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Organizational alignment in charter school settings: investigation of a three-tier model for linking leadership, culture, and change toward instructional improvement

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Organizational alignment in charter school settings: investigation of a three-tier model for linking leadership, culture, and change toward instructional improvement

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Content Running head: ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS i

Organizational Alignment in Charter School Settings: Investigation of a Three-Tier Model for
Linking Leadership, Culture, and Change Toward Instructional Improvement

By
Lawrence C. Wynder II

________________________________________________________________________

A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

May 2013

Copyright 2013 Lawrence C. Wynder II

ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

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Abstract

Since A Nation At Risk (1954), a series of laws and key reform initiatives were passed to hold
schools accountable for improving the quality of public education (e.g. IASA, Title 1, NCLB,
RTTT). These reform initiatives require that public schools undergo continuous change but
simply having these expectations will not guarantee their implementation. According to Fullan
(1998), school leaders must know how to foster change in order to implement key reforms.
However, a major problem in education is that school leaders do not know how to create and
manage school cultures that are optimal for change toward instructional improvement to occur.
To address this problem, this dissertation investigated a single case study to explore how one
Principal set out to create and manage culture in a charter school setting. This study also
explored the link, and the degree of alignment, between leadership, culture, and change. Two
overarching questions were explored; (1) How does the school leader shape school culture
around instructional improvement? (2) To what extent is the school culture that is present likely
to influence teachers’ willingness to improve their teaching practice? To answer these
questions, the author used an investigative three-tier model to explore key organizational factors
and various units of analysis were utilized. The findings suggested that there was strong
alignment between leadership practices and key cultural dimensions. The findings also
suggested that elements of change were present and various workplace conditions were likely to
support efforts toward instructional improvement. Finally, this study raises questions for future
research regarding the impact of informal accountability mechanisms in school settings and
experimental designs that explore the socio-cultural outcomes of facilitating small school
environments within larger school settings.
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Dedication
This dissertation is dedicated to my creator, who has revealed my identity and who has given me
the strength to endure many obstacles in pursuit of my purpose and goals. I would also like to
dedicate this accomplishment to my parents who molded me and have served as an inspiration
and my wife Charlene who has trusted me to pursue my vision. I would also like to dedicate this
to my children, who have enabled me to focus on more than myself and have given me a greater
sense of purpose in my life.

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Acknowledgements
I would like to acknowledge everyone that has made this dissertation possible. I would
like to thank my dissertation chair, Dr. Julie Slayton, for coaching me through the entire process
and giving me the encouragement I needed to keep moving forward. I would like to thank my
dissertation committee members, Dr. Yates and Dr. Normore for pushing me to produce the best
dissertation possible. I would also like to thank my thematic group, who challenged me to think
through every aspect of my study and provided the intellectual, emotional, and sometimes-
spiritual support leading up to my oral examination.

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Table of Contents
Abstract..............................................................................................................................iii

Dedication..........................................................................................................................iv

Acknowledgements.............................................................................................................v

List of Figures..................................................................................................................viii

Chapter One: Overview of the Study..................................................................................1
Background…………….........................................................................................2
Statement of the Problem........................................................................................7
Purpose of the Study...............................................................................................8
Research Questions.................................................................................................8
Importance of the Study .........................................................................................9
Limitations.............................................................................................................10
Delimitations..........................................................................................................11
Organization of the Study......................................................................................11
Definition of Terms...............................................................................................12

Chapter Two: A Review of the Literature.........................................................................15
Leadership Roles....................................................................................................16
Leadership Styles...................................................................................................17
Leadership Competencies......................................................................................18
Leadership and Culture……………………………………………………..........19
Defining School Culture ........................................................................................21
Conceptions of School Culture Elements...............................................................21
Organization Culture Types...................................................................................25
The Relationship Between Organizational Culture and Performance...................30
Strong Versus Weak Cultures................................................................................33
Organizational Change...........................................................................................35
Agency Theory.......................................................................................................36
Individual Needs and Human Motivation………………………………………..37
School Climate.......................................................................................................39
Organizational Contract Violations and Employee Cynicism...............................42
Conceptual Framework..........................................................................................46
Summary................................................................................................................56

Chapter Three: Methodology.............................................................................................57
Research Design.....................................................................................................57
Site Selection Criteria............................................................................................59
Participant Selection..............................................................................................60
Instrumentation......................................................................................................61
Data Collection Procedures...................................................................................65
Data Analysis Procedures......................................................................................68

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Chapter Four: Findings.....................................................................................................71
The Case...............................................................................................................71
Participants...........................................................................................................73
Tier I Findings......................................................................................................73
Leadership Beliefs…………………………………………….…….......76
Leadership Focus......................................................................................80
Leadership Style & Approach..................................................................84
Tier I Conclusion......................................................................................90
Tier II Findings.....................................................................................................91
School Culture Dimensions......................................................................91
Dimension 1: The Process Used For Recruitment...................................92
Dimension 2: What the Organization Used as Evidence of Meaning......96
Dimension 3: Sustainability Versus Innovation.....................................107
Dimension 4: Internal Processes Related To Professional
Development…………………………………………...............113
Dimension 5: The Organization’s Orientation to Work and Task…..…119
School Culture Type...............................................................................123
Tier III Findings..................................................................................................125
Elements of Change…………………………………………………....126
Workplace Conditions............................................................................136
Organizational Contracts........................................................................140
Discussion...........................................................................................................142

Chapter Five: Conclusions..............................................................................................150

References.......................................................................................................................156

Appendices......................................................................................................................167

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List of Figures

Figure 1: Values and Beliefs Essential to TQM-Overlaid onto Organizational Culture
Dimensions 36
Figure 2: Andersson’s (1996) Workplace Conditions 49
Figure 3: Conceptual Framework: Three Tier Model for Linking Leadership, Culture, and
the Elements of Change Toward Instructional Improvement 62
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

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Chapter One: Overview of the Study
This study explored three interrelated areas. The first area of focus was the practice of
school leadership. The topic of leadership has permeated throughout the field of education. It
has been the focus of educators on all levels and has inundated the headlines of countless
publications (e.g., Bolman & Deal, 1993; Clark & Clark, 1992). Extant research has revealed
that principals, as the leaders of their schools, have a major impact on student achievement and
school success (Williams et al., 2010). According to House, Javidan, Hanges, and Dorfman
(2002), leadership is defined as “the ability of an individual to influence, motivate, and enable
others to contribute toward the effectiveness and success of the organizations of which they are
members” (p. 3). Thus, this study was designed to explore and build on this knowledge.
The second point of focus was school culture. According to Garcia (2002), the
continuous rise in immigration and diversity in the U.S. population and its impact on public
schooling suggests that schools that leaders influence today are very different from what they
were in the 19
th
and 20
th
centuries. This social phenomenon has served as the basis for
understanding the current shift from the old management paradigm to new conceptions of
organizational management. In the old organizational management paradigms of the 19
th
and
20
th
centuries, organizations were perceived as simple systems that involved elementary notions
of order, structure, and compliance (Goldberg & Morrison, 2003). In the new paradigm,
researchers have widened their lenses to include conceptions of socio-cultural underpinnings that
influence human behavior and organizational dynamics (Goldberg & Morrison, 2003).
Garcia (2002) also added, “as cultural linguistic diversity in our schools increases
arithmetically, the challenge to education increases geometrically” (p. 6). Goldberg and
Morrison (2003) argued “Schools become better when emphasis is placed on the role of the
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

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school as a community of learners. Making schools better means creating a nurturing local
culture” (p. 58).
With the variety of socio-cultural factors that have surfaced in the school organizational
equation such as the increase in student diversity (Smith, 2009) and the emphasis on
multicultural competence and social equity (Bennett, 2001), new belief systems have emerged
regarding leading organizations. In the context of organizational culture, Schein (1980) asserted
that leaders create and manage culture. These examples of the increasing awareness that
organizational cultural plays an key role in leadership, served as the driving force for what this
study set out to explore.
Finally, the third focus of this study was change. With the new notions of leadership and
culture in mind, continuous efforts toward organizational change and teacher practice change are
essential to school improvement. In today’s age, researchers and practitioners are focused on
21
st
century schools with 21
st
century values, and thus school principals must know how to foster
change in order to address 21
st
century challenges (Fullan, 1998).
Background
In the wake of our nation’s education reform efforts, the three foci of leadership, culture,
and change have proven to be topics of great importance toward this end (Schein, 1983; Fullan,
2001). Their relevance can be understood by presenting a brief history of the emergence of key
school reform initiatives. Through our understanding of key education reform legislation, we are
able to discern the expectations placed upon schools and the direction they must take in order to
address America’s diverse academic needs. Thus, knowledge of the historical context of public
education reform informs educational practice and serves as the basis for what leaders do in
school settings.
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For the past five decades and beginning with the launch of the Soviet satellite named
Sputnik in 1957, the United States of America has embarked on a mission to improve the quality
of public education (Flynn, 1995). Since that time, many federal policies and a greater sense of
accountability among states, districts, and schools have paved the way for reforms to take place.
In 1965, a federal law known as Title 1 of the Elementary and Secondary Act (ESEA) was
designed to motivate states and local districts to pay greater attention to particular groups of
students and to increase the types of services provided them (McDonnell, 2005). The law
distributed 1 billion in funds to schools and districts directly to provide ESEA related services to
children on the basis of educational need (Thomas & Bryant, 2005).
A Nation at Risk (1983) shifted public opinion from equity to an agenda for excellence
calling for higher standards and achievement for all students. The report made a number of
recommendations, including increased course requirements for high school graduation and
higher standards generally, a longer school day and year, and new approaches to attracting,
training, and compensating teachers.
Following the publication of A Nation at Risk (1983), President Ronald Reagan used the
rhetoric from the document to promote higher academic standards (McDonnell, 2005). While
President Reagan did not propose any new laws or mandates regarding public education, he
spoke in favor of a national reform agenda to improve the quality of public education while not
imposing any regulations on states (McDonnell, 2005).
Under George Bush, in 1988, “Title 1 was amended and for the first time began requiring
states to document and define levels of academic achievement for their disadvantaged children”
(Thomas & Brady, 2005, p. 54). “Consequently, the receipt of ESEA funds was based on the
achievement of educationally deprived children” (Thomas & Brady, 2005, p. 54).
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The first Clinton administration policy to promote education accountability was the
Goals 2000: Educate America Act, passed in 1994. It codified a set of national education goals
and authorized federal funding for modest grants to states and encourage them to adopt voluntary
content and performance standards. Goals 2000 was characterized by four primary legislative
elements: (a) a focus on student achievement; (b) an emphasis on rigorous academic standards
specifying definitions of mastery; (c) the application of academic standards to all students,
including those who were traditionally low performing (d) a reliance on testing as a means to
monitor school improvement (McDonnell, McLaughlin, & Morison, 1997).
Also under the Clinton Administration in 1994, the ESEA was reauthorized with the
passage of the Improving America’s Schools Act (IASA). This legislation set the expectation for
states to hold high standards for all children and design assessments to test performance against
established content and performance standards (McDonnell, 2005). IASA required school
districts to identify schools not making adequate yearly progress (AYP) and outline plans to
improve them. The law established “as a precondition of receiving Title 1 funds, states were
mandated to demonstrate that learning goals, academic expectations, and curricular
opportunities” (Thomas & Brady, 2005, p. 55) were the same for all students and especially
students eligible for these funds.
One of the more recent laws to influence school reform was the 2001 authorization of No
Child Left Behind (NCLB). According to McDonnell (2005), “No Child Left Behind can be
viewed as both a direct descendent of its predecessors [e.g. Goals 2000, ESEA, IASA] and an
attempt to fix Title 1’s shortcomings” (p. 32). “Like IASA, NCLB is grounded in standards-
based education reforms. It moved Title 1 closer to the instructional core by requiring that Title
1 eligible students be incorporated into state accountability systems, and it traded flexibility in
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5
program operations and the specifics of state standards and assessments for a greater emphasis
on educational outcomes” (McDonnell, 2005, p. 32-33). No Child Left Behind was based on a
theory of change that policymakers believed would raise American students’ achievement
(Porter & Polikoff, 2007). A primary goal of No Child Left Behind is ensuring that 100% of
students are proficient by 2014. Along the way, schools are required to meet an accountability
measure known as Annual Yearly Progress (AYP) sets an achievement target based on the
percent of students of various subgroups reaching proficiency (Porter & Polikoff, 2007, p. 7).
NCLB emphasizes the teachers’ importance in raising student achievement through its highly
qualified teacher requirements. According to O’Day and Smith (2007), the concept of content-
driven systemic school reform emerged over the years as a major policy alternative for education
in the United States (O’Day & Smith, 2007, p. 250).
Finally, under the Obama Administration, Race To The Top (RTTT) was passed as part
of the American Recovery and Reinvestment Act (ARRA) in 2009. “RTTT is fundamentally
about two things: creating political cover for state education reformers to innovate and helping
states construct the administrative capacity to implement these innovations effectively”
(McGuinn, 2011, p. 138).
“In many ways, RTTT is an attempt to circumvent the perceived failings of No Child Left
Behind (NCLB), and in particular, the law’s reliance on coercive federal mandates and the
compliance culture that it fostered at the state level (McGuinn, 2011, p. 138). “RTTT’s design—
and specifically its use of a competitive grant process—was intended to avoid these problems by
relying on incentives instead of sanctions to drive state reform” (McGuinn, 2011, p. 138).
The series of laws presented in this section were enacted at the federal level to apply
pressures and incentives to improve the quality of public education and support the academic
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6
needs of all students. However, there is a great divide between federal mandates and their
translation into practice at the school level. O’Day and Smith (2007) argued that many problems
and uncertainties stand between our present educational structure and the achievement of reform
expectations. Each of the mandates passed down from the federal government increased
accountability standards but the passage of these laws do not guarantee their implementation. In
actuality, the laws presented above only mandated what is required but they did not outline how
mandated outcomes are to be achieved in real school settings. In order to improve the quality of
education in school settings that achieve the goals set forth in ESEA, NCLB, and RTTT, schools
must adopt new behaviors, redefine learning and the purpose of schooling, develop new cultural
norms, and adopt new teaching practices. Thus, ESEA, NCLB, and RTTT are at least mandates
for change at the school level.
In addition to the pressures placed on schools change from federal mandates, schools
must also adapt to changing public school demographics. Various authors have noted the
changing demographics of public school students. For example, O’Day and Smith (2007)
examined how minority, low-income, and limited-English-proficiency students in the United
States might fare under increase accountability measures. According to Smith (2009) today’s
startling classroom diversity reflects a major United States demographic shift. Smith (2009) also
noted that increasing diversity is expected to continue. Furthermore, Smith (2009) argued that
successfully navigating these new multicultural learning environments require the acquisition of
applied knowledge and the effective preparation of leaders and teachers. These changing
demographics require schools to adapt to the students they serve. Therefore, schools must be
conditioned to embrace change and be able to constantly adapt to new challenges such as these.
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It has been noted that education reform legislation and changing public school
demographics have increased pressure for schools to adapt and change. However, change does
not occur on it’s own; it must be initiated. Various authors have noted that leadership is key to
the change process. Northouse (2007) argued that change begins from the point of leadership
and that leaders provide direction and establish key organizational processes. Schein (1983)
argued that leaders not only influence culture, but that they create and manage culture. Clark and
Estes (2002) argued that culture and workplace conditions influence teacher practices. Elmore
(2002) argued that internal alignment is necessary for change to occur and teachers are key
agents in the change process. Therefore, change is initiated by leaders and this has implications
for what takes place in school settings.
When considering the implementation of school reforms, there is little doubt that school
leaders play a major role in implementing new policies and best practices in their organizations.
Regardless of whether policies originate at the federal, state, or local level, school leaders are
expected to implement mandated requirements, motivate teachers, marshal the necessary
resources, and provide feedback about the process (Fowler, 2009). Thus, an effective school
leader remains cognizant of these factors and is aware that leadership has an impact on culture,
organizational routines and teacher practice. Furthermore, an effective school leader is also
aware of the socio-cultural dynamics that influence teachers and student performance in the
classroom.
Statement of the Problem
The section above offers the foundation for what inspired this study. Since 1954, various
laws were passed to improve the quality of public education and better serve the needs of all
students. However, a major problem is that school leaders do not know how to create and
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manage school culture environments where change is likely to occur. This presents a major
roadblock to education reform. If this problem is not resolved, schools will continue to fail to
initiate change, mandated expectations placed on schools, and will consequently fail to improve
the quality of pubic education to be benefit of all learners. This study sets out to address the
major problem in education.
Purpose of the Study
The purpose of this study was to answer two overarching questions: (1) How do school
leaders shape school culture, and (2) How does school culture influence teacher practice and
change? According to McEwan and McEwan (2003) knowing that something works is not the
same as understanding how it works. This study explored “how” one principal created and
managed culture. This study also explored whether or not the workplace conditions, as indicated
by leadership practices and employee interactions, were likely to support or impede teacher
practice change.
Research questions. This study explored the following research questions:
1. How does the school leader shape school culture around instructional improvement?
a. What are the leader’s beliefs, points of focus, and leadership approach?
b. How does the leader’s beliefs, points of focus, and approach interact with one
another to influence instructional improvement on a school level?
c. What are the school culture elements in relation to instructional improvement?
d. What cultural patterns are indicative of the school’s cultural type?
2. To what extent is the school culture that is present likely to influence teachers’
willingness to improve their teaching practice?
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a. To what extent are the elements of change present in relation to instructional
improvement?
b. In what ways are the school’s workplace conditions likely to support or impede
teachers’ willingness to improve their practice?
c. To what extent are various contracts likely to be sustained or violated?
According to Patton (2002), there are a variety of theoretical traditions that guide
qualitative inquiry. Systems theory is “interdisciplinary” and asks how and why does this system
function as it does? However, the sociological theoretical tradition also applied to this study.
According to Patton (2002), the sociological tradition asks how do people make sense of their
activities as to behave in socially accepted ways. This indicates that the research questions
presented above were designed to capture insights that were interdisciplinary in nature.
Importance of the Study
According to Patton (2002), the purpose of applied research is to contribute knowledge
that will help people understand the nature of a problem in order to intervene, thereby allowing
human beings to more effectively control their environment. Patton (2002) also added, that
“applied researchers are trying to understand how to deal with significant societal problems” (p.
217). Based on these definitions of applied research, this study aimed to provide principals with
a model for school improvement when barriers stemming from school culture have been
identified. For example, if seeking to improve the overall internal accountability and alignment
in a given setting, Principals can engage teachers and employees in lines of inquiry to gather
perspectives regarding beliefs, responsibility, cultural norms, accountability, instructional
improvement, and workplace conditions. The research questions, three tier conceptual
framework model, and methodology provide a basis for the types of data Principals might collect
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10
as well as ideas for taking action in his or her own school setting. Thus, the findings were also
intended to support school leaders with developing mental models for navigating complex
cultural environments that will enable them to diagnose school problems and facilitate efforts
toward school improvement.
This study was also intended to engage in applied research that enabled researchers,
school principals, policymakers, and school teachers to (1) Become more cognizant of cultural
dimensions that are present in school settings and understand how to identify and interpret school
cultural messages, mechanisms, and patterns, (2) Understand the processes for how to create and
manage culture, (3) Understand the various workplace conditions that arise from organizational
practices, and (4) Understand the relationship between workplace conditions and psychological
contracts and the implications these factors are likely to have on teacher practice change.
Limitations
This study contains several limitations. The results of this study relied heavily on
interview data and the reliability of the findings were dependent upon the level of honesty of
participants. The researcher assumed that the data acquired were honest representations of the
bounded system being explored. Thus, the reliability of this study was limited in that it rested on
this assumption.
The study was also based on a single case or bounded system. When a single case study
is conducted, the researcher’s ability to generalize the results are limited (McEwan & McEwan,
2003). Thus, the results of this study may not be generalizable to future cases.
According to McEwan & McEwan (2003), misunderstandings can arise if the investigator
is the primary instrument for data analysis. This study relied on the understanding and
interpretations of the researcher. This suggests that the findings were limited to the researchers
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11
ability to capture information, accurately interpret the data obtained, and associate meaning to
such data corresponding with the research questions.
Delimitations
This study contains several delimitations. First, this study was restricted to one school
location that served as a single case of study. Second, to ensure that the data acquired through
interviews was accurate, informal discussions, observations, and document analysis were
conducted to compare data acquired through interviews.
Data was collected over the course of two months and the information obtained was only
a snapshot in time offering the researcher insight into the bounded system. To avoid any
misinterpretations during interviews, the researcher sought clarification from teachers ensuring
no misunderstandings would arise.
To ensure the findings were both valid and reliable, the researcher applied a systematic
method for analyzing data, and used multiple data sources to draw conclusions. Thus, the
instruments and methods used to collect data were designed to ensure the reliability and validity
of the data obtained.
Organization of the Study
This study is organized into five chapters. Chapter 1 introduces the topic of this study and
discusses the statement of problem, background, purpose, importance, research questions,
definitions, and limitations.
Chapter 2 provides a comprehensive review of the literature in two parts. Part one of the
literature review addresses the following topics: Leadership, School Culture, School Culture
Types, School Culture Mechanisms, School Culture and Performance, and Strong Versus Weak
Cultures. In part two, the literature shifts to a focus on what causes organizational change while
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discussing the following topics: School Culture and Practice Change, Agency Theory, Social
Practice Theory, and Contract Violation. The conceptual framework is then presented.
Chapter 3 presents the methodology used in this study. This includes the selection
process and rationale, the research design, and the procedures used for data collection and data
analysis. Chapter 4 presents the findings of the single case study. Chapter 5 presents the
analysis, discussion, and the significance of the study, implications for practice, and the study’s
conclusions and recommendations.
Definition of Terms
Active agents. Individuals who perform the work as identified by the contract and who
“carry” and “carry out” expected mental and bodily routines (Reckwitz, 2002).
Contract. A governance mechanism limits an agent’s self-serving behavior (Eisenhardt,
1989, p. 59).
Contract violation. Unmet expectations of any micro-level contract; whether
distributive, procedural, psychological, implied, or interactional.
Cultural models. Gallimore and Goldenberg (2001) argue that Models are shared
mental conceptions of how the world ought to work. The concept of “cultural models”
incorporates behavioral, cognitive, and affective components. Models they write “encode shared
environmental and event interpretations, what is valued and ideal, what settings should be
enacted and avoided, who should participate, the rules of interaction, and the purpose of the
interactions” (p. 47).
Cultural settings. Settings are “whenever two or more people come together, over time,
to accomplish something” (Gallimore & Goldenberg, 2001, p. 47).
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Elements of change. These “elements of change” are based on Elmore’s (2004) reform
model that asserted that internal alignment between accountability, responsibility, and
expectations must be present to initiate change.
Leadership. According to Bass (1990), leadership is the focus of group processes and
from this perspective the leader is at the center of group change and activity.
Organizational culture. Schein (1983), defines organizational culture as “the pattern of
basic assumptions which a given group has invented, discovered, or developed in learning to
cope with its problems of external adaptation and internal integration, which have worked well
enough to be considered valid, and, therefore, to be taught to new members as the correct way to
perceive, think, and feeling relation to those problems” (pg. 1).
Organizational cynicism. An attribute characterized by (a) the attribution of self-
interested behavior to management, (b) the assumption that organizational processes operate
under these apparent self-interests, and (c) the belief that these conditions are unlikely to change
(Andersson, 1996).
Psychological contracts. “A belief in an obligation of reciprocity between an employee
and an organization” (Andersson, 1996, p.1401). “When an individual perceives that
contributions he or she makes obligate the organization to reciprocate in some manner”
(Andersson, 1996, p.1401).
School culture dimensions. Organizational practices and functions that transmit and
influence the belief systems and actions of organizational members.
The role of leadership. According to Schein (1983), the role of leadership is to create
and manage culture.
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Create and manage. The process of creating and managing culture is an act of
leadership that involves communicating one’s beliefs, providing focus and direction, and
establishing processes for group interaction.
Workplace characteristics. Workplace characteristics involve three categories, (a)
business environment characteristics, (b) organizational characteristics, and (c) job and role
characteristics (Andersson, 1996).
Workplace conditions. “Factors in the workplace that can sustain contracts or engender
contract violations and thereby can lead to organizational cynicism. Workplace conditions can
be revealed by the perceptions held by employees about how well the work environment of the
organization is functioning including the quality of social interactions and recognition of work-
related efforts” (Marcoulides & Heck, 2011, p. 212).
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Chapter Two: A Review of the Literature

In order to answer the research questions presented in Chapter 1 – How does the school
leader shape school culture around instructional improvement?” and “To what extent is the
school culture that is present likely to influence teachers’ willingness to improve their teaching
practice?” – two bodies of literature are explored in part one; (a) Leadership and (b) School and
Organizational Culture.
First, the role of leadership, leadership styles, and leadership competencies are discussed
as prescribed by various authors. Second, literature ranging from leadership to culture is
presented to gather insight involving their relationship to one another. Third, school culture is
defined and a number of school culture elements are explored. This is followed by an analysis of
school and/or organizational culture types. Fourth, the literature on school culture and
performance is discussed providing a basis for understanding the connections between culture
and performance in school settings. Finally, an exploration of what is known as strong and weak
cultures is presented concluding part one of the literature review. Part one of the literature
review offers a basic layout of the factors that are known to influence leadership practices.
More importantly, this study sets out to understand various leadership behaviors and how such
behaviors influence school culture. The literature on leadership is included because leadership
approaches can reveal the potential underlying assumptions for why leaders employ various
practices.
The second part of this literature review will explore the body of research that offers
explanations for how school and organizational practices might influence, support or impede
organizational change. In order to explore the body of knowledge that is pertinent to the second
part of this literature review, five bodies of research are discussed in detail: (a) Organizational
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16
Change, (b) Agency Theory, (c) Individual Needs and Human Motivation (d) School Climate,
and (e) Organizational Contract Violations. Chapter 2 will conclude with a presentation of the
conceptual framework that served as the basis for this study’s methodology explained in Chapter
3.
The intent of this chapter is not to provide a comprehensive review of the literature on
leadership theory but to address the relationship between leadership, school culture, teacher
practice and teacher practice change. However, what leaders “do” can potentially reveal the
underlying assumptions behind their actions as well as provide an opportunity to evaluate the
effects of various leadership attributes. By exploring leadership on this level, school principals
might develop a better understanding of how leadership practices can be applied in school
settings in order to influence school culture. This section begins by exploring the role of
leadership. Next, I briefly outline the leadership styles and competencies that influence leaders’
behaviors. Last, extant research on the relationship between leadership and culture is explored.
Leadership Roles
According to Bass (1990), leadership is the act of focusing on group processes. From
this perspective, the leader is at the center of group change and activity. Northouse (2007) added
to this perspective and defined leadership as having four main characteristics asserting
leadership: 1) is a process, 2) involves influence, 3) occurs in a group context, and 4) involves
goal attainment. According to Schein (1983), leaders are responsible for creating and managing
culture. According to House, Javidan, Hanges, and Dorfman (2002), leadership is the ability of
an individual to influence work and contribute to the success of an organization. According to
Goldring, Porter, Murphy, Elliott, and Craven, (2007) there are six key processes that are
essential to the role of leadership; planning, implementing, supporting, advocating,
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17
communicating, and monitoring. These perspectives present various roles leaders might
undertake thereby offering insight into leader assumptions and their respective attributes.
Leadership Styles
A number of authors have offered their insights into the variety of leadership styles that
are present in organizations. Smart and St. John (1996) presented four leadership styles. The
first leadership style that Smart and St. John (1996) offered was the Mentor/Facilitator
leadership style. The Mentor/Facilitator emphasizes loyalty and tradition, and the strategic
approach focuses on human resources and cohesion. Smart and St. John (1996) argued that the
Mentor/Facilitator style is often associated with clan cultures.
1
The second leadership style
presented by Smart and St. John (1996) is the Entrepreneur/Innovator leadership style. The
Entrepreneur/Innovator leadership style is prevalent in Adhocracy cultures. This type of leader
emphasizes innovation and development while emphasizing growth and the acquisition of new
resources. The third leadership style was the Producer/Hard-driver. This type of leadership
style is prevalent in Market organization culture types and the strategic emphasis is on
competition and achievements. The fourth leadership style is the Coordinator/Organizer and is
prevalent in bureaucratic culture types. This style of leadership emphasizes rules and policies
with a strategic emphasis on stability and routine operations.
Northouse (2007) presented two leadership styles: (1) the Situational leadership style,
and (2) the Transformational leadership style. The Situational leadership style adapts according
to the situation. Situational leadership stresses that leadership is composed of both a directive
and a supportive dimension, and each is applied appropriately in a given situation. A situational
leader must analyze the situation, evaluate her or his employees, and assess what style is
necessary to achieve a pre-determined goal. The Transformational leadership style involves the

1
The Clan Culture Type and other school culture types are discussed later in this chapter.
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18
process of changing and transforming people. It is concerned with emotions, values, ethics,
standards, and long-term goals and includes assessing followers’ motives, satisfying their needs,
and treating them as full human beings. Northouse’s (2007) explanation of Situational and
Transformational leadership is consistent with Slayton and Mathis (2010) who also included the
transactional and transformational leadership styles as two common leadership styles in
organizations.
Leadership Competencies
Williams, Kirst, Haertel, et al. (2010) identified district and school level practices that
differentiated higher-performing schools from lower-performing schools with similar students.
Principal leadership and competencies were among 1 of the 10 domains that were found to be
distinguishing factors between similar schools bearing different results. This signified that
leadership competencies played an important role in sustaining high performing schools. Thus,
leadership competency is relevant to a study of school culture. Competencies are the leader’s
skills and abilities that they deploy to achieve organizational goals and influence members of an
organization. Therefore, perceptions of staff members regarding their leader’s abilities as well as
the leader’s perception of his or her ability to achieve organizational aims might provide deeper
meaning behind the manner in which leaders set out to create and manage culture.
Childress, Elmore and Grossman (2006) provided five key leadership competencies: (1)
implementation of a strategy for teaching and learning; (2) facilitation of a performance culture;
(3) introduction and maintenance of consistent systems and structures; (4) management of
stakeholder relationships; and (5) management of effects from the environment. These are
closely related to Schein’s (1983) argument for how culture is embedded and transmitted.
2

Mumford, Zaccaro, Harding, Jacobs, and Fleishman (2000) also argued that leadership

2
Schein’s (1983) argument for how culture is embedded and transmitted will be discussed later in this chapter.
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19
competencies have implications for how leaders act. These authors presented three categories of
competencies; (1) problem solving skills, (2) social judgments skills, and (3) knowledge.
According to Mumford, Zaccaro, Harding, Jacobs, and Fleishman (2000), social judgment has
four subcategories; (a) Perspective Taking, (b) Social Perceptiveness, (c) Behavioral Flexibility,
and (d) Social Performance.
Perspective Taking involves understanding attitudes others have toward a particular
problem or solution. Social Perceptiveness involves insight and awareness into how others
function essential knowing what is important to others and how they react to change? Behavioral
Flexibility is the capacity to understand and adapt one’s behavior in light of understanding
others’ perspectives in the organization. Social Performance is the ability of a leader to
communicate their vision to others; persuasion and communicating change is essential. These
attributes are relevant because leaders are likely to adapt and effectively respond to the
challenges of managing organizational culture dynamics.
Leadership and Culture
A number of researchers have explored the relationship between leadership and culture.
For example, Schein (1983) conducted a study “to show how founders of organizations create
organizational cultures and how such cultures can be analyzed” (p. 1). Schein (1983) used case
studies collected over the course of 10 years to support his theory. His goal was to examine what
organizational culture was, how founders create and embed cultural elements, why companies
develop distinctive cultures, and what the implications are for the transition from founders to
employees. He found that founders had “strong assumptions about the nature of the world, the
role that their organization will play in the world, and the nature of truth, relationships, time, and
space” (p. 6). Schein (1983) also presented three cases to explain how founder’s assumptions
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about the world influence cultural norms. Therefore, Schein’s (1983) study provides one model
for understanding how the founders’ assumptions about the world are transmitted to members of
the organization. Furthermore, Schein (1983) argued that these assumptions could be used to
identify the cultural elements that are present in an organization. He explained that this is
possible by analyzing the assumptions shared among organizational members.
House et al. (2002) investigated cultural values and practices in a wide variety of
countries and their impact on organizational practices and leadership attributes. The central
theoretical proposition of their model asserts the attributes and entities that distinguish a given
culture from other cultures are predictive of the practices of organizations and leader attributes
and behaviors that are most frequently enacted, acceptable, and effective in that culture. Their
findings suggested the attributes and practices that distinguish cultures from each other, as well
as strategic organizational contingencies, are predictive of the leader attributes and behaviors,
and organizational practices, that are most frequently perceived as acceptable are most frequently
enacted, and are most effective. The study did not explore the qualities that are acceptable in
specific school settings, the desired leadership style of employees respective of their unique
settings, or analyze these expectations in comparison to dominant cultural values and its link to
leadership approaches that are present in a sample of schools.
Lucas and Valentine (2002) also studied the relationship between leadership and culture
and found that principals were instrumental in creating or fostering the culture of their schools.
The results of the study showed that the principal seemed to be the primary source that identified
and articulated the vision and provided appropriate models. They also found that the principal
seemed to exert the greatest influence upon teacher collaboration and unity of purpose.

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Defining School Culture
A number of scholars have made contributions to the literature examining school culture.
Geertz (1973) defined culture as a historically transmitted pattern of meaning. Schein (1983)
defined organizational culture as the pattern of basic assumptions held by employees regarding
how problems are solved in organizations and are taught to new members as the correct way to
perceive, think, and feel in relation to those problems. Both Geertz’s (1973) and Schein’s (1983)
definitions utilize terms such as “assumptions” and “the current way to perceive.” These terms
suggest culture involves “ways of thinking.” However, Stolp and Smith (1994) asserted school
culture is defined “as the historically transmitted patterns of meaning but also includes norms,
values, beliefs, ceremonies, rituals, traditions, and myths understood, maybe in varying degrees,
by members of the school community” (p.13). Stolp and Smith’s (1994) definition suggests that
culture not only involves “ways of thinking” but also “ways of acting.” House, Javidan,
Hanges, and Dorfman (2002), provided a definition that compliments the definition offered by
Stop and Smith (1994). House and his colleagues (2002) assert the focus of culture is on
“sharedness” of cultural indicators among members of a collective. If “traditions” are “ways of
acting” among a group, this attribute must be a “shared practice” among members for the
tradition to carry on. Therefore, based on the definitions presented above, a definition of school
culture can be established. School culture can be understood as the “ways of thinking” and
“ways of acting” that are “shared” among members of the school community and are taught to
new members.
Conceptions of School Culture Elements
Within the greater conception of school culture there are various elements that make up
school culture. Two different groups of authors have offered different ways of thinking about
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what comprises school culture. The first group of authors established the idea that culture is the
consequence of individual components that transmit culture on their own. The second group of
authors suggested it is not the individual components that make school culture but instead
elements that combine to form conceptual schema. Typically, the authors in the second group
have designed frameworks that offer various logical structures for explaining the qualities within
a given culture. Both sets of authors are presented, as each of them inform this study.
First group of authors. A number of authors identify individual elements that influence
school culture. According to Stolp and Smith (1994), some important elements are the norms,
traditions, rituals, ceremonies, and myths that are translated by a particular group of people.
Williamson and Blackburn (2009) identified elements such as patterns, assumptions, and values.
Williamson and Blackburn (2009) also offered another important element. They asserted heroes
and heroines play an important role within school culture. They further explained that heroes
and heroines have the ability to initiate cooperative action among school staff. Deal & Kennedy
(1982) included the elements presented by Stolp & Smith (1994) but included an element known
as the sagas of an organization. The sagas of an organization are the key events, changes, and
milestone that particular organizations encounter throughout the course of their existence and
development. Each element can be considered stand-alone elements that play a separate role in
influencing school culture, though the authors do not speak to how these individual elements
work in conjunction with one another. Furthermore, these authors do not evaluate the
relationship between leadership and the elements that they utilize to transmit culture or evaluate
the extent to which such elements have an impact on employee behavior. These are the types of
interactions this study will set out to investigate.
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23
Second group of uuthors. As noted earlier, a second group of authors established
frameworks that arranged school culture elements into organized schemas. The practice of
developing frameworks for understanding school culture elements into an organized schema was
presented in Marcoulides and Heck (1993). Marcoulides and Heck (1993) asserted:
Previous research on organizational culture has tended to focus on single, discrete
elements of culture (such as the phenomenal influences of traditions, ceremonies,
heroines, etc.,) while ignoring the multi-dimensional nature of culture, that is, a
construct composed of several intimately interrelated variables (Marcoulides &
Heck, 1993, p. 210).
One author who offered a framework of school culture elements into an organized schema was
Schein (1983). Schein (1983) listed 10 schemata for understanding school culture elements.
These included: 1) Formal statements of organizational philosophy, charters, and creeds, etc. 2)
Design of physical spaces, facades, buildings, 3) Deliberate role modeling, teaching, and
coaching by leaders, 4) Explicit reward and status systems, promotion criteria, 5) Stories,
legends, myths, and parables of key events, 6) What leaders pay attention to, measure, and
control, 7) Leaders reactions to critical incidents and organizational crises, 8) How the
organization is designed and structured, 9) Organizational systems and procedures, and 10)
Criteria used for recruitment, selection, promotion, leveling off, retirement, and
‘excommunication’ of people. However, Schein (1983) did not explore “how” school principals
practiced role modeling and coaching in their school settings.
Allaire and Firsirotu (1984) also organized school cultural elements into a logical
structure. They argued that three interrelated sets of systems help identify organizational culture.
These consisted of three domains: 1) organizational beliefs systems, 2) the socio-cultural system
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24
which is composed of the perceived functioning of formal organizational structures, strategies,
and policies, and 3) management practices relative to the work structure in the organization.
However, although Allaire and Firsirotu (1984) offered these logical schemas, Allaire and
Firsirotu (1984) did not intend to explore the question on “how” school principals influence an
organizational belief system. Again, this study will attempt to fill this gap.
Gallimore and Goldenberg (2001) also offered a logical schema for understanding how
school culture elements worked to form school cultures. They argued that the elements of culture
could be formed into two organized schemas: 1) Cultural Models, and 2) Cultural Settings.
Gallimore and Goldenberg (2001) argued that Models are shared mental conceptions of how the
world ought to work. The concept of “cultural models” incorporates behavioral, cognitive, and
affective components. Models, they argued, “encode shared environmental and event
interpretations, what is valued and ideal, what settings should be enacted and avoided, who
should participate, the rules of interaction, and the purpose of the interactions” (Gallimore &
Goldenberg, 2001, p. 47).
Settings are defined by Gallimore and Goldenberg (2001) as “whenever two or more
people come together, over time, to accomplish something” (p. 47). Gallimore and Goldenberg
(2001) argued that ‘in most schools, settings for collaborative work designed to improve teaching
and learning steadily simply do not exist” (p. 48). Gallimore and Goldenberg’s (2001)
conception of Models and Settings, presented a straight forward and easy to understand schema
for classifying school culture elements. What was not included in Gallimore and Goldenberg’s
(2001) research was a framework for understanding the formal and informal or explicit or
implied models and settings that are present in school cultures.

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Organizational Culture Types
Within the larger idea of “school culture” there are varied classifications that are captured
by “school culture types.” While school culture types are also logical schemas, they offer a
deeper meaning behind what has been discovered about a given culture. One key underlying
assumption of this study is that understanding “organizational culture types” provides a valuable
lens for recognizing the patterns that are perceivable in school cultures. It is also important to
note that the association between “organizational culture” and “school culture” has merit.
Schools are in fact organizations. Schools, like organizations, are composed of a body of
individuals who have assigned roles and responsibilities that support the school’s mission. In
addition, members of the school set out to achieve common goals and various agreements are
established that moderate that nature of interpersonal relationships. Therefore, it is the intent of
this study to draw from the literature on organizational theory to better inform my conceptual
framework and support the purpose of this study as expressed in Chapter 1.
In order to explain the various theoretical frames for understanding organizational culture
types, the works of several researchers: Ouchi (1980), Smart and St. John (1996), and Bolman
and Deal (2002) are explored. It is the intent of this study to explore the similarities and
differences between these sets of authors and to identify the limitations of these theoretical
frames to better inform the methodology for this dissertation study.
Ouchi (1980) drew his conception of organizational types from the business tradition and
explored the extent to which various organizational types were more or less efficient in achieving
cooperative action. Ouchi (1980) wrote, “Cooperative action necessarily involves
interdependence between individuals” (p. 130). This interdependence calls for a transaction or
exchange in which each individual offers his or her labor and receives something of value in
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26
return such as compensation or tangible rewards. Therefore, Ouchi (1980) depicted the actions
of organizations in economic terms. Ouchi (1980) presented three transactions types that take
place in organizations and these transaction types can also be understood as “organizational
types.” Ouchi’s (1980) frame presented three organization types, (1) Bureaucracies, (2) Markets,
and (3) Clans. Ouchi (1980) defineed the first organizational culture type, Bureaucracies, as:
. . . transactions where cooperative action is enforced by hierarchical order. In
a bureaucratic relationship, each party contributes labor to a corporate body,
which mediates the relationship by placing a value on each contribution and
then compensating the contribution fairly. The perception of equity in this
case depends upon a social agreement that the bureaucratic hierarchy has the
legitimate authority to provide this mediation. (p. 130).
Based on this definition, in bureaucracies “cooperative action” is “enforced” through
“order,” “hierarchy,” and “fair compensation.”
Markets, the second organizational culture type, according to Ouchi (1980) achieve
cooperative action through a “price mechanism.” Ouchi defined “price mechanism” as the
process by which market organizations establish unique transactions with each individual within
an organization based on the needs of the organization and the quality of the service provided by
the individual. Ouchi (1980) presented one challenge to this type of organization in relation to
organizational efficiency. He argued that market organizations are incompatible with dealing
with future transactions with those inside an organization. In other words, assigning specific
tasks and rewards on a case-by-case basis limits orientation to a particular individual to maintain
long-term and systemic obligations and rewards. Thus, Ouchi (1980) presented one limitation
that arises in this type of organization. He added, “the ability and most organizational exchange
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27
relationships between individuals involve long-term obligations” (p. 132).
The third organizational type identified by Ouchi (1980), the Clan culture, was defined as
organizations in which individuals are socialized to believe that the goals of the organizations are
their own. Ouchi explained, “some organizations rely to a great extent on ‘socialization’ as the
principal mechanism of mediations or control, and this ‘clan’ form can be very efficient in
mediating transactions between interdependent individuals” (p. 132). Ouchi (1980) conceived of
his conception of Clans from an analysis of Japanese industrial firms. In speaking about the
Japanese firms he observed he wrote, “they rely to a great extent upon hiring ‘inexperienced’
workers, ‘socializing’ them according to accept company goals as their own” (p. 132). Both
Markets and Bureaucracies are based on an economic analytical perspective and do not include
sociological concepts. However, Ouchi’s (1980), account of Clan cultures does include a
sociological perspective. Sociological interactions, essentially how individuals interact and react
to one another in organizational contexts, offer valuable knowledge to a complete and accurate
understanding of what leadership entails. Often, such sociological interactions are ignored in
organizational leadership studies.
Smart and St. John (1996) argued that organizational culture, in general, and specifically
school culture types, have an established tradition in organizational research on higher education
in the United States. Smart and St. John (1996) explored the link between organizational culture
types and organizational efficiency. Smart and St. John (1996) presented four frames for
classifying organizational culture types: 1) Adhocracies 2) Bureaucracies, 3) Clans, and 4)
Markets.
According to Smart and St. John (1996), one specific organizational culture type,
Adhocracy cultures, emphasize innovation as a central feature. Smart and St. John (1996) also
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28
add that Adhocracy cultures emphasize flexibility, individuality, and spontaneity. Adhocracies
also evaluate the organization’s progress based on how they measure up against external
competition, have explicit long-term goals, and focus on activities that support organizational
goals and objectives.
The second organizational culture type was Bureaucracies. Bureaucratic cultures have
an internal emphasis on stability, control, and predictability. This is consistent with Ouchi’s
(1980) perspective of bureaucratic culture types.
The third organizational culture type, Clan organizations, socializes organizational
members so that they see their objectives as being in harmony with organizational purposes.
Smart and St. John (1996) added that Clan cultures, like Adhocracy cultures, are characterized
by having high flexibility, individuality, and spontaneity, but focus on internal processes,
emphasize the short-term, and activities are centered around community and cooperation.
The fourth organizational culture type is Market cultures. Smart and St. John (1996)
based their definition of Market cultures on the work of Ouchi (1980). They argued that Markets
resolve the exchange problem through a price mechanism in competitive situations. Thus,
competing interests between individuals within an organization are constantly at play in Market
cultures. Smart and St. John (1996) argued that their conception of the Market organizational
culture type is consistent with the Adaptive Planning Model of Chaffee (1985). According to
Chaffee, the Adaptive Planning Model tends to focus the manager’s attention on means, and a
central goal is the co-alignment of the organization with its environment. This means the
organization expects that the environments, both external and internal to the organization, are
continually changing. Furthermore, Smart and St. John (1996) explained that Market cultures
have an emphasis on external positioning, long-term time frames, and achievement-oriented
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29
activities and including the values of stability, control, and predictability. This is contrary to
Ouchi’s (1980) account of Market organizational types. According to Ouchi’s (1980) frame,
markets are limited in their ability to maintain long-term systemic obligations and rewards.
Although, Smart and St. John (1996) and Ouchi (1980) both associated Market cultures with a
price mechanism, they disagree about extent to which Markets incorporate “long-term time
frames” or “systemic obligations and rewards.” Smart and St. John’s (1996) conception of
Market organizational culture types appears more relevant to school organizations than Ouchi’s
(1980) conception of Market cultures.
Bolman and Deal (2008) also offer a number of organizational culture types. Bolman
and Deal (2008) presents four frames for understanding organizational culture types: 1)
Factories, 2) Families, 3) Jungles, and 4) Temples.
In the Factories frame, “organizations assume a rational world and emphasize
organizational goals, architecture, structure, technology, and formal relationships” (p. 15).
“Factory organizations create rules, policies, procedures, systems, and hierarchies to coordinate
activities” (p. 15). This is consistent with Ouchi’s (1980) perspective of bureaucratic
organizational types.
The second organizational culture type, Families, views organizations from a human
resources perspective, and see them as “…an extended family, made up of individuals with
needs, feelings, prejudices, skills, and limitations” (p. 16). This perspective appears to adopt a
sociological perspective of organizational culture.
The Jungles frame depicts organizations as “…arenas, contests, or jungles and parochial
interests compete for power and scarce resources” (p.16). In addition, “…bargaining,
negotiation, coercion, and compromise are normal parts of everyday life in Jungle cultures”
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30
(p.16). Bolman and Deal (2002) also added that, in Jungles, specific interests lead to the
formation of coalitions among interest groups and often come and go.
The Temples frame “…treats organizations as tribes, theatres, or carnivals” (p.16). “It
abandons assumptions of rationality prominent in the other metaphorical frames and depicts
organizations as cultures, propelled by rituals, ceremonies, stories, heroes, and myths” (p.16).
Furthermore, they argued that Temples resemble Clan cultures. Bolman and Deal (2002) added
that “…employees in clan type organizations understand their duties and actions as simply ‘how
things are done’ and these are consistent with the goals of the organization and this is exemplary
within the temples frame” (p.16).
In summary, Ouchi (1980), Smart and St. John (1996), and Bolman and Deal (2002),
offered organizational culture types that provide meaningful insight to the knowledge of school
culture. According to these authors, an organization (and consequently a school) is to be
examined for evidence of these features in order to understand its unique organizational culture
type. The next section will discuss the literature that offers insight into the relationship between
organizational culture and performance.
The Relationship Between Organizational Culture and Performance
Various studies have also shown that effective organizational cultures and certain
organizational culture types can positively impact organizational performance. Denison and
Mishra (1995) explored the relationship between organizational culture and organizational
performance.
Denison and Mishra (1995) found a connection between objective measures of
effectiveness and traits identified by CEOs. The results provided evidence for the existence of
four cultural traits—involvement, consistency, adaptability, and mission—and indicated that
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31
these characteristics were positively related to perceptions of performance. Two of the traits,
involvement and adaptability, were indicators of flexibility, openness, and responsiveness, and
were strong predictors of growth. Dennison and Mishra’s (1995) findings are significant because
their study offers a set of variables that can be explored when investigating leadership in relation
to culture and change.
Gaziel (1997) explored the cultural differences between effective schools and average
schools in Israel. The results revealed that schools vary in their cultural dimensions, and this
variation correlates with differences in student achievement. Gaziel (1997) is relevant because it
provided evidence that it is possible to find a correlation between cultural dimensions and
student achievement. However, Gaziel (1997) only establishes that a correlation is present.
Gaziel’s (1997) study did not attempt to explain “why” there is a correlation or “how” culture
influences school performance.
Detert, Schroeder, and Mauriel (2000) also offered insight into the relationship between
organizational culture and performance. Detert et al. (2000) conducted a meta-analysis of
organizational culture literature with the intent to link organizational culture to improvement
initiatives. They found that eight dimensions of culture correspond with E. Demming’s Total
Quality Management Model (known as TQM – extend a comprehensive organizational change
initiative). They argued that the eight dimensions of culture, when they are present in
organizations, create an ideal organizational culture. Two things are significant about Detert et
al.’s (2000) study. The eight dimensions offered by Detert and his colleagues (2000) provided a
useful framework for classifying key elements of organizational culture. Second, the link
between organizational culture and TQM, found by Detert et al. (2000), is significant because
quantitative evidence has shown that organizations that implement TQM practices positively
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32
impact organizational performance (Brah, Tee, & Rao, 2002). This suggests that if the eight
dimensions of culture are present, then they are likely to impact performance. The table below
presents Detert et al.’s (2000) proposed model for linking Organizational Culture Dimensions to
TQM.

Figure 1 presents the eight dimensions of culture and how they correspond to TQM practices.
Marcoulides and Heck (1993) also examined the relationship between organizational
culture and performance. Marcoulides and Heck (1993) conducted a quantitative study to test a
model relating organizational culture and performance. They argued that organizational culture
consisted of three interrelated dimensions: 1) a socio-cultural system of the perceived
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33
functioning of the organization's strategies and practices, 2) an organizational value system, and
3) the collective beliefs of the individuals working within the organization. They argued that
organizational culture is operationalized through five variables: (a) organizational structure and
purpose, (b) organizational values, (c) task organization, (d) climate, and (e) individual values
and beliefs. Their findings are consistent with past research (Hofstede, Neuijin, Ohayv &
Sanders, 1990; Peters & Waterman, 1982). They found that the five variables associated with
organizational culture are predictive of organizational performance. Marcoulides and Heck’s
(1993) study is significant because they provided variables that were found to influence
organizational performance. However, this study does not attempt to explain the process of how
select variables (i.e., climate, individual values) impact teacher performance.
Strong versus Weak Cultures
In the previous section, a number of studies were presented offering insight into the
relationships between school culture and performance. The research in that section consisted of
the works of Marcoulides and Heck (1993), Detert et al.(2000), Denison and Mishra (1995), and
Gaziel (1990). Other researchers also offered insight on cultural strength providing knowledge
that is complementary to what is known about organizational culture and performance.
According to Saffold (1988) there is a consensus that for an organization's culture to
contribute to higher levels of performance, it “must be both 'strong' and possess distinctive
'traits': particular values, beliefs, and shared behavior patterns” (p. 546). Saffold’s (1988)
proposition is known as the Strong Culture Hypothesis and is consistent with Argyris, Putnam
and Smith (1985). According to Argyris et al. (1985), organizational performance will be higher
in organizations where there is congruence between their espoused values and actual
organizational practices rather than an organization where inner contradictions exist between
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34
espoused philosophies and actual practices. The Strong Culture Hypothesis is also found in a
study conducted by Denison (1984). Furthermore, the works of Smart and St. John (1996),
Cheng (1993), and Cameron and Freeman (1991) also gather insight on the topic of cultural
strength.
Smart and St. John (1996) defined strong culture as those in which there is “congruence”
between espoused beliefs and actual practices. They stated that the relationship between
espoused beliefs and actual practices constitutes the basis by which they differentiate "strong"
from "weak" culture types. They defined Strong Cultures as those in which there is congruence
between espoused beliefs and actual practices. Whereas Weak Cultures is characterized by an
incongruence between espoused beliefs and actual practices.
While several researchers argue that congruence is a central factor of cultural strength,
Cheng presented a completely different perspective. Cheng (1993) argued Strong Cultures are
school cultures that have a positive quality. Strong Culture, according to Cheng (1993), is
associated with positive organizational characteristics such as teachers’ job attitudes and
students’ academic outcomes. For example, if teachers’ attitudes revealed that there was high
optimism and high morale in a school setting, this would provide evidence for a Strong Culture.
Smart and St. John (1996) and Cheng (1993) represented two disparate analytical frames
for understanding Strong Cultures. Smart and St. John (1996) viewed Strong Cultures as the
degree of congruence between espoused theories and organizational practices. On the other
hand, Cheng (1993) viewed Strong Cultures as being the positive effects that the elements of
culture have on members of an organization. One limitation of Cheng (1993) is that he did not
consider the possibility that organizations can have weak congruence between espoused beliefs
and organizational practices but also have a supportive climate.
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35
Cameron and Freedman (1991) investigated whether congruent cultures perform better
than incongruent cultures. To achieve this they explored the relationship between congruence
and organizational effectiveness. They presented four key variables (1) the dominant
characteristics or values of the organization (2) the dominant style of leadership, (3) how
members of the organizations complete tasks, and (4) the strategic emphases present in the
organization. According to Cameron and Freedman (1991), congruence is when there is a fit
between the leadership style and the dominant attributes of the organizational culture. When the
key variables presented above are all characteristic of a particular organizational culture type
model (i.e., the clan culture type model) this is known as Strength. In their study, Cameron and
Freeman (1991) found that there was no significant difference between congruent and
incongruent cultures in relation to effectiveness. However, this study is relevant because it offers
a set of variables that can be utilized as an analytical frame for evaluating congruence in a school
setting.
The second overarching research question of this study is, “To what extent is the school
culture that is present likely to influence teachers’ willingness to improve their teaching
practice?” This question sets out to explore the extent to which school culture influences teacher
practice change. In order to gather insights that will guide this type of inquiry, literature on
organizational change is discussed first. Next, a body of literature on agency theory and
individual needs and motivation are presented. This is followed by a review of the literature
regarding school climate and contract violations.
Organizational Change

Elmore (2004) offered valuable insight into what causes change. Elmore (2004) focused
on change in school settings and constructed a model known as internal accountability.
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36
According to Elmore (2004), internal alignment is a high level of congruence among members of
the organization on the norms, values, and expectations that shape their work. Elmore presented
three factors that influence his conception of internal accountability: (1) individual responsibility,
(2) accountability mechanisms, and (3) shared expectations. Elmore explained that schools that
have internal alignment between these three factors function more effectively and have the
ability to change and adapt to external pressures to increase academic performance.
Elmore (2004) defined each of the three factors that are believed to be essential to obtain
internal alignment. Expectations are collective in nature and they characterize the shared norms
and values school participants develop to get the work of the school done. Individual
Responsibility is what people value and perceive regarding their responsibilities to instructing
children. Accountability mechanisms are the variety of formal and informal ways that people in
schools give account for their actions. Elmore’s (2004) work is important because the three
factors offered can be understood as ways of acting and thinking. This means that responsibility,
expectations, and accountability are in fact aspects of organizational culture. Elmore (2004) is
consistent with the literature on Strong Cultures in that strong cultures are cultures that have
congruence. Internal alignment between responsibility, expectations, and accountability can be
perceived as a form of congruence. One limitation of Elmore (2004) is that he did not set out to
establish the connection between internal accountability (the factors that Elmore argues is
necessary for change) and strong culture.
Agency Theory
Agency theory also provides insight into factors that influence change. Elmore (2004)
argued that participants in schools serve as active agents in the creation of the “conceptions of
accountability” from which they operate and can be active agents in changing these conceptions.
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37
Eisenhardt (1989) argued that agency involves the extent to which employees carry out actions
that are delegated by the principle
3
. She further argued that the Principal utilizes governance
mechanisms that limit the agent's self-serving behavior. Eisenhardt’s (1989) work is consistent
with the work of Reckwitz (2002). According to Reckwitz (2002) agents are body/minds who
“carry” and “carry out” social practices while adopting practices that are not only externally
driven, but also internally driven routines. Reckwitz (2002) furthermore argued that agents of
change embody behaviors that reflect the interest of the group rather than self-interests.
Reckwitz’s (2002) perspective was further supported by Clark and Estes (2002). According to
Clark and Estes (2002) when an employee acts in the interest of the group this is known as a
“We” culture. “I” cultures on the other hand are environments where the majority of employees
act in self-interested ways. These notions of agency provide valuable insight in understanding the
degree to which agency is present in a school setting. This, as a result, provides a stronger basis
for evaluating the links between leadership, culture, and teacher practice.
Individual Needs and Human Motivation
Individual needs and human motivation are also important factors that influence
employee agency and change. Reckwitz (2002) argued that the individual makes decisions as to
which external and internal routines are internalized. Thus, Reckwitz (2002) argued that the
needs of individuals play a key role in agency. Based on these assumptions, two examples of
how individual needs and motivation influence change are discussed. These ideas are presented
through the works of Maslow (1954) and Taormina (2009).
Maslow (1954) offered insight into the needs of individuals, motivation, and their
influence on change. Maslow (1954) addressed individual needs through his Theory of Human

3
The meaning of “principle” in this context refers to a person of authority who delegates to individuals under his or
her authority (i.e., the agent). This reference does not specifically refer to school principals although they serve as
“principles” over “agents” in their settings.
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38
Motivation. His theory offered five basic needs that influence an individual’s actions which
included: (1) Physiological (tissue needs such as hunger and thirst, (2) Safety (needs for
security, absence of threat), (3) Affiliation (need for close affective relationships), (4)
Achievement and Esteems (need for achievement and self-respect), and (5) Self-actualization
(need for the utilization and growth of one's potential skills and abilities).
Maslow (1954) argued that these factors motivate individuals to act because the five
basic needs provide the impetus or reasoning through which choices or actions are made. This
suggests that individual needs and motivation are directly related to the change process. Maslow
(1954) suggested that action is motivated by basic individual needs. Since we know that one
must act on or adopt mental and bodily routines that are shared among cultural members to
become an agent of change, then it can be inferred that adequate motivation is necessary to
become an agent of change. This information contributes substantial meaning to the change
process because it offers factors that influence individuals from within. Furthermore it provides a
basis for linking external factors to the internal processes that might take place within individuals
as they make decision regarding their choices and actions.
Toarmina (2009) also offered insight into individual needs and motivation and his work
also provided further insight into organizational change. Toarmina (2009) argued that employee
needs should be taken into account for how employees are motivated to adopt cultural norms.
He offered four needs that motivate employees: 1) Achievement, 2) Affiliation, 3) Autonomy,
and 4) Power. Toarmina (2009) argued these four needs influence employees to act in certain
ways and should be used to motivate them to adopt mental and bodily routines that are valued by
the organization. This is similar to Maslow’s (1954) theory of motivation. However,
Taormina’s (2009) work was slightly different because he attempted to directly link employee
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

39
needs to the promotion of cultural norms. While the connections between individual needs and
the adoption of cultural norms can be inferred in Maslow’s (1954) work, these connections are
more explicit in the work of Taormina (2009). Both Maslow (1954) and Taormina (2009)
offered interesting ideas that are relevant to the connection between individual needs, motivation,
and change. However, these authors did not set out to explore the extent to which teachers’
needs are met or whether teachers have the adequate motives to move in the direction toward
change in a public school setting. These authors at least provide a foundation for exploring these
types of inquiries.
School Climate
School climate also has strong implications for employee behavior, agency, and change,
and various authors offer insight into how poor school climates present barriers change. Steele
and Jenks (1977) defined school climate as what it feels like to be inside a social system.
Brookover and his colleagues (1979) defined climate as the perceptions of organizational
members within a system. Stolp and Smith (1994), argued that school climate is the “subtle
spirit” of a school. They further argued that this “spirit” has generally been called school
climate. This is consistent with the work of Marcoulides and Heck (2011) who argued that
employees have a variety of perceptions about how well the work environment of the
organization is functioning. Marcoulides and Heck (2011) argued that the employees evaluate
their work environment based on a number of factors; this includes the quality of social
interactions, recognition of their work-related efforts, the types of communication channels open
to them, access to technology and resources, and demands or stress placed upon them by the
organization. Thus, employee perceptions of these factors, when negative, can create a poor
work climate, and, furthermore, inhibit teachers’ willingness to change within the organization.
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40
Clark and Estes (2002) also offered insight into school climate and its implications for
organizational change. Clark and Estes (2002) argued that a number of factors lead to poor work
climates. These include: 1) Vague and constantly changing goals and feedback, 2) Dishonesty,
hypocrisy, and unfairness, 3) Unnecessary rules and work barriers, 4) Constant competition
between members of the group, and 5) Negative, critical, biased, and prejudicial feedback. Thus,
Clark and Estes (2002) argued that when such factors are present, they also present barriers to
change. While vague and constantly changing goals and feedback may not be attributed to
factors relevant to school climate, the rest of them are directly related to climate. Clark and
Estes (2002) argued that such barriers limit employees’ desire to begin, persist, or complete
organizational objectives, norms, or expectations. This suggests that when barriers such as these
are present, the employees are less likely to choose to act in ways that are valued by the
organization.
Friedman (1991) also provided insight into school climate and its relationship to change.
He argued that “morale” is a meaningful indicator for understanding and evaluating school
climate. He also argued that satisfactory employee morale is an important factor in the
attainment of organizational goals. Therefore, it can be inferred that satisfactory employee
morale is necessary to obtain organizational goals which likely lead to collective change. Based
on the ideas presented by Friedman (1991), employee morale can be used to gauge perceptions
of school climate and evaluate the extent to which collective change is likely to occur in any
given environment. One limitation of this study is that it does not set out to explore the extent to
which employee satisfaction is present as an indication of progress toward change.
According to Andersson (1996) cynicism is also indicator of a poor climate and can limit
the possibility of change. Andersson (1996) defined cynicism as a basic philosophy about
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41
human nature, a deviation from idealism, and a general attitude that one cannot depend on others
to be trustworthy and sincere. Andersson (1996) defined organizational cynicism as an attitude
characterized by: (a) the attribution of self-interested behavior to management, (b) the
assumption that organizational processes operate under these apparent self-interests, and (c) the
belief that these conditions are unlikely to change.
He also added,
“…it is important to conceptually differentiate cynicism from similar constructs
such as job satisfaction and trust. Whereas job satisfaction is an attitude
conveying the degree to which one’s work is capable of satisfying (or frustrating,
as in the case of dissatisfaction) one’s needs, cynicism is both a generalized and
specific attitude involving frustration, hopelessness, disillusionment, and
contempt toward and distrust of a person, group, or object (s)” (p. 1398).
This indicates that cynicism is anticipatory and outwardly-directed, while job satisfaction is
retrospective and self-focused. Therefore, Andersson provides a meaningful distinction between
satisfaction
4
and cynicism.
According to Andersson (1996), employees who are more cynical toward organizational
change (as defined by the latter definition) express less motivation to exert change efforts, expect
less personal success, and perceive fewer and less valuable intrinsic and extrinsic rewards.
Andersson (1996) argued that these factors can lead to burnout as well, which include three
distinct dimensions: 1) emotional exhaustion, 2) depersonalization, and 3) feelings of low
personal accomplishment, of which cynical attitudes are a manifestation. Finally, Andersson
(1996) argued that cynicism toward an individual within a group or institution could often
generalize to other objects. Thus, Andersson (1996) offered a number of ideas that provide a

4
Also referred to as “morale”
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42
basis for how cynicism and lead to poor climates and influence attitudes toward an organization
or others in the workplace. These ideas also provide a set of factors that can serve as inhibitors
of change and can be used to identify the extent to which change is likely to occur as well.
Organizational Contract Violations and Employee Cynicism
Andersson (1996) had a second component of his study that offers insight into individual
needs, motivation, school climate, and has implications for organizational change. In addition to
exploring the meaning and influence of cynicism, Andersson also offered insight into the
relationship between organizational contracts and employee cynicism. Andersson (1996)
defined the various types of contracts explaining that contracts (including psychological and
implied) have been classified on a continuum according to the type of perceived exchange
relationship between the employee and the organization. He explained that on one end of the
continuum are transactional contracts, which are associated with economic exchanges. This
involves agreements regarding the exchange of duties and responsibilities, services for salary,
compensation, reward, or payment. On the other end are relational contracts, which are
associated with social exchanges and involve open-ended, ambiguous, and long-term
interactions.
Andersson (1996) explained the difference between psychological and implied contracts.
The Psychological Contract was defined as a belief in an obligation of reciprocity between and
employee and an organization. When an individual perceives that contributions he or she makes
obligate the organization to reciprocate in some manner, a psychological contract emerges.
Psychological Contracts give employees a feeling of personal control, a perception that they are
able to influence their destiny in the organization because they are part of a contract and thereby
have the ability to choose whether to carry out their obligations. Implied Contracts emerge from
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43
corporate reputation, observation of corporate policies and procedures, and communication
between employees. Whereas Psychological Contracts are highly subjective assumptions of
good faith and trust, existing only in the minds of individuals, Implied Contracts arise from
observed repeated interactions between individuals and organizations.
Andersson (1996) also explained when contract violations occur. Andersson (1996)
argued, “In today’s volatile workplace, organizations often do not uphold their side of the
bargain.” Andersson (1996) outlined various contract violations or inequities that are rooted in
equity theory. Distributive Contracts Violations occur when expected outcomes yielded by the
organization are perceived as unfairly distributed. Procedural Contract Violations arise when
procedures used by the organizations are deemed unfair, such as when an employee with lesser
qualifications is promoted to a desirable position over an employee with strong qualifications.
Interactional Violations occur when the quality of interpersonal treatment rendered by the
organization is poor. When an employee perceives that the organization has failed to meet its
obligations, the Psychological Contract is violated. When contract violations or inequities are
perceived, dissatisfaction resulting in cognitive and behavioral adjustment occurs. This suggests
that employees modify their behaviors when a violation takes place. Contract violations of a
procedural nature lead to negative attitudes toward authorities and institutions. The effects of
contract violations can extend beyond damage to the employee-employer relationship of the
individual involved in the contract. This supports how cynicism can extend to employee in the
organization and can permeate all levels of interaction.
Andersson (1996) concluded that the contemporary workplace provides ample causes for
cynicism among its many participants and argued that three primary determinants in the
development of cynicism are: (a) the formulation of unrealistically high expectations, (b) the
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44
experience of disappointment at failing to meet expectations, and (c) subsequent disillusionment.
Finally, he presents the factors moderating the contract violation-cynicism relationship and lists
three factors in the workplace that might engender perceptions of contract violations and thereby
contribute to employee cynicism. These include: (a) Business environment characteristics, (b)
Organizational characteristics, and (b) Job and role characteristics. Figure 2 provides a diagram
of Andersson’s (1996) framework on contract violation and its relationship to cynicism.

Figure 2 includes the three factors that Andersson (1996) used while investigating workplace
characteristics: (1) Organization characteristics, (2) Job and role characteristics, and (3)
Business environment characteristics. One limitation of this study is that it does an exhaustive
meta-analysis of the literature related to contract violation an cynicism but does provide
conclusive findings based on empirical research. Another limitation is that his review of the
literature was based on organizations in business but did not explore contracts (or the violations
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

45
thereof) in school organizations. This provides an opportunity to extend Andersson’s (1996)
research to school organization to better understand the relationship between leadership, school
cultures, change, and factors that impede change in school environments such as contract
violations. Thus, contract violations might be explored extensively to better understand how it
impedes change in school settings.
Turnley, Bolino, Lester, and Bloodgood (2003) also offered valuable insight into
organizational contracts and emphasized Psychological Contracts. They explained that
Psychological Contracts are an especially important in examining organizational citizenship
behavior (Turnley et al., 2003). When psychological contracts go unfulfilled, employees’
attributions regarding the reasons for the breach play an important role in determining how they
respond (Turnely, et al, 2003). Unintentional psychological contract breach tends to arise from
one of two sources. First, incongruence occurs when the employee and the agent representing the
organization have an honest difference of opinion regarding what the organization is obligated to
provide (Turnley et al. 2003). Second, disruption occurs when the organization is unable to live
up to the promises and commitments made to its employees (Turnley et al. 2003). In many
instances, psychological contract disruption occurs when the organization is experiencing
financial difficulties. On the other hand, there are instances in which organizational
representatives make an intentional decision not to fulfill the terms of an employee’s
psychological contract. Specifically, reneging occurs when the organization is simply unwilling
to live up to the commitments that were made to employees (Turnley et al. 2003). Thus, the
extent to which psychological contracts effect perception, interest, self-efficacy, satisfaction,
cynicism or potential de-motivators depend on these factors.

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Conceptual Framework
The conceptual framework for this study was based on a three-tier model for linking
leadership, culture, and teacher practice change. This framework was designed to support the
study’s intended purpose as articulated in Chapter 1. As presented in Chapter 1, the intent of this
study was to provide insight into how Principals create and manage culture. The purpose of this
study was also to explore the extent to which teachers were likely to change as a result of
leadership practices, the cultural models and settings that were shared among members of the
school, and various workplace conditions.
The conceptual framework drew from the concepts, terms, definitions, models, and
theories of a particular literature (Merriam, 2009). What must be noted is that the conceptual
model is to some extent theoretical in nature but this does not conflict with inductive research.
Merriam (2009) stated, “part of the struggle in identifying a theoretical framework in a
qualitative study is that qualitative research is designed to inductively build rather that to test
concepts, hypotheses, and theories” (p. 64). However, a theoretical model can have a place in
qualitative research in the sense that it provides a structure for how information must be gathered
in order to explore variables set forth in the study in question. The conceptual framework held
the assumption that proper alignment between leadership and school culture norms are necessary
conditions for change to occur. Therefore, this framework served as a theoretical guide
regarding information collected in order to answer the research questions, but no theory was set
forth as to what was to be learned from this study.
The conceptual framework had three central objectives. The first objective was to offer a
model that would provide a basis for the methods proposed in Chapter 3. Second, it would
simplify the complex interrelationships between the key concepts, variables, and ideas set forth
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47
in Chapter 2. The model was designed to simplify various complex interactions in a way that is
more easily understood. The literature in Chapter 2 revealed that the process of creating and
managing culture is a complex process involving sociological, psychological, and organizational
undertaking. Therefore, such a model is necessary to define and make sense of what will be
learned in this study. Finally, the third objective was to build on basic research in ways that can
be applied in the education field. As expressed in Chapter 1, basic research to date had focused
on school culture and performance (Cameron & Freeman, 1991), leadership and school culture
(Childress, Elmore, & Grossman, 2006), and school culture and school climate (Marcoulides &
Heck, 2001), but these studies did not attempt to link these factors together into a coherent
model. This signifies that there was a need for education research to conduct applied research
toward this end. According to Patton (2002), the purpose of applied research is to contribute
knowledge that will help people understand the nature of a problem in order to intervene, thereby
allowing human beings to more effectively control their environment and the conceptual
framework expressed in this sections can contribute toward this end.
The conceptual framework for this study was based on a three-tier model for linking
leadership, culture, and teacher practice change. The unifying component that was linked to the
design of this study is instructional improvement. The following section presents the three tiers
that drove the conceptual framework for this study.
Tier one. The conceptual model begins from the point of leadership and involves three
components which include: the leader’s beliefs (component 1) and two key functions of
leadership, the leader’s focus relating to goal attainment (component 2), and the leader’s
approach (component 3).
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Beliefs and values. An important component of the first tier was the preposition that
leaders are influenced by a set of beliefs and values. For example, leaders have strong beliefs
and values about teaching and instruction. The belief systems that leaders possess influence how
leaders carry out a variety of practices. How leaders enact their beliefs is known as the leader’s
style or approach (Northouse, 2007). For example, leaders have beliefs about their role in
relation to instruction and learning. The first tier of the conceptual framework was designed to
explore what the leader believed about the role of leadership, instructional improvement, and
beliefs about how school culture is created and managed. This included an analysis concerning
what activities and processes the leader believed are necessary to achieve various organizational,
cultural, and instructional aims. An analysis was conducted to learn if the espoused beliefs of the
leader were consistent with the leadership practices that were present in the organization.
Evidence of beliefs and values were found in explicit statements made by the Principal regarding
the purpose of education, her role in the organization, and her beliefs about instruction and
school improvement.
The leader’s focus, goals, and direction. Another key assumption of this conceptual
framework was that leaders focus group processes and they act as the center of group change and
activity (Bass, 1990). In a schooling context, leadership has consistently been defined as a
central function in which the leader sets the direction for what teachers set out to achieve
(Slayton & Mathis, 2010; Leithwood & Riehl, 2005). Slayton and Mathis (2010) argued that the
leader maintains the organization’s identity and an ongoing responsibility to ensure that there is
clarity about who the organization is. Northouse (2007) asserted that leadership involves
influence, occurs in a group context, and involves goal attainment. These authors defined the
function of leadership as one that involves focusing members, setting direction, establishing an
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49
organization’s identity. An essential part of these functions include setting organizational goals
and expectations and establishing measurable outcomes that are meaningfully connected to the
school mission. Schein (1983) argued that leaders create and manage culture. Furthermore,
these essential functions offer reasoning for “what is important to focus on” and have been found
to have a positive impact on learning and are common between successful primary and
secondary schools (Williams, Kirst, Heartl, et al., 2010). For the purpose of this dissertation,
creating and managing culture involves providing focus and direction, and establishing processes
for group interaction. For example, school leaders communicate expectations and direct
attention toward specific academic goals. They set goals related to instruction and select teacher
practices that they would like to see in the classroom. They establish new beliefs systems about
teaching, learning, and the purpose of schooling. School leaders monitor what strategies and
practices teachers use to ensure that expectations are being met. Leadership was analyzed from
this point of view and this study set out to investigate what the Principal did to create and
manage culture with the purpose of improving the instructional practices of teachers. Evidence
of how the Principal created and managed culture were found in the conversations the Principal
had with employees, samples of organizational timelines and materials provided to staff
throughout the year, written teacher evaluation criteria, and statements made by the leader
regarding her priorities and long-term goals. Again, such information was determined by
analyzing the materials and content Principals provided for teachers during staff meetings and
other forms of written or verbal communication between staff members. Teacher statements
regarding their perception of the Principal’s key goals and objectives were also used as evidence.
The leader’s approach. The First Tier of the conceptual framework was also designed to
explore the leadership “processes” that were present in the organization in relation to
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50
instructional improvement. Leadership processes involves the manner in which the leader
establishes processes for “how” goals are to be achieved and realized in the school setting.
Leadership is a process (Northouse, 2007) in which the leaders create and manage culture of an
organization (Schein, 1983). How leaders achieve this looks very different in varied school
settings. Information regarding the leader’s approach can be obtained by analyzing how the
leader interacts with staff members, the types of dialogues and discussions that are held between
them, the manner in which teachers are included in decision making, and the manner in which
the leader motivates and mobilizes people and resources to get things done. Information was
obtained by analyzing teacher perceptions about the leader’s management style, the leader’s
perception of their own style, analyzing the Principal in action when she spoke with parents and
other stakeholders, and analyzing staff meeting procedures and activities that were initiated by
the Principal. Literature regarding various leadership styles and approaches can be analyzed to
speak to the type of leadership approach that is employed by the leader.
Tier two. The Second Tier of the conceptual framework was an evaluation of the
cultural elements that were present in the school and this was designed to analyze culture from
two lenses: cultural dimensions and school culture type. First, an analysis was conducted to
understand the key cultural dimensions that were present in the school. A final analysis of
cultural elements was an exploration of cultural patterns in relation to instructional improvement.
This information provided insight into indicators that were suggestive of the school’s cultural
type.
What must also be noted is that what leaders create and manage in the first tier, through
the Principal’s focus and approach, can be uniquely different from the dominant cultural
elements that are in place in the school setting and are most commonly practice or preferred
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51
among organizational members. Therefore, it was understood that the direction, focus, and
approach put forth by the leader might not necessarily be the mental and bodily routines of the
organizational members. Furthermore, this study’s framework held the assumption that cultural
models and settings (essentially synonymous with mental and bodily routines) occur throughout
each dimension and such information provides insight into any school population being studied.
Cultural dimensions. Also embedded in the Second Tier, was an analysis of eight
cultural dimensions (Detert et al., 2000) and this level set out to explore what dimensions of
culture were most dominant, weak, immerging, declining, or nonexistent. This level of analysis
was expected to offer organized schemas for analyzing culture and was expected to provide
insight into the cultural picture. The following dimensions were considered: (1) what the
organization used as evidence of meaning and the extent to which the school used evidence to
make meaning of the quality of instructional improvement; (2) the long-term and short-term
emphasis related to instruction; (3) the extent to which there was teacher motivation and the
quality of motivation in relation to improving teacher practice; (4) the extent to which the
members of the school community focused on stability of instructional goals and objectives,
encouraged instructional innovation, or emphasized personal instructional growth; (5) the
internal processes in the organization related to instruction; (6) the extent to which organizational
members interacted with one another; (7) The manner in which the mission, vision, and goals
were conceived around instructional improvement; and (8) the organization’s orientation and
focus – whether the school has an internal or external focus on instructional improvement. This
includes whether or not ideas about instruction develop from inside the organization or are
influenced from external factors such as other organizations, board expectations, or outside
pressures. Evidence of these dimensions was sought through statements regarding instructional
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52
strategies for realizing goals and the actions of staff members employed to realize goals as
revealed by organizational agendas. This information was sought in staff meetings, the
Principal’s daily routines, and the types of instruction taking place in the classroom. Evidence of
this was also be found in written expectations, explicit action plans, discussions between staff
members regarding the courses of actions that are agreed upon to solve organization objectives
and problems.
School culture type. A key part of the conceptual framework in the Second Tier includes
an analysis of school culture type. This level of analysis is designed to provide opportunities to
associate what occurs in an organization with a logical schema and to understanding the types of
interactions cultural members engage in related to instruction. Furthermore, this level of analysis
is expected to offer insight regarding the extent to which there appeared to be alignment between
what cultural members believe to be essential to schooling and what the cultural members
actually carry out in practice. This information was discovered by capturing the same forms of
evidence as presented in school culture dimensions including staff meetings, the Principal’s daily
routines, and classroom instruction. This level of analysis held the assumption that capturing
evidence through these means would reveal staff member interactions and common thinking
patterns as measured against four school culture types; adhocracy, clan, political, and
bureaucratic culture types.
Tier three. The Third Tier of the conceptual framework set out to explore whether or
not the conditions that are necessary for change to occur were present.
Smart and St. John (1996) believed that when there is a strong culture “congruence”
organizations are likely to perform better. This part of the framework also drew from the
definition of Smart and St. John (1996) who defined a strong culture as one in which there is
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53
congruence between espoused beliefs and actual practices in relation to instructional
improvement. This is consistent with Elmore’s (2004) reform model that asserted that internal
alignment between accountability, responsibility, and expectations must be present to initiate
change. Based on Elmore’s (2004) model, Expectations are defined as the agreed upon norms,
routines, that are believed to work, that should be put into practice and the agreed upon outcomes
related to teacher practice and instruction. Responsibility is defined as the agreement about what
the job and role of teacher entails. Evidence of this can be found in teacher statements regarding
their work. Accountability refers to how teachers monitor and evaluate their own performance
while accounting for their teaching performance. Accountability is also how teachers give
account to one another regarding the quality of their instruction. The instruments for this study
should allow the researcher to analyze the extent to which there is congruence between
accountability, responsibility, and expectations in relation to the improvement of instruction.
Evidence of this was sought by analyzing any formal and informal policies and practices
regarding teacher supervision and evaluation. Such information can also be revealed in teacher
statements that reveal any internal agreements regarding group-designed expectations.
Statements from the Principal related to expectations, responsibility, and accountability were
also sought to gain insight into this phenomenon.
Although Elmore (2004) did not make the connection between internal accountability
and cultural strength, this study sets out to make this connection. Internal alignment between
Elmore’s (2004) three factors is a form of congruence between espoused beliefs (ways of
thinking) and actual practice (ways of acting). Again, according to Smart and St. John (1996)
congruence is the requisite for his definition of a Strong Culture. Therefore, Elmore’s (2004)
framework is reflective a “Strong Culture.” These factors will be explored with instructional
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54
improvement in mind. Evidence of this was sought by analyzing the Principal’s daily routines,
statements made Principal and staff regarding expectations, responsibility and accountability,
and staff meeting activities in comparison to classroom instruction.
Finally, when implicit contracts are violated this can lead to cynicism (Andersson 1996).
According to Andersson (1996), particular circumstances that violate psychological or implied
contracts can cause inconsistency among work beliefs, feelings, and behaviors, and resulting in
employee cynicism. This sets the stage for three central assumptions that are central to this
conceptual framework regarding what supports or impedes change toward instructional
improvement.
Assumption (1). When contracts (i.e., relational, distributive, and psychological) are
violated basic human needs are not met. This part of the conceptual framework is drawn from
the works of Andersson (1996) and Maslow (1954). According to Maslow (1954) the basic
human needs include safety, affiliation, self-actualization, and achievement. Therefore, teachers
should feel safe making decision related to instructional improvement. Teachers should feel like
they have an opportunity to grow as instructional leaders and have opportunities to do so. In
addition, teachers should feel that they will receive credit and recognition for improving their
instructional practice and making contributions to increase student achievement. Finally,
teachers should feel respected by other members of the school community while believing their
contributions to the instructional community are valued. Therefore, based on this assumption,
the methodology for this study should set out to investigate the extent to which teachers perceive
that their basic needs are met. Evidence of this was acquired through an analysis of teacher
perceptions such as perceptions about the quality of the relationships, the extent to which all
participants felt included in instructional decision-making, and whether or not teachers felt they
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were recognized and appreciated for their contributions.
Assumption (2). Another important part of this framework relied on the assumption that
individuals who have unmet human needs loose motivation to begin, persist, at performing
organizational roles, responsibilities, and endure organizational changes. This part of the
conceptual framework is drawn from Maslow (1954) and Clark and Estes (2002). Teachers’
statements indicating there was a lack of effort to either begin, persist, or complete instructional-
related expectations and responsibilities were sought to acquire insight into this level of analysis.
Assumption (3). A final part of this conceptual framework was the assumption that the
presence of assumptions (1) and (2) present barriers to change. Employees who have unmet
needs are: a) likely to have low levels motivation, b) unlikely to adopt the mental and bodily
routines (Reckwitz, 2002), and c) consequently unlikely to become agents of change. These
conceptions were drawn from the works of Clark and Estes (2002), Maslow (1954), and
Reckwitz (2002). It is important to note that the extent to which basic human needs are met, and
consequently the extent to which contracts are supported or violated, can be explored through an
analysis of workplace conditions. Workplace conditions reveal information about the work place
and offers information regarding school climate that can reveal the extent to which there is
satisfaction, high morale, trust, or a lack thereof. Workplace conditions are essentially what it is
like to work in this place; whether teachers perceive the environment to be satisfying or not,
rewarding or not, equitable or not, and other school climate indicators. In order to confirm
findings as to whether or not teachers were likely to become agents of change due to workplace
conditions, evidence was sought in teacher statements. Teacher statements were scanned to
explore the extent to which they were satisfied with conditions, supportive of organizational
endeavors, trusted members of the organization, and had an optimistic viewpoint regarding the
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56
quality of the relationships, their roles and responsibilities, and the common practices and
policies of the school.
A visual illustration of the conceptual framework is presented in Figure 3.

Summary
This chapter explored various bodies of literature that informed the conceptual
framework for this study. The literature revealed that leadership, culture, teacher practice and
the environment that is necessary for teacher practice change to occur are closely related. It was
established that leaders create and manage culture. Furthermore, organizational culture is
complex, multidimensional, and has an impact on how teachers think, act, and whether or not
they are likely to adapt and change to ongoing organizational expectations, responsibilities, and
demands. Finally, organizations can also impede change when various contracts are violated and
basic human needs are unmet. Chapter 3 will present the methodology for this study.
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57
Chapter Three: Methodology
This chapter will describe the study’s design, sample and population, instrumentation,
data collection and data analysis process. The methodology for this dissertation was designed to
support the study’s purpose as expressed in Chapter 1 and is based on the conceptual framework
described in Chapter 2.
The following research questions guided my study:
1. In what ways do school leaders shape school culture around instructional improvement?
a. What are the leader’s beliefs, points of focus, and leadership approach?
b. How does the leader’s beliefs, points of focus, and approach interact with one
another to influence instructional improvement on a school level?
c. What are the school culture elements in relation to instructional improvement?
d. What cultural patterns are indicative of the school’s cultural type?
2. To what extent is the school culture likely to influence teachers’ willingness to improve
their teaching practice?
a. To what extent are the elements of change present in relation to instructional
improvement?
b. In what ways are the school’s workplace conditions likely to support or impede
teachers’ willingness to improve their practice?
c. To what extent are various contracts likely to be sustained or violated?

Research Design

This study utilized a qualitative case study design (Creswell, 2007). The design of this
study was intended to explore a single unit or bounded system and offer rich and illuminative
information regarding the phenomenon of interest (Patton, 2002). No controls were used
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throughout the study; rather inquiry unfolded in a naturalistic setting and no predetermined
course was established beforehand (Patton, 2002). Multiple sources of information were used to
gather a comprehensive perspective of the phenomenon in question. Merriam (2009) added that
case studies have an in depth focus, provide a thick descriptions of the phenomenon under study,
and offers readers a deeper meaning of what is being explored.
While there are many different variations of case study designs that may include either
single or multiple cases, it was determined that investigating a single case best suited the purpose
of this study. A single case study method was selected for one key reason. The nature of the
research questions required a more complex analysis of interrelated components and this is best
achieved by honing in on a single case. As presented in Chapter 1, the topic of this study is not
based on one single factor, but is an interdisciplinary exploration of three interrelated foci -
leadership, culture, and change. The literature and conceptual framework revealed that these foci
are linked in various ways. For example, leadership is a process and can have implications for
what cultural dimensions are present in a school setting. What is present in a school culture can
reveal the extent to which there are indicators of change. In order to effectively explore these
complex relationships, it requires a more scrupulous examination of the components the three
foci have in common. Therefore, the single case study design created the opportunity to
carefully focus in on the key components involved. This is consistent with Merriam (2009) who
argued that the case study offers a means of investigating complex social units consisting of
multiple components of potential importance in understanding a phenomenon” (p. 50).

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Site Selection Criteria
A purposeful sampling technique was utilized to guide the process for selecting the case
study participant. According to Patton (2002) “the logic and power of purposeful sampling lies
in selecting information-rich cases for study in depth” (p. 230). Merriam (2009) wrote that
purposeful sampling first determines what selection criteria are essential in choosing the site to
be studied. Based on this context, the following criteria were used during the selection process.
Criteria 1. The school had to be a public charter school. This supports the study’s
intended purpose as expressed in Chapter 1. The charter school movement is a relatively new
movement in comparison to the establishment of district schools and the federal government has
played an increasingly important role in supporting their growth (Gleason, Clark, Tuttle,
Dwoyer, & Silverberg, 2010). Edwards, Barrondess, Perry, and Crane (2009), suggest that
charter schools are likely to remain a high profile reform initiative, yet it is unclear under what
conditions charter schools achieve what school improvement legislation intended to accomplish.
Therefore, investigating how charter schools operate can give meaningful insight into the
processes, cultural qualities, and change elements that are present in charter school settings.
Criteria 2. The participating school had to have been in operation for at least four years
minimum, eight years maximum. This criterion established the expectation that the school had
to have operated for a significant period of time, was likely to have a stable Principal in place,
and was likely to have developed a culture specific and unique to itself and a system of
consistent routines and practices.
Criteria 3. Finally, this study holds the assumption that any charter school setting might
provide unique insight into the research questions. While it is commonly known that charter
schools serve different populations of students, range in size, and serve elementary, middle
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school, or high school populations, it was determined that the level of the charter school was less
important than what the school leader does to influence the culture and instruction in any given
setting. As a result, it was established that a participating school could be selected because it
offered as much variation as possible in understanding how culture is created and managed.
Therefore, maximum variation sampling strategy was also an intended purpose of the selection
process.
Based on the criteria established above, one charter school (N=1) was selected to
participate in this study. It was based on this context that Hillcrest Elementary was selected to
participate in my study.
5

Participant Selection
Participants were selected using a purposeful sampling technique. According to Merriam
(2009) selection criteria must be established prior to sampling within a given case. This study
intended to investigate leadership practices, school culture dimensions, and the elements of
change. This could only have been achieved by investigating administrators and teachers within
the bounded system; each of them serving as a subunit within the bounded system.
It was also important that the sample of participants were representative of the entire
school system. That way a valid case could be made to draw conclusions about what the data
meant for the entire school system at Hillcrest Elementary. Therefore, a maximum variation
sampling technique was essential to this study in that a more accurate account of the school
system could be comprehended with 100% participation. Based on this context, the following
criteria were used to select a sample of participants at Hillcrest Elementary:

5
A full description of the school is provided at the beginning of Chapter 4 along with the findings for this particular
case.
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1. A teacher and or administrator at the school for at least the majority of the school
year.
2. A person who could provide insight into the leadership practices of the school leader
and school culture.
3. A regular participant in staff meeting related to instruction.
Instrumentation
As presented at the conclusion of Chapter 2, the conceptual framework for this study was
based on the works of Schein (1983), Detert, Schoeder, and Muriel (2000), Elmore (2004),
Andersson (1996), Maslow (1954) and Reckwitz (1996). These authors were paramount to the
formulation of the methodology and instrumentation. According to Merriam (2009) the primary
investigator serves as the primary data collection instrument in qualitative research. As the
primary investigator, and in fulfillment of the purpose of this dissertation, four units of analysis
served as the primary basis for analyzing and interpreting the interactions within Hillcrest
Academy as a uniquely bounded organizational and socio-cultural system. According to
Merriam (2009) whether or not a bit of information becomes data in a study depends solely on
the interest and perspective of the investigator. These units of analysis constituted what qualified
as “data” and were distinguishable from the collection strategies that were used to gather
information.
The first line of inquiry was to explore the beliefs and values of the school principal. An
essential part of the conceptual framework is that what leaders do in school settings is influenced
by what they believe to be vital to the role of leadership in the schooling context.
The second line of inquiry was leadership practices in regard to the leader’s focus,
direction, and approach. This line of inquiry was designed to support the research question “In
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what ways do school leaders shape school culture?” According to Schein (1983), leaders create
and manage school culture. Thus, data was collected that offered insight into “process”
knowledge. According to McEwan and McEwan (2003), process questions are common in
qualitative research. They argued that qualitative research cannot provide every answer you
need to carry out a successful implementation, but it offers a variety of explanations for the how-
does-it-work question.
The third line of inquiry was an investigation of “cultural elements” that were present in
the school. This included the cultural models and settings as well as the cultural dimensions that
were present in the school. This information was expected to provide both “factual” and
“conceptual” knowledge regarding the cultural attributes that were present as exemplified by
employee perceptions and observable accounts of cultural routines. It was expected that the data
would also reveal the “quality” and “nature” of how the cultural dynamics played out in practice
through the lens of eight cultural dimensions presented by Detert et al. (2000): (1) the basis of
truth and reality, (2) the nature of time, (3) cultural motivation, (4) stability versus
change/innovation/personal growth, (5) orientation to work and coworkers, (6) isolation versus
collaboration, (7) degree control and responsibility, and 8) internal or external orientation and
focus. Therefore, interview, observation, and document analysis results were expected to offer
descriptive knowledge of what cultural dimensions and characteristics were most dominant,
weak, essential, impactful, and non-existent in relation to the eight elements presented in this
section.
The fourth line of inquiry examined the extent to which teachers were likely to improve
their teaching practices. The fourth line of inquiry included two parts: the extent to which
elements of change are present and the extent to which teachers are likely to change in
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consideration of various workplace conditions. The “elements of change” were concepts
established by Elmore’s (2004) reform model that asserted that internal alignment between
accountability, responsibility, and expectations must be present to initiate change. Therefore, an
extended analysis of the data instruments were designed to investigate the extent to which
accountability, responsibility, and expectations were in alignment and also provided descriptions
regarding the unique qualities these three indicators.
As explained previously, the second part of the fourth line of inquiry for this study
involved “employee workplace conditions.” According to Andersson (1996), particular
circumstances that violate psychological or implied contracts can cause inconsistency among
work beliefs, feelings, and behaviors, resulting in employee cynicism. Thus, workplace
conditions were examined to reveal whether or not employees perceived various types contracts
(distributive, relational, psychological) were upheld or violated. Furthermore, the nature of
various contracts was expected to reveal the extent to which workplace conditions support or
impede change. For example, a central argument of the Andersson’s (1996) framework was that
the presence of poor distributive, procedural, and interactional moderators can result in contract
violations and lead to employee cynicism. This line of inquiry was intended to capture teacher
perceptions regarding workplace conditions. For example, this would include exploring whether
or not teachers felt there were fair employment and dismissal practices, fair compensation
policies, and the extent they believed the organization promoted overall fairness. These examples
are specific to distributive contracts as presented in the conceptual framework. Perceptions of
organization procedures also apply to this level of analysis and represent procedural contracts.
For example, the extent to which there is perceived to be poor communication, limited voice
expression among staff, and managerial incompetency all represent procedural matters and
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consequently perceptions of procedural obligations and contracts. However, this line of inquiry
was careful not to assume that a school setting will only reveal conditions that have negative
implications. Interview and observation data was designed and collected carefully and was open
to the possibility opposite end of this continuum might be present. Thus, this study’s design was
open to the fact that school conditions might also reaffirm “contract obligations” and thus
promote efforts toward change. These factors were considered with Andersson’s (1996)
framework in mind.
Three strategies were used to collect data to support this study’s design; interviews,
observations, and documents/artifacts analysis. According to Yin (2009) the use of interviews is
a common strategy in case study research. Observations supplement the data acquired through
interviews. According to Yin (2009) case studies create opportunities for direct observations to
take place and information regarding organizational behaviors or environmental conditions are
readily available for analysis. In case study settings, observations take place where the
phenomenon of interest occurs naturally (Merriam, 2009). According to Yin (2009),
“documentary information is likely to be relevant to every case study topic” (p. 101). Yin (2009)
also stated, “this type of information can take many forms and should be the object of explicit
data collection plans” (p. 101). All three data collection strategies were designed to complement
one another and such triangulation was necessary to ensure that this study established reliable
and valid conclusions (Patton, 2008). Therefore, all three data collection strategies (interviews,
observations and documents analysis) were designed to analyze the research questions and the
key lines of inquiry in depth as identified in conceptual framework in Chapter 2.

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Data Collection Procedures
As presented earlier, this study utilized a qualitative case study design. The intent of the
primary investigator was to explore four lines of inquiry. It was argued that the four lines of
inquiry were informed by the conceptual framework in Chapter 2 and were the specific
components considered to be the “data” that was relevant to the research questions. Data
collection began in the month of January and information was gathered from multiple sources of
information and collection took place over the course of eight weeks. The following sections
outline the procedures that were utilized in the data collection process.
Principal and teacher interviews. Interviews began in the month of January.
According to Merriam (2009), "Good interview questions are those that are open-ended and
yield descriptive data, even stories about the phenomenon" (p. 99) and "...and neither the exact
wording nor the order of the questions is determined ahead of time" (p. 90). Based on this
approach the primary investigator used semi-structured interview questions that included a set of
more or less structured questions and that were pre-established before hand (Merriam, 2009).
The Principal was interviewed first. The Principal’s interview was followed by interviews of
five teachers. Each interview was 30-40 minutes in length. Interviews took place at the
interviewee’s convenience and in a private location of his or her choosing. Six types of
interview questions were asked. This included experience and behavior questions, opinion and
value questions, knowledge questions pertaining to leadership practices and the organizational
practices, background questions regarding the cultural history of the school, ideal position
questions, and interpretive questions (Merriam, 2009). In support of this study’s conceptual
framework, questions were designed to take an ethnographic and constructivist interview
approach. All interviews were audio taped and later transcribed. Member checks were
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conducted to increase validity. Finally, at the completion of each interview the researcher wrote
summaries and reflective notes that included ideas, interpretations, recollections, and thoughts
that followed the interview.
Direct observations. Observations were held following all interviews. This consisted of
5 classroom observations, the observation of two staff meetings, and a direct observation of the
School Director for one full day by utilizing the shadowing technique.
Classroom observations. The objective of classroom observations was to collect data
that was relevant to the conceptual framework presented in Chapter 2. During classroom
observations, the research sought instructional routines and observable patterns across all
classrooms in relation to instruction. The following information was sought out during
classroom observations. The instructional focus and the methods used during instruction,
curriculum and teaching/learning resources that are used during instruction, teachers dialogue
and language used in the classroom. Furthermore, classroom observations were expected to
expand the opportunity to view classroom artifacts and any patterns related to instruction were
present in various classrooms. However, observation data was not limited to these criteria. Any
information that could be gathered that might provide greater insight into the bounded system
was considered useful and consequently valid data for understanding the cultural models and
settings that were present in the school. Such information also provided evidence as to whether
teachers carried out mental and bodily routines that the Principal set out to create and manage
and the shared expectations among cultural members.
Shadowing. The researcher also shadowed the Principal for an entire school day. This
observation was conducted to analyze the Principal’s leadership practices. The intent of this
observation was to identify interactions that would reveal the leader’s beliefs, values, focus,
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style, and approach in relation to instruction and the extent to which the leader focused on
instructional improvement. The following information was sought while shadowing the
Principal: (1) explicit statements that were perceived to be symbolic of the leader’s beliefs about
instruction, (2) vocalized expectations regarding teacher practice, (3) indicators of employee
accountability such as emphasis on results, learning outcomes, improvement of teaching
practices, high quality instruction, (4) the leader’s reference to mission, vision, goals, and
philosophy, and (5) the Leader’s communication style and dialogues with teachers and staff. The
researcher also used several opportunities to engage the Principal in informal discussions about
leadership, instruction, and school improvement throughout the shadowing session to better
answer the research questions.
Staff meeting observations. Two observations of staff meetings were also conducted to
draw insight into the cultural models and settings as well as leadership beliefs, creating and
managing culture, and the extent to which the elements of change could be observed. The
following information was sought during staff meeting observations: (1) explicit statements that
were perceived to be symbolic of the leader’s beliefs about instruction, (2) vocalized
expectations regarding teacher practice, (3) indicators of employee accountability such as
emphasis on results, learning outcomes, improvement of teaching practice, high quality
instruction, (4) the leader’s reference to mission, vision, goals, and philosophy, and (5) any
information that might reveal the dominant cultural dimensions that were present in the school.
This included but was not limited to an evaluation of the dimensions presented in the conceptual
framework such as employee interactions, the school orientation and focus, the basis for reality
and truth, instructional emphases, and the extent to which there was collaboration between
members and the manners in which the engaged in the work of schooling. Again, it was
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expected that staff meeting observations would reveal the “ways of thinking” and “way of
acting” in the organization because the Principal and teachers were seen holding discussions
about instruction as well as engaging in preferred activities around instruction. Observable
dialogues between employees also served as indicators of what was culturally unique in the case
being studied.
Document and artifacts analysis. Following each interview, staff members were asked
to provide any documents that may provide insight into the culture of the school. Documents and
artifacts were collected in the month of January. The following documents and artifacts were
also collected: the school charter, WASC goals, rubrics, data evaluation handouts and resources,
school-wide goals, the school Expected School-Wide Learning Results (ESLR’s), formal and
informal observation template, professional development calendar and meeting agendas, and
materials passed out during staff meetings during the present school year and the previous year.
Pictures of classroom artifacts were also taken if any visible items were found to be common
among various classrooms. This included snapshots of any posters, banners, rubrics, slogans, or
any artifacts that were common in multiple classrooms. Pictures of students of human subjects,
staff, or students were not collected during this study.
Data Analysis Procedures

According to Patton (2002), “there is no dominant approach or formula that exists for
qualitative data analysis” (p. 432). The challenge of qualitative analysis lies in making sense of
massive amounts of data. “This involves reducing the volume of raw information, sifting trivia
from significance, identifying patterns, and constructing a framework for communicating the
essence of what the data reveal.” (p. 432).
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The data analysis phase took place over the course of nine months. According to Patton
(2002), the analysis process is tied to the study’s purpose and the audience the research is trying
to reach. The intent of this study was to engage in applied research that would be beneficial to
researchers and education practitioners that might give insight into school reform and can be
usefully applied in school settings. Patton (2002) states that rigor, direction, and procedures of
analysis will vary depending on the type of research questions that are set forth. Data was
analyzed from the scope of the Three Tier Model and multiple data sweeps were conducted for
each line of inquiry as presented in the conceptual framework. Furthermore, the data was
analyzed with the audience in mind and with the purpose of exploring how leadership is created
and managed, understanding cultural indicators for classifying cultural phenomenon, and
identifying indicators promote and inhibit change.
Patton (2002) also added that “the human factor is the great strength and the fundamental
weakness of qualitative inquiry and analysis; a scientific two-edged sword (p. 433). To ensure
validity and reliability and maintain a commitment to scientific pragmatism, this study will
utilize the data analysis approach as presented by Patton (2002). The analysis process will
involve the following three phases: 1) Organizing and Coding Data, 2) Interpretation, and 3)
Reporting. The segmenting and metadata techniques were used during the observation and
coding phase. First, the data was organized into an excel spreadsheet with the data source
(instrumentation results) and the data was arranged vertically and the research questions were
arranged by row. This approach is consistent with Patton’s (2002) argument that segmenting
involves “any analytical archives that can be directly mapped into text or other digitized objects
are classified as a segmenting activity” (p. 446). When applying the metadata technique, data
was used to explain data. This approach is consistent with Patton (2002) who argued that
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metadata activities entail the creation of data and encompasses all symbolic representations of
information and meaning (p. 446). Data was also highlighted and color-coded in order to
identify common terminology, patterns, and trends.
Finally, the interpretation phase involved adding comments in the right-most column in
order to summarize and aggregate data, search for patterns, summarize findings, and explain the
significance of the results. Thus, the researcher used the inductive analytical approach
throughout the interpretation process. According to Patton “inductive analysis and creative
synthesis consists of the immersion in the details and specifics of the data to discover important
patterns, themes, and interrelationships; begins by exploring, then confirming, guided by
analytical principals rather than rules; and ends with a creative synthesis” (p. 41). Finally,
multiple data sweeps were applied in order to be fully immersed in the data.
The purpose of this chapter was to describe the study’s design, sample selection,
instrumentation, data collection and data analysis process. Chapter 4 will present the results of
this study.
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Chapter Four: Findings
The purpose of this dissertation was to explore the relationship between leadership,
culture, and teacher practice change. As expressed in Chapter 1, a number of studies have
explored the relationships between one or two of these factors, but no study to date has explored
the connection between all three of these factors or offered a basic research model for exploring
how these factors interact with one another. Two overarching research questions were
established to explore these relationships: (1) In what ways do school leaders shape school
culture around instruction, and (2) To what extent does the school culture that is present likely to
lead to instructional improvement? Furthermore, these questions were intended to offer a better
understanding of “how” a particular system functions as a whole and “why” it functions as it
does.
These questions were explored through qualitative means and included the use of
interviews, observations, and document analysis. The information was triangulated and
analyzed, and the findings offered a rich portrait of the case in question. The purpose of this
chapter is to present the findings for this study. The case and sample of participants are
presented first. The findings for each research question are then discussed in detail.
The Case
Hillcrest Elementary is an independent direct funded charter school that is located within
the Mission Unified School District. The school began operations in 2007 and enrolled students
in grades K and 1. Each subsequent year the school added one grade level with modest
enrollment numbers. In the 2008-2009 school year, Hillcrest enrolled 42 students of which only
9 students were eligible for state testing in grade two. In the 2009-2010 school year 71 students
were enrolled in Hillcrest with 29 students eligible for testing in the 2
nd
and 3
rd
grades.
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In 2011-2012, the school was in its fifth year of operation. The student population
consisted of 105 students in grades K-5 with demographic composition of 85% African
American, 14% Latino, and 2% other. In addition, 54% of the students were male and 46% were
female. Ten (10%) percent of the student population was designated as English learners, 24%
qualified for free and reduced price meals, 0% percent were designated as gifted and talented or
this information was not reported, and no information was found as to the number of students
that were designated as having disabilities.
The school’s API score for the 2011-2012 school year was 910. However, only 63
students tested during the 2011-2012 school year because they were eligible in grades 2 through
5. With an API score of 910, this accounted for a 30-point increase with a base score of 890 in
the previous school year. In the 2011-12 academic year, Hillcrest sought re-authorization to
operate for another five-year term. Hillcrest Elementary plans to add a grade level each year
until they reach a target grade span of kindergarten through eighth grade. The charter school
anticipates reaching a target number of 180 students when the school completes its roll out
process and has a class for each grade level.
Hillcrest Elementary was a special case of interest because it was a relatively young
organization and had a unique set of circumstances. The school’s original founder was also the
lead administrator of the school at present. This required her to serve as both the executive
administrator and the instructional leader simultaneously. This unique arrangement and set of
circumstances created an opportunity to draw connections to what Schein (1983) explored in a
earlier study. Schein (1983) was interested in how the founders of organizations created the
cultures they envisioned as articulated by the organizational mission and vision and how those
cultures were transferred to cultural members. As expressed in a previous chapter, this level of
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analysis is difficult to explore in traditional schools where their histories date back several
decades and cannot be traced back to their original founders. However, in the case of Hillcrest
Elementary this appeared to be possible and could offer even richer insight into the research
questions.
Participants
Hillcrest Elementary was composed of 17 staff members. This consisted of the school
director, six teachers, a part-time physical education teacher and nine classified staff members.
Of the 17 staff members who worked at Hillcrest, six (6) key informants participated in this
study. The key informants included the school director and five teachers. Therefore, six out of
seven certificated staff members were sampled and fit the selection criteria established in
Chapter 3. While the intent was to obtain 100% participation of the teachers at Hillcrest
Elementary, one teacher was on extended leave at the time of the study. Each participant served
as a key sub-unit enabling me to explore the perceptions and interactions of members within the
bounded system and offered information until the point of saturation was met. Furthermore, the
information obtained offered a rich portrait of the relationship between leadership, culture, and
change and their influence on the instructional practices at Hillcrest Elementary as a whole. The
next section presents the findings for research question 1.
Tier I Findings
This section set out to explore the following research question (RQ1); In what ways does
the school leader shape school culture around instructional improvement? The data revealed that
the principal created and managed culture by first establishing a clear vision that was linked to
her beliefs, identifying a few skill sets that were connected to the vision, and engaging teachers
as learners [and partners] while utilizing an approach that aligned to characteristics associated
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with transformational leadership. Furthermore, the principal built cohesion by empowering
teachers and facilitating opportunities for collaboration around selected skill sets. The findings
suggested that the level of cohesion, teacher empowerment, and opportunities for collaboration
around skills sets increased teacher capacity and thus socialized teachers around routine
practices.
In order to answer the first overarching research question RQ1, key components sub-
questions were explored and analyzed. The following questions served as sub-questions that
were designed to explore RQ1: (a) What are the leader’s beliefs, points of focus, and
approach?; (b) How do these factors interact with one another to influence instructional
improvement on a school level?; (c) What are the cultural dimensions that are present in the
school in relation to instructional improvement?; and (d) What cultural patterns are indicative
of the school’s cultural type? This allowed the opportunity to develop a more comprehensive
understanding of the components and themes that were involved as they relate to leadership and
culture. Throughout the analysis process several difficult questions arose. For example, one
question arose as to whether or not separating leadership phenomenon from cultural factors was
an artificial endeavor? However, to grasp a more meaningful understanding of the phenomenon
involved, it was important to understand factors that are influential in part and later synthesize
their meaning in relation to one another. Therefore, various themes were explored under each
sub-question and the discoveries were later brought back together again to explore how they
interacted with one another to add greater meaning to Hillcrest as a bounded system.
The following sections present the findings that form the basis for drawing conclusions
for Research Question 1. In the next section, Tier I findings are presented first. Next, the
findings for Tier II, which explored the cultural elements of the school, are discussed. These two
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lines of inquiry offer insight as to how Tier I and Tier II findings overlap. More specifically, the
findings offered insight as to whether or not evidence suggested there was consistency between
what the Principal espoused and what cultural members perceived to be put into practice by the
leader. The data obtained through these two lines of inquiry served as the building blocks that
formed the basis for the summary of findings presented.

The leader’s beliefs, focus, and approach. The first line of inquiry was designed to
give insight into school factors beginning from the point of leadership. The leader’s beliefs,
focus, and approach as they related to instruction were explored, as well as how they influenced
school culture in relation to instructional improvement. This section was intended not only to
explore perception and what was determined to be important by the leader but also the practices
of the principal in relation to instruction. The aims of these research questions were to explore in
what ways school leaders create and manage culture. As presented in the conceptual framework,
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the process of creating and managing is influenced by the leader’s beliefs, focus, and approach.
Interview and observational data presented a clear portrait of how the Principal created and
managed culture as defined by this study. The data revealed that the Principal had two central
beliefs. First, the principal believed that her role involved equipping teachers with specific skill
sets, and building capacity among teachers to teach foundational skills well. Second, the
Principal held the belief that teachers must understand the importance of literacy and language
skills, and must be adequately supported to effectively teach literacy and language skills that
were believed to be necessary for academic development.
Data also revealed that the principal focused teacher learning around five curricular skill
sets: (a) writing strategies, (b) oral language development, (c) linguistic strategies, and (d)
reading comprehension strategies. Finally, the principal’s practice aligned with elements that
are characteristic of the transformational leadership approach in order to realize school goals
and the principal embodied a leadership style that reflected the Mentor/Facilitator leadership
style. The following section will discuss the themes that emerged from the data regarding how
the leader set out to create and manage culture in Hillcrest Elementary. Beliefs, Focus, Style and
Approach are discussed separately to obtain a better understanding of the leadership factors that
are presented at Hillcrest.
Leadership beliefs. Interview data revealed that the Principal had two central beliefs
related to instructional improvement. First, the principal believed that her role involved
equipping teachers with the skills and capacity to teach foundational skills well. Second, she
held the belief that teachers must be supported to enable them to understand the importance of
and effectively teach necessary literacy and language skills that are necessary for academic
development. The findings are discussed in the following section.
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Theme 1: Effective teacher development involves enabling teachers to teach foundational
skills. The first theme that emerged from the data was that the Principal believed effective
teacher development involves enabling teachers to effectively teach foundational skills. For
example, when asked what she believed to be her role in relation to instruction, she stated,
Well, I consider myself both the administrative leader and the curriculum leader,
and so I take both of those roles very seriously. I am the curriculum leader here,
and so I kind of guide the instruction and give the teachers the tools and
information that they need to be effective teachers (personal communication,
February 27, 2012).

Here, Ms. Anderson, expressed that she believed her role was that of “curriculum leader” and
was to “guide the instruction” and “give teachers the tools and information they need to be
effective.”
Another statement served as an indicator of what she perceived to be effective
instruction. This was reflected in her explanation of her teaching style. When asked to share
what she perceived to be her teaching style, the Principal [Ms. Anderson] stated, “Traditional.
I’m more of a traditional teacher, back to the basics, learning foundational skills and making sure
that kids have the information that they need to be successful in all areas” (personal
communication, February 27, 2012). Ms. Anderson indicated that she has a traditional approach
to teaching. Emphasis is added on the fact that she perceived this to be the case in the present
tense. This signified that she still maintained this belief system and that her traditional approach
still held significance as an instructional leader.
When asked how she came to found Hillcrest Elementary, she explained:
I started the charter school because when I was teaching in the middle school I found that
a lot of kids were coming to me, reading and operating well below grade level. I could
see that they had a lot of potential. It was just that somewhere along the way they had not
been educated, and so it was very frustrating (personal communication, February 27,
2012).

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This indicated that Ms. Anderson was inspired to open the school to address the needs of
students below grade level.
When elaborating on her motives for opening the charter she further explained, “I kind of
felt like I could do this. If I could open an elementary school I could give kids that strong
foundation that they need” (personal communication, February 27, 2012). This suggested that
she believed that addressing the needs of students below grade level can be resolved by
providing a “strong foundation” and because she believed that this was “not happening” it
inspired her to open the school. Ms. Anderson believed that giving kids “a strong foundation”
was central to her beliefs about schooling and was key to the mission of Hillcrest.
Thus, when considering her role to “guide instruction” and her focus on “teaching the
basics” and providing a “strong foundation” through the “traditional” approach, it can be implied
that her role to guide the instruction at Hillcrest involved enabling teachers to have the “skills,”
“tools,” and “information” that is necessary to provide a strong foundation. Based on this
discovery, it can be said that she believed that her role involved providing teachers with the
professional development that enabled them to focus and refocus on key sets of foundational
skills and enable them to teach these skills sets well.
According to Ms. Anderson, providing a strong foundation would have future
implications for students. Ms. Anderson stated, “By the time they [students] got to middle
school and high school they would be self-sufficient, confident and be able to operate at a high
level and be successful, and that’s what we’re doing here” (personal communication, February
27, 2012). This indicated that a “strong foundation” was believed to be necessary to enable
students to be “self sufficient, confident and able to operate at a high level” as they move on to
secondary schooling. This also suggested that she believed teachers were teaching the necessary
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skills that were necessary to enable students to operate at a high level. This also indicated that
she believed teachers had the tools and information that were necessary to achieve these aims.
Theme 2: Teacher development should enable teachers to effectively teach academic
language. The second theme the emerged from the data was that the Principal believed teacher
development should enable teachers to effectively teach academic language. For example, the
Principal stated,
We’re all making sure that the students have that foundation in the English language
through morphology, phonology and things like that. Also one of the things that we do is
we make sure that the students know what they know. We have a really strong emphasis
on academic language… I think part of the holes in education come from the students not
knowing what they know (personal communication, February 27, 2012).

She further explained:
I think with every content subject area it’s about language. Even with the math, kids
have a really hard time with word problems. We’re kind of taking all that out with the
linguistic instruction because we are giving them the vocabulary they need, but also
we’re making them become thinkers (personal communication, February 27, 2012).

This indicated that Ms. Anderson believed that instruction at Hillcrest involved addressing
academic language.
What is key to note is that Ms. Anderson was the founder of Hillcrest Elementary and she
expressed that her role was that of “curriculum leader.” The fact that she indicated that
“language” was important to the school suggested that she believed this to be a key component
of the mission of Hillcrest. This also suggested that she held the belief as the “instructional
leader” teachers must develop skills that enable then to effectively teach academic language.
This furthermore suggested that Hillcrest teachers were expected to develop in ways that enabled
them to understand the importance of academic language and provide instruction in ways that
enable students to “know what they know.”
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Leadership focus. As presented in my conceptual framework, the leader’s focus is also a
key function of creating and managing culture. According to my conceptual framework, the
definition of focus involves setting the direction and involves goal attainment. Based on the data
collected through interviews, observations, and document analysis there was significant evidence
that suggested Ms. Anderson focused on four (4) curricular goals as the direction for teacher
development and that were key to her vision of how Hillcrest’s would achieve its organizational
goals. This included professional development around (a) teaching writing strategies, (b)
teaching reading comprehension strategies, (c) teaching academic language development through
linguistic means, and (d) teaching oral language development.
Theme 1: The leader focused on writing strategies. Based on interview data, the
Principal focused and set the direction for professional learning around writing strategies. For
example, when the Principal was asked what she focused on she acknowledged:
Well, this is the year I really focused on making sure the students are writing in complete
sentences, but also with the five paragraph essay we’ve created the recipe that teachers
have to follow, so that’s a big thing. We’ve been doing the five-paragraph essay, but this
year I’m really honing in on—the kids have to know the recipe to the five paragraph
essay (personal communication, February 27, 2012).

This indicated that the Principal set the direction for teachers to enable students to “know the
recipe” for writing a five paragraph essay. Also according to Ms. Anderson, “They [students]
should be able to tell you what they’re missing from their essay.” This suggested that Ms.
Anderson established the objective that students should know the key components of the writing
process and evaluate whether or not they have included the key components in their finish
product. This also suggested that Ms. Anderson set the expectation that students should become
self-directed and evaluate their own progress in the writing process by evaluating their own
work. School documents and artifacts also supported this finding where staff development
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agenda items, teacher handouts, teaching tool were found to emphasize essay writing and the key
components of the writing process.
Ms. Anderson’s statement also suggested that she maty have set the direction to ensure
that there was a common thread at all grade levels pertaining to writing instruction. Ms.
Anderson also explained:
Our kindergarten teachers, when we talk about the five paragraph essay they’re in on it.
They know what they need to do because if they didn’t do the paragraph—the
kindergarten and first grade, they start off with paragraphing, but they still give that same
structure with the introduction, three supporting sentences and then a conclusion. They
know that they have to make sure the students know those things so that the second, third
grade teachers can do what they need to do to get them to master the five paragraph
essay. It’s just a common thread through everything (personal communication, February
27, 2012).

This indicated that Ms. Anderson set the direction to focus on writing at all grade levels. While
different grade levels focused on different aspects of writing, they were all expected to include
writing practices that were consistent across at all levels and that were built on concepts that
were addressed at lower levels. Ms. Anderson called this level of consistency “a common
thread.”
Theme 2: The leader focused on reading comprehension strategies. Based on interview
data, the Principal focused and set the direction for instruction around reading comprehension
strategies. For example, according to Ms. Anderson, “I started the charter school because when I
was teaching in middle school I found that a lot of kids were coming to me, reading and
operating well below grade level” (personal communication, February 27, 2012).
Ms. Anderson’s statement expressed one of her key motives for starting the charter
school. According to Ms. Anderson, Hillcrest was started because she noticed that students were
performing “below grade level” in “middle school” when she was a middle school teacher. She
attributes this to students “reading” levels. It can be implied that Ms. Anderson believed that by
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opening the school, Hillcrest could offer an education that would provide students with the
reading skills that would enable them to operate at or above grade level when they reach middle
school. This represented the expression of a central focus of Hillcrest Elementary.
Another statement by Ms. Anderson also confirmed the significance of reading
comprehension at Hillcrest:
We have a really strong emphasis on academic language, so even when we’re teaching
reading and comprehension, we are teaching them about the questions that they’re
answering. They know if the teacher asks them an inferential question the student knows
they are answering an inferential question. I’m answering an analysis question (personal
communication, February 27, 2012).

In this statement, the Principal again mentioned “reading” and “comprehension” and this
suggested that “reading comprehension” at Hillcrest involved addressing reading by “teaching
them [students] about the questions they’re answering” (personal communication, February 27,
2012). This statement also provided one example of how this takes place as indicated in the
Principal’s example of using the “inferential question.” Ms. Anderson also explained, based on
her perception, that Hillcrest teachers “utilize a four levels of questioning strategy when teaching
reading comprehension that involves students being taught to understand the differences between
literal, inferential, analytical, and hypothetical questions” (personal communication, date).
These statements indicated that reading comprehension was a key focus of Ms. Anderson. This
furthermore indicated that reading comprehension was central to the vision of Hillcrest and
served a key motive of founding the school. She expressed that this involveed teaching students
to understand that types of questions that students might encounter when analyzing a reading
passage. These findings implied that if teachers were expected to implement these practices
throughout daily lessons, then it required teachers to know and understand how to provide the
type of instruction that adequately addressed this instructional objective. Therefore, reading
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comprehension can be said to be a key focus of staff development. These findings were also
confirmed by observations where teachers were found to emphasize reading comprehension and
levels of questioning. Documents also supported this finding as artifacts of levels of questioning
were found to be present in all classrooms.
Theme 3: The leader focused on linguistic strategies. Based on interview data, the
Principal focused and set the direction for professional learning around linguistic strategies. For
example, according to Ms. Anderson, “We all focus on linguistics” (personal communication,
February 27, 2012). She also stated, “We’re all making sure that the students have that
foundation in the English language through morphology, phonology and things like that.” When
asked to elaborate on what she meant by Linguistics, she stated:
Also with the linguistics too we also make sure the students know the Greek and Latin
roots. We make sure they know phonemes, graphemes. They know morphology, the
morphemes and how words are broken up so that when they do get to those higher levels
and the academic language gets more complicated they’re not intimidated by the
language. They know that words are word parts and if they can pull these parts of words
apart they can make meaning of them without interrupting their understanding (personal
communication, February 27, 2012).

Based on these statements, Linguistics can be understood as a strategy by which words are
broken apart and classified, and where students are aware of key language components and
include an emphasis on using academic terminology. Thus, linguistics represented another key
focus of Ms. Anderson and the Hillcrest mission and she intended to focus instruction on these
objectives. This indicated that teachers were expected to have the information and skills
necessary to modify instruction accordingly to address these aims. This implied that Linguistics
is also a key focus of staff development. This finding was confirmed by observations in which
teachers were found to make reference to linguistics during classroom instruction. Document
and artifacts also supported this finding in that teacher staff meeting agenda items frequently
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focused on linguistics. Artifacts were also found in each classroom that related specifically to
linguistics terminology such as morphology, morphemes, phonemes, and graphemes.
Theme 4: The leader focused on oral language development strategies. Based on
interview data, the Principal focused and set the direction for professional learning around oral
language development strategies. According to Ms. Anderson, “Another thing we do is we want
the students to answer questions in complete sentences, not only written but when they answer
orally” (personal communication, February 27, 2012). This statement indicated that students
were expected to receive instruction and engage in activities that required them to answer in
complete sentences and practice oral communication. This statement furthermore indicated that
oral language development was another key focus. Although this was the only statement that
was made by Ms. Anderson related to oral language development, her statement was a clear
indicator that it was one of her key foci. While language development appeared to be a unifying
them throughout all areas of focus, oral language development was determined to be a key focus
associated with achieving this overall objective. Observations and documents also supported this
finding as well. Teachers were observed holding discussions with one another around
developing activities that required students to improve in the area of public speaking and oral
language development. Various documents and artifacts also confirmed that teachers spent
considerable attention on oral language development during staff meetings as well as in the
classroom.
Leadership style & approach. Data from interviews, observations, and documents
provide a rich understanding of the leadership style of the school Principal. The data suggested
that three themes emerged from the data. The data suggested that the Principal embodied a
mentor/facilitator leadership style and used a collaborative approach as the method for
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transferring culture to organizational members. The following section discusses the themes that
emerged from the data.
Leadership style. According to Smart and St. John (1996), one common leadership style
is that of a mentor/facilitator. The Mentor/Facilitator emphasizes loyalty-tradition and bonding
mechanisms. This leadership style is commonly associated with clan cultures and is also
compatible with Bolman and Deal’s (2002) human resource frame, in which the leader
emphasizes internal relations among individuals. The findings for this section are consistent
with the literature regarding the Mentor/Facilitator leadership role. The data suggested that the
Principal embodied a leadership style that was most consistent with that of the Mentor/Facilitator
leadership style. The following section will present the reasoning that supports this conclusion.
Five out of five teachers used the word “supportive” or “helpful” when describing the
Principal’s leadership style. When asked how she would describe the Principal’s leadership
styles, Ms. N stated, “She is very open, gives us support advice” (personal communication,
March 15, 2012). Ms. N also added, “She [Ms. Anderson] was my support provider for BTSA
which involved helping me locate resources” (personal communication, March 15, 2012).
According to Ms. S, she stated, “She’s very helpful. Whenever I need help with anything I can
always go to her and she’ll try her best to help us out.” Ms. H stated, “She’s very supportive,
like she really like supports all of us” (personal communication, March 22, 2012). Ms. C stated,
“She’s always there to support us” (personal communication, March 12, 2012). Finally, Ms. B
stated, “She is very—she is a very unusual administrator. She is very, very supportive” (personal
communication, April 25, 2012). These statements suggested that there was a quality about Ms.
Anderson in which she offered support, encouragement and was sympathetic to her teachers.
Observations also supported these statements. While observing Principal-Teacher interactions,
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the Principal often offered her support and frequently offered to assist Hillcrest teachers with
their specific needs.
Statements from teachers also indicated that the Principal was highly involved and
concerned about their progress. For example, According to Ms. H, “She’s always concerned
about how we’re doing. She’s on top of like everything we’re going to do” (personal
communication, March 22, 2012). When asked how she would describe the Principal’s
leadership styles Ms. N stated, “ She is very involved” (personal communication, March 15,
2012). “She wants to be informed about what’s going on. According to Ms. C, “She comes in
here on a daily basis.” According to Ms. S, “She comes in and checks periodically, at least every
day, once or twice a day.” Statements from teachers that portrayed the Principal as “concerned”
and “involved” indicated that the Principal was perceived to be interested in what teachers were
doing in relation to instruction. Observations of the Principal in action also supported this
finding. The Principal was found to be regularly visited classrooms and often expressed her
interest in what Hillcrest teachers were doing in the classroom.
Statements from teachers also indicated that the Principal was approachable and they
frequently went to her to seek feedback. For example, when explaining the Principal’s role in
her development as a teacher Ms. N explained, “She [Ms. Anderson] was my support provider
for BTSA which involved helping me locate resources. We talked about my progress, and
challenges I had, and provided me with feedback, and helped provided resources” (personal
communication, March 15, 2012).
Stating “we talked about my progress” suggested that the Principal maintained a dialogue
with Ms. N where they discussed how she could improve. She also stated that she “provided me
with feedback.” In this instance the Principal appeared to embody a quality where she served as
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a guide for this particular teacher’s improvement and progress. As a result, by providing
feedback, she offered her opinion rather than establish a set of standards or rules to go by.
This experience was similar to the experience of Ms. C. According to Ms. C:
She’s great as a principal. I can always go to her to ask her questions. My first year,
when we were doing BTSA, it was kind of intensive how to doing it. She helped us out a
lot through it. We had to organize the students’ files high, medium or low. There were
sometimes I had questions, “Well, would you consider it this or that? (personal
communication, March 12, 2012)

Here again, this provides support for how this particular teacher felt free to ask questions
regarding instruction and often sought the advice or feedback from the Principal. This was found
to be consistent with another statement made by Ms. N. She stated, “She is very open, gives us
support and advice.” As indicated in the use of the word “open,” this suggested that she [the
Principal] was receptive to all ideas; she is not overbearing, or rigid in her opinions related to
instruction. Ms. H and Ms. B provided statements that reinforced these perceived leadership
qualities. For example, Ms. H added, “She’s very approachable as far as like you can go and ask
her a question any time.” Also, according to Ms. B, “She is very, very supportive. I can go talk to
her, “Oh, I’m having a bad day” (personal communication, April 25, 2012). One might take into
consideration that the quality of being open to ideas was likely what made the Principal
approachable and where teachers felt comfortable about sharing their ideas and receiving her
advice.
Interview and observational data suggested that the Principal emphasized internal
relations that included bonding workers together through collaboration. For example, while
describing the types of behaviors that she believed were representative of staff meetings Ms. C
stated:
In staff meetings we work together. For example, when we were establishing the writing
rubric, we did it together. Also, when we were doing like the presidents and that stuff,
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we also did it together. Our speeches, too, we did it together (personal communication,
March 12, 2012).

This indicated that teachers often collaborated on various organizational objectives. This finding
was supported by observations where staff members were seen collaborating on various school
objectives. Furthermore, as indicated in the section that discussed what the Principal focused on,
it was determined these instructional foci were established by the Principal. This statement
further indicated that the goal to implement these instructional goals through a collaborative
process was initiated by the Principal. In addition, as stated by Ms. Anderson, a key part of her
vision is to ensure that “there is a common thread through all the grade levels and that when kids
go from grade level to grade level” (personal communication, February 27, 2012). This
signified that the Principal set out to bring cohesion to the group and what they set out to
accomplish. Again, observational data also supported these findings revealing that the principal
facilitated the opportunity for collaboration to take place. The Principal facilitated opportunities
for collaboration when addressing WASC school accreditation matters, developing strategies
around language such as implementing an activity called “Poetry Café.” Detailed discussions of
these instances are later presented in the Tier II findings where various cultural dimensions of
Hillcrest Elementary are explored in detail. Therefore, teachers were expected to work together
and bond through collaborative processes. All of the themes discussed in this section were found
to embody the qualities associated with the Mentor/Facilitator leadership style. As discussed in
this section, teachers described the Principal as “supportive” or “helpful.” Teachers indicated
that she was highly involved and concerned about their progress. Teachers also indicated that
the Principal was approachable, they often went to her to ask questions, and that she consistently
offered her feedback regarding instructional matters. Finally, the data also suggested that the
Principal emphasized internal relations while bonding workers together through collaboration.
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These types of activities are consistent with the Mentor/Facilitator Leadership Style as
articulated by Smart & St. John (1996).
Leadership approach. According to the literature, leaders create processes (Bass, 1990)
for establishing culture and these processes serve as the manner in which culture is transferred
from on member to the next (Stolp & Smith, 1994). The data suggested that the Principal’s
leadership approach was reflective of Transformational Leadership.
According to Guthrie and Schuerman (2010), transformational leaders create
environments where individuals feel empowered to fulfill his or her needs and are valued
members of a productive learning community. Transformational leaders also: (a) help staff
members develop and maintain a collaborative and professional school culture; (b) foster teacher
development; and (c) help them solve problems together more effectively (Leithwood, 1992).
Transformational leaders are able to move constituents into action “by learning how to do new
things and, perhaps more importantly, learning how to attach positive value to the learning and
the doing of new things” (Elmore, 2000, p. 19). According to Northouse (2007) transformational
leadership is defined as involving the process of changing and transforming people. It is
concerned with emotions [emotional well-being], values, ethics, standards, and long-term goals
and includes assessing followers’ motives; satisfying their needs, and treating them as full human
beings. Based on this definition, the key processes articulated in these definitions include
establishing collaboration, teacher empowerment, human resource development, and motivating
people through mission, vision, purpose, and responsibility. These qualities are consistent with
the mentor/facilitator leadership style. Thus, it was discovered that the Mentor/Facilitator
leadership style closely resembles the qualities that are associated with Transformational
Leadership.
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What can be used to determine the difference between the two is that leadership style is
associated with the types of interactions that characterize the leader’s relationship to
organizational members, as well as the leader’s role, while transformational leadership
emphasizes the processes that are established by the leader that are used to achieve
organizational aims. The Mentor/Facilitator often draws attention to processes but this is a key
function of what is defined as a leader’s “approach”. What is evident in Transformational
approach is that transformational leaders also emphasize a commitment to the mission, vision,
standards and values, while the Mentor/Facilitator does not necessarily emphasize these factors.
As a result, the Mentor Facilitator lacks the motivational component centered on organizational
goals. These qualities were evident in the leader’s focus as explained in the Leadership Focus
section.
Tier I Conclusion. The findings in Tier I were reoccurring themes found through
interviews, observations, and document analysis. There were patterns that indicated that the
Principal’s focus was mainly associated with Language Arts. As presented in an earlier section,
the leadership style was determined to be the mentor/facilitator leadership style and her approach
was the transformational leadership approach. Teachers therefore, worked collaboratively to
articulate how these instructional goals, focus, objectives, were to be put into practice. This
realization is consistent with what Ms. Anderson claimed, “she set the expectations and goals
and teachers decided how this would look” (personal communication, February 27, 2012).
Finally, these objectives were found to be consistent with the espoused beliefs of the school
principal according to the data. What the principal valued was consistently put into practice and
were explicitly communicated as the direction of the organization.
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Tier II Findings
The previous research question explored the leadership practices at Hillcrest Elementary
School in relation to school improvement. This section discusses the findings of the following
research question: Research Question 1(c): What are the school culture elements in the school in
relation to instructional improvement? According to various authors, school culture can be
defined as the ways of thinking and ways of acting that are shared among members of the school
community and taught to new members (Geertz, 1973; Schein,1983; Stolp & Smith, 1994).
Thus, the focus of this research question was to explore the actual beliefs and practices [models
and settings] that are enacted by organizational members. This section provides the findings
regarding the school’s key cultural dimensions. This is followed by a discussion of the school’s
culture type. Finally, the overall findings for Tier II are presented to provide insight into
Hillcrest’s unique cultural qualities.
School culture dimensions. Schein (1983) conceptualized organizational culture
through an evaluation of several distinct cultural "dimensions." According to Schein (1983) each
dimension serves as a logical schema for understanding the cultural paradigms that exist within a
given culture. Gallimore and Goldenberg (2001) also studied school culture but analyzed
cultural characteristics through an analysis of cultural models (ways of thinking) and cultural
settings (ways of acting). Both Schein (1983) and Gallimore and Goldenberg (2001) offered
separate analytical models for understanding culture and provide further insight into school
culture. For the purpose of this dissertation, connections were made between these two
perspectives to make sense of the phenomenon being studied. As presented in the conceptual
framework, it was expected that what might be found in each dimension was likely to reveal
various ways of thinking and acting that are shared among the members of a given culture.
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The findings for Tier II revealed that five cultural dimensions were found to be the most
dominant characteristics at Hillcrest Elementary; these were (1) the teacher recruitment process,
(2) what the organization uses as evidence of meaning, (3) the levels of significance of
sustainability and innovation, (4) internal processes related to professional development, and (5)
the school’s orientation to work and tasks. These five dimensions offered rich insight into the
unique qualities that were representative of Hillcrest’s cultural system. Furthermore, the five
cultural dimensions revealed various cultural models and settings that add meaning to the unique
ways of thinking and acting among school faculty. A detailed discussion of the five dimensions
is presented in the following section.
Dimension 1: The process used for recruitment. The first dimension that emerged from
the data and that offered meaningful insight into the cultural phenomenon at Hillcrest
Elementary was the recruitment process. According to the literature the process for how
individuals become members of an organization offers meaningful insight into the unique
qualities of an organization. The data revealed that the Principal had an approach that included
different ways of increasing the likelihood that she would find the right people for the school.
This was done in three ways. The principal: (1) recruited new teacher candidates through trusted
personal social networks; (2) hired teachers after having an opportunity to observe them prior to
offering them contracts; and (3) sought teachers who were relatively new to the teaching
profession and did not have contracts with a district in public education system. These processes
were understood to have enabled the likelihood that the Principal hired teachers with similar
teaching philosophies that matched her expectations and were likely to fit in with the school
culture.

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Theme 1: Recruitment through trusted networks. According to the information obtained
from formal and informal interviews, teachers and substitutes were recruited through trusted
social personal networks. It was discovered that a number of teachers were hired only after
being highly recommended through a mutual contact. This was the case with Ms. C, Ms. B, and
Ms. N. According to Ms. C, “one of her friends recommended me to her [Ms. Anderson]”
(personal communication, March 12, 2012). Ms. B was also recruited in this manner who
explained, “I heard about this through a friend and she served as a reference” (personal
communication, April 25, 2012). Ms. N stated, “I had a friend that used to teach here. We were
in the credential program together. I started subbing here, and then I got hired as a teacher”
(personal communication, March 15, 2012).
As stated earlier, substitutes were also recruited in this manner. Ms. D, who was serving
as a long-term substitute for a teacher on leave, was also recruited through a trusted social
network. When I inquired how she became as substitute at Hillcrest she expressed her “father
was an acquaintance of someone on the school board and recommended her to Ms. Anderson for
the position” (personal communication, March 5, 2012. This manner of recruitment for
substitutes was corroborated by an earlier conversation with Ms. Anderson during a preliminary
school visit. It was observed that one teacher was absent for the day and that office staff were
awaiting the arrival of a substitute. Later that day, during an informal conversation, Ms.
Anderson was asked whether or not the school contracted out with a staffing service to obtain
substitutes and she replied, “We don’t contract out with a company [to hire substitutes]. We just
find someone we know who has experience teaching” (personal communication, March 5, 2012).
Theme 2: The use of teacher observations. In addition to seeking out teacher and
substitute teacher candidates through a trusted personal social network, the Principal recently
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hired teachers only after having the opportunity to observe them teach. For example, two out of
five teachers were selected as teachers only after the Principal had the opportunity to observe
them teach while they served as a long-term substitute either in or outside of Hillcrest
Elementary. This was the case with Ms. C, the kindergarten teacher, who explained:
I switched over to work with the District, which is where I subbed for two years. I met
Ms. Anderson, and she told me she was hiring for a kindergarten teacher….She observed
me teaching in the classroom where I was on a long-term substitute assignment (personal
communication, March 12, 2012).

This was also the case with Ms. H, the 5
th
grade teacher who served as a substitute at Hillcrest
prior to becoming hired. According to Ms. H, the 5
th
grade teacher, “I was substituting last year,
so I already knew the school and I knew some of them, but yeah, we get along really well”
(personal communication, March 22, 2012). Although only two teachers served as evidence for
this particular trend, it was apparent that observing teachers in action prior to hiring them full-
time was emerging as a common practice in the recruitment process. According to Ms.
Anderson, observing teachers emerged as a result of one former teacher that “did not quite work
out at Hillcrest” (personal communication, March 5, 2012). She went on to explain that the
former teacher “did not have the same educational philosophy and did not buy in to the school’s
mission and vision.” She also explained that “observing teachers as substitutes help me to see if
they are a good fit.” This suggested that the Principal used this process to learn about the values,
beliefs, and approach of prospective teachers. Observations were used as a mechanism for
gathering information about the candidate prospects for adapting to Hillcrest’s cultural norms.
This shed new light involving the purpose of observing teachers during the recruitment process.
It might not always be the case in other school settings that observations are held for the purpose
of determining if a candidate aligns with cultural norms. This manner of recruitment can be said
to be a unique cultural characteristic at Hillcrest Elementary.
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Theme 3: Recruiting teachers that were relatively new to the profession. The Principal
also sought to bring in teachers who were relatively new to the teaching profession and did not
have contracts with a district in the public education system. Three out of the five teachers who
joined the school - Ms. H, Ms. C, and Ms. N - did not previously hold contract positions with
another district but each served in long-term substitute assignments. One teacher, Ms. B came
from a private school background and was new to public education. Additionally, four out of
five teachers came from neighboring school district schools and did not have experience teaching
in a charter school setting prior to teaching at Hillcrest.
Several factors were found to be implied recruitment criteria for accepting new members
as teachers. First, teachers had to come highly recommended by a mutual contact. Second, the
Principal sought teachers she perceived had similar instructional and educational philosophies.
Third, teachers had to be of high quality based on Hillcrest's definition of the term "quality."
During conversations with Ms. Anderson, greater insight was obtained as to what this meant.
After various conversations, explanations, and cues I understood "quality" to mean teachers that
appeared to be self-motivated to improve their teaching, individuals that represented themselves
well, and individuals that she perceived to be hard working.
The findings suggested that there was an implied criteria for membership that involved
selecting teachers that were relatively new to the profession and could be shaped and molded
into high quality teachers. Hillcrest teachers were not set in their ways but were likely to be
ready to develop their teaching methods and were likely to be attentive to the Principal's
leadership approach and her efforts to achieve the school mission. Experience was not as an
important condition as much as the teacher's willingness to learn and adapt one's philosophy and
practices to suit the needs of the organization. These discoveries appeared to have strong
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implications for professional development, teacher learning, and instructional improvement.
Thus, the data revealed that new teacher candidates were selected when they were perceived by
the Principal to be capable of learning and growing with the organization thereby being enabled
to improve the quality of instruction in Hillcrest Elementary.
Dimension 2: What the organization used as evidence of meaning. The second
dimension that emerged from the data was what was found to be meaningful to the organization.
This level of analysis aligns with Schein's second cultural paradigm known as the nature of
reality and truth. The intention of this dimensional analysis was to understand cultural
information - such as models and settings - that organizational members believed were worthy of
the organization’s focus, were perceived to have merit in relation to professional development,
and were believed to be important enough to pursue in their work. The findings revealed that
three key models served as the basis for reality and truth in Hillcrest Elementary: (1) Hillcrest
teachers believed that “data” played a key role in what the organization determined to be
important enough to pursue in their work, (2) Organizational members shaped their reality
around the meaning of “high expectations and this had implications for what they put into
practice, and (3) the meaning of Linguistics.
Theme 1: Meaning around data. Hillcrest teachers believed that “data” played a key role
in what the organization determined to be important enough to pursue in their work. The
findings suggested that organizational members analyzed data at the beginning of the year and
this set the tone for their goals for the year and created meaning around data and such data served
as a starting point for the school’s instructional focus. This was evident as one teacher expressed
the emphasis of data evaluation as the starting point at the beginning of each school year. One
example of this can be seen in Ms. B’s comment. She said, “Ms. Anderson provides extensive
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spreadsheets that include school-wide and student-level data at the beginning of the year.”
Document analysis results also supported this finding. Hillcrest professional development
meeting documents indicated that Hillcrest teachers analyzed data at the beginning of the year to
gain insight into the type of instruction that should take place. This means opportunities to
evaluate data beginning at the start of the school year were intended to set the tone for long and
short-term goals as well as identify areas of student need and consequently areas of teacher
development with the intention of adequately addressing the needs of students.
Furthermore, the findings also revealed that data guided the instructional practices and
focus of professional development throughout the year. Also according to Ms. B, “Test scores
are important to all of us. It's the way we show growth, but it's not just a numbers game for the
school. It serves as a guide and evidence of growth, but it is more about incremental change and
progress” (personal communication, April 25, 2012). This statement provides evidence that test
scores, which are essentially a form of performance data, also served as key evidence of meaning
at Hillcrest Elementary. Finally, she also added “staff members often evaluate areas of progress
and area of need where students are lacking” (personal communication, April 25, 2012).
These statements indicated that data not only played a key role from the start of the
school year but also established meaning for what changes needed to be made throughout the
year. These findings offered insight into the key assumptions held by Hillcrest staff. First, staff
members analyzed data on a routine basis. Second, it was perceived by staff members to be
meaningful to their understanding of organizational needs, staff development, and school
improvement. When comparing these findings to the second cultural paradigm, the data revealed
that a key assumption held by staff was that data was perceived to offer insight into the nature of
the reality at Hillcrest. This indicated that such an assumption was a key mental model
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(Gallimore & Goldernber, 2001) that was shared among organizational members. Furthermore,
routine dialogues around data and instances where the school environment facilitated such
opportunities to interact around data represented a key routine. This indicated that such a routine
was a key cultural setting (Gallimore & Goldenberg, 2001) that was also characteristic of
Hillcrest Elementary School.
Theme 2: Meaning around high expectations. Organizational members shaped their
reality around the meaning of “high expectations” and this had implications for what they put
into practice. Furthermore, what Hillcrest used as evidence of meaning was representative in the
manner in which staff members held discussions around what “high expectations” meant and
what it should looked like. The data revealed that organizational members agreed on a
challenging global goal for core subject matter and this served as the measurement by which all
performance outcomes were compared. Throughout the interview process, when asked about the
key goals of the organization, almost all of the teachers cited that one goal of the school is that
“90% of students will be proficient in English and Mathematics.” According to Ms. Anderson,
she established this goal because setting high expectations is a key part of the mission of
Hillcrest.” Although this global goal originated from Ms. Anderson as a key component of her
mission and vision, it was evident that this goal developed into a dominant way of thinking
among staff members. This was likely to be the case because, according to one informant, the
global goal “was frequently discussed during staff meetings.” This means that staff members
settled on the idea that challenging goals were commonplace at Hillcrest and were central to how
things were done in the organization and achieving 90% proficiency meets this standard. This
again represented a key cultural model of the Hillcrest organization and progress was frequently
measured against this standard.
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Another key trend discovered indicated organizational members created meaning around
the concept of high expectations and established instructional performance goals that were
perceived to have met the criteria for setting high expectations. This was revealed in teacher
interviews where respondents made note of the role high expectations had on Hillcrest’s school
culture and teaching objectives.
The data revealed that all of the teachers perceived that the value of high expectations
was a matter of significance to either the Principal, the school culture as a whole, or a matter of
significance to them individually. Four of the six teachers indicated that the value of high
expectations was a matter of significance to the school Principal. According to Ms. N, “She’s
had a great impact on having us strive to always push the kids to do well. She has really high
expectations” (personal communication, March 15, 2012). Ms. H stated, “the Principal is always
ensuring that we are keeping high standards for students” (personal communication, March 22,
2012). In speaking of the school Principal, Ms. C also stated, “That’s one thing that she does;
have high expectations” (personal communication, March 12, 2012). According to Ms. B, “She
[Ms. Anderson] has a certain philosophy and a vision, and she wants to see that vision applied in
all classrooms at a certain level” (personal communication, April 25, 2012). These statements
serve as prime examples of how teachers perceived the value of high expectations to be
significant to the Principal.
Teacher interview data also revealed that the value of high expectations was perceived to
be important in other ways as well. Three teachers also indicated that high expectations was
significantly linked to the school culture, and/or was important to them individually. According
to Ms. C:
Well, we always have high expectations for students…my expectations have changed a
lot. Versus being from another school to here, I never thought that I would be able to get
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kindergarteners to read that many words or write three to four sentences. My
expectations have grown a lot for them versus being at another school (personal
communication, March 12, 2012).

In this comment, Ms. C indicated that she perceived high expectations to be important to the
school and that the teachers in the school interacted or operated in a manner that suggested that
high expectations was a matter of significance. This was evident in her use of the word “we.” In
her statement, she also indicated that her presence at Hillcrest has influenced and even raised her
expectations as evident when she says her “expectations have changed a lot versus being at
another school” (personal communication, March 12, 2012). This also revealed that she felt this
[raising her expectations] might not have been the case if she were teaching at another school.
Ms. S also made reference to high expectations in her interview. According to Ms. S, in
speaking of her own teaching approach stated, “I have high expectations for the kids. I don’t
allow them to go under what I expect because I know that they’re capable of doing it, so I’m
always trying to challenge them” (personal communication, March 21, 2012). Here Ms. S
indicated that she believed high expectations were meaningful to her teaching practice. She
made no reference to the school as a whole but this does not mean that she did not believe the
school held high expectations or that high expectations were not a dominant cultural model. It
could possibly be the case that Ms. S internalized the belief in high expectations as a result of her
association with Hillcrest. Even if Ms. S held this expectation prior to coming to Hillcrest, high
expectations was evidently at the forefront of her thinking and represented a connectedness
between what other cultural members perceived to be an important way of thinking (i.e., such as
high expectations). This suggested that the value of high expectations was central to how
teachers understood themselves and their teaching approach at Hillcrest.
The data also indicated that teachers often made meaning of how high expectations
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influence various teaching objectives. Ms. C, the kindergarten teacher, offered tremendous
insight into this particular cultural phenomenon. According to Ms. C, “One thing we do is we
always have high expectations for students." She went on to explain while speaking of her
students in kindergarten:
We do this in public speaking and history where we expect students to memorize
the first five presidents, the 16
th
president, and the current president. Again, it’s
just having high expectations (personal communication, March 12, 2012).

Ms. C perceived these examples to be consistent with high expectations. Whether or not
this is the case, based on an academic definition of the term, is not the point of inquiry,
but rather to understand the basis for reality and truth at Hillcrest. With the example
provided in her statement, Ms. C clearly had a perception of reality regarding Hillcrest
that was directly linked to meaning around high expectations and therefore her statement
reinforced a reoccurring theme that teachers believed high expectations to be a dominant
cultural model at Hillcrest Elementary.
Ms. C gave another example related to performance objectives at the kindergarten grade
level. She explained that kindergarten students are also expected to learn “10 words per week.”
This indicated that Ms. C perceived that the entire school placed these expectations on
kindergarten students and was not just an expectation established by her alone. This also
indicated that the examples provided were perceived by her to be performance objectives that
qualified as high expectations. Another teacher offered further evidence that teachers created
meaning around high expectations in ways that influenced performance objectives. According to
Ms. B:
We’ve been focusing on the whole writing piece…focusing on higher level
thinking, holding students to high expectations such as writing in complete
sentences and taking in complete sentences because that reflects in their actual
writings (personal communication, April 25, 2012).
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These findings provided evidence of how meaning around high expectations permeated
throughout Hillcrest. The value of holding high expectations was routinely held by
organizational members and therefore indicated that this was a dominant cultural model at
Hillcrest. Therefore, establishing high expectations was a common way of thinking and gave
staff members insight into how they did things. Furthermore, various instructional practices and
cultural settings that were put in place were also influenced by this particular cultural model.
Thus, observational data also confirmed that high expectations was a topic that teachers
frequently spoke about during staff meetings.
Theme 3: Meaning around linguistics. The data also revealed that “linguistics” also
influenced the nature of reality (actuality/nature of work) and truth (legitimacy) at Hillcrest
Elementary. After analyzing the data it was discovered that (1) Teachers at Hillcrest indicated
that linguistics was a key focus and that they were consistently reminded about implementing
linguistics into their daily lessons. Constant reminders from the Principal were used to reinforce
linguistics as the correct way of thinking and this way of thinking was found to have a significant
effect on the perceptions and actions of teachers. (2) Hillcrest staff also explained the meaning
and application of linguistics and why it was believed to have been important enough to pursue.
Staff indicated that linguistics was grounded in the school mission and was established as a tool
by which students explored language more deeply. (3) Teachers adopted cultural models around
linguistics and incorporated cultural settings related to linguistics into their practices.
Linguistics is the main focus. Three teachers and the Principal each confirmed that
linguistics was a key focus. According to Ms. S:
She [Ms. Anderson] is always reminding us to make sure that we “do” certain things like
linguistics because that’s our main focus at the school… to make sure that we incorporate
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that [linguistics] in all of the lessons, not just in language arts but also in math and
writing and so forth (personal communication, March 21, 2012).

Ms. S’s statement provided information that suggested she believed “linguistics” to be a “main
focus” at Hillcrest. Furthermore her statement revealed that teachers were “reminded”, expected
to “implement” and “do” linguistics. Her statement also revealed that teachers were also
expected to implement linguistics in other subjects such as “math” and “writing.”
Ms. S’s perception of linguistics was consistent with a statement made by Ms. H.
According to Ms. H, “We tend to focus on language more than math when we have our meetings
and we talk about things, but the school’s main focus is language, linguistics and writing and
reading” (personal communication, March 22, 2012). Again, this teacher, like Ms. S, identified
linguistics to be a main focus of Hillcrest. Another teacher, Ms. C, also confirmed these
findings. According to Ms. C, “Since our focus is on linguistics, we can always go to her and
ask her about what to do in our lesson plans in order to teach it.” She also explained, “At the
beginning of the year, the staff meetings focus again on linguistics…” (personal communication,
March 12, 2012). This statement confirmed that Hillcrest staff tends to focus on linguistics and
therefore supports that notion that linguistics is a central cultural model. Because it is perceived
to be a focus, this focus has implications for the nature of work that takes place in the school
setting. Observational data also supported these findings where linguistic instruction was found
to be present in many classrooms. Classroom artifacts also supported these findings as posters
about linguistics were found to be present in every classroom.
Another statement by Ms. H indicated that linguistics was likely to be a topic that was
discussed frequently among staff members. For example, when asked her about the purpose and
nature of a recently held staff meeting she explained, “We talked again about linguistics, and
making sure that everyone is doing that” (personal communication, March 22, 2012). These
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statements indicated that linguistics was a key “focus” and that they were expected to “do” and
“implement” linguistics. Therefore, Hillcrest was a setting where teachers not only discussed the
meaning of linguistics but also were expected to act upon this model. Teacher statements
indicated that there were “constant reminders” regarding the cultural model of linguistics. This
means that “linguistics” was central to the reality at Hillcrest and was associated with what
teachers simply did in relation to work and instruction at Hillcrest.
Teachers discussed the meaning and application of linguistics. The data also revealed
that (2) Hillcrest staff talked about the meaning, significance, and application of linguistics.
These examples revealed the reasons why staff members believed linguistics had any merit and
was important enough to pursue at Hillcrest.
The school Principal, Ms. Anderson, explained the meaning, significance, and application
of linguistics. “We’re all making sure that the students have that foundation in the English
language through morphology, phonology, and things like that. Also one of the things that we
do is we make sure that the students know what they know” (personal communication, February
27, 2012). According to Ms. Anderson, linguistics was significant in that it provided a
“foundation” for the “English language”. This is possible through understanding work
“morphology” and “phonology.” This enables students to “know what they know.” The act of
knowing what one knows suggested that students learned declarative knowledge related to
linguistics. She added:
We have a really strong emphasis on academic language, so even with the example of
when we’re reading and the comprehension, when we’re teaching them about the
questions that they’re answering they know if the teacher asks them an inferential
question the student knows I’m answering an inferential question. I’m answering an
analysis question (personal communication, February 27, 2012).

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This suggested that linguistics was connected to “academic language” and was closely related to
their approach to asking students to identify “inferential questions” and “analysis questions.”
When asked to elaborate on what she meant by linguistics Ms. Anderson explained:
I think part of the holes in education come from the students not knowing what they
know. We give them that academic language. We don’t shy away from just dumbing
down the curriculum. When we’re teaching addition kids know that the two numbers
they’re adding are addends and that the answer is the sum (personal communication,
February 27,2012).

Ms. Anderson also added:
Yeah, well, also with the linguistics too we also make sure the students know the Greek
and Latin roots. We make sure they know phonemes, graphemes. They know
morphology, the morphemes and how words are broken up so that when they do get to
those higher levels and the academic language gets more complicated they’re not
intimidated by the language. They know that words are word parts and if they can pull
these parts of words apart they can make meaning of them without interrupting their
understanding (personal communication, February 27, 2012).

Ms. C provided examples of the application of linguistics. She also adds:

Well, for Kindergarten, it’s more basic. For upper grades, it’s more intense. For
linguistics, we tell ‘em, “What does linguistics mean? What does chronology mean?
What is graphing and phoneme?” For kindergarten, more the basics what it means, and
give ‘em examples. We try to do it throughout the class. When we’re asking questions,
we also try to use, “Oh, what graphing is this or what phoneme is this?” Again, for
Kindergarten, it’s more basic. With the upper grades, it gets more intense (personal
communication, March 12, 2012).

This suggested that the application of linguistics involved levels of questioning and students
understanding these specific classifications. Linguistic included not only knowing what the
terminology meant but also the types of phonemes and graphemes that might be present in the
words they encountered.
Implementation of cultural models and settings related to linguistics. (3) The data also
suggested that teachers adopted cultural models around linguistics and incorporated cultural
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settings around linguistics. For example, asked whether or not her presence at Hillcrest had
changed her teaching approach, one teacher explained,
My discipline, my classroom management definitely has not changed. It’s just kind of
pretty simple, I have the same teaching style. I guess adding on the linguistics is new
because we [Hillcrest teachers] have not previously focused on that. Now we know the
vocabulary terms for that. We know how to incorporate that [linguistics] into all the
other lessons, so that always works. Now that’s actually a change from what we
normally do (Ms. S, personal communication, March 21, 2012).

Several ideas are revealed in Ms. S’s statement. According to Ms. S she believed she had “the
same teaching style” but that she had to incorporate linguistics and this approach was slightly
different from how she taught students in the past. Her statement also indicated that the
incorporation of linguistics involved her learning the terminology of linguistics. This indicated
that teachers themselves had to go through a process of learning the terminology that was
necessary for meeting the expectations related to linguistic instruction.
Again, observations and document analysis indicated that there was evidence of teacher
agency in relation to linguistic instruction. Several walkthroughs were conducted to explore the
physical make-up and the artifacts that were present in the school. This was expected to provide
more information regarding the unique cultural settings at Hillcrest Elementary. Upon review of
the physical artifacts, it was discovered that all classrooms included a large poster of the core
concepts related to “linguistics.” Artifacts and posters were also found to explicitly reference the
different levels of questioning. Such artifacts included definitions of analytical, hypothetical,
inferential, and literal questions. This further signified that the presence of linguistics as a
cultural model was strong. Furthermore, observational data revealed that several teachers made
reference to linguistics in the classroom during instruction. One teacher, Ms. B, was conducted
an activity where students were reading a passage. The teacher read the story with students, and
asked questions about the text. The teachers asked questions such as, “What does this mean”,
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“what is the phoneme” in this word? This provided evidence that Ms. B incorporated and made
reference to linguistics as a key cultural model and therefore signified that she adopted this
model as a mental and bodily routine. This is, by definition, agency. Finally, as evidenced by
Ms. S’s and Ms. C’s statements, at least three teachers appeared to have adopted this cultural
model, and incorporated these practices into their teaching practices.
Dimension 3: Sustainability versus innovation. The third theme that emerged from the
data was the extent to which the charter school emphasized stability versus innovative practices.
This theme was consistent with Schein’s (1983) second cultural paradigm dimension that
identifies cultural assumptions that are based on the organization’s interpretation of the nature of
the work that is being done in the organization in association with the nature of reality and truth
and the nature of human activity.
Hess (1998) defines innovation as being merely the search for new and more effective
ways of schooling. This includes activities that occur at a micro-level rather than a macro-level.
In this type of environment energy is aimed toward developing core processes of teaching and
learning, as school faculty are continuously asked to learn new routines and pedagogies in which
they lack expertise. Innovation should be linked to improving school performance and the core
processes of teaching and learning. According to Hess (1998) effort toward innovation is a
reform but is not a reform that requires staff to make drastic changes to teacher practice. “The
only reforms that survive are the peripheral ones and add-ons that do not threaten to change the
fundamental arrangement governing teaching and learning” (p. 251).
Based on this definition and explanations of what “innovation” is, the data reveals that
the charter works toward making improvements in the ways they teach and not just merely
sustaining practices without moving toward gradual change or improvement. Therefore, it can
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be said that the charter school is oriented toward innovation in a number of ways rather than
merely sustaining cultural norms. The evidence suggested that this occurred in three ways: (1)
innovation was evident in the implementation of the Poetry Café activity. (2) Innovation was
evident in the manner in which Hillcrest implemented essays. (3) Innovation was evident in
Hillcrest’s commitment, implementation, and conception of Linguistics as a key component of
their school vision.
Theme 1: Innovation around oral language development. The first indicator that
Hillcrest Elementary’s focused on innovation was indicated in Hillcrest Elementary’s
implementation of the Poetry Café activity. According to Ms. H, poetry café is a school wide
learning experience where students “learn about poetry in every classroom” and culminates in an
assembly where “students present their poems to the whole school” in which students had either
authored or memorized.
First, when it was inquired as to whether or not this type of activity was a cultural norm,
Ms. C, confirmed, “poetry café is a routine” that occurs “every year around this time of year.”
Ms. H confirmed this when she stated that Poetry Café “is something that happens each year.”
This indicated that either poetry café may happen each year or at least has happened for the last
two consecutive years. However, in the previous year Ms. H indicated, “she did not participate
last year because she was a substitute” (personal communication, March 22, 2012).
Second, the data suggested that Hillcrest teachers set out to improve and/or change the
approach for implementing this on activity and sought new and/or effective ways to engage
students in this school wide project. Based on information obtained in an informal discussion
held with the school principal, she indicated that “this year she asked a parent to get involved by
providing an assembly on the topic of poetry” because according to Ms. Anderson, “the parent
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had experience with poetry writing” and was perceived to bring authentic learning experience to
students regarding poetry writing. Having a parent “provide and assembly on the topic of
poetry” represent a change in the approach to how the school engaged students in this school-
wide activity. Furthermore, when asked as to whether or not she perceived there were changes to
this activity in the current year Ms. H responded, “it’s similar to last year.” This indicated that
very little might have changed for teachers in relation to poetry café. However, she further
explained, “Oh, they changed the topics or the types of poems and the poets.” Based on this
statement it was determined that teachers at Hillcrest had either agreed on or were asked to
“change the topics, the type of poems, and the poets.” While the type of poems that were to be
addressed was unknown, the “change” in type of poems might have required teachers to use new
materials, new examples, new strategies for achieving agreed upon teaching objectives. This
would require teachers to have the knowledge and skills to teach this new type of poetry and
enabling them to do this is by definition an “innovation.” Such “innovation” or “new” methods
are inevitably beneficial to teachers’ mastery of teaching poetry, writing, and reading
comprehension. Ms. H also expressed,
I know with mine we’re incorporating music, like the kids get to choose a music piece to
play in the background, just like music based on the rhythm of their poem if they want to
say their poem fast or upbeat. I know they didn’t have that last year. That’s another
thing that gets them a little bit more excited and also to think about like the rhythm in
poems (personal communication, March 22, 2012).

Although Ms. H indicated she did not participate the previous year, she does state that she is
working with her students in her classroom to incorporate music, something she noted the
students did not get to experience the year prior. This suggested that she was aware of how
poetry café was implemented last year as a “substitute” and yet added a new component to
poetry café through “incorporating music.” In her statement she also said, referring to students,
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that it “gets them a little more excited and also to think about the rhythm in poems.” This
revealed that part of her motivation for adding the music component was intended to engage her
students in understanding and relating to poetry. As a result, Ms. H attempted to incorporate
something new that would enable her to increase the understanding and likely the performance of
writing and understanding the qualities of poetry. This also indicated that the Hillcrest
environment might have inspired the attempt for increasing student engagement and adding new
approaches to the poetry café school-wide learning experience.
Theme 2: Innovation around writing strategies. Innovation was evident in the manner in
which Hillcrest implemented essays. The data also suggested that Hillcrest’s teaching approach
to writing conventions was consistent with Hess’ definition of innovation. The data suggested
that Hillcrest teachers made improvements to their approach to teaching the writing process from
the previous year. A number of examples offer insight in into this phenomenon.
When asked about the types of changes [related to instruction] that were made this year,
Ms. Anderson responded,
Well, this is the year I really focused on making sure the students are answering in
complete sentences, but also with the five paragraph essay we’ve created the recipe that
teachers have to follow, so that’s a big thing. We’ve been doing the five-paragraph
essay, but this year I’m really honing in on—the kids have to know the recipe to the five
paragraph essay (personal communication, February 27, 2012.

This indicated that they had been doing essays but that this process had been modified. The
school added a new component that involved teaching students the “recipe” for writing. Ms.
Anderson adds:
There’s no getting around it. If they’re not they need points taken off if they’re missing
it. They should be able to tell you what they’re missing from their essay. We’ve created
a check sheet for the student so they can check. Do you have this? Do you have your
opening? If you have your opening, what type of opening is it? Is it a question? Is it an
anecdote? Is it an exclamatory statement? Kids need to be able to articulate what
they’ve done, what they’re missing and things like that. I think that’s going to be critical
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because I know that if they have that recipe down they can do well on an essay (personal
communication, February 27, 2012.

This modification might have had implications for how teachers approached the writing process
and required them to modify how they taught essay writing in the past. Students not only to
know intuitive how to write, but students must understand the declarative knowledge of key
essay components and Ms. Anderson calls these components the recipe. Terms such as
“anecdote” “exclamatory statement” are declarative terms that students must be familiar with.
This was likely to influence how teachers to made sense of, defined, and conceptualized key
components of the writing process.
Theme 3: Innovation around linguistic strategies. Innovation was also evident in
Hillcrest’s conception and implementation of linguistics as a cornerstone component of their
school vision. As presented in Dimension 2, it was discovered that linguistics played a key role
in the purpose and nature of the work in Hillcrest. However, the data also suggested that the
manner in which linguistics was incorporated into the vision and instructional practices at
Hillcrest was also consistent with innovation. Hess (1998) defines innovation as being merely
the search for new and more effective ways of schooling. This includes activities that occur at a
micro-level rather than a macro-level. In this type of environment energy is aimed toward
developing core processes of teaching and learning, as school faculty are continuously asked to
learn new routines and pedagogies in which they lack expertise. Innovation should be linked to
improving school performance as well as the core processes of teaching and learning. According
to Hess (1998), effort toward innovation is a reform but is not a reform that requires staff to
make drastic changes to teacher practice. “The only reforms that survive are the peripheral ones
and add-ons that do not threaten to change the fundamental arrangement governing teaching and
learning” (p. 151).
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Based on Hess’ (1998) definition, the other innovations in this section appeared to be
more subtle than the level of innovation as evident in the role linguistics played in Hillcrest.
Hillcrest’s application of linguistics was, in fact, a unique approach to schooling, and therefore
displayed innovative qualities. No research to date, offered insight into the application of
linguistics in school settings and the extent to which it was found to contribute to student
learning. Thus, linguistics in the case of Hillcrest was a large-scale innovation, when compared
to the micro-level, incremental improvements to teaching and learning, as suggested by Hess
(1998). This indicated that linguistics at Hillcrest was a macro-level innovation that was
established as a key part of Ms. Anderson’s vision from the school’s onset. It was expected to
permeate all classrooms and be applied by all teachers as a key approach to instruction. What
must be noted is that Hillcrest’s application of Linguistics still embodied the qualities associated
with incremental improvement. This was evident in the manner in which teacher set out to build
on the meaning and application of linguistics from year to year. Thus, Linguistics was
innovative on two levels; on the macro and macro levels. This discovery might shed meaningful
light on the concept of innovation and it’s relationship to school culture.
After analyzing what innovation meant in light of the practices at Hillcrest, it was
discovered that all schools are likely to display some form of innovation as presented in Hess’
(1998) definition of term. This is the case because all organizations are likely to articulate,
conceive of areas of improvement, and are likely to work toward practices that are determined to
be new or better ways of teaching and learning. It is not the case that all schools will display the
same levels of innovation or place an emphasis on such qualities. This is likely to be a
distinguishing factor in most school settings as the level of innovation for each culture are likely
to rest on a continuum. In the case of Hillcrest, the greatest innovation was their approach to
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linguistics. Micro-level innovations were also present with less encompassing characteristics
such as their commitment to incorporating new ways to improve writing and engaging students
through poetry.
Dimension 4: Internal processes related to professional development. The fourth
dimension that emerged from the data was internal processes related to professional development
and the manner in which members interacted. This dimension offered insight into staff
development routines and internal systems related to teacher learning and development as well as
the manner in which adult learning was facilitated.
The findings were found to be consistent with two cultural paradigms offered by Schein
(1983): the nature of human activity and the nature of human nature. This dimension reveals the
nature of human relationships as suggested by Schein (1983). According to Schein (1983) this
cultural paradigm reveals what an organizational culture decides what is considered to be the
"right" way for people to relate to each other. This is representative of and is consistent with
Gallimore and Goldenberg’s (2001) conception of cultural settings. According the Gallimore
and Goldenberg (2001), cultural settings are defined as “whenever two or more people come
together, over time, to accomplish something” (p. 47). Thus, this section offered greater insight
into the cultural settings of Hillcrest as they related to professional development interactions as
well as general interactions related to instruction and instructional improvement.
It was discovered that teachers had one routine setting where they met for staff
development once per week. This routine was a key “setting” that initiated teacher interactions.
This setting “facilitated the opportunity” for staff members to discuss school matters and to focus
on aspects of staff development and school improvement.
Cultural patterns and themes also emerged in the data that gave insight into how teachers
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related to one another, the manner in which power was distributed, and the extent to which the
culture was an “I” versus “we” culture. The data revealed that Hillcrest teachers often engaged
in dialogue and reflection and their interactions were representative of a “collaborative” school
culture. Data also suggested that power appeared to be shared among members. This was
evident in that all teachers participated in the decision-making process with matters related to
instruction. These findings further indicated that the types of interactions resembled a “we”
culture where staff interactions appeared to be “collegial” in nature.
Theme 1: Routine cultural setting. As expressed previously, the definition for cultural
setting is best articulated by Gallimore and Goldenberg (2001). According the Gallimore and
Goldenberg (2001) settings are “whenever two or more people come together, over time, to
accomplish something” (p. 47). It was based on this definition that cultural settings are
identified and furthermore created opportunities for further exploration of various dimensions.
Teachers met once a week every Wednesday at 3:00pm at the end of the school day for
staff development. The Principal and teachers met in one of the classrooms and regularly sat at
an oval table. Meetings were typically held for approximately an hour and a half. This indicated
that teachers came together routinely to accomplish school goals. This also represented a norm
as defined by literature presented in Chapter 2 and also represented an internal process related to
professional development. Observational data also supported this finding where Hillcrest staff
members were seen, on several occasions, meeting together to address school matters. This
however, did not explain what they came together to achieve, the internal processes that were
used when they met, or did not give insight into the types of interactions that occured. These
findings are explained in the next section where Hillcrest teachers were found to utilize
collaborative processes in order to achieve organizational goals.
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Theme 2: Holding discussion and receiving feedback from one another. One theme that
emerged from the data was that Hillcrest teachers often engaged in discussion and reflection
during professional development. This represented both manners of interactions as well as an
internal process for professional development. For example, when I inquired about the activities
that take place during professional development and/or staff meetings Ms. C explained, “She
[Ms. Anderson] goes around and asks us, ‘How is it going?’… “She [Ms. Anderson] gives us
advice on how to fix it, if we tell her that we’re having trouble with it” (personal communication,
March 12, 2012). By stating, “…we tell her that we’re having trouble” the teacher indicated that
staff meetings involve sharing experiences related to instruction. This also suggested that this
teacher believes that professional development involves receiving advice from the school
Principal on how to solve problems related to instruction. This also indicated that by “receiving
advice” they were “receiving feedback” about teaching practices. These types of activities such
as “sharing experiences” related to instruction and “receiving feedback” were interactions that
constituted a dialogue around instructional practice and the manner in which they addressed
problems related to their teaching practices.
Observational data also supported this finding. During one observation of a staff
meeting, Hillcrest teachers held discussions around a number of different instruction related
activities. For example, teachers were observed holding a discussion around an Art contest
activity. Ms. Anderson facilitated the conversation. She stated, “As you know we are having an
art contest and I wanted to get your input on what materials you might need”. Teachers then
began sharing ideas with one another. One teacher stated, “Ms. B’s class did really well on the
projects last year.” With everyone’s attention focused on Ms. B she “Last year I got some really
good ideas from this a website. Anyway, I’ll locate the name of the website. It is a good
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resource and it has a lot of good activities you could use.” The teachers them began to
brainstorm and offer ideas about what materials they could use. All teachers participated in the
discussion. Ms. B said “I will email you all a sample project to all teachers to give you some
ideas.” Ms. Anderson refocused the discussion and said, “I would like to see you all begin the
project by the middle of next week.” These observed interactions revealed that teachers felt free
to seek input from one teacher and held discussion around how the art activity was to be
implemented across grade levels. Teachers appeared to be willing and open to share.
Teachers also held discussion around implementing test practice strategies. In the same
staff meeting, Ms. Anderson shifted the topic from the art contest and again facilitated the
discussion around STAR practice strategies. Ms. Anderson stated, “We also have your STAR
practice booklets.” Ms. Anderson passed out STAR practice booklets. “Once again this year I
we are implementing testing practice at some point throughout the day.” She passed out the test
booklets as teachers took time to quickly shuffle through the pages. Again, Ms. Anderson
opened up discussion. “I also wanted to hear your ideas on how we can implement testing
practice throughout the school day.” Ms. B began to share her input on how she implemented
testing practice. She stated, “Well, the one of the biggest things is teaching all of your students
to read the instructions. If they don’t read it can decrease their chances of getting the questions
correct.” Teachers them began to share out testing strategies. One teacher said, “I like to have
my students take notes as they read passages and underline key words.” Another teacher added,
“I noticed that students have trouble transferring information to the bubble sheet. Sometimes
they fill in the wrong bubble or skip a row. So, I think it will help if students practice bubbling
and transferring information to a bubble sheet. It might help if we start using bubble sheets
more frequently so they can practice transferring their answers.” Ms. B then explained, “Last
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year I gave my class two English questions and two math questions each daily. I think it helped
because they had an opportunity to practice test taking skills and we didn’t have to spend too
much time on testing practice.” The matters of discussion were brief, to the point, moved at an
efficient pace.
Theme 3: Collaboration. Interview data also revealed that teachers work together to
accomplish instructional goals. According to Ms. C, “In staff meetings we work together. For
example, when we were establishing the writing rubric, we did it together. Also, when we were
doing like the presidents and that stuff, we also did it together. Our speeches, too, we did it
together” (personal communication, March 12, 2012). Another teacher, Ms. B stated, “We do a
lot of collaboration” (personal communication, April 25, 2012). Also according Ms. S added,
“We [Hillcrest teachers] want to make sure we are collaborating” (personal communication,
March 21, 2012). These findings indicate that at least three out of the five teachers perceived
“collaboration” to be a key process and or the types of interactions that took place regularly
during staff meetings.
Observational data also supports this finding. In the same meeting, the next item on the
agenda was to address school accreditation matters. Ms. Anderson passed out the WASC
materials and shifted focus to matters related to WASC. She explained “Last week we looked at
our new Expected School-wide Learning Results (ESLRs). What I would like for us to do is
come up with descriptors that go under each of the ESLRs.” “Last week we decided that one of
our ESLRs is for our students to be self-directed learners.” She explained further “I went on the
internet to get descriptions of self directed learners. This is what I found.” Ms. Anderson then
passed out a sheet with an example.” The handout included 15 qualities associated with “self
directed learners.” Ms. Anderson then stated, “Please take a few minutes to review this handout.
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I would like to know what we all think it means to be a self-directed learner and feel free to
select examples from the handout.” Teachers then shared out and began selecting ideas. While
teachers shared out their ideas Ms. Anderson took notes. These interactions provided further
evidence of group discussion and also provided evidence of teacher collaboration. In this
example, Ms. Anderson stated, “we decided that one of our ESLR’s is…self-directed learners.”
This indicated that Hillcrest teacher collaborated and decided as a group that self-directed
learners would be a key learning outcome in the school. Teachers also “select examples” and
“shared out” what “self-directed learners” meant. Thus, teachers collaborated on selecting the
ESLR’s and held discussion around what it meant, and collaborated on the descriptors that would
define “self-directed learner.”
Ms. Anderson then said, “What about being effective communicators?” She again sought
input from Hillcrest teachers and they began to share out ideas. All of the teachers took notes
while each of them shared out. One teacher stated, “effective communicators have good voice
projection.” Other teachers also shared out and provided a series of other ideas. This included
“making eye contact”, “the use of hand gestures”, “engaging the audience”, “content
knowledge”, and “self-confidence”. This manner of sharing out ideas was the process that was
used for the remaining ESLR items to be covered in the agenda. For the rest of the meeting,
Hillcrest teachers collaborated on creating descriptors for “Complex Thinkers”, “Effective
Writers”, “Collaborative Learners/Community Builders”, and “Proficient Technology Users.”
This finding indicated that teachers collaborated on the WASC accreditation process. Teachers
selected and defined the language for what these things meant and consequently set the tone for
what they would mean in practice. The school accreditation process facilitated the opportunity
for teachers to collaborate on expanding the vision in areas that had not been fully developed.
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Teachers at Hillcrest were co-authors of the school vision and had influence on the types of
models and settings that were present in the school. This suggested that the internal processes at
Hillcrest provided evidence that “teacher empowerment” represents a dominant cultural model
and personifies the kinds of interactions and relationships at Hillcrest. Kanungo (1992) proposed
that empowerment be viewed as enabling, rather than delegating: Contrary to the concept of
delegating, which is closely related to first order change, “…enabling implies the creation of
conditions which heightens the motivation for task accomplishment through the development of
a strong sense of personal efficacy” (p. 418). This suggests that when teacher empowerment is
present you are likely to have greater motivation among teachers. Based on these assumptions, it
can be concluded that Hillcrest teachers were likely to be motivated as a result of the emphasis
on presence of teacher empowerment.
Interactions such as these are common in professional learning communities. According
to Louis, Marks, and Kruse (1996) a professional learning community is measured by six
components: “shared sense of purpose, collaborative activity, collective responsibility, collective
focus on student learning, de-privatized practice, and reflective dialogue” (p. 769). Therefore,
the data discovered in this dimension confirmed that the types of interactions that were present
were consistent with characteristics that are common in professional learning communities.
Dimension 5: the Organization's orientation to work and task. The final dimension that
emerged from the data was Hillcrest’s orientation to work and task. According to Detert et al.
(2000), one key cultural element is the organization’s orientation to work, task, and coworkers.
This dimension, as presented by Detert et al. (2000), reveals the extent to which the main
purpose of the organization is to achieve results that its stakeholders consider important as well
as whether results are achieved through an internal process for improvement, solving problems,
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and customer focus. Furthermore, Detert et al. (2000) argues this dimension offers a level of
evaluation that explores the point of focus of the organization that has an effect on the rationale
for why things are done as they are in the organization. The data revealed that Hillcrest had a
strong orientation toward parents. Two themes were present in the data. The findings revealed
that Hillcrest Elementary enlisted and placed expectations on parents in order to achieve school
objections. A second theme emerged in that Hillcrest parents also placed expectations on the
school. Thus, the placing of expectation between parents and the school was determined to be a
bi-directional and bi-lateral relationship.
Theme 1: Expectations placed on parents. The data revealed that Hillcrest staff placed
expectations on parents and enlisted parents in order to achieve school goals. For example, when
asked to discuss what she perceived to be key components of the school culture, Ms. S stated,
“They [teachers] want to make sure we are communicating with parents because parents are a
major part of our school” (personal communication, March 21, 2012). In this statement, Ms. S
acknowledged that communicating with parents was a key norm in the school. This indicated
there was an “internal expectation” among teachers that parent communication was expected
among all members of the group. This internal expectation was also evident as indicated by
another teacher. In Ms. N’s explanation of what makes the school unique she stated, “They
[teachers] require a lot of parent involvement. We have a lot of ongoing communication with
parents like emails and stuff” (personal communication, March 15, 2012). Here in Ms. N’s
reference to “we”, this indicated that there was an internal accountability among teachers that
“ongoing communication with parents” was a key orientation related to Hillcrest’s work and
tasks.

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Statements from teachers also revealed that other expectations were placed on parents at
Hillcrest beyond ongoing communication. For example, when asked how she would describe
Hillcrest, she stated, “I would say it is tight knit…The kids and parents, I think, would both need
to be ready to work hard in order to make the kids successful” (personal communication, March
15, 2012). This revealed that this teacher perceived the work of schooling involved significant
effort on the part of parents. This statement indicated that “parents” were expected to “work
hard in order to make kids successful.” Thus, parents were expected to contribute to learning at
Hillcrest in ways that supported student achievement. Another teacher also expressed that parent
involvement was also a key part of her educational philosophy. According the Ms. B she often
communicated with parents. “Education is based on three main components. It's like a three-
legged stool, parent, teacher and a student. If one of the legs is shaky, you're not going to get a
balanced feel” (personal communication, April 25, 2012). In this statement, Ms. B, provided
evidence that she held “parent involvement” as a key cultural model. Observations and
documents were also consistent with these findings. Parents were observed to be very involved
throughout the day. Parents were found to be present in various classrooms, and for extended
periods of time, and assisting the Principal in various ways while on school grounds. Documents
also revealed that parents were also expected to play a key role in homework assignment and
major projects. Examples like these were found in classroom newsletters and weekly homework
packets.
Theme 2: Parents influenced what took place in the school. Furthermore, statements
from interview data suggested parents had a big impact on practice and what occurred in the
school. According to Ms. C, “the level of parent involvement enable her to raise her
expectations and influence her to develop a more dynamic expectation of what students could
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achieve in her grade level” (personal communication, March 12, 2012). She continued, “parents
are always in the classroom ‘helping out’ and this has allowed me to put more expectations on
students in the classroom.” Again, observation data confirmed this finding where parents were
frequently found to be present in classrooms.
A statement made by the Principal in a later discussion also provided evidence that
parents influenced what took place in the school. According to Ms. Anderson, “Recently, in the
last two years I have received pressure from parents to kind of formalize things in the school”
(personal communication, March 5, 2012). Ms. Anderson further explained, “Many of them
want us to make things more routine as far as school policies and things like that.” This
suggested that parents have played a key role in what the Principal focuses on in the
organization. Ms. Anderson agreed that she “needed to formalize things because the school is
getting bigger.” Although she may have come to this realization prior to receiving pressure from
parents, this indicated that parents might have influenced Ms. Anderson to make this transition
sooner than later. According to Ms. S:
I think that if it was just the kids and me, I would be perfectly fine, but there are always
some parents involved. Not all of them are bad or anything, but some of them don’t
agree with my teaching style.” “I mean, a lot of parents love me and how I am, but there
are always a few that are not.” “I think I cause the most headaches for Ms. Anderson.”
“Well, there are a few parents that always complain (personal communication, March 21,
2012).

These statements by Ms. S suggested that parents played a major role in the Hillcrest cultural
environment and have influence on the mental models for what is believed to be acceptable
teaching practices. As a result, she perceived that parent interactions also influenced how Ms.
Anderson perceived her as a teacher. These interactions between teachers and parents at
Hillcrest, as identified through parent communication, norms, and parent influence on mental
models in the school furthermore indicated that parents are key influential stakeholders at
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Hillcrest. Hillcrest was not only dependent on parents to achieve the school mission as indicated
in various statements, but parents also influenced the cultural models and settings in the school.
School culture type. The conceptual framework for this study called for an evaluation
of cultural patterns; this can be evaluated through an analysis of cultural types (Ouchi, 1980;
Smart & St. John,1996; Bolman & Deal, 2008) and relates to the following research question:
Research Question 1(c): What are the school culture elements in the school in relation to
instructional improvement? This analysis involved analyzing patterns within three sub-
components embedded within cultural data. These included recruitment patterns, organizational
systems and procedures related to instruction, orientation and focus, and manner of interactions
among members.
The findings revealed that the organizational culture at Hillcrest Elementary resembled
the Clan Culture Type. Several factors supported this finding. First, according to Berrio (2003),
Clan Cultures have a concern for people and are sensitive to customers. These characteristics
were found to be present at Hillcrest where the Principal and teachers were sensitive to one
another’s needs. Hillcrest was also found to be sensitive to the needs, requests, and expectations
of parents.
Second, Berrio (2003) argued that Clan Cultures view its leaders as having the role of
mentors or facilitators. This was also a key characteristic of Hillcrest Elementary where teachers
viewed the Principal as a mentor, helper, and supporter. Observations also supported this finding
where the Principal often facilitated opportunities for teacher collaboration around organizational
objectives. Thus, the Principal played a leadership role that was consistent with the role leaders
play in Clan Culture organizations.

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Third, the Clan Culture type is also characterized as a family type organization and
represents a friendly place to work (Berrio, 2003). Hillcrest’s school culture was also consistent
with this quality where staff interactions were determined to be a family-like environment and
the school resembled a small community. Hillcrest staff also indicated that the relationships at
Hillcrest were friendly and positive. Thus, the school culture at Hillcrest personified these Clan
Culture qualities as well.
Next, Cameron & Quinn (1999) also identified other key qualities of Clan Culture Types.
They argued that Clan organizations emphasize individual growth, morale, teamwork,
cooperation, and consensus. As indicated in the findings for Tier II, these factors were also
found to be present at Hillcrest where interactions between staff were found to be positive,
collaborative, open, and supportive.
In addition to the indicators presented above, Ouchi (1980) also provides other key
qualities of Clan Cultures. According to Ouchi (1980), the Clan culture type is defined as
organizations in which individuals are socialized to believe that the goals of the organization are
their own. He further explained that Clan Cultures rely on employee socialization as the
principal mechanism of influence. The culture at Hillcrest was also consistent with these
qualities. Hillcrest teachers were considered key stakeholders and decision makers. They were
expected to play a key role in deciding what organization objectives were established as well as
how they were implemented in the organization. This suggested that school goals and teacher
goals were strongly linked. This example is consistent with how Clan Cultures socialize cultural
members. The recruitment process also suggested that new members were hired, only after
being evaluated based on their likelihood that they would be productive members of the school
community. This might be considered a socialization process for new members in that
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prospective teachers were socialized as members prior to becoming official members of the
organization.
Finally, Ouchi (1980) conceives his conception of Clans from an analysis of Japanese
industrial firms. In speaking about the Japanese firms he observed, “they rely to a great extent
upon hiring ‘inexperienced’ workers, ‘socializing’ them according to accept company goals as
their own” (p. 132). This was also evident of the types of employees that were at Hillcrest. It
was evident that the Principal hired teachers that were relatively new to the profession and were
believed to be self-motivated individuals. This practice was also found to be consistent with the
socialization practices of Clan Culture type organizations.
Tier III Findings

The purpose of this section is to discuss the following research question: Research
Question 2 (RQ2): To what extent is the school culture likely to influence teachers’ willingness
to improve their teaching practice? This question set out to evaluate the extent to which the
leadership and school culture factors at Hillcrest indicate the elements of change are present and
reflect an environment that is conducive for improvement in instruction to occur. Three sub-
research questions were established to dissect the data associated with RQ2 in order to better
understand Hillcrest as a bounded system. The following sub- questions are explored to answer
the Research Question 2:
a. To what extent are the elements of change present in relation to instructional
improvement?
b. In what ways are the school’s workplace conditions likely to support or impede
teachers’ willingness to improve their practice?
c. To what extent are various contracts likely to be sustained or violated?
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This section will discuss each sub-question in detail and the findings for the overarching research
question are discussed in detail.
As presented in the conceptual framework, the elements of change are indicated through
the presence of Expectations, Individual Responsibility, and Accountability Mechanisms.
According to Elmore (2004), Expectations are collective in nature and they characterize the
shared norms and values school participants develop to get the work done. Individual
Responsibility is what people value and what they perceive to be their responsibilities to
children. Accountability mechanisms are the variety of formal and informal ways that people
give account for their actions. The conceptual framework also makes the connection between the
“elements of change” and congruence. This study’s framework argues that the presence of
expectations, accountability, and responsibility in a school system is a form of congruence
between the espoused beliefs (ways of thinking) and actual practices (ways of acting) in an
organization. Furthermore, “congruence” is reflective of a strong culture.
Elements of change. Based on the data collected there is significant evidence to suggest
that the elements of change were present in relation to instructional improvement. The following
section discusses the themes that emerged from the data and the extent to which expectations,
accountability mechanisms, and individual responsibility were present at Hillcrest Elementary.
Theme 1: Clear and shared expectations. According to Elmore (2004), expectations are
collective in nature and they characterize the shared norms and values school participants
develop to get the work of school done. Interview data demonstrated that Hillcrest staff had
shared expectations, norms, and values in relation to instruction. For example, when elaborating
on the Principal’s leadership style, Ms. S explained:
She [Ms. Anderson] is always reminding us to make sure that we do certain things like
linguistics because that’s our main focus at the school - linguistics, to make sure that we
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incorporate that in all of the lessons, not just in language arts but also in math and writing
and so forth(personal communication, March 21, 2012.

According to Ms. S, the Principal consistently reminded staff about her expectations regarding
linguistics. This signified that Ms. Anderson vocalized her expectations in order to influence
teacher practice around linguistics.
Another statement from Ms. Anderson explained how teachers might have come to share
her expectations. For example, when asked to give insight as to why she thinks the teachers
support the school’s vision, Ms. Anderson stated, “They do it pretty much because I keep asking
them, ‘Make sure you’re doing this,’ every time we meet” (personal communication, February
27, 2012). Based on this statement Ms. Anderson believed that the reminders had a significant
effect on teacher behavior. Based on her perspective, the frequency of communicating
expectations sufficiently led to the actions she desired. Ms. Anderson also explained, “One of
the things I always do is let the teachers know why we do what we do” (personal
communication, February 27, 2012). In addition to teachers being mindful of expected cultural
norms related to instruction, the Principal communicated her beliefs and reasoning behind the
expectations she established. This prescribed process could be understood as a mechanism that
enables teachers to connect with the Principal on a deeper level; where the leader’s motives,
interest, and passions establish greater meaning behind expected cultural norms. This
perspective is supported by Day (2004), who found that a common characteristic among a
sample of successful school leaders was their passion for teaching, instruction, and students, and
such passions served as a major asset in their [exemplary leaders’] abilities to influence school
improvement. Ms. Anderson elaborated further, “Once they have an understanding of it they
say, “Oh, okay, that makes sense,” and then they’re more likely to adopt it and implement it”
(personal communication, February 27, 2012. This suggested that she believed that sharing her
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motives created the opportunity for teachers to increase understanding behind what was expected
as well as created opportunities to establish agreements staff members. The Principal believed
that sharing her motives was necessary to obtain buy-in and to the point where expectations
would become a shared norm. This belief is consistent with Hargreaves (1995) who argued that
teacher buy-in and school improvement occurs when there is agreement between staff about
what steps to take to solve school challenges. However, Turnbull (2002) argued that teacher
participation in decision-making is necessary to obtain buy-in. Therefore, while communicating
her motives can provide opportunity for agreement, the literature suggested that it may not be
enough to obtain buy-in. According to Turnbull (2002) teachers need to be included in the
decision making in order for complete adequate buy-in to occur.
Ms. N also provided support for this finding. When explaining the Principal’s leadership
style she stated, “Definitely she’s had a great impact on it as far as kind of having a strive to
always push the kids to do well. She has really high expectations. That, I think, has been a good
motivator, because you want to keep up” (personal communication, March 15, 2012). This
indicated that Ms. N perceived the expectations place on her motivated her to share the same
expectations. When making a connection between the knowledge obtained from Ms. C and Ms.
N, it can be understood that multiple mechanisms were at play when the Principal set
expectations. The statements presented above painted a clearer picture of how expectations were
established and how these expectations influenced the environment at Hillcrest. The notion that
setting expectations is beneficial for learning environments is consistent with extant research.
Research suggests that setting high but attainable goals is the first step toward school
improvement (Williams, Kirst, Haertel et al., 2010).
The data suggested there were also examples in which teachers expressed shared
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expectations and shared norms. For example, when discussing Ms. Anderson’s focus, Ms. C
explained, “That’s one thing that she does; have high standards” (personal communication,
March 12, 2012). When asked about how one goal was established, she further explained,
“Yeah, it was her goal.” When I sat down with her, she told me,:
This is what I want. I want students to be learning 10 words a week, and I want them to
be reading like that. At first, I was kind of like—Wow, really? Okay. I’m like, “I’m
going to try my best to see it happen. I kind of doubted it. I’m like 10 words is kind of a
lot. Then, they were able to do it. After that, I was like okay, we’re going to keep going
from there (personal communication, March 12, 2012).

As indicated in this statement, Ms. C perceived that the Principal established a challenging
academic goal, and later comes to believe in greater possibilities after achieving the goal. As
indicated in this statement, Ms. C would not have worked to obtain the goal, had the Principal
not set this standard. In this example, the communication of an expectation gave Ms. C
something to strive for. As a result, Ms. C could not be complacent but had to adjust her
teaching accordingly. Ms. C also stated that she “kept going” after having the opportunity to
achieve the goal. At that point it can be said that Ms. C began believing in the goal and this
provided evidence that the expectation regarding high expectations become one that was shared
between her and Ms. Anderson.
Other statements also offered insight into the shared expectations at Hillcrest Elementary.
For example, when asked about the processes that take place related to instruction, Ms. C stated,
“In the staff meetings, again, we work together. For example, when we were establishing the
writing rubric, we did it together. Also, when we were doing like the presidents and that stuff,
we also did it together. Our speeches, too, we did it together” (personal communication, March
12, 2012). This indicated that a shared norm is the expectation that members of the organization
work together when engaging in the work of schooling and a few examples are offered. Another
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teacher provided support for this statement. Ms. B stated, “One of the things we do is a lot of
collaboration” (personal communication, April 25, 2012). These two teachers expressed a
common expectation that collaboration was key to their work. Therefore, this served as an
indication that collaboration around instruction was a shared expectation that directly influenced
the instructional practices at Hillcrest. Finally, Ms. N also provided insight into the shared
expectations of Hillcrest teachers. For example, when asked what was important to Hillcrest
staff, Ms. N stated, “We want them to do well” (personal communication, March 15, 2012). This
indicated that teachers, including her, believed that all teachers want to do well and that high
standards were beneficial for this reason. As a result, they supported the emphasis on high
standards because they understood that it motivated them to work harder and such efforts would
lead to become better teaching and facilitate greater opportunities where students can “do well.”
When asked about some specific goals Hillcrest teachers had in common, Ms. N stated, “Just
keeping the kids thinking and holding them up to a higher standard. That’s kind of the goal we
have always had” (personal communication, March 15, 2012). This represented and idea she
believed to be shared by teachers. This also signified that holding students to higher standards
was a shared norm.
Theme 2: Teachers had a sense of individual responsibility toward improving
instruction. According to Elmore (2004), Individual Responsibility is what people value and
what they perceive are their responsibilities to children. Based on interview and observational
data, the data suggested teachers have a sense of individual responsibility toward improving
instruction in relation to what the principal expected of them. For example, according to Ms. B:
She has added a linguistic portion to our curriculum, which I just find fascinating. It is
really an amazing component. It’s a little difficult in the beginning to incorporate in
your—you do it, I think, involuntary, but just make a very, very conscious attempt to
engage in it. That is difficult, but we are learning. We are getting used to it and you are
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using the right terminology (personal communication, April 25, 2012).

Two ideas were expressed in this statement. The first idea was that part of the vision was
difficult in the beginning, but she made a conscious effort to incorporate it. She stated that she
implemented these expectations involuntarily. It might be said that it was her sense of
responsibility, based on what was expected of her, that motivated her to make this conscious
effort. She also expressed another idea that she believed the linguistic component to be a
fascinating and an amazing component. This might suggest that she grew to appreciate it after
making a conscious effort to implement it into her daily practices. This also indicated that she
was an agent of this expectation, and this might have occurred as a result of her sense of
individual responsibility to implement linguistics.
Individual responsibility was also shared by other staff members as indicated by their
statements. When asked about linguistics, Ms. S stated:
I don’t know how the other teachers feel about it honestly because we don’t talk about it,
and I don’t know how much they incorporate it in their lessons, but I know that I try to
incorporate it. Sometimes I do, sometimes I don’t, but I always try to like put it in there
[into practice] (personal communication, March 21, 2012).

Here, this teacher also indicated that she consistently tried to implement linguistics into her
teaching. She did not indicate whether or not she believed linguistics to be an aspect of the
vision that was meaningful to her, but she indicated that she made an attempt to put it in to
practice. Despite the fact that there was no indication that this part of the vision was a value she
shared, she still made an attempt to actualize this expectation. This is a prime example of
individual responsibility. She understood that the linguistic component was a significant part of
the school vision and she worked to implement the instructional methods that were associated
with it.
When asked to discuss the extent to which she believed staff shared the same beliefs and
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vision regarding the instructional practices at Hillcrest, Ms. B stated:
That [shared vision] is definitely there, because I do think a lot of teachers do have the
same vision. That is why the part of this school, because it’s not really that big of a
school, that you can just get lost and do whatever you want. You have big schools, three
grades per school, so you kind of can do your own thing. It’s a very small school and we
all know each other. We not only know each other, we know the parents in the other
grades. I think we do believe in the philosophy and the vision of the school (personal
communication, April 25, 2012).
This is another example of how the sense of responsibility was found to be present at Hillcrest.
In this example, Ms. B believed that Hillcrest was an environment where teachers could not
work independently, but teachers were part of a community that worked toward a common
vision. This was an indication that she had a responsibility to implement the vision and this
example provided greater support for how responsibility was found to be present at Hillcrest.
Theme 3: Accountability mechanisms. Accountability mechanisms are the variety of
formal and informal ways people give account for their actions. Based on interview and
observational data, the data indicated that formal and informal accountability mechanisms were
present at Hillcrest.
Informal accountability mechanisms. The data suggested that there were a number of
informal accountability mechanisms that influenced instructional improvement. For example,
when asked about accountability, Ms. Anderson stated, “When I’m in classes, because I always
walk around in classrooms, I just kind of make sure that they’re doing that [what is expected]”
(personal communication, February 27, 2012). Statements from teachers are consistent with this
remark. For example, when asked about the Principal’s daily routines, Ms. C stated, “She comes
in here on a daily basis. Sometimes now it’s like every other day. I know my other campus we
were at, she would come in on a daily basis at least just to check-in” (personal communication,
March 12, 2012). Thus, the Principal always walked around. This occurred daily in order to
check in with the teachers to ensure they were implementing expectations related to instruction.
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Ms. C elaborated more on what took place during classroom visits. She added, “She goes
around and asks us, “How is it going?” She gives us advice on how to fix it, if we tell her that
we’re having trouble with it.” A statement by Ms. S also supported these statements. According
to Ms. S:
She comes in and checks periodically, at least every day, once or twice a day. She’ll
come in just to look at the kids work, see if we’re doing our jobs and that kind of keeps
us on point because if—I know at my other schools in the B.A. Unified School District,
the principal hardly ever comes. If I were one of those teachers that didn’t put forth that
effort, then easily I could have just slid through without teaching anything, but she kind
of holds us accountable for everything (personal communication, March 21, 2012).

This teacher perceived that the Principal kept teachers “on point” or “focused” by visiting
regularly and often more than once per day. This also indicated that the teacher believed this
held them accountable to implement instructional expectations. According to Ms. H, she stated,
“She comes in and observes…she comes in every day and she watches parts [of the lesson]. She
comes here, she goes there, and she’ll come a couple of times a day. She’s always watching us
teach” (personal communication, March 22, 2012). Thus, simply watching teachers in action
created a sense of accountability according to this teacher.
Ms. Anderson also served as a support provider for teachers through the Beginning
Teacher Support and Assessment [BTSA] program. This also served as an informal
accountability mechanism. Accountability was enhanced at Hillcrest by the manner in which
Ms. Anderson played the role of a mentor. As indicated in Tier I, the Principal offered advice
and mentored teachers on a regular basis. Serving as the BTSA support provider created the
opportunity for the Principal to play more of a hands-on role in the development of teachers and
consequently made her more aware of the needs and likely the strengths and areas improvement
of her teachers. This was likely to add to greater transparency between the Principal and the
teachers involved.
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In addition, accountability mechanisms were present as a result of the small school
environment. For example, when asked to what extent Ms. B perceived there was buy-in, she
stated, “I do think a lot of teachers do have the same vision”. This indicated that she perceived
there to be buy-in. Ms. B further explained why she believed this was the case:
That is what is significant about this school; because it’s not really that big of a school,
that you can just get lost and do whatever you want. You have big schools, three grades
per school, so you kind of can do your own thing. It’s a very small school; we all know
each other. We not only know each other, we know the parents in the other grades. I
think they do believe in the philosophy and the vision of the school (personal
communication, April 25, 2012).

This indicated she believed that the level of buy-in was a result of the small school environment.
She also held the perception that Hillcrest teachers knew each other’s strengths and areas of
need. This signified that this teacher believed there was a transparency that was present at
Hillcrest resulting from a small school environment. This further signified that the degree of
transparency created an atmosphere where it was difficult for members of the organization to not
internalize the vision without other members of the organization being made aware. Finally, this
suggested that there was also an internal accountability that was present resulting from
transparency that was a consequence of having a small school environment.
Ms. Anderson offered further insight on how classroom visits contributed to the level of
accountability at Hillcrest. She added:
You can tell by how kids are responding, and when I do my observations, if they’re
doing a story they know they need to include those types of things. It’s just about asking
them [teachers], “Are you doing this? Are you making sure? How are the kids
responding to it? Are the kids receptive? Do they understand what inferential questions
look like (personal communication, February 27, 2012)?

This statement revealed that the Principal inquired as to the progress of students related to
instructional expectations. These inquiries created informal opportunities for teachers to think
about, reflect on, and give account of their teaching. Ms. H also added, “She’s always concerned
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about how we’re doing. She’s on top of like everything we’re going to do” (personal
communication, March 22, 2012). This indicated that the Principal’s presence on campus and in
classrooms served as an accountability mechanism. The Principal was highly engaged in what
teachers were doing, highly involved, and was concerned about their development and progress
as teachers. This indicated that being involved and engaged in what was happening was also
another informal accountability mechanism. It must be noted that simply being in the classroom
does not necessarily mean that a Principal is engaged or involved. For example, a school leader
could be present in the classroom, but not necessarily interested or engaged in the day-to-day
activities of what is being observed. In the case of Hillcrest, the Principal was found to be both
present and engaged. The Principal at Hillcrest was present in the classroom and was involved
in the day-to-day experiences of teachers. While engaging with teachers, the Principal initiated
informal conversations that stimulated teachers to think about and evaluate their teaching and
student progress in relational to instructional goals. While these findings were found to be
present in teachers’ statements, observational data also supported these findings. While
shadowing the Principal and seeing the Principal in action, it was evident that the Principal was
often present in the classroom and highly involved and engaged in the day-to-day activities of
Hillcrest teachers.
Formal accountability mechanisms. The evidence suggested that formal accountability
mechanisms were also present at Hillcrest. When asked about the evaluation system, Ms. H
explained:
We have four observations, two are formal, two are informal, and those are like where
she actually will come and sit down through the entire lesson…there are those four times
when she’ll stay like throughout the entire lesson and see everything from beginning to
end….Yeah, that’s for the formal ones, the two formal ones. We have a pre-observation
form to fill out, and then a post-observation, which is where you reflect on what went
well and what didn’t go as well. It’s pretty much the same as when you’re doing your
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student teaching where they have you do like your lesson plan first, and then they come
sit and observe you and then you do a reflection basically, so it’s pretty much the same
(personal communication, March 22, 2012).

Ms. S also supported this statement. When asked about the evaluation system at Hillcrest, she
stated, “She [Ms. Anderson] does the pre and then she asks us what we’re going to do, and then
she observes and then she does a post. She says the pros [positive findings that were discovered
during the Principal’s observation] and also like what we can work on to make our lessons
better.” The presence of a formal evaluation system that is comprised of observations and one-
on-one meetings with the Principal was corroborated by Ms. Anderson: “We do the normal
formal observations per year with pre and post meetings to discuss expectation and the progress”
(personal communication, February 27, 2012). Documents also supported these findings where
teacher evaluation forms were consistent with teacher statements. Therefore, the data collected
in this case offered meaningful information regarding the formal and informal accountability
mechanisms that were present at Hillcrest.
Workplace conditions. A second part of Tier Three explored whether there are
inhibitors to change within a bounded system. The following research question was explored:
Research Question 2(b): In what ways are the school’s workplace conditions likely to support or
impede teachers’ willingness to improve their practice? According to the conceptual framework
three assumptions provide the basis for this level of analysis. One key assumption of evaluating
the inhibitors of change is that when contracts (i.e., relational, distributive, etc.) are violated
basic human needs are not met. According to Maslow (1954) basic human needs include safety,
affiliation, self-actualization, and achievement. Based on the information provided in the data,
there was no evidence to suggest that the needs of teachers were not being met. Therefore,
workplace conditions were likely to support rather than impede change toward instructional
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improvement. The following sections present the key themes that emerged from the data
regarding workplace conditions.
Theme 1: Strong and positive affiliation. The data suggest that teachers perceive there to
be a positive affiliation between organizational members. For example, according to Ms.
Anderson, she stated:
Well, I think we have a very friendly environment, and I think that the staff that we have,
we gel. Everybody gets along. It’s smooth. We don’t have one person offbeat doing
their own thing with an attitude. It’s a very pleasant environment. We don’t have
negativity where people are hostile [laughter] and thing like that. I would say it’s a very
friendly, cooperative environment. I believe that everybody is here to see the success of
the school, and everybody works for the success of the school (personal communication,
February 27, 2012).

Ms. N also stated, “It’s nice. It’s like a little family.” Ms. H also stated, “We get along
really well.” Finally, when asked about the relationship at Hillcrest, Ms. S stated, “Yeah, the
relationships are good. We’re all friendly. In my past experience [with other schools] there was
always drama. Over here, there is none” (personal communication, March 21, 2012). These
statements suggested that there were positive interactions and relationships among Hillcrest staff.
This furthermore indicated that teachers feel connected and positively associated with the
members of the organization. Observational data also supported these findings where teacher
relationships and interactions appeared to be positive. Therefore, the relational needs of teachers
did not appear to be violated in based on the data obtained.
Theme 2: A supportive environment. The leader’s style and approach affirmed that the
environment promoted change rather than inhibits it. As indicated in Tier One, five out of five
teachers described the principal as being “supportive” and “helpful.” Therefore, the presence of
a supportive environment indicated that teachers had what was needed, be it resources,
information, or other assistance, to support them [teachers] with achieving the goals that were
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established. This signified that they were likely to be more confident in their ability to fulfill
their organizational duties as teachers and agents of change. This furthermore indicated that the
supports provided at Hillcrest were also likely to influence teachers’ willingness to improve their
practices and their movement toward instructional change.
Theme 3: Teachers felt the environment was open and safe. As presented in the Tier
One findings, teachers indicated that the Principal was approachable and that they often sought
her feedback and advice. This indicated that teachers felt safe to communicate openly with the
Principal. Furthermore, teachers were positively affiliated, depended on, and supported one
another. According to Ms. S, “We are always open to share ideas. I trust them [the teachers at
Hillcrest]” (personal communication, March 21, 2012). Statements similar to this permeated
throughout the findings in Tier One. Observational data also reinforced these findings. The
level of trust and positive interactions appeared to be evident in Hillcrest teachers’ day-to-day
interactions and dependence on one another. If teachers felt threatened by the environment it is
unlikely that teachers would feel free to communicate, go to, or seek advice from the Principal,
and depend on one another to the extent identified in the data. Thus, there were no indicators
that teachers felt unsafe at Hillcrest and, in addition, these conditions likely influenced teachers’
willing to improve their practice.
Theme 4: Collaboration. Tier One and Tier Two data suggested that Hillcrest teachers
collaborated often and worked together to achieve the work of schooling. Teachers were also
dependent on one another and sought advice from one another. This indicated that affiliation
was strong in relation to instructional matters. There was no evidence to suggest that teacher
affiliation or the types of interactions that were present at Hillcrest inhibited teacher progress or
change. It is likely that established routines and expectations would be made ineffectual if
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members of the organization held negative or resentful feelings toward one another. This did not
appear to be the case as indicated by interview or observational data. On the contrary, teacher
collaborations appeared to be positive and productive, where all teachers appeared to be engaged
in the processes identified in the Tier II findings. Therefore, these workplace conditions were
likely to support teachers’ willingness to improve their practice.
Theme 5: Teacher empowerment. Teacher empowerment was an indication that
teachers had the opportunity to self-actualize. When Ms. S was asked if she felt there was room
to grow in the organization she said “yes.” Observational data also indicated that teachers also
received opportunities to share their input regarding school matters. This was an indication that
teachers had the opportunity to receive recognition and acknowledgement for their contributions.
According to Ms. Anderson:
Well, I guess it’s the selection of the people, and I think that I kind of create that with my
attitude. They know they can talk to me about anything. I’m not one of those people
that’s high strung, overreact type of thing. I’m just kind of one of them. My teachers,
they’re all the leaders of the school, and I just feel like we’re all colleagues. I don’t put
myself up here. We talk, and one of the things is I really support my teachers. If there
are issues with a parent I come in and smooth things over so they don’t have to deal with
a lot of things. I support them, and I think they appreciate that (personal communication,
February 27, 2012).

Thus, the data did not suggest that organizational contracts were violated. The information
provided in this one dimension suggested that teachers worked collegially, were dependent on
one another, and teacher empowerment was evident. Again, observational data supported these
findings as presented in Tier I and Tier II. Therefore, teachers at Hillcrest had opportunities to
thrive and grow as professionals; they took on responsibilities as partners of the school vision
and had influence and authority regarding school matters. These workplace conditions were
likely to support teachers’ willingness to improve their practice. Finally, no patterns emerged
that suggested that there were any barriers that might impede change.
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A second assumption of the conceptual framework is that individuals who have unmet
human needs in relation to instruction and learning loose motivation to begin, persist, at
performing organizational roles, responsibilities, and endure organizational changes
(Maslow,1954; Clark & Estes, 2002). This was not found to be evident in the data. The data did
not suggest that Hillcrest teachers’ expressed any unmet needs. Thus, teachers were found to
begin and persist in their organizational roles and responsibilities. In my observations of
teachers, motivation did not appear to be lacking and teachers did not appear to resist beginning,
persisting, or completing key organizational roles or responsibilities. Observations and
interviews also supported this conclusion as indicated in teacher engagement in linguistic and
language related initiatives as discussed in Tier II. On the contrary, as presented in the sections
on the elements of change, teachers appeared to not only begin, but also persist in the
instructional changes that were established by the Principal. These findings also suggested the
workplace conditions at Hillcrest were likely to support teachers’ willingness to improve their
practice.
Organizational contracts. The following research question was explored: Research
Question 2(c): To what extent are various contracts likely to be sustained or violated? One key
assumption of evaluating the inhibitors of change is that when human needs are not met, then
various contracts are violated. Based on the information presented in the findings there was no
indication that staff needs were perceived to be unmet at Hillcrest. As presented in the previous
section, there was evidence to suggest that affiliation, safety, actualization, achievements were
positively associated at Hillcrest.
Theme 1: Interactional contracts. Interactional violations occur when the quality of
interpersonal treatment rendered in the organization is poor. The relationships between the
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Principal and teachers and between teachers and their colleagues were strong. The
communication between staff members was open and benevolent. Teachers displayed both
influence and authority over instructional decisions. Teachers respected the Principal leadership
abilities, passion, vision, and direction. Therefore, teachers at Hillcrest perceived that the
interpersonal contracts were upheld at Hillcrest.
Theme 2: Psychological contracts. Psychological contracts are a belief in an obligation
of reciprocity between an employee and an organization (Andersson, 1996, p.1401). Andersson
(1996) also explained “This is when an individual perceives that the contributions he or she
makes obligate the organization to reciprocate in some manner” (p. 1401). As presented in the
previous sections, teachers felt supported by the Principal and there was no indication that
teachers felt the organization or workplace climate did not reciprocate or support their needs or
obligations. Teachers displayed signs of their responsibility to the Hillcrest mission and vision.
In addition, the Principal [as the founder, director, and instructional leader of the school]
displayed her commitment to support and care for Hillcrest teachers, as well as treat them as
valued members of the school organization. Thus, the data suggested that Hillcrest teachers
perceived the psychological contracts to be upheld or no data suggested otherwise.
Theme 3: Distributive contracts. Distributive contract violations occur when the
expected outcomes yielded by the organization are unfairly distributed. This occurs when there
is job ambiguity, role conflict and confusion, and work overload (Andersson, 1996). This was
not the case at Hillcrest. The findings suggested that teachers understood their roles and
responsibilities as teachers and there was no indication of work overload. Observational data
also suggested teachers were expected to make second order instructional changes that were
challenging yet attainable. In addition, teachers engaged in collaborative processes that
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lightened the workload and enabled the school to strengthen cultural norms. Finally, there were
governance mechanisms in place as well as workplace conditions that were likely to limit self-
serving behavior (Eisenhardt, 1989) and furthermore likely to promote agency, common ways of
thinking and acting leading, that could lead to a strong organizational culture that is orientated
toward instructional improvement.
Summary of Tier III. All of these findings suggested that the school culture at Hillcrest
was likely to influence teachers’ willingness to improve their teaching practice. First, the
elements of change were found to be present. No real inhibitors of change were found to be
present in the data. Workplace conditions were supportive of change and organizational factors
supported the needs of teachers in the organization. Finally, distributive, interactional, and
psychological contracts were sustained and were likely to support change. All of these factors
were likely to increase agency toward instructional change in the organization.
Discussion
The purpose of this chapter was to present the findings for this study. The findings
discussed in this section offered valuable insight into the research questions as well as the
relationships between leadership practices, school culture, and the elements of change that are
essential to school improvement. The following section presents a discussion of the findings
found in Chapter 4.
Leadership practices. The findings suggested that Principal’s belief system played a
major role in the development of school culture. The Principal in this case was influenced by her
personal academic values and she set out to implement practices that she had experienced as a
former literacy coach and teacher. In this case, the Principal’s experience and values, served as a
foundation for what she set out to do and why. This suggested that the Principal built new
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expectations on prior experiences and this enabled her to begin from a point in which she had
significant knowledge and likely a high degree of confidence in what she set out to achieve. This
finding is consistent with Mumford, Zaccaro, Harding, et al. (2000) who found that career
experiences have an impact on a leader’s approach to influencing an organization. The findings
also revealed that the Principal held a belief system about how goals were to be effectively
implemented. Thus, beliefs played a major role in what and how she proposed to engaged in the
work of schooling, which had a tremendous impact on the expected mental and bodily routines,
norms, ways of thinking, and ways of acting of teachers within the organization.
In this particular case, the Principal focused on a few curricular goals that were directly
connected to her beliefs about instruction and teacher development. This study also found that
the perceived level of enthusiasm and passion for the vision played a key role in the creation of
culture. The Principal’s passions were evident to staff members and teachers were receptive to
the Principal’s passions. This might suggest that the level of passion that is exerted by a school
leader can function as an informal communication mechanism by which members of the
organization gauge the level of importance and significance of expected organizational
objectives. This finding, which revealed that the Principal’s passion had an apparent impact on
the cultural environment at Hillcrest, is consistent with Day (2004) who argued that passion is a
leadership quality that is vital to school improvement.
The Principal also acted in a manner in which she consistently reinforced organizational
objectives. As the founder of the school, and consequently it’s mission and vision, she was fully
invested in the school’s success. There was a direct incentive to communicate and reinforce the
vision and do what was needed in order to actualize it. This scenario was different from Schein’s
(1983) study where he explored cases in which founders translated their visions to middle
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mangers in order to enact their organization’s goals. The Principal at Hillcrest took on the
responsibility to implement the vision and directly influence the school culture. This might have
had an influence on Hillcrest’s cultural strength where the mission and vision were less likely to
have been lost in translation.
One might note that a Principal’s effectiveness in creating and managing culture might
also rest on the level of authority and influence he or she has in the organization and including
the practices, programs, and instructional goals that the school sets out to achieve. Isherwood
(1973) found that two types of authority are present in schools; formal and informal authority.
He argued that Principals do not have authority over contractual agreements in recent school
systems. However, in the case of Hillcrest, the Principal had both formal and informal authority,
and including authority over contractual agreements, based on Isherwood’s (1973) definitions.
These factors are likely to have influenced the Principal’s ability to create and manage culture at
Hillcrest. Therefore, the unique powers of the Principal at Hillcrest are consistent with
Isherwood (1973) who found that leaders that have formal and informal authority have greater
influence over organizational culture factors.
The Principal in this case was apparently invested in the vision as the original founder of
the charter and the degree of authority she possessed played in her favor. Even with this level of
authority in place, her ability to effectively implement the culture she envisioned rested on her
ability to articulate the mission and vision, translate meaning, and influence school culture and
teacher practice. This ability can be understood as the Principal’s competencies and skills. The
extent to which the vision was effectively transferred to cultural members depended completely
on the Principal’s focus, skill, and social performance in order to bring to life the program she
envisioned. Thus, the Principal’s skills and competencies might have played a vital role in her
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ability to influence the culture in this particular case. This finding is found to be consistent, once
again, with the research of Mumford, Zaccaro, Harding et al. (2002) who found that a leader’s
skills are vital components of effective leadership.
Cultural elements. While the Principal clearly set the tone for the culture that was
present in the school, members of the organization displayed beliefs and behaviors that were
consistent with the leaders focus and direction. Various cultural elements surfaced that gave
insight into Hillcrest as a uniquely bounded system. Members of the school community utilized
social personal networks and only hired teachers that they had seen in action and who were
already, in some way, affiliated with the organization. This was an interesting discovery. This
might be considered the “good fit” phenomenon where candidates were evaluated informally by
cultural members prior to officially becoming members. This good fit phenomenon cannot be
perceived as something that can be determined in a matter of minutes, through a single interview,
or single observation but occurs over an extended period of time. This could only occur in an
environment where prospective teachers had the opportunity to authentically interact with
various members of the school community. Therefore, the “good fit” phenomenon can be
understood as a mechanism whereby culture is reinforced and strengthened by selecting
members that are socialized to develop bonds, agreements, and commonalities with the cultural
group.
Furthermore, the members of the organization understood reality of work through the
emphasis on data, held meaning around high expectations, and held meaning around language
through what the members of the community called “linguistics.” As exemplified in the data,
teachers defined what linguistics meant in practice and the presence of linguistics signified that
Hillcrest’s cultural system emphasized innovation.
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Innovation through incremental change was also a key cultural model. While the
Principal expected change and improvement continuously, she was considerate to the needs of
her teachers so as not to demand any drastic deviations from what was already set in motion.
This created an environment where goals were challenging yet attainable. This particular
characteristic of Hillcrest was consistent with (Clark, 2003) who argued that academic goals
must be challenging but not impossible in order to initiate progress toward improvement. All of
these factors influenced the schools identity and were factors that made this particular case
unique. Thus, the cultural models and settings resembled qualities such as consistency,
innovation and flexibility, strong bonds and reciprocity between the Principal and all
organizational members. These qualities were consistent with Smart & St. John’s (1996)
conception of clan culture type organizations.
Elements of change. The findings also revealed that the elements of change were
present. First, the Principal held consistent and clear expectations; she gave consistent reminders
and revisited routines and expectations that were communicated at earlier points in the year. The
same expectations were reinforced each year and teachers were expected to expand and improve
on the previous year’s expectations. Teachers were completely saturated with expectations and
yet fully included in the establishment of new expectations, objectives, and outcomes. These
findings were consistent with Elmore’s (2004) perspective of role of expectations when an
organization set out to initiative change.
Second, the findings also suggested that teachers had a clear sense of what their
responsibilities entailed regarding instruction as well as responsibilities for group interaction.
This was evident in teachers’ interpretation and emphasis on linguistics, essay writing, and other
cultural models. There was even congruence between what was important to the Principal and
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what teachers believed to be important. Many of the teachers expressed similar belief and values
such as holding high standards and working collaboratively. Thus, the participants displayed or
indicated that they maintained individual responsibility toward organizational goals. This
finding was also consistent with Elmore (2004).
Third, accountability mechanisms were also evident and both formal and informal
mechanisms influenced Hillcrest’s strong culture. Teachers monitored their own progress and
gave account for their performance. Teachers also gave account to one another regarding the
quality of their instruction. Accountability was enhanced at Hillcrest by the manner in which the
Principal played the role of a mentor. The Principal served as the BTSA coordinator for a
number of teachers. This gave her more of a hands-on role in the development of her teachers
and created opportunities to hold both formal and informal discussions around the progress of
participating teachers. These factors likely increased the level of accountability by making
various teachers’ practices more transparent, and consequently, they had more to be held
accountable for. Thus, the presence of accountability was evident and was also consistent with
Elmore (2004) who argued that internal accountability must be present in organizations to
initiate change.
Agency & alignment. The findings also suggested that there was congruence between
what the leader set out to achieve and the mental and bodily routines embodied by teachers. The
findings in Chapter 4 also signified that there was alignment between the leader’s focus and
teacher agency. A few factors paint a clear portrait as to the potential reasoning for why there
might have been strong alignment and a strong culture in this particular case from the standpoint
of leadership. First, the leader only focused on a few curricular goals. Second, the principal
played a role as a facilitator and mentor and utilized the transformational leadership approach
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through building collaboration, offering support, and providing encouragement, feedback, and
coaching in order to realize the instructional goals that were set forth. Thus, the practices at
Hillcrest were consistent with DuFour et al.’s (2006) professional learning community model. It
was found that teachers worked collaboratively to determine the how the vision was enacted in
reality. This made the vision creation process inclusive of all members, where input was
received from members of the school community. Teachers and parents were key stakeholders
in the school community and both displayed influence and authority in the decision-making
process regarding the school vision and instructional matters. This finding was consistent with
Bauch & Goldring (1998) who argued that collaborative environments empower teachers by
enabling them to exercise both authority and influence. Thus, the Principal created a “we”
culture and the findings suggested that these factors created an environment where teachers felt
personally invested in the mission and vision, which was likely to increase the possibility for
change around instruction to occur.
Inhibitors of change. Finally, no inhibitors of change were found to be present in the
data. The evidence suggested that the Principal was highly involved and engaged in matters
related to instruction and teacher development, and the interactions, models, and settings created
an environment where support, collegiality, and cooperation were present. The school
workplace conditions were found to be positive where the needs of individuals were met. There
were no indicators of cynicism or lack of trust between organizational members. These findings
indicated that distributive, interactional, and psychological contracts were sustained and were
likely to support change, as well as reinforce agency toward instructional change in the
organization.
If the question was asked as to how Principal’s should set out to create a school culture
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that is likely to influence the improvement of teacher practice, the following might be considered
as identified by the findings. The principal must express his or her beliefs and passions
continuously and seek assistance from all stakeholders (Hargreaves, 1995). The principal should
only focus on a few areas of improvement and create opportunities for teachers to buy-in the
change process by explaining, sharing, and creating understanding rather than by delegating
expectations and expecting compliance (Turnbull, 2002). Principals should be careful to not
exhaust themselves by focusing on too many changes at once. Exhaustive expectations are likely
to be unrealistic (Clark, 2003). Furthermore, maintaining consistency of expectations and
flexibility in their implementation are key attributes in instructional improvement (Elmore,
2004).
In this particular case of study, the Principal was present and highly involved (Slayton &
Mathis, 2010), passionate about learning (Day, 2004), and deeply interested in the progress of
teachers and considered them key stakeholders. The Principal in this case was a nurturing
leader, and this quality is what likely gained the respect, buy-in and commitment from
organizational members. Finally, school leaders must understand that various organizational
contracts are present and can easily be broken if ignored (Andersson, 1996). Principals that are
aware of the influence of organizational contracts must feel a sense of commitment to teachers
as they expect the same commitment in return. Therefore, school leaders must maintain qualities
that are consistent with moral leadership (Sims & Brinkman, 2002). These findings and
examples offer meaningful information and leave little doubt as to why agency was found to be
present and why the environment in this particular case was likely to provide an environment
that was conducive for change.
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Chapter Five: Conclusions

This study set out to explore the relationship between three interrelated foci: 1) the
practice of school leadership, 2) school culture, and 3) change. The design of this study set out to
fill a necessary gap in extant research. As discussed in Chapter 1, prior investigations had not
used qualitative data to explore the links between these three factors. This study was designed to
provide rich qualitative knowledge for how the three foci were interconnected in the bounded
system of study. Two overarching questions guided the study: (1) How does the school leader
shape school culture around instructional improvement? (2) To what extent is the school culture
that is present likely to influence teachers’ willingness to improve their teaching practice? The
following findings were discovered in accordance with the established research questions:
Research Question 1: How does the school leader shape school culture around instructional
improvement?
The findings revealed that the Principal focused on four (4) curricular objectives and
focused staff development on these efforts. The Principal’s leadership was reflective of the
Mentor/Facilitator Leadership Style. This created an atmosphere of cooperation, support, and
reciprocity. Finally, the Principal’s approach was reflective of the Transformational Leadership
Approach. This approach enabled teachers to become co-authors of the vision and key
stakeholders of the decision making process. Teachers were unified in the vision through
collaborative processes where they were given influence and authority over the vision, mission,
and instructional objectives. Finally, the school leader created settings whereby teachers
collaborated on goals and objectives that were directly related to her expectations and key
instructional objectives.
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Research Question 2: To what extent is the school culture that is present likely to influence
teachers’ willingness to improve their teaching practice?
In response to this overarching research question, the findings revealed that the school
culture factors that were present were likely to influence the teachers’ willingness to improve
their instructional practices. This was evident because the elements of change (e.g. expectations,
accountability, and responsibility) were present. Workplace conditions revealed that there were
no inhibitors of change that were present in the data. There were no indicators of cynicism, lack
of trust between organizational members, or perceived lack of fulfillment of teachers’ basic
human needs. Furthermore, these findings indicated that distributive, interactional, and
psychological contracts were sustained and were likely to support change, as well as reinforce
agency toward instructional improvement.
Implications

The results offered greater meaning to a number of cultural dimensions that offered insight
into the unique make-up and qualities of this case. After an extensive analysis of the processes
that took place in the bounded case study, it was discovered that transformational leadership
processes, and the interactions that stem from this type of leadership, are nearly identical to
factors that are characteristic of Clan Culture Types. This connection has not previously been
explored and creates an opportunity for the expansion of theories regarding Transformational
Leadership and Clan Cultures.
This study also adds knowledge to the theory of internal accountability. The case study
was composed of a small school setting. The findings offered meaning as to how and why small
school environments might reinforce internal accountability. The findings suggested that the
school facilitated a perceived high degree of transparency that was the consequence of being a
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152
small school. This was found to represent an informal accountability mechanism that further
reinforced the likelihood of instructional improvement.
The findings also provide evidence and implications for how the workplace conditions
observed in the data were found to influence organizational members’ behaviors. Finally, a
connection was made between workplace conditions and their perceived satisfaction of basic
human needs providing greater meaning to organizational contracts and offering greater insight
into what is necessary for contract adherence. This finding offers implications of practice for
school leaders with a moral imperative. This study contributes to the knowledge about
leadership practices that are designed to engage the needs of cultural members. Furthermore,
this study establishes an expanded theory of the application of moral leadership in school settings
whereby moral leaders understand the necessity of reinforcing basic human needs and
organizational contracts. Moral leadership entails that the Principal maintains a commitment to
human dignity. Theories of leadership might also suggest that moral leaders that reinforce basic
human needs and organizational contracts are likely to foster environments that are necessary for
improvement and greater cooperation among members.
This study also explains, in greater detail, what is necessary to create strong alignment
between leadership, culture, and the elements of change along with the mechanisms that make
alignment possible. The actors in the case provide a model of practice for leaders and teachers
for school improvement that sets out to build focused collaboration around targeted objectives.
Finally, this study has implications for culture in that the findings add greater logical schemas
and form to the chaos of culture and the many factors that influence organizational improvement.
This study makes the complexity behind culture and the behavior of cultural actors more easily
understood. Thus, it provides new mental models for Principals to consider and apply when
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153
attempting to influence change toward instructional improvement. These implications might also
have further implications for how schools are led. As a result of this study, leaders might begin
to lead their schools with a more complete understanding of the connection between leadership
practice, school culture norms, workplace conditions, and whether or not their workplace
environment is supportive of change. Thus, leaders might have greater capacity to take
deliberate action to influence change and playing a more active role in shaping the cultures and
conditions that are present in their school settings.
Limitations

There are a number of limitations to this study. First, the results of this study are based
upon a single case or bounded system. When a single case study is conducted, the researcher’s
ability to generalize the results may be limited (McEwan & McEwan, 2003). Therefore, the
results of this study may not generalize to other uniquely bounded systems and school
populations.
Second, the results of this study rely heavily on interview data and the reliability is
dependent upon the level of honesty of participants. This study assumes that the data acquired
are honest representations of the bounded system explored. Thus, this reliability is limited in
that it rests on that assumption.
Third, data was collected over the course of two months and the information obtained is a
snapshot in time in regards to the bounded system. The information was analyzed to provide
insight into the research questions. Therefore, the researcher holds the assumption that this
snapshot is representative of the school system in question.
Last, this study relies on interpretations made by the researcher as the principal
investigator (McEwan & McEwan, 2003). Often, misunderstandings can arise, if the primary
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investigator misinterprets interview data. The findings are limited to the researcher’s ability to
capture information, accurately interpret the data obtained, and associate meaning to the data in
light of the research questions.
Recommendations for Future Research
This study offers two recommendations for future research. First, this study found
insightful information as to how culture in one school was created and how leadership, culture,
and workplace conditions interact and affect one another. Based on these findings it is
recommended that researchers explore the links between leadership, culture, and change, and
their alignment through quantitative means. This study has set the stage to identify and add
meaning to the mechanisms and functions that can be used as key variables to explore the
overlap between all three tiers using quantitative methods.
Second, this study uncovered a connection between small school environments, and
perceived transparency brought by this type of environment, and the informal accountability
transparency creates in a small school setting. Based on this discovery, it is recommended that
further qualitative research be conducted to explore the socio-culture underpinnings behind small
school settings. This study also recommends an experimental design that attempts to explore the
socio-cultural outcomes of facilitating small school environments within a larger school setting.
These types of studies would offer a meaningful extension of the discoveries made in this
dissertation.
Final Conclusion
It was the intent that school leaders would know how to create and manage school cultures
in ways that lead to changes as identified by school reform initiatives. It was also the intent that
school leaders, researchers, and policy makers would (1) become cognizant of cultural
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dimensions and understand how to identify and interpret school cultural messages, mechanisms,
and patterns, (2) Understand the process for how to create and manage culture, (3) Understand
the various workplace conditions that arise from organizational practices, and (4) Understand the
relationship between workplace conditions and psychological contracts and the implications
these factors are likely to have on teacher practice change. These intentions were richly fulfilled.
This study provided detailed information about the process related to leadership. The three tiers
offered insight into how the leader created and managed culture and there are deep implications
for how these practices influenced the shared cultural models and settings that were embodied by
cultural members.
While the process for the ways in which this particular Principal created and managed
culture in this particular setting may not be replicated, the conceptual model for linking
leadership, culture, and change toward instructional improvement can be used to inform
educators and policy makers that are focused on school reform. Each case study will offer
different results and new information about the unique qualities of any given cultural setting and
the unique interactions between members. However, before we can improve teacher practice in
ways that lead to school improvement, we must first explore various models that give insight into
the types of environments that are optimal for change to occur. This will continue to be an
ongoing enterprise.
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Appendix A:

Informed Consent Letter

Dear Teacher,

My name is Lawrence Wynder, and I am a doctoral candidate in the Rossier School of Education
at University of Southern California. I am conducting a research study that aims to explore how
school leaders shape school culture around instructional improvement. You are invited to
participate in the study.

If you agree to participate, you will be asked to complete an interview and allow the researcher
to observe your school related activities. Interviews will take approximately 1 hour and
observation will take approximately 1 hour. The interviews may be audio taped.

You may also be asked to provide and you and artifacts that may provide insight into the ways of
thinking and ways of acting that are present in your school setting. You are welcome to offer
any non-confidential documents that you think are relevant to your school’s unique
organizational culture related to instruction.

Your participation in this study is voluntary. If you have any question or would like to
participate please contact me, Lawrence Wynder, by telephone at [personal information omitted].

Thank you.

Lawrence C. Wynder
University of Southern California

ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

168
Appendix B

Research Questions Guide

1. How does the school leader shape school culture around instructional
improvement?
a. What are the leadership beliefs, values, style, and approach of the school
principal relation to instructional improvement?
Principal
• What inspired you to become a
principal? How did you become a
principal?
• What do you believe is your role as
principal regarding teaching and
instruction?
• What best describes leadership
style? (Innovator, Mentor,
Organizer, Producer) Why?
• What teaching strategies and
methods do you believe need to be
practiced by all teachers?
• How would you define quality
teaching?
• What does it take to develop quality
teachers?
• What is your philosophy of how
learning takes place?
• What do you have any goals that
you would like to accomplish this
year?
• Why have you selected these goals?
• What do you think needs to be in
place for teachers improve and
accomplish the goals of the school?
• What do you think motivates
teachers to improve?
Teachers
• What do you believe best describes
your principal’s leadership style?
(Innovator, Mentor, Organizer,
Producer) Why?
• What do you think your principal
values most?
• What goals does your principal
want to achieve this year?
• What role does your principal play
regarding teaching and instruction?
• How would you describe your
principal’s communication style?
• What kind of leader do you think
you work well with?
• What kind of leader do you think
you would not work well with?
• What motivates you to improve?
• What kinds of supports do you need
to do your job well?
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

169

b. In what ways does the principal create and manage (e.g., plan,
communicate, implement, support, advocate for, and monitor) school
culture (ways of thinking and acting) around instructional improvement?
Principal
• How do you plan professional
development?
• Have you coached or mentored any
teachers this year? What kind of
support did you provide related to
instruction?
• What kind of teaching practices do
you advocate most?
• (Do you have any exemplary
teachers? Do you have any strong
teachers in your school?
• What is exemplary about these
teachers? Do you use them as a
model for other teachers?)
• How do you communicate with
your teachers on a regular basis?
• Do you monitor teacher practices?
• What do you monitor most
frequently?
• What topics have been addressed in
PD this year?
• Have you implemented anything
new this year related to instruction
(such as curriculum, strategies, or
expectations)?
• Do you have a uniform lesson plan
template? What do you have in
your lesson plan templates? How
was the template selected? What do
you require in lesson plans?
• What do you plan to address in PD
Teacher
• How long have you been a teacher
here?
• Does your principal promote any
specific strategies? What strategies
does your principal promote? How
do you know this?
• How does your principal
communicate with the staff?
• Have you had any meetings with
the principal about your teaching
practices? What was the nature of
the meeting?
• How is this school year different
from the last?
• Does your principal challenge you
to become a better teacher? Why
do you feel this way?

ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

170
over the next few weeks? Why?

c. What are the cultural properties (models and settings), patterns, and
dimensions that are present in the school in relation to instructional
improvement?

Principal
• What are the key components of
your school’s mission?
• How well do you think you are
achieving the mission?
• What are some school norms that
take place on a regular basis?
• How would you describe the school
culture?
• What kinds of routines have you
put in place?
• How is PD structured? Why is it
structured this way?
• Do you have any staff traditions?
• What do you notice about your
teacher’s classroom practices?
• What challenges do you have as a
school?
• How is your school approaching
this problem?
• What do you think motivates
teachers to improve their teaching?
• Have you tried to motivate your
teachers to improve? How?
• Would you say you are customer
focused or results focused? Please
explain.
• How is PD structured and what do
teachers do in PD? Why is it
structured this way?
• What has been the focus on PD in
since the beginning of the school
year?
Teacher
• What are the key components of
your school’s mission?
• How well do you think you are
achieving the mission?
• What are some school norms that
place on a regular basis?
• What routines has your principal
established in this school?
• How would you describe the school
culture?
• How would you describe your
teaching style?
• What influences your day-to-day
teaching practices?
• What challenges do you have as a
school?
• How is your school approaching
this problem?
• How would you describe PD?
• What tasks do teachers work on
during PD?
• Have teachers undergone any
training recently? What kinds of
training have taken place?
• Would you say you are customer
focused or results focused? Please
explain.
• What are your principal’s long-term
and short-term achievement goals?
What is your role in helping the
school achieve these goals?
• What are your main
responsibilities?
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

171
• How are decision related to
teaching practice made?

2. To what extent is the school culture likely to influence teachers’ willingness to
improve their teaching practice?
a. To what extent are the elements of change present in relation to
instructional improvement?
Principal
• What are your principal’s long-
term and short-term achievement
goals?
• What is your role in helping the
school achieve these goals?
• What major challenges do you have
this year?
• Do you think the staff aware of
these challenges? How do you
know?
• What are your main expectations
for your teachers?
• Have you tried to implement any
changes this year? What have
you tried to change?
• How well are teachers progressing
in making these changes?
• How are teachers evaluated?
• How have your tried to
communicate your expectations?
• Do you think teachers understand
their responsibilities related to
teaching and instruction?
• Are teachers aware of each others
performance?
• How much collaboration takes
place in the school?
• How passionate do you think your
teacher’s are about the school
mission?
Teacher
• What are your principal’s long-
term and short-term achievement
goals?
• What is your role in helping the
school achieve these goals?
• What made you become a teacher?
• What are your main responsibilities
related to teaching and instruction?
• What are you personal goals as
teacher for this year?
• How well are you progressing in
achieving these goals?
• Is your teacher aware of your
personal goals?
• Do you think your principal’s
expectations for the staff regarding
teaching is clear?
• Has your principal made any major
changes this year?
• How well are teachers progressing
in making these changes?
• What will you be evaluated on this
year?
• How consistently does your
principal monitor and enforce the
evaluation criteria related to
instruction?
• Do you meet with the principal
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

172
often? Or on a regular basis? What
do you meet about?
• Do you collaborate with other
teachers? How?
• Do you meet with other teachers to
discuss teaching practices? If so
how often?
• Is your principal aware of your
current level of performance?
• Have you worked with other
teachers on any specific projects?

b. In what ways are the school’s workplace conditions likely to support or
impede teachers’ willingness to improve their practice?
Teacher
• Where do you see yourself in five years?
• Do you think there is an opportunity to advance your career in this school?
• How would you describe your relationship/interaction with and other teachers in
this school?
• How would you describe the level of trust between you and other teachers?
Between you and your principal?
• Do you think the school board and administration effectively supports the needs
of teachers?
• If you could improve one thing about your school what would it be?
• Has the school adopted any of your ideas?
• What great accomplishments/ achievements have your had this year?
• Do you think your principal has recognized your achievements?
• Do you think the organization pays your fairly for what they expect from you?
• Do you think that you influence what happens here?
• Do you think your colleague’s value your input?
• Do you think your principal values your input?
• How many teachers returned from last year? Where you here last year?
• Would you say that you Principal is consistent and persistent in his pursuits?
• Is your Principal good at bringing people together?
• How is your principal at resolving conflict and solving problems?
• Do you think you have a clear picture of what your principal want to achieve and
how you will get there?
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

173
c. To what extent are various contracts likely to be sustained or violated?

ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

174

Appendix C

Observation Protocol

The following outlines the approach for conducting observations at the selected school sites:

1. Observations will be conducted at scheduled faculty meetings.
2. The researcher will record detailed notes during the observation.
3. A key will be developed prior to the observation highlight key terms or behaviors the
researcher is looking for with respect to conversation surrounding inquiry and
instructional improvement.
4. Observation notes will be coded according to the key.
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

175

Appendix D

Observational Criteria

The objective of conducting observations is to supplement the data acquired through interviews
and document analysis. Observations will take place during instruction and a series of staff
meetings. Observations will be conducted from four points of view that are deemed to be
aligned to and observable in light of the research questions. The different points of view will be
known as observational frames.

The first observational frame will be leader’s beliefs, values, style, approach in relation to
instructional improvement. In this context, observations will look for the following:

• Statements indicating the leadership beliefs about instruction
• Vocalized expectations regarding teacher practice
• Indicators of employee accountability such as emphasis on results, learning outcomes,
improvement of teaching practice, high quality instruction
• Leaders reference to mission, and elements of the charter

The second observational frame will observe how the school principal creates and manage
cultural settings around instructional improvement. Cultural models are excluded from this
observational frame because it is perceived to be a variable that intersects with the first
observational frames and therefore would be redundant. Any explicit statement of principal’s
beliefs regarding instruction is an attempt to transmit a set of beliefs to organizational members
in that the intent of the medium will cause staff to be like-minded. Therefore, while exploring
the cultural settings through this frame, the following will be observed:

• The extent to which instruction related activities are being implemented and what
instructional components are being implemented
• The expected performance outcomes of the staff meeting
• The extent to which the staff meeting outcomes are emerging or continuing
organizational tasks

The third observational frame will explore what the school culture elements (observable models
and settings) of school staff relating to instruction and teaching practice. Although cultural
models are “ways of thinking” and are therefore, not empirical, dialogue and vocalize statements
will serve as indicators of thought. It is deemed that this is likely to be observable in a series of
staff meetings and can provide meaningful data. It is anticipated that it is likely that following
will be observable:

• What is being communicated during the staff meeting related to instruction
• Whether there are any apparent motivating factors for why staff is required to complete
various tasks during a professional meeting
• Vocalized statements of school staff related to instruction such as lesson planning,
assessment, teaching strategies, learning outcomes, and achievement results.
ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

176
• Staff routines and norms related to instruction
• The extent to which the school uses evidence of meaning and what is used as evidence of
meaning
• The extent to which staff members work collaboratively or in isolation when planning or
setting instructional goals
• Identifiable heroes and heroines in staff meetings

The fourth observational frame will explore teacher practices. Observations in this context will
take place in the classroom during classroom instruction. The objective is to explore the bodily
routines of teachers’ instructional practices and the extent to which there are observable patterns
across all classrooms in relation to instructional routines. In this context, observational data will
collect the following:

• The instructional design of the lesson; delineated structure of the instructional
presentation
• Adopted curriculum and teaching/learning resources that are used during instruction
• Classroom management style of the teacher
• Instructional strategies used by the teacher
• Assessment practices used by the teacher
• Manner in which teacher attempts to engage and motivate students during before, during,
and after instruction occurs
• Level of blooms taxonomy incorporated into the lesson

ORGANIZATIONAL ALIGNMENT IN CHARTER SCHOOL SETTINGS

177

Appendix E
Timeline for Study
The following chart outlines that timeline of events, dates, and methods (if applicable) for
the completion of this dissertation.
Event Date Research Methods
Complete and Pass Qualifying
Exam
August 2011 Not Applicable
Complete IRB Process December 2011 Not Applicable
Initial Contact with potential cases
studies
November 2011–
January 2012
Not Applicable
Informal school visits for potential
case studies. Select case based on
selection criteria.
November 2011–
January 2012
Not Applicable
Attend faculty meeting to seek
faculty participants for study

February 2012 Observation
Conduct In-depth interview with
Principal
February 2012 Interview
Document Collection
Conduct informal observations
shadowing the Principal

Conduct informal interviews and
discussions with the Principal

March 2012 Interview/Naturalistic
Observation
Conducted classroom observations March 2012 Observations/Documents/Artifacts
Analysis
Conducted teacher interviews March -April Interviews/Documents Analysis
Attended staff meetings April Observation/Document Analysis
Data Analysis March 2012-
April 2012
Not Applicable
Write Chapters 4 – 5 April-December
2012
Not Applicable
Dissertation Defense January Not Applicable

Abstract (if available)

Abstract Since A Nation At Risk (1954), a series of laws and key reform initiatives were passed to hold schools accountable for improving the quality of public education (e.g. IASA, Title 1, NCLB, RTTT). These reform initiatives require that public schools undergo continuous change but simply having these expectations will not guarantee their implementation. According to Fullan (1998), school leaders must know how to foster change in order to implement key reforms. However, a major problem in education is that school leaders do not know how to create and manage school cultures that are optimal for change toward instructional improvement to occur. To address this problem, this dissertation investigated a single case study to explore how one Principal set out to create and manage culture in a charter school setting. This study also explored the link, and the degree of alignment, between leadership, culture, and change. Two overarching questions were explored

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Asset Metadata

Creator Wynder, Lawrence C., II (author)

Core Title Organizational alignment in charter school settings: investigation of a three-tier model for linking leadership, culture, and change toward instructional improvement

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 04/05/2013

Defense Date 01/07/2013

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag charter school case study,charter school setting,cultural models,cultural settings,elements of change,instructional improvement,internal accountability,leadership,leadership practices,OAI-PMH Harvest,organizational alignment,school culture,school culture dimensions,school culture types,strong cultures,teacher practice change

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Slayton, Julie M. (committee chair), Normore, Anthony H. (committee member), Yates, Kenneth A. (committee member)

Creator Email lwynderii@gmail.com,wynder@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c3-233035

Unique identifier UC11294016

Identifier usctheses-c3-233035 (legacy record id)

Legacy Identifier etd-WynderLawr-1520.pdf

Dmrecord 233035

Document Type Dissertation

Rights Wynder, Lawrence C., II

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA