienced educational leaders. Data related to this proposition indicate the critical importance of extensive acculturation opportunities during principal preparation: Greater transference of theory to practice emerged when students socialize and interact with school principals. Rndings: Role Identity Role-identity transformation into the principalship appeared to require a mindset shift. Some participants experienced this transformation prior to enrolling in the program. Others experienced it during their program. For some, a new mindset as a school leader had not occurred after a year of participating in the licensure program. A discussion about mindset shift, including extensive descriptions in the participants' own words, is presented at the end of Chapter 8 (Mindset Shift: Transformative Professional Growth, pp. 203-206). Closing comments about professional growth shared by participants indicate that some students intend to remain in the classroom or pursue other career paths following completion of the licensure program (Professional Growth: Epilogue, pp. 238-241). Developing a new role identity is highly personal. Data suggest that participation in a principal preparation program does not always stimulate an identity transition and, hence, may explain why many graduates never seek positions as school leaders. Implications Data in this study indicate that teachers' experiences in leadership positions prior to the program affected their role conceptualization about the principalship and influenced socialization. Participants who reported involvement in district or school committees had broader understanding about the nature of work in schools than their cohort peers who 252

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I I I I I I i 1 I I i I i I I I I I I I i t : 1 had not been involved in activities outside of classrooms. Interactions with teachers in other grade levels or disciplines and with school administrators helped teachers broaden their perspectives about school leadership. Because state admission requirements to principal preparation programs differ (Kelley & Peterson, 2000), experience as teachers may vary considerably among program participants. Hence, students enrolled in principal preparation programs need opportunities to conceptualize the principalship through socialization with practicing principals and with aspiring principals (Lumsden, 1992; Milstein & Krueger, 1997). Research shows that socialization through internships increases role clarification and technical expertise (Oaresh, 1987; Daresh & Playko, 1997), changes role conception about the principalship (Milstein & Krueger, 1987; White & Crow, 1993), and develops skills and professional behaviors (Cordeiro & Smith-Sloan, 1995; Lumsden, 1992). While reading and discussing leadership theory expands knowledge bases, students engaged in principal preparation programs need opportunities to develop administrative and problem-solving skills (Lumsden, 1992; Milstein & Krueger, 1997). In reviewing administrator preparation programs, Kelley and Peterson (2000) found that effective programs were characterized by "significant coherence in curriculum, pedagogy, structure, and staffing" (p. 37). The experiential component of the program was viewed as the core, with "classroom-delivered curriculum content designed to support and make meaning of the experiential component" (p. 37). Findings in this study support the importance of integrating classroom activities and field-based learning as strategies for developing role conceptualization and socialization. Additionally, data from this investigation support research about career objectives based on gender differences (Alley & MacDonald, 1997; Chen 1991; Whitcombe, 1979) that connect to role conceptualization and socialization. Seven of the 18 participants in 253

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the cohort studied were male. Six of the seven males had been teachers for less than eight years, making them less-experienced educators than their female peers in the cohort. Further, most male educators in the group entered the program with clear objectives and sought opportunities to engage in socialization and career-development more often than the female students. Interestingly, male participants did not identify gender or parenthood as hindrances to their career advancement, and they reported role identity transformation more often than their female peers did. In a study comparing career patterns of male and female teachers, aged 25 to 55 years, Whitcombe (1979) found several major career differences. Men pursued a more aggressive approach to career planning and advancement and took advantage of inservice courses more often than women. Also, parenthood negatively influenced promotion eligibility for women due to career breaks for child rearing. According to research conducted by Crow and Glascock (1995), role-identity transference from teacher to principal is a critical component of success as a school leader. A teacher moving to an administrative position must relinquish a comfortable mindset, experience a modification of self-esteem as a novice. and learn new behaviors as an expert. Crow and Glascock found this to be difficult for some highly qualified candidates in a nontraditional principal preparation program for women and minorities. Like some participants in their study, some participants in this study also struggled with role-identity transition. Alley and MacDonald (1997) also explored role identity through career development. In their study of women administrators, they found that developing a new self-conception as the principal was key to bridging the transition from teacher to administrator. However, Ripley (1997) suggests that difficulties with role conceptualization and identity emerge from the differences between masculine and 254

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I I I i I I I i l I I i I j I i I i i I I I l i i I I I I I i feminine styles of leadership. Because men hold the vast majority of educational leadership positions, the career-ladder model is a masculine strategy. Another consideration in role conceptualization and socialization of the principalship is education's changing context, resulting in new expectations about school leadership. As educational practitioners themselves, students in principal preparation programs face the reality of complex pressures in schools in their own practice and observe the demands on their principals. A practitioner and a university educator offer insights about the forces changing the principalship. Ripley (1997), a superintendent in a Canadian school district, believes that today's principals are "pulled in different directions and some are breaking under the stress" {p. 55) He describes the pressures in a framework of three tensions: leadership, needs, and social and cultural. The first tensions are based upon differing demands of leadership: (a) collaborative versus authoritarian models, (b) masculine versus feminine styles, (c) instructional leadership versus management, and (d) principal as leader versus principal as servant. A second set of tensions emerge because of contrasting needs between (a) an individual and the group, (b) the teachers' professional and personal lives, and (c) growth of teachers and students. Finally, social and cultural tension requires balancing (a) a principal's vision against the communal vision, (b) rhetoric about education against the reality of practice, and (c) the value of stability against the need for change Finding an appropriate balance is difficult because few resources are available to assist principals, and thus, Ripley (1997) believes principals "must learn to live with the intense ambiguity." After conducting extensive research on the history of educational administration and the forces of change affecting schools today, Murphy (1998) asserts that the principal's role will need to be reconfigured. He envisions the emerging principalship in 255

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four metaphors (organizational architect, social architect, educator, and moral agent) that "will both shape the organization and overhaul the system to meet the demands of a new social structure" (p. 14). Based upon the findings in this study and a review of recent literature about educational administration, implications for role conceptualization of the principalship and socialization of aspiring principals into the community of practice appear overwhelming. Multiple forces are requiring the principalship to change, creating tension and stress on today's school leaders and teachers. The fact that teachers are seeking training to become tomorrow's school principals is somewhat amazing and definitely encouraging. Thus, principal preparation programs must engage students in professional development that will prepare them to be effective school leaders. Research on effective educational administration preparation programs indicates that experiential learning is an important element in the professional development of new principals (Kelly & Peterson, 2000; Milstein & Krueger, 1997). Whether learning in the classroom or learning in the field, students need to be engaged in activities that develop the types of intellectual, social, reflective, technical, and personal skills required by school principals today. Thus, partnerships between university educators and educational administrators in the design and delivery of principal preparation programs are critical. One noticeable omission from the discussions about principal preparation programs is career counseling. While careful recruitment and selection of candidates may improve post-graduate placement rates. aspiring and incumbent principals need assistance through the stages of role identity. career transition, and acculturation (Cordeiro & Smith-Sloan, 1995; Daresh & Playko, 1997; Sigford, 1998; White & Crow, 1993). Women in education tend to move into positions of leadership later than men do and, thus, women particularly need assistance in developing career paths (Alley & 256

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MacDonald, 1997; Whitcombe, 1979). Developing career counseling and guidance for teachers in principal licensing programs is one implication emerging from this finding. Additionally, research on the career paths of program graduates is needed to inform faculty about the reasons for non-placement as school principals. Cohort Programs A final proposition for this case study was that programs delivered through a cohort model provide stimuli for professional growth. The cohort was developed in partnership with an urban school district with the goal of exploring collaborative leadership. Students' reflections about their experiences as learners in a cohort are presented in Chapter 9, The Cohort: Participants' Assessments. Rndinqs While the cohort model may provide enhanced learning for many students, data collected in this study suggest that managing the learning community is critical. Students indicated that teamwork and camaraderie, peer interaction and collegial support, and professional relationships and networking were important benefits of their cohort experience. Many reported that learning in a cohort was positive for them and that they would want to participate in another cohort program if they furthered their education. However, some students reported less positive assessments about particular activities or assignments. One example was the integration of telecommunication technology into the curriculum. Although most students identified having their own cohort subconference within the university's telecommunication system as an asset, the use of online conferencing as an instructional tool received mixed evaluations. Some students loved sharing personal disclosures through e-mail messages because they perceived that the virtual-communication mode created protection. 257

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! I I i I I I I I I I I I i I I I I I I i I I I i i I i I I I I I i i Comparison of online messages and observations of cohort meetings during the opening months of the program showed marked differences in peer interactions. Many students exchanged personal disclosures, religious convictions, and problems of professional practice via e-mail messages. However, several others chose not to engage in personal sharing with their cohort peers. When asked at the close of the study why the differences in peer interaction occurred, many students explained that they perceived virtual communication as a risksafe environment. Other participants did not like online sharing because they preferred face-to-face interaction in class. However, a few students, threatened by the required public reflection and sharing via online exchanges, did not engage in the online assignments because they had not yet developed needed rapport and trust with their peers. Discussions about online communication within the cohort are presented in Chapter 9 (Online Interaction and Sharing, pp. 218-220, and Frustrations about Online Activities pp. 225-226). Participants reported frustrations related to the program activities and cohort membership. Among these were the selection process for group-work teams and interpersonal problems among students created by their age and experience differences. However, the most troublesome problem identified by participants was the lack of cohort norms that established acceptable group behavior. Several participants perceived that the long-term effects of student tardiness and cliquish behavior hindered their learning and created destructive divisiveness. Implications Empirical evidence generated from many studies about cohorts in educational leadership programs suggest many benefits for students, which is supported by similar findings in this study. One unique feature of this study, however, was that it traced the 258

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I I I I I I I i I I i I I l i i I I j I I I i I i I I cohort's early development and collected Ieamer assessments in real time and during transition points. Thus, data reflect stages of the cohort's group development. In this case study, diverse district affiliation in the cohort composition appeared to expand understanding about the education system within the larger metropolitan area. Participants cited collegial sharing, professional relationships, and networking opportunities as positive outcomes of their experience as cohort learners. Conversely, diversity in age and teaching experiences created dynamics that became problematic for some educators who were focusing purposefully on their professional development. Barnett and Muse (1993) found that careful screening and selection of cohort students create more cohesive and interdependent cohorts. Therefore, balancing the advantages and disadvantages of diverse cohort membership is an important implication for future cohort development. Data clearly indicate that the absence of group-determined norms led to unacceptable peer behavior (i.e., tardiness and cliquishness) that students believed hindered their learning. Like this study, Teitel (1995) also found evidence of cohort cliquishness and exclusionary practices while conducting an action-research project about the status of cohorts at an eastern university. Interpersonal problems and conflicts among students are two disadvantages of using cohorts in educational administration programs (Barnett et al., 2000). Because using the cohort model "does not ensure a true cohort will develop" (Basom et al., 1995, p. 19), careful attention must be given to group processing at the beginning, and throughout, a cohort program. Cohorts provide excellent opportunities for practitioners to learn and practice skills in corporate goal setting, community building, conflict resolution, and culture management (Kelly & Peterson, 2000; Milstein & Krueger, 1997). However, using the cohort model requires program cohesion. A faculty must be involved in identifying and 259

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implementing critical elements that generate optimum learning environments for both faculty and students (Barnett et aL, 2000; Kelly & Peterson, 2000}. Effective use of the cohort model requires collaboration and more work for faculty (Barnett & Muth, 2000}. This case study spanned three major transitions during the cohort program, which generated data about the turning points through student reflections and researcher observations. The progress from one content domain to another appeared to be more like separate courses than components of one cohesive program because instructional strategies and product requirements changed dramatically with each change of instructor. These differences were evident in the students' assessments of the content domains at the close of the study. This study supports the need for expanded research about faculty roles in cohorts proposed by Barnett and Muth (2000}. Although this investigation was a yearlong mixed-methods case study that integrated multiple data sources and quality checks, the case selected was only one cohort within a university's educational leadership program. While findings about cohorts are similar to findings from research on other principal preparation cohorts, the participant sample (18 students} was small. Additional research using cross-cohort comparisons within the same university program is needed before recommendations about program modification can be made. While measuring transference of learning to practice may be difficult, accountability about effectiveness of professional development programs requires data beyond statistical information, such as passing rates on exam scores or career placement. Results from this case study provide baseline qualitative data for future research about transference of teaming in cohorts to professional practice of program graduates. 260

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I, II I l I Case Study Summary and Conclusion The capacity for a school to respond appropriately to external change forces or initiate innovation depends upon the effectiveness of a school principal to manage multiple conflicting pressures. Current literature about public education suggests building capacity through sharing school leadership with representatives of various stakeholder groups and creating empowered school cultures responsive to innovation. However, implementation of collaborative leadership processes and creation of empowered school cultures are in opposition to the traditional role of the principal as the schooi leader. This exploratory study described and analyzed the professional growth of 18 educational practitioners while participating in a principal licensure program that focused on collaborative leadership. The main unit of analysis was a closed cohort within an urban-university's administrative leadership program conducted in partnership with a local education agency. The case study was bounded in time. from January 2000 to December 2000. It began at the cohort's orientation and continued through completion of the initial three of four content domains. A set of researcher propositions guided the focus of this mixed-methods study. The inquiry explored and analyzed participants' career aspirations, leadership self-awareness and understanding, conceptualization of the principalship, and socialization into the community of practice. Additionally, program effects that stimulated professional growth and real-time student assessments of learning in a closed cohort were examined. Findings reflect important implications for the professional development of schools leaders. Five significant findings emerged from the study. Rrst, career aspirations of educators in the program appear to link with level of Ieamer engagement. Second, multiple factors influence personal awareness of leadership potential and 261

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feelings of competency to assume a principalship. Encouragement and support by mentors enhanced leadership awareness and developmentt. Third. educators' role conceptualization of the principalship is related to the numl:Der of years teaching experience: The longer a practitioner works in the field of et-ducation, the broader the understanding about the roles and responsibilities of a school principal. Fourth, experientialleaming and interaction with practicing adminis-.trators are critical to the socialization process in principal preparation. Rnally, the cohort model may stimulate collegial support and enhance leaming, initial andl ongoing community-building activities are needed for optimum benefit. Differences in ages and professional experiences of students also can negatively impact learning opportunities in a cohort. Data indicate that practitioner growth while participating in a principal licensure cohort depends upon multiple factors directly and indirectly related to the program. Practitioners' reasons for pursuing licensure as a school priincipal are associated with their degree of engagement as learners and role-identity development as future school leaders. The K-12 principalship is changing to meet complaex societal and educational issues, and thus, role conceptualization is difficult for aspirimg principals. Therefore, experiential teaming must be the core element of principal wreparation to ensure needed skill development and socialization into the community of piTactice. Career counseling is needed, especially for women, to assist teachers as they m1ake the transition from classrooms to administrative offices. Using the cohort modBel requires careful attention to community-development and norm-building processes. 262

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APPENDIX A HUMAN SUBJECTS COMMITTEE APPROVAL HUMAN SUBJECTS University of Colorado at Denver Campus Box 123, P.O. Box 173364 Denver, CO 80217-3364 DATE: TO: FROM: SUBJECI': MEMORANDUM January 7, 2000 Tricia Ferrigno .. Q '/'/ Dorothy Yates V (} Human Research Protocol #541: A Case Study of Practitioner Growth in a Collaborative Leadership Education and Skills Development Program Your protocol. with changes, has been approved as non-exempt. This approval is good for up to one year from this date. If you have any questions please contact me at (303) 556-2770 263

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APPENDIX B PARTICIPANT PRE-SURVEY: JANUARY 2000 PART 1: Personal student information. Please respond by placing an "X" in the appropriate blank or box or by writing a short response. 1. Your gender: __ Male __ Female 2. Your birth year range: _1925-1942 1943-1961 1962-1981 3. Your ethnicity: African American __ Hispanic __ Asian American __ Caucasian Native American __ Pacific Rim 4. Your marital status: __ Married __ Single 5. Are you responsible for dependents currently living with you? Yes No If yes, identify the type of dependents residing with you for whom you have obligations: __ Child(ren) under the age of 16 _Parents/older adults __ Disabled person If dependents live with you, is there another adult assisting you? _Yes __ No 6. Are significant others in your life supportive of your decision to participate in this program? Yes No If not, please explain reason(s) -----------If not, will the lack of support be a problem for you? Yes No 7. Are you receiving financial aid while participating in the program?_ Yes No 8. Do you have an office in your home? __ Yes __ No If not, what arrangements have you made for a study/work area? -------9. Do you have access to a computer at any time? Yes No 10. Describe your level of proficiency as a user of information technology (email, Internet): __ Expert __ Advanced Proficient __ Competent __ Novice 264

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11. Will use of electronic communication be a problem for you? Yes No If yes, please describe the problem(s): ----------------12. Please identify your current employment status: _Teacher in elementary school __ School Psychologist Teacher in middle school __ Educational Specialist __ Teacher in high school School Administrator Substitute teacher __ Employed outside education 13. If you are currently teaching, please identify your area of focus (literacy, mathematics, science, physical education, etc.): -------------14. What month and year did you begin your current position? ______ 19 15. How many years in total have you worked full-time in an educational setting? 16. Have you ever worked in a school outside of Colorado? __ Yes No If yes, where? When?--------17. Have you worked full-time in a non-education career? Yes No If yes, what field? What position? ----------18. Do you participate in activities outside your work responsibilities? Yes No If yes, please identify all that apply: _Sports team player __ Student organization __ Give lessons (music/art) __ Sports team coach __ Parent organization __ Sponsor (gym/drama) _Faculty committee __ Volunteer organization __ Tutoring _Church activities __ Music performances Other 19. At present, the highest degree of formal education that you have completed is: _Bachelor (SA orBS) _Master (MA or /MS) _Doctorate (EdD or PhD) 20. Excluding this program, in which year did you last take a college course? ___ In your prior college work, have you ... 21. Participated in a cohort program? 22. Created a oortfolio as an assessment too!? I 23. Participated in a problem-based learning environment? 24. Participated in a learner-centered environment? I 25. Worked as a team member to complete a group project? 26. Participated in electronic (online) discussions as part of the course requirements? 27. Are you satisfied with your current work? Yes No If yes, please identify all that influence your job satisfaction: Salary __ Love for teaching _Job Security Daily variety of the work Status and prestige __ Sense of achievement _Autonomy __ Respect of peers 265 Yes No Not sure I I I Ufelong learning _People in field _Work with youth __ New beginnings

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28. What is prompting you to pursue licensure to be a school principal? Part II: Professional Behaviors Please assess your professional behaviors as an educator by rating how often you participate in the following activities. Use the foffowing scale and place an "X" in the box that most cfosefy applies: N=Never R =Rarefy S =Sometimes At the present time, I ... 0=0ften A = Not applicable or possible ? = Do not understand statement 29. Belong to professional education organization(s) at local, state and/or national level 30. Attend professional education meetings and/or conferences 31. Share with colleagues new knowledge learned from attending professional meetings and/or conferences 32. Read professional books and/or journals to improve my practice as an educator 33. Share with colleagues new knowledge learned from reading professional books and/or journals 34. Explore the Internet for new ideas to improve my practice 35. Participate in education-related Web chat room discussions 36. Share with colleagues new knowledge learned from electronic sources 37. Maintain a reflective journal related to my practice 38. Seek feedback from others regarding my effectiveness as an educator 39. Evaluate my own performance as an educator 40. Attempt to influence educational decisions in the district 41. Assume professional leadership positions outside the school 42. Prepare or assist with production of school newsletter 43. Contact media to report school activities and/or successes 44. Challenge rules or policies when I believe an educational or professional issue is at-stake 45. Network with educators outside the school and/or district 266 N Rl S 0 I : I I I I I I I I I I I I : i I I I I I I I I I I I I I I I I I AI ? I i I I I I I I I

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I Part II {continued): Professional Behaviors Please assess your professional behaviors as an educator by rating how often you participate in the following activities. Use the following scale and place an "X" in the box that most closely applies: N =Never R=Rarely S = Sometimes At the present time, I ... 0 =Often A = Not applicable or possible ? = Do not understand statement 46. Involve other faculty members when creating new projects or programs for the school 47. Involve students when creating new projects or programs for the school 48. Involve parents when creating new projects or programs for the school 49. Seek counsel, advice and/or support from peers 50. Seek counsel, advice and/or support from district office 51. Seek support from community and business sources for school activities 52. Supervise (or have recently supervised) a preservice teacher 53. Mentor (or have recently mentored) a new teacher 54. Participate in peer support group 55. Participate in curriculum development activities 56. Participate in school-wide action research 57. Display enthusiasm and interest in my work 58. Try new ideas and/or strategies in my practice 59. Work as a member of a professional community 60. Work as a member of a learning community 61. Conduct (or have recently conducted) professional development workshops 62. Participate in activities that relate to school accountability issues 63. Function as an effective change agent in school improvement 64. Understand the purposes, operations and organization of the total educational program of the school where I work 267 IN R S 0 I I I I I I I I I I I I I I I I I I I I I I A ? I I i I I I I I I I I

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I I I I I I I I I I i r I ; I i I I I l i I I i I i l 65. Describe what you consider to be a major hindrance to your professionalism as an educator. 66. Describe what you consider to be a major hindrance to teacher leadership in your school: 67. Describe what you consider to be a major hindrance to collaboration in your school: PART Ill: Responsibilities of a Principal Assume that you are currently a public school principal and that, after reading the paragraph below, you determine that you want your school to be "more effective for all students." Prioritize the list of issues, from most important (1) to least important (8), according to what you believe is the best course of action to accomplish your goal. It will take a lot to make public schools more effective for all students: greater academic rigor, higher standards of conduct, more parental involvement, meaningful professional development for teachers, stronger incentives for the students themselves, and, of course, more access to health and social services for the many students who are in need of such. To that list, we must add two critical factors that matter a lot: creating more responsive school governance structures; and expanding teachers' capacity to have more professional discretion over their own practice. (Urbanski, 1999, p. 44) 1 __ Greater academic rigor __ Higher standards of conduct __ More parental involvement __ Meaningful professional development for teachers __ Stronger incentives for the students themselves __ Access to health and social services for students who are in need of such __ More responsive school governance structures __ Expanded teaches' capacity to have professional discretion over their practice 68. Describe what you consider to be the most effective leadership style a school principal can use to address the challenges you identified above and explain why. 1 Urbanski, U. (1999, November 24). Governing well. Education Week, 39(13), 44. 268

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APPENDIXC QUESTIONNAIRE 1: MARCH 2000 1. Describe one of your past experiences as a participant in school leadership and share what you have learned from that experience. 2. Describe what you are learning now about leadership. 3. What is stimulating that learning? 4. Describe your understanding of the roles and responsibilities of a school principal. 5. Describe how you think about yourself as a leader. 6. What is stimulating that thinking? 7. In what ways are you using what you are learning in the program in your present position? 8. Has anyone noticed a change in your behavior since your beginning the program and talked with you about it? If yes, describe who made the observation and what was said. 9. Please describe the program activities that have been most useful to you so far and the ways in which they have been helpful to you. 1 0 Please describe the program activities that have been least useful to you and indicate what could be improved to make them more effective for you. 11. What difficulties (if any) have you faced in completing the required work? How have you addressed the challenge(s)? 269

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12. Is the use of the university's telecommunication system facilitating your learning? In what ways? 270

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APPENDIXD KEY INFORMANT INTERVIEW 1: APRIL 2000 1. Please explain how you learned about the principal licensure cohort program. 2. Why did you choose to participate? 3. If you were recruited or nominated to participate by a district-level administrator, do you know why? Please explain. 4. Please describe how the licensure program is helping you to achieve the reason(s) for which you chose to participate. 5. What external influences, if any, are making participation in the licensure program difficult for you at the moment? 6. How are you handling the external challenges you are facing? 7. What internal influences, if any, are making participation in the licensure program difficult for you moment? 8. How are you handling the internal challenges? 9. You have been participating in the licensure program for approximately 3 months, what would you change about the program and why? 1 0. Define "leadership" as you understand it today. 11 Has your definition changed since beginning the licensure program in January 2000? If so, how has it changed? 12. What has initiated that change in your understanding of the meaning of leadership? 271

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13. Do you consider yourself to be an educational leader? Why/why not? 14. What do you believe is the most pressing demand on school principals today? 15. What is causing it? 16. If you were a school principal today, how would handle that demand? 17. If you could create a "perfect" school, what would it be like? 18. Describe the leadership model that you believe would be most effective in your "perfect" school. 19. Do you think you can be a change agent to create your vision of a "perfect" school in the district where you currently work? Why/why not? 20. Would you like to share anything else today in this interview? 272

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APPENDIXE KEY INFORMANT INTERVIEW 2: JULY 2000 1. Describe the roles and responsibilities of a school principal, as you understand them today. 2. Has your understanding about the principalship changed since beginning the licensure program? If so. in what ways? 3. Define leadership, as you understand it today. 4. In what ways is your understanding of leadership changing as a result of participating in this program? 5. What is stimulating that change about the meaning of leadership? 6. Describe the licensure program activities that have been most_ useful to you and the ways in which these activities have been helpful to you. 7. What activities have been least useful to you? What could be improved to make the licensure program more effective for you? 8. Are you doing anything outside the licensure program (such as. reading additional books, conducting Web searches, attending conferences or workshops. interviewing principals or administrators) to stimulate your professional growth as a school principal or administrator? If so. what are you doing and why did you choose that activity? 9. In what ways is your understanding of yourself as a leader changing as a result of participating in the licensure program? 10. Describe how the licensure program is helping you to achieve the reason(s) for which you chose to participate. 11. In what ways is participating in the program creating stress for you as a student? 273

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12. What actions are you taking to alleviate that stress? Are these actions effective? 13. Describe what actions to alleviate stress you think you will use when you assume the position as a school principal or administrator. 14. Would you like to share anything else today in this interview? 274

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APPENDIX F QUESTIONNAIRE 2: AUGUST 2000 1. How is the program going for you at this point? 2. What things are working well for you? 3. What problems are you encountering? 4. Describe briefly what you have learned so far about lea .. dership. 5. What is stimulating your learning about leadership? 6. How might you use your new understanding in your cument work? 7. Describe briefly your understanding of the roles and responsibilities of a school principaL 8. Describe briefly how you think about yourself as a leader. 9. What is stimulating your thinking about yourself as a leader? 10. Please describe the activities in your cohort that have most useful to you and the ways in which they have been helpfuL 11. Please describe the activities that have been least to you and the ways in which they might best be improved for you 12. What difficulties (if any) have you faced in completing required work? How did you overcome the challenge? 13. How effective have the artifact writing and benchmarks activities been for you? 275

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14. Toward developing your portfolio? 15. Would you like to share anything else about the first two semesters of your licensing program? 276

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APPENDIXG QUESTIONNAIRE 3: OCTOBER 2000 Between February 2 and April 10, the cohort engaged in online discussions about the assigned reading of two leadership articles ("The Moral Journey Toward Purpose" and "Leading From Within"). Please reflect back to that time and activity as you respond to the following questions. 1. Please describe your understanding of the assignment. 2. Please describe your reaction to being assigned this activity. 3. Did you encounter any difficulty using university's telecommunication system for this assignment? If so, please describe your challenges and how you overcame them. 4. Some cohort members sent reflective messages about the articles to which no one in the cohort responded. If you were one of those who sent such a message, did the lack of any response to your message affect you? Please explain your answer. 5. Several of you shared very personal information about your life in your online reflections. What made you feel safe to take such risks during the early months of the cohort? 6. Did you enjoy doing this online activity? Please explain your answer. 7. Did this activity change your perception about yourself as a leader? Please explain your answer. 8. Please share any other thoughts or reactions you have about the assigned online activities in the cohort. 277

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APPENDIX H QUESTIONNAIRE 4: OCTOBER 2000 1. If you received a phone call today to become a school principal tomorrow, would you accept the position? Please explain your answer. 2. What else to you need to team to feel "competent, confident and comfortable" to lead a school? 3. What cohort activ i ties have been most effective in preparing you for school leadership? 4. What outside activities had you done to supplement your professional preparation as a school leader? 5 Have you begun to "think like a school principal or administrator"? If so, please explain when you noticed your changed perspective. 278

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APPENDIX I PARTICIPANT POST-SURVEY: NOVEMBER 2000 PART 1: Personal Data Please respond by placing an "X" in the appropriate blank or by writing a short response. 1. Your gender: __ Male _Female 2. Your age at last birthday: __ 3. Your ethnicity: __ African American __ Hispanic 4. Your marital status: Married Asian American Native American __ Single Caucasian Pacific Rim 5. The highest degree of formal education that you have completed as of November 2000: Bachelor (BAIBS) Master (MAIMS) Educational Specialist (EdS) Doctorate (PhD/EdD) 6. The highest level of formal education to which you aspire to achieve: Bachelor (BAIBS) Educational Specialist (EdS) _Master (MAIMS) _Doctorate (PhD/EdD) 7. Your purpose for participating in cohort: _License only _License+ MA License + EdS 8. Length of time you have worked in the field of education: __ years 9. Please identify your CURRENT employment status (November 2000): _Teacher in elementary school _Teacher in middle school _Teacher in high school TOS* in elementary school TOS* in middle school _Assistant Principal*" Principal** Ed Specialist School Psychologist District Director District Administrator Leave of absence Not employed _Outside field of education Other: __ _ TOS* in high school *Teacher on Special Assignment *"Not as Teacher on Special Assignment 10. Length of time you have worked in your CURRENT position: __ Number of years OR months 279

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11. Please identify your employment status at the beginning of licensure cohort (January 2000): _Teacher in elementary school _Assistant Principal** Teacher in middle school _Principal*" _Teacher in high school _Ed Specialist TOS" in elementary school _School Psychologist TOS" in middle school District Director Leave of absence Not employed Outside field of education Other. ___ _ TOS" in high school _District Administrator *Teacher on Special Assignment **Not as Teacher on Special Assignment 12. Length of time you had worked in the position you held in January 2000: __ Number of years OR ___ months 13. Did you change employment positions between January 2000 and November 2000? Yes No 14. If you answered "yes" to Question 13, please mark the appropriate description of your change in employment. If the change also involved move ben:veen public school and private school, please mark the appropriate change. You remained a classroom teacher: __ Same school, new grade(s) __ Same school, new course(s) The change was: _New school, same district New school. new district __ From private to public school __ From public to private school You moved from classroom teacher to administrative position: TOSA in same school __ New school. same district __ TOSA* in new schooVsame district __ New school, new district *Teacher on Special Assignment The change was: __ From private to public school __ From public to private school 15. Does your current supervisor know that you are enrolled in an administrative licensure program? __ Yes __ No 16. Does your current supervisor support your professional growth as a school leader? __ Yes __ No If yes, please describe how you are supported: 17. Which of the following best describes why you enrolled in the licensure cohort: __ Nominated by school principal __ Nominated by district administrator __ Self-nominated 280

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I I I I I i j I I I j I i I I I I I I I I I I 18. Between January 2000 and November 2000, did you experience major personal-life changes? _Yes _No If yes, please mark ALL that apply: __ Major personal illness __ Major family illness __ Birth/death of family member Child left home __ Marriage/divorce/remarriage __ Begin/end significant relationship Change in job (you or spouse) __ Change in financial situation __ Sale/purchase of home __ Remodeling of home Relocation to new area __ Loss of family pet 19. If you responded "yes" to Question 18, did these major changes in your personal life affect your performance as a student in the licensure cohort sometime between January 2000 and November 2000? Yes No If yes, please explain your answer. 20. Has participation in the licensure cohort created any personal hardships for you? Yes No If yes, please explain your answer: 21. Has participation in the licensure cohort created any professional hardships for you? __ Yes __ No If yes, please explain your answer. 22. Thus far, have you enjoyed your experiences as a participant in the licensure cohort? Yes No Please explain your answer: Part II: Leadership Please respond by placing an "X" in the appropriate blank or by writing a short response. 23. Are you a leader? Yes No Please explain your answer: 24. Before you began the licensure cohort, did you perceive of yourself as a leader? Yes No 25. Has participating in the licensure cohort changed your perception of yourself as a leader? _Yes No Please explain your answer: 26. Has participating in the licensure cohort changed your understanding about leadership? __ Yes No Please explain your answer. 27. Have you experienced professional growth as a result of participating in the licensure cohort? Yes No Please explain your answer. 281

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28. Describe what you consider to be the most effective leadership style a principal can use to address the challenges in schools today. 29. Is your answer to Question 28 different from your response to that question in January 2000? _Yes No 30. If you answered "yes" to Question 29. was the difference in responses due to your participation in the licensure cohort? Yes No Part Ill: The Principalship Please respond by writing a short response, by placing an "X" in appropriate blank, or by prioritizing using a number. 31. What prompted you to pursue licensure to be a school principal? 32. Within the two years following completion the licensure cohort, what type of school leadership role will you seek? __ School principal __ District administrator Classroom teacher Not sure at this time The roles and responsibilities of a school principal fall into three main categories 1 : Technical and managerial skills include all the operational details associated with providing direction and order for a school. These skills entail compliance with state rules and regulations, overseeing the school budget, maintaining effective relationships with parents and community members, developing a calendar of school activities and events, keeping the school a safe environment, resolving disputes and negotiating contracts. Socialization skills involve two distinct areas. One concerns (a) knowing the culture, traditions, and history of the school and district; (b) participating in administrative social events; and (c) understanding the informal norms for how to dress as a principal or how to address the superintendenfs secretary. The other skill area includes learning about the culture of the principalship as a career, such as how principals are supposed to act and what they are supposed to know. Self-awareness and role awareness skills are the introspective identities with the principalship, having the mindset of a school principal who has final authority and responsibility of a school. These skills mean having an understanding of one's core values and one's position as a leader within an educational system. 1 Daresh, J. C., & Playko. M. A. (1997). Beginning the principalship: A practical guide for new school leaders. Thousand Oaks, CA: Corwin Press. 282

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33. Based upon your current understanding of the principalship, please prioritize the level of importance of the three major categories of skills. Use a number scale with "1" as the most important and "3" as the least important. __ Technical and managerial skills __ Socialization skills __ Self-awareness and role awareness 34. Which of the three major categories of skills needed by a school principal do you have the LEAST understanding about? Place an "X" on the blank next to your choice. __ Technical and managerial skills __ Socialization skills __ Self-awareness and role awareness 35. Are you ready to assume the principals hip of a school? Please explain your answer. Part IV: Professional Behaviors Yes No Please assess your professional behaviors as an educator by rating how often you participate in the following activities. Use the following scale and place an "X" in the box that most closely applies: N = Never R = Rarely S = Sometimes 0 = Often A = Not applicable in current position Nl R I At the present time, I ... s 01A I 36. Belong to professional education organization(s) at local, state I I I and/or national level I 37. Attend professional education meetings and/or conferences I I 38. Share with colleagues new knowledge learned from attending I professional meetings and/or conferences 39. Read professional books and/or journals to improve my practice as an educator 40. Share with colleagues new knowledge learned from reading I professional books and/or journals I I 41 Explore the Internet for new ideas to improve my practice 283

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I Part IV: Professional Behaviors (continued) Please assess your professional behaviors as an educator by rating how often you participate in the following activities. Use the following scale and place an "Xn in the box that most closely applies: N = Never R = Rarely S = Sometimes 0 = Often A = Not applicable in current position I At the present time, I ... IN R s 0 A 42. Participate in education-related Web chat room discussions i I I 43. Share with colleagues new knowledge learned from electronic I I I sources I I 44. Maintain a reflective journal related to my practice l 45. Seek feedback from others regarding my effectiveness as an I I educator I 46. Evaluate my own performance as an educator 47. Attempt to influence educational decisions in the district 48. Assume professional leadership positions outside the school I I I {PTA, community, etc.) I 49. Prepare or assist with production of school newsletter I 50. Contact media to report school activities and/or successes I J 51. Challenge rules/policies when I believe an I educationaVprofessional issue is at-stake I 52. Network with educators outside the school and/or district 53. Involve other faculty members when creating new I projects/programs for the school 54. Involve students when creating new projects/programs for the I I school 55. Involve parents when creating new projects/programs for the I I school 284 I l I I i

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Part IV: Professional Behaviors (continued) Please assess your professional behaviors as an educator by rating how often you participate in the fof/owing activities Use the following scale and place an "X" in the box that most closely applies: N = Never R = Rarely S = Sometimes 0 = Often A = Not applicable in current position At the present time, I ... NIR s 0 A 56. Seek counsel, advice and/or support from peers 57. Seek counsel, advice and/or support from district office I I I I 58. Seek support for school activities from community and business i sources 59. Supervise (or have recently supervised) a preservice teacher I I I I 60. Mentor (or have recently mentored) a new teacher I 61 Participate in peer support group I I I I I 62. Participate in curriculum development activities I I 63. Participate in school-wide action research (other than licensure I field project) I 64. Display enthusiasm and interest in my work I i 65. Try new ideas and/or strategies in my practice I I 66. Work as a member of a professional community I I 67. Work as a member of a learning community 68. Conduct (or have recently conducted) professional I development workshops I 69. Participate in activities that relate to school accountability I issues 70. Function as an effective change agent in school improvement I I 71 Understand the purposes, operations and organization of the I total educational program of the school where I work 285 i I i

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72. Has participation in the licensure cohort changed your professional behaviors? Yes No Please explain your answer: 73. Excluding the work (reading, writing, projects, and field internships) assigned in the licensure cohort, have you engaged in activities outside of the program to supplement your professional preparation as a school leader? Yes No 74. If you responded "yes" to Question 73, please list the outside professional activities: Part V: The Licensure Cohort Program 75. Has participating in a cohort (with the same students) been a positive experience for you? __ Yes No Please explain your answer. 76. Have you developed professional relationships with your fellow cohort members? Yes No 77. Will you try to maintain professional relationships with cohort members after program closes? __ Yes No 78. Would you participate in another cohort program if you continued with your formal education? Yes No In this part of the questionnaire, please give your candid assessment of the effectiveness of program activities toward your professional preparation as a school leader. Please respond to each statement in two ways. The first series of responses asks you to describe how it was in the licensure cohort. The second series of responses asks you to indicate how it should be in the licensure cohort. The possible responses for each series are: a. Not this way at all b. Slightly this way c. More this way than not d. Largely this way e. Completely this way Circle the appropriate fetter in the response column. Your two answers to the same question many vary. 286

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In the licensure cohort How it was How it should be program: Not Completely Not Completely 79. I engaged in studenta b c d e a b c d e centered, problem-based learning. 80. I learned about the state's a b c d e a b c d e standards/benchmarks that guide the licensure program. 81. I learned how to develop a b c d e a b c d e a portfolio. 82. I learned how to write in a b c d e a b c d e APA academic style. 83. I received thorough a b c d e a b c d e instruction in using CEO. 84. The leadership domain a b c d e a b c d e provided an adequate knowledge base to cover the benchmarks. 85. The law domain provided a b c d e a b c d e an adequate knowledge base to cover the benchmarks. 86. The finance domain a b c d e a b c d e provided an adequate knowledge base to cover the benchmarks. 87. The supervision domain a b c d e a b c d e provided an adequate knowledge base to cover the benchmarks. 88. The field internships have a b c d e a b c d e provided adequate skills development. 287

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89. Are you satisfied with your learning experiences as a student in the licensure cohort? Yes No 90. Would you recommend the university's licensure program to others? Yes _No Pall't VI: Your Thoughts Please use the space below to share any additional information or reflections about your experiences as a participant in the licensure cohort between January 2000 and No vember 2000. 288

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APPENDIXJ FOCUS GROUP INTERVIEW: NOVEMBER 2000 1. In what ways have you grown professionally over the past year (between January 2000 and November 2000)? 2. How has participation in the licensure cohort influenced your professional growth? 3. You are participating in a cohort in which everyone stays together for all coursework throughout the licensure program. What are the advantages of being a member of a cohort? 4. In what ways are you using what you are learning in the licensure cohort in your current position? 5. What cohort activities have been most effective in preparing for school leadership? 6. What activities have been least useful to you? What could be improved to make the licensure cohort more effective for you? 7. In what ways can the licensure program be improved? 289

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APPENDIX K KEY INFORMANT INTERVIEW 3: NOVEMBER 2000 1. Would you please share what discoveries you made about yourself as a result of writing Part 1 of your Leadership Plan? Other questions about informant's Leadership Plan, Part I (varies with each informant). Questions about inforrnanfs responses provided during previous two interviews (varies with each informant). 2. In what ways have you grown professionally over the past year (between January 2000 and November 2000)? 3. How has participation in the principal licensure program influenced your professional growth? 4. Please describe how the principal licensure program is helping you to achieve the reason(s) for which you chose to participate. 5. You are participating in a cohort in which everyone stays together for all coursework throughout the licensure program. What are the advantages of being a member a cohort? 6. Please share your assessment of the licensure program thus far. 7. Define leadership, as you understand it today. 8. In what ways has your understanding of leadership changed as a result of participating in the licensure program? 9. What do you believe is the most pressing demand on school principals today? 290

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1 0. If you were a school principal today, how would you handle that demand? 11. Would you like to share anything else today during this interview? 291

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. I CONSTITUTIONAL TAX AND EXPENDITURE LIMITATION IN COLORADO: THE IMPACT ON MUNICIPAL GOVERNMENTS by Tommy M. Brown B.A., University of Texas at El Paso, 1963 J.D., University of Louisville, l969 A thesis submitted to the University of Colorado at Denver in partial fulfillment of the requirements for the degree of Doctor of Philosophy Public Administration 1999

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1999 by Tommy M. Brown All rights reserved.

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This thesis for the Doctor of Philosophy degree by Tommy M. Brown \ Date

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Brown, Tommy M. (Ph.D., Public Administration) Constitutional Tax and Expenditure Limitation in Colorado: The Impact on Municipal Governments Thesis directed by Professor Franklin]. James, Jr. ABSTRACT This study used all of Colorado's municipal governments as subjects for an interrupted pooled, time,series regression analysis focused on the effectiveness and impacts of two constitutional tax and expenditure limitation amendments (TELs). Municipal finance trends for more than twenty years were analyzed. Although the majority of states have imposed some statutory or constitutional restraint on specific taxes, only Colorado and California have adopted TEL amendments so encompassing that they purport to restrict virtually all revenues and expenditures to strict limits, unless the voters approve otherwise. Previous studies of TEL effectiveness and impact have not focused on municipalities or on municipalities of different populations. iv

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. I I The Buchanan and Brennan public choice theory of constitutional political economy contends that only constitutional amendment TELs are sufficiently enduring to restrain the growth of govetnment spending by withstanding the budgetary onslaughts of bureaucrats, politicians, and rent seekers. The study found that per capita municipal tax revenues were increasing rapidly in real terms prior to either of the rwo TELs. The primary purpose of the first TEL was to slow the growth of residential property tax and to redirect its incidence away from homeowners to business property owners. Findings suggest that after the first TEL, municipal revenues and spending did slow their annual rate of increase, but that property tax revenues unexpectedly spurted upward. After the second TEL prohibited all tax increases without voter approval and limited annual revenue growth to strict limits, municipal tax revenues stopped growing and showed slight annual decreases. Sales tax revenues continued to rise by less than two percent yearly, but property tax revenues were declining by nine percent annually. These new trends fell most heavily on the state's smallest towns, particularly rhose in sparsely populated agricultural counties. v

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The study concludes that the constitutional TEL spedfically limiting municipal revenue was effective for irs purpose, bur that one result may jeopardize the continued viability of small towns in economically stagnant areas. In the presence ofTELs, corollary theories that predict specific spending patterns favoring government's own purposes and slighting public services could be neither confirmed nor disproved. This abstract accurately represents the content of recommend its publication. I I ; I vi

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ACKNOWLEDGMENTS The conduct and completion of this project has been immeasurably supported by the encouragement, patience, and understanding of my family-Sally, Oint, and Peg. Not once did any of them ask, uy ou want to do what?" Thank you. The faculty and staff of the Graduate School of Public Affairs are owed my thanks for their encouragement and unflagging support. Professor Franklin James agreed to serve as chair of my dissertation committee, but he provided encouragement beyond anything required for that role. Professors Richard Stillman and Peter deLeon have been reachers and friends. Dean Kathleen Beatty has been most encouraging. Among the staff, Karen Wright, Antoinette Sandoval, and Dawn Savage have cheerfully answered any number of my less than astute questions. A measure of special gratitude is owed to Dr. Laura Argys for helping guide a statistics novice through some labyrinrhian paths. Finally, I must especially note the encouragement, friendship, and help of Mr. Sam Marner of the Colorado Municipal League. Sam unsparingly gave his time and I very much appreciate it. Thanks, also, to the Lincoln Institute of Land Policy, Cambridge, Massachusetts, for their generous grant of actual money to support the effort. For better or worse, the results of the effort are mine, but it was not done alone. TMB Denver, Colorado March, 1999

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CONTENTS Figures . . . . . . . . . . . . . . . . . . . . . . . xii I I T abies . -. . . . . . . . . . . . . . . . . . . . . . xviii CHAPTER L INTRODUCTION . . . . . . . . . . . . . . . . l Purpose of the Study . . . . . . . . . . . . . 6 The Setting . . . . . . . . . . . . . . . . . 6 Scope and Limitations of the Study . . . . . . 11 Importance to Public Administration . . . . . . 18 2. THE AMENDMENTS, THE COURTS, AND LEGAL ISSUES . . . . . . . . . . . . . . . 2 4 The TABOR Amendment's Provisions . . . . . 25 The Gallagher Amendment's Provisions ......... 29 TABOR and the Courts ....................... 32 Open Legal Issues and Interactions with other Laws ................... 40 3. 1WO LITERATURES: GOVERNMENT GROWTH AND TAX AND EXPENDITURE LIMITATION ...... 4 7 Introduction ................................ 4 7 viii

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! I 1 Limiting the Growth of Government . . . . . . 56 Have TELs Effectively Limited the Growth of Local Government? . . . . . . 59 Political Purpose . . . . . . . . . . . 64 Government's Reactions and Coping Strategies . . . . . . . . . . . 66 Problems from the Literature . . . . . . . . . 68 4. THE COLORADO ECONOMY, 1975,96 ............. 76 5. ASTUDYOFMUNICIPALFINANCES .............. 91 The Subjects ................................ 92 The Data ................................... 94 The Analytic Model ......................... 106 Statistics . . . . . . . . . . . . . . . . . 111 The Analysis . . . . . . . . . . . . . . . 114 Variations of the Regression Model . . . 114 Tabular Reporting . . . . . . . . . . 118 6. MUNICIPAL fiNANCES UNDER TAX AND EXPENDITURE LIMITATION . . . . . . . . . . 124 Introduction . . . . . . . . . . . . . . . 124 Revenues and Expenditures in the Aggregate .... 132 ix

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Revenues . . . . . . . . . . . . . . 132 Spending . . . . . . . . . . . . . . 155 The Economy's Influence . . . . . . . . . . 161 Election Experiences under Colorado's TELs . . 166 Small Town and Large City Trends . . . . . . 171 Small Towns on Colorado's Eastern Plains ....... 193 7. CONCLUSIONS ................................ 201 Findings and Interpretations .................. 209 Government Growth in the Absence ofT ax and Expenditure Limitation ....... 209 Growth After the First TEL (Gallagher) . 211 Growth After the Second TEL (TABOR) 212 TELs and the Eastern Plains ............ 217 The Economy's Impact ................. 218 Conclusions and Other Thoughts .............. 220 APPENDICES A. THE GALLAGHER AMENDMENT AND RELATED MATERIALS ..................... 226 B. THE TAXPAYER'S BILL OF RIGHTS (f ABOR AMENDMENT) ................................. 234 X

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C. REVENUE AND EXPENDITURE ACCOUNTS ...... 240 D. COLORADO'S MUNICIPAL POPULATIONS ....... 245 E. OAT A ASSUMPTIONS AND MUNICIP ALillES EXCLUDED FROM SlUDY ...... 2 70 F. INFLATION INDICES ............................ 281 G. TABLES OF STATISTICAL RESULTS ............. 282 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . 3 12 xi

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AGURES Figure I 4.1 .I 4.2 I 4.3 U.S. Gross Domestic Gross Product (GDP) (Real), 1975,96 ..... 78 U.S. Treasury Bill (9Q,day) Interest Rates, 1975,96 ........... 80 U.S. Domestic Crude Oil First Purchase Real Price, 1975-96 .... 82 4.4 Colorado Average, Real, Per Capita Retail Sales, 1974,95 ...... 83 4.5 Colorado Real State Gross Product, 1977-96 ................. 84 4.6 Comparison ofU. S. and Colorado Civilian Annual Unemployment Rates, 1975,96 ............................ 85 4. 7 Colorado Net Migration, 1975,96 ......................... 86 4.8 Colorado Municipal Population (estimated), 1975,96 .......... 87 4.9 Colorado Mean Annual, Real, Per Capita Construction Earnings, 197 4-9 5 . . . . . . . . . . . . . . . . . . . 88 6.1 Municipal T oral Revenues and Operating Expenditures, 1975-96 .................................. 125 6.2 Colorado Per Capita Personal Income (real dollars, 1975=100), 1974-96 ......................... 127 6.3 Mean Colorado Farm Income by Counties (real, 1975=100, per capita dollars), 1974-95 ................ 128 xii

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6.4 Mean Colorado Manufacturing Earnings by County (real, 1975= 100, per capita dollars), 1974-95 ................ 129 6.5 Mean Colorado Services Earnings by County (real, 1975= 100, per capita dollars), 1975-95 ................ 130 6.6 Comparison of Annual Change Trends in Total Municipal Revenues (Percent of Annual Increase) 1975-84; 1985-92; and 1993-96 ........................... 133 6. 7 Municipal Revenue Sources in 1996 (Actual Dollars) ......... 135 6.8 Comparison ofT rends in Total Municipal Tax Revenues (percent of annual increase based on real, per capita dollars) 1975-84; 1985-92; and 1993-96 .............. 136 6.9 Comparison ofT rends in Municipal Sales Tax Revenues (percent of annual increase based on real, per capita dollars) 1975-84; 1985-92; and 1993-96 .............. 138 6.10 Comparison ofT rends in Municipal Property Tax Revenues (percent of annual increase based on real, per capita dollars) 1975-84; 1985-92; and 1993-96 .............. 140 6.11 Comparison ofT rends in Charges for Services, Fines, and Licenses and Permits (percent of annual increase based on real, per capita dollars) 1975-84; 1985-92; and 1993-96 ....... 148 6.12 Comparison ofT rends in Miscellaneous, Specific Ownership Tax, State Aid, and Enterprise Transfer Revenue (percent of annual increase based on real, per capita dollars) 1975-84; 1985-92; and 1993-96 .............. 150 6.13 Comparison ofT rends in Nine Municipal Expenditure Accounts 1975-84; 1985-92; and 1993-96 .................. 156 xiii

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6.14 Comparison ofT rends in Four Municipal Expenditure Accounts 1975-84; 1985-92; and 1993-96 .................. 159 6.15 Comparison of Post-TABOR Trend Percentages with Economic Indicators Controlled and without Economic Indicator Controls in Four Revenue Variables ............... 164 6.16 Comparison ofRevenue Trends for Municipalities with Successful Elections vs. Municipalities without Successful Elections . . . . . . . . . . . . . . 168 6.17 Comparison of Expenditure Trends for Municipalities with Successful Elections vs. Municipalities without Successful Elections ............................. 170 6.18 Comparison of Property Tax Revenue Trends by Population Groups with Assessed Property Values Controlled ............ 175 6.19 Comparison ofTotal Municipal Revenues by Population Groups 176 6.20 Comparison ofT oral Municipal Tax Revenues by Population Groups . . . . . . . . . . . . . . . . . 179 6.21 Comparison of Sales Tax Revenue Trends by Population Groups . . . . . . . . . . . . . . . . . 180 6.22 Comparison of Property Tax Revenue Trends by Population Groups . . . . . . . . . . . . . . . . . 182 6.23 Comparison ofT oral Operating Expenditure Trends by Population Groups ...................................... 185 6.24 Comparison of General Government Expenditure Trends by Population Groups . . . . . . . . . . . . . . . . . 188 xiv

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6.25 Comparison of Law Enforcement Spending Trends by Population Groups . . . . . . . . . . . . . . . . . 190 6.26 Comparison of Culture and Recreation Spending Trends by Population Group . . . . . . . . . . . . . . . . . . 192 6.2 7 Comparison of Revenue Trends for 59 Eastern Plains Municipalities . . . . . . . . . . . . . . . . . . . . 198 0.1 Summary of Regressions for Aggregated Municipalities (with Economic Variables) ............................... 283 0.2 Revenue and Expenditure Coefficients as Percentages for Aggregated Municipalities . . . . . . . . . . . . . . 284 0.3 Summary of Regressions with Economic Variables for Population Group 1,999) .............................. 285 0.4 Summary of Regressions with Economic Variables for Population Group .......................... 286 0.5 Summary of Regressions with Economic Variables for Population Group .......................... 287 0.6 Summary of Regressions with Economic Variables for Population Group ........................ 288 G. 7 Summary of Regressions with Economic Variables for Population Group (50,000-99,999) ........................ 289 G.8 Summary of Regressions with Economic Variables for Population Group (100,000+) ............................ 290 G.9 Comparison ofT rend Percentages for Population Groups ...... 291 XV

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I 0.10 Comparison of Gallagher Intervention Percentages for Population Groups ................................... 292 0.11 Comparison ofT ABOR Intervention Percentages for Population Groups ................................... 293 0.12 Comparison ofT rend and Intervention Percentages for Population Group (1, 1,999) ........................... 294 0.13 Comparison ofT rend and Intervention Percentages for Population Group (2,000-4,999) ....................... 295 0.14 Comparison ofT rend and Intervention Percentages for Population Group (5,000,9,999) ....................... 296 0.15 Comparison ofTrend and Intervention Percentages for Population Group (10,000,49,999) ..................... 297 .. 0.16 Comparison ofT rend and Intervention Percentages for Population Group (50,000,99,999) ..................... 298 0.17 Comparison ofTrend and Intervention Percentages for Population Group (100,000+) ......................... 299 0.18 Comparison of Population Group Trend and Post-Intervention Percentages ............................ 300 0.19 Summary of Regressions Comparing Municipalities with Successful Elections vs. Municipalities without Successful Elections . . . . . . . . . . . . . . . . . . . . . . . 302 0.20 Summary of Revenue and Expenditure Regressions without Economic Variables .............................. 303 0.21 Revenue and Expenditure Coefficients as Percentages without Economic Variables .............................. 304 xvi

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0.22 Comparison of Revenue and Expenditure Variables-Effect of Economic Indicators . . . . . . . . . . . . . . 305 0.23 Comparison of Population Groups-Property Taxes with Assessed Value as an Independent Variable . . . . . . . . 306 0.24 Components of Total Municipal Revenue (Percent) by Groups 307 0.25 Summary of Regressions-Economic Variables . . . . . . . 308 I 0.26 Summary of Regressions with Economic Variables for Eastern Plains Group . . . . . . . . . . . . . . . . . . 309 0.2 7 Eastern Plains Group Coefficients as Percentages . . . . . . 311 xvii

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TABLES Table 1.1 Tax and Expenditure Limitations on Municipal Governments ... 20 2.1 Residential Assessment Ratios . . . . . . . . . . . . . . 30 5.1 Number of Colorado Municipalities by Population Groups ...... 94 5.2 Municipalities Studied by Groups ......................... 117 6.1 Descriptive Statistics for Municipalities of 1 to 1,999 Population (1996 Actual Per Capita Dollars based on 1996 Population) (N = 168) ............................................ 194 6.2 Components (as a percentage) of Total Municipal Revenues ( 1996) by Groups . . . . . . . . . . . . . . . 197 E.1 Municipalities Eliminated from the Study . . . . . . . . . 2 71 E.2 Reported Zeroes for Each Dependent Variable (N=5,610 for each) ..................................... 274 E.J Comparison of Regression Results between All Municipalities and Municipalities without Zero Data Observations . . . . . . . . . . . . . . . . 2 77 xviii

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CHAPTER I INTRODUCTION I I Almost as soon as the first seeders stepped ashore, Americans began to fret about the taxes they pay a:1d the growth of their governments. Among the chief complaints of the Declaration of Independence was that the British government had "erected a multitude of New Offices, and sent hither swarms of Officers to harass our people, and eat out their substance." Government was just too expensive-"imposing taxes on us without our Consent." Before the revolution, Americans protested "unfair" taxes by marching on the government in North Carolina's 1771 "War of Regulation" (Morison, 1965, p. 196). Even after they had their own government, Americans continued to protest taxes and government growth. This study is about these two ideas-the growth of government and citizen efforts to contain it. In 1982, Colorado voters approved a constitutional amendment referred to them by the legislature. Proponents of this Gallagher 1

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I I I I I amendment1 were responding in the tradition of California's Proposition 13 to homeowner concerns about a rising burden of property taxes. As Colorado was growing, new residential property was coming on to the tax rolls at a pace significantly ahead of new business and commercial properties. The concern was that if the trend continued, residential owners would bear a property tax burden much greater than owners of nonresidential properties. In its attempt to address the issue, the Gallagher amendment mandated a legislative study to determine the then-existing proportion of statewide property tax collections from residential property owners and collections from owners of all other classes of property. Once the ratio was determined (45 percent residential to 55 percent all other), the amendment mandated biennial adjustments to the residential property assessment rate so that the proportion of tax collected from each group would remain fixed. Beginning with a 21 percent residential assessment rate in 1985, the rate has been continually adjusted downward to its 1998 level of9-V-J percent. 1 The fuli text of the Gallagher amendment is comained in Appendix A and its terms are explained in greater detail in Chapter 2. 2

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I I Ten years later, in 1992, a citizen-initiated petition led to an election in which Colorado's voters approved another amendment to the state's constitution. This second tax and expenditure limitation2 amendment limited the amount of growth in revenues and expenditures for the state and all local governments. Legally entitled "The Taxpayer's Bill of Rights," the amendment is also known as the "Bruce Amendment" (after its chief proponent, Douglas Bruce), "Amendment One" (after its numerical designation on the ballot), or, most prevalently, by its acronym "T ABOR."3 [t mandates that, beginning with 1993, state and local government revenues and expenditures cannot increase from one year to the next by more than inflation and a defined growth factor. If revenues exceed the allowed amount, the government must either ask voter approval to keep the excess, or refund it to taxpayers. Likewise, any prospective increase in revenues by 2 In the scholarly literature, the phrase "tax and expenditure limitation" is universally abbreviated as "TEL" or "TELs." 3 One suspects that Mr. Bruce chose the acronym, TABOR, and then, fit a name to it. The acronym is that same as a famous Colorado name taken from silver-mining baron Horace Tabor and his scandalous much younger wife, Elizabeth "Baby" Doe Tabor. Mr. Tabor lost his fortune in the silver crash of 1893 and died in 1899. Mrs. Tabor became a legend "standing by her man" at the long depleted Matchless silver mine until her death in 1935. 3

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tax increase, mill levy increase, policy change, etc., must be approved by voters.4 Much like the combination of California's Proposition 13 (now codified as Article XIIIA of the California constitution) and California's subsequently adopted Article XIIIB,5 Colorado's two TEL amendments attempted, first, to address property tax issues and, then, imposed strictly defined growth limits on the state and all local governments. Study of and discussion about California's experience has been extensive and the conclusions have sometimes been contradictory. Despite the passage of time, there has been no similar study or discussion of the Colorado experience. 0 4 The full text ofTABOR is set out in Appendix Band its terms are explained in greater detail in Chapter 2. 5 In an obvious effort to promote perpetual confusion, Proposition 13 {its numerical designation on the ballot) was codified as part of Article XIUA of the California constitution. Subsequently, other adopted propositions (with other ballot were codified in Articles XIIIB (Proposition 4, the t979 spending limit), XIIIC (Proposition 2 tB, a 1996 requirement for voter approval of local tax levies), and XI liD (more Proposition 218, related to assessment and property related fee reform). A full history of the many propositions codified into Article XIIIA, B, C, and 0 is available from Freidrich (t999). 0 Acknowledging that it has not surfaced in the academic journals is not meant to denigrate the extensive discussion and valuable analysis conducted by municipal officials, the media, and others in Colorado. 4

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Expectations of the Gallagher amendment were that it would save homeowners money and, indeed, the Colorado Division of Property Taxation reportS that the savings have totaled more than $3.1 billion from 1985 through 1997 (Colorado, 1998, p. 11-12). Stronger consequences were expected of the TABOR amendment, particularly when its interaction with the ocher amendment were considered. The common wisdom was that as Gallagher ratcheted residential assessment ratios down and TABOR prohibited mill levy increases to recoup the lost revenue, local governments would be faced with some drastic decisions about spending cuts. On its face, an amendment such as TABOR would be expected to have a much broader impact on local government revenue growth than other, more common TELs that limit only property tax increases. Nevertheless, as will be seen in Chapter 3, existing research, mostly from California and Massachusetts, and mostly considering state budgets, suggests that TABOR's effectiveness in curtailing revenue and spending growth may be limited. 5

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I Puroose of the Study This study examines the revenue and spending trends of Colorado's municipal governments before the Gallagher amendment, during the interim period between the two amendments, and after the TABOR restraints were imposed. The purpose is (1) to determine whether Colorado's municipal governments were growing as has been the general academic and popular assumption, (2) to determine if Gallagher and TABOR were effective constraints and to assess the impacts if they were, and (3) to decide whether some assessment can be made about how municipal governments have responded to the amendment. The Setting Colorado's adoption ofT ABOR followed in the vein of the latest I American tax revolt, said to have begun with California's Proposition 13. "Prop 13" was placed on the ballot by citizen petition under the initiative process. It wa:; approved by California voters in 1978. Concerned only with an increasingly burdensome property tax, Proposition 13 imposed a ceiling on propertY taxes equal to one percent of assessed value (Kirlin, 1982) and 6

PAGE 25

immediately reduced average property taxes (Sherwood#Call, 198 7, p. 60 and Wiseman, 1989, p.1). i I Two years after California voters upset the tax apple cart, Massachusetts voters, again focusing only on property taxes, adopted Proposition 2 Yz as their own effort to cue and control property tax growth. Generally it reduced the property tax rate co 2 Vz percent of market value and limited further growth in local government property tax revenues co 2 Vz percent, plus an annual growth factor (Bradbury, 1991, p. 3). Ic included provisions allowing local voters to approve additional property tax levies by adopting exceptions to the overall formula. Colorado's voters have long been concerned with taxes and the growth of government. Anti#tax initiatives have been a rather regular feature of Colorado ballots. Mindful of this widespread sentiment, and particularly in response to concerns about the property tax, the 1982 legislature referred the Gallagher amendment to voters. After adoption, it added to and amended Article X, Sections 3 and 15 of the Colorado Constitution. Gallagher promised lower property taxes for homeowners by 7

PAGE 26

its mandated periodic adjustments in residential property assessment ratios, but it did not purport to limit local government revenues or expenditures. In 1986, an initiative that would have required state and local officials to obtain majority voter approval, at biennial general elections, before imposing new or increased taxes was defeated by more than a twenty percent margin (Smith, 1996, p. 2 7 4). Although not the primary proponent of this initiative, Douglas Bruce, a non,practicing attorney and landlord, newly arrived from California, had participated in the election effort and associated himself with it. After the 1986 failure, Bruce formed his own political committee, named it the Taxpayers Bill of Rights Committee, and sponsored another, more ambitious attempt at limiting taxes and government in 1988. The effort garnered only 38 percent of the vote (Smith, 1996, p. 2 77). Undaunted, Bruce tried again in 1990, losing by 51 to 49 percent (Smith, 1996, p. 279). On his third attempt, in 1992, the indefatigable Bruce was successful and the TABOR amendment passed with about 54 percent of the vote (Smith, 1996, p. 271).7 7 Smith, D. A. (1996). Populist entrepreneur: Douglas Bruce and the tax and government limitation moment (sic) in Colorado, 1986,1992, Grear Plains Research, 6 (Fall), 269-294, is a good, succinct history of TABOR and Bruce's involvement in it. 8

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As a citizen initiated tax and expenditure limitation, TABOR added Section 20 to Article X of the Colorado Constitution. It became legally effective on December 31, 1992, and specifically limits government growth in revenues from all taxes, not just the property tax. Although Gallagher does not purport to directly limit any municipality's revenues, its adoption may have sent a "message" of taxpayer sentiment to local governments. More explicitly, Gallagher and TABOR may well interact with each ocher as Gallagher reduces residential assessment ratios and TABOR prohibits property tax or mill levy increases without voter approval. Thus, a largely residential municipality might find its property tax revenue declining because of Gallagher and, due to TABOR, be unable to replace that revenue without voter approval. Because of their explicit and potentially indirect effects and interactions, both amendments are discussed. Just as lay citizens have long been concerned with the growth of government and effective ways to curtail or control char growth, scholars have argued for, and attempted to rest, various theories as co why government grows and how its growth might be effectively limited. One of rhe many theories seems more directly applicable co Colorado's experience 9

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than some of the others. Brennan and Buchanan (1980) contend that the "constitutional political economy" paradigm is particularly useful in examining fiscal limitations such as California's Proposition 13 (and, by analogy, Colorado's TABOR) because these are dtizen,initiated decisions changing the constitution of the existing political system. They follow the earlier lead of Niskanen (1971) and theorize (1) that government may be modeled as a "Leviathan" revenue maximizer, (2) that the normal electoral cycle of voting representatives in and out of office does not constrain the growth of government, and (3) that, therefore, the only effective constraints are long,term fiscal limitations imposed by the voters (see also, Borcherding, 1977; Niskanen, 1975; and Wagner, 1975). Not only do Brennan and Buchanan contend thac govemmem is a revenue, maximizer, they also theorize that if faced with fiscal restraints, government will prefer to evade the restraints or to spend for its own purposes to the detriment of spending on desired public services (Brennan & Buchanan, 1980, p. 136, 144; Hale, 1993, p. 118; and Bails, 1982, p. 136, 138). In other words, if restrained, government will take advantage of any "loopholes" available. 10

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Although many more theories are considered by this study in Chapter 3, two of these-government as revenue-maximizer and government as a maximizer of its own, internal benefit have particularly informed the direction of this research. Scope and Limitations of the Study Within this context, the Colorado experience provides an opportunity to empirically explore some of the more prominent theories about tax and expenditure limitations and their effectiveness in limiting the growth of government. Prior to the TABOR amendment, local governments in Colorado were restricted in their ability to raise taxes without voter approval, 8 but once tax rates and mill levies had been established, the amount of revenue generated and spending of those revenues could freely rise without further voter approval. After TABOR, 8 Under long-standing Colorado statutes and constitutional provisions, municipalities were required to seek voter approval for new taxes and, generally, for increased tax rates. Even with voter approval, municipal sales tax races were limited, with some exceptions, co as much of seven percent as was left after che state and county races were subtracted (C.RS. 1997 -2-108). After public budget hearings, but without further voter approval, municipalities were free to raise property tax mill levies by as much as percent each year (C.R.S. 1997 -1-301). 11

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these local governments were constitutionally required to obtain specific voter approval for almost all revenue and spending increases, whether or not tax rate increases were contemplated. In its endeavor to assess the effectiveness of these two TEL amendments and the municipal response to them, this study examines data for eleven revenue and fourteen expenditure categories,9 for the 22-year period from 1975 through 1996, for essentially all of Colorado's municipalities. The analysis uses a standard pooled, cross-section, timeseries regression model as described by Sayrs (1989), Greene (1997), Kmenta (1986), Johnson (1995), and judge, et al., (1988). In general terms, the model uses a time variable for the overall trend, a program variable for each of the cwo amendments, six lagged conrrol variables for economic indicators, and a dichotomous control variable for each municipaliry. The resulting regression equation was calculated with real, per capita data (converted to natural logarithms) for each of the revenue and expenditure accounts as dependent variables 0 Appendix C contains a listing of all the revenue and expenditure categories considered with a description of each. 12

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There are some basic assumptions made throughout the study. First and foremost among them is that municipal government growth can be validly measured by the monetary metric of its revenues and expenditures. Municipal governments might be perceived to grow in any number of ways that may not involve increases in revenues or expenditures. For example, they can surely grow in the perception of the citizenry by imposing more numerous or more onerous regulations and mandates, even though these may be reflected only slightly, if at all, in municipal budgets. Nevenheless, this study relies solely on data regarding municipal revenues and expenditures, because it assumes these are valid measures. The study assumes, also, that the data are reliable. It is prepared by I individual municipal governments and assembled by the Colorado : I j Department of Local Affairs. The assumption is made that none of the data has been fraudulently submitted and that it is accurate despite human propensity for the occasional error. Nevertheless, there are five caveats about the data that must be acknowledged at the outset. (1) Replication would be hampered somewhat because some of the economic and demographic data may subsequently 13

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I I have been revised by the government agencies that produce it. (2) The municipal population data used in per capita conversions is based on annual estimates of the Colorado Department of Local Affairs, rather than on actual census counts. (3) Conversions from actual to real (inflation, adjusted) dollar amounts was based on the Denver-Boulder Consumer Price Index (CPI) as prepared by the U.S. Bureau of Labor Statistics. Although this index may not accurately reflect the inflation experienced by local governmencs, especially those outside the Denver-Boulder metropolitan area, it was used because the TABOR amendment makes it the legal definition of inflation. (4) The economic data used in the study, i.e., personal income, unemployment rate, farm income, construction earnings, manufacturing earnings, and retail sales, is available only on a county-wide basis rather than specifically for each municipality. For this study, the county-wide data was applied to each city principally located within the county. (5) Finally, the Colorado Economic and Demographic Information System (CEDIS) recognized 2 72 legally incorporated Colorado municipalities.10 Seventeen of 10 These recognized, legally incorporated municipalities are listed in Appendix D. 14

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these were not included in the regression models because more than six years of data was missing for them during the study period. 11 The remaining 255 municipalities were included. Because the municipalities were aggregated in various groups for study and because of limitations inherent in the model, the results and findings are applicable only to the municipalities studied and cannot be generalized to individual cities or towns in or out of Colorado. This study makes no attempt to determine whether government growth is within or without some acceptable or desirable limit. The very term "government growth" has come to carry a pejorative connotation as an evil to be avoided. On its face, such an argument implies that the desirable goal is that municipal revenues and spending absolutely would not rise from one year to the next. However, without accounting for at least inflation, population increases, and economic conditions, such a goal would be effectively a shrinkage in the public goods and services supplied by municipalities. 11 They are listed in Appendix E, along with the specific reason for their deletion from the study. 15

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If government grows beyond these adjustments for inflation, population, and the economy, will it have grown too much, just enough, or not enough to meet the demand for its services or the desires of its citizens? The answer to this question is for other researchers and other studies. This one seeks only to determine whether growth has occurred and if Gallagher and TABOR affected the trend of any such growth. Many of the possible effects of government growth or restraint will be explored, but, ultimately whether something dire or delightful has occurred is an issue not considered here. Similarly, this study looks at changes in the patterns and trends of specific revenue sources and specific spending activities and asks whether these might have changed after the Gallagher and TABOR amendments became law. Again, the study will explore some of the ramifications of these trends, but it does not answer whether any such discovered trend or pattern changes have been desirable. Finally, a major limitation of the study is that it explores only one of Colorado's several forms of government. As of 1993, the year after TABOR's adoption, there was one state government, 63 counties, 267 cities 16

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or towns, 176 school districts, and 1,467 special and other districts (Colorado Public Expenditure Council, 1993). This study confines itself to only the cities and towns; whose number had grown to 2 72 by the time this effort was begun. Although studying only one form of the many governments made the effort much more manageable, it creates a serious void concerning intergovernmental relationships and interactions. Just as the two amendments have apparently interacted, probably in some ways nor at all anticipated, local governments in the state are not isolated one type from the others in all respects. The impacts on one form of government may produce reactions that, in turn, affect other forms of government. Some of this interaction is enshrined in law .12 Some of the interactions are not mandated by law, but may be just as real. Some of these possibilities will be discussed, but, at the end, neither this study nor any other can present a completely accurate picture of the effects of these laws without considering all of the governments affected. 12 For example, counties are required to build and maintain courthouses for the state's district judicial system. 17

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Imponance to Public Administration The most elaborate study would be useless if nobody cared about the questions asked and the answers proffered. In this instance, the findings and results lie at the hean of the political, economic, and public opinion ecology within which public administration as an academic endeavor, as a profession, and as a concern of the citizenry exists. Are municipal governments really growing, and, if so, how much? Is it possible for voters to control and even cunail government growth by citizen initiated constitutional amendments? Did Gallagher and TABOR alter the revenue and expenditure structure oflocal government (Shadbegian, 1998, p. 133)? Is government reliance on the much disliked property tax waxing or waning? Are there some government services that fare better or worse under a regimen of tax and expenditure limitation? As the literature reviewed below and in Chapter 3 indicates, statutory TELs have been researched as they exist in other states, but Colorado's TEL amendments have not been scientifically investigated. To illustrate the uniqueness of Colorado's circumstances and the opportunity it presents to study the impact of a constitutional, encompassing TEL, Table 18

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1.1 shows the University of Colorado's Fiscal Discipline Project listing of the tax and expenditure limitations on munidpal governments in the United States. Only Colorado has imposed an overall, general limit on the revenues of its cities and towns, although Arizona (since 1921), California (since 1979), and Colorado (since 1992) impose limits on overall municipal spending.13 Thirteen states impose no limit on the revenue or spending of their municipalities. The remaining 34 states impose only some variation of a limit on property taxes. 13 This observation is made with trepidation and reservation because even though California is listed as having only a spending limit TEL; the listing may be accurate in only a most technically abstruse sense. This is not a comparative study and, hence, not the place 1:0 expound at length on the full legal meaning of Article XIIIB of the California constitution, but in operation it does, first, proscribe appropriations (spending) over a defined growth limit, but then, it requires that unappropriated revenues (the amount collected in excess of appropriations) be refunded co taxpayers. This seems to be close co a revenue limit. 19

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Table 1.1 .I Tax and Expenditure Limitations on Municipal Governments Original Dates of Enactment Overal Specific Property Assessment General General Property Property Tax Tax Increase Revenue Expenditure State Tax Rate RateUmit Revenue Umit Umit Umit Alabama 19n 1875 Alaska 1972 19n Arizona 1980 1913 1980 1921 Arkansas 1883 1981 caJifomia 1978 1978 1979 Colorado 1992 1913 1992 1992 Florida Idaho 1978 1967 Illinois 1961 1991 Indiana 1973 lcwva 1972 1978 Kansas 1970 Kentucky 1908 1979 Louisiana 1974 1978 Maryland 1957 Massachusett 1980 1980 Michigan 1949 1978 Mississippi 1980 Missouri 1875 1980 Montana unknown date 1987 Nebraska 1957 1990 Nevada 1936 1929 1983 New Mexico 1914 1973 1979 1979 NewYOfk 1894 1986-NYC North carolina 1973 North Dakota 1929 1981 Ohio 1929 1976 Oklahoma 1933 Oregon 1991 1916 Pennsylvania 1959 Rhode Island 1985 South Dakota 1915 Texas 1876 1982 Utah 1929 Washington 1944 1973 1971 West Virginia 1939 1939 1990 1890 The following states have no TELs for their municipalities: Connecticut, Delaware. Georgia, Hawaii, Maine. Minnesota, New Hampshire, New Jersey, South Carolina, Tennessee, Vermont, Virginia, and WISCOI1Sin. 20

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' I Several researchers have studied changes in the government spending patterns after a TEL was adopted. McCaffery (1978) reviewed California's ex(:erience with Proposition 13 and listed a variery of examples in which school districts eliminated summer programs and classes with small attendance. The focus of Kemp's (1982) assessment was that local governments in California reduced spending on non,essential services such as libraries, but did not reduce the budgets for more essential fire and police services. Ladd and Wilson (1985a) noted that Proposition 2 Vz resulted in modest cues in Massachusetts' school budgets, but almost no change in fire and police budgets. McKinley (1984) observed that California schools cut such programs as summer school and adult education. Vincent (1984, p. 18) said chat the most common cutback for California schools was supervision of the teaching faculty. Rothenberg and Smoke (1982, p. 101) said that police, fire, and sanitation services were sheltered from cuts in Massachusetts, but that parks, streets, and possibly libraries seemed expendable. In his study of California's cities and their responses to Proposition 13, Reid (1988) concluded that spending patterns were altered in favor of 21

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"highly visible essential services," such as police, fire, and health. He found a large shift away from spending categories that did not produce "final services that are easily and immediately observed by the electorate (e.g., general government and public works ... ) significant reductions in "desirable but non,essential services" such as parks and libraries, and a large increase in enterprise activities (Reid, 1988, p. 26). Given the similarities between the California and Colorado TEL provisions that limit spending, the expectation should be that the Colorado and California responses will be somewhat similar. Unfortunately, the Reid study did not address municipal responses in the form of proposals ro the electorate for its approval, although he did conclude that cities had not behaved as "agenda,setting monopolists, threatening citizens with draconian cuts in essential services in order to force voters co support excessive increases in local taxes .... (Reid, 1988, p. 34). Others, such as Tod6-Rovira (1991), who developed an income, weighted model of demand for public goods, Borcherding and Deacon (1972), who studied price and income elasticities for various public goods, 22

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and DeBartolo and Fortune (1982), who also studied tax,price elasticities for public services, have lent some insights to the issue, but they did not directly study the effects of a TEL as encompassing as TABOR. This research may be instructive for concerned citizens, public administration professionals, and academics alike. For the professional, the results may suggest strategies for coping with TELs. The study also may serve as an aggregate benchmark of trends and policy implications against which the experiences and issues of individual municipalities can be examined and discussed. For the academic, this research may answer some of the questions now pending, test well, known theories, and suggest other avenues for further research and consideration. Some of the extant theories may require modification or reconsideration. For the citizen, the information from this study may allow a more accurate, independent assessment municipal government performance over the past two decades, and whether its responses to Gallagher and TABOR have been acceptable. 23

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. I I I I CHAPTER2 THE AMENDMENTS, THE COURTS, AND LEGAL ISSUES At the end, this study will report its findings about the effects Gallagher and TABOR have had on Colorado's municipal governments and their citizens, but these findings will be in quantitative form. Whether they are statistically significant or not will be plain enough: whether they are practically significant will be a subjective opinion each reader will be free ro reach for herself or himself. Nevertheless, in order for it to be an informed opinion, it must be reached with some reasonably full understanding of what the two amendments are and what they purport to accomplish. As with any other law or constitutional provision, "what it purports to accomplish" is dependent not only on its own language, but upon court decisions that decisively determine what that language means. In the case of TABOR, the opportunities for the courts ro decide this meaning are abundant because the amendment was not written clearly or concisely. Many of its provisions are paragons of ambiguity. 24

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Given TABOR's importance to municipal citizens and governments in Colorado, given its ambiguities, and given the American penchant for litigation, it was probably inevitable that TABOR would create a cottage indus cry of plaintiffs asking courts to clarify its meaning for this purpose or that. The resulting decisions determine how municipalities implement and comply with the amendment. As one other complicating factor, TABOR was not written on a blank slate. It is in a constitution that already contained provisions with which TABOR must interact. This chapter discusses the meaning ofT ABOR's provisions, its interaction with the Gallagher amendment and other laws, the judicial interpretations that form context within which TABOR operates, and the implementation questions raised, but not yet decisively answered. I I The TABOR Amendment's Provisions Like irs California and Massachusecrs progenitors, TABOR has specific provisions regarding property tax, but it goes considerably beyond the scope of Propositions 13 and 2 Vz because it encompasses much more than just property taxes. Akin to the entirety of California's Articles XIIIIA and 25

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XIIIB, it limits municipal governments' spending, revenue, tax increases, new taxes, and increases in debt almost regardless of the source. Clearly and specifically, by broadly including essentially all government revenue and expenditures, TABOR was intended to "restrain most the growth of government" (Colo. Const. Article X, 1). By contrast, Proposition 13 and Proposition 2 V2 were directed solely and specifically at property taxes with any restraint on the growth of government as an incidental effect. Despite its all-encompassing language and specifically stated intent, TABOR's provisions nevertheless allow Colorado voters the option of approving as much government growth as they might desire. Specifically, TABOR both requires and allows municipal governments to obtain voter approval at biennial general elections for any new tax, tax rate increase, mill levy increase, assessment ratio increase, extension of any expiring tax, or any tax policy change that results in a net tax revenue gain.14 Absent voter approval under TABOR, spending by municipal governments is limited to last year's level plus inflation and a "growth factor" that is the net percentage 14 In Colorado, a simple majority is all that is required. For many increases, California now requires a two-thirds approval. 26

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change in the actual market value of all real property in the municipality's jurisdiction. Additionally, the amendment includes detailed requirements for election and notice procedures should a government seek voter approval. It includes specific provisions requiring that governments reserve three percent of their annual spending for emergencies; prohibiting any new or increased real estate transfer taxes, state real property tax, and local income taxes; and allowing reductions in or termination of business personal property taxes. 15 Finally, TABOR ostensibly allows a municipal government to reduce or terminate its subsidy of any state mandated program. The "loopholes" in TABOR, offering potential evasion or mitigation16 avenues, are its own provisions exempting enterprises from the requirement for voter approval of any increases in revenue or spending, in conjunction with other Colorado statutory provisions allowing the creation and use of 15 This provision is an effort ro empower the legislature co abolish business personal property taxes, despite Article X of the constitution, which says char ''The power ro tax corporations and corporate property, real and personal, shall never be relinquished or suspended." 16 As might be an expected legacy of any closely contested and extensively debated change in the law, individual opinions about TABOR are strongly held and vary. One person's "mitigation" may be another's "evasion." 27

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I enterprises and special district governments for limited and particular purposes. Because TABOR defines enterprises as businesses that receive less than ten percent of their revenue from state and local tax sources and that are authorized to issue their own debt obligations, enterprises and special purpose districts that receive their income from fees are exempt. Typical examples might include special districts providing fee based utility services such as water or sewer or special districts created for essentially time development projects. TABOR is only one part of the Colorado constitution, and it has to interact with the other provisions. In the case of conflicts, the courts must decide what it means and how governments may proceed. As an example, in Submission oflnterrogarories on Senate (1993), the Colorado Supreme Court ruled that state lottery proceeds were not subject to TABOR because a contrary decision would be offensive to the meaning of Amendment 8 in the constitution. 28

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The Gallagher Amendment's Provisions A significant constitutional section with which TABOR interacts is the earlier Gallagher amendment. The provisions of the Gallagher amendment may be even less plainly understandable than those ofTABOR.17 Essentially the amendment reduced rhe assessment ratio18 for residential property from 30 to 21 percent. It also required the legislature to determine the coral, statewide assessed taxable real property value in 1985 and then to ascenain the percentage of this statewide total that was attributable ro residential property. The legislature determined that the percentage was 45 percent. For any year after 1985, rhe Gallagher amendment requires that residential assessment ratios be adjusted so that this 45 percent residential 17 As indicated earlier, the full text of the Gallagher amendment is set out in Appendix A. Because certain documents surrounding the amendment are not readily available, if at all, extracts from some of these additional documents are duplicated in Appendix A, also. In particular, excerpts from a July 16, 1987 memorandum of the Colorado Legislative Council Staff (memorandum number M0714AM/l) aid greatly in understanding the amendment, the intent of its proponents, and the arguments pro and con. 18 The assessment ratio is a percentage multiplied with actual value to equal assessed value. In the next step, assessed value multiplied by the mill levy yields the tax bill. 29

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and 55 percent business proportion will be maintained. Because of the greater growth of residential property relative to the lesser growth of other property in Colorado, Gallagher mandated that the residential assessment ratios that were 30 percent, prior co its adoption, be reduced initially co 21 percent and, then ever lower in the succeeding years: Table 2.1 Residential Assessment Ratios Year Assessment Ratio (%) 1987 18.00 1989 16.00 1989 15.00 1990 15.00 1992 1993 12.86 1994 12.86 1995 10.36 1996 10.36 1997 9.74 1998 9.74 Source: Colorado, 1998, p. 11-2, 11-13 and C.R.S. 1997 -1-104.2. Because these assessment ratios are calculated on a statewide basis, any municipality chat is significantly dependent on the property tax for revenues and is highly residential with little business property might have to raise irs mill levies just to continue ro receive the same dollar amount of property tax revenue each time the residential assessment ratio is adjusted 30

PAGE 49

downward under Gallagher's provisions. And, of course, under the usual interpretation ofT ABOR, these mill levies cannot be raised without voter approval. Absent such approval, a jurisdiction as described would have its revenue automatically ratchet downward if the residential assessment ratio were reduced. Conversely, if the residential assessment ratio were raised pursuant to Gallagher, the local government would have to reduce its mill levy in order to comply with TABOR. Prior to the Gallagher amendment, Colorado assessors were using a 1973 base year from which actual value was extrapolated. In 1982, the Colorado general assembly had already set into a motion the legal and administrative machinery to change to a 1977 base year. After adoption of the amendment, the legislature quickly advanced the base year to 1987. Subsequently, it has been advanced biennially (Colorado, 1989, p. 14,15) 31

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I TABOR and the Courts19 The TABOR amendment contains nine sections, each of which deals with a specific subject matter: Section 1, "General Provisions," says that the amendment will supersede conflicting state constitutional and statutory and local laws. It provides for enforcement litigation, brought either as individual or class actions, with successful plaintiffs to be paid their reasonable attorney fees and costs by the defending (only if they lose) governments. On the iJ other hand, a government (even if it wins) will not be allowed to recover its attorney fees and costs unless the suit against it is determined to be frivolous. This double standard means the courts will have to review attorney fees for reasonableness and determine whether the suits are frivolous. Section 1 also says that should the courts decide that revenues have been collected, kept, or spent in violation ofT ABOR, they muse be refunded with ten percent interest. Finally, Section 1 says that required refunds may be made by any reasonable method, including temporary tax credits or rate reductions. Apparently, any such refunds need not be proportional to an 19 Preparation of this section was greatly aided by the prior work of Grimshaw & Harring, a Denver, Colorado law firm, that has collected, organized, and synopsized most of these cases in "The TABOR Digest." 32

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individual taxpayer's original payments if it is "impractical" to identify or return the prior payments. There have been a number of court decisions and cases involving the ambiguous meanings of Section l. In Zaner v. City of Brighton (1994), the Colorado Court of Appeals20 decided that TABOR should be interpreted consistently with other sections of the constitution. This appears to be a denigration ofT ABOR's stated provision that it should supersede all other constitutional provisions. In another erosion ofT ABOR's "supersede" language, the Court of Appeals ruled that TABOR did not supplant existing case law interpreting the state constitution (Board of County Commissioners, 1994). Additionally, the Zaner court decided that TABOR applied only to issues of government financing, spending and taxation, and not to other issues. It ruled that the General Assembly could enact legislation that implements and resolves ambiguities in TABOR and it ruled 20 The Colorado Court of Appeals is an appellate court one level below the Colorado Supreme Court. Under fairly broad but specified circumstances, its decisions may be appealed to the Supreme Court. The lower level district courts are generally obligated to follow the rulings of the Court of Appeals. County courts are one level lower than district courts. 33

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that the TABOR ballot tide and submission clause could be examined as an aid co discerning the intent of voters who approved TABOR. Other cases have decided that the terms in TABOR should be given "their ordinary and plain meaning" {Bolt v. Arapahoe County School District, 1995)and chat TABOR is a limit on government, not a grant of rights to the people (Bickel v. City of Boulder, 1994, 1995; City of Wheat Ridge v. Cerveny, 1996; and Zaner v. City of Brighton, 1994). The Colorado Supreme Court ruled that the post, TABOR opinions of its author and proponent, Douglas Bruce, would carry no weight in court and that only any "evident contemporary [i.e., pre, TABOR] interpretations" might be relevant for a court's consideration (Submission of Interrogatories, 1993). In another r case, the same court refused to consider Bruce's interpretation ofT ABOR regarding ballot tides on grounds these opinions were beyond the scope of the Court's review (Matter of Proposed Election Reform, 199 3). Finally, the Colorado Supreme Court has decided that its standard of review for whether a government has complied with TABOR will be whether that government has "'substantially complied;" strict scrutiny will not be used (Bickel v City of Boulder, 1994 and Cirv of Aurora v. Acosta, 1995). Any 34

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citizen is allowed to challenge a government's compliance with TABOR, whether or not that citizen has suffered harm
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Community Takeover v. Denver Urban Renewal Authority, (1994). In Bruce v. Hartin (1992), a district court held that the hospital owned by the city of Colorado Springs was an enterprise because Medicare payments were "non-government" funds akin to insurance payments, rather than tax funds. In another case, the Eagle County Board of Commissioners formed a nonprofit corporation and designated it as a county enterprise. Its sole source of income was to be airport "passenger facility charges" (PFCs) that had been authorized by the federal government at the behest of the county. The plaintiffs argued that these PFCs amounted to a grant from the county because by law it had to be the entity to collect them. The Colorado Court of Appeals ruled that "While PFCs may only be 'imposed' by public agencies with the approval of the Federal Aviation Administration, there is no limitation that precludes collection of the fees by a governmental enterprise." Eagle County may have a TABOR-exempt enterprise operate its airport (Board of County Commissioners, County of Eagle v. Fixed Base Operators, Inc., 1997). Section 3ofT ABOR sets out quite detailed and lengthy requirements for election notices, ballot tides, election timing, and other matters related to 36

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the elections that are required under Section 4. This has been a fertile source of litigation with courts specifically ruling that the language is ambiguous at best (Zaner v. Ciry of Brighton, 1994 and Campbell v. Ciry of Arvada, 1994). In a gesture of some small relief to beleaguered city officials trying to cope with the language, the Colorado Supreme Court, in a case involving a tobacco tax amendment, ruled that TABOR does not require every possible effect of a ballot measure to be included within the ballot tide (Matter ofTide, 1994). TABOR's Section 4(a) requires a government to obtain prior voter approval for "any new tax, tax rate increase, mill levy above that for the prior year, valuation for assessment ratio increase for a property class, or extension of an expiring tax, or a tax policy change directly causing a net tax revenue gain to any district." One of the first issues decided in this area was that pre, TABOR elections that authorized unlimited mill levy increases would continue to authorize the increases without another election under TABOR (Bolt v. Arapahoe County School District, 1995). One of the unanswered questions under TABOR is whether a municipality (or other district), experiencing declining property values or 37

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assessment values because of the Gallagher amendment, can raise its mill I levy solely to recoup the lost revenue, without holding an election under I TABOR. The Bolt court may have provided some potential support for such an argument when it ruled that a mill levy to recover lost revenue from the previous year or to recoup property tax abatements or refunds need not be voted on because it is not an increase in tax revenue. The court said "We decline to adopt a rigid interpretation"
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In one of its more conflicting sections, TABOR's Section 9 says that "a local district may reduce or end its subsidy to any program delegated to it by the general assembly for administration." There have been no decisions regarding municipalities in this area, but Mesa County argued that this relieved it of the obligation to provide a courthouse as part of the state's court system. Weld County contended that it should be allowed to stop paying 20 percent of a state-mandated welfare program within the county. The Colorado Supreme Court rejected both arguments, reasoning that a county is a political subdivision of the state and the state cannot subsidize itself {Romer v. Board of County Commissioners of Weld County, 1995 and State of Colorado v. Board of County Commissioners of Mesa County, 1995). As the literature reviewed in the next chapter will suggest, it is not surprising chat much of the litigation surrounding TABOR has involved local government efforts to mitigate its effects, whether by "de-Brucing" elections, creation of enterprises, attempts to shed the cost of state mandated programs, or efforts to recover revenues lost because of the effects ofT ABOR in conjunction with other laws. 39

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What is not addressed by the literature is the extent to which tax opponents will attempt to prevent their fellow citizens from even voting on tax or revenue increases. This is reflected in much of the litigation over the proper wording of ballot tides and other such seemingly trivial detail. The courts have not allowed the contest to degenerate too far into minutia by ruling that substantial compliance will suffice and strict interpretation will not be the rule. Open Legal Issues and Interactions with ocher Laws Despite the volume of litigation thus far, there are still any number of issues suggested by the ambiguity ofT ABOR's language that have not reached the courts. Many of these unresolved issues suggest that, depending upon court decisions, TABOR's operation may be considerably different in the future than it has been to date. For example, section (4) (a) of the amendment requires that "any new tax, tax rate increase, mill levy above that for the prior year, valuation for [the purpose of an] assessment ratio increase for a property class, or extension of an expiring tax, ar a tax policy change direl."tly causing a net tax revenue gain to any district" (emphasis 40

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supplied) has to be approved by the voters. Given the sentence structure and the absence of a comma between "policy change" and "directly causing a net tax," does the lase phrase, "causing a nee tax revenue gain co any district," apply to all of the enumerated items or does it apply only to the immediately antecedent phrase, "tax policy change"? A general rule for interpreting the meaning of constitutions or statutes is that qualifying words, phrases, and clauses are ordinarily deemed to modify only the last antecedent, i.e . the words and phrases immediately preceding. This "last antecedent" rule is not absolutely controlling or inflexible (73 Amjur 2d 230 and 82 C.j.S. ). but it would suggest one outcome under TABOR-that mill levies could not be raised without voter approval even if no net revenue gain resulted. This outcome is suggested, also, by another rule of statutory construction: If there is a comma separating a modifying clause from the clause immediately preceding, the punctuation is an indication that the modifying clause was intended to modify all the preceding clauses and not only the last antecedent (7 3 AmJ ur 2d l). In the TABOR instance, 41

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I there is no comma which implies that the modifying phrase is meant only for the last antecedent. zz But the contrary outcome, i.e., that the modifying phrase is meant to apply to all of the antecedent phrases may be suggested by a decision of the Colorado Supreme Court in Moschetti v. Liquor Lie. Auth. of Ciry of Boulder (1971). This was a case involving whether a proposed liquor store was within a proscribed 500 feet of the University of Colorado campus. At issue was the meaning of a statute section (C.R.S. 1963 ,2,39(5) (c)): The [distance] ... [is] to be computed by direct measurement from the nearest property line of the land used for school purposes to the nearest portion of the building in which liquor is sold, using a route of direct pedestrian access. If the phrase "using a route of direct pedestrian access" modified both "property line" and "building in which liquor is sold," then the store would not have been too dose. On the other hand, if the modifying phrase applied only the last antecedent phrase, "building in which liquor is sold," then the 22 These and other such commonly applied rules of "staturory construction" are discussed plainly and succinctly in William P. Scatsky, (1984), Legislative Analysis and Drafting, 2d ed. St. Paul, MN: West Publishing Co., p. 139,142. One of the classic examples of the importance of punctuation to meaning is "The teacher says the inspector is a fool," or "The teacher, says the inspector, is a fool." 42

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store would have been within 500 feet of the campus. The court ruled that the store could not be issued a liquor license because it was too dose to the campus. In the Moschetti case, the modifying phrase was preceded by a comma, unlike the TABOR paragraph. Despite the statutory construction rules, the Colorado court ruled that the modifying phrase applied only to the last antecedent. Would the result be different with the TABOR amendment that has no comma before the modifying phrase? A reasonable argument might be advanced that since TABOR's avowed purpose is to restrain the growth of government by limiting its revenues, the sentence is more consistent with the rest of the amendment if the modifying phrase is applied to all of the antecedents. If a successful argument could be made that a municipality is allowed to raise its mill levy without voter approval, so long as the new mill levy did not raise the actual revenue of the municipality, then cities and towns could mitigate the synergistic impact of Gallagher and TABOR as the latter continues to require that residential property assessment ratios be adjusted downward. Of course, this argument has not yet been made before the 43

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courts, but it lurks as a possibility. This and other potential arguments suggest that the full meaning ofT ABOR's provisions is still less than certain. Among the other open issues are some that derive from other constitutional and statutory provisions dealing with municipal finances in Colorado. One of the oldest such provisions dates from 1913, when the legislature prohibited all but home rule cities and towns from raising their property tax revenues by more than 5 Vz percent annually without prior voter approval (C.R.S. 1997 Would TABOR's prohibition, without voter approval, of tax policy changes causing a net revenue increase, require the state to obtain voter approval before changing this requirement or would each city and town that wanted to take advantage of any increase in the limit have to obtain prior voter approval? At the time of this writing, the state attorney general has opined that counties with voter approved exemptions from TABOR, still have to abide by the statutory restriction (Colorado, Department of Law, 1998). Another statutory provision with which municipalities must comply prohibits the combination of state, county, and a city or town's sales tax rates 23 The original rare was higher, but in recent years it has been reduced from seven percent to six percent and, then, to the current 5 Vz perc em. 44

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. I : I from exceeding seven percent with only very limited exceptions (C.R.S. 1997 ,2,108). whether some future amendment of this by the legislature would require a TABOR election is undecided by che courts and will remain undecided until, and unless, an amendment attempt is made. 24 Finally, the remaining major constitutional provision limiting municipal financial activity is the prohibition against levying an income tax (Colorado Constitution, Article XX, ,6).25 If the voters were co approve a constitutional amendment removing chis prohibition, would TABOR's language chat it "supersede[s] conflicting state constitutional, state statutory, charter, or other state or local provisions" apply? The same issue arises as between TABOR and Gallagher. The latter amendment requires counties to impose enough of a mill levy increase to repay the state for payments of excess school aid monies when the excess was caused by under,assessments, but TABOR seems to prohibit such an increase. H The ability of municipalities to adopt a sales tax under the Colorado Constitution, Article XX, was discussed and approved by rhe Colorado Supreme Court in Berman v. City and County of Denver, 400 P.2d 434(1965). 25 This prohibition was upheld by the Colorado Supreme Court in City and County of Denver v. Sweet, 329 P.2d 441 (1958). The presently imposed ''occupation tax:" is an outgrowth of this court decision. 45

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Each of these statutory or constitutional provisions illustrates the potential for future litigation, and the somewhat uncertain and, possibly, changing nature ofT ABOR's application. It is clear, also, that Colorado's municipalities operated under a variety of tax and expenditure limitations prior to TABOR's adoption and that TABOR likely did not replace these pre-existing laws. Municipalities in Colorado are now faced with not only the pre-existing limits, but also, the TABOR limits, and the synergistic effects ofT ABOR and these existing limits. The future impact ofT ABOR may well change as the many open issues come before the courts for I definitive resolution. I I I I 46

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CHAPTER3 TWO LITERATURES: GOVERNMENT GROWTH AND TAX AND EXPENDITURE LIMITATION Introduction The first modem theory about government growth has come to be known as "Wagner's Law." In 1877, a German economist, Adolf Wagner, argued that government would grow and consume a larger share of wealth as society became increasingly industrialized, affluent, and populous. Wagner theorized that demand for government services increased faster than did the population's wealth because as society became more populous, it became more complex and the demand for government regulation and intervention increased accordingly (Wagner, 1958). Since Wagner's time, the subject has been no less compelling and theories about government growth have propagated with alacrity. Lewis, Beck and Rice (1985) recount a collection of public opinion polls reflecting American concern with the size of the federal government. In 1938 a Gallup poll asked "Do you think the federal government is 47

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spending too much money, roo little, or about the right amount?" Even during the Great Depression, a majority, 61 percent, answered "too much." These authors critique several of the leading theories about the cause of government growth, including the "fiscal illusion" created by politicians hiding the costs of government through indirect methods. Another favorite is "bureaucratic expansion" with bureaucrats ceaselessly seeking larger budgets (Niskanen, 1971 and Wildavsky, 1964). Later, Wildavsky changed his mind and by 1975 he argued that government growth was inverse to economic growth, i.e., that an expanding economy could contain government's appetite, but a shrinking or stagnant economy would be faced with an increasing government share (Wildavsky, 1975, p. In 1980, he argued for another theory, contending that the body politic, in reality, is a collection of special interests. Each of these comperes for this government program or that, selfishly disregarding any collective assessment that the sum of all these programs is unchecked, uncontrolled government growth (Wildavsky, 1980). Wildavsky was not the first to suggest the interest group theory. Elder (1992) critiqued the theory as it had been earlier expressed, in one form or 48

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another, by Niskanen (1971), Olson (1982), and others. Where others had not offered a solution (assuming that it is a problem), Wildavsky contended that a constitutional amendment would force the citizenry, as a whole, to accomplish what it could not as fragmented interest groups. The original "bureaucratic expansion" theory was postulated by Niskanen (1971). He contended that bureaucrats attempt to maximize their budgets, because it is in their interests to do so, and that the strategies they adopt contribute substantially to government growth. Twenty years after his initial proposal, Niskanen was willing to modify the original theory only to the extent of redefining the budget being maximized. His underlying assumption remained that government continues to grow and that much of the impetus comes from bureaucratic behavior (Niskanen, 1991, p. 1J,J1). Others have argued that various crises cause government growth co rachet upward. In an early study, Peacock and Wiseman (1961) documented ratchets in public expenditure growth in the United Kingdom. Bourne (1964) called war the health of government. Rasler and Thompson (1985, 1989) looked at the relationships between wars and government growth in a number of countries. Higgs (1987) contends that these crisis ratchets are 49

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but one part of a more complicated process of government growth. In a more recent empirical examination of the ratchet theory, Holcombe (1993) used an interrupted time-series analysis with a maximum likelihood estimator (somewhat akin to this study, without the cross,sections) to conclude that real, per capita federal spending ratcheted upward after the Civil War, again after World War I, after the Great Depression, and, again, after World War II. The difficulty with the ratchet theory, and Holcombe's attempt to confirm it, is that the theory postulates permanent increases in government spending that coincide with crisis periods, but does not explain why the J growth did not decline after the crisis was over. I I Walker and Vatter (1997) take issue with Higgs' (1987) contention that economic and political crises have caused government size to rachet upward and with Niskanen's (1971) budget maximizing bureaucrat. Instead, they argue that government growth is essentially driven by failures in the private market. Their position is that when the market produces undesirable outcomes, society demands that government intervene, thereby inevitably causing growth {Vatter & Walker, 1990). Nevertheless, it has been 50

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demonstrated that government spending grows significantly during wars and it is hard to put war at the doorstep of private market failures. The difficulty with theories emphasizing a single cause of government growth is that such a complex phenomenon is almost certainly caused by many variables, particularly when considering government growth at different levels of the United States system. The federal system, itself, has been argued to be a cause of government growth as compared to unitary systems of government (Grossman & West, 1994). Following a wonderfully American penchant for conspiracy theories, Brennan and Buchanan (1980, p. 185) even suggest that separate government units may collude co expand government taxing and spending. Borcherding (1977) attempts to derive formulas chat would I I quantitatively ascribe portions of government growth to a variety of economic factors, including inflation, population growth, rising costs in the face of price inelastic demands for government services, the rising affluence of the population, and increasing societal interdependencies. He places these factors as responsible for about half the increase in government spending (Borcherding, 1977, p. 56). Moving on to political factors, 51

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Borcherding further argues that while he cannot quantitatively delineate the contribution, "fiscal illusion" (the public's perception of taxes is imperfect and subject to gross understatement), the growth and proliferation of special interest groups, and finally the bureaucrat are possible explanations. There is an extensive and growing literature theorizing and attempting to assess empirically theories about the cause of government growth. In 1975, Tarschys (1975) reviewed much of the literature to that date. Among the more prominent perspectives he examined were industrialization, urbanization, demographic changes in the age of the population, technological advance, and market extension (as a society develops more foreign markets, its government may be expected to become involved in the marketing effort and in international cooperative ventures). On a consumer level, Tarschys suggested demands (as people become affluent they demand more government services), a demonstration effect (the media and advertising may create a effect between societies), interest groups, and political strife. Other theories mentioned in Tarschys' review include federalism (many governments 52

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making decisions tends to raise the overall level of government growth), organizational expansion, and the increasing number of bureaucrats who are also voters. One of the more telling indicators of the great size of this literature is the fact that even the many reviews of it have been summarized and reviewed (Larkey, Stolp & Winer, 1981). Most of these theories appear to be concerned with che growth of the national government, and their proponents pay only scant attention to municipal or other local governments. Much of the effon to assess them empirically has used data at the national government level. Nevenheless, without too much imagination, it is possible to suggest that many may have some applicability to municipal governments. For example, if people demand more government services as they become more affluent, this could be tested at the municipal level, as well as at the national or state level. Surely one could test the bureaucrat theory for at least larger municipalities that have bureaucracies. A test of it for some of Colorado's small towns, with only two or three employees, would be more doubtful. Despite these more obvious possibilities, theories specific to municipalities are much more scarce in the literature than those directed at 53

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national governments, but there are a few. For example, Brazer (1959) made a comparison of municipal finances among several cities in the United States and found population density, median family income, and intergovernmental revenue to be the best explanatory variables. Miranda (1993) tests the "strong parry organization" theory of municipal finance with a case study of Chicago's finances after the demise ofMayor Richard}. Daley's political machine. This theory argues that cities governed by strong parry organizations are less responsive to the spending demands of interest groups and, therefore, better able to be fiscally conservative. Miranda found only limited support for the theory in Chicago. Nevertheless, all of the "government growth" literature still may be criticized in the words of Lowery and Berry (1983, p. 688): "The existing literature consists of a large number of very simple and separate models; there has been a steady proliferation of explanations with little or no attention to theoretical integration." Despite voluminous and energetic effort, not much has changed since LewisBeck and Rice (1985, p. 7) observed that "we face many underdeveloped models that are unsubstantiated by empirical research." Musgrave's (1969, p. 124) 54

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observation that the attempts to support empirically or disprove the many theories have proved inconclusive at best seems as trenchant today as it was three decades ago. If so extensive a body of literature has been unable to develop an integrated theory explaining the causes of government growth or to conclusively and convincingly substantiate one or more of them, then it seems rather unlikely that a study confined to Colorado's municipalities is going to accomplish such a monumental task either. This research simply is not going to make any such futile effort and it was not designed to do so. It does, however, examine the assumption that government grows, an assumption common to all of the theories. The study's methodology has controlled for inflation, population growth, and various economic indicators (all within the limits outlined in Chapter l) So it will be possible to argue that the results are net of those factors, but it will not be possible to ascribe any observed growth to one or more of the myriad of other possible causes or theories. This study simply does not seek to determine why municipal spending grows, rather it asks the fundamental question assumed by each of the theories, does it grow? By 55

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I controlling for the effects of inflation, population, and the economy, the question, arguably, can be refined to whether municipal spending grows as the result of the decisions of its officials and citizens, but the reasons for those decisions are not explored here. Assuming for the moment chat municipal spending does grow, the second issue with which this study is concerned is whether TELs such as the Gallagher or TABOR amendments are effective in constraining it. For this issue, the relevant literature is almost as extensive as that concerned with why it grows. Limiting the Growth of Government J usc as many scholars have studied and theorized about the causes of government growth, almost as many have examined efforts co limit its growth. As the first nationally known tax and expenditure limitation, California's Proposition has been studied from almost the day it was proposed.20 (As early examples, see Danziger, 1980; McCaffery & Bowman, 20 Given the time periods included in many of these studies, it appears that the authors were studying the effects and impacts of both Proposition 13 (1978) and Proposition 4 ( 1979), but most have not made any distinction between the two amendments. Actually, most do not even mention Proposition 4. 56

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1978; Oakland. 1979; Peterson & Claxton. 1979; Post, 1979; and Shapiro & Morgan, 1978.) Throughout the 1980s and since, studies of Proposition 13 and subsequent tax and expenditure limitations have continued, and the literature has burgeoned. Despite its extent, this literature may be conveniently categorized and considered along several dimensions. including the state or states that were examined. Thus, much of the literature has focused on Proposition 13 and its effect, or lack thereof, on the tax structure or the relationships between state and local government in California (Chernick & Reschovsky, 1982; Danziger, 1980; Duke & Cohen, 1983; Galles, Long & Sexton, 1995; jeffe &jeffe, 1988a; Jeffe &jeffe, 1988b; Kaufman & Rosen, 1981; Kemp, 1982; Leavitt, 1982; McCaffery & Bowman, 1978; McKinley, 1984; Oakland, 1979; Peterson, 1981; Peterson & Claxton, 1979; Post, 1979; Reid, 1988; Schwadron & Richter, 1984; Sears & Citrin, 1982; Shapiro, 1981; Shapiro &Morgan, 1978; Sherwood,Call, 1987; Vincent, 1984; and Wiseman, 1989). As the second most famous TEL, Massachusetts' Proposition 2V2 has received its share of attention (Bradbury, 1991; Bradbury, Ladd & Christopherson, 1982; Davis, 1983; Hale, 1993; Ladd & Wilson, 1982; Ladd 57

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& Wilson, 1983; Ladd & Wilson, 1985a; Ladd & Wilson, 1985b; Rothenberg & Smoke, 1982; Susskind & Horan, 1983a; and Susskind & Horan, 1983b). Some have studied both California and Massachusetts (Flaherty, 1992). The only other states to have received individual attention in the literature have been Oregon (O'Toole & Stipak, 1998, 1994 and Stipak, O'Toole & Guo, 1993); Michigan (Brokaw, Gale & Merz, 1990 and Courant, Gramlich & Rubinfeld, 1985); Texas (Cope & Grubb, 1982); New Jersey (Megdal, 1986); and Illinois (femple, 1996). Much of the literature has used the state as a unit of analysis and has considered the overall effects ofTELs among the several states which have adopted them in some form or another (see for example, Bails, 1990; Elder, 1992; Howard, 1989; Joyce & Mullins, 1991; Kenyon & Benker. 1984; Mullins &Joyce, 1996; Shadbegian, 1996; and Shadbegian, 1998). Given significant differences among the specific TEL provisions adopted in various states; court interpretations; the status of the stare's economy at the time of adoption; the identity, motivations, and intentions of those promoting adoption; and a host of other economic, demographic, and political variables, it seems problematical that studies of one state or several 58

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I I states could be particularly generalizable to another, specific state. No significant study of Colorado's TELs has been located in the scholarly literature and Colorado's experience may be quite dissimilar to other states. Have TELs Effectively Limited the Growth of Local Government? The focus of many of the studies has been on whether TELs have achieved their purported or incidental intention of limiting the size and growth of state and local governments. Bails (1990) updated his 1982 study by asking (1) whether TELs had actually led to reductions in the growth of state government budgets, (2) whether the enactment ofTELs led to any change in the proportion of personal income devoted to financing state government, and (3) whether state legislatures had actually adhered to the limits required by TELs. By statistically comparing the trends in per capita personal income and per capita state expenditures for the "pre,revolt" years of 1973,77 and the "post,revolt" years of 1977,81, Bails concludes that the TELs had no significant effect. Anticipating the argument that TELs might have resulted in fewer or smaller tax increase proposals, Bails also tested 59

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these proposals in TEL and non TEL states for pre and postrevolt years. Again. he concluded that no significant effect was apparent. Bails' attempt to address the argument about whether any decreased growth resulted directly from TELs or indirectly from changed attitudes brought about by passage of the TEL anticipates the same argument made by Poterba (1995) and Shadbegian (1998) several years later. Kenyon and Benker ( 1984) compared the growth of state government expenditures relative to personal income growth in TEL and non TEL states during the period of 197 7 and found no significant differences. Howard (1989) compared average state revenues and expenditures relative to personal income in TEL and non TEL states from 1979 through 1987 and also found no significant differences. Joyce and Mullins (1991) found that TEL states did experience a short term decline in revenues but a long term increase between 1960 and 1988. 60

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Mullins and Joyce (1996) did a pooled time,series analysis of an extensive set of independent variables27 including the percentage change in real gross state product, ratio of general expenditures to gross state product, population ratios by age groups, etc., and concluded that (1) TELs had little effect on the overall size of the state and local public sector; (2) TELs did not lead to less use of broad based taxes at the state level, but local taxes had been reduced and replaced by more reliance on state aid and user charges; and (3) TELs had forced state governments to assume increasing responsibility for spending in most categories, except welfare. Shadbegian (1996) concluded that TELs significantly increased the elasticity of government size and growth relative to personal income, but, on average, did not limit either the size or growth of state government. For states with below average personal income, he found that TELs did limit government size. In keeping with the purported intention ofTELs to limit the size and growth of state and local government, Shadbegian found that 27 These authors do not very clearly explain which fixed effects model they used, but apparently, it was similar to the one used in this study. They do not indicate the calculation of panel corrected standard errors and it seems likely that they did not use them. If Beck and Katz ( 1995) are correct and these panel corrected standard errors were not used, the significance of the reported results may be overestimated. 61

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they were successful in states with low income growth, but perversely, increased government growth in states with high income growth. In a later study oflocal government budgets, aggregated for each state, Shadbegian (1998) concluded that TELs decreased the level and growth of local government revenues and expenditures, and decreased the level and growth of property taxes. He used a pooled, time,series analysis with dichotomous control variables for time and for each state. Dependent variables, including real "own,source" revenues (total revenues minus intergovernmental revenues), real property tax per capita, and real "own" expenditures per capita, were regressed on population, real personal income, real per capita intergovernmental revenue from the state, and real per capita intergovernmental revenue from the federal government. Although published in 1998, the study did not use any data after 1992. Relying on a 1995 Advisory Commission for Intergovernmental Relations (ACIR) study, Colorado was included in his study as a TEL state on the basis of the property tax limits imposed by the legislature in 1913 (C.R.S. 1997, -1,301), not because of the 1982 Gallagher or the 1992 62

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TABOR amendments. Given this example of inattention to significant fact, some skepticism about the Shadbegian study is inevitable. Nevertheless, he does raise, again, the egg" argument that must be acknowledged. He contends that a state's adoption of TEL law may signal a voter preference for smaller government and it may be this preference, rather than the TEL, itself, that is responsible for any slowed growth or reduced government expenditure. The argument on this point may be colored by his observation that "No imposed local TEL is necessarily binding with respect to local expenditures and revenues" (Shadbegian, 1998, p. ll9). Whether or not this statement applies accurately to the TELs in other states, Colorado's TABOR amendment is surely binding on its municipal governments. None of the TABOR litigation has even questioned the authority of the amendment and given its stature as part of the state's constitution and its mandatory language, such a challenge might daunt even the most intrepid lawyer. Notwithstanding the efforts of Shadbegian and others, given significant differences between Colorado and other states in a wide 63

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assortment of pertinent variables, whether TABOR (or coincidental voter preference) has effectively impacted the growth of any of Colorado's municipalities is a question that cannot be answered without specific study of Colorado's experience. Political Purpose Many of the studies assume that the political purpose ofTELs in general, or any TEL in particular, is to limit the size and growth of state and local government. Having made that assumption, many also surmise (Shadbegian notwithstanding) that voters, nevertheless, did not seek any significant reduction in public services. The logical conclusion is that voters "want to have their cake and eat it, too" or, perhaps put more diplomatically, were expecting increased efficiency in government operations to make continued services compatible with lower revenues. The literature behind these assumptions is generally specific to particular states and the conclusions may not be generalizable to other states (see for example, Brokaw, Gale, & Merz 1990; Courant, Gramlich, & Rubinfeld 1985; Ladd & Wilson 1983; Ladd & Wilson 1985a; and Sears & Citrin 1982). 64

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Several other explanations have been offered for the wave ofTELs since 1978. Neiman and Riposa (1986) suggest that voters are satisfied with j current service, but are hostile to public employees and are generally :I j conservative in their political views. Another proffered explanation is that the electorate is polarized with a large minority favoring smaller government, another large minority favoring increased services (or several minorities supporting several different services), and a group of"swing" voters that might go either way, depending upon perceived fairness, tax burden, or the economy (Hale, 1993). Other explanations suggest that governments are revenue maximizers and will not adhere to spending or taxing restraints that can be evaded legally (Buchanan, 1967, 1991 p. xv); taxes have been increasing while inflation and other factors have been eroding middle-class income (Baskin, 1979); or the tax revolt is largely the result of rapidly increasing property taxes {Mikesell, 1979). In her study of voting patterns for Illinois cities and towns seeking home-rule status, Temple (1996) concluded that communities with large variations in the age of the population were more likely to have voters who would vote for fiscal limitations as a means of protecting 65

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! themselves from large welfare costs for services that they did not want but that were desired by other residents. Government's Reactions and Coping Strategies Again, public choice theorists have contended that government officials are revenue maximizers who will not abide by TELs they can evade (Buchanan, 1967, 1991). This contention, juxtaposed with a presumed voter rationale of limiting government growth by approving TELs, leads to an assumed confrontation between the citizenry and its public officials over directly contrary aspirations. Stipak, O'Toole, and Guo (1993) studied Ballot Measure 5, a 1990 Oregon TEL, that reduced school district property tax rates and directed the stare government to replace any lost revenues. Although rhe TEL's effect remained unclear, either in total or for any specific district, they surveyed all 293 Oregon school superintendents on their perceptions of the anticipated effects. Not surprisingly, 97 percent of those responding expected the TEL to reduce their revenues. Despite a requirement that the stare government replace those revenues, most of the superintendents did not believe the state 66

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would do so entirely, but did believe that the measure would result in more state control over schools and less local control. Perhaps the most interesting finding was that Oregon superintendents, rather than using across,the,board cuts, expected to make much use of such strategies as cutting non,basic services, temporary reductions in expenses, and cutting expenses on the basis of defined goals. In another study, O'Toole and Stipak (1994) surveyed non,school local government officials in Oregon on their views of Ballot Measure 5 shortly after its passage. These managers responded along the same lines as had the school superintendents and most did not really expect to react to the TEL in any way that would fundamentally change the status quo. Three years later, O'Toole and Stipak (1998) surveyed Oregon's local government officials again to determine how experience would compare with anticipation. They concluded that Ballot Measure 5 had changed the fiscal "playing field" for local governments, but that its effects had not been so severe as anticipated. In a theoretical modeling exercise, Toma and Toma (1980) supported the Brennan and Buchanan model of bureaucratic utilicy,maximizing activity 67

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. I in the face of fiscal limitations, but did not attempt to confirm empirically their model. Obviously none of these limited studies of local government perceptions ofTELs and coping strategies has directly addressed the Colorado experience. Again, given major differences in the TEL provisions and the political, economic and legal ecology of each state, experiences from one state to another may be significantly different. Problems from the Literature A myriad of theories have assumed that government revenues and expenditures grow and have ascribed a wide variety of reasons to the presumed growth. Some scholars have tested this assumption with respect to national governments, fewer have tested it for state governments, and fewer still have tested it for municipal governments. No literature has been found that tested the assumption for Colorado's municipal governments with their legal, political, and economic circumstances. Although the TEL literature has addressed a variety of issues and theories, none of it has specifically attempted to test whether Colorado's 68

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municipal governments have grown and whether the Gallagher and TABOR amendments have effectively constrained any such growth. Nor has any directly tested whether government, now fiscally constrained, will either evade the restraint or maximize its own utility by preferring to spend internally for non,functional purposes over functional spending co provide public goods and services. For Colorado, the government growth and TEL literatures raise many more issues than they resolve. The issues for this study are suggested by the fact that the common theoretical assumption is that government, measured by its revenues and expenditures, grows over longer periods of time. The first question this study must answer is whether this assumption is correct for Colorado's municipalities. l. Did real, per capita, total revenues and total expenditures of Colorado's municipal governments increase during the period from 1975 through 1996? The hypothesis is chat there was a positive rate of increase. As suggested by Brennan and Buchanan (1980), constitutional amendments that will survive over many budget cycles are required to limit 69

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effectively government revenue and spending growth. Gallagher and TABOR are such amendments. Somewhat akin to California's Proposition 13 and Massachusetts' Proposition 2 Vz, Gallagher was confined to property tax issues. Unlike Proposition 13 or Proposition 2 'lz, Colorado's TABOR amendment mandates a limit on essentially all municipal revenues and expenditures. The next question for this study derives from the unique research opportunity presented by the adoption of Gallagher and TABOR, and the Brennan and Buchanan (1980) implication that a constitutional amendment such as TABOR will effectively constrain the growth of government revenues and expenditures: 2. Ocher things being equal, such as inflation, population growth, and economic influences, was there a change in the rare of growth in municipal revenues and expenditures after the adoption of the Gallagher amendment and, again after the TABOR amendment? The hypothesis is that the rare of growth in real, per capita terms was highest during the period from 1975 through 1984, decreased from 1985 through 1992, and decreased further after 1992. 70

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Some of the literature has gone beyond the issue of whether TELs effectively constrain government growth and looked at how governments have responded co newly adopted TELs. For example, Brennan and Buchanan (1980, p. 136,144) and ochers (Hale, 1993; Bails, 1982; Mullins & Joyce, 1996; and Shadbegian, 1998) have followed Niskanen's (1971) lead and suggested that government officials will evade TEL restraints where possible. TABOR offers several possible avenues for such evasion:28 the exemption for "enterprise" revenue and expenditures, partial exemptions for nontax revenues, and exemption elections. Thus the next questions ask: 3. Again, ceteris paribus, was there a change in the rate of growth, in real, per capita for different revenue accounts after adoption of each of the TEL amendments? Is there a difference in the rates of growth for municipalities that have had successful exemption elections and those that have not had such elections? The hypothesis is that certain nontax revenue accounts will show an increase in this rate of growth 28 Use of the word "evasion" is not meant to imply chicanery. Whether the result is entirely satisfactory to the citizenry or not is outside the scope of this study and may well be "in the eyes of the beholder" absent some legal sanction on it. 71

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and that municipalities with successful exemption elections will have higher rates of increase in revenues. As suggested by the literature that contends public officials will prefer to spend newly constrained resources more for their own benefit and less for public benefit, and following Shadbegian's (1998, p. 133) suggestion, this study examines the issue by looking for changes in the patterns of spending in different, standard municipal accounts. 4. Was there a change in the growth of real, per capita spending after the TELs? The hypothesis is that some expenditure accounts, such as general government, will have rates of increase higher than other accounts, such as law enforcement, fire protection, and recreation. Although TABOR mandates limits on all revenues, it clearly emphasizes the property tax by defining the growth limit for municipalities in terms of property value. Both Propositions l3 and 2 Vz suggest that much of the voter concern in the history of the movement toward TELs has been about the property tax. Shadbegian (1998) discerned a decrease in the growth oflocal government property taxes in those states that had TELs. 72

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Mullins and joyce (1996) discovered an increased local government reliance on state aid and user charges after TEL restraints were adopted. Thus this study looks at changes in the patterns of real, per capita growth for various standard municipal revenue accounts. 5. Holding economic influences constant, was there a change in the real, per capita growth trends for sales tax, property tax, sales tax, charges for services, permits and fees, and fines and forfeitures after TABOR became effective? The hypothesis is that there would be a decrease in the growth rate for property tax revenues, and an increase for the other revenue accounts. At the outset, this study was described as being about two issues-the growth of government and citizen efforts to constrain it. It is still about these two issues, but the interplay between them is not confined to one inning in which government grows and is constrained. Rather, the contest proceeds through many innings of growth, constraint, government response, citizen reaction, and so on. It is the extended contest that this study explores and it does so by methods that essentially exami'le long-term patterns, trends, and interventions in those trends. 73

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One of the more persistent Colorado public sector responses to TABOR has been the expressed opinion that TABOR's effects have not been too drastic, as yet, because the economy has been "booming." This is almost always followed by the question: what will happen when the economy turns downward? Sales and property tax revenues are imponant components of total municipal revenues Although California has gone through economic flucutuations since Propositions 13 and 4 were adopted in the late 1970s, the literature examining that state's experience has not attempted to control for economic conditions beyond inflation and, therefore, provides no useful suggestion as to what might be expected from Colorado's experience. However, because revenues from these taxes are directly related to fluctuations in retail sales and property values, the expectation is that contractions in the economy sufficient to lower propercy values or retail sales would result in reduced municipal revenues. 6. Are the real, per capita growth rates for municipal revenues and expenditures dependent upon fluctuations of economic conditions? The hypothesis is that municipal revenue growth 74

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trends will be significantly affected by fluctuations in the economy. The burden of the next chapter is to "set the stage" for an examination of this issue by describing the economic conditions within which Gallagher and TABOR, thus far, have operated. Afterward, the study attempts to control for these economic effects as it examines the trends in revenue and spending that preceded and followed the adoption of these two TEL amendments. 75

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CHAPTER4 THE COLORADO ECONOMY, 1975-96 Even located in a pan of the United States sometimes described as America's "empty quaner" (Ganeau, 1981), Coloradds economy is not isolated from the nation. lr is sometimes counter-cyclical to the national economy. Ir is often subjected to deeper, longer lows and loftier, shorter highs than the national economy, but it is never beyond the influence exerted by national economic policies and conditions. As much as the state's economy is swayed by the national economy, it is shaped by geography. Located in the western United States, Colorado is one of the "those rectangular states," about 370 miles across from east to west and 280 miles from north to south. It is the eighth largest scare in area and encompasses about 104,000 square miles (Brunner, 1997, p. 756). In 1990, this space was occupied by almost 3.3 million people (Brunner, 1997, p. 827). The combination of great space and not so many people, meant that the state was ranked 26th in population density with about 32 people per square mile. Of 76

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the states east of the Mississippi River, only Maine, with 40 people per square mile, is close to being as sparsely populated (Brunner, 1997, p. 82 7). The eastern half of the state is mostly vast high plains grasslands with large cattle ranches and grain farms in the uplands and irrigated row,crop farms in the South Platte and Arkansas river valleys. The central and southwestern parts of the state are dominated by various ranges of the Rocky Mountains with 54 peaks reaching heights of more than 14,000 feet. The western and northwestern parts of the state are characterized by federally owned land, large sheep ranches, oil and gas fields, and rugged terrain covered with sagebrush, scrub oak, and short prairie grass. The principal urban area is a centrally located norrh,south corridor along the eastern edge, or Front Range, of the Rocky Mountains with the cities of Fort Collins on the north and Pueblo on the south. The capital city of Denver is slightly northeast of the center of the state in this Front Range corridor. During the two decades considered by this srudy, 1975 through 1996, the national economy experienced a number of business cycle expansions and recessions (U. S. Department of Commerce, 1994, Table C,51). These 77

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expansions and contractions of the economy are reflected in the nation's gross domestic product (GDP) :29 Figure 4.1 U.S. Gross Domestic Product (GOP) (Real}, 1975-96 7,500 7,000 6,500 iD j 6,000 5,500 .,. N 5,000 ..... j 4,500 0 4,000 3,500 3,000 L I I I I i -Real GOP : / ! I I I I i i AI I i i I i I : I I I ; I I I I I I A I : ; i I I I I I I i : I : ' I I I I _, : I ; I / i I I i i I I I I I I i I I i i i I I i I I ! l I I i I ' I ! I I i I i ! I I I I I I I l I I i l i i I I I i I I t ; I I I : I I j I ! i i i I i I I I I I I : I I I Source : U S. Department of Commerce, Survey of Current BUSiness 29 Recessions are formally defined by gross national product (GNP) rather than by the gross domestic product (GOP). The difference between the two is that the GNP includes U.S. earnings abroad and the GOP does not; the latter includes earnings of foreign corporations with operations in the U.S., and the former does not. Since this study is concerned with the domestic economy, it uses the GOP as a reflection of the national economy. 78

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In the early 1970s, before the period of this study, the national economy began a slide into recession that did not reach bottom until March, 1975. During the period, inflation and unemployment were high with both over eight percent. For the first time in more than ten years Colorado suffered a decline in the number of workers employed, but a gradual improvement was forecast for 1976 and beyond (Universiry of Colorado, 1975, p. 4). After the recessionary bottom in 1975, the national economy began a recovery until january, 1980, and Colorado participated. Despite the expansion, it was a troublesome economic period. The national unemployment rate declined, but never fell below 5.8 percent and by 1980 was at 7.1 percent (U. S. President, 1998, Table B--42). Inflation rose rapidly to an annual rate of 13.5 percent in 1980 (U.S. Bureau of Labor Statistics, 1998). Interest rates followed inflation to reach historic highs: 79

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Figure 4.2 U.S. Treasury Bill (90-day) Interest Rates, 1975-96 16.(XX> 14.00) 1200) E 10.00l c( .._ !. aOOl c Q) e 6. Q) 4.00) 2 O.OOl 10 co ..... co en 0 ...... N (") It) ..... co en 0 ...... (") 10 ..... ..... ..... ..... ..... co co co co co co co co en en en en en Q) en en en en en en en en en en en en en en en en en en en en ...... ...... .... ...... ...... ...... ..-..-...... .... ...... ...... .... .... ...... .... .... .... .... ...... ..-..-Scuce: Eax IOITic Report a the Presidert, 1998. Table Although the real GOP grew during the period, the rate of growth continued m slip, until1980 when it actually shrank by 0.3 percent from the prior year (U. S. President, 1998, Table B-4). The 1980 decline lasted only six months, until July, after which the economy expanded until July, 1981. The next contraction lasted until November, 1982. The expansion that 80

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followed became one of the longest economic expansions in the nation's history.30 Growth was long and steady until July, 1990. During the decade, the federal budget deficit was a continuing problem, but the GOP enjoyed positive growth except during 1982. Inflation slipped from its high of 13.5 percent in 1980 to 1.9 percent in 1986 and rose only slightly by 1990. Overall, the unemployment rate shrank from more than nine percent in 1982-83 to a low of 5.3 percent in 1989. Despite the generally good news, business failures rose rapidly during the early 1980s, from a low of 40 per ten thousand. By 1986 the rate was 120, bur it had declined to 65 by the end of 1989 (U. S. President, 1998, Table B-96). During the latter half of the 1980s, Colorado's experience was drastically contrary to the national experience. During the late 1970s and early 80s, Colorado experienced the latest of its natural resource "boom" economic periods.31 The Arab oil embargo and OPEC (Organization of 30 Apparently to be exceeded by the eight-year expansion still continuing at the end of 1998. 31 The gold rush of 1858-59 ("Pikes Peak or Bust") and the silver boom of the 1890s (recall Horace and Baby Doe Tabor) were short lived and were followed by a "bust" state economy. Oil exploration companies and entrepreneurs of the 1970s and 80s were only the latest in a line of risk takers to seek their fortune from the state's natural resources. 81

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Petroleum Exporting Countries) price fixing of the 1970s may have been a curse for most of the nation, hut for Colorado and a few other oil,producing states, it was a blessing and an opportunity for immense wealth. Oil wells 1 that made no sense at less than $20 per barrel, suddenly looked golden at $35 or more. The bubble began to quiver in 1981 when OPEC's pricing structure collapsed and, finally burst in December, 1985 when OPEC's members boosted production to glut levels (U.S. Department ofEnergy, 1998): Figure 4.3 U. S. Domestic Crude Oil First Purchase Real Price, 1975,96 60 50 8 ii 40 ---! J 30 Gi a.. I! .!1 20 0 0 j a:: 10 0 It) :e ,.._ ,.._ ,.._ 0) 0) en ,.. ,.. ,.. Source: U.S. Department of Energy, Energy Information Administration 82

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As prices for domestic crude oil fell from $30 per barrel in 1985 to half that in 1986, exploration companies could not retrench and abandon Colorado fast enough. For the nation, exploration drilling fell from 313.06 million feet of wells in 1985 to 181.51 million feet the next year. The effect reverberated throughout the state's economy. The state's economic downturn during the late 1980s is reflected by its falling retail sales in 1985 and 1986: Figure 4.4 Colorado Average. Real, Per-Capita Retail Sales. 1974-95 5600 5400 5200 8 5000 ii ., ,... C 4800 ....... _,. c 4600 c:: 0 0 4400 4200 So11ce: Colorado Department of Local Affairs, CEDIS Database 83

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Performing somewhat better chan retail sales, the state's gross produce lost ground in 1985, remained flat in 1986, and in 1987 managed only co gee back co 1984's level: Figure 4.5 Colorado Real State Gross Product. 1977-96 110,CXXJ +------------------------------------------------1 Sor..n:e: U S. Department of Commerce. Bureau of Economic Analysis A good indication of the counter-cyclical behavior of Colorado's economy during the period is shown by a comparison of the national and Colorado unemployment rates. Colorado's rate began ro rise in 1985 while 84

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the national rate was continuing to decline. Then in 1989, the national rate started to climb upward as the state's rate continued its decline. Figure 4.6 Comparison of U.S. and Colorado Civilian Annual Unemplovment Rates, 12.0 10. 0 1 -u s unemoiOyment Rate 8 0 4 0 2 0 0.0 I --Colo Unemployment Rate I I le co co Si -i i i I !i I ; i m ii ...... ,.._ s 0) en en 0) ----.,... .... .... .... .... .... --Source : U.S Bureau of Labor Statistics and Colorado Department of Local Alfaira, CEDIS Database -i I .... .... The impact of this economic misfortune on the state's population is apparent from net migration during the period. Unable to find jobs, many people had to give up and move elsewhere. From 1985 through 1989, more people moved out of Colorado than moved into the state. 85

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Figure 4.7 Colorado Net Migration, 80,000 70,000 60,000 50,000 40,000 i 30,000 20,000 Q. 10 000 0 -10 ,000 -20,000 -30 ,000 /[\ L i i !VI I j l' ,.... J i I l i I I v 1\ l I ! A i I \ j : I I I I I v I I I l t\ I i I I I I I : I I i i I j I I I i I I i I I I I I i I I : I I I I I I I I L I I : i i i I i I I I I I I j i I i I i i I ......,... i I i I i I i I : I I i I Sotlce: Colorado Department of l.oc:al Affairs The ebb and flow of these population gains is reflected in the population trends experienced by Colorado municipalities: 86

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Figure4.8 Colorado Municipal Population (estimated), 1975,1996 2,800,000 2,700,000 2,600,000 2,500,000 2,200,000 2,100,000 2,000,000 1,900,000 ./! 0 i l I l i I A I I I i I i l I I : I i I I ; I 1 i I I I I I I i I I I i : I i i I i i I Sou'oe: Cdorado, Department d Local Affairs, CEDIS Datatese I I I I I I I I I I I I I ; /( / : I I ./1 I i I ! I I i I I I I i i I I I I I I i i : I I I I i i I I j ; I : I : The 1990s began with a short national business cycle contraction, but since March, 1991, the economy has been expanding and this time Colorado has fully participated. Since 1990, gross product, retail sales, and other indicators have been rising, nationally and in Colorado. After several 87

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years of virtually no growth, in 1990, the state's municipal population began steadily increasing and, through 1998, still showed no signs of slowing. Despite the growth, Colorado's economy did not begin to recover significantly from its doldrums until1991. As is often the case with the national economy, construction activity lead the way. For the state, real, per capita construction earnings reflect an important segment of the economy: Figure 4.9 Colorado Mean Annual. Real. Per Capita, Construction Earnings, 1974-95 8 ii Si -Source: Colorado Department of Local Atrairs. CEDIS 88

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Coincidentally, shortly after the state's economy came out of its malaise and began to grow strongly, the voters approved the TABOR amendment in 1992.32 With this fortuitous timing, Colorado's municipalities were able to implement and gain experience with the amendment during a period of economic strength. Nevertheless, despite several years of strong economic growth, memories of the "bust" linger and there are still pessimists (or realists, depending on individual predilection) who think that Colorado may again experience lean economic times. Hence, one of the enduring worries of municipal governments has been that when the economy makes its next downturn, TABOR's growth limits will require cutbacks that are now unimaginable. The theories that a true measure of government growth can be achieved only by removing economic influences find their practical expression in this concern of municipal governments. Thus, in addition to the theoretical reasons for considering economic influences, there are practical reasons. The methods this study uses to address these concerns and to answer the question-what 32 The literature exploring why voters approve TEL limitations is abundant with theory and somewhat limited (see Chapter 3) on evidence. With the exception of Smith's ( 1996) offer of a "faux populism" explanation, none of it has addressed the issue in Colorado. 89

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effect has TABOR had on municipal finances, exclusive of economic influences-are the subject of the next chapter. 90

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CHAPTERS A STUDY OF MUNICIPAL FINANCES Government growth is inherently a process occurring over time and measurement of it requires a series of observations over an extended time. The resulting time-series analysis examines patterns or trends in growth and is essentially a search for changes, interventions, or interruptions in those trends. This interrupted time-series analysis technique is particularly useful for examining new policies designed to change behavior (Meier & Brudney, 1993, p. 375 and McDonald, et al., 1980, p. 6). The complicating factor for this study is that it seeks to examine these trends for an aggregate of 255 municipalities, instead of only one. This requires a cross-sectional analysis combined with interrupted time-series. The result is a pooled, time-series 91

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analysis, 33 as used in this research. This chapter discusses the subjects of the study, the data, and the analytical procedure. The Subjects This study examines Colorado's legally incorporated municipalities. The limitation to "legally incorporated municipalities" excludes any number of informal communities that appear as points on maps and are recognized as communities. Many have post offices and volunteer community associations, but they are not legally incorporated municipalities and, therefore, do not have officially recognized governments. Appendix D is a listing of all 2 72 incorporated municipalities, indicating the county in which each is principally located and its estimated population for each year from 1975 through 1996. In number, Colorado's municipalities are overwhelmingly 33 Sayrs (1989, note 1, page 73) contends that "pooled time series" should be distinguished from "panel." She argues chat panel designs are cross-sectional observations at various points in time that are not necessarily contiguous in time. Finkel (1995, note l, page 90) contends that the distinction is only informal with pooled time series "typically viewed as having a larger number of time points relative to units chan do panels." Although this study does not fit Finkel's definition, it does fit Sayrs'. Since the data in this study is contiguous in time, the convention of using "pooled" as the descriptor will be followed. "Pooled" seems to be the predominant usage. 92

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small towns. Six Front Range cities hold more chan half the municipal population of the state and if the smaller suburban towns and cities in the Denver metropolitan area are included, the Front Range corridor accounts for more than 80 percent of Colorado's municipal population. Aside from those along the Front Range, most of Colorado's towns, if transplanted to the eastern United States, would pass for rural wide spots in the road; many do not even have a traffic light. Colorado's largest municipality is Denver with a 1996 population estimated to be 497,007, and the smallest are Keota and Rosedale,34 thought to have no population in 1996.35 34 Keota is located in a remote, rural areas of northern Weld county It still can be found on most maps of the state and is located on County Road 390 {a gravel road) just north of Colorado Highway 14 between Briggsdale and Raymer. Rosedale is thought to have been located in Weld county in the general vicinity of Greeley. It is not on most maps and its exact location was nor discovered. 35 In perhaps a comment on the durability and longevity of governments, Colorado's statutes allow for petitions by 25 percent of a municipality's voters to discontinue incorporation {C.R.S. 1997 -3-101) or a detennination of abandonment by the Secretary of State, after initiation by the county attorney or any town landowner {C.R.S. 1997 -3-301), but this must follow five years of inactive town government. There is no provision for any automatic dissolution. If the lase citizens leave without turning off the lights, they may burn for a long time. The lase two residents of Keoca probably left in 1990 or 1991, but i c is still an incorporated municipality. As of April, 1999, the town had been repopulated by a Weld county snowplow operator and his family {including large, friendly dog) living in a mobile home. They were unaware char the town was still legally incorporated. 93

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Table 5.1 Number of Colorado Municipalities bv Population Groups %of %of Total No. in Population Group No. in Group Total No. Municipal Pop. Study 0-1,999 182 67 4.5 168 2,000-4,999 37 14 4.3 35 5,000-9,999 20 7 5.2 20 10,000-49,999 21 8 16.5 20 50,000-99,999 6 2 17.4 6 1 00,000-plus 6 2 52.0 6 Source: Colorado Department of Local Affairs, Division of Local Government, CEDIS Database. Note: Percentage of Total Municipal Population does not add to 100 percent because of rounding. The Data The data used are the revenues and expenditures of the 255 municipalities studied, as well as certain economic and population data. Annual financial and population data were collected for each municipality for calendar years 1975 through 1996. Because they were lagged by one year in the analysis (to account for the lag in municipal budget cycles), economic data was collected for calendar years 1974 through 1995. 94

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I I All analyzed data were extracted from the Colorado Economic and Demographic Information System (CEDIS), a database maintained by the Division of Local Government, as part of its legislatively mandated activities. 30 Colorado's municipalities nominally file annual financial reports, in a uniform format, with the Division. The data from these reports are 1 entered into the CEDIS database. The database reports an entry for each of I the 2 72 cities and towns for each year in each revenue or expenditure category. Depending upon the city or town, the year, and the category, some of the entries are zeroes. It seems apparent, or at least plausible, the many of these zeroes are not actually reported zeroes, but, instead, are missing data occasioned by a municipality's failure to report the information despite the filing requirement. A few were incorporated only very recently. A few have had a functioning town government only sporadically. As explained in Chapter l and detailed in Appendix E, seventeen of the 2 72 municipalities were 30 The financial data was extracted on November 1 and 2, 1997 and on April 10 and 12, 1998. The economic and population data was extracted on December 12, 1997 and on January 14, April12, April21, and December 23, 1998. 95

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I I excluded from the study because at least six years of data observations in all the revenue and expenditure variables were represented as zeroes. Many municipalities do not spend in some categories; for example. they do not have fire departments, or they do not impose some taxes, such as a sales tax. For these, the reported zeroes most likely represent an actual lack of revenue or expenditure and should be considered as actual zeros. For this study, there was no practical way to investigate each municipality for more than twenty years of information as to which of these zero entries represent actual lack of revenue or expenditure and which simply represent missing data. In some instances, a plausible guess could be made, but in others there is no reasonably certain way to know or guess. The issue of whether these zero entries should be left as zeroes or treated as blank or "no data" entries becomes important to the choice of mathematical models for the analysis. The "no data" method limits the choice of analytic models to a few that can accommodate missing observations in a time-series, but are not very powerful. The remaining option is to use zeroes, instead of"no data." This tends to understate reality (it pulls either negative or positive values closer to zero or it may exaggerate 96

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rates of growth) and increases error variance, 37 but it does allow the consideration of a wider variety of analytic models. The decision was made to use zeroes because (1) most of the observations probably are actual zeroes rather than simply missing data, (2) there is no certain way, that is practically available, to distinguish between "actual zeroes" and "missing data zeroes," and (3) more appropriate and powerful analytic models are available if there are no missing observations in the time-series. A more complete explanation of the consequences of choosing to use the reported zeroes rather than attempting to eliminate them as missing data is set out in Appendix E. The financial data consists of each municipality's annual total in eleven revenue and fourteen expenditure categories. A listing of these categories, their relationship to each other, and a description of the data they include is contained in Appendix C. Although CEDIS allows some of the data to be extracted in an inflation adjusted, per-capita form, for this study it 37 As the error variance increases, calculated R-square values get lower. Hence, these values, in this study, are lower for many regressions, than might be expected of time-series regressions generally. 97

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was initially retrieved in its actual dollar form so that control could be maintained over the adjustments performed. The first adjustment was to convert the information from actual, current, or nominal dollars to inflation-adjusted or real dollars. For this purpose, the Denver-Boulder Consumer Price Index (CPI), as prepared by the U.S. Bureau of Labor Statistics, was used. Beck (1976) argues that inflation for government spending (mostly services) does not precisely follow consumer prices. Another argument is that the existing CPI does not very accurately measure inflation. Whatever the merits of these arguments, resolution of them is beyond the scope of this study. Another unresolved drawback of the Denver-Boulder CPI is the suspicion that inflation in many rural and distant parts of Colorado almost certainly does not uniformly coincide with that of the Denver-Boulder metropolitan area. Nevertheless, this index was selected because TABOR specifies it as the legal definition of inflation, because it is the only readily available inflation index specific to at least some of Colorado, and because most of Colorado's municipal population does lie within the counties for which the index is specifically applicable. 98

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Using the CPI to convert nominal dollars to real dollars requires the choice of some base year for which a dollar would be deemed equal to 100 cents. In this instance, the obvious choices were 1975, because it is the first year of this study; 1996, because it is the last year; and 1982, because that has been a commonly used base year. Although the choice of base year is ultimately immaterial since all the analyses and results of this study are portrayed in rates of growth and percentages of change, the first year, 1975, was chosen. The magnitude of this inflation adjustment and a comparison of the Denver,Boulder inflation rate to all cities in the United States is contained in Appendix F. The next adjustment of the data was conversion to per,capita dollars. The only actual census counts for Colorado municipalities available for the period of the study are the 1970, 1980, and 1990 U.S. decennial censuses. Accordingly, this study uses annual 0 uly 1) estimates of municipal populations prepared by the Colorado Division of Local Government. These are listed in Appendix D for all municipalities. The Department prepares these annual population estimates based on a cohort,component model (Colorado, 1995b, p. 10/10). As the name implies, the method projects each 99

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component of population change-births, deaths, and migration-separately, while maintaining the age and sex cohorts in the population. The second rype of data used in the study are economic indicacorsunemployment rates, retail sales, personal income, construction earnings, manufacturing earnings, and farm income. These are used to introduce a control for economic conditions into the analytic model. Various government growth theories have argued that the economy is a cause of government growth. Borcherding (1977) even suggests that he can identify it as causing about half the growth. This study seeks to understand whether the Gallagher and TABOR amendments restrained government growth. If any such understanding is co be reached, the analysis must attempt to control for economic influences. In the case of Colorado and the TABOR amendment, this seems particularly pertinent because TABOR, thus far, has been the law only in an optimistic, high tide state economy. The "conventional wisdom" among those concerned with municipal finances and budgeting is that the economy's strength may have masked some of the impacts of the amendment. lOO

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Another argument has been that government is not really growing unless it is doing so relative to individual prosperity and economic confidence (Kenyon & Benker, 1984; Howard, 1989; Mullins &Joyce, 1996; and Shadbegian, 1996). If this argument is to be accounted for, also, the analysis must control for the economy. The analytic model used in this study controls for economic fluctuations and effects by adopting a multiple indicator approach akin to that often used to forecast economic conditions. In this instance, there is no attempt to forecast, so the indicators have been selected to reflect coincident conditions. After selecting indicators of economic conditions, the study lags all of them by one year to account for the annual lag in municipal budget cycles. Thus the economic data used in the analysis was collected for 1974 through 1995, while the financial data was from 1975 through 1996. In addition to the theory that government grows in the perception of its citizens only as it grows in relation to their personal prosperity, several researchers studying the effectiveness ofTELs and the growth of government have used personal income as an independent variable in their analysis (see for example, Temple, 1996; Elder, 1992; Shadbegian, 1996; Galles et al., 101

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1995; and Mullins &Joyce, 1996). For these reasons, and as pan of the control for economic conditions, this study uses real, per#capita personal income as an independent variable. Following Elder ( 1992), the annual average unemployment rate is also used as an independent variable. A third economic indicator used in the model is retail sales. Although none of the literature reviewed mentions retail sales as a factor in government growth, it is included in this study because retail sales are a primary indicator of economic conditions and because sales tax revenues, based on retail sales, are a significant source of municipal revenue in Colorado. Building permits are a commonly used leading economic indicator valuable in forecasting economic conditions (Colorado, 1997). Nevertheless, building permits are not a perfect indicamr of construction activity If market conditions change, builders can and do rerum permits and cancel work before it begins. Since this study seeks m portray current economic conditions, construction earnings were deemed a more accurate indicamr of this important segment of the economy. 102

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Forecasters, also, look co such leading indicators as factory orders or inventory levels co gauge future economic activity in the manufacturing sector. Mullins and joyce (1996) use a manufacturing employment ratio as an economic variable in a model similar to the one employed in chis study. In a study such as manufacturing earnings were deemed a better indicacor of present activity in this segment. The final economic factor used is farm income. Various indications of the farm economy are frequently used in forecasting economic conditions. In chis instance, farm income was included because so many of Colorado's municipalities are small towns in the rural, farming areas of the state. Indicators such as manufacturing, construction, and unemployment are much more indicative of urban economic conditions chan they are of rural conditions. Farm income has been included to provide some representation of the importance of it to Colorado's many small rural towns. The economic data used were available only at the county level and are not specific co particular municipalities within a county. The single exception is the city of Denver, which is coextensive with Denver County. Nevertheless, there are ocher instances in which the county data, for all 103

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practical purposes, most probably would be the same as data for a particular municipality. For example, Lake City is the only town in Hinsdale County. 1 The town had a 1996 population of 343 and the county had a population of I I 700. Except for Lake City, the county is overwhelmingly uninhabited, I mountainous national forest. There are several counties that have only one or two small towns with the remainder of the county being sparsely populated. As an example, Cheyenne County had a 1996 population o,367. Its two towns, Cheyenne Wells and Kit Carson, had a combined population of 1,419. The remaining 948 people live in a county that encompasses about 1,890 square miles. As another example, Moffat County had a 1996 population of 12,133, including 9,04 7 in the municipalities of Craig and Dinosaur. The remaining 3,086 people live in a county of about 4,890 square miles. For some perspective, this is an area slightly larger than the state of Connecticut. A quarter of Colorado's 63 counties include only one or two municipalities: Denver, Hinsdale, Jackson, Bent, Lake, Mineral, San Juan, Archuleta, Cheyenne, Costilla, Custer, Dolores, Gilpin, Huerfano, Ouray, Park, and Washington. 104

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I Despite the fact that many of Colorado's counties have no significant economy outside their municipalities, because there are not many people or opportunities for transactions outside the towns, it cannot be argued that county-wide economic data are perfectly reflective of municipalities within the county. There may well be some difference, but this study did not attempt to discern it. It is assumed that the county-wide economic data are sufficiently valid regarding municipal economies for these purposes. Finally, the economic indicator data were converted to natural logarithms as an aid to reducing the autoregressive characteristics of the data when stacked in a pooled time-series and so that the coefficients can be read, directly (multiplied by 100), as percentages of change related to other percentages of change. For example, with this transformation of the data into a "log-log" format, the results can be interpreted as a percentage of change in the dependent variable for every one percent change in an independent variable. In a semi-log model, the results would have to be read as a percentage change for each unit (usually $1) of the independent variable. 105

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The Analytic Model All of the data described have been analyzed using a model best described as a specialized multi variate regression model. Specifically, it is a pooled, time-series, fixed effects analysis as described by Sayrs ( 1989), Greene (1997), Kmenta (1986), Johnson (1995), and judge, et al., (1988). The model can be portrayed by Equation 5.1 where i = 1, 2, ... N cross-sectional observations. There are 255 of these cross-sections-one for each municipality studied. There are 22 time observations for each municipality. Thus, t = 1, 2, ... T time-series observations for 197 5 through 1996. The slope represents the coefficients common to all municipalities, Yir. is the dependent variable, and the x/cU are the explanatory variables, including economic, trend, and the Gallagher and TABOR interventions. The eit are independent and identically distributed random errors. 106

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It must be emphasized that the model does not include a constant term. This is necessary to avoid the "dummy variable trap" or perfect collinearity (Hardy, 1993, p. 7 -9). An alternative would be to include a constant term and exclude one of the dummy variables for a municipality. The advantage of the first method is that the fixed effects of all the studied municipalities are included. The advantage of the second method is that it would allow comparisons of coefficients ro the constant. In this instance, it was decided to not use the constant because comparison to it has no meaning in the context of this study. The Djt are dummy variables and take values equal to zero or one. There is a dummy variable corresponding ro each individual municipality. Each dummy variable takes a value of one for observations contributed by the corresponding to municipality j, but will be zero for observations that belong to the other municipalities. These dummy variables provide the fixed effects part of the model because they control for the specific effects of each municipality; effects that are subsumed into the dependent revenue and expenditure variable data. 107

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The "time,series" part of the description derives from observing each municipality annually for the 22 years in the study. The "pooled" descriptor develops from stacking the individual time series for each municipality with the series for each of the other municipalities. The result is 22 observations per municipality multiplied by 255 municipalities for a total of 5,610 observations for each variable in the full model. The model is also an "interrupted" time,series because additional control variables are included to detect any change in the overall trend that I I 1 is coincidental with the specified intervention in the trend of either the I Gallagher amendment or the TABOR amendment. An overall trend control variable is coded one for 1975, two for 1976, and so on through 22 for 1996. The intervention or program control variable for the TABOR amendment is coded zero for each year of the study period prior to TABOR's implementation (1975,1992). This variable is coded one, two, three, and four to corresponded with 1993, 1994, 1995, and 1996; the years TABOR has been in effect. The corresponding program control variable for the Gallagher amendment is coded zero for 1975 through 1984 and, then 1, 2, 3, ... 12 for the years 1985 through 1996. Meier and Brudney (1993, p. 375, 108

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I I 389) describe several examples of the usefulness of these program variables and their coding for detecting the long, term effects of program changes. 38 Finally, the model may be described as a fixed effects or covariance model because it controls for the effects of each municipality. This is in contrast to a random effects or error component design The latter design would be more appropriate if the municipalities studied had been randomly drawn from a larger population and the goal was unconditional inference about the larger population. The random effects design assumes random error variance between cross-sections (i.e., between municipalities) and that is coo restrictive for this study. In this instance, errors between many of the cross,sections may not be random because many of the municipalities are in relatively close geographical proximity to each other, they are subject to the same state laws regarding their taxing and spending, and rhey are influenced 38 These program variables would be coded zero for all years except the year of an amendment's adoption, if a one,time "pulse" effect with a prompt return to the original trend were expected. The other often,used coding scheme of zeros prior to adoption and ones for every succeeding year is used to detect a suspected short-term impact that does not later vary from its initial effect. There is no theoretical reason to suspect that either the Gallagher or TABOR amendments would have such limited effects. Nevertheless, these alternatives were explored with the dependent variable "total revenue... Neither the pulse nor the short-term effect were significant and both were followed by a significant long term effect. Accordingly, these alternatives were dropped from the model. 109

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i i I I II by many of the same economic conditions. This is particularly true for cities within the same county. In those instances, identical economic data was applied to each. For these reasons, the covariance, fixed effects model was chosen, recognizing that it allows only conditional inference co the subjects studied and permits no inference to any larger population. 39 These fixed effects are controlled by the dummy variables described earlier. When these are significant, they would allow a relative ranking of each municipality to the others in terms of the overall trends. Nevertheless, these coefficients are not reported in this study because (1) the purpose of the study is not a comparison of one city to another, (2) many of these coefficients are not statistically significant, {3) those that are significant vary from one dependent variable to another, and (4) these coefficients say nothing about the Gallagher or TABOR interventions. Using the dummy variable coefficients would allow comparison of only some municipalities, but not all, for any single dependent variable, but not for others, i.e., the group of cities that could be compared is different for each variable. 39 See Kmenra (1986, p. 630,635) and Judge, er al., (1985, p. 527,529) for discussions and comparisons of rhe rwo models. Mullins and Joyce ( 1996, p. 100, nore 22) also, discuss rhe rwo models in rhe conrexr of a study loosely similar ro rhis. 110

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Statistics I I In a pooled time,series analysis, such as this, two assumptions of ordinary least squares (OLS) regression are often violated to some extent: I (1) the assumption that the error terms or residuals are not heteroscedastic, i.e. that they do not increase in value with increases in the predicted value Oudge, et al., 1988, p. 356,358); and (2) the assumption that these residuals are not serially or autocorrelated. Under these circumstances, Beck and Katz (1995) contend (1) that OLS regression, by itself, produces significantly underestimated standard errors, and (2) that their method of panel corrected standard errors is more reliable. For example, in this instance, pooled regression of total revenue without pane(,correcred standard errors produced an estimated trend coefficient of0.08133 with an asymptotic T,ratio of 13.74 and a probability value ofO.OOO. With the panel,corrected error method used in the study, the trend coefficient was unchanged, but the T ,ratio was 10.75 with a probability value o.000. In the same comparative regressions, the Gallagher program coefficient was ,0.045914 in both cases. Without the panel correction, the T,ratio was with a probability o.001. With the panel correction, the T,ratio was '3.268 with a probability of 0.000. The 111

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magnitude of the correction was not enough, in this example, to make a statistically significant difference at even the one percent level. Nevertheless, the statistical significance is overstated without the correction and, in closer cases, it could make a difference. Greene ( 1997, p. 4 52) argues that it is reasonable to expect some cross-section correlation when the cross-sections are subject to the same economic variables. For this study, there is certain to be correlation between some cross-sections because exactly the same economic data was applied to each municipality in a given counry.40 Also, it is expected that there will be some first lag serial or autocorrelation because municipal budgets for one year are very much based on the prior year's budget. It is expected that this autocorrelation diminishes for lags (years) past the first. The model used in this study relies on the Greene (l997, p. 452) reasoning and model, as corrected for heteroscedasticiry and autocorrelation, using methods suggested by Beck and Katz (1995) (for autocorrelation) and 40 As an example, 26 of the 255 municipalities studied are within Weld County. 112

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by White (1980) (for heteroscedasticity)'41 The result is a cross-sectionally heteroscedastic and time-series autoregressive model, corrected for both these characteristics, chat reports panel corrected standard errors. As described by White (1997), the analytical process first estimates the coefficients by ordinary least squares to obtain estimated residuals. These estimated residuals are then used to compute estimates of the first autoregressive parameter, (SPSS, 1994, p. 261). These estimated parameters, in tum, are used co weight the observations and OLS regression is applied to the transformed model. The error variances and covariances are estimated from the regression residuals of chis transformed model. Finally, a generalized lease squares estimator is obtained by an iterative process using a diagonal matrix and the regression process is completed. The final, calculated results include estimated regression coefficients, asymptotic T -ratios (based on the panel corrected standard errors), significance values (also, based on the panel corrected standard errors), and the R2 values. 41 White's formula, as it is known in the econometrics literature, also, is attributed to Huber (1967), see Stata (1993, Vol., 2, p. 406). 113

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For time-series analysis, a Durbin-Warson statistic is usually reported as a measure of the degree of autocorrelation present. It is not reported for this study because it is not an appropriate test for autocorrelation in the presence of lagged explanatory variables (in this case, the economic variables were lagged one year) or when rho, the estimate of the first order autocorrelation, is not set to zero but is estimated at some other value, as in this instance (White, 1997, p. 271). The Analysis Variations of the Regression Model For the first portion of the analysis, the model was employed once for each of eleven revenue categories and fourteen expenditure categories as dependent variables involving all255 municipalities included in the study. In this step, the model included the six economic indicators, described earlier, a trend variable, the Gallagher and TABOR intervention variables, and a control, dummy variable for each municipality. 114

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As a second part of the analysis, the 255 municipalities were segregated into the six population groups described in Table 5.1. The grouping was based on each municipality's estimated july 1, 1996 population. The regression model was used for each population group with four dependent revenue variables (total revenue, total tax, sales tax, and property tax) and six dependent expenditure variables (total operating expenditure, general government, law enforcement, roads, solid waste services, and recreation). 42 Again, the six economic indicator variables, the trend variable, the Gallagher and TABOR intervention variables, and the control, dummy variables for each municipality in che group were used. In a similar procedure, all the municipalities in the fifteen most eastern counties of the state were grouped together. This group was analyzed using only the property tax and sales tax variables, plus the economic, trend, Gallagher, TABOR, and dummy variables, as before. 42 Although eleven revenue and fourteen expenditure variables were used with rhe aggregate regressions, for those involving population groups, rhe number of variables considered was reduced ro rhe most important four revenue and six expenditure accounts. This reduced rhe number of regressions, for population groups, from 150 ro 60, rhus keeping the study from becoming unmanageably large. 115

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For another analysis, all the municipalities studied were divided into two groups; those that had at least one successful tax increase or exemption issue election after the TABOR amendment (1993 through 1996) and those that had no such election or only failed elections. These two groups were examined using the same procedure and revenue variables as the population groups. For this analysis, only four expenditure variables were used-total operating expenditures, general government, law enforcement, and recreation. Table 5.2 shows the number of municipalities studied in each group with the corresponding number of observations. For each analysis, data for the entire 22,year period were included. 116

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Table 5.2 Municiealities Studied by Groues Group No. Municipalities N= Population 1 to 1,999 168 3,696 Population 2.000 to 4,999 35 no Population 5.000 to 9,999 20 440 Population 10.000 to 49.999 20 440 Population 50,000 to 99,999 6 132 Population 100.000 plus 6 132 Eastern Plains 59 1,298 Successful Eledions 144 3,168 Failed or No Elections 111 2,442 Full Study 255 5,610 As a final analysis, the model was used with all 255 municipalities and the eleven revenue and fourteen expenditure variables, as well as the trend, Gallagher intervention, TABOR intervention, and dummy, control variables for each city or town, but the economic indicator variables were omitted, i.e., these economic fluctuations were not controlled. The results from this set of regressions is then compared with the results obtained with the economic controls. The difference between the two, with economic controls and 117

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without, allows an assessment of the effect of at least these six economic indicators on municipal budgets. Tabular Reporting After the regression results were obtained, each of the estimated coefficients for the pre-Gallagher trend variable and the Gallagher and TABOR intervention variables was converted ino a percentage of annual change as a step toward making the results easier co comprehendY Finally, the post-Gallagher and post-TABOR annual change percentages were computed. These are the computed results primarily discussed and compared in the next chapter. The complete results of these analyses are reported in the tables contained in Appendix G and are discussed in Chapter 6. Table G.l of Appendix G, reports, for the aggregate of all255 municipalities, the 43 Because all of che regressions were log-Log, coefficients are converted into percentages by simple multiplication (coefficient x 100 = percentage). The trend prior to 1985 is the coefficient for the trend variable. The post-Gallagher trend is computed by adding the trend coefficient to the Gallagher coefficient (trend coefficient + Gallagher coefficient= post-Gallagher trend). The poscT ABOR crend is computed by adding all three coefficients rogerher (trend coefficient + Gallagher coefficient + TABOR coefficient = post-TABOR crend). ll8

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estimated regression coefficients obtained for the trend and the two amendment interventions, their associated T -ratios, statistical significance indicators, and the R2 statistic for each of the eleven dependent revenue variables and fourteen dependent expenditure variables in the study. Table 0.25 (two pages) reports the estimated coefficients, T-ratios, and significance for each of the economic variables as obtained in for each dependent revenue and expenditure variable for the aggregate of municipalities. Table, 0 2, converts the obtained estimated coefficients into percentages and calculates the post,Gallagher and post, TABOR trend percentages of annual change. Tables 0.3 through 0.8 report the results of the analysis of population groups and display the obtained estimated coefficient, T,rado, significance indicator, and R2 statistic for each equation. Table 0.9 compares the trend (before Gallagher) coefficients, converted into percentages, across population groups. Table 0.10 compares the Gallagher intervention coefficients, converted into percentages, across population groups and Table 0.11 performs the same comparison for the TABOR intervention coefficients, again converted into percentages. 119

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The next set of tables, 0.12 through G.17, respectively, show, for each population group, the estimated coefficients after conversion into percentages and compare the trend (1975-84), the Gallagher intervention, the post-Gallagher trend (1985-92), the TABOR intervention, and the postTABOR trend (1993-96) results. Table 0.18 (in two pages) concludes the study of population groups by comparing the pre-Gallagher (1975-84), post Gallagher (1985-92), and post-TABOR trends (1993-96) across population groups. Table 0.19 reports the results of the comparison of municipalities when grouped according to their post-TABOR election experience. It includes all the estimated coefficients, T-ratios, significance indicators, and R2 statistics, as well as the trend and intervention percentages. The next series, Tables 0.20 through G.22 reports the results of examining all eleven revenue and fourteen expenditure variables with the model chat includes a trend variable, the Gallagher and TABOR intervention variables, and the control, dummy variables for each of the 255 municipalities. In this step, the analysis was conducted without including the six economic indicators. Table 0.20 reports the estimated coefficients, 120

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the T,ratios, the significance, and the R2 statistic for each equation. Table 0.21 converts the coefficients into percentages and calculates the pre, Gallagher (1975,84), post,Gallagher (1985,92), and post, TABOR (1993, 96) percentages of annual change in the revenue and expenditure variables. The effect of the economic indicator variables is reported by using Table 0.22 to show the difference between the results obtained using them and omitting them. Another analysis was conducted for each of the six population groups, using the basic regression model with its trend, Gallagher, and TABOR variables, its economic variables, and the dummy, control variables for each city in a group. In this instance, an additional independent variable, the natural log of per capita, real assessed property value, was added. Assessed property values for each city, for each year between 1975 and as reported on the CEDIS database, were included in the variable. The results 121

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of using regressing the log of real, per capita property tax revenues on the independent variable are reported in Table 0.23.44 Using 1996 actual dollars, the components of tmal revenue for each municipality in the state (this includes all272 cities and towns, rather chan just the 255 included in most of the study) were taken from the CEDIS database. These were used co compute the percentage contribution of each source to total municipal revenue. These results are reported in Table 0.24 for municipalities in each population group and for those in the fifteen eastern plains counties. Finally, Tables 0.26 and 0 27 report the results of the analysis of municipalities located within the fifteen eastern plains counties. Table 0.26 displays the obtained estimated coefficient, T,ratio, significance, and R2 statistic, for each regression. The last cable, 0.2 7 converts these coefficients 44 With the data available for this study it is not possible to calculate municipal growth limits under the TABOR amendment. Because the limit is based on actual property value, beginning in 1993, county assessors have reported the actual property value for all jurisdictions in their counties. Unfortunately, the information has not been compiled by the Department of Local Affairs. Presendy, it resides only with each assessor, each jurisdiction, and in inaccessible storage boxes at the Department. Assessed values multiplied by assessment ratios for each class of property would equal actual property values, but the amount of assessed value attributable to each class for each municipality is not available 122

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into percentages and calculates the resulting trend percentages (1975-84), post-Gallagher trends (1985-92), and post-TABOR trends (1993-96). The next chapter uses this tabular information for a discussion of the results and their relation to the issues. 123

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CHAPTER6 MUNICIPAL FINANCES UNDER TAX AND EXPENDITURE LIMITATIONS Introduction The practical concern of this study has been: how have the finances of Colorado's cities and towns fared over the past two-plus decades? At least superficially, they seem to have managed quite well. During the 22-year period spanned by this study, total revenues (in real, 1975 base, per capita dollars) grew from $260 in l975 to $344 in 1996. In just more chan twenty years, they increased some 32 percent-an average of more chan one percent annually. Total municipal operating expenditures (again, in real, per capita dollars) rose from about $213 in l975 to more chan $250 in 1996-slighdy less than one percent annually. It appears chat municipal finances should be in good order as shown by their growth in real, per capita dollars taken in and spent: 124

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Figure 6.1 Municipal Total Revenues and Operatinf: Expenditures45 1975-96: GJ I T<*l 1975t.., Per Capilli S) ' e! .!!! :m ; ... ....... -1975...._ ... ! : i 0 0 s 2iD Q. lU 0 ... all G) a. a; 150 G) a::: 100 50 0 I I I I I I h-fl I i I I I I I i I I I I"'" T j I I I .. I I .. } ..... t .. L. 1 . -r . t .. I o t rr tt: 1 1 : l I I ; i : i I I l i I I I I I ! I i i I i I I i i ; I I I I I I i I I l I I I I I I ; I _l_ I I I I I : I i I I : I I I I i i I ; I I I : I I I I I I I I I I I I i ! I I I I i I I I : I I i I ' i : I I i I ; I I I [ I I : I I I I I i i i ; : ; : I I I ' I I I i I i I I l I I I i I I I I I I I I I I i I : I I i i I I i ; I l I ! I I I I I I I I I ; i i I I i ; i I I I I I I i I I I I i : I I I I : Sout:e: CED6 Growth was rather uneven, but may have accelerated somewhat in 1989. There is little evidence of the significant recession in the state's economy during the late 1980s from the growth trend in real, per capita 45 Total municipal revenue and operating expenditures are defined in Appendix C. T oral operating expendiruresare less than total revenues because of non,operating expenditures such as debt service and capital outlays. 125

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dollars of municipal revenues or spending. Without considering economic influences (other than inflation), it appears that the city and town governments did quite well and that there should be little reason for concern about their finances now or in the foreseeable future. The reality, however, is that the past few years were tumultuous. Recalling the discussion in Chapter 4, crude oil prices fell precipitously in 1986 and reverberations echoed through the state economy. Retail sales fell to their lowest levels and unemployment rose to its highest level in two decades. Net migration was out of the state for five years. By the early 1990s, the comer was turned and the latest boom economy began to take hold; from a net migration of about 10,000 into the state in 1990, the tide almost reached 70,000 in 1993. Construction earnings began co climb in 1992. Despite the contraction, personal income had been generally rising since the early 1980s. 126

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Figure 6.2 Colorado Per Capita Personal Income (real dollars. 1975 = 100). 1974,96 10,000 9.500 8 9,000 .... II 8.500 It) ...... 0) :::. 8.000 c J! 7,500 a 0 7,000 I CD 6.500 0 5 a. 8,000 5 ,500 5 .000 olllll!!!!!. 1 l I I i A : i ! ' I I I I I I I I : i i I I I i I I i .......... I I I '! I i I I I I I i I I I I I I I I i I i I I I I I I I I I i I I I I I I I j : I I \ I i ; I : i i I I I I ; I I i I I : I I ; I I i I I i I I ' I I I j : i i I l I : I : I i i i ---Source CEDIS If some of the indicators are mixed, some are quite clear: Not all segments of the economy have participated in the good times. With the exception of a good year often enough to keep stubborn hopes alive, farm income has been stagnant or declining: 127

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Figure 6.3 Mean Colorado Farm Income by Counties-lei (real, 1975= 100, per capita dollars), 1974,95 0 0 ,... II It) CD ,... Source : CEDIS Database i 8 -The manufacturing segment of the economy, in a state that has never had a large manufacturing presence, has been in the doldrums and declining: 40 The data for this figure represent the statewide mean, each year, of the real, per capita farm income for each of the 63 counties. This method was selected because it reflects the economic indicator variable used in the analysis more closely than would the statewide per capita farm income data. 128

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Figure 6.4 Mean Colorado Manufacturini Eaminis by Councy47 (real. 1975 = 100. per capita dollars), 1974-95 i i I -Source: CEDIS Database If manufacturing earnings were declining in the 1990s, service earnings were making sharp gains: 47 The data for this figure were assembled in the same manner as farm income data for the same reason. 129

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Figure 6.5 Mean Colorado Services Earnings by County (real, 1975= 100, per capita dollars), 1975,95 1,400 1,200 8 1,000 u 10 ,... m -800 i 15 800 0 t 0 400 Gi ll.. 200 0 : I I \ I I l l I I l I i i I I I I I : j I I I I I I i I I I I I i ; I I I I I I I I I I : I i l I I : I I ; I I I I I i I I i i I I I I I I I I : ' I Source: CEJIS ---./! I I I I I l I I I I I I i I i I I I : l I I I I I ' I I i I I I i I I j i I : I I I I I : i i : I ' : I i I I I I ; I I I : I I i i ; i I I : i i I I I I ' If Colorado is a state of geographic contrasts from plains to alpine peaks, it is a state of economic contrasts, as well. In 1996, it was home to three counties among the richest ten percent ofU. S. counties as measured by per capita personal income. Of the 3,110 counties in the nation, Pitkin County ranked as the third highest at $46,893, Douglas County was 44th at $33,352, and Arapahoe County was 50th at $32,522. In the same year, three 130

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Colorado counties were among the poorest ten percent; Crowley County was 72nd from the bottom at $12,175, Saguache County was 84th at $12,371, and Conejos County was in 133rd place with $12,926 (U. S. Department of Commerce, 1997). Economically, the period under study was characterized by boom and bust cycles, but that was nothing particularly exceptional for Colorado. The more unusual events of the period were the addition of cwo amendments to the state's constitution. Both were approved by the voters, and both have changed the "playing field" oflocal government finance in the state. The primary task of this study has been to examine the impact of these two amendments on municipal finances in a time of economic prosperity and attempt to parse out their probable consequences during less salubrious economic times. Upon more rigorous examination, the influence of the two amendments during economic expansion becomes clearer and the picture of municipal finances appears not so sanguine. 131

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Revenues and Expenditures in the Aggregate Revenues Looking first at the total of municipal revenues, from both tax and nontax sources, it is appears that the legal constraints imposed by the Gallagher amendment and perhaps the TABOR amendment have influenced growth trends. Figure 6.6 compares the trend of annual percentage increase in total municipal revenues for the period before the Gallagher amendment (1975-84), the interim period between Gallagher and the TABOR amendment and the period after adoption of TABOR The comparison is expressed in terms of annual percentage of increase based upon per capita, real dollars (1975= 100) for the aggregate of all Colorado municipalities: 132

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Figure 6.6 Comparison ofT rends in Total Municipal Revenues (Percent of Annual Increase) 1975,84; 1985-92; and 1993,96 9 813-8 7 "' CD c: 6 ca ..c (.) 1i 5 :J c: 3.54-c: c( 4 -c: 3 Q) a. 1.32 2 1 0 Tra-d-197584 N:E 1te am ID!Is ae estimEd CD!illcia1s cxnated irtD r::aca myes. Sgitca m cth ll'dsl)irgestiJJSI:da:dda1sisirdcaledasctte crd-ct1te 1 lea. Sc:ua! Tati!G2 It appears that municipal revenue growth was slowed significantly after the Gallagher amendment became effective in 1985, but that it was continuing to increase each year with economic conditions held constant. 133

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Because "total municipal revenue" includes a variety of component sources, the next task of the study was to examine the trends for some of these components. The tax components include sales tax, property tax, specific ownership tax, franchise tax, occupation tax, other taxes. 48 The nontax sources are intergovernmental revenue (from the state, federal, and other governments), licenses and permits, charges for services, fines and forfeits, interest income, a miscellaneous category, and transfers from enterprise activities. Figure 6. 7 depicts the percentage contribution to total revenue from each component for the aggregate of all Colorado municipalities during 1996. The percentages were calculated from the actual dollar amoums of each category of revenue. 48 .. Other taxes" includes levies on admissions, lodging, and gaming devices, for example. l34

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Figure 6.7 Municipal Revenue Sources. 1996 (actual dollars)49 CHARGES 9.58% UCENSES& PERMITS 275% Source: Table G.24 Tax 1.74% TRANSFERS FROM ENTERPRISES 1.63% 0.96% SALES TAX 43.51% Because taxes of various kinds account for most of total municipal revenue, the history of their trends before the TEL amendments, during the interim period with only the Gallagher amendment, and after both 49 The components examined as individual dependent variables are displayed in CAPITAL LE1TERS. the others were examined only as they are included in the aggregated variables "total municipal revenue," or "total tax revenue." Appendix C contains a listing of those revenue and expenditure components that were used as dependent variables and includes a description of each. 135

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amendments were in place, reveals an important part of the story regarding TEL effectiveness and impact. Figure 6.8 shows these trends of annual percentage increase in the real, per capita tax revenues for all of Colorado's municipal governments. Figure 6.8 Comparison ofT rends in Total Municipal Tax Revenues (percent of annual increase based on real, per capita dollars) 1975-84; 1985-92; and 1993-96 9 ass8 7 CD C) 6 c: ca .s:: () 1ii :s c: c: <( c: CD e CD s.oo5 4 3 2 1 0 TIB'd-197584 -1 N:tl! fvjn, ttecbalat:Ss ae estinBedcmlidatsCDMJIEdir1D r:sca t:g:s crdthe Sl.rtE Tct1eG2 136

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Before the rwo amendments, municipal real per capita tax revenues were growing at an annual rate of almost nine percent. This fell to five percent after 1984. After 1992, with the advent ofT ABOR, annual growth disappeared and municipal tax revenues were just about flat or shrinking slightly each year. Of the six categories of taxes, sales and property taxes contribute half of municipal revenue and are more than 85 percent of all tax revenues. Clearly, any changes in the growth trends for sales tax would have the most impact on total revenues. Figure 6.9, following, compares the trends of annual percentage increase in real, per capita sales tax revenues for all Colorado municipal governments. The trends are compared for the same three periods of time as before: 1975 through 1984 (before the Gallagher amendment), 1985 through 1992 (after Gallagher, but before TABOR, and 1993 through 1996 (post,TABOR). 137

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Figure 6.9 Comparison ofT rends in Municipal Sales Tax Revenues (percent of annual increase based on real. per capita dollars) 1975,84; 1985,92; and 1993,96 16 14.cn14 12 G) CD c: .! 10 u (ij :::1 8 c: c: <( c: G) 6 u .... G) 4 2 0 l"im: .Ag;in, tt-edalla labels areeSnaed coellic:iens ccrr.eted inc pe1certages v.ith lt"e si{Titianle dlt'e coeftic:ierts irdic:lted by illlterislcs. Sauce: Table G2 Real, per capita municipal sales tax revenues were still increasing each year after the TABOR amendment was adopted. Where they had been increasing by 14.03 percent prior to either the Gallagher or TABOR amendments, rhe rare went to 8.39 percent during the interim, Gallagher period, and rhen dropped to only 1. 74 percent after TABOR. 138

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These sales tax trends are difficult to explain and highlight the need for further research into the operation and implementation of TEL amendments, such as Gallagher and TABOR. In the first instance, the rapidly increasing trend before either of the TEL amendments does not seem to be in keeping with an economy that was essentially level from 197 5 through 1984. The lower trend during the interim period after Gallagher and before TABOR, is not explained by the language of the amendment. The Gallagher amendment's provisions contain nothing that would suggest a reason for this marked reduction in the rate of increase for sales tax revenues. The further reduction in this rate of increase after adoption of the TABOR amendment is not so surprising and is explainable from the language of the amendment. The possible explanations for these trends and their importance to municipal governments is made all the more apparent by the history of the second largest tax revenue source-the ad valorem tax on property. 139

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Figure 6.10 Comparison of Trends in Municipal Property Tax Revenues (percent of annual increase based on real, per capita dollars), 1975-84; 1985-92i and 1993-96 8 6 4 G) C) 2 c CD Q51 .&; 0 Ci 0 c:: Tlli'D-197&84 c c( -2 c G) G) -4 a. -6 -10 ()Ita labas ae eslill"BBedc:aeftici&ECXJM!Ited irm J8C8 tages Wlh the sigifica r;;e d the l.l"dlrl)tng OJellic:iens il"daDDd by a;taiski. Scute: 140

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The trend before 1985 was essentially flat. After 1985 and che Gallagher amendment, the trend was increasing by about six percent annually. If the Gallagher amendment was truly a tax and expenditure limiting amendment, a rising property tax rate after its adoption appears to be a contradictory result. The answer may be that the Gallagher amendment was not primarily meant to limit the growth of government. Rather, it was designed to reform property tax administration and assessment procedures, and to stabilize the incidence of property tax payment between residential and business properties. Along with the Gallagher amendment's provisions about the residential assessment ratio, there were other provisions that reorganized the state board of equalization, removed the state's property tax administrator from the civil service system to a position appointed by the board of equalization, and, most significantly, revamped the state's enforcement of uniformiry and quality in assessments. Accompanying legislation, in conjunction with the amendment, initially changed the base year for 141

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assessments from 1973 to 1977, then to 1983, and then to a base year that is never more than two years past. 5 In the words of the state's propeny tax administrator, "The most important change in propeny tax assessment brought about by passage of the 1982 Constitutional Amendment [Gallagher) has been in the area of enforcement" (Colorado, 1987, p. 6). The focus on equalization and enforcement among the counties was designed to assure that excessive school aid monies would not be paid by the state to school districts in counties with under,assessed property values. Thus the amendment requires assessed values, of each class of propeny, in each county, to be no lower than five percent below the level determined by the state board of equalization. Counties that do not meet the standard are required (since 1985) to levy additional property taxes sufficient to repay the costs of reappraisal and the amount of excess school aid paid by the state to each school district in the offending county. 50 The Sixteenth Annual Report of the Division of Property Taxation (Colorado, 1987, p. 6, 15) contains a good synopsis of the legislation and enforcement changes. 142

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In 1985, ten counties were ordered to repay more than $1.5 million to the state. The next year only three counties were ordered to repay a total of $117,000 (Colorado, 1987, p. 9). By 1988, enforcement actions were brought against 23 of the 63 counties, but the amount to be repaid was only $204,000 (Colorado, 1989, p. 9). In 1993, all counties were determined to be in compliance, but in 1994, two counties, Adams and Arapahoe, were ordered to repay more than $1.6 million (Colorado, 1995a, p. The equalization provisions of Gallagher appear to apply pressure on county assessors to raise, rather than lower, property assessments. Thus, a county assessor and his county must pay for reappraisals and repay school monies to the state if assessments are roo low. There are no similar penalties on the county or assessors for assessments that are too high. In such an event, school districts in the county might get less state money than otherwise, but there is no provision for penalizing the county for it. It seems reasonable to expect that the assessors were not long in perceiving that if error was a possibility, then caution favored over-assessment. Some research (Bloom & Ladd, 1982; Ladd, 1991) suggests that the revaluations of the rype mandated by the 1982 amendment may have allowed 143

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governments to raise taxes more than they would have otherwise. All of this may account for the significant rise in propeny tax revenues during the Gallagher period. The remaining question about the Gallagher amendment goes back to sales tax revenues. Why would sales tax revenues increase more slowly after adoption of Gallagher than before? The amendment says nothing about sales taxes. The answer may lie with Propositions 13 and 4 in California, with representations made to voters about the proposed Gallagher amendment, and with some of the amendment's provisions. At the time Gallagher was being argued in the Colorado legislature, voter discontent with property taxes was fresh on the minds of many. Proposition 13 was the epitome of a property tax revolt and it was only four years old Proposition 4 (the spending limit with revenue refund provisions) was only three years in the past. Thus the Gallagher amendment was touted on the ballot as a measure that "would provide an immediate reduction in the percentage valuation for assessment of residential property from 30 percent to 21 percent of value" 144

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(Colorado, Legislative Council, 1987).51 The offer put to the voters was that if the amendment failed, property taxes would go up 36.5 percent. If it passed, these taxes would go down 4.5 percent. It was an offer not robe refused, and the amendment passed. Gallagher did reduce the residential assessment ratio, immediately, and has continued to further reduce it. The state's homeowners are assured that they will never pay more than 4 5 percent of the total property tax bill. In its 1997 report, the Division of Property Taxation (Colorado, Department ofLocal Affairs, 1998, p. calculates that the amendment has saved residential property owners $3.2 billion over what they would have paid had the assessment ratio stayed at 21 percent. The lower rates of increase in sales tax revenues may be the result of voters having signalled a desire for slower government growth by voting for a TEL amendment such as Gallagher. Bails (1990) anticipated the argument that TELs might have resulted in fewer or smaller tax increase proposals, but found no significant evidence for the idea at the state level. Nevertheless, some years later Poterba (1995) and Shadbegian (1998), again argued over 51 The rext of the Gallagher amendment and the ballot language is contained in Appendix A. 145

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whether any decreased growth resulted directly from TELs or indirectly from changed attitudes brought about by passage of the TELs. If the tax and expenditure limiting intentions of the Gallagher amendment are somewhat conflicting and convoluted, they are clear and direct in the TABOR amendment. The results are apparent in the TABOR trend. Property tax revenues experienced a dramatic reversal and have been decreasing by 9.20 percent yearly. The nature of these trends is that an annual change is compounded from one year to the next. 5 2 This "ratcheting" effect is directed downward by TABOR because it does not allow for rate increases that could alter the trend, unless the voters approve. The effect is magnified by Gallagher's mandated readjustments in the residential property assessment ratio. The synergistic result is that municipalities are rapidly losing this usually stable and reliable revenue source. Between them, sales tax and property tax revenues accounted for 52 percent of municipal revenues in 1996. The remaining revenues came from a variety of sources, none of which accounted for more than ten percent of 52 Ceteris paribus, after eight years of such a trend $1,000 of property tax revenue would have been reduced by more than half to $463. 146

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total revenues. The patterns of growth (or decline) in these other revenue sources may reveal something about municipal reactions to the TABOR and Gallagher TEI..s. Although TABOR requires municipalities to keep their overall revenues within its growth limits, it does not require that increases in the rates or amounts of user charges, fines, licenses, permits, and the like, be approved by voters. For example, cities and towns are free, without voter approval, to increase the price of building permits and traffic fines. The evidence suggests that municipalities have taken advantage of this opportunity. Figure 6.11 compares the trends for annual percentage rates of increase in municipal revenues from charges for services, fines and forfeits, and licenses and permits. The rates examined are based on real (1975= 100}, per capita dollars. Trends in these three categories of revenue are compared for the same three periods of time used throughout the study; pre,Gallagher, the interim after Gallagher and before TABOR, and post, TABOR. 147

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Figure 6.11 Comparison of Trends in Charges for Services, Fines, and Licenses and Permits (percent of annual increase based on real, per capita dollars), 1975-84; 1985-92; and 1993-96 14 12 IITrad-197584 10 CD CD c:: 8 (U .&:. (.) 1ij 6 c:: 4 c:: 2 CD a.. 0 -2 4 l'\bl! Qm aetSiJIBI:d cmlicia1SCXIM!ffed if1D FIJIB tagt5Wihtte9g'ifica O::d1he aSfidens irdaad tasiBislcs. Tci*!G2 Rates of annual increase for each of these revenue sources were significantly increased after adoption of the TABOR amendment, even though the revenues thus generated are counted toward TABOR's overall municipal revenue growth limit. In their 1996 study of data from several 148

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states, Mullins and joyce concluded (among other things) that TELs did result in local tax reductions, replaced by more reliance on state aid and user charges. Colorado's municipalities appear to be increasing their reliance on user charges (especially if fines can be considered a user charge), but as of 1996, these made up only 15 percent of municipal revenues. 5 3 Whether municipalities have been receiving more state aid is answered below. The remaining four sources of municipal revenue included in the study-miscellaneous revenues, the specific ownership tax, revenue from the state, and revenues co the municipality from enterprise activities-present a mixed picture. Figure 6.12 compares trends of annual percentage increase in these four revenue components. Again, the trends examined are for the period prior to Gallagher, the interim period, and the period after TABOR's adoption. 53 California voters have apparently foreclosed a similar response, at least with respect to property-related fees. Effective January, 1997, Article XIIID of the California constitution generally prohibits property-related fee increases. 149

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Figure 6.12 Comparison ofT rends in Miscellaneous, Specific Ownership Tax, State Aid, and Enterprise Transfer Revenue (percent of annual increase based on real. per capita dollars),1975,84; 1985,92; and 1993-96 14 12 10 CD 8 CD c: ca 6 .&:; 0 1i :::::J 4 c: c: <( c: 2 CD 0 -2 -4 .0 C") Cl) ::::J OQ ID::::J c:c: II CD :E mTra-d-197584 1 DPait-GiiVS"-195-92 fl i ...... ... Nm The tiD labels ae eslii'TED!d CXll!ll'licia1s CXI'Mitl9dirm JbC& t:osv.ith ttesig'ific::a m d t7t C'.Efllisl6. Scute: TitieG2 II) Miscellaneous revenues continued to increase after 1985, bur at a much slower rare than before. Because this category includes interest income on deposits and investments and there is no other obvious evidentiary or theoretical explanation, it appears that this may be down 150

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simply as the result of declining interest rates. U.S. Treasury Bill rates averaged 8.8 percent during the period of 1975 through 1984, having reached a peak of 14 percent in 1981. For the period of 1985 through 1996, the average rate was only 5.7 percent with a low of three percent in 1993 (U.S. President, 1998 and see Figure 4.2 herein). The specific ownership tax is collected by the state on certain propelled and movable equipment (Colorado Constitution Art. X, ). It is distributed to local governments under a fixed formula. There is nothing readily apparent that a municipality could do to influence the amount of this revenue source. The "revenue from state" account includes state aid, grants, and payments in lieu of taxes. Although Mullins and Joyce ( 1996) and McCaffery and Bowman (1978) found that TEL constraints resulted in an increased local government reliance on state aid, this has not been evidenced in Colorado. Although it represented about nine percent of municipal revenues in 1996, the rate of annual increase in municipal revenues from the srare has slowed sharply after the TABOR amendment. Since 1992, rhe rate of increase is little more than flat, ar only 0.4 7 percent. 151

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In Oregon, Ballor Measure 5, essentially promised increased stare aid to local governments as compensation for some of the loss in property tax revenues that would occur with the measure's adoption. In their survey of Oregon local government officials prior to Measure 5's adoption, O'Toole and Stipak (1994) found that many managers were skeptics and did not expect much by way of increased revenues from the state. In a survey, local managers in Oregon said that their original skepticism was confirmed (O'Toole &Stipak, 1998). Colorado's local governments were never given any such promise, apparently with good reason: State government has not escalated its aid to municipal governments. The last revenue account studied was income from enterprise activities. Theory suggests that fiscally restrained governments will prefer to take advantage of any "loopholes" in TEL restraints (Brennan & Buchanan, 1980; Hale, 1993; and Bails, 1982) and, one such "loophole" in TABOR may be enterprise activities. TABOR defines enterprises as a owned business authorized to issue its own revenue bonds and receiving under 10% of annual revenue in grants from all Colorado state and local 152

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governments combined" (Colorado Constitution, Article X, (2) (d), see Appendix B). Enterprise activities meeting the definition are exempt from the revenue growth limits imposed by the amendment. Colorado municipalities are generally allowed to participate in a wide variety of enterprises, including water, sewage, solid waste facilities, electricity and gas utilities, sports and recreation activities, convention and trade show centers, airports, parking facilities, hospitals, and training or storage facilities (C.R.S. 1997, ,3102). They are not allowed to operate "any manufacturing, industrial, commercial, or business enterprise, or any research, product-testing, or administrative facilities of such enterprise .... (C.R.S. 1997, -3-102). Not surprisingly, much of the T ABQR,inspired litigation has revolved around the issue of whether various govemment,owned activities are exempt enterprises (e. g., Nicholl v. E-470 Public Highway Authority, 1995; Regional Transportation District v. Romer, 1993; and Bruce v. Hartin, 1992). With theory suggesting the idea, permission from the legislature, and guidelines from the courts, it would not be surprising to find that 153

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municipalities had increased their enterprise activities after the TABOR amendment. Evidence from comparing trends in the "transfers to enterprise" accounts before Gallagher, during the interim period, and after TABOR is not sufficient to support or contradict the expectation. Before either of the TEL amendments, municipal revenues from this account were rising at an annual percentage rate of just over one percent. During the interim period, the rate of increase fell to less than one percent and after TABOR it fell further to a declining annual rate of over two percent. Activity in this account reflects only transfers of money from an enterprise to the municipal government. If the enterprise is se[f,sustaining and self-funded, neither it nor the municipality may need to transfer funds from one to the other. The municipal-enterprise relationship cannot be likened to the relationship between a parent corporation and subsidiaries. In the latter case, shareholders might eventually grow tired of a subsidiary that never returned a profit to the parent, but in the former case, it may be enough that the enterprise is performing a publicly desired service without requiring support from taxes. 154

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The most that can be said of the "revenue from enterprises" account, as studied here, is that it does not show any increase after the TABOR amendment. This might be somewhat surprising, but it does not provide any conclusive evidence of municipal activity with respect to mitigating TABOR's impact through an apparent "loophole." Spending If municipal revenues are growing at a slower pace after TEL restraints chan before, it follows that spending must be growing more slowly, also. 155

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Figure 6.13 Comparison ofT rends in Nine Municipal Expenditure Accounts 1975-84; 1985-92; and 1993-96 9r--------------------------------------------------, CD C) c: 7 5 as 3 .c (.) Ci 1 c: <( -c: -1 CD -5 mTrem DPait-T.6BR llt:m: lla ID!Is li!flt&!i It eslil'l'Bedc:adcienlsOCIMI1Bd inD pen:a tagesv.i1h lhesgifian:.e rt1he CXll'llliQenls incfc3ed b'f a&tErisks. Scucl!: Table G2 For all of the accounts depicted in Figure 6.13, spending after TABOR was decreasing annually, with some more so than others. General government spending (operating expenses associated with the management and administration of the municipality) had been increasing at an annual 156

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rate of more than 7.48 percent prior to the Gallagher amendment. After Gallagher, this rate of annual increase slowed to 2.88 percent. After TABOR, the annual percentage rate for general government was essentially flat. General government spending was not reduced as much as spending on municipal courts, law enforcement, fire protection, streets, and health (this does not include hospitals). The annual decline in each of these accounts was significant and dramatic, ranging from 5.83 percent for law enforcement to 1.26 percent for fire protection. The declining rate for spending on law enforcement may be surprising in light of generally reported public concerns about increasing crime. For example, in a 1994 national poll of persons 18 or older, Harris Polls found that 80 percent of its 1,246 respondents were "very willing," or "somewhat willing" to pay higher taxes if the added taxes were spent on "fighting crime In the same poll, 90 percent of women respondents were worried about "crime or safety near home." In a 1996 national poll, Harris reported that 63 percent of its 1,005 respondents thought crime was "increasing a lot." By 157

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1997, this was down to 45 percent, and by 1998, it was reported to be 44 percent (University of North Carolina, 1999). In these categories of spending-judicial, law enforcement, fire protection, streets, health, miscellaneous, debt service, and transfer to enterprises-rates of annual decline in spending were steeper than the rate for general government. The evidence appears to lend some credence to the argument that governments faced with fiscal restraint will prefer to spend for their own purposes rather than for public goods and services {Brennan & Buchanan, 1980; Hale, 1993; and Bails, 1982). Nevertheless, any hasty conclusion that the Colorado evidence supports the theory is confounded by other evidence. Figure 6.14 compares trends of annual percentage increase, during the three periods considered, for municipal spending on culture and recreation (parks, recreation centers, community centers, etc.), solid waste services (crash and garbage collection and disposal), capital outlays, and total operating expenditures. This last account includes essentially all spending by municipal govemmencs except those associated with capital outlays and debt service. 158

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I I I Figure 6.14 Comparison of Trends in Four Municipal Expenditure Accounts 1975; 1985-92; and 1993-96 9 8 7 Q) a 6 c: 111 .c 0 Qj 5 :J c: c: 4 -( c: Q) 2 3 Q) Q. 2 1 C'l ....: jaTnm i I DPt&-1"18R I : :; ..... 0 10 1\ba: Data lab!lsaa J&c::a"tagasd arTUII c:hlrge dllrMid fnm8l!ilir'r'Ba:t COIIIIIider&9. 1ht sig'ifica IC8 d 1he U'dartyil'lJ Wl!lll'lic:iert is irdc:alled t7t aDrisks. Scuta: TatM G.2 Although the history of trends for these accounts prior to TABOR was varied, after the amendment's adoption all four accounts had a trend of annual increase. A comparison of the post-TABOR trend for total operating expenditures (plus 0.13 percent) with general government (minus 0.09 percent) (from Figure 6.13) does not reveal much difference between the two. 159

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: It is impossible to plausibly conclude much of anything from this comparison, including the idea that Colorado's municipal governments have preferred or have not preferred spending for administrative and management purposes over spending on services. Does this evidence reveal anything about the relative political power of proponents for various programs? An affirmative answer requires the conclusion that for Colorado's more than 250 municipal governments, from the smallest to the largest, a preponderance of the political power lies with parks and recreation over law enforcement and with parks over streets. There may or may not be some support for the idea in this evidence. The most reasonable conclusion is that more research specifically designed to answer chat question is required before any sound conclusions can be made. Despite the "mixed, bag" of trends in the different spending accounts, the evidence does suggest that municipal spending after the Gallagher and TABOR amendments has slowed considerably from the annual increases it enjoyed prior to these TELs. Similarly, the evidence strongly suggests that municipal tax revenues are not increasing each year, as they were before the TELs. Municipalities have been able to compensate, to a limited degree, for 160

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the decline in tax revenues by increasing their revenue from nontax such as user fees. The Economy's Influence The basic analysis model used in this study was designed to hold the influence of economic cycles and fluctuation constant. The purpose for doing so has been to obtain a picture of Colorado's municipal finances not obscured by the state's economic prosperity during the entire period since TABOR became law. Very likely the most commonly asserted caveat voiced about the amendment has been something akin to "This is okay now, but wait until the economy is not doing so well!" The rest of the thought is generally left unstated, but it is some variation of the idea that when the allowable TABOR growth factors are not growing because of a poor economy, then municipal revenues are not going to be able to keep pace with the demand for services and cutbacks will have to be made. The estimated coefficients of these economic variables, as obtained in each revenue and expenditure regression (for the model that considered the aggregate of all municipalities), are reported in Table 0.29 of Appendix G. 161

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Perusal of these coefficients and their statistical significance reveals that they are not often very closely related to municipal revenues or expenditures, but there are some exceptions. For example, real, per capita, personal income is correlated significantly with total revenue, total tax revenue, sales tax revenue, charges for services, fines and forfeits, and licenses and permits. As might be expected, real, per capita retail sales is significandy correlated with sales tax revenues. Real, per capita construction earnings are significantly related co revenues from licenses and permits. Perhaps this is because the sale of building permits is an important component of this account. Despite these few examples of significant correlation between the economic variables and municipal revenues, the overall conclusion has to be inclined toward the observation that they are not very often or very closely related. In an effort to better gauge the degree of influence economic fluctuations have on municipal finances, the basic regression model was used a second time on all ll revenue and 18 expenditure variables, but without including the six economic variable indicators as part of the equation. The difference between the results obtained with the economic variables and 162

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without them gives a measure of their influence in predicting municipal finances. The results of this second application of the model are reported fully in Table 0.20 of Appendix G. & before, the estimated coefficients were convened into percentages of annual change and these are reponed in Table 0.21. Finally, a comparison of the results obtained from the two models, with and without economic variables, is reported in Table 0.22. This Table repons the estimated coefficients (as converted into percentages), and their significance, for the trend before Gallagher, for the Gallagher period, and for the post, TABOR period, as obtained with the model employing all six economic variables. In an adjacent column, it reports the same information obtained with the model, but omitting all of the economic variables. Finally, a third column repons the arithmetical difference between the inclusive coefficient and the exclusive coefficient. These differences indicate that the six indicators used have very little influence on the resulting calculations of trends before the Gallagher amendment, after it, or after che TABOR amendment. 163

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Figure 6.15, below, illustrates the difference between results obtained for four major revenue accounts during the TABOR period while controlling for the six economic indicators and without controlling for them. Figure 6.15 Comparison ofPost,T ABOR Trend Percentages with Economic Indicators Controlled and without Economic Indicator Controls in Four Revenue Variables -3.11 : D TABOR 'l6 VIMh Econl lc TABOR"' No Econ I .55 -15.82 Source: Table G.22 It appears that when municipal revenues are expressed with inflation, adjusted, per capita dollars, economic fluctuations (at least as measured by 164

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the six indicators used) have only minor effect on the results. As might be expected, the greatest direct influence of the economy is upon sales tax revenues, but for total revenues and even for total tax revenues, the economy's influence is relatively minor. One important caveat to this conclusion is that it is expressed in terms of real (1975= 100), per capita average rates of annual increase. When the impact is converted into actual dollars for any particular year, the perception of budget officers with immediate concerns could be significantly different. The lesson--one that must be drawn with caution-is that municipal finances are reasonably isolated from economic fluctuations. Worry about the future impact of the two TEL amendments being magnified in poorer economic times may be overwrought. The more realistic lesson may be that financial effects arising from the two TELs are discemable now and there is no particular need co defer analysis of or thinking about them co the future. i65

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Election Experiences under Colorado's TELs The rest of the worry about the consequences of the Gallagher and TABOR amendments, usually left unstated, is the assumption that voters will not be very willing to approve tax increases and other measures thought necessary co ameliorate the impact ofT ABOR on municipal revenues and spending. Evidence from municipal elections in the post-TABOR period does not give any indication that voters have been particularly obstinate, unless, perhaps, the issue involves property tax. The Colorado Municipal League (1997, p. 107-110) documents 100 elections, during 1993 through 1996, involving municipal tax questions. In 82 of these elections, the issue involved sales tax and it failed only 34 times (41 percent). Only 18 of the elections concerned property tax issues and in 11 of those (61 percent), the issue failed. This evidence at least suggests that voters may have an open mind about tax issues, but that they much prefer sales taxes co the property tax. That sales tax proposals are much more common than proposals involving the property tax suggests that many municipal governments are 166

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aware of the voter preference. Such an awareness may be reflected in the trends of property tax revenues. To assess the effect of the many elections for either tax increases or simply for exemption under TABOR's provisions (the so-called "de-Brucing" elections), municipalities included in the study were divided into two groups: those that had at least one successful election on a tax or TABOR exemption issue since the amendment became law (1993 through 1996) and those that had only failed elections or held no elections on these issues. The basic regression model was applied to each group and used with four revenue (total revenue, total tax revenue, sales tax, and property tax) variables and four expenditure variables (total operating expenditures, general government, law enforcement, and recreation). The results are reported fully in Table 0.19 of Appendix G. If the towns and cities had successful elections, it seems reasonable to expect that their revenues would have been growing more rapidly chan the revenues of municipalities in the other group. Figure 6.16 illustrates che results of chis comparison: 167

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I i Figure 6.16 Comparison of Revenue Trends for Municipalities with Successful Elections vs. Municipalities Without Successful Elections 6 co 4 ..... C'li 2 C"i Ill - N CJ) N C'! N C"i G) I CD 0 c ca .s: 0 c; = c c < c 8 ... CD Q. -2 4 liVes : I i ON:> I -10 -12 R&-TAB:R 8edia1 Qa.p; teE lha dilta labelsae pata Gg!ls darMd fil:mht estirTIIIIII!Id CXleflic:ier&& Sg1ficalm irdc:abs (*at 1%. ard-at 10%) I'1M baen carried bv.ad. Scute: TatleG19 CJ) CJ) I ..-..... I Those cities and towns that held successful elections under TABOR appear to have enjoyed positive rates of growth in their total tax revenues and in sales tax revenues. Their counterparts with no elections or only failed elections were seeing declining overall tax revenues and sales tax revenues. 168

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Probably the most striking observation from this comparison is that municipalities with success at the ballot box were actually losing property tax revenues faster after TABOR chan chose that either failed or did not try to persuade the voters. The possible interpretations of this seemingly paradoxical result are almost legion, but two obvious questions come to mind: Were the voters content with governments that were decreasing their reliance on property taxes? Were the governments especially perspicacious or were they just lucky beneficiaries of a history oflow property taxes? This last possibility is seemingly negated by comparison of the trends in property tax revenues prior toT ABOR. Between 1985 and 1992, the successful election group had a trend of property tax revenues rising by more than seven percent annually, while the ocher group's race was just five percent. A voter preference implication of the Brennan and Buchanan (1980) theory-that governments will evade TEL restraints or will prefer to concentrate spending on government purposes rather than public services-is that voters prefer spending on public services over spending on government purposes. It seems possible that this implication might be 169

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reflected by successful-election govemmencs showing lower spending on general government than unsuccessful-election govemmencs, or it might be revealed by more spending on parks and recreation versus less spending for this service. The results of comparison by election groups do not suppon the conjecture. Figure 6.17 Comparison of Expenditure Trends for Municipalities with Successful Elections vs. Municipalities Without Successful Elections 6 .... 4 It) ... .... It) 2 - CD ...... Cl It) c: ca ...... .r::. 0 I 0 iii lkallldon ::I c: -2 c: CD () .... CD a. 4 liYes [] f\bj I N::lla: ll1la labels;n fBC& GgasdarMid fia'T't1he Ell!itil'lTIIIBd cmfliderts. ,.. 9g'ifica1ce dtaBCDIIIicir:lns 1-asbaan carried 1i:rY.ad b 1ht labels by asteriScs. Scuta: Tatle G 19 170

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The group of municipalities with successful elections were increasing their spending on both operating expenditures and general government after TABOR, while the other group was reducing in these areas. Does the whole issue depend on crime and police? The answer to that question may be very doubtful, but successful#election cities and towns were not reducing their spending on law enforcement as rapidly as the other group. The far more straight-forward and simple explanation may be that governments that have been successful at the polls have more money and, therefore, spend more money. Governments that have not been successful with voters have less and must spend less. Small Town and Large Citv Trends The next issue for this study is to differentiate the impact of these two TEL amendments on municipalities of different populations. As mentioned earlier, of the 255 governments included in this study, 168 had 1996 populations estimated by the Colorado Department of Local Affairs to be less than 2,000. These are small towns by almost any definition. Another 35 municipalities had less than 5,000 citizens. In Colorado's landscape, these 171

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are often the largest community for many miles in any direction, but they are still small towns by most reckoning. These 203 communities are 80 percent of the number of municipal governments in this study. If there is a distinction based on population between towns and cities in common parlance, most likely only 12 municipalities qualify as the latter. These had populations greater than 50,000. Although neither the Gallagher nor TABOR amendments make any legal distinction between cities and towns and apply with equal force to both, the impacts of these TEI..s may have been different for the small towns and the large cities. The large cities have much more diverse economies than small towns. Large city populations are growing more than small town populations. Real property markets in metropolitan areas are much more active than those of small towns. In a word, the economic circumstances of the large cities are much different than those of the small towns. Since both amendments most directly emphasize property values and property taxes-Gallagher is entirely focused on property tax and TABOR uses real property values as its municipal growth limit-logic indicates that municipalities most dependent upon property tax revenues might be most 172

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directly effected by these TELs. If dependence upon property tax revenues coincided with stagnant property values in some municipalities, then it seems reasonable to expect that these municipalities might be both directly and quickly effected by the TELs. Table 0.28 of Appendix 0 reports the 1996 percentage contribution of various revenue sources to total municipal revenues for the aggregate of all municipalities in the state, for municipalities grouped by population, and for municipalities (of all populations) located in 15 counties of the eastern plains. 5 4 The smallest towns (less than 2,000 population) received 8.44 percent of their total revenues from property taxes. The largest cities (more than 100,000 population) received 7.88 percent of their total revenues from property tax. Towns on the eastern plains received 10.45 percent of their total revenues from property tax. Even though the differences are not great, it is apparent that small towns, particularly those on the eastern plains are more dependent upon property taxes for their revenues. Table 0.26 of Appendix G reports the results of using the regression model for municipalities by population groups to regress property tax 54 These eastern plains municipalities are discussed in the next section of this chapter. 173

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. I revenues on a trend a program variable for Gallagher, another program variable forT ABOR, all six economic variables, and dichotomous control variables for each municipality in each population group. For this regression, an additional variable to control for differences in assessed property values for each municipality was included. The assessed value variable was obtained from actual dollars of assessed value reported by CEDIS for each year from 1975 through 1996 for each municipality. These were converted to per capita dollars by using the annual July 1 population estimates for each municipality as prepared by the Colorado Department of Local Affairs and reported in CEDIS. Finally, using the Denver,Boulder CPI the data was converted to real (1975= 100), per capita dollars. The variable transformed this data into natural logarithms The results of these six regressions are displayed in Figure 6.18, below, and show that, after TABOR and controlling for assessed property value differences, the smallest towns were losing property tax revenues at a rate of 7.39 percent yearly. The largest cities were losing these revenues at a race of 1.07 percent yearly. Towns in the intermediate population groups showed other declining or increasing races for annual property tax revenues. 174

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Figure 6.18 Comparison of Property Tax Revenue Trends by Population Group with Assessed Property Values Controlled 8 Ci a TA!nd"' cD i 6 at i a Fc&t-GIIIIVB' Trend "'I -: E1 Felt-TABOR Trerd.. I 4 0 2 Cll c: 0 .r:. 0 0 ii ::::J c: -2 c 0 0 -4 Q. -10 01ta labels .. eslirnleld coelfic:ieres ClOf'IIMIIIad to '*'*ages Mh sigl ilala inclcalld by aarislcs.. Scuca: Table G.23 With a substantial basis for expecting the TEL experiences of municipal governments to be different from one population group to anmher, the study explored those differences in the manner discussed in Chapter 5 and with the results described below. 175

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Dividing the 255 municipalities into the same six population groups described earlier, Figure 6.19 reflects the annual percentage rates of change in total municipal revenues during the three periods-1975 through 1984 (before the Gallagher amendment); 1985 through 1992 (after Gallagher, but before the TABOR amendment); and 1993 through 1996 (after the TABOR amendment). Figure 6.19 Comparison ofT oral Municipal Revenues by Population Groups 12 : "" ..,. IITnn:t 10 a; [] Past-Gala!;ter 8 El Pea-TABOR CD Cl c: as 6 .r:; 0 iii :;::, c: 4 0 c 2 CD () ... CD ll. 0 .... .... !tit: Cilia lllbals-eslirniBd coelllc::ierD irm trend 'Mth sio1Ji11cance the lridllf CXlellicierts inr:lcated by iiSIIIrisb. Saute: Table G.18 176

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For every population group, the pre, TEL total revenues were increasing much faster for smaller municipalities than they were for larger cities. With the advent of Gallagher, all groups appear to have experienced a lessened rate of increase in their total revenues, hut the growth was still greatest for the smallest towns. The six largest cities actually saw their revenues enter a period of annual decline for seven years, and except for the smallest towns, the other groups experienced total revenues that were growing very little, if any. During the TABOR period, the growth in total revenues for the small towns went down even further. Revenues for the two groups of the largest cities, actually went up after TABOR and appear to be increasing each year. Essentially the same picture {Figure 6.20, below) emerges for the total tax revenues of municipalities compared among the six population groups being considered. After the TABOR amendment, tax revenues of the six largest cities were growing at an annual rate of 1.54 percent. The six next largest cities (in the 50,000 to 99,999 population range) began to rise at an annual rate of 4.69 percent. This was considerably higher than before either of the two TEL amendments, when cities in this group saw their tax revenues 177

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rising by only 1.33 percent annually. Even cities in the 10,000 to 49,999 1 population group appear to have enjoyed rising tax revenues (2.55 percent annually) after TABOR. The picture is quite the opposite for towns and cities in the lowest three population groups. These municipalities experienced declining annual tax revenues after TABOR with the smallest towns suffering the fastest decline at a significant 2.15 percent rate. 178

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Figure 6.20 Comparison ofTotal Municipal Tax Revenues by Population Groups 10 8 CD 6 a c: al .t: (.) 1i 4 ::::s c: 2 c: CD e CD 0 -4 ... I ... m m m a, 0 0 0 on Populeiion Groups 8Trend D Post-Gslla(jler DPost-TABOR Nata : Data labels ant estimllled CI04Ifliaenls no trend I*Cirltages Wlh the significanc:e of the underlying c:oeffic:ients indic:8111d by ast.rislca Sou-at: Table G.18 Among the components of municipal tax revenues, sales tax receipts accounted for 43 percent of municipal revenues in 1996 (see figure 6. 7 and Table 0.24). For the 255 municipalities, as an aggregate, sales taxes were impacted by the two TEL amendments, but they were still increasing every year. Have small towns and large cities fared equally with respect to this important resource? Figure 6.21 compares sales tax revenues for municipal 179

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governments, according to population groups, for the three periods considered. Figure 6.21 Comparison of Sales Tax Revenue Trends by Population Groups 10 8 G en 6 c: ca .s: 0 1i 4 ::::s c: c: c( 2 c: G e G Q. 0 -2 -4 -0) 0) 0) 0 10Population Groups II Trend D II Post-TABOR Nota: Dlta labels ant esam.t8d coelflc:ients conwlted iniD trend percentages Wth the signiftc:anc:e d the coeftlcients irldiad8d bV astenslcs. Source : Table G.18 + c c 0 0 0 For the larger cities, it appears that sales tax revenues may have climbed somewhat faster after the TABOR intervention (3.68 percent 10 yearly) than before the amendment (2.67 percent annually). This picture of sales tax revenues rising more rapidly after TABOR than previously, also 180

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represents the experience of cities in the 50,000 to 99,999 population group. Before either TEL amendment, their sales tax revenues were increasing 2.42 percent yearly. After Gallagher and TABOR, these revenues were increasing by 5.40 percent annually. A different picture emerges for municipalities in the 5,000 to 9,999 population group. These governments appeared to be suffering a declining annual rate of sales tax revenues after TABOR and Gallagher, where they enjoyed vigorous growth before 1985. Towns in the two smallest population groups were experiencing even more vigorous annual increases in sales tax revenues prior to the two TELs. Afterward, these municipal governments appear to have seen their sales tax revenues increase each year, but at much slower rates than before the TEL amendments. The property tax situation is clearer (even without controlling for differences in assessed value, see the discussion and Figure 6.18 above) because the confidence levels are higher for the results, but this clearer picture points toward declining rates of change. 181

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Figure 6.22 Comparison of Property Tax Revenue Trends by Population Group 10 .....:
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' I I I I I adoption. These revenues began to decline following TABOR's adoption. The only population group that showed a rising rate after TABOR was the 50,000 to 99,999 group. For the other groups, the trend after the second TEL amendment was downward. For the two groups of small towns, the decline was a dramatic ten to twelve percent yearly. For Colorado's small towns the loss of these revenues hits particularly hard, because for many of them it cannot be made up easily with increasing sales tax revenues. Table 0.24 shows the percentage of 1996 municipal revenues contributed by the various components for each of the six population groups used in this study. The smallest towns received 33.37 percent of their revenues from the sales tax. By contrast, cities and towns over 5,000 population received at least fifty percent of their revenues from sales tax. In addition to being more dependent on the property tax, the magnitude ofTABOR's impact on this revenue source seems to have been greatest for these smallest towns, also. During the 1993 through 1996 period, they were losing property taxes faster than larger cities and towns, and their sales tax revenues were not growing as rapidly (see Figures 6.18, 6.21, and 6.22, above). Nor does it 183

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appear that other kinds of taxes were rising sufficiently to make up the loss. Total tax revenues for the smallest towns were shrinking significantly each year during the period. Nevertheless, these towns apparently were able to make up some of the decrease in tax revenues from nontax sources, because total revenues appear to have been no worse than flat or slightly increasing each year. The possible exception may be towns in the 2,000 to 4,999 population group. These towns may have been losing some small percentage of their total revenues each year. Comparisons of the trends in spending among population groups show that small towns and large cities have reacted (either by choice or necessity) differently to the constraints imposed by the Gallagher and TABOR TELs. 184

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Figure 6.23 Comparison of Total Operatinif5 Expenditure Trends by Population GroYPs 10 8 0 .... 6 CD a c: CD .r; (.) 4 "i ::I c: c: c( 2 c CD CD CL 0 0) 0) 0) ..... 0) m -2 I ..... I ,. 0 0 0 0 0 ID-0 0 .... -4 Papulation Groups Nolle: Olta labels .. coeftl<:ienlscanvsted inlD !land pen:erlages. The U1darlying siCJi1lcai1C8 is indcal8d b a&lerislcs. Souat: Table G 18 'IBTrend I c Post-Gallagher jDPost-TPBCR : 0) 0) 0) m 0) I 0 0 0 o ID : (") "": + 0 0 0 0 0 Given the impact of the two TEL amendments on municipal revenues for cities and towns in the six population groups, it is not surprising that the same trends are echoed in total operating expenditures. Confidence in the 55 Total operating expenditures is essentially the total spending of a municipality except for debt service and capital outlays. See Appendix C for a complete definition. 185

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post-TEL trends is low because statistical significance was lacking in most instances, but it may be that budgets for operating expenditures were being reduced faster for the smallest towns than for their larger counterparts. When all municipalities in the study were examined in the aggregate, it appeared that both total operating expenditures and general government expenditures may have been reduced after the TEL amendments. Even with these decreased races of annual growth, there was no significantly discernable difference in the rates of increase for both these categories. It may be possible that general government expenditures were reduced more than total operating expenditures, but, if so, it was barely detectable. It was clear, however, that most categories of spending had been reduced more than general government, with only solid waste services, recreation, and capital outlays as spending categories that had continued to increase despite TABOR and Gallagher. When the municipalities are studied by population groups, their record of post-TABOR reductions in the rates of growth as between total operating expenditures and general government expenditures is obscured by a lack of statistical confidence in the results. For all groups it appears that 186

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the rate of growth in both categories of spending was reduced after TABOR. The two groups of largest population may have reduced their general government spending more than they did for total operating expenditures. Cities and towns in the two groups with populations from 5,000 to 49,999, may not have reduced general government as much as they did total operating spending. In the 2,000 to 4,999 group, general government might have been reduced more than total operating spending. 187

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Figure 6.24 Comparison of General Government Expenditure Trends by Population Groups 11 9 7 CD lCD t= CD 5 CD s:. CD 0 a; ::::J 3 t= t= 'E CD 1 u ... CD CL -1 ... ..--3 -5 Ill Trend I Cl Po&t-Gai;Vler ! 0 Post-T.4BOR I Nale: Pa befcre.. the diD labels are t.ed an l.l'ldertying elllrraled coeftlcier1:s anertlld irto trerd peras tagea. Slgl illc:ala ol the coeftlc:ierD is indicallld by alllar1MI.. Scuce: Table G.18 For the smallest towns, reductions in both categories appear co have been about the same. For these, this result may not be too surprising, since most of them do not have large administrative or management structures. The mayors or trustees of many small towns, may occasionally, also, have to catch the stray dogs. 188

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Considered in the aggregate, Colorado's municipalities had reduced their spending on law enforcement (with significance at the one percent level), after TABOR to an annually shrinking rate of almost six percent. When considered by population groups, the record is mixed. 189

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Figure6.25 Comparison of Law Enforcement Spending Trends by Population Groups 15 :mTranct j 10 i C Pol!it-TABCR I G Cl c Ill 5 0 1i 0 :J c 1: 0 G u 0) + .... G 0) 0 (L 0) 0 ai 0 ..,. ci 0 0 -5 0 0 ci oata labels are percertages derived tram the w1eepx di'1J e1D1ded CXIefllc:iens. Statistical Sgi1k:ai1Ce d the I.Riertyirg ooelllciel1s is indc:aled l7f illileri8ls. Sauce: Tatlle G.18 It appears that all groups have reduced their spending on law enforcement, but that cities and towns with more than 10,000 population were continuing to show annual increases in this area. Only the smaller towns showed a downward trend, with the smallest towns showing a significant trend of more than eight percent decline annually. 190

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The reasons for the differences among the municipalities of varying size cannot be known from the data used in this study, but speculation may suggest that crime and law enforcement do not occupy the degree of public concern found in larger cities. Of course, that reasoning implies a measure of voluntary choice in the matter that may not have been felt. Hard, more or less involuntary choices may have been made in the face of fiscal constraint. Whatever the reason, county sheriff departments may have had the burden at least partially shifted onto their shoulders. For all the municipalities, spending after TABOR and Gallagher for culture and recreation may have gone down somewhat, but it appeared to have been continuing a pattern of annual increase at a time when most other categories of spending had been reduced to shrinking levels. When the cities and towns were compared among popula[ion groups, spending on recreation for all but two groups may have followed the overall pattern of some reduction after the TELs, but with continued annual increases. The two exceptions are the largest cities for which spending in [his category may have remained with little annual change and towns in the 5,000 to 9,999 191

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population group. For this latter group, all of the trends were significant and up considerably after TABOR. Figure 6.26 Comparison of Culture and Recreation Spending Trends bv Population Group :IBTrend I 10 8 -2 -I[] Peat-TABOR I I Nelle: The clara labels are a..d an 8lllimllled ooellk:ienCs Ita haW been CXIfMff8d iriD bend perc:ertagel. The l9iftca ICe indicatrn olltlaee caeftldenla taw been retained ..t are incic:atlld by alla'iltal. Sauce: Table G .18 The remaining two expenditure categories, compared among rhe population groups, were spending on garbage collection and on street repair. Confidence levels are roo low for much meaningful discussion, but the trend 192

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patterns among the groups did not appear markedly different from those of the aggregate. Even with the somewhat problematical record of statistical significance encountered in the comparisons among population groups, there is significant evidence that property tax revenues began an annual decline after the TABOR amendment and that the slide landed hardest on the smallest of Colorado's town governments. These munidpalities of less than 2,000 population depend more heavily on property tax revenues than do their more populous neighbors and, at least some of them, may be less able co increase other revenues, such as the sales tax, to make up the difference. Small Towns on Colorado's Eastern Plains Despite the evidence of small town experience with the property tax as a group, there is wide variation in the geographic, demographic, economic, and finandal circumstances of these towns. Some are located in remote, sparsely populated areas of Colorado's eastern plains, some are part of metropolitan Denver, and some are in the high mountains of the Colorado Rockies. Some are populated by long-time residents, others by mostly 193

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newcomers. A few are among the poorest, and a few are among the wealthiest in the United States. Some are growing rapidly, and others are slowly dying. Under these circumstances of variety, it is difficult to imagine that all are experiencing the same TABOR downturn in property tax revenues and it is equally difficult to believe chat all would find it arduous co replace those revenues from ocher sources. Some of the variety in their municipal finances can be learned from a few descriptive statistics of their total revenues: Table 6.1 Descriptive Statistics for Municipalities of 1 to 1.999 Population (1996 Actual, Per Capita Dollars based on 1996 estimated Population) (N = 168) Statistic Total Revenue Property Tax Sales Tax Minimum $62.18 $0.00 $0.00 Maximum58 41,331.27 473.64 4,848.49 Median 402.22 55.38 96.53 Mean 1,052.62 78.69 270.18 50 Blackhawk. Colorado. 1996 population estimated to be 251. 194

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Only the most formidable cynic could worry that the ski reson town ofTelluride with a population of 1,861 and municipal revenues of almost $7 million in 1996 would have a problem with finances. Another ski and tourist town, Breckenridge, with a population of 1, 720 had revenues of more than $17 million. Black Hawk, a town of251 population had 1996 revenues of more than $10 million-thanks to its gaggle of popular casinos. 5 7 Despite the spectacular financial success of some small towns in the state, many more have not enjoyed the bouncy and are not likely co enjoy it in the foreseeable future. La Salle, with a population of three more people than Telluride, had revenues about $6.3 million less. Paonia, a few persons smaller than Breckenridge, had about $16.3 million less in revenues. Crowley had one person more than Black Hawk, but revenues of only $44,000 instead of$10 million. Although these smaller, less fortunate towns can be found scattered over the entire state, many of them are located on the high plains in the 15 57 In Colorado, these casinos are located in only a few, small, former gold,mining towns. Gambling can be the new bonanza gold strike, or the vein of ore can disappear much as it did a hundred years ago. Central City, population 3 79, had 1996 revenues of$ 7.5 million because of irs casinos On February 11, 1999, the city administrator announced that the town would have to reduce its workforce because a large casino was closing. 195

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most eastern counties. To assess the particular impact of Colorado's two TEL amendments on smaller towns that have not been so financially fortunate, and are not likely to ever be so fortunate, the study was extended to include all the municipal governments in these 15 plains counties. There are 59 of them. Their region is sparsely populated and heavily dependent on agriculture. 5 8 The median estimated 1996 population of the 59 towns was 502. The largest had an estimated 1996 population of 11,366 and the smallest 48. These towns are the remnants of an agricultural society in counties that passed their population prime in the 1920s, 30s, or 40s and have been slowly declining since (U. S. Census Bureau, 1990). There is no alluring gambling or skiing or other tourism industry; just the more mundane business of growing wheat and raising cattle. Table 6.2 shows the percentage contribution of property and sales tax revenues to total revenues for municipalities in the six population groups used in this study, plus the same information for the 59 eastern plains towns as a group regardless of population. 58 Based on 1992 populations, the population density among the counties varied from 1 to 18 persons per square mile. Farming income for 1990 was 43 percent of total income in these counties (U.S. Census Bureau, 1994). 196

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Table 6.2 Components (as a percentage) ofTotal Municipal Revenues by Groups 1996 Property Tax 1996 Sales Tax Municipal Group Revenue Contribution Revenue Contribution 1-1,999 8.44 33.37 2,000-4,999 7.04 46.65 5,000-9,999 s.n 50.86 10,000-49,999 6.27 51.70 50,000-99,999 7.13 51.48 100,000+ 7.88 50.43 59 Eastern Plains Towns 10.45 36.06 The regression model employed for the population groups was applied to this group of eastern plains municipalities. The results of regressing eight of the revenue variables-total revenue, total tax revenue, sales tax, property tax, charges for services, fines and forfeits, licenses and permits, and revenue from the state-are reported in Table 0.26 of Appendix G. As before, in a second step, Table 0.2 7 shows the estimated coefficients after they have been converted into percentages with the and TABOR trends calculated. Figure 6.2 7 displays the information developed in Table 0.2 7 of Appendix G. The data labels represent annual percentages of 197

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change in trends of the identified revenue variables. Each group of bars represents the comparison of trends before the Gallagher amendment ( 197 5-84), during the interim period (1985-92), and after TABOR (1993-96). Each trend is based on annual changes in real (1975= 100), per capita dollars. Figure 6.27 Comparison of Revenue Trends for 59 Eastern Plains Municipalities 20 B Tnrd (197584) 0 (") cD 0 Polt-Galla(tler (1!J!5.Q2) ..15 El Polt-T.Aa:R(1SJ366) : GJ : m m 10 (") (") N c ..-.....: co ID .....: .c GJ 0:: m "'": ..-

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After the TABOR amendment, and despite losing sales tax revenues annually (-4.08 percent) and property tax revenues each year (-7.54 percent), these towns, apparently, have managed to maintain a slight positive increase in their total revenues each year (0.86) percent. The evidence indicates that they have done so by significantly increasing user fees for services (4.84 percent annually), sales of licenses and permits (3.84 percent each year), and, likely, fines (up 3.91 percent each year). Their is no evidence to indicate that the state government has made any effort to come to their rescue. The annual rate of increase in municipal revenue from the state has decreased from 4.18 percent, prior to the TEL amendments, to 1.19 percent after TABOR. Compared to all towns in the smallest population group (less than 2,000), this group of eastern plains municipalities had a slightly lower rate of increase in total revenues. For the plains communities this rare was 0.86 percent. For the smallest towns, statewide, the rate was 1.06 percent (see Figure 6.19). The pattern was the same for total tax revenues. The smallest towns, across the state, were losing these revenues at a rare of2.15 percent 199

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yearly (see Figure 6.20). The eastern plains towns were losing tax revenues at a rate of 3.39 percent each year. With property and sales tax revenues falling, despite their apparent success with narrowly based user fees, fines, and licenses, it is difficult to escape concern that many small town governments, especially of the eastern plains, may have experienced an impact from the two TEL amendments that bodes ill for their continued viability. This study examined trends over a 22-year period for all of Colorado's municipal governments in an effon to discern changes in those trends that coincided with the adoption of two changes in the constitutional law governing municipal finances in the state. The results of the study have been presented and discussed. The task of the next chapter is to relate these results to the research questions and the literature with which the study began and to offer some thoughts about the utility and limitations of the information obtained. 200

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CHAPTER7 CONCLUSIONS At the outset this study was characterized as being about two issues--the growth of government and citizen efforts to contain it. At the end, it is still about those two issues some two centuries after the Declaration of Independence complained about "imposing taxes on us without our Consent." The theories that framed the direction of the study are grounded in a paradigm of public choice that traces its roots back some rwo centuries, also. In 1776, Adam Smith published An Inquiry into the Nature and Causes of the Wealth of Nations. Along with his publication, and integral to it, came the beginnings of what has come to be known as "rational actor theory" or "rational choice theory." As developed in the late nineteenth century, the theory depends upon a number of assumptions, including (1) that the individual is the basic actor in society, (2) that individuals pursue goals, (3) that these goals reflect each individual's perceived self-interest, and (4) that indh,;dual behavior results from conscious choice. 201

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Although rational actor theory had been developed for understanding market choices. by the 1950s and 60s. scholars had begun co consider it for political choices, as well. The major works on which the application of rational actor theory to politics was formulated are generally considered to be Kenneth Arrow, Social Choice and Individual Values (1951); James M. Buchanan and Gordon Tullock, The Calculus of Consent: Logical Foundations of Constitutional Democracy (1962); Anthony Downs, An Economic Theory of Democracy (1957); Duncan Black, The Theory of Committees and Elections (1958); William Riker, The Theory of Political Coalitions (1962); and Mancur Olson, The Logic of Collective Action (1965). From this heritage, Buchanan and Tullock (1962) carried the political application of rational actor theory beyond consideration of citizen and government choices within a political system ro consideration of behaviors regarding the system itself and, particularly, decisions about changing the constitutional constraints upon it. Buchanan (1991, p. 43,49) argues chac the earlier public choice inquiries of Arrow (1951), Black (1958), and Downs (1957) assumed not only the economists' model of utility maximization by 202

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rational actors, but as well that the choices available to individuals were exogenously imposed by the existing "constitution" of the political system. He defines "constitution" as those rules and laws, including written constitutions, that constrain the coercive powers of government and are expected to endure for a substantial length of time (Buchanan, 1991, p. 4-5). He crafts the phrase "constitutional political economy" to mean the study of choices and behaviors at the intersections of economics and politics considering both the existing "constitution" and alternatives to it. Brennan and Buchanan (1980) contend that this "constitutional political economy" paradigm is particularly useful in examining fiscal limitations such as California's Proposition 13 (and, by analogy, Colorado TABOR) because these are citizen-initiated decisions changing the constitution of the existing political system. The idea of citizen-initiated constitutional amendments, such as Colorado's TABOR amendment and California's Proposition U, came from Populist and Progressive politicians and reformers of the late nineteenth and early twentieth centuries. These were people reacting against the economic theories (laissez-faire) and excesses of the day. From an era in which the 203

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economic interests of railroad and mining barons dominated and often controlled state legislatures, particularly in western states such as California and Colorado, came the idea that giving the power of participatory democracy, in the form of citizen-initiated statutes and constitutional amendments, would allow citizens their rightful, ultimate power over government. As the passage of time has dimmed memories of the original arguments for such initiated amendments and the original economic interests that opposed them, it has resulted in the intellectual descendants of each position switching sides in the debate. Thus the progeny of laissez-faire market economics now argue for the power of initiation and scions of the Progressive era's professional, expert public administrators argue against them. McCaffrey and Bowman in their Public Administration Review article (1978, p. 530) provide an example: ... [T] he initiative as an electoral device is generally classified as one of the package of reforms growing out of the Progressive movement of the early 1900's; it permits direct democratic participation. Yet the s rudy of Proposition 13 raises serious questions about the feasibility of participatory democracy in a policy area which commonly has been dominated by experts. 204

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It is from these antithetical origins that Proposition 13 and TABOR came to be constitutional fixtures for local governments in their respective states. This study of Colorado's TEL amendments-Gallagher and TABOR-will not settle either the original debate or its modern version, but the results of this study do raise some interesting issues for consideration in the exchange of views. The expertly prepared, proposed, and referred Gallagher amendment held out the promise to voters that property taxes would go down, but they went up instead. The inexpert, citizen,initiated TABOR amendment promised to "restrain most the growth of government," and it appears to have done so. Is there a difference in implementation and outcomes between legislation or referred constitutional amendments as they come out of the give,and,take of a legislature, and citizen,initiated measures subjected only to election campaigns? This study cannot answer the question, but it bears research and deserves an answer. Neither side in the argument should take solace from having anticipated all of the consequences, or even the magnitude of some 205

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consequences. Nor should either side take much comfort out of the legal writing skill displayed in their respective efforts. The TABOR amendment is rife with ambiguous language that has and will generate much work for lawyers and courts. The Gallagher amendment is not too ambiguous, but the wisdom of establishing an elaborate process for penalizing underassessments while saying absolutely nothing about over-assessments is open to debate. The thrust of the McCaffrey and Bowman article was an assumption that those who voted for the amendment did not fully appreciate the draconian consequences that would flow from its adoption. Although this study did not delve into the issue, it may be chat Colorado voters did not j understand all the consequences ofT ABOR as they voted for it. 5 9 Nevertheless, in a statewide survey of registered voters, almost two-thirds of the voters in 1999 replied that they would vote for the TABOR amendment again, if it were on the ballot today (University of Colorado at Denver, 1999). 59 It is not any more certain chat anybody else, however t!xpert or inexpt!rt, understood aU of the consequences. 206

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The direction of this study of Colorado's municipalities was somewhat different from the more cursory review of California's circumstances by McCaffrey and Bowman. In this instance, no effort was made to assess whether the voters knew what the effects and consequences would be or whether they would be pleased with them. Rather this study was focused on the following questions: 1. Prior to adoption of the TELs, were municipal governments growing as measured by trends in annual percentage rates of change, based on constant, per capita dollars, for different revenue and expenditure accounts? 2. Did any rates of growth for different revenues and expenditures change after the first TEL became law? Did they change again, after the second TEL was adopted? 3. Were rates of growth, before the TELs and afterward, different for small towns and large cities? 4. Were rates of growth different for municipalities in which the voters had passed at least one successful TEL exemption or tax increase issue versus those municipalities in which all such 207

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issues failed at the polls or for which no such issues were placed before voters? 5. Did municipalities, faced with TEL restraints, react by preferring to reduce spending on public goods and services over spending on government management and administration? 6. Did municipalities again, under TEL restraint, attempt evasion or mitigation of the restraints by use of available, legal means? 7. Did fluctuations in the state's economy exert a significant effect on municipal revenues or spending? 208

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Findings and Incernretations Government Growth in the Absence ofT ax and Expenditure Limitation The theoretical assumptions that government grows, as measured by its revenues and spending, in the absence of TELs, appears to be a reasonable assumption. During the study period before either of the TELs was law (1975 through 1984), Colorado's municipal governments, in the aggregate, grew as measured by annual rates of increase in real, per capita dollars of and spending. When municipalities were considered by population groups, from small to large, the findings were essentially the same, but there was variation among the groups. Prior to the TELs, total revenues of the smallest towns were increasing most rapidly, with somewhat lower races for each next larger group. On the ocher side of the ledger, spending for municipalities, in the aggregate, prior to TELs, was also increasing with exceptions in some areas. T oral operating expenditures and spending for government management and administration were growing as was spending on law enforcement, street 209

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maintenance, parks and recreation, health, and capital outlays. Spending in such areas as municipal courts, fire protection, and solid waste services was generally not increasing. When considered by population, spending trends were about the same as for the aggregate, but, again, there was variation among the groups. The largest rates of increase were associated with the smallest towns and conversely, the smallest rates of increase were shown by the largest cities. Whether such growth is desirable or loathsome to the citizenry was not an issue examined in this study. The adage that Americans like their governments weak, cheap, and close to home suggests a citizen preference,60 but beyond the adage there is ample room for convincing research into the particulars. In this study, the findings chat sales tax revenues were increasing, but that property tax revenues were not, suggests another voter preference. It suggests, also, that the process of government growth may be influenced by citizen preferences even in the absence of TEL amendments. 00 Colorado voters apparently agree with che adage: in 1999, confidence in local government was reported co be at 31 perc