THE M ANAGEMENT OF CHANGE IN SIX VICTORIAN SECONDARY COLLEGES

RAY DANIELS B.A. (Hons), Dip.Ed.

A dissertation submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy at the University of New South Wales August 2001

CERTIFICATE OF ORIGINALITY

I hereby declare that this submission is my own work and that, to the best of my knowledge and belief, it contains no material previously published or written by another person nor material which to a substantial extent has been accepted for the award of any other degree or diploma of a university or other institute of higher learning, except where due acknowledgement is made in the text. I also declare that the intellectual content of this thesis is the product of my own work, even though I may have received assistance from others on style, presentation and language expression.

(Signed)__________________________________________

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ACKNOWLEDGEM ENTS The assistance and encouragement of many individuals who are committed to the education and growth of students sustained this project to its completion. The willingness of twenty-nine school principals and teachers to discuss school change with me is appreciated greatly. I am grateful to each of them for giving of their time and ideas to provide the data on which this study was built. I thank Dr. Fenton Sharpe, my supervisor, for providing outstanding guidance and encouragement to me from the inception of this research project to its completion. I benefited greatly from his clarity of thought, vast experience in administration and research and his tireless capacity to provide feedback on ideas and on my numerous drafts of chapters. The late Dr. Neil Johnsons encouragement to undertake research in Educational Administration was significant in my commitment to the completion of this project. I valued the confidence he showed in me and remember gratefully his willingness to act as a mentor to me in my early years as a principal and researcher. I thank Dr. Bob Conners for his most helpful feedback on this project as it neared completion. I wish to acknowledge the support of my family over the years of study and work that this project has taken.

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ABSTRACT This study explored change in six Victorian secondary colleges some four years into the major school-system change program known as Schools of the Future. The purpose of the study was to identify successful models and practices for positive school change by exploring school change from the school level perspective. A focus of the investigation was an organizational development program designed by a North American professor of organization and management in which Victorian school principals were trained as their schools entered the Schools of the Future program. The project was guided initially by four major research questions to which six additional research questions were added as the research progressed. The research methodology was qualitative. The data for this investigation were collected in 1997. The main means of gathering them was the in-depth interview of the principals of the six schools in the study and of the four members of staff they nominated as knowledgeable about their schools change processes. A follow-up questionnaire to the interview, a telephone questionnaire that asked principals for background information about their schools, and a study of school documents were also sources of data. The analysis and interpretation of the data related to charge in the schools was presented in the forms of six case studies and a multisite study. Eleven variables and eighteen insights identified the aspects associated with successful change across the sites. The studys three major findings identified the critical importance in the success of change of the schools organizational culture and individual

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participants in change processes, its relationship to elements in its external environment and the nature of its planning for change. A theoretical framework for positive school change environments was developed. It combined the elements associated with successful change in the study. This framework may prove useful as a basis for further research on systemic change in schools and as a point of reference for those actually engaged in leading the change process in schools and school systems.

TABLE OF CONTENTS Page CERTIFICATE OF ORIGINALITY ACKNOWLEDGEM ENTS ABSTRACT Chapter 1. THE ISSUE INTRODUCTION BACKGROUND TO THE STUDY THE M AJOR ELEM ENTS OF THE SCHOOLS OF THE FUTURE PROGRAM School Charter School Global Budget Support for Change District Personnel Computer Systems Support Accountability Curriculum Professional Development and Performance Review Professional Development for Principals THE NEED FOR THE STUDY THE PURPOSE OF THE STUDY RESEARCH QUESTIONS Additional Research Questions DEFINITIONS OF M AJOR TERM S Schools of the Future Secondary Colleges Positive School Change Definitions of Terms Used by Kilmann The Complex Hologram and the Barriers to Success Model Organizational Success Stakeholders The Tracks LIMITATIONS AND ASSUM PTIONS THE SIGNIFICANCE OF THE STUDY 1 1 1 4 4 5 7 7 8 8 9 11 11 13 14 15 16 17 17 17 17 17 17 18 19 19 20 22 ii iii iv

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2.

REVIEW OF RELATED LITERATURE AND RESEARCH AND CONCEPTUAL FRAM EWORK EDUCATIONAL CHANGE: A M ULTI-LAYERED APPROACH VALUES AND VISION TEACHERS AND STUDENTS MICRO-POLITICS SCHOOL ORGANIZATION SCHOOL CULTURE THE CHANGE PROCESS OUTLINE OF KILM ANNS PROGRAM CONCEPTUAL FRAM EWORK CONCLUSION

24 24 27 33 39 46 51 57 68 82 86 89 89 89 92 94 95 96 97 101 102 106 109 109 114 118 118 124 124 124 125 127 128 131 131 136 137 139 140 143 146 149

3.

RESEARCH DESIGN INTRODUCTION THE RESEARCH PERSPECTIVES THE RESEARCHERS STANCE PERCEPTION BASED INQUIRY RATIONALE FOR SELECTED M ETHODOLOGIES Exploratory Research Qualitative Research Methods and Ethnography A Successful In-depth Interview Rationale for In-depth Interviewing Case Study Methodology SAM PLING Schools The Six Schools A Quick Picture Interviewees A Typical Interviewee SCHOOL DOCUM ENTS INSTRUMENTATION Summary of Kilmanns Program Draft Interview Schedule Structuring the Interview Questions The Interview Questions in the Research Design Context THE STRUCTURE OF THE RESEARCH DESIGN M ajor research question 1 M ajor research question 2 M ajor research question 3 M ajor research question 4 TRIAL OF DRAFT INTERVIEW SCHEDULE ANALYSIS OF DATA Data Reduction Summary Statements Data Clustering Codes

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Codes: Set 1 Codes: Set 2 Codes: Set 3 Using the Codes A Sample Card Data Interpretation and Explanation REPORTING THE DATA Kilmann Data Organization and Display The Six Case Studies The Multisite Study Additional Research Questions Comparing and Contrasting the Sites 4. CASE STUDIES INTRODUCTION THE SIX CASE STUDIES CASE STUDY 1: MINESVILLE SECONDARY COLLEGE Curriculum Change: Decision Making and Conflict Minesville Secondary College and Department of Education Change Changing the Culture CASE STUDY 2: EAST HILLS SECONDARY COLLEGE Were Trying to Change the Culture a Little Bit Barriers to Change Workload and Comfort Zone A very small view rather than a global view Vision and Values CASE STUDY 3: PORT CITY SECONDARY COLLEGE We keep referring back to that as a model A better functioning, better performing school CASE STUDY 4: SOUTH BEACH SECONDARY COLLEGE Barriers to Change Establishing the Vision Leading the Change: Were holding the footy! CASE STUDY 5: EAST CITY SECONDARY COLLEGE Background to the Change Effort The Save East City Team Vision and Values Leadership Impediments to Change CASE STUDY 6: WEST BAY SECONDARY COLLEGE From the Culture of Shrinkage to the Culture of Growth Curriculum Restructure an Policies Review Charter Development Refurbishment of the Buildings

150 151 151 152 153 155 156 156 157 157 158 158 163 163 163 164 166 171 173 176 179 183 185 186 186 189 193 198 202 206 210 213 215 216 219 222 224 227 229 233 235 236 237

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Making it work for us CONCLUSION Defining the School through Change Leadership of Change Teachers Experience of Change 5. DISCUSSION OF REPONSES: PERCEPTIONS OF SUCCESSFUL M ODELS AND PRACTICES FOR POSITIVE SCHOOL CHANGE

238 242 243 245 247

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PERCEPTIONS OF KILMANNS INTEGRATED PROGRAM FOR ORGANIZATIONAL SUCCESS 249 Responses to Interview Question 15 249 The Integrated Approach Perceived as Appropriate 252 The Integrated Approach Perceived as Appropriate if M odified 255 The Integrated Approach Perceived as Inappropriate 256 Responses to Interview Questions 16 and 17: The Emergence of Cognitive Dissonance 257 Kilmann M odel Perceived as Appropriate 260 Structure and Complexity of Change 260 Post hoc Analysis of Change Using K ilmann M odel 261 Psychological Compatibility with Kilmann 262 Broad Participation in Change 262 Use of External Consultants 263 Successful Use of Kilmann Model 263 Kilmann M odel Perceived as Appropriate but with Reservations 264 A Guide Rather than a Plan to be Followed 264 Unrealistic Aspects 265 Reward System 266 Culture Track 267 Evaluating the Results 267 Aspects of Teachers Work 268 Kilmann M odel Perceived as Appropriate if M odified 269 Feedback Loops 270 Common Direction 271 Evaluation Criteria 272 Selective Application 273 Kilmann M odel Appropriate but 273 The Reward System 274 Experience of School Change 274 Planning for School Change 275 Kilmann M odel Inappropriate 277 The Origins of the Model 277 M ismatch Between Kilmanns M odel and School Life 279 M ismatch Between Kilmanns Model and School as an Organization 284

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KILM ANNS INTEGRATED PROGRAM AND SCHOOL CHANGE FOR AND AGAINST 287 DISCUSSION OF RESPONSES 289 PERCEPTIONS OF SUCCESSFUL M ODELS AND PRACTICES FOR POSITIVE SCHOOL CHANGE 295 From Six Cases to a M ultisite Study 296 Studying What is M inesville S.C., East Hills S.C. and Port City S.C. 298 External Environment aspects promoting positive change 299 Department of Education 299 School Community 301 Other Educational Organizations 301 External Environment aspects impeding positive change 301 Department of Education 301 School Community 303 Individuals and Organizational Aspects Promoting Positive Change 303 Individuals and Organizational Aspects Impeding Positive Change 306 Studying What may be South Beach S.C. 310 External Environment aspects promoting positive change 312 Department of Education 312 School Community 313 Other Educational Organizations 313 External Environment aspects impeding positive change 314 Department of Education 314 Individuals and Organizational Aspects Promoting Postivive Change 314 Individuals and Organizational Aspects Impeding Positive Change 317 Studying What could be East City S.C. and West Bay S.C. 318 External Environment aspects promoting positive change 319 Department of Education 319 School Community 323 Other Educational Organizations 324 External Environment aspects impeding positive change 326 Department of Education 326 Individuals and Organizational Aspects Promoting Positive Change 327 Individuals and Organizational Aspects Impeding Positive Change 329 THE SCHOOL AND THE SYSTEM 334 Respondents who Neither Agreed nor Disagreed 336 Respondents who Agreed 337 Respondents who Disagreed 342 Accountability is beneficial 342 Change in the school would not happen without external mandates 342 Working in the context of external constraint produces creative change 343 Externally set standards are needed for student and teacher performance 344 Self-governance will increase harmful competition between schools 344 The schools role in society will be undermined by self-governance 345

SUMM ARY

347

6.

ANSWERS TO RESEARCH QUESTIONS INTRODUCTION ANSWERS TO MAJOR RESEARCH QUESTIONS ANSWERS TO ADDITIONAL RESEARCH QUESTIONS THAT AROSE DURING THE STUDY SOME INSIGHTS ABOUT SUCCESSFUL SCHOOL CHANGE

349 349 349 382 396 400 400 400 402 404 405 405 407 433 436 437 438 452

7.

THE M AJOR FINDINGS AND IM PLICATIONS OF THE RESEARCH INTRODUCTION Finding One Finding Two Finding Three IM PLICATIONS OF THE RESEARCH Implications for Theory M odel Building Suggested Elements of a Framework for Positive School Change Environments Implications for Future Practice Implications for Research CONCLUSION

BIBLIOGRAPHY APPENDICES 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. INFORM ATION ON KILM ANNS INTEGRATED PROGRAM PROVIDED TO INTERVIEWEES PRIOR TO INTERVIEW LETTER TO PRINCIPALS PRIOR TO INTERVIEWS INTERVIEW GUIDE USED AT ALL SCHOOLS EXCEPT EAST CITY SECONDARY COLLEGE OPEN-ENDED QUESTIONNAIRE PRINCIPALS TELEPHONE QUESTIONNAIRE - INFORMATION FOR SCHOOL PROFILES TO INTRODUCE THE CASE STUDIES LIST OF SECONDARY COLLEGES, RESPONDENTS AND THEIR ROLES LETTER TO RESPONDENTS INVITING CORRECTIONS TO TRANSCRIPTS CODES USED IN DATA ANALYSIS SEMINAR PRESENTATION OVERHEADS M ATCHING CODES AND RESPONDENTS

452 458 460 463 464 465 466 467 469 472

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11. 12.

CHANGE PROM OTING VARIABLES M ATRIX: WEST BAY S.C. CHECKLIST M ATRIX: PRESENCE OF CHANGE PROM OTING VARIABLES

474 477

LIST OF TABLES Table 1. 2. 3. 4. 5. STRUCTURE OF THE RESEARCH DESIGN RESPONDENTS RESPONSES TO INTERVIEW QUESTION 15 RESPONDENTS RESPONSES TO INTERVIEW QUESTIONS 16 & 17 THE M ULTISITE STUDY RESPONDENTS RESPONSES TO INTERVIEW QUESTION(S) 20, (21 & 22) 129 251 258 332 335

LIST OF FIGURES Figures 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. THE BARRIERS TO SUCCESS MODEL 18 SCHEDULING THE FIVE TRACKS 20 THE M ULTILAYERS OF SCHOOL CHANGE M ODEL 25 THE SCHOOL AS AN ONION MODEL 26 A SIM PLIFIED OVERVIEW OF THE CHANGE PROCESS 59 THE FIVE STAGES OF PLANNED CHANGE 71 THE BARRIERS TO SUCCESS M ODEL 73 THE BARRIERS TO SCHOOL SUCCESS MODEL 74 SCHEDULING THE FIVE TRACKS 79 SCHEDULING THE TRACKS 80 CONCEPTUAL FRAMEWORK 82 FRAM EWORK FOR POSITIVE SCHOOL CHANGE ENVIRONM ENTS 407 FRAM EWORK FOR M APPING PROXIMAL POWERS 408

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CHAPTER ONE THE ISSUE

INTRODUCTION This is a report of an exploratory study of planned change in Victorian secondary colleges conducted in the fourth year of a period of rapid system-wide change. Also, the investigation sought to establish the extent to which practitioners perceived a particular North American model for organizational change to be appropriate to the implementation of school planned change, in the Victorian context. The Department of Education professional development program for principals included training in how to apply this model to their work in bringing about change in schools. Interviews with the principals of six schools and twenty-three members of staff nominated by the principals because of their knowledge of school change processes were the major source of data for the study. Some relevant school documents provided additional information.

BACKGROUND TO THE STUDY The decade long period of the Cain and Kirner Labor Governments came to an end in October 1992 when the Kennett Liberal-National Party Coalition Government was elected to office. After a long period in opposition, the new government had ambitious programs for change in all portfolios. The plans for change in education were radical. The new M inister, the Hon. Don Hayward, came to the job with the belief that state education in Victoria was in need of "a fundamental structural and cultural change" (Hayward, 1995, p. 3).

Simultaneously, he proposed to deal with what the new government perceived to be "the most serious mismanagement problems ever faced by an incoming M inister for Education in Australia" and to "introduce and implement an ambitious program for educational reform designed to place Victoria's schools on a par with the best in the world" (p. 3). Hayward identified two distinct goals for change, improved management and improvement in teaching and learning. Extensive downsizing in the staffing of schools and of central and regional bureaucracies was a prominent strategy followed in pursuit of the first goal. The educational reform agenda was given the title 'Schools of the Future'. It was a concept that proposed fundamental changes in all areas of school education - leadership and management, teaching and learning - to achieve the second goal. The Directorate of School Education (DSE) defined the meaning of 'Schools of the Future' as "the term which covers both the process of change in Victorian schools, and the schools in which the changes will take effect" (DSE, 1995a, pages not numbered). On January 28, 1993, a Preliminary Paper on 'Schools of the Future' was published in the first edition of a new, free weekly newspaper published by the DSE for teachers and school council members. It was a comprehensive document beginning with the mission and objectives of the program: The mission of the Schools of the Future program is to give students access to a high quality education which will maximize their potential for the future. The objectives of the program are to: 1. encourage the continuing improvement in the quality of educational programs and practices in Victorian schools to enhance student learning outcomes 2. actively foster the attributes of good schools in terms of leadership, school ethos, goals, planning and accountability process 3. build on a Statewide framework of quality curriculum, programs and practices, 4. commence immediately a pilot program to develop administrative arrangements and determine the phased implementation of the Schools of the Future concept over the next three years (DSE, 1993, p. 5).

Throughout 1993, as school communities prepared themselves for the second wave of school closures and mergers which were part of the solution to the perceived overspending on education, the positive ring of the 'Schools of the Future' program might have encouraged its ready acceptance by schools. Every school, but particularly those which felt vulnerable, wanted to secure a future. All except two of Victoria's 1720 state primary, secondary and special schools had, within two years, applied for and gained admission to the 'Schools of the Future' program. From the first announcement of details of 'Schools of the Future' in the Preliminary Paper, it was clear that the concept was to be multifaceted and its approach to change coherent and comprehensive. In a 1995 speech, the M inister identified the following as the key features of the 'Schools of the Future' program: * High levels of autonomy and accountability for each school are expressed through a school charter. * The school charter is the school's vision for the future. It is also the key planning and accountability document that serves as a formal understanding between the school and the Director of School Education. The charter transfers freedom, authority and responsibility to schools. * To complement the charter, school council authority has been expanded... * Each school reports to members of the school community through a comprehensive annual report, focusing on educational achievement... * An independent school review process that reviews and renews charters takes place every three years. This school review process assists schools to monitor and improve the performance of their students. * Each school principal selects a teaching team. * The principal is responsible for fostering professional development and personal growth of teachers so they can inspire students to learn. * The school community decides the best use of its resources provided in a "one line" global budget that allows for local flexibility (Hayward, 1995, pp. 3-4). The Pilot Program for 'Schools of the Future' commenced in the second half of 1993 and 'went live' (the expression used to denote independence from the past centralised system) as fullyfledged Schools of the Future in January 1994. It was during the

phased introduction of the program that the nature of its elements gradually became clear. The school participants in each intake of the program contributed to some extent to the shaping of these elements, within policy and funding constraints.

THE M AJOR ELEM ENTS OF THE 'SCHOOLS OF THE FUTURE' PROGRAM School Charter As a school approached becoming a part of the 'Schools of the Future program, writing the school charter was the most important first task. The researcher's experience that this was a rewarding exercise was widely shared by teachers and principals, most emphatically by those in the 'Schools of the Future' pilot program (Blackmore, Bigum, Hodgens & Laskey, 1996, pp. 205-206). From the start, the school charter was perhaps the most widely supported aspect of the 'Schools of the Future' program. The 1997 Cooperative Research Project (a longitudinal research project undertaken jointly by the DSE, the secondary and primary principals organizations, and the University of M elbourne), reported that the school charter continues to be one of the major successes of Schools of the Future (Thomas, 1997, p. 8). The school charter served several important purposes. The charter was a formal agreement over a three-year period between the school and the director regarding the delivery of a quality education to students. The charter was seen as the school's business plan, a basis for promoting or marketing the school and a strategic planning document. The charter contributed to clarifying the school's direction in the identification of goals and priorities, established a basis for reviewing and reporting on school performance and

was a vehicle for communicating the school's program and operations to the school community and to the director. School charters were all prepared in the same format using the headings: school profile, school goals, school priorities, curriculum plan, budget plan, accountability plan and student code of conduct. The Office of Review, the section of the Department of Education responsible for the accountability framework, gave each section of the charter a specific definition. The school profile was a statement of the ethos and educational philosophy of the school. The school goals demonstrated clearly what the school was trying to achieve in the areas of curriculum, learning environment, management practices, resource allocation and the monitoring of student performance. School priorities were identified areas for school improvement. The curriculum plan documented the current curriculum including enrichment and support programs. The budget plan provided a prediction of projected income and expenditure based on anticipated enrolments. The accountability plan covered two distinct areas of accountability- monitoring and reporting student performance and statements of expectations of members of the principal class, teaching and non-teaching staff, school council and community members. The student code of conduct provided information on the school's approach to student management and discipline (DSE, p. 1995a). School Global Budget The school global budget (SGB) was designed to be the means by which schools under the 'Schools of the Future' program were provided with the resources to manage their affairs. The Education Committee (also known as the Caldwell Committee) recommended to the M inister in its report published in October 1994 that six principles guide the shaping of school global budgets:

Pre-eminence of educational considerations - Determining what factors ought to be included and what ought to be their relative weighting are pre-eminently educational considerations. Fairness - Schools with the same mix of learning needs should receive the same total of resources in the SGB. Transparency - The basis for allocations in the SGB should be clear and readily understandable by all with an interest. The basis for the allocation of resources to each and every school should be made public. Subsidiarity - Decisions on resource allocation should be made centrally if they cannot be made locally. Decisions on items of expenditure should only be excluded from the SGB if schools do not control expenditure, if expenditure patterns are unpredictable, if expenditure is once off, or for expenditure for which schools are payment conduits. Accountability - A school which receives resources because it has students with a certain mix of learning needs has the responsibility of providing programs to meet those needs, has authority to make decisions on how those resources will be allocated, and should be accountable for the use of those resources, including outcomes in relation to learning needs. Strategic Implementation - When new funding arrangements are indicated, they should be implemented progressively over several years to eliminate dramatic changes in the funding levels of schools from one year to another (DSE, 1994, p. 13). The SGB had two components; the uniform core and the formula based additional funding. The formula was designed to endeavour to match funds to the characteristics of the school's students. The first principle of fairness assumed the reliable identification of each school's mix of learning needs. The student population characteristics considered in calculating formula-derived funds included non-English speaking background, students at educational risk, rurality and isolation, and eligibility for the Education M aintenance Allowance. Students who met the requirements to be considered English as a Second Language learners were funded according to how many years they had been living in Australia, with new arrivals naturally attracting the most funds. Students who met the criteria for disabilities and impairments gained additional funds for the school. Funds were also provided in the SGB for priority programs such

as professional development, instrumental music, languages other than English and 'Keys to Life' (a primary school literacy initiative).

Support for Change District Personnel The extensive downsizing in the regions and the centre meant that there were limited resources available to them to support the 'Schools of the Future' change process. Between 1994 and 1996 the strongest support for change was provided in the school district. A typical district was made up of approximately six secondary colleges and twenty primary schools. The implementation of the 'Schools of the Future' program was supported by District Liaison Principals (DLP) who worked with schools as change agents mainly by supporting collegiate groups of principals, facilitating networks of teachers and coordinating school services support officers such as guidance officers and speech therapists within the district. At the end of 1996, the districts as they had operated for the previous three years, and the position of District Liaison Principal, were abolished. Principals were given some encouragement to play a part in maintaining collegiate, curriculum, learning area and other networks and student services provision, without the support of the district structure. In the stead of the DLPs, the position of Regional Principal Consultant (RPC) was created but the number of positions was halved. As the name suggests, a RPC was appointed to one of the four metropolitan or five country regions. Each had responsibility for region-wide matters and for liaison with schools within a designated cluster of schools. In the country regions, RPCs were located in schools in major provincial cities. However, in the metropolitan regions, the RPCs worked from the regional office, encouraging the

perception that their work was aligned more with region's interests than the schools'. That their reduced numbers meant they had dealings with perhaps twice as many schools as the DLPs had, led to the perception that they were able to provide less support to schools than their predecessors. Nevertheless, the RPCs and DLPs had the same core responsibility: the implementation of the Department of Education's (DoE - formerly Directorate of School Education - DSE) change agenda. Computer Systems Support Information technology was of great significance in supporting the change to administration brought about by 'Schools of the Future'. The decentralisation of personnel management made it necessary, for example, for school staff to be able to readily create vacancies, process appointments and record details of leave. Accountability expectations required access to accurate records of student achievement across the year levels and to data which monitored performance in terms of such matters as parent satisfaction, student attendance and staff morale. The management of the school global budget required detailed and timely financial reports. All these needs and more were provided for by Computerised Administrative Systems Environment for Schools (CASES). Telephone support was available to guide staff through unfamiliar CASES transactions. Accountability Located in M elbourne, the Office of Review was created to perform a state-wide function in managing the accountability framework to assist schools monitor and improve their performance and report to the DoE and Government. The accountability framework had three key elements: the school charter, the school annual report and the triennial school review. The charter stated the school's expectations of itself within the

guidelines set and funding provided by the Department. The Office of Review set the format of the charter and supported schools in writing them. It also established a new format for annual reports. As part of the implementation of the 'Schools of the Future' program the annual report was re-structured in such a way as to link it with the charter goals and priorities. It was based on collection, analysis and interpretation of data related to a number of prescribed areas such as progress towards priorities, student achievement, parent and staff opinion, destination of exit students, student participation in the curriculum and information about student accidents and injuries. The Office of Review aggregated the information from each school's annual report to provide two new dimensions to monitoring each school's performance - benchmarks across all schools in the state and of like schools. Like schools are classified by criteria such as the proportion of families that receive the Education M aintenance Allowance or Austudy (more recently the Youth Allowance), the proportion who speak a language other than English at home, rurality and isolation. By mid-1997, benchmarks were available in measures of the effectiveness of school management, retention in Years 11 and 12 and for student achievement from the first year of primary schooling known as the Preparatory Year to Year 12, the final year of secondary schooling (P-12). In some other states these years are referred to as Kindergarten to Year 12 (K-12). Curriculum The Victorian Board of Studies (VBOS) was established to administer Victorias school curriculum from the primary Preparatory year to the final year of secondary school, Year 12 (P-12). The Board inherited responsibility for the Victorian Certificate of Education (VCE) which students undertake in their final years of secondary schooling. Although it retained the VCE, the Board frequently adjusted it.

Perhaps the most significant change was the introduction of the General Achievement Test (GAT) as an inexpensive method of moderating marks given by teachers for school-based assessment tasks. If GAT scores of a class group of students were significantly different from the marks given by the teacher, the assessment tasks were called in for re-marking. The Board's main area of innovation was in the Years Preparatory to 10 curriculum and assessment. It developed the Learning Assessment Project (LAP) to assess primary students' progress against state-wide standards. It introduced the Curriculum and Standards Framework (CSF) to provide guidance to teachers of Years Preparatory to 10 about what was appropriate to teach and what learning outcomes were expected. The CSF covered all of the eight learning areas- English, M athematics, Science, Languages Other Than English, Studies of Society and Environment, the Arts, Technology, Health and Physical Education. The Board progressively released advice to assist teachers to revise their courses into alignment with the CSF. The Board also stipulated the levels of performance students were expected to reach. By the end of 1997, all schools were expected to report student progress against the CSF to parents in all Learning Areas and to include data for all students in M athematics and English in the annual report. The 'Schools of the Future' program encouraged the use of new technologies in curriculum delivery. Each school had a satellite dish installed in 1994 to access interactive curriculum programs such as Primary Access to Languages by Satellite (PALS). Some schools that accessed additional funds for computer technology have extensive access to the Internet and to multimedia resources.

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Professional Development and Performance Review The Preliminary Paper announced that funds for professional development would "be transferred from the central office and regions to schools" (DSE, 1993, p. 7). The annual funding of $240 per teacher has provided enhanced opportunities for professional development for individuals, teams or whole staff. The same paper asserted that "all principals, vice principals and teachers in Victoria will be subject to a systematic and periodic review of their performance"(p. 7). Two systems were put in place. Each school had a SGB formula-derived entitlement to a number of leadership positions. There were two categories of leadership positions: Principal Class Officers and Leading Teachers (levels 2 and 3). Appointees to these positions were required to sign fixed term employment agreements and were eligible to access bonuses through writing performance plans with performance indicators against which their result was assessed. All other teachers (level 1) were reviewed annually against the Dimensions of Teaching (beginning teachers) or the Professional Standards (experienced teachers). For all level 1 teachers progressing through the incremental scale, a satisfactory review was required for advancement. Professional Development for Principals To support them in their new role as leaders and managers in 'Schools of the Future', principals were provided with a professional development program entitled 'Creating a School of the Future'. Professor Brian Calwell and M r M ax Sawatzki facilitated this five-day program. Unit 9 of the program introduced participants to the work of Ralph H. Kilmann with this endorsement: "It is timely, if not overdue, that such an approach be adopted for the management of change in school education. Creating a School of the Future provides a 'window of opportunity'" (DSE, 1996, Introduction to

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Unit 9, pages not numbered). Participants were given a copy of Chapter 10 'A Completely Integrated Program for Change' by Ralph H. Kilmann from M ohrman, A.M . (ed.) (1989) Large-Scale Organizational Change. This chapter covers very similar ground to Chapter 2 'Understanding the Completely Integrated Program: The Critical Stages of Planned Change' in Kilmann, R.H. (1989) M anaging Beyond the Quick Fix. This book was a development of an earlier book by Kilmann, (1984) Beyond the Quick Fix: M anaging Five Tracks to Organizational Success. Participants were given the task of working in teams on hypothetical change situations. Each member of the team took responsibility for a particular track in the Kilmann model. The first three days of the program and the last two days were separated by a period of some weeks. Between the two phases of the program, participants were asked to use the Kilmann program to effect a change at school and to report back. On-going professional development to advance the implementation of the Schools of the Future program took place in district collegiate groups until the end of 1996. Some professional development was also provided by briefings arranged by regional offices. This overview sketched the complexity of the 'Schools of the Future' program. It provided the background to this investigation of the management of change in six Victorian Secondary Colleges and introduced the reader to the work of Ralph H. Kilmann.

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THE NEED FOR THE STUDY The advocacy of the use of business models to bring about planned change in schools has become commonplace in recent years. Theoretical endorsement and questioning of the relevance of such models to schools has occurred and some such commentaries are outlined in Chapter 2, the Review of Related Literature and Research and Conceptual Framework. However, there has been, to this researcher's knowledge, no attempt of any depth to investigate how well these models may transfer to the school environment in the current context in Victoria, or elsewhere. The researcher identified a need to investigate the opinions of teachers and administrators as to the perceived potential usefulness of one such model proposed for school improvement in system-sponsored in-service activities. This study aimed to contribute to filling a significant gap in knowledge about change in schools by analysing teachers' and administrators' perceptions of the potential of the Kilmann integrated program to facilitate positive school change. Furthermore, although the system-led change of the 'Schools of the Future' program was quite comprehensively documented and evaluated from the start, the views of principals were emphasized. Surveys of principals have provided the data for the five yearly longitudinal studies of the implementation of the 'Schools of the Future' program (Thomas, 1994, 1995a, 1995b, 1996, 1997). Issues of funding have taken a high priority in much of the early documentation and evaluation, for example, Caldwell (DSE, 1994), M cRae (1994) and Odden (DSE, 1995b). However, some work was done to take into account the experiences of other participants and stakeholders and their views on a broad range of issues to do with the change inherent in implementation of Schools of the Future. Tartaro (1996) surveyed and interviewed teachers in one school. Townsend (1996) reported the views of parent, school

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councillor and teacher respondents to an extensive survey and Blackmore et al. (1996) gathered data from interviews and follow-up surveys of parents, teachers and principals. They reported their findings in four case studies. The researcher identified the need to extend what was known about the school-level experience of change during the implementation of 'Schools of the Future' by exploring in-depth the range of experiences of change of both teachers and principals.

THE PURPOSE OF THE STUDY The central purpose of this study was to explore planned change in school education from a school level perspective to identify perceptions of successful models and practices for positive school change. The collection of data was focused on three broad issues: The school level context and experience of change in Victorian Secondary Colleges in 1997, four years into the Kennett Liberal-National Party Coalition Government's 'Schools of the Future' reform program. The appropriateness of Ralph H. Kilmann's integrated program for organizational success as a means to bring about school improvement in this context. The characteristics of change processes in Victorian Secondary Colleges and any relationship that they may have to the Kilmann integrated program.

Kilmann's program for organizational success was superimposed as a template on the planning and implementation of change in schools as reported by participants in this study. Hence the research intentions were:

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- To identify the perceived effects of the external environment, particularly system initiatives and accountabilities, on the school's change efforts and to establish to what degree the Kilmann program was perceived to successfully address any issues identified. - To identify the aspects of the school's organization and the personnel perceived to impede successful change and to establish to what degree the Kilmann program was perceived to be able to address the issues identified. - To identify aspects of the school's organization and personnel perceived to contribute to successful school change processes and to establish to what degree the Kilmann program was perceived to be able to facilitate successful change.

RESEARCH QUESTIONS The research intentions were expressed as research questions. The four major research questions that guided the collection of data for the study were: 1. What are the perceptions of school principals and teachers in six selected secondary colleges, within the 'Schools of the Future' program in Victoria, of the potential to effect school improvement of a particular North American program designed to create and maintain success in any organization? 2. What are the effects of the external environment on the school's capacity to plan and implement change efforts? 3. (a) What are the critical aspects of the school as an organization which impede planned change efforts? (b) Which personnel in what positions in the school are influential in impeding planned change efforts and how is their influence exercised, particularly in relation to school culture? 4. (a) What are the critical aspects of the school as an organization which promote planned change efforts? (b) Which personnel in what positions in the school are influential in promoting planned change efforts and how is their influence exercised, particularly in relation to school culture?

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As the study developed, through the trial of interview questions and subsequent interview processes, it gradually became clear that there were other questions arising from the responses that were so important that they should be afforded the status of additional research questions. This process, and the additional research questions that arose from the study, is described in some detail on page 158. These subsequent research questions have been included here in Chapter 1 to clarify the full scope of the study. The possibility of allowing key issues to emerge during the study represents one of the strengths of qualitative research processes which have been exploited in this study. The additional research questions enabled the study design to have a close fit with the data on the ground (M inichiello, Aroni, Timewell & Alexander, 1995, p. 160) that would not have been possible had the study been restricted to answering the four research questions the researcher had in his mind when he commenced in-depth interviews of his informants. Additional Research Questions

5. In the light of responses of principals in this study to the Kilmann program and of knowledge regarding school leader training in management and leadership skills, how appropriate was the training provided to Schools of the Future principals in the application of the Kilmann program to school change? 6. To what extent were the components and dynamics of the change process presented in the conceptual framework used for this research useful in analysing change across the six sites? 7. How can the insights gleaned by the study into promoting positive change in secondary colleges be expressed most clearly and succinctly? 8. What are the implications of the findings for change theory and how could they best be represented as a model to guide future change efforts and suggest possible future research? 9. What are the implications of the findings for practice at the levels of systems, schools and principals? 10. What are the implications of the findings for future research?

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DEFINITION OF M AJOR TERM S 'Schools of the Future': The major terms used in this program were defined in the 'Background to the Study' Secondary Colleges: With the abolition in the late 1980s of Victorias dual secondary system of Technical Schools (vocational and trade orientation) and High Schools (academic orientation), the generic name for post-primary schools became 'secondary college'. Prior to 1990, most secondary schools School Councils formally re-named their schools by replacing high school or technical school with secondary college. Positive School Change: The term positive school change as used throughout this research refers to all efforts that are perceived by respondents to potentially improve the school, particularly in terms of student engagement and achievement. Definitions of Terms Used by Kilmann M ajor terms used by Kilmann are defined here because they are pertinent to the entire report of the study. An outline of his integrated program is provided in Chapter 2, the Review of Related Literature and Research and Conceptual Framework. The Complex Hologram and the Barriers to Success M odel: The complex hologram diagram depicts a three-dimensional lens to represent organizational life. The purpose of the hologram is to facilitate diagnosis of problems that are the barriers to success. It is the function of the integrated program to enable these barriers to be transformed into channels-tosuccess. The model consists of five broad categories representing the at-the-surface aspects of the organization and in the centre of the diagram the three-below-the-surface aspects that add the dimension of depth. The surface categories are the setting, the organization, the manager, the group, and the

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(1989b, p. 201). It was assumed at the outset of this research that, for a school, organizational success is measured by student achievement (learning outcomes) and student engagement (... student motivation and identification with the organization and its educational aims M itchell & Willower, 1992, p. 7). However, it was also assumed that high performance and morale of teachers would be significant in achieving student success. Stakeholders: Stakeholders, and potential stakeholders, are individuals, groups and other organizations having a legitimate interest in the school. Stakeholders can be classified as internal or external to the organization. For the purposes of this research which is school based, a school's internal stakeholders are the students, their parents and guardians, teachers, support staff and all the committees, working parties and representative groups which make up the school's organizational structure. All other individuals, groups and organizations including all parts of the Department of Education other than the school itself, which have a legitimate interest in the school, are seen as external stakeholders. The Tracks: The tracks are so named by Kilmann because of their representation as horizontal lines on a monthly time schedule representing series of meetings to pursue improvement on the designated topics of culture change, management skills, team-building, strategy-structure and reward system. The tracks are essentially programs within the overall change effort. They do not necessarily run concurrently. They are scheduled for implementation to best meet the requirements of the specific planned change program. A sixth track is the shadow track. This is the name given to the process of monitoring the whole process of implementation by the group primarily responsible for implementing the integrated program.

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management of planned change in these secondary schools and provide the basis for possible further research in a wider range of schools. While it is assumed that the analysis of the experiences of change of participants has contributed to the understanding of planned change in schools, no claims are made that the findings are applicable to schools other than those studied. It is for the reader to determine whether the findings could apply to any other setting. The question of generalizability will be discussed in more detail in Chapter 3, Research Design. The interpretation of the transcripts of interviews and the open-ended nature of the questionnaire involved an element of subjectivity on the researcher's part. However, all respondents were provided with transcripts of the interviews and with the opportunity to clarify views so as to guard against the misinterpretation of the respondents' meanings. It is assumed that the inclusion of five participants at each school enabled the researcher to gain a fairly comprehensive view of change processes at each school as perceived by key participants in change. While it cannot be known why so few respondents returned the openended questionnaire, it is assumed that on completion of the interview in all but two occasions the respondent felt there was no need to qualify or add to the opinions already expressed. This research began with four assumptions. Firstly, that the school is the prime focus of educational change. Secondly, that whole school change is necessary for change to be effective. Thirdly, that the perceptions of participants of their experiences in planning and implementing change are of value in contributing to our understanding of change. Fourthly, that school change is influenced by events within the external environment.

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THE SIGNIFICANCE OF THE STUDY The significance of this study for research and practice lies in the potential benefits of its results to both the theory and practice of managing change in secondary colleges and perhaps other educational institutions. The investigation aimed to determine, from perceptions of selected Victorian secondary college principals and staff, the suitability for facilitating planned change efforts in some Victorian secondary colleges of an integrated program for organizational success which had established its credibility in the North American business world. To the extent that the program was perceived by participants in the study to be appropriate to apply to secondary education, then this study would provide support for applying at least one business model of this type to change management in secondary schools. In addition, if the program was deemed appropriate for application to schools, the study could provide some support for the inclusion of business management models in the theoretical framework for the study of change in educational administration. It would also contribute school level endorsement to professional development programs for school leaders such as Caldwell's and Sawatzki's (DSE, 1996) 'Creating a School of the Future', which have assumed the relevance of business management derived concepts to bringing about change in schools. To the extent that the Kilmann integrated program was considered by practising teachers and principals to be inadequate to the task of the management of change in secondary school education, this research would provide reason for its rejection by schools or suggestions for modifying and/or developing Kilmann's approach to suit the school setting. The possibilities arising from analysis of this aspect of the research data are presented in the final chapter of this report.

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In such an eventuality the study may have two major outcomes. Firstly, it may point out perceived differences between schools and business organizations in key areas such as purpose, leadership, management, values, organizational structures. Secondly, it may highlight the perceived complexity and difficulty of change in secondary colleges, particularly as related to school culture and school organization. Each of the three groups of possible responses to the integrated program in terms of usefulness in managing school change may contribute to the consideration of successful models and critical practices to managing change in secondary colleges to be presented in the concluding chapter of this report.

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CHAPTER TWO REVIEW OF RELATED LITERATURE AND RESEARCH AND CONCEPTUAL FRAM EWORK

EDUCATIONAL CHANGE: A M ULTI-LAYERED APPROACH The central purpose of this study was to explore planned change in school education from a school level perspective. The researcher recognised two contrary needs in undertaking the review of the related literature and research and, subsequently, in developing a conceptual framework from it. On the one hand, there was the need to be inclusive of the richness and breadth of thought about change. On the other, there was a need to select a model, program or theory of change as the focus of this study. The solution was to discuss a wide range of opinion and research in this chapter and to provide, in the conceptual framework at the end of the chapter, the scope for any relevant idea about change to be considered alongside the particular model chosen to guide the research. The prominence given to the work of Ralph H. Kilmann in the professional development of principals for the implementation of the 'Schools of the Future' program was the major reason for choosing it as a focus for the study. His integrated program focuses on management and organizational development (OD). It has elements in common with the views of researchers who have taken an integrated approach to the theory and practice of change in schools, for example Schmuck and M iles (1971) and more recently, Dalin (1993). However, in the educational change literature several significant elements are addressed which are outside the scope of Kilmann's program, for example, leadership, values and micro-politics. Kilmanns model therefore did not provide an adequate framework for this literature review. Instead the 'The M ultilayers

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The outer layer represents the school culture. It is discussed as a force for continuity and stability as well as providing an opportunity for the exercise of leadership and change.

The M ultilayers of School Change M odel provides for discussion of change as a phenomenon that permeates all aspects of the life of the school and allows for the inclusion of diverse perspectives on the meaning of change. Following this discussion a brief outline of the literature related to the process of change, particularly the process of educational change, will be provided.

VALUES AND VISION The challenge, motivation and reward of teaching are intrinsically bound up with the will to promote learning and growth in students. M cRae's (1988) rhetorical question "What could be more satisfying than contributing to the development of another person, or that of a group of people? (p. 5) asserted the value that is at the heart of teaching. If that writer was correct in observing that the basis of the activity seems to have altered little since Socrates (p. 4) then the values at the heart of teaching would seem to favour continuity rather than change. From this viewpoint, it is somewhat paradoxical that values have been increasingly identified as a source of school change. Although written over twenty years ago, Goodlads (1975) comment regarding the potential powerfulness for change of teachers' values, has a very up-to-date quality to it. Having explained that school change would require a powerful new drum beat he asserted that what was needed were new ideas that were congruent with teachers' values:

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... an intriguing idea will be more compelling than a process ... the most compelling idea will be one that gets close to what teachers, in their most idealistic moments, think is their true calling. (p. 178) Goodlad's far-sightedness notwithstanding, approaches to change throughout the 70s and 80s were predominantly framed in terms of process. However, amongst the rational-bureaucratic, political and organizational sciences approaches employed, there is the occasional insightful remark about the values that matter to teachers. Owens (1987), for example, identified one of the benefits of Organizational Development as "... its ability to develop a growing sense of purpose and direction over time" (p. 221). In 1991, Hodgkinson observed that ... there is a sort of lacuna in the literature that has to do with values (p. 11). Saul made a similar point about organizational life as found in the corporate world (1993, p. 234). It is from writings about the corporate world that Hoy and M iskel (1987) traced consideration of values as a source of school renewal. They identified relevance to school change in Ouchi's Theory Z claim that successful Japanese and American corporations derived their strength from "... a distinctive corporate culture, one that was internally consistent and characterized by shared values of intimacy, trust, cooperation, teamwork, and egalitarianism" (p. 250). However, when these authors sketched values applicable to teachers, such as striving for excellence, their lukewarm commentary suggested qualified support for values as a way forward for school development and for understanding change: Are these core values or empty slogans? If they capture something in which teachers strongly believe, and if they are widely shared, these slogan-like themes define a set of core organizational values. (p. 251) There was support in later literature to place values, and related concepts, at the centre of a very productive way to think about school change and about the leadership

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needed for change. Hodgkinson (1991), for example asserted that values, morals and ethics are the very stuff of leadership and administrative life (p. 11). While Hodgkinson linked values with morals and ethics, other concepts used in discussion of the domain of values include vision, mission, purpose, meaning, aspiration, principle and creating a Discourse (Gee, Hull, & Lankshear, 1996, p. 19). For example, Atkin (1996) saw values and vision as the mainspring of school change: Simply stated, we need values and vision driven development, regularly asking ourselves, as individual educators and school communities, How well are we achieving what we value and believe? and How well does our current situation match our vision of what is possible? (p. 12) Among many writers in the late 80s and the '90s, there appeared to be a consensus that values were the core from which change efforts were either energized or thwarted. Fullan (1993) placed moral purpose at the heart of educational change: The moral purpose is to make a difference in the lives of students regardless of background, and help produce citizens who can live and work productively in increasingly dynamically complex societies. (p. 4) Vail (1989) emphasized the centrality of values by commenting on the phenomenon of resistance to change: 'Resistance to change' can frequently mean simply that the resister doesn't understand or agree with the values that she or he is being asked to act on. (p. 57) Vail saw values as central to the leader's role but instead of defining them for followers it is a teaching and coaching process in which the object is to help people embrace and experiment with values that they might not otherwise consider (p. 8). This emphasis on the individuals values is an important theme in the literature of educational change. Schlechty (1990) asserted that: people pursue excellence and

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strive for improvement because they believe in what they are doing (p. 108). Barth (1990) expressed a similarly strong conviction about the personal nature of vision: I do not believe that a teacher or principal or professor can be a serious agent of change within a school operating only from someone else's prescription or vision. (p. 178) M any writers on change have considered whose values and which values are crucial when it comes to success in bringing about change. Some argued that change stems from the powerfulness of the leader's vision while others advocated the efficacy of shared values and vision. In the general leadership literature, there was a theme of the singular importance of the leader's values and vision. For example, Bennis asserted that: The first basic ingredient of leadership is guiding vision. The leader has a clear idea of what he wants to do - professionally and personally - and the strength to persist in the face of setbacks, even failures. Unless you know where you're going, and why, you cannot possibly get there. (Quoted in Kennedy, 1996, p. 107) However, developing shared values was an important theme. For example, from a review of the literature on transformational leadership, Chui, Sharpe, and M cCormick (1996) asserted that the principal's vision was a most powerful influence in evolving shared values: one of the important leadership behaviours of the principal is to communicate, motivate commitment to, and shape the values of the school so that they are consistent with the vision. Thus vision is translated into reality through shared values. (p. 33) From an extensive survey of secondary school teachers in Hong Kong Chui et al. found that the vision of the principal was significantly related to all of the identified dimensions of leadership behaviour. M ost pertinently, the relationship between vision and communication of values was the most significant of all (p. 45).

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Some writers gave the principal a more dominant role in communicating values, others less. In an account of actualizing the vision in a church school, Ramsey and Clark (1988) described the principals position as having much sway. The role of the principal was to articulate not only the vision, but also the process by which change will come about in order to transform the vision into reality (p. 8). However, in Duignans (1990) account of The Educative Leadership Project which was undertaken in 1987, the leaders role was as a facilitator involving others in the visionary domain. The educative leader was one who challenges others to participate in the visionary activity of identifying what is worthwhile, what is worth doing and preferred ways of doing and acting in education. (p. 338) From her study with M iles of urban schools in the eighties, Louis was reported (Keller, 1998, p. 7) as disliking the emphasis on the principals vision with its implication that a principal is somehow a visionary. Instead she referred to this activity of principals as structuring the story of the school that provides a common definition of what the teachers are doing, one that both unites and moves them forward. In their case study schools, Louis and M iles (1990) found that visions were emergent and flexible (p. 217) rather than provided in a top-down fashion by the principal. Duignan and Bhindi (1997) had no such reticence about the concept of principals vision, arguing that the ethical quality of the leaders vision was a pre-condition of establishing shared vision: What is expected is an alignment of key values (e.g. honesty and integrity) and action, and a recognition of the need to develop a moral and ethical platform for life and work. (pp. 199-200)

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Fullan highlighted the importance of shared beliefs and vision in each of his analyses of educational change. Vision building was one of the six themes of educational change (1991, p. 82). Changing beliefs (with change in behaviour) was what he termed one of the four important insights into educational change (1991, p. 82). In addition, along with strategic planning, the importance of vision was one of the eight basic lessons of Fullan's new paradigm of change (1993, p. 21). On the issue of whose vision should guide change he looked beyond the leaders: There are fundamental limitations to the leader as visionary ... Visions die prematurely when leadership teams attempt to impose a false consensus suppressing rather than enabling personal visions to flourish. (1993, p. 4) Fullan (1991) argued that solutions must come through the development of shared meaning (pp. 4-5). Another view saw stakeholders' values as the key to implementing change successfully. Schlechty (1990) proposed this key question for educational leaders regarding stakeholder values: If this change were to be implemented, what are the critical values held by the various constituencies who would be affected? (p. 85)

From his perspective, the answer to this question guided implementation strategies (1988, pp. 186-188). Some writers went further by defining which values might provide the keys to the way forward. M ortimore (1996), typical of writers who wrote from the school effectiveness perspective, valued measurable student achievement: A high performing school, through its well established systems, promotes the highest academic and other achievement for the maximum number of its students regardless of the socio-economic backgrounds of their families. (p. 4)

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However, some authors identified societal and philosophical values as the fundamental rationale for educational change. Saul (1997, p. 68) saw the importance of revitalised public schools as crucial to sustaining Western democratic values. Fullan (1993) argued that education is a means of societal improvement (p. 14). For Angus (1995), this meant the struggle to make meaning against other meanings, including dominant meanings (p. 74). Postman (1997) agreed with Goodlad that it is ideas that will give purpose. He argued for a curriculum focus in a transcendent narrative of universal meaning, for example, spaceship earth or humans making mistakes and learning from them (p. 23). Paradoxically, in arguing for curriculum change, one of the outcomes he wanted was the recognition of the value of "continuity", as well as of "purpose" (p. 23). The next section discusses the ways values and vision are enacted in the work of teachers and the learning of students.

TEACHERS AND STUDENTS The teachers and students layer is next to the centre of the model because this is where the meaning of change must become manifest. It represents the work of teachers and the learning of students and all the elements that directly produce quality learning and quality leadership in the classroom. The importance of this layer cannot be overemphasized. Sergiovanni (1989) explained that those closest to the classroom had the greatest capacity to bring improvement because of the nature of the school as an organization (culturally tight and managerially loose) and the nature of educators motivation: sustained performance beyond expectations comes from inner forces and the felt motivation of principals and teachers. (p. 4)

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Sirotnik (1989, p. 90) affirmed that power was in the hands of school people to make the difference. Writing from within the Australian context of the devolution of decision making in the various Australian state systems, Sharpe (1996) too identified those closest to where students learn as the most influential on the quality of student learning outcomes (p. 17). Hill and Russell (1999) in their list of guiding principles for improved schooling in the middle years included the relationship between teacher and student (p. 6). Some authors viewed the relationships and interactions as far more important in the success of school change efforts than management and leadership matters to be discussed in the next section. For example, Cooper (1988) argued that the key relationship in schools was that between the student and the teacher. Changes on the organizational level, she argued, cannot change anything that matters. Change, to mean anything, must itself have meaning, and the meaning we have located falls on a line between the rigor of professional practice and the familial bonding nature of teacher-student interaction. (p. 51) Barber (1997) regretted the obsession with structures in educational reforms of the 1980s and early 1990s and favored approaches focused on people: It is time to recognise that reforming structures alone will not bring about real change, least of all in education, where quality depends so heavily on a chaotic myriad of personal interactions. (p. 160) Barber urged educators to embrace the benefits of such chaos for schools: though the process is unsettling, it is remarkably positive: individuals, informal teams and creative energy matter again. (p. 160) In a similar vein, Hargreaves (1993) voiced strong support for education systems that gave free-spirited encouragement of teachers individuality and creativity. Rather than

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relentless pursuit of the collegial norm he urged acceptance of teachers who may be perceived as enthusiastic eccentrics who work better alone than together (p. 53). Fullans (1993) admonition to zero-in on changes in teaching and learning (p. 59) focused attention on the central meaning of school relationships. He argued that only changes that make a difference to teaching and learning will be supported because only they are likely to fuel and refuel the moral purpose of teaching (p. 59). Evans (1996) affirmed that much research showed the importance of a sense of efficacy - the sense of making a difference, of true accomplishment in teachers motivation and performance. (p. 95) Northfield (1992, p. 96) provided a very good example of teachers who experienced this sense of efficacy in initiating and implementing change in their classrooms. It was an account of a group of teachers who acted on their belief that they could do something positive to affect the quality of their students learning. A case study, it told of the establishment of The Project to Enhance Effective Learning (PEEL). It provided an example of Coopers intersection of the rigor of professional practice and the familial bonding nature of teacherstudent interaction. PEEL, founded on a constructivist model that focused on the way learners processed and structured ideas, explored ways of improving students learning strategies. Extrapolated from PEEL, Northfield developed a framework in which school leadership was conceptualised in terms of providing three necessary conditions for quality learning to thrive: the opportunity for personal understanding, mutual support and reflection on practice. In the selected literature relevant to this layer of the model of the school, the importance of paying attention to the experiences of those participating in the change

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process was a significant theme. Not to take account of what a change will mean to those charged with implementing it was to risk its success. Fullan (1991) pointed out that ignoring participants experiences has been at the heart of the spectacular lack of success of most social reforms (p. 4). M oreover, to underestimate the relevance of the experiences of students, teachers and administrators in change was to fail to understand that all real change is personal, which means that it must be accomplished person by person (Evans, 1996, p. 71). Whether a proposed change was adopted or resisted has been found to rely very much on the perceptions of the teachers whose role it was to implement it. Hargreaves (1994) urged change agents to take teachers perceptions and perspectives very seriously (p. 11). He argued that fulfillment, intense achievement, sense of breakthrough, closeness to fellow human beings, even love for them (pp. 12-13) were what teachers of capacity desired. Hall and Hord (1987) urged recognition of two contrary aspects of the individual participant in school change. The first was the need to understand the view of the participant, and the second to ensure that they implement the change. In their model, the Concerns-Based Adoption M odel (CBAM ), a pre-condition of commencing a change process was that the change facilitator understand how his or her clients (e.g. teachers) perceive change and adjust what he or she does accordingly (p. 5). Understanding the client was the starting point for the intervention to change him or her on the assumption that to change something, someone has to change first (p. 10). Writers on educational change have found that teachers had both optimistic and pessimistic responses to change. Evans (1996) characterized the human response to

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change as ambivalence and urged that attention be paid to that and a problem-solving approach be adopted: Rooted in the most profound depths of the human psyche, our ambivalence especially our resistance needs to be seen as part of the solution, not just part of the problem; it demands the attention and respect of all who seek innovation. (p. 38) Schlechty (1990) found that many, if not most, teachers are sceptical, if not cynical, about the need for and prospects of school reform (p. 2) and that they also pursue excellence and strive for improvement because they believe in what they are doing (p. 108). Goodlad (1975) commented that teachers needs for survival and, indeed, satisfaction do not necessarily match up with the rational goals of change agents (p. 17). This sheds light on the distinction Schlechty drew between change that was perceived as an externally imposed reform and a change that is inspirational for teachers. Atkin (1996) described the result of knee-jerk responses to mandates and other external pressures as producing a failure to change where it matters: And so we revolve on a merry-go-round of policies and words, paying lip-service to the intended improvement, but within the walls of the school and the classroom little changes. (p. 4) Huberman (1993) asserted that to view the teacher as an independent artisan had the best fit with the ... dynamic ecology of life in the schoolhouse and in the schoolroom (p. 46). He argued that this construction of the teachers role respected skill and craft and was more street smart and school smart (p. 46) than the roles assigned to teachers in other contemporary perspectives such as that of the school effectiveness movement. Stoll and Fink (1996) were also adamant that an enhanced definition of the role of teachers as knowledge workers, professional educators and leaders (p. 6) would hasten school improvement.

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Empathic voices expressed strong concern for students. M any authors discussed the unsatisfactory levels of students engagement in learning and levels of academic performance. Writing about American school students, Schlechty (1997) described them as the products of an unsatisfactory system of education: Something is fundamentally wrong with Americas system of education. Too few children develop the academic skills they need to develop, and too many children leave school without having developed the skills, attitudes, and habits of mind that will equip them for life in the twenty-first century. (p. 2) Fullan (1991) presented an equally negative perspective on North American students. He referred to a very high level of alienation with two out of three students currently finding little intrinsic meaning in school (p. 182). Barber (1997) collected data on the extent of young adolescent disengagement from school in the UK. He found that a general lack of motivation affected forty per cent of all students in secondary schools with sixty per cent admitting to counting the minutes to the end of their lessons (p. 79). Various writers have commented on the role of students in change efforts. Barber (1997) proposed that student motivation should be a consideration of the highest priority (p. 169) in curriculum redesign. Fullan (1991, p. 170) argued that there has been too little attention paid to the role of students in the change process. Schlechty (1997) proposed to redefine the role of the student as that of customer (p. 49). He supported this with the argument that schools and teachers must accept the fact that the attention and commitment of students must be earned; they cannot be commanded (p. 49). Fullan (1991) urged that students be regarded as participants in the change process:

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 we should stop thinking of students just in terms of learning outcomes and start thinking of them as people who are also being asked to become involved in new activities The more complex the change, the more that student involvement is required. (p. 189) In a similar vein, Hodgkinson (1991) placed students as the arbiters of whether or not a change has been successful: Ultimately, the test of the great educational idea is whether it captures the allegiance of students; thus, students in effect compose the quality circles that prove or disprove the leadership initiatives. (p. 159) Atkins (1994) analysis of the teacher-student relationship highlighted the crucial importance of the teacher being a model for the learner, accepting the learner on his or her own terms and having the capacity to impact on the learner. She asserted that: The essence of the relationship is unconditional love expressed through care and concern for the learner, acceptance of the learner and an expectation that s/he will learn. (p. 5) Such relationships require appropriate structures and a supportive culture. These aspects of the school will be discussed in the three following sections.

M ICRO-POLITICS The second layer from the centre in the model is the micro-political life of the school. The exercise of power and leadership in making decisions that create change in the school links the micro-political layer to all other layers of the model of the school. Decisions are the result of the micro-political activities of groups and individuals. Cooper (1988) provided a high educational standard against which to measure the quality of micro-political activity: If participation in the profession, in decision making, in the rites of power and control helps children, then professional culture will have meaning. That being the benchmark, the effort will not be self-serving. (p. 54)

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However, due to the finite resources of schools, not all ideas that may help students can be implemented. Hence, what best helps children in any specific context will be contested. The selected literature revealed a range of views on the exercise of power in changing schools. Some writers discussed conflict, others cooperation. Some favored the leadership of formal leaders, particularly the principal, and others the potential for all to be leaders. Throughout the selected literature, the importance of leadership of change is a consistent theme perhaps because, as Leithwood (1994) insisted, leadership only manifests itself in context of change (p. 3). Blase (1991) defined micro-politics as the use of formal and informal power by individuals and groups to achieve their goals in organizations and observed that both cooperative and conflictive actions and processes are of the realm of micro-politics (p. 11). The research done by Ball (1987, p. 19) in the eighties on the micro-politics of school life found much more conflict than cooperation . His empirical studies were of traditional, hierarchical school structures (p. 280). Ball (1987) found that it is through micro-political confrontations and interactions (p. 10) that the school is defined. He argued that the nature of the schools organization markedly affected its micro-politics in that the structure of schools allows for and reproduces dissensus and goal diversity (p. 11). The essential concepts for Ball in the micropolitical perspective were power, goal diversity, ideological disputation, conflict, interests, political activity and control (p. 8). He regarded change as rarely politically neutral. Interests are enhanced or threatened by change (p. 78).

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For Ball, conflict was at the heart of the micro-politics of the school. Control was central to the leaders role (p. 83) and disputation was prevalent in the inter-action between teachers and administrators. The principal was often critical in resistance to change (p. 79) and acted to conserve the status quo against those who advocated change. A decade later, the selected literature was somewhat different. Blase J. & J. (1997) studied schools with exemplary facilitative principals who directly or indirectly contributed to teachers sense of empowerment (p. 138). Rather than characterized by conflict, the micro-political processes employed by these principals were marked by varying degrees of reciprocity, co-agency, negotiation, sharing and mutuality (pp. 139-140). Rather than control or domination (Ball, 1987, p. 83), the Blases (1997) found that trust in teachers emerged as the most significant aspect of facilitative school leadership (p. 145). They contrasted the power-over teachers approach of principals in studies such as Balls to the power-through or power-with demonstrated by their exemplary facilitative principals (p. 139). They viewed the power-over approach as deficient because it did little to enhance teachers sense of empowerment (p. 139). The views found in the selected literature on the leadership required for successful change efforts in schools will be discussed on a continuum suggested by Lakomskis (1995) contrast of the leadership of one with the leadership of the many (p. 212). In the selected literature, emphatic voices endorsed the centrality of the principals role in bringing about change. For example, Hall and Hord (1987) reflected

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that they had never seen a situation in which the principal was not a significant factor in the efforts of schools to improve (p. 1). M acpherson (1992) emphasized the comprehensiveness of the principals role: as educational philosophers, as strategists, as politicians, as cultural agents, as managers and as evaluators (p. 6). Bolman and Deal (1993) presented a strong case for the crucial importance of the principal in bringing about change. Their study of principals leadership found that of four domains structural, human resource, political, and symbolic the work of the principals was confined mainly to the human resource and structural frames (p. 26). They urged principals to expand their cognitive range encompassing the assumptions and imagery of the political and symbolic frames(p. 27). Emphatic that schools were arenas for power struggles and value conflicts (p. 26), they advocated multi-frame thinking. In their view, school success depended largely on principals learning to reframe the problems they face so as to discover and invent new solutions (p. 31). Also with a strong view of the principals role were those who argued that Transformational Leadership (TF) provided a sound conceptualization of school leadership. Lakomski (1995) described the role of TF leadership as: developing teachers (and students) potential, altering awareness, introducing vision and mission and generally transforming the organization and its members. (p. 211) Leithwood (1994, p. 14) strongly advocated TF for secondary schools, arguing that it was helpful to meet the unique challenges secondary leadership faced. Empowerment of staff members close to program delivery would provide the direct leadership for first-order change (p. 4). The second-order change of organization and culture development would result from the principals transformational leadership practices. These included a shared vision, consensus about goals and priorities, expectation of high performance,

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provision of support and intellectual stimulation, modelling good professional practice and sharing power (pp. 23-25). Gurr (1996) interviewed principals and teachers in ten Victorian schools and found that his respondents perceived that the principal leadership role was shown to strongly support an educational view of transformational leadership (p. 237). However, a number of writers on educational leadership have criticized TF. For example, Gronn (1995) identified two major weaknesses in the case for TF. Firstly, there was a philosophical objection: A strong air of human perfectibility infects the exposition of TF leadership the very idea of transformed individuals and organizations, carries with it all the hallmarks of a religious crusade and being born again. (p. 25) Gronns second objection was the weakness of the data to support TF:

until such time as proper account is taken of varieties of leadership contexts, any argument about the uniqueness, superiority and effectiveness of the TF leader has to remain substantially unproven. (p. 25) Lakomski (1995) rejected transformational leadership for two reasons. Firstly, she argued that TF was not helpful because of its hierarchical view of knowledge. With leadership seen as mainly residing in the role of principal or vice principal there was an assumption that knowledge is concentrated at the top of the organizational hierarchy and that it flows downhill (p. 211). She argued that knowledge was widely spread throughout the membership of the school. Secondly, she argued that TF was inadequate because it contained no discernible view of learning since there are no feedback mechanisms which allow for learning from error (p. 212). Gardners (1997) view that the exercise of leadership by individuals is very important for successful change and that leadership can be widely learned placed him near the midpoint on the continuum. Taking a cognitive approach, Gardner saw

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leadership as a process that occurs within the minds of individuals who live in a culture (p. 22). For Gardner, leaders were: persons who, by word and/or personal example, markedly influence the behaviours, thoughts, and/or feelings of a significant number of their fellow human beings (here termed followers or audience members). (pp. 8-9) Central to the influence exercised by leaders were the stories they communicated to their audiences. Leadership was exercised when the stories leaders told were to do with important matters of identity and the audience could see that they were embodied in the life of the leader (p. 37). Although the leaders he studied were all of historical significance, he asserted that his findings were applicable to any context where leadership was exercised including the school, workplace and community (pp. 305-306). He advocated leadership training for everyone: The best leadership training for potential leaders, I submit should be the best training about leadership for all in the sense of familiarizing the population with what is entailed in being a leader, and what can go wrong, as well as what can go right. (pp. 304-305) Hodgkinson (1991) agreed that there were benefits in a broadened understanding of the micropolitical layer for all school organization members: (They) should have at least enough formal training in administrative or organization theory to disabuse themselves of the notion that administration is a mystery or that leaders are necessarily charismatic. (p. 161)

The beliefs that many are capable of leading, and that all are able to participate in shared leadership, are prominent elements in the views at the other end of the leadership continuum. Teachers interviewed in a study by Blackmore et al. (1996) preferred these kinds of leaders, who have a sense of direction which they communicate but do not impose on others and they can be persuaded to change their minds when convinced consult and are committed to democratic practice as much as is possible make difficult decisions but justify them openly to those affected and provide
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alternative ways of doing things. They share responsibility and power encourage individuals and groups to work collaboratively and lead. (p. 15) Despite the ambivalence suggested by making difficult decisions and being committed to democratic practice, the breadth of the description suggested agreement with Starratts (1993) view of leadership as a force energizing all levels of the school (p. 19). Lakomski (1995) reached the same conclusion from a theoretical analysis. Supporting the leadership of the many (p. 212), she advanced the argument that organizational learning had the capacity to transform the school. Pointing out that holding of formal power does not equate with being epistemically privileged, Lakomski concluded that: M ore participative structures which incorporate the knowledge of all may yet make the best sense in terms of facing the challenges posed by an inherently uncertain and unpredictable future. (p. 223) Gronn (1999) supported a broad-based theory of leadership. He allowed for the possibility of leadership manifesting itself at any level of any educational organization (p. 20) and argued that any leadership role involved learning. Whatever the preferred model and mode of leadership, the interactions in the micropolitical life of the school result in decisions that shape the organization. The next section is a discussion of a range of views of the school as an organization.

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SCHOOL ORGANIZATION Five frameworks for intervention to change the school as an organization have been selected for discussion: Organization Development, Total Quality M anagement, A Systems Approach Based on Organizational Levels and two contemporary planning models Evolutionary Planning and A Self-M anaging School Planning M odel. Because of the importance of Kilmanns integrated program in this study, it is appropriate to commence with Organization Development (OD). Kilmanns (1989b) theory and practice of change in organizations was developed in response to what he perceived as a dire need to rejuvenate the vision and methods of organizational development (p. 201). His program is outlined later in this chapter. Schmuck and M iles (1971) defined Organization Development as a planned and sustained effort to apply behavioural science for system improvement, using reflexive, selfanalytic methods (p. 2). They adapted OD from the business context to apply it to school change because they perceived that inattention to the school as an organization was the weakness of many earlier attempts at change (p. 1). They believed that school change efforts failed because they have been piecemeal (p. 14). In applying Organization Development to Australian schools M ulford, Conabere and Keller (1977) perceived that the major cause of failed change was that the organizational context in which change is to be attempted is more often than not ignored (p. 211). These writers found that the initial applications of OD techniques in Australian schools were a qualified success. In recommending further application of OD, they acknowledged that OD originated in a business context and was an import

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from North America and hence urged a process of mutual adaptation (p. 234) in Australia to maximize its prospects of success. Critics of approaches to school change derived from organizational theories and/or business contexts have asserted that these approaches are suspect because of their failure to recognize the peculiar nature of schools as organizations (Ball, 1987, p. 7). M iles (1993) reflection on the failure of OD to be adopted quickly and widely in schools gave some support to Balls point. M iles suggested that a possible reason was its emphasis on relations among adults in the organization and under-attention to pedagogical and curricular issues (pp. 225226). M iles asserted that linking organizational and pedagogical issues seems clearly crucial (p. 226). A later OD initiative, the European Institutional Development Program (IDP), overcame the limitations of earlier attempts, proceeding through an interactive process that involved five school organizational elements: values, goals, planning, practice and evaluation (Dalin, 1993, p. 117). Dalin (1996b) argued that, while schools have survived as conserving institutions, unless they became orientated to the future their students would be poorly equipped to take their place in the world: Schools not only need to think about 10 years in the future, but are not relevant unless they see 20-30 years ahead. A school that does not prepare students for the global paradigm shift is obsolete. (p. 6) The IDP comprehensively adapted the OD tradition to school change. Dalin (1993) explained that this was necessary because schools are much more complex organizations than most industrial enterprises (p. 11). Total Quality M anagement (TQM ) is a business derived change theory that has been applied to schools. In a case study, Quong and Walker (1996) described the

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application of TQM principles in a private school to address problems such as enrolment decline, low staff morale, low parent and student satisfaction. The result was a structural change (subschooling). They listed four essential elements of the use of TQM in schools: 1. focus on student needs rather than teaching outcomes, 2. focus on processes, 3. implement small changes to produce continuous improvement rather than large-scale plans, 4. involve all staff in process improvement (p. 222). For Quong and Walker the acid test of improvement flowing from TQM principles was when a school changed by moving away from the sole emphasis on the traditional top down hierarchy of principal, deputy principals, faculty heads and teachers to instead develop structural forms that focus on empowering staff and improving the processes of learning (pp. 222-223). The evaluation of the case study school suggested that the adoption of TQM principles had successfully addressed the identified problems. Nevertheless, some authors had reservations about applying TQM in education or as a preferred means of changing schools. Dennis (1995) argued that: Taken as a symptom, TQM in education is but part of a chain of contemporary global events where the diversity of human culture, history, identity and morality are rigorously reinscribed as but mere subsets of a timeless, universalizing market logic. (p. 2) He resented the need under TQM to see all variability as evil and to describe all human identities in terms of internal or external customers (p. 3). He saw TQM as dystopian in its idolization of technique and veneration of the system (p. 13). Cuttance (1995b) identified three major doubts about applying TQM to school change. Firstly, in the literature about applying TQM to schools he found insufficient commonality in underlying principles or strategies. Secondly, there was no clear argument why TQM , developed outside education, was likely to be more relevant

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than the educationally derived alternatives ( p. 16). Thirdly, the focus on the process of TQM may detract from the objective of improving student learning outcomes, clearly the superordinate objective of change. A Systems Approach Based on Organizational Levels is the third framework outlined here which attempted to effect change at the school organizational level. Specifically for secondary schools, Tuohy and Coghlan (1997) developed: a systems approach (that) views the organization as a behavioural system comprising four levels of behaviour the individual, the face-to-face team, the interdepartmental group and the organizational. (p. 66) Tuohy and Coghlan had backgrounds in educational administration and business administration respectively. This model, based on the authors work with schools mainly in Ireland , represented a sophisticated framework informed by systems thinking. They identified the value of teamwork and participation as integral to developing the school as an organization at a number of levels: (1) to get an individual teacher committed to the goals, values and culture of the school (2) to establish good, working face-to-face relationships in functional teams (3) the development of a middle-management structure (4) the unified effort of all participants in the school towards the end of making the school effective, responsive, service-oriented and functional in its external environment. (p. 66) The major strength of this framework was the inter-relatedness of the four organizational levels. Its designers claimed its systemic approach facilitated organizational learning and promoted problem solving without blame and the typical responses of guilt, stress and burn-out (p. 75). However, no data were provided to demonstrate the effectiveness of this framework in use. Louis and M iles (1990, pp. 292-293) advocated evolutionary planning as appropriate to effecting change in contemporary school contexts. Derived from their

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case studies of urban secondary schools, they sketched a planning process in broad terms. They recommended that a group made up of members with diverse roles and who may not normally work together plan for change. They viewed planning as the starting point for empowerment. They suggested that the group select broad and multiple goals and that early in the change effort there be plenty of successful action to achieve small-scale wins. They argued that vision and coherence are best sought over time through successive and parallel change themes. Finally, they urged careful and regular monitoring. Louis and M iles described the skills needed by an evolutionary planner:

learn to live with ambiguity, and fight off the tendency to premature closure or pressure from others to give us the answer communicating openly, building trust with each other, making joint decisions, learning from experience. (p. 293) Wong, Sharpe and M cCormick (1998) pointed out that Louis and M iles evolutionary planning, and other similar planning models, assume that in turbulent contemporary contexts the plan is not permanent or too specific. It serves for general guidance only. Actions are contingent upon changes in the environment and the feedback obtained from ongoing evaluation. (p. 70) From a review of the literature on planning for school change, Wong et al. proposed a framework for effectiveness of planning made up of four factors: flexibility of planning, shared decision making by teachers, principals support, and availability of resources. From a sophisticated analysis of the data collected from surveying teachers in Hong Kong, they developed A Self-M anaging School Planning M odel. Wong et al. described the model as responsive, recurrent and flexible (pp. 77-78). Its salient

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features were responsiveness to the environment and ongoing evaluation to maintain goal relevancy. A frequent reason for intervention in the school organization layer was to act to strengthen the culture of the school, the subject of the next section, the outer layer of the M ultilayers of School Change M odel of the school.

SCHOOL CULTURE A typical definition of school culture was provided by M itchell and Willower (1992): the way of life of a given collectivity (or organization) particularly as reflected in shared values, norms, symbols and traditions (p. 6). However, school culture is a somewhat elusive concept. Nias (1989, p. 143) pointed out that studies of the cultural perspective would benefit from clearer definition of what is meant by the culture of the school. There is agreement among many writers that the culture of the school exercises a strong influence on all involved in change efforts in schools. Dalin (1993) wrote: The school culture has a major influence on the quality of opportunities that the school provides for each child. The ethos of the school as a whole and the climate of the individual classroom have a direct bearing upon teaching and learning. (p. 20) Hodgkinson (1991) described how the powerful influence of various aspects of culture exceeded the influence of leaders statements of purpose: A commitment to high standards or excellence is transmitted more though hidden curriculum, teachers attitudes, and group chemistry than through any formal rhetoric or protestation from higher levels of the organizational hierarchy. (p. 158) Gronn (1999, p. 91) described the powerful influence of culture both on the way individuals act and the way they perceive the context of their actions. For that reason

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Nias (1989) warned against perceiving culture as having an existence independent of those who participate in it (p. 145). The range of views about changing school culture found in the selected literature will be presented, beginning with the view that school leaders have the capacity to quite readily change the culture of the school and ending with the views that emphasize the difficulties of this process. Kilmann represents the view that organizational culture is amenable to change by leaders and managers. Caldwell and Sawatzki endorsed the relevance of his approach to school change (see p. 11). Although no writer on educational change matched the ease of Kilmanns account of undertaking cultural change, some did share his views somewhat. Beare and Slaughter (1993) depicted the school culture as something that was in the domain of educators to quite readily change: It seems obvious that educators unmake and remake those cultures, and usually simply by favouring a consistent way of depicting what they do. (p. 88)

Hopkins and Ainscow (1993) reported that principals who were successful with change seemed to agree with Schein (1985:2) when he wrote that the only thing of real importance that leaders do is create and manage culture . (they) focus on culture first. It is almost as if they begin by asking, What cultural changes are required? and then, What priorities, strategies, and changes in conditions can bring this about? (p. 293) At some distance from these views is the idea that administrators have the role of monitoring cultures rather than changing them. For example, Hodgkinson (1991) argued that the leader had a duty to monitor the internal and external cultures and be

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skilful in positioning the organization to make the most of opportunities or to resist trends if that is appropriate (p. 83). Hargreaves and Hopkins (1991) lamented that change agents frequently played down the importance of culture: Too often they focus on individual changes, on discrete projects and on individual classrooms, rather than how these changes can fit in with and adapt the organization and culture of the school. (p. 122) Dalin (1993) also argued for a consistent approach to school reform directed to changing the culture and rejected ad hoc and piecemeal efforts at change What is needed is systemic change that involves a fundamental cultural change (p. 1). Some other writers perceived school culture as a powerful force which is to be respected by change agents and is difficult to change. Firestone and Corbett (1987) regarded the culture of the school as fundamentally conservative providing points of order and stability in the blooming, buzzing confusion of everyday life Culture is, then conservative, although not immutable. It carries the past to the present, yields grudgingly to the cumulative impact of concurrent social conflicts, and long outlasts the lives of particular individuals. (p. 335) Nevertheless, they concluded that greater understanding of school culture was the most promising direction for future success in educational change (p. 338). This largely accords with Fullans (1991) view that: culture change is the agenda. There appears to be many people willing to work on it, but they should realize how deep a change they are getting into. (p. 143)

For Fullan the task of culture change was neither to be shirked nor underestimated. Nevertheless, some writers regarded as implausible the view that leaders and managers may readily change the culture of their schools. Within this broad perspective

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were three distinct points of view. Firstly, the view that changing a schools culture is a most difficult and demanding, if not impossible undertaking. Secondly, that culture was a product of negotiation among all stakeholders. Thirdly, that there is a human tendency to continuity and an accompanying resistance as a response to proposed change. Evans (1996) argued that culture change can occur, but it is a vastly more difficult, lengthy undertaking than most people imagine (p. 49). He described it as a huge and daunting task (p: 5). He saw culture as exercising its power on the levels of artifacts and creations, values and basic assumptions. Evans designated basic assumptions as the truly cultural level that is, the most unconscious, implicit depths. They are invisible and almost invincible(p. 44). Hargreaves (1994) went further. He regarded seeking to strengthen the culture of the secondary school as a futile exercise. He identified school size and the strength of the subject disciplines as impenetrable barriers to establishing a strong secondary school cultural identity. He regarded the secondary school culture as an illusory concept or, if it existed at all, a fragmented thing: The challenge for secondary school teachers of the postmodern age is how to construct a coherent sense of purpose that neither rests on the fruitless pursuit of whole-school vision or identity, nor reverts to traditionally balkanized patterns of departmental conflict or indifference. (p. 236)

Hence, Hargreaves advised secondary teachers not to look for meaning in the culture of the school because, in his view, the concept lacked substance. Those who viewed the establishment of culture as negotiated were adamant in their rejection of the views of theorists such as Kilmann. They argued that they misconstrued culture as a dependent variable of leadership (Angus, 1995, p. 71).

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They saw their understanding of culture as restricted (by) excluding the notion of cultural politics and by treating organizational culture as synonymous with managerial culture (Bates, 1987, p. 82). Instead, in this perspective a schools culture was seen to be the creation of, and could only be changed through, negotiations between teachers, pupils and administrators, and parents (Bates, 1987, p. 106). From this perspective, a change in the culture was dependent on the will of stakeholders. This view did not regard culture as fixed or permanent. It was changeable, but as a shifting and contested notion that is continually being constructed and reconstructed, and which must be subjectively understood (Angus, 1993, p. 71). It was not directly amenable to the visions and values of managers or leaders. M itchell and Willower (1992) described another form of stakeholder negotiation. They argued that schools have multiple cultures and that from the tension between them a strengthened culture may evolve. They studied the culture of what was regarded as an excellent high school and sought to identify the conditions under which genuine organizational cultures that cut across groups might be found in schools (p. 7). They argued that the community can be a critical factor in supporting efforts to develop deliberately organizational cultures that fit school goals (p. 7). The distinctive feature of the case study schools community was the indirect influence of the families associated with a large medical centre serving the district. The study showed that teachers and students perceptions and responses to the members of these families in the school subtly but powerfully strengthened the focus of the schools culture on academic achievement. The underpinning of the concept of school culture in the human need for continuity and to respect traditions and customs is suggested by a summary of what

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school culture is as what is true and good (Rossman, Corbett & Firestone, 1988, p. 5). Louis and M iles (1990) described this aspect of culture as the schools deep history, which emerged from: the spontaneous stories that individuals in the school offer as explanations for the organization and functioning of the school. When taken together, these stories form a saga that helps define the culture of the school. The overall saga is usually unique and focuses on specific individuals or events in the schools past that have shaped its goals and character. (p. 185)

Across the case studies, the three powerful themes that emerged in these deep history stories staff cohesiveness, innovation history and the golden age myth - were relevant to change. Evans (1996) argued that change agents must recognize the powerful conservatism of the school culture. He dismissed all prescriptions for the rapid transformation of school culture because: a careful look at the true nature and functions of organizational culture reveals that it operates at a profound level, exerting a potent influence over beliefs and behaviour to preserve continuity and oppose change. (p. 41) The concept of school culture is not able to be regarded separately from the other layers of change. Values and beliefs are fundamental to the cultural perspective (Firestone & Corbett, 1987, p. 335). There was a two-way interaction between the individual and the school culture. On the one hand the culture or climate of the school can shape an individuals psychological state for better or worse (Fullan, 1991, p. 77). On the other, to change the culture requires people to change their beliefs and perceptions (Evans, 1996, p. 5). School culture could not be separated from the organizational structures of the school because as Schlechty (1990) pointed out structural change requires cultural change (p. xvii). Again school culture cannot be

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conceptualized adequately without allowing for micro-political activity (Nias, 1989, p. 143).

THE CHANGE PROCESS In the context of the range of approaches to studying organizations, the methodology selected for this research project placed it within the broad category of contingency theory. Contingency theory rests on the assumption that: while there is no one best way to organize and manage people in all circumstances, there are certain designs of organizational structure and describable management methods that can be identified as being most effective under specific situational contingencies. The key to understanding and dealing effectively with organizational behaviour from a contingency point of view, lies in being able to analyse the critical variables in a given situation. (Owens, 1987, p. 82) The major research questions and the conceptual framework for this study focus on the variables that are important in specific school change contexts. The formal study of the change in schools is of quite recent origins, commencing in the 1960s (Fullan, 1991, p. 5). Among the earliest findings of educational change research was that the process of change at the level of the school is characterized by its complexity (Firestone & Corbett, 1987, p. 321). This complexity was not expected by school change agents in the sixties when delivering a teacher proof box of new curricula was accepted as the way to produce immediate change (Hall & Hord, 1987, p. vii). It was the failure of this approach that led to conceptualization of school change as a process, the dynamics of which could be analysed. Alongside understanding change as a process, researchers asserted that attention must also be paid to the personal side of change as viewed by the school

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participants involved (Hall & Hord, 1987, p. 286). However, only a few years later, one writer perceived that the correction to considering the individual in change had gone too far: Too often those responsible for the improvement of instruction focus unduly on the teacher, neglecting the organizational context. (Glatthorn, 1990, p. 54) The following brief review of selected conceptualizations of the change process reveals, to some extent, the origins of what Firestone and Corbett called the steadily growing storehouse of knowledge about how to change schools (1987, p. 321). Kurt Lewin saw the change process as made up of three phases: unfreezing, reforming and refreezing. This process proceeded as attitudes of workers shifted in the desired direction. He envisaged the organization in change as made up of contending forces for and against change (see Petzall, Selvarajah & Willis, 1991, p. 242). The process of unfreezing, reforming and refreezing is central to what Kilmann called the culture track (see Kilmann, 1989a, p. 67). Writing in the Australian context, Dunphy (1981) surveyed the range of theories available to assist in bringing about organizational change: structural change by edict, change by adaptation to technology, change by improving human relations, organization development, the sociotechnical model, and the industrial democracy model. This survey of theories led to his formulation of fifteen characteristics of successful change programs: 1. 2. 3. 4. 5. 6. 7. 8. 9. Clear objectives Realistic and limited in scope Informed awareness Selection of appropriate intervention strategies Good timing Participation Support for key power groups Use existing power structure Open assessment beforehand

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contrast, his multi-dimensional model depicted the change process in a way that was realistic (in) that it reflects the expected processes and outcomes (p. 126). In the sample provided there were fourteen variables between the initial input and institutionalization. Dalins third change process model was his mini-model. This clarified the dynamics of a single element from the multi-dimensional model (p. 127). An example of a complex depiction of the change process in general organizational theory was a model developed by Kolb, Rubin and M cIntyre (1984). They conceptualized the process of planned change as consisting of seven stages: scouting, entry, diagnosis, planning, action, evaluation and institutionalization (Petzall, Selvarajah & Willis, 1991, pp. 246-248). Given the oft-lamented failure of change processes to achieve their promise (Fullan, 1991, p. xi; Evans; 1996, p. 5; Stoll & Fink, 1996, p.5) attempts to refine the model rather than simply break it into smaller component parts may be of greater relevance to this studys purpose. Ryans (1995) attention to improving implementation and Fullans (2000b) exploration of the process of interaction between the school and its environment are provided as examples of efforts to strengthen the conceptualization of the change process. Fullan and Ryan are similar in that they both argued for reconsideration of the connections among the policy implementation layers involved in bringing about change in large-scale systems. Whereas Ryan placed the problem of translating policy into successful outcomes in the implementation phase, Fullan nominated institutionalization as the problematic phase in school change. He noted that successful change occurs in only a small number of schools; that is, these reform efforts have not gone to scale and been widely reproduced and that where change had been successfully implemented

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there is no guarantee that the initial success will last. He argued that both local school development and the quality of the surrounding infrastructure are critical for lasting success (p. 1). Ryan (1995) re-asserted an early finding from U.S. public policy analysis that implementation has been analysed as a serious obstacle to desired program outcomes (p. 65) and reviewed the work done in implementation studies. After considering top-down (or macro) approaches to implementation and bottom-up (or micro) approaches, he considered what he termed institutional approaches and the meso-implementation perspective (p. 70). A school is an example of such an institution because it can be viewed as in the middle between policy makers and those for whom policy outcomes are intended. He argued that each of the three layers of actors in policy implementation (the centre, implementing institutions and street level actors) is important in understanding implementation processes (p. 71). After outlining a number of unifying models of implementation, he concluded that all distinctions between implementation and other elements of the policy process are rooted in differences in values and assumptions (p. 78). Nevertheless, he argued that this does not prohibit the development of third-generation implementation models which combine the most promising elements of previous perspectives. It does suggest that a wide range of these unifying models is likely to evolve. (p. 77) Applied to this study, Ryans theoretical endorsement of combining the best elements from the top-down perspective (for example, the DoEs Schools of the Future change plan) and from the bottom-up perspective (principals and teachers implementing the Schools of the Future program) with an institutional approach (the school as the

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centre of change) may provide guidance for the design of appropriate implementation models. There are both similarities and differences between Ryans combination of the three centres of implementation and the three stories of educational reform in which Fullan (2000b) argued that inside/out reciprocity provides a powerful and useful metaphor for the top-down/bottom-up combinations(p. 6). Fullans first story was the inside story. This storys theme was that the existence of collaborative work cultures (or professional learning communities) makes a difference in how well students do in school (p. 1). However, the inside story was without a satisfying ending because while educational change research has provided an increasingly clear idea about what is needed we dont know how to do it on a wide scale(p. 2). In Ryans terms, Fullans inside story was a combination of the bottom-up and institutional approaches to implementation with administrators and teachers taking the roles of the street level bureaucrats and workers implementing policies the best they can with discretion and judgement (p. 69). The second story Fullan called the inside-out story. Its theme was that as schools cannot do it alone teachers and principals must reframe their roles and shift their orientation to the outside (p. 3). Fullan nominated five external forces that schools must turn to their advantage: parents and community, technology, corporate connections, government policy and the wider teaching profession. To use Ryans language, Fullan urged educations street level bureaucrats and workers to approach government policy and other elements of the external environment with a counterintuitive mindset of moving toward the danger (p. 3).

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Fullans third story was the outside-in story and it had a top-down orientation also. It provided an answer to the question: What kind of infrastructure would best produce scores of inside and inside-out stories of success? (p. 5). Fullan proposed three elements for this infrastructure: decentralization policies, local capacity building and rigorous external accountability system (p. 5). In a longer discussion of large-scale reform, Fullan identified eight factors needed for sustained change across educational systems (2000a): 1. Upgrade the System Context by enhancing the teaching profession and the external infrastructure (pp. 20-21); 2. Coherence Making by change efforts that are selective, integrative and focused and synergized by priorities that are common among schools (p. 21); 3. Cross-over structures that truncate the change process by eliminating the juncture between initiation and implementation (p. 22); 4. Downward investment/upward identity: The system provides resources to increase the capacity of people to make improvements (p. 22). The need for upward identity is somewhat unfamiliar to those used to the competitive self-management settings such as that of the Schools of the Future context. Fullan argued that: large-scale reform cannot be achieved unless the system promotes commitment in educators and the public, that they are all shareholders with a stake in the success of the system as a whole. (p. 23) 5. Invest in quality materials: Despite the failure of this approach in the sixties, Fullan asserted that it is possible to get farther, faster by producing quality materials and establishing a highly interactive infrastructure (crossover structures) of pressure and support (pp. 23-24). 6. Integrate pressure and support: This combination was most successful when they are integrated (p. 24). As an illustration, he cited the recommendations for achieving predetermined standards and school-specific targets

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from Hill and Crevolas Early Literacy Research Project in Victoria. 7. Get out of implementing someone elses reform: Schools to practise the positive politics of defining their own legitimate reform agenda in the context of state policy (p. 25). 8. Work with systems: This factor summarized the previous seven: the systems emphasis is not to achieve control (which is impossible), but to harness interactive capability of systemic forces. All of the previous 7 do just that. (p.25) The interdependence of the school and the school system was central to Fullans (2000b) most recent conceptualizations of the process of educational change: Internal school development is a core requirement, but such change cannot occur unless the school is actively connecting to the outside. Schools that do develop internally and do link to the outside are still not self-sufficient. It is possible for these schools to develop for a while on their own, but, in order for their development to be sustained, they must be challenged and nurtured by an external infrastructure. (p. 6) Ryans synthesizing third generation implementation model may have the capacity to integrate the political dimensions of Fullans eight factors and three stories of change. It has the flexibility needed to span the worlds of policy makers and school people and the adaptability needed to construct flexible frameworks for implementation and institutionalization of better schools and school systems. The research of Schlechty (1988) and Huberman and M iles (1982) has been selected from the many studies of school change that have identified factors associated with successful outcomes to change processes. Schlechty was selected because his research explored in a practical context the cyclical nature of the change process. Huberman and M iles research was selected because it identified variables for successful change.

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Schlechty explained that as the principal investigator of a district wide staff development project in Virginia, commencing in 1979, he developed eight conclusions regarding school change management (p. 185). Several of Schlechtys conclusions will be mentioned to show the extent to which, in his experience, the change process was unlikely to proceed in a linear fashion. The most striking example was his collapsing of the initiation and institutionalization phases: For change to have lasting effects, institutionalization must begin at the beginning. Institutionalization cannot occur as an afterthought, and fundamental change cannot occur with a pilot, a test, or an experiment. (p.187) A number of Schlechtys other conclusions ran across the four phases of planned change. Firstly, what he called the feedback function ran throughout the change: This function concerns the continuous assessment of the quality of messages given off, the way these messages are received, and the way they are acted on it is essential that those who manage change develop a role structure that contains grassroots informants (in the anthropological sense of the term informants) as well as informed resisters. (p.186) Secondly, he merged planning, typically part of the initiation phase, with the implementation phase: Planning and implementation cannot be separated, for the act of planning is in itself an implementation activity. (p.188) Thirdly, he concluded that the change process must respond constantly to environmental contingencies: Change occurs in a constantly altering environment. Short-term tactics are based on an assessment of the environment at the moment. As the environment changes, tactics must change. Indeed, the implementation of tactics changes the environment in such a way that tactics for the future must be changed. Those who plan change must be prepared to change their plans. (p. 188)

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Huberman and M iles (1982) study of innovation in twelve schools across the United States aimed to describe the process of educational change in realistic, close-up terms and to develop systematic explanations for its success or failure (p. vii). Driven by the idea of following out the contextual consequences of an innovation in a school setting (p. 18) they identified eleven contextual variables that provided understanding of what was causing and blocking organizational change (p. 288). Five variables were mainly related to the background features of the school and/or its district: fund-seeking history, board attitude to innovation, demographic changes, innovative history, and school climate. Six variables were mainly related to features of the innovation process itself: external pressure, student need, attitude of the superintendent, availability of funding, motivation for adoption, and the strength of central office advocacy. Hanson (1991) asserted the significance of their study to the contingency theory approach to educational change: In their detailed comparative studies of innovation-based, school improvement programs, Huberman and M iles did not find that one size fits all. Their research portrays the process and outcomes of change to be situational dependent on the special contextual variables of the schools in question. They offer several routes to school improvement. (p. 338) Sergiovanni offered a cogent critique of the process approach to change. He described it as vacuous (2000a, p. 59). Using terminology derived from Habermas (1987), Sergiovanni drew attention to the possible conflict between the lifeworld and systemsworld of a school when change is viewed as a process divorced from consideration of the significance and meaning of the substance of the change. He briefly explained the distinction Habermas drew between the lifeworld and the systemworld:

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In schools leaders and their purposes, followers and their needs, and the unique traditions, rituals, and norms that define a schools culture comprise the lifeworld. And the management decisions and protocols, strategic and tactical actions, policies and procedures, and accountability assurances comprise the systemsworld. (p. 61) For Sergiovanni, if the systemsworld is the generative force determining the lifeworld then, however efficient the change process might be, it will tend to be to the detriment of matters of substance, the school character (p. 61). Another aspect of Sergiovannis criticism of the process approach to change was what he saw as its unquestioning affirmation of change and rejection of continuity. He made this point in the context of an aside regarding the nature of the leadership of change. Sergiovanni objected to the assumption that change is the only organizational dynamic in which leadership may be demonstrated. Instead he argued for recognition that maintaining continuities may offer leadership opportunities as well: leadership should be regarded as a force that not only changes but protects and intensifies a schools present idea structure in a way that enhances meaning and significance for students, parents, teachers, and other locals in the school community. ... For substance to be reclaimed the lifeworld must move to the centre of change theory and practice. (pp. 60-61) That Sergiovanni focused so clearly on the entity of the particular school and all those associated with it made his viewpoint of strong relevance to the purpose and methodology of this study: M aking substance the focus of change theory and practice requires legitimizing individual contexts and situations on the one hand and downgrading our present emphasis on the one-best-way, one-size-fits-all approaches to change on the other. (p. 64) The selected writers and researchers in this discussion of the change process have suggested ways in which meaning can be made of successful and unsuccessful change. Their passion for improving opportunities for students by successful initiation,

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implementation and institutionalization is matched by their sense of the difficulties still faced. M any other writers on educational change have expressed extreme frustration at the failure of so many change efforts and the need for renewed efforts. For example, Hargreaves, Earl and Ryans (1996) sense of the frustration of poorly managed change highlights the abiding urgency of becoming better at it: The recurrent tragedy of change is that politicians and administrators lurch chaotically from one change strategy to the next in a desperate search for solutions. The sad consequence is that too many teachers turn aside from change, when, they really need to embrace it more than ever. (p. 168) As well as understanding change as a process, models and practices of successful change are needed that take change ideas that are consistent with a schools values, and with strengthening its culture, from initiation to outcome without causing disillusionment for those responsible for making it happen.

OUTLINE OF KILM ANNS PROGRAM

Kilmann's Completely Integrated Program for Creating and M aintaining Organizational Success Introduced and Adapted by the Researcher for Application to Schools Note: Unspecified page references given in this section are to Kilmann, R.H. (1989b) "A Completely Integrated Program for Change" in M ohrman, A.M . (ed.)(1989) LargeScale Organizational Change, San Francisco: Jossey-Bass. Organization development, the foundation on which Kilmann constructed his completely integrated program, was first used in business management in the 1950s. (p. 201).

In the 1996 professional development program for Victorian school principals, 'Creating a School of the Future', participants were introduced to Kilmann's ideas and provided with a copy of Kilmann, R.H. (1989b) "A Completely Integrated Program for

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Change" in M ohrman, A.M . (1989) Large-Scale Organizational Change. They were given a task that required them to work in teams on a hypothetical application of Kilmann's program. Also, they were given an exercise to use the Kilmann program in the implementation of a planned change project when they returned to school (DSE, 1996, Introduction to Unit 9). Clearly, it was the intention of this professional development program to encourage principals to apply Kilmanns ideas in creating their 'Schools of the Future'. Kilmann claimed that he extended the original OD concept by specifying all the controllable variables and devising an integrated plan to adjust them for organizational success (p. 201). He identified two questions that he sought to address with his integrated program: 1. What is the essence of organized activity - that is, what makes an organization successful? 2. How can this essence be managed - that is, how can organizational success be created and maintained? (1989a, p. xi) Kilmann (1989a, p. xii) asserted that previous writers on organizations had made progress in providing answers to the first question by developing frameworks which showed the relationship between various elements of an organization. However, he claimed that before his work there had been little advance in showing how to create and maintain a successful organization. Kilmann claimed that his was the only book that: ... provides a framework for understanding the essence of an organization and a completely integrated program for managing that essence for organizational success. (1989a, p. xiii) Kilmann believed that to survive, all organizations had to become "... adaptive, market-driven, innovative, and competitive systems" (1989a, p. 4). He proposed that an

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integrated and holistic approach to change was required (1989a, p. 24). Kilmann identified the expected result of his program as organizational success which he defined as "... creating and maintaining high performance and morale over an extended period of time" (p. 201). Kilmann based his program for planned change on six principles. The first principle stated that anyone who sought to effectively manage organizational change must "...see the world in a new way- as a complex hologram (1989a, p. 4). The second principle stated that from the new worldview derived from the complex hologram "complex, interrelated problems emerge" (1989a, p. 4). The remaining four principles provided the wherewithal to solve these complex problems. The third principle stipulated that "... multiple approaches must be implemented" (1989a, p. 4). Because of the extent of "... the relevant knowledge and member acceptance (1989a, p. 4) it affords, participative management is the fourth principle. Kilmann asserted that this style of management is "... needed to implement multiple approaches effectively" (1989a, p. 4) because managers alone cannot bring about planned change programs. The fifth principle was "... that internal and external consultants should be used" (1989a, p. 4). The sixth principle insisted on management's commitment to the integrated program. Kilmann stated that a complete program must: ... outline how change can be effectively managed in the organization (p. 202) and ... integrate a variety of approaches - ranging from those that recognize the emotional conflicts of individuals to those that act on the system-wide properties of organizations. (p. 202)

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program" (p. 204). The external consultants were recommended as guides in the diagnostic stages, particularly in regard to identifying problems to do with management and organization, and for major elements in the first three tracks - culture, skills and team building (p. 204). In the shadow track, members of the organization acted as internal consultants to monitor the implementation of change and "... to enable the organization to learn the process for subsequent efforts of planned change" (p. 204). Kilmann provided detailed guidelines for each of the five stages. STAGE 1: Initiating the Program

Kilmann stipulated that it is essential to gauge the organizations readiness for change before commencing the first stage. A program for complete change should proceed only if the organization's leaders and managers are truly committed to it (p. 205). STAGE 2: Diagnosing the Problems This stage is guided by a complex holographic image of organizational life depicted below in Figure 7. This is the Barriers to Success M odel, previously described (see pp. 1718).

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As Kilmann claimed that the learnings in his program were "... essential for making any organization or institution more successful" (1989a, p. xiv), the modifications have deliberately been kept to a minimum. The adaptation of the Barriers to Success M odel to represent the organizational life of the school required modification of two categories: the manager and the results. It was assumed by the researcher that the principal's role encompassed that of the manager but was a broader role than that of management. According to many conceptualizations of the work of the principal, including the role of the principal within the 'Schools of the Future' program as the educational leader (DSE, 1993, p. 7), the term manager is too narrow. Therefore, The Principal replaced The M anager in the adapted model so that the broader dimensions of the role were not excluded. The sub-category M anagement Skills was retained to recognize that management is part of the role of the principal. Figure 7 showed that the results Kilmann stated would be achieved by the integrated program are related to morale and performance. The researcher assumed that if a school applied the Kilmann program, the results sought would be the creation and maintenance of high levels of achievement and engagement for students over an extended period of time. Also, it is assumed that high morale and performance of teachers would be a significant factor if this result were to be achieved. The setting is at the top of the Barriers to School Success M odel. According to Kilmanns view of organizational life, the setting is one of the five at-the-surface aspects of the school. The others are the organization, the principal, the group and the results. Kilmann stated that the setting "... provides the context in which the

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organization's internal properties and dynamics are understood, interpreted, and subsequently aligned" (p. 208). He noted that it is the broadest category in the model as it "... includes every possible event and force than can affect the success of the organization" (p. 208). Kilmann identified two aspects of the setting which he believed "... deserve further discussion" (1989a, p. 31): dynamic complexity and external stakeholders. Kilmann saw the concept of dynamic complexity as summarizing "... two qualities that are having increasing impact on all organizations: rapid change and interdependence in a global marketplace" (p. 208). He identified external stakeholders as "... any individual, group, other organization, or community that has some stake in what the focal organization does" (p. 208). On the left side of the model, below the level of the setting, is the formal organization. Kilmann stated that the "... formal organization can be diagnosed according to strategy, structure, and reward system" (p. 208). Kilmann defined strategy as "... all the documents that signify direction: statements of vision, mission, purpose, goals, and objectives" (pp. 2089). In a 'School of the Future' the school charter, particularly its priorities and goals, was the key strategy document. Kilmann saw structure as referring to '... the way resources are marshaled in order to move the organization in the designated direction: organization charts, policy statements, job descriptions, formal rules and regulations" (p. 209). He defined the reward system as "... all documented methods to attract and retain employees, but particularly to motivate employees to high levels of performance" (p. 209). On the same level as the organization but on the right side of the model is the principal. Kilmann elaborated on two aspects of this category, management skills and problem management. Regarding management skills, Kilmann maintained that "... the

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styles and skills of the managers can be diagnosed for how well they fit with the people and the problems of the organization" (p. 209). Kilmann saw problem management as crucial to the manager's role: "Today's managers have to be problem managers - sensing and defining problems - even more than decision makers selecting and implementing solutions" (p. 209). From Kilmanns view of the role of those in the top management role, the principals full involvement in diagnosing the problems is needed: It takes conviction for the top managers to be willing to share the diagnosis with others. But the willingness is critical for demonstrating commitment to the membership. The act of top managers acknowledging problems to themselves and to others, while painful, is an important event in the life of an organization. (p. 212) The three holographic aspects of the organization - culture, assumptions and psyches are at the centre of the Barriers to School Success M odel. Kilmann defined organizational culture as "... shared values, beliefs, expectations and norms" (p. 209). Kilmann saw assumptions as "... the next level of depth after culture" and he defined them as "... all the beliefs that have been taken for granted but may turn out to be false under closer analysis" (p. 210). The third holographic aspect is psyches. Kilmann believed that although psyches cannot be changed by the program "... an accurate understanding of human nature is essential in order to design strategy, structure, reward systems, cultures, and the implementation of ... decisions" (p. 210). The bottom layers of the Barriers to School Success M odel are the group and the results. Kilmann drew attention to the "... close link between the group and results: performance and morale from the point of view of internal stakeholders" (1989a, p. 33). Kilmann believed that teams played a crucial role in the program. He confidently asserted that an organization will be outstanding "... only if an organization is composed of well-functioning teams with minimal barriers to success in every category" (p. 211).

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In regard to decision making and action taking, Kilmann saw the team as crucially important. He described teams as "... highly interactive, cohesive sets of individuals all working towards the same objectives ... where synergism enables the team to contribute more that the sum of its members" (p. 211). In decision making, Kilmann believed, "... it is the team approach that will provide the most comprehensive source of expertise and information to solve complex problems..." (p. 211). Kilmann saw the results being derived from team efforts because of the quality of the decisions made and because the members' involvement ensured "... commitment to implement these decisions effectively..." (p. 211) by appropriate action taking. The results in the Barriers to School Success M odel were student achievement and engagement to which teacher morale and performance would be assumed to contribute significantly. STAGE 3: Scheduling the Tracks Kilmann stated that "five categories ... of the model are directly controllable by managers and consultants: culture, management skills, teams, strategy-structure, and reward systems. These action levers constitute the program of five tracks" (p. 213). Figure 9 below shows Kilmanns example of the scheduling of the five tracks (p. 221).

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The shadow track ran parallel to all the five tracks throughout the change effort. It was activated by a representative group charged with the responsibility for the process of improvement (p. 202). It integrated the tracks and drew on the efforts of internal consultants. Killmann placed strong emphasis on flexibility and adaptability (p. 227) during implementation. Indeed, he warned that: ... the plan never takes place exactly as intended. There are always surprises. Human nature and human systems, being what they are, do not lend themselves to a predictable path. (p. 202) STAGE 5: Evaluating the results Evaluating the results determined the impact of the whole program on organizational success (p. 225). Kilmann (p. 226) advocated the use of internal consultants and interview methodology in the evaluation phase. In sum, Kilmann described the key features of his program as its complex nature (necessitated by the complex nature of the problems it was designed to address), the capacity it provides to affect every controllable organizational variable and the integrated approach it provides to planned change (p. 227).

CONCEPTUAL FRAM EWORK The conceptual framework, shown in Figure 11, has evolved from the review of Kilmann's program and discussion of key issues from the literature of change, in particular, educational change. Also, the conceptual framework attempts to reflect broadly the stage of devolution in Victoria when this study was planned. The framework's elements follow closely the research questions. (The relationship between

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The Kilmann program (F) is at the centre of the framework because the perceptions of selected teachers and principals about the appropriateness of this model for Victorian secondary colleges is the subject of the first major research question: What are the perceptions of school principals and teachers in six selected secondary colleges of the potential to effect school improvement of a particular North American program designed to create and maintain success in any organization? Graphically the diagram can best be read by moving out from the centre because that focuses attention on the schools centrality to educational change. However, a written exposition is clearer by beginning at the top of the page and considering the components of the framework by moving down the diagram. The two boxes at the top of the page reflect the issue identified in the second major research question: What are the effects of the external environment on the school's capacity to plan and implement change efforts? The box at the top right of the diagram (A2) recognizes the numerous external influences on the school. To acknowledge the current reality that the central agencies of the system remain very powerful, the framework shows change emanating from the top rectangle on the left side of the page- "Department of Education - 'Schools of the Future' Change Plan" (A1). The second level of the framework represents school change which was discussed in the preceding section of this chapter under the headings 'Values and Vision', 'Teachers and Students', 'M icro-Politics', 'School Organization' and 'School Culture'. The box on the right (B2) represents the theme that emerged in the educational change literature review and in Kilmann, that powerful change is able to come from within the organization itself. In the Kilmann program, the recognition from within the organization of the need for change is a crucial factor. The element of the

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conceptual framework represented by the rectangle "Other School Change Plans" (B2) leaves open the opportunity to include all local initiatives for change. The two-way arrow connecting the two adjacent rectangles (B1 & B2) represents the possibility of exploring the way schools manage change which arises from within the school at the same time as meeting system driven change. The left box (B1) represents the school's implementation of the 'Schools of the Future' program. The two-way arrow between the top left rectangle (A1) and the one below, 'School Implementation of the Schools of the Future Change Plan' (B1), indicates three aspects of the relationship between the macro system and micro school levels. Firstly, it indicates the initiatives - accountabilities aspects of the relationship. Policy and curriculum initiatives are frequently centrally imposed and requirements of accountability are continuing to expand. Secondly, implementation in schools has led to modification of process during the phased introduction of 'Schools of the Future'. Thirdly, some key aspects of the 'Schools of the Future' program have been structured in such a way that the centre provides the framework and the school chooses how best to implement it to meet local circumstances. School charters provide the best example of this where, to date, there has been considerable latitude for schools to determine their own priorities for the three year life of the charter. The literature review highlighted the difficulty of change and the resistance that change efforts encounter through school participants and within the school culture. Kilmann's complex hologram and barriers-to-success model recognizes the reality of factors which impede change and the importance of diagnosing problems which impede positive change. The impediments to positive change are the issues raised in the third major research question:

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3a. What are the critical aspects of the school as an organization which impede planned change efforts? 3b. Which personnel in what positions in the school are influential in impeding planned change efforts and how is their influence exercised, particularly in relation to school culture? The horizontal broken lines directly beneath the boxes signifying the school change efforts represent individuals who impede change (D1) and all organizational aspects that impede school change (D2). Either side of the circle symbolizing the Kilmann program are representations of the actions (C1), individuals (E1), and organizational aspects (E2) that promote change. These represent the fourth major research question: 4a. What are the critical aspects of the school as an organization which promote planned change efforts? 4b. Which personnel in what positions in the school are influential in promoting planned change efforts and how is their influence exercised, particularly in relation to school culture? The last line of the conceptual framework represents the outcome of the analysis of the data. The data for the study are, of course, perceptions of change efforts, whether they succeed or fail, and from these perceptions the study's findings emerged. However, the overriding interest of the researcher is to identify how change succeeds, hence the emphasis on what works and why, within which context, led to the outcome of the conceptual framework to be labeled 'M odels and Practices Promoting Positive School Change' (G). The box representing the analysis is linked to the rest of the framework by two-way arrows. These arrows symbolize that the perceptions of successful models and practices have been derived from the experiences of participants in change (downward direction) and that analysis of models and practices may provide a feedback mechanism to the participants to improve change practices.

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CONCLUSION The researchers experience as a teacher and an administrator guided the selection of the views and research included in this chapters review of related literature and research. Except for a short break between appointments in January 2001, for the six years that elapsed from the drafting of a research proposal for this study late in 1995 until its completion late in 2001, the researcher was a full time employee of the Department of Education in the state of Victoria. For most of this time he was the principal of Coomoora Secondary College in Springvale South, a multicultural suburb south east of M elbourne. Previously, in the early nineties he had been the principal of Hamilton High School, a traditional country high school 300 kilometres west of M elbourne. For most of the years he was a principal, he taught either a junior Indonesian or senior English or Literature class. Following his resignation as a principal in January 2001, he became a full-time teacher of English and Indonesian at Doncaster Secondary College in M elbournes east. The multilayers of school change model (see p. 25) the researcher developed as an organizing framework for reviewing the selected literature was grounded in his school experience. The commitment of the state school communities he had served to the engagement, achievement, growth and well-being of young people convinced him that values and vision should be placed at the centre of the model. Teachers and students was the label given to the second layer of the model because he was convinced of the central importance of the relationship between students and teachers in achieving the schools purposes. His experience of contest over change in school convinced him that the micro-politics of the school was needed as the third layer of the model. Experience of planned change at a whole school level suggested that attention to the

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nature of the school as an organization should be the subject of the next layer. The final layer was devoted to school culture because of his awareness of both the uniqueness and the power of each of the seven school cultures in which he has led his working life as a teacher and administrator. Aware of the need for change to implement the priorities of his schools charter and for his school to be as competitive as possible in its environment dominated by fear of declining enrolments, the researcher entered the field of change research in the mid-nineties with a motivation to learn as much as possible about the experiences of other teachers and principals in implementing positive school change in specific contexts. Later, while writing the final chapters of the thesis, the researchers thinking about change processes and environments was stimulated by the shift in perspective involved in returning to the role of a classroom teacher. The views of authors that were included in this chapter were perceived to be relevant to providing the reader with insight into the change-related themes that had engaged this researchers interest while reading the pertinent literature. Prominent themes reflected in the conceptual framework concerned the role of individuals in promoting and impeding school change and the influence of organizational aspects on change. The design of the conceptual framework depicted the contest between forces promoting and impeding change. To some extent, the discussion within each layer of the multilayers of school change model explored the problematic and contested nature of change in vying with the deeply engrained forces of continuity within school cultures. The diverse views found in the literature on the range of change-related themes were mostly presented in a neutral manner so as to not position the reader to accept a particular view on, for

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example, transformational versus transactional leadership, the ease or difficulty of school culture change or the suitability of business based change models such as Kilmanns fully integrated program or TQM . Wherever appropriate, the diverse views found in the literature were described and discussed on a continuum. This was done to encourage the reader to retain openness to the subsequent presentation and analysis of data and model building.

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CHAPTER THREE RESEARCH DESIGN

INTRODUCTION This chapter begins with an account of the perspectives from which the research was written. This is followed by an explanation and justification of the exploratory and qualitative nature of the research methodology employed in this project. Reasons will be provided for the selection of in-depth interviews as the major means of data gathering and for the choice of the school case study and multisite study as the units of analysis. The chapter concludes with a description of the techniques by which the data were analysed and the findings will be reported.

THE RESEARCH PERSPECTIVES The fundamental purpose of this research was identified in the last line of the conceptual framework - to describe perceptions of successful models and practices for positive school change. The perspectives from which this research was undertaken were the foundation of the research design. As Schatzman and Strauss (1973, p. 55) point out, the research perspectives are not the same thing as the conceptual framework, although in this research they were very closely linked. Throughout each phase of the project, the research purpose guided the selection of all the perspectives which shaped the design. To begin, it is useful to locate the perspectives of this research in the context of some contemporary overviews of qualitative research methodologies. Three authors

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have been selected, representing three national contexts: British (Atkinson, Delamont, & Hammersley, 1993), North American (Denzin, 1997) and Australian (Yates, 1997). Of the seven domains described in Atkinson et al.s outline of the British qualitative research tradition, only symbolic interactionism (Ball, 1987) influenced the perspective of this study. LeCompte and Preissle (1993) define symbolic interactionism as "micro-level observation of individuals in interaction with others" (p. 132). Ball's (1987) specific focus is the micro-political. He asserts that: Schools are sites of ideological struggle. They are also arenas of competition and contest over material advantage and vested interest. (p. 279) The methods, goals and assumptions of this micro-level study of schools with a focus on power have been incorporated in this undertaking. Atkinson et al. identify class conflict as a major preoccupation of this domain of British qualitative research. Accordingly, the teacher was depicted "... as a 'worker' faced with repeated problems of 'coping' and 'surviving' under trying circumstances" (p. 18). The authors contrast this with the American approach which they generalise as presenting an image of the teacher as a purveyor of 'mainstream' culture. This contrast was a useful reference point for the researcher in analysing contested roles in the change process of teachers and administrators in Victorian secondary colleges since the ideology of the Cain/Kirner years was replaced by the Kennett ideology. As a result of the change of government, the opportunities for participation of the teachers' union in decision making waned at all levels of Victorian state education and the influence of business waxed. Accompanying this was an attempt to re-shape the way teachers and administrators saw themselves and were seen by others. Researching teachers' and principals' responses to a change process provided

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data on informants' values on this matter of fundamental significance to each educator's identity. Symbolic interactionism contributed to defining and investigating perceptions of such re-definition at the individual level. Atkinson et al.s review noted that a great deal of British qualitative research combined "elements of different types" (p. 17). In his account of the North American ethnographic tradition, Denzin makes the same observation, particularly about the use of multiple methodologies in the period between 1970 and 1986 which, for this reason, he calls the era of the 'Blurred Genres' (pp. 16-18). In terms of Denzin's account of the progression in ethnographic research methodologies, the project reported here has the hallmarks of the 'Blurred Genres' stage where "the central task of theory was to make sense out of a local situation" (p. 17). In this model, Denzin emphasizes that the researcher cannot "... presume to be able to present an objective, noncontested account of the other's experiences" (p. xiii). Instead, he counsels the researcher to "... be honest with the reader. The text must be realistic and concrete with regard to character, setting, atmosphere, and dialogue" (p. 283). In seeing his text as a "... forum for the search for moral truths about the self" (p. 283), Denzin locates the focus of his thinking on the individual. Denzin's emphasis on honesty, realism and the value of each individual voice influenced the approach taken in making sense of the six local situations which were the sites for this study and the treatment of the data from each interview. Yates' Australian analysis of research methodologies in education shows clearly the reasons why the research design selected for this study could neither be in accord with the most recent methodologies, post modernism and post structuralism, nor their key concept, deconstruction. While being open to these methodologies may have

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extended the exploratory scope of the work by providing data for the inclusion of more diverse stories of change and more sharply exposing the influence of power differentials, it is likely they would have obstructed the stated purpose of the study. As Yates asserts, deconstructive questions may not be helpful in projects related to "school based pedagogy" (p. 491) or to "what is possible for teachers in schools" (p. 492). Therefore, while the research was undertaken from several perspectives there had to be a strong methodological focus because in school change, as with all human endeavour in social settings, the "... reality is infinitely complex and no observer can see it all" (Schatzman & Strauss, 1973, p. 55). The three areas which require further clarification and discussion are the stance adopted by the researcher, an overview of the strengths and limitations of this kind of perception based enquiry and the rationale for the selected exploratory and qualitative research methodologies.

THE RESEARCHERS STANCE The researcher identified three perspectives that initially motivated his interest in this research and then contributed to shaping its design. Firstly, as a principal of a secondary college with a demographic projection that showed its survival was threatened, the researcher was interested in the models and practices which were perceived to have succeeded in other schools in the hope that change may halt the decline in enrolments. There was a personal interest in the application of the results of the research in his school. Secondly, having had some previous experience of data collection by in-depth interview and their analysis and interpretation (Daniels, 1995) the researcher had

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developed a view that the qualitative approach could provide more satisfying answers to the research questions for this study than the quantitative approaches he had become used to employing in preparing his school's annual reports. The researcher was convinced that the qualitative approach had the potential to provide more useful data about individual participants' perceptions of successful models and practices of school change within schools, and subsequently across sites, than a quantitative methodology. This aspect of the researcher's stance came as ... virtually a logical imperative. The researcher must get close to the people he studies (because) a dialogue with persons in their natural situation will reveal the nuances of meaning from which their perspectives and definitions are continually forged. (Schatzman & Strauss, 1973, p. 55) The third aspect of the researcher's stance was his felt need to establish what Schaltzman and Strauss (1973) identified as a vital prerequisite for a member of an organization to conduct research within it: a degree of independence from its organizational values and ethos. They insisted that the researcher, in terms of her or his relationship to the organization to which s/he both belongs and intends to research, must not be "... so committed to it in his time and loyalties as to prevent his achieving conceptual distance from its perspectives and vocabularies" (p.ix). The researcher found this distance from the values of his own organization in the richness and breadth of ideas about educational change in the literature which was discussed in Chapter 2. Awareness of the diversity in approaches to change tried by teachers, administrators and researchers in pursuit of improved learning, to some extent, afforded him a way of seeing rather familiar settings as if they were unknown. Faced with the ordinariness of school life, mindfulness of the numerous attempts to bring about positive change helped

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to "make the familiar strange" (Erickson, 1973, quoted in LeCompte & Preissle, 1993, p. 115). The researcher's stance had to be stated, but it is, after all, only background information to the investigation of successful models and practices of school change. Bogdan and Taylor (1975) provided a reminder of the central focus of qualitative research in a way that puts the researcher firmly in his or her place: ... resist the temptation to be smug in our own perspective. Understand others, all others, for what they are and for the way they see the world. (p. 8)

PERCEPTION BASED INQUIRY Informants' perceptions provided the data for the investigation. In recording the perceptions of informants during interviews and proceeding to analyse them as data, the researcher makes two significant assumptions. Firstly, that these perceptions will provide some insight into the realities of individual teachers' and administrators' motives and actions in their working lives. Secondly, that these insights will provide a means for the researcher to understand change in the context of the secondary colleges participating in this study. While proceeding on the basis of these assumptions, confidence in them was tempered by Johnson's (1994) warning to researchers of the "... pitfalls inherent in relying on their own and others' perceptions" (p. 475) and by his list of seven generalizations about the impact of personal perceptions which he summarised from the literature on the topic: 1. The perception process comprises a number of stages... 2. Perceptions, rather than objective reality, at least partially shape individual attitudes and behaviour. 3. Perceptions are frequently no more than approximations of reality. 4. Individuals are incapable of recognising and verbalising some perceptions. 5. Perceptions tend to develop as internally consistent and temporally stable structures.

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6. Perceptions are affected substantially by an extensive but recurring array of factors arising out of social and cultural experiences, organizational attributes, and personality characteristics. 7. Additional factors, such as first and recent impressions, impose on perceptions of persons. (p. 487) The researcher was mindful of these generalizations throughout the investigation. In interviews, follow-up questions sought depth and clarification to overcome perceptual limitations, wherever possible. For example, the first and last impressions warned against in the seventh generalization above could be overcome in some instances by seeking further information. During data analysis, the availability of multiple sources of information at each site allowed for some comparison of perceptions so that each could contribute to, or be contrasted against, some sense of shared reality. Nevertheless, the realisation of the strong influence of the respondents' perceptions on the researcher's perceptions, " ... including those they present in the research report" (LeCompte & Preissle, 1993, p. 44), certainly acted as a warning against overstating the degree of objectivity in this kind of qualitative research.

RATIONALE FOR SELECTED M ETHODOLOGIES The structure of the research design was flexible. In all interactions with participants, the researcher revealed no predetermined idea about what responses might be expected. The interview guide was designed to encourage participants to contribute their own ideas, examples and views. Although frameworks were created to enable the data to be organized and analysed, their flexibility allowed the researcher to maintain an openness to all data.

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Exploratory Research From the outset, the researcher made the assumption that an exploratory approach was appropriate for this study, hence there was no intention to form and investigate any hypotheses. The state of research at the time of planning the investigation is the justification for this assumption. There were no previous studies of perceptions in a similar target population either of the Kilmann program as a means to bring about positive school change or of the school as the unit of change, although the broad context of the investigation, the implementation of the 'Schools of the Future' program, was the subject of quite extensive and ongoing research (Thomas, 1994, 1995a, 1995b, 1996, 1997; Odden - DSE, 1995b; Townsend, 1996; Tartaro, 1996; Blackmore et al. 1996). This study was designed in a way that complemented rather than duplicated this research. Exploratory research is typically open-ended (LeCompte & Preissle, 1993, p. 69). The search for perceptions of successful models and practices of school change is unending. It is undertaken because it may contribute to improvement in schooling. As Giddens (1994) suggests, "... possible futures are constantly not just balanced against the present but actively help constitute it" (p. 250). The perspective of the research is an optimistic sharing of Giddens' confidence that "... models of what could be the case can directly affect what comes to be the case" (p. 250). This idea is developed further in the section of this chapter on Sampling by reference to Schofield's (1993, p. 98) categorization of three domains as targets for researchers studying educational processes and institutions what is, what may be and what could be. Alongside the open-ended aspects of this project, there was a need for a means to collect data on some very specifically defined matters. The major research questions

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sought precise and detailed information about informants' perceptions of the appropriateness of Kilmann's program of change for schools and their views on a range of matters to do with change processes in their schools. A balance was struck. On the one hand, the data-gathering techniques and the methods of analysis were flexible enough to encompass any idea which arose about the complexity of change for reporting in comprehensive case studies about change in each school. On the other, they were structured enough to direct the collection and facilitate the interpretation of information about the specific items in the research questions. Qualitative Research M ethods and Ethnography A wide variety of terms is used to refer to the type of research undertaken in this study (M iles & Huberman, 1994, p. 1). Qualitative research, ethnography and case study research are the terms selected to most accurately refer to the research methodology on which this project is based. However, some writers cited use other almost synonymous terms such as field or naturalistic research. Qualitative research methods, those "which produce descriptive data" (Bogdan & Taylor, 1975, 4) and ethnography, "writing about people" (LeCompte & Preissle, 1993, p. 356), were seen to be the most appropriate guides to the collection of the data. The exploratory nature of the research and the complex and abstract nature of the matters raised in the research questions suggested that detailed, one-to-one conversation would be the best way to access the data needed to tell satisfying and meaningful stories about each school and to assess the appropriateness of Kilmann's program. Hence, quantitative approaches were regarded as less suitable. As Burns (1994) suggested, they "... fail to take account of people's unique ability to interpret their experiences, construct their own meanings and

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act on these" (p. 10), thereby bypassing the capacities most needed to provide the data required. However, participant observation, a major technique in the qualitative and ethnographic traditions, was also deemed to be inappropriate. Using this technique, the researcher would have been in the school recording data from a range of sources throughout, for example, a change effort. Leaving aside the impracticability of this in the researcher's circumstances as a part-time student and full-time principal, for this research project it was the perceptions at a particular point of time of actual behaviour during school change and responses to the hypothetical situation of applying the Kilmann program to school change, which were sought as data, not the behaviours themselves. The in-depth interview was considered to be the best means to make it possible to describe and understand practitioners' perceptions of these phenomena. This is in line with Schaltzman's and Strauss's (1973, p. 77) assertion that " ... the interview must be used to provide context and meaning". Their justification of the interview as a critical qualitative tool is pertinent to this study. They argued (p. 77) that it is only through the interview that the researcher is able to access what it means to the respondent to be working in the specific role, in the particular organization, with his or her own philosophy guiding action. If the standard meaning of ethnography is "the direct observation of the activity of members of a particular social group" (M inichiello et al., 1995, p. 296) how can research which is based on in-depth interviews, with minimal observation of actors in the work place, be considered to have some ethnographic characteristics? M inichiello et al. outlined ideas presented by Schwartz and Jacobs (1979) which drew interviewers'

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attention to the significance of being aware of ethnographic aspects of the interview process: ... in the interview situation, the informant operates within an ethnographic context, that is, the informant has an everyday commonsense working knowledge of his or her own life history, the cultural milieu of which he or she is a part, and a sense of self identity. It is from within this ethnographic context that the informant makes decisions about what to say to the interviewer. The informant knows the exact meaning and significance of what he or she is saying (as it would be perceived by an insider of that ethnographic context...) (p. 73) The point is that understanding, and accurately interpreting the meaning of the informants' utterances, depend critically on the researcher taking account of the ethnographic context. In this sense, although this in-depth interview-based research project is not essentially ethnographic, it does have some ethnographic characteristics. The benefits of the qualitative approach do have some considerable costs and limitations to balance them. The costs are inherent in the methodology and can be ameliorated by an efficient research design firmly focused on the research purpose, but not eliminated. It simply takes a great deal of time to collect, analyse and interpret data using qualitative techniques. The guarantee of confidentiality contributes to the difficulty of presenting findings in an appropriately comprehensive form (Burns, 1994, p. 13). The advantages of using qualitative research to achieve the purpose of this study far outweighed its disadvantages. This methodology recognised the significance for the data gathered of differences in each specific school context and in the experience of each informant. The qualitative approach revealed a richness of detail regarding informants' perceptions of context and an extent of personal disclosure regarding perceptions of their roles, values, goals and ideology which would not have been attained to the same extent with quantitative techniques. Qualitative methods provided

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the means to gather details of change processes and examples of all aspects of what Evans (1996) termed the human side of school change' - the contested values, the conflict, the politics, the discontent with workload, the excitement associated with some change efforts and the weariness with others, for example. The keenly felt nature and specificity of responses provided the substance of the thick descriptions which made up much of the case studies and contributed affective material to the estimation of the appropriateness of the Kilmann program. In the analysis and interpretation which followed from these descriptions, it was clear not only what informants perceived to be the nature of school change processes and, hypothetically, the Kilmann program, but, more importantly, why they perceived these phenomena the way they did. The qualitative approach provided in-depth material relevant to the study's purpose and research questions. The change process is increasingly presented as complex, unpredictable and paradoxical (Fullan, 1993, pp. 20-22). M any of the detailed, personal and reflective stories told by participants demonstrated the interaction of numerous causes of both successful and unsuccessful change processes. M any responses were complex and multifaceted. Similarly, in gauging the appropriateness of Kilmann's program for application in Victorian secondary colleges many participants responded with a mix of views. While some were clear-cut in their endorsement or rejection of the program, more often respondents qualified their acceptance (or rejection) of specific elements of the program and they suggested its modification with careful reference to examples from their experience. On occasion, the consideration of views discussed at length revealed an informant's cognitive dissonance in attitude to the appropriateness of Kilmann's program for school improvement. This split would manifest itself by respondents

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stating in principle assent to the program followed by strong reasons why it would not be appropriate in practice. Clearly, the opportunity for thoughtful discussion provided by the qualitative approach was best suited to pursuing such matters in depth and detail. A Successful In-depth Interview One way to suggest the reason for the decision to select the in-depth interview as the best possible qualitative technique to gather the data for this study is to describe a successful in-depth interview, from this researcher's point of view: The successful interview resembles a conversation in which both parties are engaged and participate fully. The comparison with the conversation cannot be taken too far, however. The successful interview has a clear structure and, however lively the interchange, the interviewer provides leadership and direction to it. Within that structure there is plenty of scope for the informant to contribute ideas of his/her own. The interviewer has encouraged the informant to see the interview as interactive. As far as possible, the informant faces a researcher who is keen to learn from the informant. He wants to find out as much as possible about the informant's perceptions of change in the specific setting. The interviewer uses intuition and verbal and non-verbal responses to initiate and sustain an atmosphere and rapport in which the informant has the confidence and trust to express a range of feelings and ideas. The informant expresses a keenly felt response to questions that call for personal disclosure and, when appropriate, provides objective analysis of organizational elements. In this successful interview, the interviewer has to be flexible because several times during the interview it is not possible to follow the questions in the order he has placed them in the script. The informant lets the interviewer know if some questions are more interesting than others, perhaps with a humorous remark. At other moments, the informant steps

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back from the interchange and self-analytically reflects aloud on possible reasons behind the response being given. Rationale for In-depth Interviewing Reflection on the assumptions underlying this description of a successful interview reveals both strengths and weaknesses of the in-depth interview for providing data leading to a description of models and practices of positive school change. The description assumes that the interviewer's perceptions offered a guide to the success of the interview. How useful to others is the interviewer/researcher's perception of the qualities which lead him to deem it to be a successful interview? Cicourel (1964) suggested that the interviewers perceiving the interview to be successful is by no means the sole important factor to be considered in discussion of this method of data collection: The more the interviewer attempts to sustain a relationship with the subject which he feels will reveal valid responses, the more he feels the interview is "successful". The more standardized the interviewers are in their relations with the subject, the more reliable the data presumably become. (p. 77) Notwithstanding that he was writing about a large research project with multiple interviewers, Cicourel raised a dilemma which has to be acknowledged for any inquiry by in-depth interviews involving multiple informants. To what extent are the interview approach and content able to be adapted in response to each informant in the interests of learning about the way they perceive the matters being investigated, without rendering data incomparable? This dilemma was faced by careful consideration of a continuum of interview types representing these variables. At one end of the continuum of interview types, questions are relatively closed and asked in a standardized form. At the other end, open-ended questions are asked in a non-standardized manner. For this

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research, the naturalistic approach deliberately chosen for the study places the interviews largely at the non-standardized end of the continuum. Also, many questions were openended, yielding the benefits identified by Pelto and Pelto (1978): ... the open-ended question makes it possible to obtain a wide variety of reactions from respondents. Also, the responses will be shaped by what the people consider to be important rather than categories provided by interviewers. (p. 81) However, some of the data required ranking of factors and this necessitated the use of closed questions. In practice, the research was in line with Pelto and Pelto's observation that "... effective interview schedules often contain a mixture of both types of questions (p. 81). This choice was also informed by consideration of other problems Cicourel (1964, pp. 99-100) raised regarding the interview as a method of data gathering. He suggested that the nature of informant responses in the interview depends on variables in interviewer control and interviewee trust and differences between interviewer and interviewee perceptions and interpretations of questions. All of these problems focus on the relationship between the interviewer and interviewee and their individual understanding of what is taking place in the interview setting. Cicourel summed up the problem by stating " ... that measurement at the level of social process cannot be rigorous without solutions to the problems of cultural meanings" (p. 173). It is the focus on cultural meanings, that is, the way respondents see their role, in their institution, in response to the change demands arising within and beyond their school (including, hypothetically, Kilmann's program), that guided the decision as to what style of interview would best elicit the needed data. The above

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description of a successful interview was based on the view that there are six preferred attributes of the way the interviewer and interviewee relate to each other: 1. 2. 3. 4. 5. 6. Conversational mood of interview Rapport between interviewer and informant Trust shown by interviewee Leadership provided by interviewer Learner persona adopted by interviewer Peer-like relationship between interviewer and informant

To facilitate discussion, these six elements will be grouped under the headings of a. conversational interview mode, b. relationship between interviewer and informant, and c. interviewer's role. The discussion will emphasise the contribution each element made to eliciting valid data about the cultural meanings of informants. a. Conversational Interview M ode: The researcher followed the advice of Schatzman and Strauss (1973) to regard the interview "... as a lengthy conversation" (p. 72). This approach gave priority to the comfort of informants. That the researcher's approach in assisting informants feel at ease contributed to the in-depth interviews providing "... elaborate, subtle and valid data" (LeCompte & Preissle, 1993, p. 179) and laid the foundation for two other attributes of the description of a successful interview - trust and rapport. However, the interview was not regarded as the same as a friendly chat between friends or acquaintances. An important distinction was made between the 'mood' of the interview and its 'substance' (Schatzman & Strauss, 1973, p. 74). Unlike a conversation between friends which typically is haphazard in its movement from topic to topic, the research in-depth interview, as Lincoln and Guba (1985) put it, was " ... a conversation with a purpose" (p. 268). Behind the seeming conversation was the direction provided by the interview guide. It was used with whatever flexibility was needed so that, as far as possible, it "... seem(ed) natural to the respondent and the

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interview situation" (Lincoln & Guba, 1985, p. 74). In the interview, the agenda was set by one side and pursued with far greater attention to detail and clarification than is the case in most conversations (Spradley, 1979, pp. 56-7). b. Relationship Between Interviewer and Interviewee: The conversation mode, of course, established the relationship. Trust is most likely to be gained through interviews conducted on a conversational model because respondents are accustomed to it (LeCompte & Preissle, p. 179). The best interviews were similar to good conversations in that they permitted "... both parties to explore the meaning of the questions and answers involved" (Brenner, Brown & Canter, 1985, p. 3). As much as possible, the relationship between interviewer and informant was like that between peers (Lincoln & Guba, 1985, p. 269). At the heart of the relationship is an exchange: the researcher gratefully received perceptions of informants' life in the changing school environment and informants did receive the "... attentiveness, empathy, and the documentation of individual or group life" that LeCompte and Preissle optimistically identify as "compelling rewards" (1993, p. 112). c. Interviewer's Role: The underlying question for the researcher was to establish how best to meaningfully communicate with informants (LeCompte & Preissle, 1993, p. 89). The researcher wanted to establish a persona as a learner as a means to aid this communication. Within the frame of shared general knowledge of schools, the researcher endeavoured to convince informants that he was genuinely in a position where he needed to be taught the meanings they gave to change in their school culture. At the same time, and perhaps paradoxically, the interviewer exercised leadership in shaping the interview exchange so that data were obtained on all the research questions. Active listening with minimal probes or other interruptions mostly resulted in a

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generous offering of data. M ost of the interviews for this study were similar to the one Shatzman and Strauss (1973) depict "... where the interviewer does most of the leading and the respondent does most of the talking" (p. 73). Case Study M ethodology The decision to analyse, interpret and report the research findings by case study methodology was an integral part of the choice of exploratory and qualitative methodology. This was supported by Lincoln and Guba's (1985) proposition that "... for naturalistic inquiries, the reporting mode of choice is the case study" (p. 358). There were several advantages in using the case study approach for this study. The case study is a form of presenting analysis and interpretation that informs and empowers the reader to respond to the data. The rich descriptions which reconstructed informants' perceptions have been told in detailed and true-to-life narratives which readers may be able to relate to their own experiences. In the way the stories are told, readers have the opportunity to observe both the researcher's and informants' roles. The reader's response to the narrative provides insight into the case study through recognition of researcher bias and the assessment of the extent of consistency across informants. M ost important of all, the reader is given the information in its context. Beyond the description, analysis and interpretation provided by the researcher, the reader has the opportunity to judge how applicable the case study might be to any other context. M uch more problematic than the decision to use case study methodology was the decision regarding selection of the unit of analysis which was the case to be studied. A variety of groupings was possible. Each configuration would deliver a unique, and therefore different, case study. As LeCompte and Preissle (1993) point

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out, "... selection defines the term case study" (p. 32). Possible units were: a. all the informants as one case, b. all the members of the principal class as a case and all the teachers as another case, c. each individual school in isolation as a separate case, or d. the six schools presented as separate cases within a multisite study. Eventually, the decision was to use the last of the listed options. The reasons for the decision to present the findings as six case studies are discussed in this section and the rationale of the multisite study is presented in the next section of this chapter. For this research, the most important advantage of the case study approach was that it enabled informants' perceptions of change to be analysed and interpreted in context. To undertake analysis and interpretation in a form which separated the specific stories of change from the contexts in which they occurred would have distorted their meaning. A basis for discriminating between the two remaining units of analysis was needed. Patton (1980) identified the key issue in determining the unit of the case in the question: "What is it you want to be able to say something about at the end of the study?" (p. 80). Clearly, the answer was that the researcher wanted to say as much as possible that was meaningful about perceptions of successful models and practices of school change. Would this criterion be better met by considering each school in isolation as a separate case or the six schools presented as separate cases within a multisite study? The key to this decision was a judgement about the extent to which comparative analysis across the schools was meaningful. The argument for each school being considered solely as a discrete unit of analysis was simple and persuasive. Six secondary colleges in the study from approximately three hundred in the state of Victoria was a very small selection.

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Within the state's secondary colleges there is great variety on any number of variables suggesting it would be impossible to apply findings beyond each individual school. Furthermore, for the analysis to transcend the school in which the data were gathered seemed to contradict M erriam's (1988) statement of the benefit of the case study approach: the case study provided "... in-depth understanding of the situation and its meaning to those involved" (p. xii). From the start, the researcher had assumed that context specific variables, particularly the unique culture of each school, would be central to the investigation of organizational change in schools. From the initial contact with principals, marked context variables were observed. Throughout the early phases of the research, the focus was on gaining as accurate an understanding as possible of the way the informants made meaning out of the processes of change that had occurred in their work lives at their school or, in the case of discussion of Kilmann's program, might hypothetically occur. All data relevant to change were considered in analysing, interpreting and describing their meaning in each school's context. Therefore, the variation among the six schools and the focus of the investigation on the specific context of each school were powerful reasons for the unit of analysis to be bound by each separate school. Within each school the case was further bound by the topic of change. Nevertheless, within those two boundaries, the treatment was holistic with interest in all aspects of the phenomenon of change explored including the cultural, political and psychological.

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SAM PLING Schools In February1997, the researcher began contacting secondary college principals to invite them, and members of their staffs, to participate in this study. At that time, the researcher intended to select a sample of Victorian secondary colleges based on a mix of the factors listed below. They are not ranked in any theory-based order of importance. However, an order arose from the sense of urgency which influenced the researcher to make contact with schools in the chronology reflected in the list below. The sample was to include: 1. Schools known for extraordinarily successful change initiated by the schools themselves as distinct from change in response to top-down requirements 2. Schools in rural Victoria 3. Schools in a variety of M elbourne's suburbs 4. Schools in a number of the Department's Regions 5. Schools with female principals as well as schools with male principals The researcher's experience as a principal influenced the first two categories of schools contacted. The researcher's self-interested need to seek ways to renew the school of which he was the principal led him to first contact schools with reputations for outstanding success in turning around their enrolment declines. The first two principals contacted were principals of schools that had overcome the risk of closure or merger to become growing schools regarded as schools of first choice by many students and parents in their vicinity.

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Four years as principal of a country secondary college influenced the researcher to contact the principals of two country secondary colleges. The researcher was very curious about the response to change in schools outside M elbourne. Furthermore, the two principals he contacted had been interesting respondents in a previous research project. The third and fourth categories, the inclusion of schools in a variety of M elbourne's suburbs and a number of regions were deemed by the researcher to be appropriate simply in the interest of representing, to some extent, the diversity of Victorian secondary colleges. Including members of both genders among the principals and the other interviewees was considered important as another aspect of presenting diversity in the study. Of the seven principals contacted, two were women. One agreed to participate. Two negative criteria applied. The sample would not include: 1. Schools in the same part of M elbourne as the school where the researcher was the principal. The researcher preferred not to request participation of schools in the same or nearby districts or clusters of schools because of the high level of competition among these schools. 2. Schools which were atypical in obvious ways, for example, selective schools, single sex schools, very small schools and very large multi-campus schools. The capacity to make comparisons and contrasts between schools in the study may have been reduced by the inclusion of schools such as these. A factor of convenience also influenced the researcher's contact with schools. Four of the contacts made were with principals whom he knew quite well.

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Of the seven principals who were approached, only one declined. The reason she gave was that the appropriate staff were unwilling to be involved because of their workload at the time. Of the six schools which were involved in the study, two were in rural Victoria. One of these was located in a large provincial city, Port City Secondary College (schools are referred to by fictitious names) and the other in a medium sized country town, M inesville Secondary College. Port City S.C. was in the Barwon-South Western Region and M inesville S.C. was in the Central Highlands-Wimmera Region. Four schools were in the M elbourne metropolitan area. West Bay Secondary College was in the Western M etropolitan Region. South Beach Secondary College was in the Southern M etropolitan Region. East City Secondary College and East Hills Secondary College were in the Eastern M etropolitan Region. The list of factors which, with more or less urgency, prompted the researcher to contact school principals to seek participation in this project were regarded as informal criteria for inclusion or exclusion in the sample. The first item of the list of informal criteria accounted for the inclusion of three schools. East City S.C. and West Bay S.C. had strong reputations for having undergone successful change efforts initiated by the schools themselves. A third school, South Beach S.C. was invited to participate because the researcher attended an inservice at the time he was contacting schools and heard the principal speak about a recently commenced, school initiated, positive change effort. The locations already given show that list items 2, 4 and 5 were met. However, it should be pointed out that there were no schools from the Northern M etropolitan, Gippsland, Goulburn-North Eastern or Loddon-CampaspeM allee Regions. Although the third criterion was met, there was only one female principal, Barbara Warren (all informants' names are fictitious) of East Hills S.C.

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The advice to qualitative researchers given by Schofield (1993) on making generalizations from qualitative research provided the opportunity for a rewarding secondlook at the nature of this sample. Generalizing to the three domains of analysis she suggested - what is, what may be and what could be - allowed the researcher to look at the schools with fresh eyes. Studying what is means, Schofield explained, studying the "... typical, the common, or the ordinary" (p. 98). Schofield's point is that research about the typical has greater likelihood of generalizability. She argued that "... typicality ... needs to be taken both more and less seriously than it currently is" (p. 99); more seriously by those who would choose a research site for convenience and less seriously than those who might see a typical site "... as a 'quick fix' for the issue of generalizability" (p. 99). She acknowledged that typicality is a relative term, with numerous variables on which similarity or difference could be noted. Her point is that research about the typical provides greater likelihood of generalizability. Generalizability occurs when readers interested in the issue being investigated see ways in which there is, between the study and some other situation(s), what Guba and Lincoln (1982, p. 238) referred to as a 'fit', what Goetz and LeCompte (1984, p. 228) describe as 'comparability' or what Stake (1978) regarded as a 'naturalistic generalization'. To commence, as Schofield did, with the importance of describing what is inverted the order of the informal criteria which prompted the researcher to contact schools. Instead of the schools known for extraordinarily successful change, the base provided by the merely what is are the schools which have in common the last negative criterion, that is, the criterion which excluded the obviously atypical. Generalizing to the what is, the researcher found that three schools provided data which revealed

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descriptions of the somewhat typical - M inesville S.C., Port City S.C. and East Hills S.C.

Schofield provided two reasons for studying the typical. Firstly, the evaluation of new programs under ordinary circumstances and secondly, "... to provide a picture of the current educational scene that can be used for understanding or reflecting on it and possibly improving it" (p. 98). These reasons provided a justification for describing, analysing and interpreting the perceptions of informants at M inesville S. C., East Hills S.C. and Port City S.C. Notwithstanding the contribution which studying the typical, what is schools makes, Schofield is an advocate of generalizing, where possible, to more than one domain in a multisite study. The advantage of studying schools which fit the what may be domain, for Schofield was ... that we think about what current social and educational trends suggest about likely education issues for the future and design our research to illuminate such issues to the extent possible. (p. 102) This description evokes a reason for the inclusion of South Beach S. C. in the sample. It was known by the researcher to be heterogenous in that it was striving to be at the vanguard of change with initiatives in several areas - learning project, teams and rewards. Schofield's third domain of generalization is what could be. She argues that the role of qualitative research in education is "... also to explore possible visions of what could be" (p. 105). A "what could be" school is one "... we know or expect to be ideal or exceptional" (p. 105). In the terms of the informal criteria for contacting schools the first criterion identified what were akin to what could be situations: Schools known for extraordinarily successful change initiated by the schools themselves as distinct from change in response to top-down requirements

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Two schools in the study were readily applicable to the domain of what could be. They were East City S.C. and West Bay S.C. On numerous criteria which emerge in the case studies, they are, if not ideal, certainly exceptional. Schofield presents the purpose of studying what could be schools with optimism tempered by caution: I would like to argue that studying a site chosen for its special characteristics does not necessarily restrict the application of the study's findings to other very similar sites. (p. 107) Schofield went on to describe the care required to apply a qualitative study of a typical, heterogenous or exceptional site to another situation: One cannot just look at a study and say that it is similar or dissimilar to another situation of concern. A much finer-grained analysis is necessary. One must ask what aspects of the situation are similar or different and to what aspects of the findings are these connected. (p. 108) The multisite study in Chapter 5 shows the extent to which generalizing to the three domains of what is, what may be and what could be are able to accommodate the range of perceptions of informants in this study. To introduce the reader to the schools in preparation for the six case studies, a brief sketch of each school follows. The schools are given fictitious names as will be all teachers and principal class officers here and throughout this report. The Six Schools - A Quick Picture Note: M ost of the information for these pen portraits was gathered from the school principals by a telephone questionnaire (see Appendix 5). Four of the schools involved in this project were located in the M elbourne metropolitan area. Two were inner suburban, one to the west of the centre of the city in a bayside suburb (West Bay S.C.), and the other was in a middle-class eastern

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suburban area (East City S.C.). The other two schools were located in outer suburbs, one in the east quite close to the Dandenong Ranges (East Hills S.C.) and the other on the M ornington Peninsula (South Beach S.C.). Two of the schools were located in country Victoria, one in a provincial city (Port City S.C.) and the other in a country town established during the gold rush last century (M inesville S.C.). M inesville S.C.s origins go back to 1890 when the forerunner of the towns technical school was founded. The towns high school was established in 1912. M inesville S.C. was created by the amalgamation of the high and technical schools in 1987. In 1997, the student enrolment was stable at around 650 students. With approximately 30 students arriving and about the same number departing during the course of a typical year, the student transience rate is quite high. There were 49 on the teaching staff of which 38 had taught at the school for ten years or more. Two teachers were on contracts of one year or less. The ratio of students to computers available for student use was 8:1. M inesville S.C. was a phase 2 entrant to the Schools of the Future program. Its first charter set three priorities: 1. Revise welfare structures and practices, 2. Improve the effectiveness of teaching and learning in mixed ability groups with a particular focus on literacy and numeracy across the curriculum, 3. Improve the range of student learning opportunities. East Hills S.C. was established in the mid-1950s during a period of rapid expansion of secondary education. After some years of gradual decline the enrolment was 950 students. With 35 to 40 students arriving and about the same number departing during the course of a typical year, the student transience rate was quite low. There were 66 on the teaching staff of whom 40 had taught at the school for ten years

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or more. Only two were on contracts of one year or less. The ratio of students to computers available for student use was 9:1. East Hills S.C. was a phase 3 entrant to the Schools of the Future program. Its first charter set three priorities: 1. Improve learning outcomes, 2. Improve the transition program, 3. Improve student activities program. Established in 1910, Port City S.C. had an enrolment of 802 which was increasing steadily. The rate of student transience was quite low with approximately 40 students arriving and about the same number departing during the course of a typical year. The number of students from Non-English Speaking Backgrounds (NESB) was quite small. Of the 57 teaching staff, 20 had taught at the school for ten years or more and five were on contracts of one year or less. The ratio of students to computers available for student use was 9:1. Port City S.C. entered the Schools of the Future program in phase 2. Its first charter set three priorities: 1. Improve the performing arts program, 2. Enhanced classroom teaching practice, 3. Improve the schools assessment and reporting. South Beach S.C. was founded in 1975. The student enrolment was stable at approximately 1,160 students. With approximately 30 students arriving and about the same number departing during the course of a typical year, the level of student transience was low. A very small number of NESB students attend the school. Of the 84 teaching staff, more than half of them had taught at the school for ten years or more and there were five on contracts of one year or less. The ratio of students to computers available for student use was 10:1.

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South Beach S.C. entered the Schools of the Future program in phase 3. Its first charter set three priorities: 1. Enrichment and enhancement, 2. Technology studies, 3. Developing a sense of college community. East City S.C. was opened in 1963. The student enrolment was 838. It has been growing rapidly but its enrolment was capped. With approximately 60-70 students arriving and about the same number departing during the course of a typical year, the level of student transience was fairly high. Approximately half of East City S.C.s students are of a NESB. Of the 67 teaching staff, approximately one fifth had taught at the school for ten years or more and there were four on contracts of one year or less. The ratio of students to computers available for student use was 6:1. East City S.C. was in the pilot group of the Schools of the Future program. Its first charter set four priorities: 1. To improve the teaching and learning processes to ensure that they cater for the needs and talents of each student in the mixed ability classroom, 2. Establishing high academic expectations which are clearly understood by students, 3. Establishing high expectations and increasing participation rates in sport, music, theatre/drama and other intra-curricular activities, 4. Continue to build the school profile in the community. Proud of its past, West Bay S.C. was established in 1915. After years of declining enrolments, in recent years the student population had grown to 690. The student transience rate was low. NESB students were a significant minority in the population of the school with 15% of students speaking a language other than English at home. There were 55 on the teaching staff of which about half had taught at the school for ten years or more. There were 21 teachers on contracts of one year or less. The ratio of students to computers available for student use was 9:1.

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West Bay S.C. was a phase 3 entrant to the Schools of the Future program. Its first charter set four priorities: 1. Computers across the curriculum, 2. Introduction of Sport Education at Years 7 10, 3. Enhance the visual and performing arts program, 4. Enhance the literacy program remedial and extension. Interviewees The purpose of the study and the major research questions led logically to the identification of teachers and administrators who were knowledgeable about their school's change processes as the group from whom interviewees would be drawn. The attributes of the teacher members of this group are perhaps best depicted in a piece of first person, personal writing describing the typical interviewee: A "Typical" Interviewee Peter was relaxed and looked ready for the interview when he arrived at the conference room which had been booked for the day for me. Before we started, Peter went to the staff room to make coffee, leaving some papers on the table. Among them was the summary of Kilmann's program which I had mailed to him. I noticed that he had highlighted some sections and written comments and question marks in the margin. After the preliminaries of checking the tape recorder, restating the purpose of the interview and confidentiality assurances, the interview commenced. The first two questions revealed some of the characteristics of the typical interviewee's responses he was feeling rather busy with current school changes and he ran off a list of five or six projects underway, most of which involved him as the leading teacher responsible for professional development. During the interview, Peter told me that this was his third school and that he had taught there for ten of his twenty years of teaching. He has had experience in coordinating the M aths Faculty and Year Levels 10 and 12. When considering his attitudes to change over the last five years, he revealed that because of the contributions he had made in curriculum, particularly in implementing the Victorian Certificate of Education and M athematics Framework during the Cain/Kirner years, and his commitment to teacher unionism, he was initially negative about the 'Schools of the Future' program. However, his position at that time as an Advanced Skills Teacher (promotion positions introduced in 1991 - the school decided which positions were tagged as AST positions, core statewide criteria applied) responsible for professional development had involved him in contributing to a collaborative process to implement the first charter and he has been pleased with the way it had given

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direction to the school. In fact, the charter was his example of a successful school change process. The introduction of annual reviews for teachers was his example of an unsuccessful change process. He pointed to the lack of consultation, the top-down nature of the change and the large number of teachers on the top sub-division who mostly felt they gained little from it (teachers below the top sub-division were required to meet the Professional Standards to be granted a salary increment). He felt sympathy for them having to prepare portfolios to demonstrate the Professional Standards. He resented having to be involved in reviews as part of his role as a leading teacher. During the discussion, workload issues were mentioned but they were mostly about others' concerns. Gaining the position in the school as a leading teacher in 1996 seemed to have accelerated his acceptance of the Department's overall change agenda. Although he has so far declined to submit a performance plan, he is a strong advocate of the school's leadership team made up of principal and leading teacher class members. In discussion, he quoted from the Department's leadership training program he had attended. The first impression that Peter had carefully prepared for the interview was borne out when we came to discuss Ralph Kilmann's ideas. As the researcher outlined the salient features of the Kilmann program, his comments showed that this was not necessary. In answer to questions about principal class leadership, he stated that he appreciates the support the principal gives to those who want to bring about change but does not believe that the administration has to lead change. In fact, he is of the opinion that any member of the staff and even some students or parents could bring about change in his school. As he considered applying the hologram to the school, he referred to specific situations and examples to identify the reward system and to those few in the group who are into retirement mode as being the major barriers. In considering the application of the five stages of planned change to the school, he saw implementing the tracks and evaluation as the most problematic. The difficulty in implementing the tracks was identified as the demands on teachers' time. With evaluation, he commented that mostly there were fresh items on the agenda to focus on by the time any project was at the stage when it could be evaluated. Peter thought that Kilmann's integrated approach would be applicable to school change if it were modified to take into account the realities of school life. He thought that there would need to be an additional circle to the Five Stages of Planned Change when consultation with the staff would occur. He was convinced that it would be impossible to complete each stage before moving on. He thought the plans would have to be adjusted as the change proceeded because change occurs with a to and fro movement in schools, not in a cycle of continuous improvement. In fact, he thought the implication of continuous improvement in this model would be resented by some members of staff. Although he thought that the hologram and the tracks had some merit, he thought that they were more useful for looking back at change than planning for the future. He remarked that changing the culture would take more than three months as suggested in the example he was shown.
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The last question was the only one that Peter was equivocal about - he thought the school would have the confidence and capacity to go it alone but he didn't think it was the way to go because other schools would falter. Equity across schools required the retention of a system. At the conclusion of the discussion, Peter took the open-ended questionnaire but doubted that he would have anything more to add. When thanked for participating, he commented that it was "kind of therapeutic". The typicality of this composite description needs to be qualified by pointing out that the group of those knowledgeable about change processes could include people who did not have leadership or management positions. Through membership of representative committees such as a curriculum committee or a charter writing or implementation committee, many assistant class teachers have taken up opportunities which have made them very aware of change practices and models in their school. The description of the typical interviewee revealed the researcher's assumptions about the preferred attributes of this sample. He assumed that the greater the depth and variety of experience of change in the school the more the informant could contribute to achieving the purpose of the study. Also, such experience was assumed to be a prerequisite for offering considered opinions on the appropriateness of Kilmann's program for application to Victorian secondary colleges. As LeCompte and Preissle (1993) point out, in the interview situation establishing "... equivalence of meaning between researcher and respondent is difficult in itself" (p. 162). It was assumed that some participation in leading or managing change was necessary to establish a high degree of shared meaning on the matters being discussed. M erriam (1988) expressed what was needed in the sample when she stated "... one needs to select a sample from which one can learn the most" (p. 48). A statistically derived sample was rejected because of the assumption that some rather than all members of staff could contribute to this investigation. Among several

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circumstances when statistical sampling would be inappropriate to qualitative research, LeCompte and Preissle (1993) identified two which are relevant to this study. Statistical sampling is not appropriate "... when only one or a few subsets of characteristics of a population are relevant to the research problem" (p. 83). Hence, the study sought a sample of a special population of those knowledgeable about change as part of the larger school population. The other circumstance described by LeCompte and Preissle, where "... the goal of the research is explication of meanings or microsocial processes" (p. 83) corresponds exactly with what was undertaken in this study. A strategy to gain access to members of the identified group was decided upon before contact was made with any of the principals of the schools in the study. Firstly, it was

decided that the principal must be one of the informants at each school. Secondly, it was decided that a request would be made of each school principal to nominate four other people whom he or she regarded as most knowledgeable about a range of school change processes. Therefore, the sample was to be formed by criterion based selection. The criterion - the members of staff most knowledgeable about change processes - was at the same time simple and based on the assumption that the principal would be the person most capable of making this judgement about his or her members of staff. This importance placed on the principal and the assumption that the principal was able to accurately select the most appropriate informants was justified by the requirements of the principal's role under the 'Schools of the Future' program. From its inception, the principal's role in introducing change was emphasized. Under the accountability requirements and responsibilities for charter writing and implementation,

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the principal's role in change was pivotal. In particular, the responsibility for the implementation of the typically three or four major undertakings in the charter's priorities virtually guaranteed that the principal would have an overview of change in the school and be alert to the relevance, congruence and implementation issues of any other change initiative within the school. M oreover, the responsibility for the implementation of the numerous staged innovations of the reforms within the 'Schools of the Future' was the principal's. However, it must be pointed out that there may have been other teachers equally knowledgeable about the schools change processes who would have contributed valuable insights to the study but who may not have been able to participate because of constraints of workload or were not invited to participate because the principal may have perceived them as critical of the principal and of the changes. The researcher was aware that this process of selection of respondents could create some kind of general bias in responses. For example, being nominated by principals, their views might be expected to be closer to those of the principals than perhaps they were to the rest of the teaching staff. For this reason, in the analysis and reporting of data, the views they expressed were never taken to be representative of any group other than the respondents themselves a rich source of valuable information in their own right. No attempt was made to generalize the responses to all teachers in Victoria as a whole or even to all teachers in the six sampled schools. The researcher found in almost every instance that the staff members nominated by the principal were in fact knowledgeable about their school's change processes. In fact, some became in the researcher's mind like key informants in the ethnographic tradition. LeCompte and Preissle (1993) describe key informants as

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individuals who possess special knowledge, status, or communicative skills and who are willing to share that knowledge and skill with the researcher ... They often are atypical individuals ... Because key informants often are reflective individuals, they may contribute insights to process variables not evident to the investigator ... key informants may sensitize researchers to value dilemmas within the culture and the implications of their findings. (pp. 166-7) Individuals able to provide such insight may be neither representative of the whole staff nor even of the population which might be described as knowledgeable about school change processes. The reader needs to be aware that the advice on representativeness of informants given by LeCompte and Preissle (1993): "... the ethnographer must search for informants who match the range of variation in the population" (p. 344) was not followed in this study. In place of such representativeness, the study was based on a request for a range of perspectives among informants within the population deemed to be the most knowledgeable about school change. The realization that each informant's experience of change was unique and perhaps idiosyncratic signified that representativeness was not an achievable or desirable goal. No wonder Johnson (1994) advised qualitative researchers of their obligation to remind the reader "... that their findings portray reality only as it is viewed by themselves and their chosen informants" (p. 492). In this case, the decision to use informants who were perceived by the principal as willing and able to give knowledgeable and analytical comment on the change process was regarded by the researcher as justified by the quality and perceptiveness of their responses to the interview process. While the sum total of these perceptions could in no sense be regarded as typical of the perceptions of all teachers in each school, they did provide a rich and well-considered source of data for building case studies and responding to the research questions of this study.

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SCHOOL DOCUM ENTS M any school documents were acquired during the researchers visits to the schools, for example, school charters, triennial reviews, magazines and newsletters. These were read to supplement the understanding of the school developed by his interaction with the interviewees.

INSTRUM ENTATION Note: Unspecified page references given in this section are to Kilmann, R.H. 1989b. Four instruments were developed to facilitate the collection of data for this study: a summary of Kilmann's program, a semi-structured interview schedule, an open-ended questionnaire provided to all respondents at the conclusion of the interview for any additional comments (see Appendix 4) and a telephone questionnaire of principals to glean general information about the six schools in the study for the brief profiles that earlier in this chapter introduced the reader to the six schools in the study (see Appendix 5).

Summary of Kilmann's Program (see Appendix 1) An outline of Kilmann's program for creating and maintaining organizational success was prepared by the researcher. As all respondents were requested to read this before the interview was conducted, it was as brief as possible while providing an introduction to all of the major elements of the program. It stated Kilmann's Six Principles, summarized The Five Stages of Planned Change, explained how the school can be viewed as a Complex Hologram, and how the Six Tracks are scheduled and implemented. A copy for each informant was mailed to the school with the letter to the principal (Appendix 2)

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confirming the arrangements for conducting interviews which had been previously discussed over the telephone. This letter included the point that the researcher "... will be asking each person participating in the project to give his or her opinion of the appropriateness of this model of change to secondary schools". Semi-structured Interview Schedule A semi-structured interview schedule was developed as the common organizational framework for each of the thirty interviews to be conducted. Kilmann's integrated program provided the initial ideas for items in the interview schedule. Approximately one third of the interview questions were directly concerned with aspects of Kilmann's work. The ideas of a number of writers on organizational and educational change influenced the subject matter covered in all the interview questions. The list of interview questions below was prepared in January 1997. Draft Interview Schedule Respondents will asked to refer to specific examples of change efforts in their current school. The assurance of confidentiality, already covered in correspondence to all respondents about the study, will be reiterated. After the fourteenth question, the researcher will discuss Kilmann's integrated program with the aid of diagrammatic representations of the six principles, the 'barriers-to-success' model, the five stages and the six tracks. There will be an opportunity for respondents to ask questions and to clarify points. 1. What are your current views about change as it affects your school? 2. Have your views of change as it has impacted on your school over the past three or four years remained the same or modified over time? If they have changed, what do you think the reasons have been. 3. In what ways do staff attitudes to change affect the success of efforts to bring about improvement? 4 To what extent would staff expectations that a proposal for change could bring significant improvement to the quality of teaching and learning affect teachers' willingness to actively support it?

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5. (a) What are the factors which you believe have contributed significantly to the successful implementation of a change process in your school setting? (b) Could you rank these factors in order of importance? 6. In contrast, in circumstances where a school change effort has not been successful what significant causes of the failure are you able to identify? Rank their importance. 7. For what reasons and in what ways is change resisted in schools? 8. What positions do the people who are able to implement significant change in your school occupy? Why are they able to succeed as change agents? 9. How influential is each of the people in these positions in relation to bringing about change? 10. Are there leaders of significant change who do not occupy leadership or management positions in your school? If so, why are they able to succeed as change agents? 11. In your school community, who should be responsible for bringing about positive change? Why? 12. In the light of the way system-wide change impacts on your school, what are your views about the way change is managed by the Department of Education? 13. What are your views about the role of the School Charter in facilitating planned school improvement? 14. To what extent are you satisfied with the way change is managed in your school? BREAK TO DISCUSS THE KILM ANN PROGRAM WITH THE AID OF A FOLDER DISPLAY INCLUDING THE SIX PRINCIPLES, THE FIVE STAGES OF PLANNED CHANGE, THE BARRIERS TO SUCCESS M ODEL AND THE SIX TRACKS. 15. Kilmann asserts that successful change processes have their origins in a leader or manager believing that the organization needs to be improved. (a) In the school setting, how important is it that the principal or an assistant principal initiate change processes? and
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(b) How important is it that the principal or an assistant principal support change processes as they are implemented? 16. What are your views about the importance of an integrated approach as described in Kilmann's model for a successful outcome to a change process? 17. If the decision was made to introduce Kilmann's approach to implementing a whole-school change process in your school what do you think would be the constraints which might prevent or limit the application of Kilmann's completely integrated program for change to the school setting? (a) Please rank these 'barriers-to-success' in terms of the relative degree of difficulty which would be encountered in transforming each into 'channels-to- success'. (b) Kilmann asserts the importance of completing each of the five stages before moving to the next. If you were using the Kilmann program in your school, how would you rank the degree of difficulty in completing each of the five stages? 18. In your view, does Kilmann's plan overlook any aspects of change as it occurs in schools? 19. Are you aware of other models which you view as more appropriate than Kilmann's to successfully managing change in schools? If so, what are they? 20. Why do you regard them as more appropriate? 21. Relatively speaking, how important do you think internal factors in the control of the school and factors outside the control of the school are influential in implementing change to improve teaching and learning? 22. Conversely, relatively speaking, how important do you think internal factors in the control of the school and factors outside the control of the school are influential in inhibiting change efforts to improve teaching and learning? Structuring the Interview Questions Two criteria guided the ordering of the semi-structured interview items. Firstly, the researcher endeavoured to place them in an order which he expected to best encourage respondents to express their views. Secondly, the order was intended to give the sense of a logical development in the conversation. From these criteria, a structure was planned to give direction to the interview. The interview began with the immediate, the personal and the emotional,
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then introduced opportunities for reflection before moving towards the analytical and theoretical. The Interview Questions in the Research Design Context The questions which make up the semi-structured interview guide were written to gather data to provide answers to the major research questions. They were grounded in the literature on educational change and organizational change, particularly the work of Ralph Kilmann. Table 1 below, 'Structure of

the Research Design', shows the coherence of the conceptual framework, research questions, interview questions and the literature.

Note: Unspecified page references to Kilmanns works given in Table 1 and the following discussion are to Kilmann, R.H. (1989b) A Completely Integrated Program for Change in M ohrman, A.M . (ed.) (1989) Large-Scale Organizational Change, San Francisco: JosseyBass.

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THE STRUCTURE OF THE RESEARCH DESIGN The starting point for reading Table 1, The Structure of the Research Design, is at the top of the left hand column. Element G of the conceptual framework for this study re-states the research purpose which indicates, in the broadest terms, why this project was undertaken. The second column re-states the major research questions. The third column lists the questions which make up the semi-structured interview guide. They are listed beside the research questions for which responses were expected to elicit data. The right hand column cites sample literature references to the issues explicitly or implicitly raised by the interview questions. The discussion which follows explains the congruence of the interview instrument with the research purpose, the major research questions and the relevant literature. In the exploratory spirit of this research, no attempt was made to tie each interview question exclusively to one or other of the research questions. Some interview questions were very open ended, for example, questions 1, 2 and 14. It was possible that such questions could yield data for any number of the research questions. M ajor research question 1 Some of the interview questions written to illuminate this research question are directly grounded in Ralph Kilmann's work. Questions 17, 17a, 17b and 18 ask respondents to apply or assess the appropriateness of Kilmann's program to the school. However, the issues of change related to this research question which underpin questions (11), 15a, 15b, 16, 19, 20, (21) and (22) are discussed by numerous writers on organizational and educational change. (The brackets indicate questions that were either deleted or modified after their initial use with interviewees.) Five different approaches are used in the questions expected to provide data relevant to the first major research question.

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Firstly, three general questions seek a personal response to the central feature of Kilmann's program: integration of the change process (pp. 201-203). This is the subject of question 16 which asks about the importance of taking an integrated approach, such as Kilmann's, to bring about successful change. The first part of question 17 asks if the respondent perceives there to be any constraint in applying Kilmann's integrated approach to a whole school change process. Question 18, following detailed consideration and application of the major elements of Kilmann's program, provides a further open-ended opportunity for the respondent to identify any perceptions which suggest that the Kilmann program may be inappropriate or unsatisfactory for use in secondary colleges. While this question risked repetitiveness, it was included for two reasons: firstly, to cater for the possibility that a respondent's view of Kilmann may shift as a result of applying his ideas in question 16; and secondly, by directly inviting comment on the idea that Kilmann's model may overlook aspects of school change, to guard against the possibility of respondents shying away from critical perceptions because they wished to be obliging. A number of influential writers in the organizational development tradition endorse change processes which are consistent with Kilmann's (Schmuck & M iles, 1971, p. 238; M ulford et al. 1977, p. 212; Dalin, 1993, pp. 21-22, 103). Authors who have written about organizational development in the past but have investigated other approaches through waves of reform continue to support approaches somewhat like Kilmann's. For example Fullan (1991) comments that "Less piecemeal and more wholistic approaches to reform are becoming evident" (p. 346) and M iles (1993, pp. 214-219) summarizes repeated findings that change strategies undertaken with strong process analysis and addressing multiple problems are those most likely to succeed.

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However, the diversity of views in the literature suggests that respondents could well see the issue differently. Some authors approach change by highlighting key organizational elements, for example, culture (Nias, 1989), micro-politics (Ball, 1987) or leadership (Leithwood, 1994). There are others who do not address organizational aspects of school and focus on the school's values, vision and design of teaching and learning as the means of generating improvement (Atkin, 1996) or developing research traditions such as school effectiveness and school improvement (Stoll & Fink, 1996). The questions regarding the appropriateness of Kilmann's integrated program were written in a way that did not restrict respondents' responses. Secondly, two questions ask respondents to use Kilmann's holistic program to analyse the organizational success of their school setting. Question 17a requested respondents to apply the Barriers to Success M odel (pp. 206-212) to the school. In question 17b they were asked to hypothetically apply the Five Stages of Planned Change (pp. 204-227) to their school's management of change. Thirdly, three questions asked respondents to compare a specific management idea of Kilmann's with their school's administration practices. Kilmann emphasizes that largesystem change commonly begins with (a) key executive(s) initiating change processes (p. 204). Question (11) sought data relevant to this issue by asking in an open-ended manner about who should be responsible for school change. Question 15a applied Kilmann's top-down view of change (pp. 204-206) to the school setting by asking about the importance of the principal or assistant principal initiating change. Question 15b was a follow up question. It asked about the role of the principal class in supporting change. Examples from the educational change literature relevant to interview questions (11), 15a and 15b offer a range of views. Some support the

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approach taken in Kilmann's integrated program whereby responsibility for change is seen to necessarily come from the top. The importance of the leadership of the principal is a common theme. For example, Leithwood, (1994, p. 4) emphasizes the scope for transformational leadership of the principal particularly, in the secondary school change context. Similarly, Gurr (1996, p. 237) found among administrators and teachers "... that the principal leadership role appears to be closely aligned with the transformational conception". Both of these writers qualify their views by acknowledging the need in schools for a dispersal of leadership and democratic process (Gurr, p. 236). Although Kilmann does not use the language of leadership his ideas could be seen to be to an extent aligned both with those writers who support and those who oppose transformational leadership conceptions in school administration. He refers to executives initiating and supporting a program of change, as do supporters of transformational leadership. Beyond this Kilmann ignores the issue of leadership. He refers instead to improving management skills. In this way he could be seen to be somewhat aligned with writers who dismiss transformational leadership as a concept which is unhelpful in the school context and advocate quite different approaches to leadership. For example, Lakomski (1995) sees transformational leadership as not conducive to learning at the individual or organizational level: ... the assumption that knowledge is concentrated at the top of organizational hierarchy and that it 'flows downhill'. This model is the organizational equivalent of putting all of your eggs in the one basket and contains no discernible view of learning since their are not feedback mechanisms which allow for learning from error. (pp. 211-212) Dalin's (1996) view is similar, suggesting that schools "... become learning organizations in which all participants will have real roles to play in the improvement

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process" (p. 6). Kilmann's view is similar to Lakomski's and Dalin's. His program involves learning and change for all members of the organization (1989a, pp. 105-106). Fourthly, respondents were invited to speak about other change models. Question 19 provided an opportunity to name (a) model(s) of change known to them which they viewed as more appropriate than Kilmann's. Question 20 followed with a request for an explanation of why it was regarded as more appropriate. In framing these questions, the researcher assumed that preference for other theories of change could illuminate the perceived appropriateness of the Kilmann program. Total Quality M anagement is a well known business model which has been applied to educational settings and discussed in the literature of educational change (Cuttance, 1995a, 1995b; Quong & Walker, 1996). In the fifth and final approach to gather data relevant to the first major research question, questions (21) and (22) sought a considered assessment of the relative importance of factors internal and external to the school in both promoting and impeding positive school change, particularly in regard to teaching and learning. Kilmann's view of organizational life would lead to the school being viewed as the unit of change. However, in the literature of educational change there is a range of responses to the issue of the extent to which a school by itself can be the agent of positive change. Barth (1990), for example, does see the school as the unit of change when he asserts that "... only changes emanating and sustained from within are likely to bring lasting improvement to our schools" (p. xv). Sirotnik's (1989) view is slightly different. He believes it is more accurate to refer to the school as the centre of change. This implies that the school is at the heart of improvement but that there will be support and input coming from outside (pp. 90-91). For this study of secondary colleges which

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are part of a public system, perhaps Johnson's (1996) view which suggests interdependency strikes an appropriate balance: To develop the habit of waiting for external initiatives - rather than valuing change proposals originating from both within and outside the school - is to abdicate control and establish dependency rather than interdependency as part of the school culture. (p. 7) M ajor research question 2 The second major research question sought participants' perceptions of the external environment's impact on school change. Question 1 and question 2 in the interview guide were open-ended and had the potential to provide data for any of the research questions. However, it was expected that the opportunity for disclosure of a personal response would be likely to provide data relevant to this research question which focused on the role of external factors in school change. It was considered likely that the scale and rapidity of change during the implementation of the 'Schools of the Future' program could result in respondents choosing to refer to change being initiated from outside the school in their answers to one or both of these questions. These opportunities at the beginning of the interview to express a felt response to change were followed, several questions later, by a direct question about external change factors. Question 12 specifically asked respondents their views of the way the Department of Education managed change. This general question was followed by one which narrowed the focus to the school charter and its role in planning for school improvement. Questions (21) and (22) were developed as a pair to directly access respondents' perceptions of the role of the external environment in school change. They were the questions which most directly focused on the second major research question. They specifically sought perceptions of the relationship between the two elements in the research question: the external environment and the

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school's capacity to plan and implement change. The derivation of these questions in the educational change literature was discussed in the previous section on the first major research question. Examples from the educational change literature relevant to these interview questions designed to provide data for the second major research question, reveal a range of views. Dalin (1996) identifies external factors as necessary to "start and maintain the development process" (p. 7). In contrast, Smyth (1992, p. 15) views this capacity to be in the school itself so argues that the most significant contribution that the system can make to school education is to provide resources and opportunities for teachers to make educational decisions at the implementation and policy formulation levels. Sharpe's (1996) viewpoint is similar. His finding that while "... the most important determinants of the quality of student learning outcomes appear to be those which are closest to where the learning action is" (p. 17) it is retention of "... strong control over inputs at the system level" (p. 9) that is needed to support school level improvement. M ajor research question 3 The third major research question sought perceptions of organizational and personnel factors which impeded change. Interview questions 6, 7, 17a, 17b and (22) were expected to provide data for this research question. Question 6 asked for an analysis of an unsuccessful change effort. Writers on educational change acknowledge the frequency of failed efforts. Fullan (1991), for example, comments that "grappling with educational change in self-defeating ways has been the modal experience over the last 30 years" (p. 345). The question assumes that it is possible to learn from failure as well as success.

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Question 7 enquired into resistance to change. Kilmann provided clear cut solutions to the problem of resistance to change. Those who resist change are of two types, "... troublemakers (destructive individuals) and objectors (well-intentioned deviants)" (1989a, p. 106). He advised (1989a, pp. 107-108) that it is important that objectors are listened to but that troublemakers must be counselled and confronted by external consultants to "... convey the corporate message: Troublemaking behavior will no longer be tolerated in this organization" (1989a, p. 106). In the educational change literature, the matter of resisting change in not seen as amenable to such ready solutions. Resistance to change is seen as a norm. M iles (1993), for example, cites "Resistance is inevitable, because people resist change" as the first of his 'Conventional-Wisdom Propositions About Change in Schools' (p. 214). Ball (1987, p. 4) is critical of approaches such as Kilmann's which see conflict as essentially pathological. For him, to deny the place of contest and contradiction in change is to take a naive view. Evans (1996) makes a similar point: "Change causes conflict among individuals and groups largely because it creates winners and losers and upsets existing power arrangement (p. 68). Stoll and Fink (1996) offer a positive view of resisting change, pointing out that "... while inevitable, changes are not necessarily always positive" (p. 5). In regard to the personnel factors in both impeding and promoting change, major research questions 3 and 4 consider them "particularly in relation to school culture". Kilmann writes as if organizational cultures are quite readily changed: The culture track is the ideal place to start the program. It is enlightening to discuss openly what was seldom written down or mentioned in any conversation. M embers enjoy - even laugh at - the revelations that occur as the dysfunctional norms, the unwritten rules of the game, are brought to everyone's attention... Thus the culture track first exposes the old culture and then, if necessary, creates a new adaptive culture. (p. 216)

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It is significant to note that some writers on educational change see organizational culture change as a more complex and difficult task than Kilmann presents it to be. Angus (1995) argues that "organizations are not one homogenous culture, but are 'multicultural'" (pp. 71-72). Evans (1996) sees changing school culture as "... a huge and daunting task" (p. 5). Although no interview questions asked directly about culture change, participants' perceptions of culture change were able to surface through discussion of such interview questions as numbers 3, 4 and 8. M ajor research question 4 The fourth major research question sought perceptions of organizational and personnel factors which promote change. This research question was expected to be illuminated by interview Questions 3, 4, 5, 8, 9, 10, (11), 14, 15, 16, 19 and 20.

Questions 3, 4, and 14 are directed to gathering data on staff attitudes and expectations in relation to change. In the educational change literature, staff attitudes are seen by some writers as vitally important. For example, "... the key factor in change is what it means to those who must implement it" (Evans, 1996, p. 21). Barth (1990) attests to the potential for change in fully engaged attitudes in staff: I would like to go each day to a school with other adults who genuinely wanted to be here, who really chose to be there because of the importance of their work to others and themselves. (p. 9) Question 5 requested an analysis of a successful change process. From this question it was expected that successful school change processes could be compared to Kilmann's model and the models of educational change already identified in discussion of the first major research question. Questions 8, 9 and 10 dealt with the leadership of successful change efforts. From these questions it was expected that successful school leadership could be

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compared to Kilmann's management skills track in which problem and assumptional management is learned (pp. 216-217) and to the range of approaches to educational change already identified in discussion of the first major research question. Although questions 15, 16, 19 and 20 were primarily framed to provide data on Kilmann's program for the first major research question, they were also relevant to this research question by providing the opportunity to reveal positive perceptions on some key change factors, discussed above in the section on the first major research question. Question 15 provided data on leadership. Question 16 revealed perceptions of the integration of change. Questions 19 and 20 provided participants with the opportunities to discuss any other models of change.

TRIAL OF DRAFT INTERVIEW SCHEDULE

In February 1997, the researcher contacted the principal of East City S.C. and arranged to spend a day interviewing in the school. This was to be a trial of the draft interview schedule. Before his visit to the school, the researcher developed a script to present the questions in a manner which he believed would put respondents at their ease and provide a fluent transition between questions. Early in M arch, the researcher visited East City S.C. for a day of interviews. One of the interviewees was unavailable on the day and the commitments of the other four meant that they only had time to respond to the first fourteen questions. The researcher returned to the school on two further occasions to complete the interviews before commencing visits to the other five schools.

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The trial revealed that three questions were less than satisfactory, questions 11, 21 and 22. On the first day of interviews three of the four interviewees were asked question 11 'In your school community, who should be responsible for bringing about positive change? Why?'. (The question was not put to one interviewee because earlier in the interview she explained that she believed that staff members concerned about the future of the school should and did take responsibility for attempting to bring about significant change.) Each respondent had difficulty with this question. One immediately re-phrased the question as "who drives it?" and commented that it was "a tricky question". Another paused for a long time after the question was asked and answered by describing the structures in place. The third began an answer but soon after commented that she had "lost the track". After prompting, she also described the existing decision making structures. Consideration of these responses suggested that interview question number 11 would not yield data to answer major research question 4b, as expected. For that reason, it was removed from the list of interview questions. The two further visits to the school provided the opportunity for all five respondents to complete the interviews. The first respondent, a highly articulate person, provided prompt and clear answers to questions 21 and 22. The second respondent had difficulty in grasping the intent of the question. He asked to be able to read question 21 in the interview schedule. The interviewer sympathized with the respondent's difficulty by suggesting that "perhaps the question needs re-phrasing" and summed up questions 21 and 22 as asking whether the "school could be the unit of change". This respondent's eventual answers to both questions 21 and 22 focused only on issues of teacher workload and stress. The researcher decided that it was untenable

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to risk repetition of such an unfortunate conclusion to an interview. For the remaining interviews that day, he summarized the intent of questions 21 and 22 and concluded by asking 'to what extent could the school be the unit of change?' Questions 21 and 22, and the improvised follow up question, were all intended to gather data related to the second major research question: What are the effects of the external environment on the school's capacity to plan and implement change efforts? M ost of the answers to the new way of asking these questions reflected on the school's capacity for change but without attention to the tension between the school and the external environment in major research question 2. The exception was the respondent who commented that she wished that "we could be left alone to improve our teaching and learning". This phrase provided a clue for the rewording of the question for the final interview guide: Kilmann's model suggests that the unit of change is the school itself. Could the school achieve optimal success in teaching and learning if it were left alone to get on with its core tasks? How important are external directives, accountabilities, frameworks etc. to getting the best outcomes for students? This question retained the same conceptual content as the original questions 21 and 22 but asked about it in a more effective way. After the experience in the trial school, there were no further changes to the listed questions. They were used in a very flexible manner so the list of questions became to be regarded by the researcher as an interview guide, rather than a schedule which has connotations of something more rigid and confining (see Appendix 3).

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ANALYSIS OF DATA

In addition to the overall research design discussed above, in the analysis of data, every effort was made to ensure to the greatest degree possible the validity and reliability of the inferences drawn. The processes by which this was done are outlined below. The earliest stage of data analysis was informal. It occurred during the interview of respondents as the researcher reflected on their answers to the interview questions. The questions prompted the telling of stories and anecdotes about change. In their change narratives, respondents were making meaning out of change that had taken place, was in progress or anticipated. Despite the conscious intention to be open to all responses, inevitably the researcher found himself considering the extent to which responses would be valuable in terms of the stated purpose of the conceptual framework - the identification of perceptions of successful models and practices for positive school change. Extensive relevant data were collected during the interviews of respondents. However, some responses seemed, from the start, unlikely to contribute to this studys purpose because the factors causing success or failure were either to do only with the individual traits of the actor/s or other specifics that prevented them from having broader meaning. Respondent 19 provided an example of a change that revealed some aspect of the personality of the responsible person rather than illuminating successful models and practices for positive school change. She described the principals change to the schools main office area so that his office would have in this new appointment the quiet tranquility of his previous office in a small rural school. Although an amusing anecdote

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and showing a somewhat typical response of a teacher to top-down imposed change, it could contribute little to the purpose of this study. Respondent 1 provided a story of a change that was an example of a small-scale innovation where the reason for its success or failure was remote from the purpose of this study. He began the answer by suggesting You may be looking for something bigger than this and went on to explain that an acceleration of Year 10 students to VCE M aths was an unsuccessful change. The respondents analysis was about a perceived professional misjudgment of M aths teachers in recommending this acceleration. It did not contribute to an understanding of successful models and practices of change beyond the obvious desirability of applying sound and appropriate curriculum knowledge in such circumstances. Between M arch and October 1997, the researcher typed complete transcripts of all interviews. This provided another opportunity prior to commencing formal data analysis for reflection on what respondents had told him about change in their schools and about the potential usefulness of the Kilmann integrated program as a model to facilitate school change. Before the end of the 1997 school year, all respondents had had the opportunity to check the transcript of their interview and make any necessary clarifications. Through the processes of interviewing respondents and typing the transcripts the researcher had identified many major themes that emerged from the stories of change he had been told. He had also become aware of three difficulties that had to be considered in approaching the next stages of the project, the formal analysis and then the reporting of the data. The most obvious difficulty was the quantity of data that had been collected. There were two hundred and eighty five pages of single spaced typed transcript. The

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other difficulties resulted from the approach taken to interviewing that gave full scope to respondents to answer questions the way they saw fit. The researcher had approached the interviews with a determination not to attempt to steer respondents replies to questions in any particular direction beyond that given by the interview guide. This was done so that respondents felt confident that whatever they wanted to discuss in response to the questions would be helpful. Even when the stories of change the respondents selected were not relevant to this studys purpose the researcher did not attempt to deter the respondent from telling the story in full. The researcher assumed that it was not worth risking respondents trust by rejecting what was being said to re-ask the question to try to lead the respondent to answer in a way that might have been more relevant to the research purpose. The same non-interventionist approach was taken when respondents interpreted a question in a way other than was anticipated. This occurred quite frequently in answer to Question 4 To what extent would staff expectations that a proposal for change could bring significant improvement to the quality of teaching and learning affect teachers willingness to support it? The researcher had hoped that this question might distinguish the levels of the perceived commitment to students and their learning among the sites. Also, he feared that it may have led respondents to bland agreement but the contrary was the case. Only a small number of answers expressed straightforward confidence that teachers would be for a change if they believed it would bring about an improvement in teaching and learning. Instead, answers went off in quite disparate directions. For example, one respondent (5), suggested that what might improve teaching and learning can often be contested. Another response (4) was that it would depend on the change. Respondent 7 pointed out that as every proposed change

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is said to improve teaching and learning, cynicism had become the typical response to the idea that a change would improve learning. Other respondents gave examples of specific changes that they perceived to improve teaching or learning (1) or the conditions needed to improve the classroom, for example, time (8) or collaborative processes to gain staff ownership (6). It was clear that this question would not be the acid test of professional commitment and change that it had been designed to be and answers to it could not be compared to indicate anything meaningful about teachers level of commitment to change in different sites. During the interview stage of this project, it became evident that the openness to respondents during the interviews would require a somewhat more selective approach at the stage of the project when the formal analysis of data took place. Data Reduction Summary Statements Composition of summary statements of the stories and anecdotes of change provided by respondents was the first step in the formal analysis. Summary statements provided an effective means of reducing and organizing the data. An important aspect of organizing the data was discriminating between data that would be included and reported and data that would be excluded. In so doing, the researcher was aware that he needed to be able account for his decisions to exclude data by documenting his reasons. Stories about changes where the cause of the success or failure had little significance to the research questions and the conceptual frameworks purpose were excluded. The following rules were applied: 1. Stories about respondents experiences in previous schools and roles were excluded because they did not contribute to understanding change within the school.

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However, sometimes such experience was mentioned when respondents were first introduced. 2. Stories that did not contribute significantly to understanding change within the school because they were of such a small scale or only had personal significance to an individual were excluded. 3. Stories about change distant from the schools contemporary context were excluded unless they shed light on the current change context. 4. Stories about the implementation of statewide, mandated change processes that did not illuminate change in the specific school site were excluded. 5. Stories about personnel issues outside the schools control that impacted on a change effort, for example, a significant absence due to ill health, were excluded. The summary statements of all responses to Questions 5 and 6 are provided below as a sample to make explicit the decisions to include or exclude stories of change. The summary statements of stories of change that were included in the reported data are printed in bold. The number indicating the reason for the exclusion of the stories represented by summary statements in plain print appears in brackets after the summary statement. Of the possible fifty-eight responses to Questions 5 and 6, twenty-nine yielded data that were reported in the case studies. Twenty-two responses yielded data that were not included. Seven interviews provided no data in response to one or other of these questions. On three occasions one of these questions was omitted and four respondents could not think of a failed change effort at the school. Question 5 asked, a. What are the factors which you believe have contributed significantly to the successful implementation of a change process in your school setting? b. Could you rank these factors in order of importance?. Question 6 asked, In

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contrast, where a school change effort has not been successful what significant causes of the failure are you able to identify? Rank their importance. Summary Statements of Responses to Question 5: ND = no data (See Appendix 6 for a list of respondents numbers) 1. Turnaround particularly curric & assessment 2. Charter lets take control of what we can do 3. Turnaround particularly community wants 4. Turnaround particularly respondents role as a new principal 5. Turnaround particularly staff and community views 6. Turnaround particularly quality principles 7. Turnaround - particularly inspirational speaker, researching community expectations, S ECT 8. Turnaround - comprehensive but highlighted new principals role in including all staff in change & links with primary school 9. ND question omitted 10. Turnaround particularly principals role in clarifying the problems & establishing the vision 11. Curriculum change principal class commitment to making the school a better place 12. Did not refer to a specific change - process for successful change outlined umpires decision 13. Did not refer to a specific change - process for successful change outlined team aspect vital 14. Amalgamation (3) 15. Introduction of Leading Teacher positions (4) 16. Introduction of the PRP (4) 17. Introduction of Leading Teacher positions (4) - values the autonomy given by the principal to carry out his role 18. Charter development extraordinary parent involvement opportunity to refocus 19. Charter development involvement including students concerns 20. Leadership team development 21. Leading Teaching positions (4) 22. S port Education opportunity for more balanced curriculum 23. Middle S chool curriculum review 24. Image improvement high standards 25. ND question omitted 26. Year 10 VCE acceleration 27. New principal invitation to hear staff perspectives 28. Course re-writing due to CSF (4) 29. New subjects successfully offered at VCE (2)
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Summary Statements of Responses to Question 6: 1. 2. 3. 4. 5. Acceleration of Y10 Maths & Eng students Rialto example (1), Principal insists on home-group change (2) Literacy & LOTE use of computers (5) ND - Could not think of an example Attempts at writing up courses prior to 1996 had been left incomplete contrast with success of 96 gives reasons (4) 6. ND - Could not think of an example 7. ND - Could not think of an example 8. Enforcing the wearing of hats (2), principals push for VCE grades (4) 9. Curric ch one period per week of computers at each year level (2) 10. ND - Could not think of an example 11. Implementation issue: policies not implemented properly because of time constraints (2) 12. Single sex maths classes abandoned after evaluation (2) 13. S low down of implementation of middle school review 14. Goal based assessment too much paper work, discipline structure- uncertain about benefit (3) 15. Morning Briefing 16. VET take-up 17. ND question omitted 18. Fundraising (2) 19. Quiet principals office (2) 20. Performance Plans 21. Acceleration in English (2) 22. Proposed appraisal system overtaken by imposed PRP (4) 23. Implementation of Science Frameworks (3) 24. External changes to VCE putting pressure on students and teachers (4) 25. Failed attempt to run a Year 10 camp (2) 26. Mandated introduction of S port Ed ruined Middle S chool innovation 27. Implementation of Annual Reviews some suspicious this was an invention of the new principal 28. Form assembly time for pastoral care 29. Former principal Rex Forsters change efforts still affects change efforts Data Clustering - Codes Useful in listing themes and for constructing an outline to report the data in single site and multisite study forms, summary statements necessarily stripped the stories of detail. To ensure that thick descriptions were not lost and that clusters of data could be readily retrieved, detailed coding of the data was undertaken. The
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coding of the data would complement the summary statements in the process of reporting the data. To commence the process of coding each school was given a number and the pages of the transcript were numbered. Each respondent was also given a number. Two photocopies were made of the complete transcript. The original was retained intact for reference during data analysis and reporting. One photocopy was used for trying out a number of sets of codes and the other for cutting and pasting onto index cards once a satisfactory set of codes had been established. The coding eventually used for the full set of data was evolved over a process of trial and error that involved a number of different sets of codes. Codes: Set 1

The analysis of the data began with a simple coding system derived from the conceptual framework for the study. The codes were based on three key concepts: the Kilmann program, promoting school change and impeding school change. The letter K was used to refer to all perceptions of Kilmanns model. The letter P was to stand for all aspects promoting change and the letter I was to represent all aspect impeding change. The responses to Kilmann were to be broken down into the sub-categories of appropriate (A), inadequate without modification (M OD) and inappropriate (INAP). The aspects promoting or impeding change were broken down into seven sub-categories: teachers attitudes and actions (T), process (PRO), culture (C), principal attitudes and actions (PRIN), conflict (CON), community attitudes and actions (COM ), background (B).

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It soon became clear that the categories in this set of codes were too narrow to cope with diverse perceptions in the data to be included in the case studies.

Codes: Set 2 A second set of codes was created based on the M ultilayers of School Change M odel around which the literature review for this study was organized. This provided the five categories of vision and values (V), teachers and students (T/S), the micro-politics of the school (M P), the school as an organization (O) and school culture (C). A sixth category used was for the system and other external factors (S/E), some of which were discussed in Chapter 1. In the trial of this set of codes the need soon arose to differentiate within these categories. For example, V1 was used to represent democratic values in decision making processes and V2 values implicit in teacher empowerment. The transcripts of six respondents were coded using both codes sets 1 and 2. In the left-hand margin the five categories (V, T/S, M P, O and C) were used with an evolving set of numbered sub-categories within each. In the right-hand margin the first set of codes (promoting and impeding change) were used. However, the numbering system within the five categories did not work well because of the difficulty encountered during data analysis of remembering to which sub-category each number referred. Codes: Set 3 The researcher decided to combine the best features of the first and second sets. Firstly, the attempt to classify everything as either promoting or impeding change as in Set 1 was abandoned for the time being. It was used later in preparing the display for

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the multisite study presented in Chapter 5. Secondly, the six categories of change from the Set 2 were retained. Two categories were added to code two clusters of data that were prominent in many respondents stories of change the background to change (B) and turning the school around (T). Thirdly, the use of numbers to create sub-categories as in Set 2 was abandoned and replaced by abbreviations as used in Set 1. The number of abbreviations increased as the data required. The number of codes reached sixty-six but was reduced by eliminating those used infrequently. Those data were re-assigned to appropriate categories. At this stage, each of the six categories had been broken down into between four and eight sub-categories. The Kilmann material was much more easily managed than the stories about change so numerical codes were found to be appropriate. The only improvement on the first set of Kilmann codes was to extend the categories to better match the diverse opinions found in the data. The two additional categories were for those respondents who had reservations about the application of the Kilmann model to the school setting (RES) and for those who expressed ambivalence about it (AM B). See Appendix 8 for the list of the final set of descriptive codes used to cluster all perceptions related to change and the codes used to cluster the respondents perceptions of aspects of the Kilmann program. The codes related to school change and to Kilmann are briefly defined. The number of the interview question to which each of the Kilmann codes refers is in brackets following the definition. Using the Codes That three hundred and fifty-five index cards were required for the recording of passages selected from the interview transcripts indicates the large volume of pertinent data to be organized and reported.

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The left-hand side heading (1 p 2) of the card indicates that the respondent is respondent number 1, Doug Hogan who is a timetabler and daily organizer, and that the data provided here came from page 2 of the transcript. The right-hand side heading (1-T/S: CB) indicates that this respondent is from school 1 (West Bay S.C.). The remainder of the heading indicates that all data provided on this card has been classified by the researcher as primarily relevant to the interaction between Teachers and Students (T/S) in the sub-category of the core business (CB) of the school teaching and learning. The hand-written comment is a summary statement: The change to more rigorous assessment benefited students particularly the more able and staff in terms of morale. In the left-hand margin beside Doug Hogans data are two codes that were not included in the final set because of their infrequent use. They indicated that what he said might have contributed to a discussion of change through school policy development (O:POL) or strengthening the culture of the school by enhancing morale and performance (C:STRONG). These data were coded by the first set of codes as merely P:T, indicating that the data were about promoting change through teachers. Clearly the second set of codes provided much greater capacity for making comparisons and contrasts between respondents and schools. Doug Hogans comment is followed by data from respondent 2 from West Bay S.C., the Assistant Principal, Jim M acmillan. The researchers hand written comment indicates that this is on pages 9 and 10 of the transcript and states that this is a response to Question 4. The respondent affirms that if a change will benefit students, teachers

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will support it. Clearly about the core business of teaching and learning but also, as indicated in the left-hand margin code V:GROW these data may be useful to a discussion of the value teachers place on students growth as learners and persons. Data Interpretation and Explanation The coding of data was largely a descriptive exercise identifying and organizing within each site the clustered perceptions in all categories. This presented what had been said in a most accessible format. The next step in analysing the data was to consider why change was perceived as it was in the different sites. This was approached in two complementary ways. The first was blatantly impressionistic. On M arch 18, 1998 while the work on coding was still in progress, the researcher was scheduled to present in the UNSW School of Education Studies Research Seminar Program. This required assembling preliminary findings. To report on the six schools a one page outline of the change themes, issues and possible causal links at each of the schools was produced (see Appendix 9). These proved to be a useful starting point for assembling the data in readiness for reporting them as case studies. To approach the identification of change themes, issues and possible causal links more objectively, display was prepared to show which respondents perceptions were coded for every category (see Appendix 10). To this stage, the summary statements, clustering and coding represented descriptive analysis. The next stage of the project, reporting the data, took the analysis to the interpretative and explanatory levels. This was done in two parts: the analysis and interpretation of responses to Kilmann and the analysis and interpretation of positive school change within and across the schools.

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REPORTING THE DATA Kilmann Data Organization and Display The responses to Kilmanns program were considered in two sections. Analyses to Question 15 were readily accessible from the coded data. The twentyeight responses had been recorded on ten index cards in numerical order from respondent 1 to respondent 29. The coding identified which respondents perceived the Kilmann program as appropriate to the school setting, appropriate to the school setting if modified and inappropriate to the school setting. A poster was prepared to display the responses. It displayed principal class and teacher responses in each of the three categories. It also distinguished between those who gave a general response and those who gave a specific reason for their views. When a reason was given a summary statement identified it. A table was constructed that showed the pattern of responses across the categories and distinguished between principal and teacher class respondents. Questions 16 to 19 produced a more complex set of responses. To organize these perceptions in a format that would facilitate interpretation, a display of the data on five large sheets was produced. Perceptions were grouped and placed on a separate sheet for each in the following categories: Appropriate, Appropriate with Reservations, Appropriate if M odified, Ambivalent, and Inappropriate. The purpose of the display was to organize the array of suggestions made in each of these categories. For example, all the statements that respondents made that showed positive perceptions of Kilmanns program or some aspect/s of it were recorded under the following headings: Respondents Psychological Compatibility with Kilmann, Structure, Holistic Approach,

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Consultants Role, Participatory Approach, Post hoc Analysis of Change in Terms of Kilmanns Program. The respondents perceptions of Kilmanns program are discussed in Chapter 5. The Six Case Studies The researcher tackled the writing about each case study site in a similar way. Site by site, he commenced by re-acquainting himself with each case by carefully reading the transcript of each respondent. He then reconsidered lists of previously identified themes. Using the coded data on index cards, the words of respondents were selected that would best express the major themes and bring to life the factors that both promoted and impeded change. The views of respondents were compared and contrasted and any differences of interpretation identified for inclusion in the narrative. In each case study, the completeness of the reconstruction of respondents views was most important. In each case study, the views of respondents as interpreted by the researcher provided an understanding of the phenomenon of change within that secondary college. The M ultisite Study While there were few divergent views between respondents within each site, the differences between the sites in the way change unfolded were marked. These differences provided the stimulus for the multisite study. As the researcher began an analysis of change across contexts to identify perceptions of successful models and practices for positive school change, it became clear that the investigation had outgrown its original set of research questions. The reporting of respondents perceptions of Kilmanns program in Chapter 5 and reporting respondents perceptions of the external, personnel and organizational aspects impeding and promoting change in

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each school in Chapter 4 would complete the investigation of the major research questions. Six additional research questions were now needed. The first three on the following list arose during the course of the investigation and were needed so that the explanatory and interpretative aspects of the analysis could be integrated into the framework for the inquiry. The final three were found to be needed during the writing up stage of the project. They were needed as foci for exploration of the implications of the findings in relation to research questions 1 to 7. Their inclusion enabled the scope of the inquiry to be extended to knowledge building. Additional Research Questions

5. In the light of responses of principals in this study to the Kilmann program and of knowledge regarding school leader training in management and leadership skills, how appropriate was the training provided to Schools of the Future principals in the application of the Kilmann program to school change? 6. To what extent were the components and dynamic s of the change process presented in the conceptual framework used for this research useful in analysing change across the six sites? 7. How can the insights gleaned by the study into promoting positive change in secondary colleges be expressed most clearly and succinctly? 8. What are the implications of the findings for change theory and how could they best be represented as a model to guide future change efforts and suggest possible future research? 9. What are the implications of the findings for practice at the levels of systems, schools and principals? 10. What are the implications of the findings for future research? The answers to the major research questions and the additional research questions will be presented in Chapter 6. Comparing and Contrasting the Sites Three elements from the conceptual framework, the individual and organizational aspects promoting change, the individual and organizational aspects

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impeding change, and action promoting change provided the basis for a display that compared and contrasted the six sites in preparation for writing the multisite case study. In the display (see Table 4) there was a row for each of the six schools grouped in the three site domains of what is, what may be and what could be. All factors perceived by respondents to promote or impede change were entered in categories that matched the elements in the conceptual framework: DoE, Other Environmental Factors (community and other organizations), Individuals and Organizational Aspects. This organization of data was facilitated by the first set of codes. The researcher recorded summary comments on identified issues. The display and the analysis it facilitated reported in the multisite study demonstrate that the conceptual framework provided a sound basis for comparing and contrasting the six sites. The approach taken to analysing the data related to the second of the additional research questions was to set about identifying change-enhancing variables within and across the sites. These would be the basis for the comparison and contrast of perceptions of respondents both within each site and between sites. A process of trial and error began to match the data to the most appropriate set of variables. From listing recurrent themes in the six case studies, the following seven variables were identified: 1. Alignment between the change effort and community expectations. 2. Structure for the change process that fits the school. 3. Principals commitment to the change effort. 4. External and internal consultants to support the change effort. 5. Creative response to system change. 6. Team capacity to steer the change process.

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7. School specific planning integrating all aspects for promoting change. The attempt to categorize the data into these variables proved to exclude valuable data related to perceptions of successful models and practices for positive school change. Analysis of the excluded data led to the combination of variables 2 and 7 into the one variable (number 9 on the list below) and the addition of five additional variables (in bold type in the list below). 1. S chool seen as the centre of change. 2. Learning focus. 3. Consultant/s challenge and feedback. 4. Principal commitment and support. 5. Individual teachers capacity for change. 6. Culture open to change. 7. Creative responses to system change. 8. Community expectations. 9. Change plan that fits the school 10. Change enabling micro-politics. 11. Team capacity to steer change. Two checklist matrices were constructed to display the eleven variables. The first checklist displayed the most significant data from each respondent at a site beside each variable. See Appendix 11 for an example. It displays the data related to the change promoting variables at West Bay S.C. For another display (see Appendix 12), the relative strength of the eleven identified change enhancing variables in the six schools was estimated by the researcher

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from an analysis of respondents views. A six point scale was used and the most apt representative sample of data displayed to support the selected descriptor. The six descriptor scale used for rating schools in terms of the relative strength of the eleven chance promoting variables from strongest to weakest was: Outstanding, Very Good, Good, Adequate, M inimally Adequate, Inadequate. When no data were available the letters N.D. appear. The decision making process that produced the ratings in this matrix was based on three assumptions about change in the context of this study. Firstly, an unquestioning, unproblematical approach was taken to change in producing this matrix. It was assumed that all top-down change referred to in the study and all school change efforts respondents spoke of were worthy. Secondly, given the momentum of the Schools of the Future program it was assumed that considerable change could be expected to be in progress in all secondary colleges for the timely implementation of its elements. Thirdly, it was assumed that the schools that were likely to be the best at change would have change efforts in progress that were independent of, or complementary to, the change the Department of Education required. These assumptions meant that the variables were rated as adequate if they promoted the timely implementation of the Schools of the Future program and small-scale, schoolbased improvement efforts. They were rated as inadequate if they impeded these. M inimally adequate was the descriptor used when aspects promoting and impeding change were contending so that efforts were stalled. The relative strength and success of school-based efforts to bring about first and second order (structural and cultural) change that aligned stakeholders in the

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implementation of change in the interest of producing superior student outcomes determined the rating of variables from good to outstanding.

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CHAPTER FOUR CASE STUDIES

INTRODUCTION This studys purpose of identifying successful models and practices of school change has been carried out at a number of levels of abstraction. The study began with the individual voices of the twenty-nine interviewees. This chapter takes the school as the locus of meaning making. The interaction between the individual actors and their environments is a means to explore the phenomenon of change within each site. The six case studies, by presenting comprehensive accounts, reveal change themes and dynamics in readiness for a further analysis of data in the multisite study presented in the second section of Chapter 5. There the six sites are generalized to three categories suggested by Schofield (1993) what is, what may be and what could be. It is there that the findings in relation to three major research questions (2, 3a & 3b, 4a & 4b) are reported under the rubric Perceptions of Successful M odels and Practices for Positive School Change.

THE SIX CASE STUDIES The six case studies have been compiled from in-depth interviews of multiple data sources with supplementary reference to documents such as charters and annual reports. The interview transcripts were read a number of times and data sorted, categorized, coded and displayed to facilitate exploration of all aspects of change within and among the sites.

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The analysis and display of data revealed the uniqueness of each school in the study. It facilitated the comparison and contrast of respondents perceptions needed for writing accounts of change at each site that were inclusive of their diverse opinions. In writing the cases studies as much thick description as possible was retained to preserve the uniqueness of each individuals point of view and to bring alive the complexity and uniqueness of each context.

CASE STUDY 1: M INESVILLE SECONDARY COLLEGE M inesville Secondary College is valued more by its rural community for the continuity it represents rather than for its efforts to bring about change. There is a strong level of pride in the school. M ost members of staff have been working there for ten years or more and there are some who were students of the school. M ost school councillors and staff members like the college as it is and would prefer to minimise change. Des Stephens was in his third year as the principal of the school in 1997. Having previously been the principal of a smaller school in another rural region, he saw M inesville with the outsiders eyes and with the benefit of his experience when he was selected as the new principal. He quickly identified areas where he perceived that change was long overdue. One of the first things he did was to write a statement of purpose for the college. He soon identified his first and immediate target for change, the restructure of the junior and middle school curriculum. His longer term goal is to rejuvenate the culture of the school by creating what he terms a culture of success. When he made it clear that he had an agenda of change the reaction of the school council president was to ask, somewhat incredulously, Why do you want to change things, Des?. While Des Stephens has built support among members of his staff and

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many change initiatives are in progress, the story of change at M inesville from his perspective is firmly focused on the impediments of change and its resistance. In contrast, other respondents, while indicating their own commitment to change, describe a pervasive weariness across the staff with the amount and pace of change. Assistant principal, Peter Crouch, is positive about change but with the caveat that the school level response is critical: change which is supported at the school level is vital to maintain the morale of staff, the morale of the school council and your community (and) for people to hope that things can improve, that were continually improving. Curriculum coordinator, Phil Clayton, perceives that it is members of the principal class who have the capacity to bring about change but that their success depends on the support of informal leaders whom he describes as: people with no formal position but they are opinion formers who are articulate have a particular interest in whatever the issue is and/or because they have a long association with the school or the township. Frank Clarke, sub-school coordinator, makes the point that change is both very challenging and necessary. He points to the number of concurrent changes underway, commenting that while preparing to be interviewed he ran up a list of ten very significant changes in a couple of minutes. He sees the potential to initiate and implement change is spread widely across the staff to the point that he perceives that anyone who has a change that they believe is worthwhile implementing can do it. He cites achievements in sport, music and organized visits to primary schools in support of his view. Pam Elliott, year level coordinator and humanities teacher, is a respondent who expresses marked ambivalence in her attitudes to change. She recollects the positive benefits of the amalgamation ten years previous while acknowledging that was an

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imposed change. Nevertheless, she resents bitterly change which is imposed currently whether it be by the school administration or the Department of Education. In marked contrast to Des Stephens view of the way the school responds to change, Pam Elliott expresses pride in the schools change capacity: weve always felt that if there is a change we seem to be up with it, we dont do it as the last cab off the rank. Curriculum Change: Decision M aking and Conflict M inesville Secondary College was created by the amalgamation of the towns former high and technical schools in 1988. From the perspective of the current principal, those who were responsible for the amalgamation had not designed a satisfactory curriculum. He describes the approach to curriculum taken at the time of the amalgamation as being concerned with staffs comfort and job security rather than students needs: It wasnt a matter of coming up with a new curriculum, it was a matter of lets satisfy the tech people on staff and the high people. Lets come up with a compromise curriculum, lets try and jam as much in it as we possibly can. So theres no logic to it. There were a host of subjects that are two units a week so that the teachers hardly ever got to know the kids. Des Stephens emphasises the lack of change in the past and the difficulty of it in the present. He describes the curriculum review which resulted in the new curriculum as a difficult process. We were thwarted at every turn by people who just didnt want to change. He sees many members of the staff as being simply unwilling to endorse change because of their will to protect their interests. There is a very considerable gap between the principals expectations for change, particularly in the curriculum and the culture, and those of most other members of staff. This is the basis for contest in the micro-political arena. Phil Clayton

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expressed the difficulty of seeking change through the schools democratic, representative curriculum committee. He identifies the major reasons as the large number of long serving staff who value the school the way it is and the nature of the participative decision making used. After mentioning the fact that many staff have taught for twenty years in the school and some are former students, he said this about the process of changing the curriculum: it is quite clear why it has been difficult for them to make a significant break with the past. The democratic process tends to lead the curriculum committee discussion process back in a circle more or less to the situation you start off with and with just a few changes around the edges. Nevertheless, the principals determination resulted in some curriculum change. The new junior curriculum was implemented in full in 1997 but it had been agreed that the middle schools new curriculum would be phased in over two years in recognition of staff concerns about the workload it entailed. Frank Clarke is the staff respondent most in tune with the principals commitment to the curriculum restructure. His account makes it clear that he believes it would have been better for students had all middle school offerings been presented to them before they entered Year 9. He perceives that it is the level of antagonism to change at M inesville that made concession to staff wishes and compromise necessary parts of the implementation of this change: The plan was to be able to do the 9 and 10 curriculum in one year so that the next year the kids going into Year 9 could choose the subjects knowing what was in 9 and 10 so they could look ahead and see how to plan. But the staff feeling was that it was just too much to ask, they couldnt get it done, there was a lot of dissension and as a result of that the principal, but also the curriculum committee listened to what they were hearing from the staff, the vibes they were getting back. They decided to just try to write up and implement the Year 9 part of it and do the Year 10 part in a second stage Although the staff had initially agreed that this would be the way wed do it, it just became too much, too hard.

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There is a resigned tone to the way Frank Clarke describes the need to compromise the quality of the change in providing a concession to the staff. There is a marked contrast between the felt, personal disclosure in Des Stephens expression of his feeling about the conflict over change and the tempered, unemotional language mostly used by all other respondents. Even when respondents other than the principal speak of the resistance to changes which they personally believe will be of benefit to the school they remain somewhat detached in their expression. Frank Clarkes description of the staffs success in slowing down the implementation of the new curriculum in the middle school is summed up as a lot of dissension. Also referring to the curriculum re-structure, Phil Clayton puts the conflict down to two causes. On the one hand it is the process - The democratic process loses its way and, on the other, it is micropolitics - Vested interests of departments in the school have made it difficult. Pam Elliott, referring to the leading teachers attempts to form teams of teachers to work together, reports that some staff dig in and refuse to change. She goes on to observe that this makes life very awkward. Contrast these mild and accepting descriptions of stubbornness in the face of change to the strongly felt words of Des Stephens: I still havent found the secret formula that I can get people to change without pain. Some do, some do. In every school Ive been in, theres pocket of people who seem to be mortally wounded by change and become very resentful and difficult and try to frustrate the process. So thats still happening. I havent found the secret formula to achieving change without casualties and Im firming to the view that some people just cant cope with it and its very difficult managing these people, particularly when they become very aggressive about it and turn very, well, negative and nasty Des Stephens descriptions of the members of staff who oppose change are vivid and memorable. Change causes pain and produces casualities. There are individuals who are mortally wounded by change and during change they show themselves to

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become very aggressive, negative and nasty. Unlike all the other respondents who remain very general about the way opposition to change is acted out, Des Stephens is quite specific about some of the actors who oppose his agenda and the stages on which they do their work: Its amazing how powerful an influence one or two people can have. Ive got a person who, whatever the administration says hes got a script ready that says Im against this and I will move around the staff and I will do everything I possibly can to frustrate it. There is one person on the staff who is very vicious in staff meetings. He will try to cut people down. Whereas Des Stephens perceives some staff as willing to use malevolent hostility as a means of obstructing change and to a point succeeding, Phil Clayton perceives that at M inesville the principal does have the appropriate degree of positional authority to intervene decisively when the democratic process has lost its way. M oreover, as in the case of Des Stephens resolution of the curriculum review issue, Phil Clayton perceives that: provided the school community has had a chance to have its say and talk itself out, I have found a willingness to accept direction on the part of the umpire. Des Stephens reveals that for him a successful outcome to the curriculum review was much more a personal exertion of his will in the interests of improving the school than playing the umpire in a sporting-like contest: I have been very determined that this school is going to have a better curriculum over the next two years and nothing has deflected me from that path. In one way it is surprising and even untoward that the curriculum restructure was a contentious issue at all. Before Des Stephens was appointed to M inesville, the schools first charter had identified the need to review the junior and middle school curriculum. He was able to use this to rebut his opponents who wanted the curriculum to remain as

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it was: I had this lever to say, youve written this down, therefore we have to look at it. The respect and authority given to the school charter at M inesville assisted the principal when he sought staff input into reshaping the junior and middle school curriculum. He described the way he presented the issue to the staff: Here are the problems and we drew them (solutions) out of the teachers. What are we going to do about it? Two respondents give markedly different summations of the nature and significance of this process. Phil Clayton is confident in the way the administration manages change, including the curriculum restructure: I believe its being managed by the administration with sensitivity, they have shown a capacity to listen, to modify their approach or their strategy at least without compromising the vision they have in mind for the school. Unlike all her other comments on change and the administration which are restrained, on this issue Pam Elliott is very emotive. She expresses angry dissatisfaction with the way the curriculum restructure was concluded and generalises from this process to all decision making in the school: If you have the dictatorship where you just say, look, this is the change were going to have huge numbers were not happy with the way in which the decision was made they have supported it, I suppose, but it is still there at the back of their mind, they will say, the administration makes the decisions. Atypical and surprising, this outburst provides insight into the conflict engendered over the curriculum restructure. It seems to break through the many generalities provided by respondents to describe and explain the conflict over the process. Although spoken in opposition to Des Stephens it nevertheless makes his determination more readily understood. Des Stephens success in achieving a phased re-structure in the middle school over two years prompted respondents to reflect on the schools tradition of union

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members and staff representatives participating in decision making. Pam Elliotts comment contradicts itself but concisely sums up the shift in the way decisions are made at M inesville Secondary College during the implementation of the Schools of the Future program: I think with any decision making the more people who are involved in the decision to start with the more likely you are to get people who are involved in the actual outcomes and in the doing sometimes we have too many people involved and then you never get a change, because its too much democracy. Although M inesville had become a School of the Future a year before Des Stephens appointment, it had retained the collaborative and participative decision making mode which was mandated during the Cain and Kirner years. Peter Crouch commented that it took a change of principal to bring about decision making practices more attuned to the times: It was a step that a new principal could take. He had the advantage of coming in as a new principal and being able to say I dont want this old system, were going to have this new one. There were a few complaints but its working quite well, trying to get a culture of the staff being a team rather than a team within a team of an AEU group. In discussion of the proposed building of a music centre, Peter Crouch recognises that staff support cannot be ignored but shows the extent to which this administration has turned away from the tenets of industrial democracy: We would prefer to run for major change with a lot of staff support, often we cant and dont. M inesville Secondary College and Department of Education Change Alongside the curriculum review, another important curriculum change should have been taking place at M inesville. During 1996, as part of the statewide accountability process, all secondary colleges were required to measure student progress in English and M athematics in Years 7 to 10 against the Curriculum and

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Standards Framework (CSF). M inesvilles experiences in attempting to have English and M athematics teachers fulfil their obligations in this matter adds to an understanding of change in this setting. It shows that when it comes to imposed change without the opportunities for consultation, M inesville teachers are particularly unwilling to accept direction on the part of the umpire. Although the school was well behind the statewide schedule for implementing the CSF, respondents reported their anger at what was required. Phil Clayton sees the staff as being pushed to exasperation by change, particularly in the curriculum area with the externally imposed CSF coming on top of the internally initiated curriculum restructure: I think at present we have what I would call change fatigue in schools Its got to the stage where staff are saying if I have to re-arrange my curriculum yet again I will explode. Pam Elliott expresses a similar weariness mixed with indignation about curriculum change: Well to hear the word change now, I think people just pat their brow in shock. What, something else were going to do. The CSF has made separate areas come together as SOSE (Studies of Society and Environment) - Im not certain thats going together really well I think people are stressed out just hearing the word (change), it might even be good but you only hear the word and youve tuned off Respondents highlight a number of ways that staff attitudes to the Department of Education create barriers to positive change. Des Stephens believes that staff are prevented from supporting change they know is in the interests of their school and their students because theyre saying this government has inflicted so much pain on us we refuse to do anything that could be remotely interpreted as support for them. Ironically, successful change could be achieved best by opposing the Department: If youve got determined people who are determined to work against them no matter what happens to them you can have an outstanding school.
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For Des Stephens, the school could be made a creative unit of change despite the Departments requirements for change, not because of them. Peter Crouch expresses a similar point. When it comes to implementing school change initiatives at the same time as mandated changes, staff have a ready-made reason to resist: Its very interesting because youre trying to do those changes in the context of the first set of changes where teachers will tell you weve had enough change, were up to our ears in change theres always something coming through the door. So it makes a hard environment in which to make simple, important changes. Changing the Culture All respondents at M inesville report that the majority of staff are content to remain within their comfort zones. They repeatedly mention the number of staff who have remained for a very long time and the number who are former students of the school. These points are seen by respondents to clarify the context in which our discussions of change were taking place. Des Stephens is most emphatic about the static and comfortable aspects of the school: Its a school that hasnt changed, that people have been very comfortable in for a very long time. He goes on to illustrate the predictable and unchanging patterns of the school by retelling the assistant principals observation of some staffs morning routine: some people get out of their car and their feet actually step in the same steps when they walk to school and thats the way theyve done for the last twenty years. This anecdote has symbolic meaning for Des Stephens. For him, that his staff members stick safely to their morning routine transcends a description of the way they make their

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way to their offices or classroom. It indicates their attitude to change and to the importance of their comfort: So for them its not a matter of is it going to be better for anyone, its I dont like this, its making me uncomfortable. An extreme and amusing example which reveals the extent to which some staff do not want things to change at M inesville is the opposition to the government funded refurbishment of the junior campus. Des Stephens explained: I had a core of staff who fought it, who didnt want the government to spend money on the old high school because they like it the way it was theyd rather have it fall down around their ears Thats the degree of threat to their comfortable existence. Peter Crouch describes the resistance to this project as illogical because it was hostility about something that was patently good. For teachers set in their ways, the principals decision to introduce morning briefings for staff at both campuses is seen by Peter Crouch as a disturbance of the staffs comfort zone. He observes, Theyre not happy with this morning briefing, they dont like it. For some staff members, Frank Clarke observes, the relatively close proximity of retirement increases the desire to remain comfortable and to resist change: Theyve spent their life teaching, they think theyve done a great job, they perhaps resent it a bit that theyre being asked to change because theyve been successful they are probably a bit harder to convince about the need. Des Stephens is not confident that he will readily bring into being the culture of success where students and staff will both perform at a higher level. The barrier is the culture. He diagnoses the cultural problem as being a hangover from the previous decade where in hindsight he sees teacher unionism on a spree: I think theres a cultural problem amongst teachers too, that we were all brought up in the heady days of the seventies and eighties when the union

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branch almost ran the school - they should be in charge, nothing should happen unless they approve it, if they dont approve it they shouldnt have to do it its a cultural characteristic of teachers and I dont believe it exists in any other workforce. The ongoing impact of these attitudes on attempts to impose change have already been seen in M inesvilles tardiness in CSF implementation. These attitudes are also behind the surprising reluctance of some teachers to attend meetings: But we are at the stage now where many teachers believe that no one should tell them what to do. I had a staff meeting last week that was very important on the triennial review and I had seven teachers who, after me saying I want everyone there, putting it on the bulletin, we announced it at staff briefing seven teachers didnt come and didnt see anybody. And when you walk around and speak to them at least two of them felt that the principal didnt have the right to tell them to go to the staff meeting. If it was BHP it would be the end of their careers but thats just something that has always existed in teaching. That the principal cant make any decisions unless he or she has been to the staff first and said is this OK? Its slowly changing. Despite the difficulty Des Stephens perceives that he is experiencing in implementing the culture change that he believes is important, he is seen by all other respondents as playing a successful role in developing the culture of the school. Phil Clayton is confident that in Des Stephens, M inesville has the type of leader needed to create a widespread feeling that if a change of direction is necessary then it can be seen by a majority in the school as desirable and to give coherence and direction to everything else that follows. Notwithstanding her comments on dictatorial administrators, Pam Elliott softens her views in this assessment of the principal class members at her school: I think theyve managed it fairly well they work hard at the top and keep you informed. Peter Crouch describes his principal as very patient in his endeavours to bring about significant cultural change. He sees him as a leader with some very good ideas but, because of the inertia of a long established staff, very set in their ways, his success in
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seeing those ideas taking root has been limited to the management team, perhaps the LT3s. Phil Clayton sees Des Stephens as a leader with a sense of vision and the ability to communicate that sense of vision to give coherence and direction to everything that follows. He commends him for exercising his positional authority to intervene decisively when the democratic process loses its way. Frank Clarke, emphasising the teamwork of the principal class, leading teachers and many staff, asserts we are achieving terrific things at our school at the moment. He identifies Des Stephens major strengths as his attitude to staff involvement: Des has a good attitude in terms of wherever possible he does try to get people involved theres heaps of opportunity for involvement.

CASE STUDY 2: EAST HILLS SECONDARY COLLEGE

East Hills Secondary College is located in an outer eastern suburb of M elbourne. It has a very good reputation in its broader community and had an enrolment in excess of 1,000 students not long ago. Nevertheless, competition for students in the district has resulted in a drop in enrolments, hence teachers being named in excess of entitlement and the school's budget remaining in deficit. Bruce Tulloh, holder of a responsibility position for organising the daily student clean up of the grounds, recalls that three or four years ago the school was perceived to be at risk: We had to sell ourselves, if we didn't we'd cease to exist ... The first thing we had to improve was standards. He sees himself in a "key position" to bring about change by modelling high standards in the school environment. Having been an observer of change over his eight years at the college, he believes success in bringing about change has been made possible by the

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combination of good management by administrators and the solid work of teachers such as himself. He said, "I think administration is doing a wonderful job" and he believes that the high "quality of teachers" remaining since the reduction of teacher numbers in the early years of the Kennett government enables change to take place. He asserts that since "the clean-out, people are becoming more positive and more appreciative of change". Other respondents report that there have been positive changes, particularly since Barbara Warren was selected as East Hills principal in 1995. The examples of successful change notwithstanding, each respondent reports that resistance to change is an entrenched part of the East Hills' teacher culture. M aureen Haywood, leading teacher in charge of the English KLA, recalls that when she arrived at the school five years ago she found that it was "so resistant to change that I thought I had come to another world". Although discussing examples of successful change she and others have initiated and implemented, she sees East Hills as being too much influenced by "nostalgia for the good old days" which contributes, in her view, to many staff being "confused, disaffected and more unsettled than I have seen in a long time". Julie Austin is another leading teacher who remarks on the strength of the East Hills' staff's will to maintain things the way they have been. A teacher of Science, her responsibility position is as coordinator of the middle school. As part of that role she was the chairperson of a working party to review the middle school curriculum in the light of the Department of Education policies which require all middle school students to participate in Sport Education and to study a Language Other Than English. This followed a restructure of the Years 7 and 8 curriculum initiated by Barbara Warren.

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Julie Austin describes the staff response to her investigation of the possibilities for a new curriculum for the middle school as somewhat sceptical: M any people on the staff felt the curriculum was just fine. 'Why on earth are you looking into it? Why not leave it the way it is?' Tom Scott, a former year level coordinator and Commerce teacher, identifies two reasons why nothing changes rapidly or easily at East Hills. Firstly, any proposed change is regarded as a "serious business ... (and) the implications ... are considered for a long time before change occurs". Secondly, teacher self-interest and concern about workload may deter teachers from making a change to their practice even if they believed it would improve their teaching and their students' learning. Principal, Barbara Warren, makes a similar assessment of her staff members' reluctance to take up change that may mean more work for them: there would be a small number of staff who would put themselves out for the benefits of an improvement in student learning. The majority would be questioning 'what effect on my workload is it? Anything that increases my workload at the moment I don't want to touch'. Julie Austin's view of the balance teachers would strike between improving their students' learning and their concern over workload is similar to Barbara Warren's: ... If they could see a change was going to benefit the students, without it being an enormous amount of extra work for them, then I think that you would have a lot of support. She goes on to reveal her scepticism about the changes imposed by the Department of Education, "wondering whether the learning outcomes are going to be much different". Nevertheless, she sees the DoE's compulsion as resulting in change but without enthusiasm: ... staff have reached the point now where there's so much to do and morale is fairly low, they just shrug their shoulders and say well 'it's just another change that we'll have'. People have become more accepting because they have to.

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M aureen Haywood believes that the feeling of being compelled to change is much less effective in bringing about improvement in teaching and learning than the approach of the past when teachers voluntarily were "led by belief and by the desire to improve their skills". Beyond the issues of staff self-interest, workload and mandated change, Barbara Warren believes that implementing change at East Hills is difficult because teachers lack the necessary skills and understanding of why change is needed: A lot just don't have the skills to cope ... they're not risk takers, they're not prepared to put themselves out a little bit ... Lack of seeing the big picture would be another reason. They don't see that it's relevant to them. If it's not relevant, 'I don't want to be a part of it'. Also, she acknowledges the powerful and negative influence of "some staff who have been here for so long and don't want to change". In stark contrast to her principals view, M aureen Haywood has great faith in the depth of many of her colleagues commitment to teaching. She believes that the approaches being taken to improve teaching and learning through the implementation of the PRP and the CSF are somewhat too superficial to strike the right chord with teachers' values. She asserts cryptically "don't make me just do tricks" because, she believes, when approached in such ways, improving teaching and learning "is a rather lonely thing to offer people". "We're trying to change the culture a little bit" Clearly the unanimous view of East Hills' respondents is that, by and large, the college's staff members and community value the school's traditions and its capacity to conserve what it has built up during its forty year history more than they value efforts to bring about change. However, change demanded by the Department of Education

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policies have impacted on the curriculum because they provided the opportunity for Barbara Warren to move the school in the direction she prefers in a number of areas. Her view of change is that it is inevitable and what is most important is "how you deal with it". She goes on to explain that for her the priority is "dealing with the people. That's more important than dealing with the change itself". She emphasises that change requires "the team approach, not one person doing it". For Barbara Warren, teamwork is both a means to achieve change and also an end in itself. Teamwork is the concept which describes the very culture change she is seeking, with some degree of success: it's the team approach, not one person doing it. When I first came in here it was writing a charter ... well, a team was set up but in the end it was me doing a lot of the writing ... it's happened through a change of personnel ... (we're) getting a different team dynamic now. But to bring about a transformation to a team based culture would be

... a culture change for them, just the terminology and people being seen to be doing things and enjoying them as a group too. Despite her desire to bring about teamwork, Barbara Warren gives an example of modelling an energetic, hands on and individualistic willingness to bring about change which she supports: ... one of the P.E. teachers said, 'we really would like a weight training room, we've been thinking about it for ages' ... and I did a fundraiser, $5,000 to buy the equipment for it ... I did it and I had a bit of help from a few other people but it's a matter of getting in there and go, go, go and not stopping. Such inconsistencies reveal the human side of change. Barbara Warren talks about "trying to change the culture a little bit" in the context of explaining the benefits derived from a major refurbishment of the college. She insisted that staff abandon their dispersed staff rooms and be re-located in one common staffroom to improve communication. The exercise involved political and

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people skills because the goal of creating a new environment where better communication may occur was not achieved without some resistance and resentment: that was a change that some didn't take too kindly to. Barbara Warren counts this as a qualified success, limited by the unwillingness of some staff to see the benefits because they have been here for so long and don't want to change. Barbara Warren is keenly aware that externally imposed change provides a means to achieve her ends. Her belief is that without the DoE required change there would have been no shift in the culture at all. She believes that without changes such as the PRP with its annual review of teachers, her staff would have had a mind-set which she summarises as "come to school, teach my class, go home". She asserts that this is why she believes "it's important to have some external directives and accountabilities". Through her experience, Barbara Warren has found that at East Hills successful change can only be achieved by carefully managing the micro-politics: Political nous, know who to lobby, who to get on-side with various things that's very important around here. The importance of success in micro-politics went beyond gaining cooperation in implementing one specific change, it was a part of bringing about a shift in the culture that Barbara Warren identified as vitally important. Prior to her appointment, the administration of East Hills was conducted with the input of a strong Local Administrative Committee (LAC - a representative committee which made recommendations to the principal on matters related to teachers' working conditions). A member of the LAC chaired staff meetings and business was conducted according to formal meeting procedures. Barbara Warren recalls that she acted decisively to abolish

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the LAC and establish a model of decision making which sought consensus rather than the deciding vote: This was a fairly political school. When I came in here the first thing I did was say 'We don't have a LAC, we have a PAC (Principal's Advisory Committee) and there are no union elected people on this' ... It was following on from the memo we'd had from the DoE - since Jeff's been in 'we ignore the unions' has basically been the line ... M y PAC is 'let's talk about it - do we have consensus? We don't have motions, we don't need to and that's the style that I prefer. For Barbara Warren, changing the decision making mode was part of the larger task of cultural change but other respondents interpreted this success more narrowly as a measure of her political skills. Julie Austin thought it was a "battle of wits" between the principal and the union branch executive. M aureen Haywood admires Barbara Warren's political skills. She saw her confidently change the formal committee structure to her liking and skilfully use informal structures which she calls the "other hidden management system": She is astute in herself, (to manage) the committee system and to meet all the multiplicities of argument that might be raised there to get assent. She will use the other system as well and know that it goes on. Tom Scott also admires Barbara Warren's capacity to use her people and political skills to effect change: Barbara is an excellent manager, very astute and very business like ... She's got the ability to see the change, see the best way to implement it, to get people on side and to see an efficient plan of implementing it with a suitable timeline. Barbara Warren's description of how she used the committee system to complete the successful restructure of the curriculum Years 7 - 10 provides an example in action of the qualities described by others: We asked staff to put in suggested models and so we have a range of about ten suggestions. On the basis of these suggestions we then went through and discussed the pros and cons of them at the curriculum committee. And that went back to staff. It was again put to staff to consider and gave the
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opportunity for further input from staff and then a final recommendation went from the curriculum committee to our Ed. Committee and through to Council. She had started out with the stated aim of finding space in the curriculum for Sport Education while her additional, unstated goal was to provide a more balanced curriculum by reducing the disproportionate emphasis on home economics to make way for graphic communication and drama. Unanimous credit is given by respondents to Barbara Warren for her success in the management of change by using her excellent people and political skills. However, there is no evidence in respondents' accounts that there has been any significant movement towards enhanced teamwork in the school's culture. On the contrary, one respondent gives a description of a culture which is clearly bifurcated, with administration and teachers distinctly separated. Julie Austin's view of the hierarchical nature of the school culture reveals that the teamwork notion is a long way from reality: The admin. (principal class) is seen as being divorced from the rest of us. So there's a fair division between the admin. and us. And obviously the admin. are the people who have the most power to make the change because ultimately Barbara's the one in the position to say 'yes' or 'no'. The respondents perceptions of identified barriers to change are discussed in the next section before concluding the case study with an outline of the values and vision of East Hills' respondents which may suggest the opportunities for renewal in the future. Barriers to Change

The above discussion of attempts to 'change the culture a little bit' revealed that the East Hills culture is a strong barrier to change. Respondents were eager to outline in detail other barriers they perceived to bringing successful change.

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M icro-politics: Resisting Change in an Organized Way The East Hills AEU branch is seen by M aureen Haywood as representing "a very strong union movement that fights tooth and nail against change". Julie Austin describes how the branch retained representation on Barbara Warren's PAC: Now we're a very strong union school here and they didn't want that (PAC replacing LAC) at all; they wanted it still to be an LAC ... Barbara put up the nominations and the union had a meeting and they put in a ticket. They were resisting it. So they said 'we'll make sure that we get our four people on it - we'll only have four nominations and everybody will vote for those four people and therefore we'll have a ticket on'. So I guess that's resisting change in an organized way. One respondent, Bruce Tulloh, an AEU member himself, resents this approach: ... there is that political group. Now they will manoeuvre and manipulate numbers so they will make sure that their ilk or whatever, their people, are on key committees and they will play their game. Julie Austin explains that there are groups other than the AEU to contend with in bringing about change: The school manages the change as well as it can given that this school's got a lot of diverse opinions. It's got a fairly strong AEU and then fairly strong groups that aren't AEU. I mean there are a lot of politics going on here. Bruce Tulloh, who is perhaps the respondent who most closely identifies with Barbara Warren, sees destructiveness in the tactics which curb her agenda by resorting to personal as well as political attack: The worst way to knock change is to kill enthusiasm and it can be done through political means and it can also be done by innuendo - that is rampant, it was rampant at East Hills I'm sorry to say. When asked how change was resisted at East Hills, M aureen Haywood unleashed a flood-like description of malevolent and hostile tactics she has seen used: they can join together to make a disaffected group and say 'well you may say but we're not going to do that and we'll point out as many ways as we can not to do it and how flawed the idea is so they won't see the forest for the trees, they can white ant it, create rumour and gossip and disaffection of all sorts. That's
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done by being nasty and also by being very nice ... Other ways is to do it unwillingly so it doesn't work ... by appealing to a higher authority, what youre doing is quite wrong by getting in the union, well if you don't do this the big stick approach - you're going to get a whack behind the ears because I don't like it, by becoming ill and retreating - they say 'I just can't cope any more'. By leaving ... Finally, Julie Austin describes the passive resistance some staff have offered to avoid involvement in the DoE changes to manage teacher performance: People can refuse to do it. People can be very resistant to doing particular things. Some of those PRP programs and those sorts of things, people just resisted to a certain extent. They've just said 'I'm too busy, I'm just not going to do it'. Workload and Comfort Zone

East Hills respondents report that the widespread staff perception that they are overburdened with work is a very strong barrier to initiating and implementing change at East Hills. M ost respondents comment on it. Tom Scott observes that "in the last five years, the amount of work that is required of teachers has grown enormously". Barbara Warren believes that better teamwork would reduce workload but concedes that the reality at East Hills is that "the workload issue is another reason why a lot of people resist change". Julie Austin emphasises that "change always means extra work" going on to explain: ... even though the benefits at the end may be positive the immediate impact of the change is 'look at all these things I have to do - I have to write submissions and whatever'. M aureen Haywood comments on the same teacher concern with workload but in a kindly, humorous way: ... they're mostly involved with sort of soldiering on and saying, 'Oh dear, look at the workload. Don't say another thing. If you bring in one more change I'll die'.
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The barrier of teachers not wanting to move outside their comfort zone is mentioned by two respondents as a feature of staff attitudes at East Hill. Barbara Warren sees that staff resist doing something "different to what they've been doing for years and years - so it's the comfort zone bit". She links this to a "fear of the unknown" and not "being aware of actual outcomes" as reasons for resisting change. M aureen "unpacks" the meaning of needing the security of the familiar comfort zone in this way: They may resist it because they don't like the person who's bringing it (change). Their world view differs from the other person's world view so therefore everything that that person says is necessarily wrong ... they may see that it's not in their interests to do that ... spoiling their chances of promotion. A very small view rather than a global view

Whereas some respondents are passionate about the vision and values which would sustain educational change, Barbara Warren perceives too many staff's inability to see the "big picture" as a strong barrier to change: ... they don't see that it's relevant to them, 'If it's not relevant I don't want to be a part of it'. So just a very small view rather than a global view. Vision and Values Whereas the failing to see the big picture is identified as a barrier to change, East Hill respondents are emphatic that it is very important for the school to have a vision to guide the future of the school and to clarify what is valued. These are seen as crucial factors in enabling change. However, their perceptions reveal that the domain of vision and values in a state school is elusive territory. Respondents see the struggle to make meaning of change is crucial because most members of East Hill staff see only confusion and uncertainty. They refer to the way teachers have been thrown off balance by change. Tom Scott feels that "the rapid changes that have occurred have created uncertainty both in the community and in the schools themselves". M aureen
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Haywood's experience has been that Victorian state schools have been broad and tolerant institutions where "people were used to holding their own values in a multivalue system". Her feeling now is that the pace of change is a threat to this "broad church" because it "is enforcing a value system on people. The DoE has a particular view which reflects the government view". She fears that this view will not sustain teachers' aspirations but instead "it's destabilising and upturning all sorts of things, so you can't see the motivation behind it". Worse still, she is concerned that the motivation may be neither good nor bad but "only coming out of muddle". She sees it as the principal's role... ... to unpack where this confusion is coming from because people seek for a firm consistent ground on which to bed their values. Barbara Warren undertook this role when she first arrived:

When I first came here, at my first staff meeting I said 'look, there is where I see things are and these are he sorts of things I want to do in the next short term'. And then developing the first charter in the next three months that was basically telling them what the vision was with regard to the school. As time has gone on, Barbara Warren perceives herself as having used the charter implementation and annual review processes to establish "consistent ground". When people came to talk about their annual review they had to indicate one aspect of their work which linked in with the three priorities of the charter. The response from the staff was revealing. By and large they neither knew the charter priorities nor had bothered to file a copy of the charter itself, as revealed by Barbara Warren's amusement at the "number of copies of the charter that we had to run off - it was incredible". However, she was pleased at the positive comments from some staff, such as, "I'm glad you included that because it gave me a chance to realise... where we're going, to get this common understanding.

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The charter is identified by four respondents as being a very positive aspect of the change agenda of the school. (The transcript of the interview of Tom Scott shows that the question about the charter was omitted.) Bruce Tulloh believes the charter has given the school direction and strengthened its identity. Julie Austin refers to the charter positively as a "three year plan for what we're trying to do each year". She reflects that "hopefully we're all heading in the same direction". M aureen Haywood emphasises the way the charter encouraged reflection, sense of purpose and accountability: ... it made us really think about the vision of education which probably lots of people hadn't thought about before. The priorities give us a sense of purpose to drive us forward ... It's a way of drawing the dichotomy of values together and saying 'do we all agree that this is the important thing - let's do it'. ... We have to be accountable to ourselves. M aureen Haywood's confidence in the shared ownership of the charter reveals an area of progress which has been achieved since the arrival of Barbara Warren. However, Barbara Warren still tends to think that staff are only willing to change because of DoE mandates: I really want staff to see that (if we're going to make a change) we're doing it for good reason. Still predominantly it is seen as 'oh well, the DoE says we have to therefore we will.' That the charter has been transformed from a document in which the principal "was basically telling them what the vision was with regard to the school "into a document "which gives us a sense of purpose to drive us forward" shows East Hill has an opportunity to overcome its formidable barriers to change and to grow so that "accountability to ourselves" might become the agreed measure of success.

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CASE STUDY 3: PORT CITY SECONDARY COLLEGE

Located in a most beautiful setting, adjacent to a proud provincial city's botanical gardens and a short stroll from a serene bay seascape, Port City Secondary College is also blessed with plentiful Year 7 enrolments and a proud tradition. However, it is beset by a culture which has been split by deeply entrenched conflicts between administrators and staff and between fighting groups of staff for a decade or more. Each respondent affirms the strength of the established culture but also reflects on some small yet significant opportunities for the school to move towards overcoming the conflict, conservatism and complacency that respondents perceive have marred many change efforts to date. Only four respondents were interviewed for this case study. The unanticipated pressures of the day made one respondent unavailable on the two occasions that the researcher visited the school. Brian Clarke, daily organizer and timetabler, has been at Port City for twenty years but is still not regarded as an "old timer" by those who have been there longer. Throughout his interview responses he gives the impression that while he is not, as he says, "overly worried about change because I know it's going to happen" he gives the impression that he has perhaps seen enough of it, pointing out that "often we're being asked to re-invent wheels which we invented years ago." He is bothered, however, by the entrenched, irrational micro-political eruptions which occur whenever a change is mooted: The staff at this school has been polarised for as long as I can remember when a change is introduced if one group is for it you can be certain that the other group will probably be very sceptical ... being for or against a change has nothing to do with the change itself.

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Bill Rogers also comments on the persistent barrier to initiating and implementing change that these groups represent, describing the situation as "a real challenge for principals to try to bridge the gap - it's very, very difficult". Brian Clarke reports that the same antagonisms have coloured group responses to the present and the former principal: There are some people who are disaffected with the current regime who were not disaffected previously - the roles seem to have changed. The examples he gives of his contributions to re-working the first charter and re-writing the school's Information Technology courses suggest that he has contributed positively to change in the school and avoided being engulfed in the conflict between the fighting groups. Working for a time as a regional curriculum consultant, Bill Rogers has gained experience in bringing about change in schools and insight into the problems of change across a wide variety of settings. Currently the V.C.E. Administration M anager, he was excited by the re-structure of the curriculum at Year 10, an initiative that he had a large part in shaping. Kerry Bannister praises the work Bill Rogers has done to gain acceptance of this initiative, describing it as radically changing the way in which the senior part of the school can be approached because it will open up the doors. It breaks the program into twenty-four units ... with seven units of total free choice... to cater more for individual differences. The student-centred spirit of this curriculum re-structure is indicative of Bill Rogers' personal stance on change - if "the purpose is to improve student learning" he will be for it. However, he is acutely aware of the barriers to change at Port City and speaks in very grave terms about the schools upheavals over the last five years when there were traumatic things going on. People virtually at the point of breakdown.

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Perhaps he has avoided being embittered by these struggles at the school because he shares the values he attributes to all teachers who survive and persevere - (they) are in it for the reward of seeing the kids growing and developing, and getting positive feedback (from them). Kerry Bannister shares with Bill Rogers the experience of having been a curriculum consultant employed to bring about change across schools. He is also an influential and long standing member of the Victorian Association of Teachers of English. He is passionate about the need for change at Port City. Of all this project's respondents, he is one of a small number who articulate models of change beyond those experienced from working in the Victorian state education system. His ideal educational institutions are A.S. Neil's 'Summerhill' and Black M ountain College in the United States which, he explained, was the model for Deakin University's Faculty of Arts in which he is enrolled as a postgraduate student. While the strongest theme that runs through his responses to interview questions is his wish that his school would abandon what he perceives to be its conservative consciousness and culture, he speaks most hopefully and realistically about information technology as the way forward for the college. As a user of a laptop computer at school since the early nineties, he has endeavoured to be a role model in this area and currently is a member of a committee to make recommendations on infrastructure for the college's learning technologies plan. His vision is of replacing an array of portable classrooms with a learning technology centre to be used to enhance learning in all areas but with a special emphasis on the learning of languages. Russ Perry became the principal of Port City Secondary College at the beginning of the 1996 school year after extensive experience as principal of a small,

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remote secondary college in the western district. Aware of the culture of the school and its history of conflict, Russ Perry commenced his principalship cautiously by trying to gain an accurate sense of his new colleagues' views of the school and the issues they perceived to be important. He invited all members of staff to make an appointment during his first months in the school for them to air their thoughts on the school. His second initiative was to review and replace a reporting system which, in requiring the provision of topic reports twice a term, was widely regarded as excessive in the demands it made on teachers' time. While careful to avoid criticising those responsible for its introduction, he did allow himself this comment: It was definitely an overkill ... the workload was just horrendous. Teachers were focusing on weighing the pig rather than fattening it so they've got something to weigh. Russ Perry believes that in the eighteen months or so that he has been principal there has been some improvement in the culture of the school: ... we're managing to change some things positively within the school because we're getting people to have a more common and trusting view on things. He is looking forward to the opportunities he believes the second charter will provide for him to establish a shared vision for the school. Interestingly, in relation to change he sees himself more ready to be a buffer between the school and system than in the past: I don't do things quite so automatically now. I think that in the SoF structure, where the onus of responsibility is so much at the school base for decision making, that I think we can afford to be a little bit reflective about whether a decision ought to be this, that or the other in regard to change that is expected. While Russ Perry is determined to move the school in a direction of positive change he states his preparedness to be selective about changes to be taken up. He believes it is important to only pursue change which will make "a purposeful and meaningful and

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supportable change of direction". Applying this standard to the process of writing the new charter he aspires to establish "ownership" so that we'll get behind one another and make sure that the outcomes we wanted at the start are going to be achieved. All respondents make it clear just what a difficult and important undertaking this is. They agree that making a break from the dominance of the past is the key. We keep referring back to that as a model

While Port City Secondary College's reputation brings it considerable benefits, respondents are more aware of the damage done by the dominance of the past. In terms of enrolments, its history and tradition are drawcards. As Brian Clarke points out, many parents and students choose it over schools which have better resources in areas such as information technology but questions the school's capacity to meet their longer-term expectations: You'd wonder how can we meet the expectations of parents and students if we can't fund many of these things (which other) Port City schools that have students from disadvantaged areas have. ... That enables them to get funding for equipment that we couldn't get. Port City Secondary College is one of several state schools that families living in this provincial city could choose. There are also several very highly regarded nongovernment schools. Despite the success of the school's maintenance of enrolments in this competitive environment, respondents are dismissive of its reliance on this image because they see it as a camouflage for what they see as the school's realities and weaknesses. Although thriving on it, this backward looking image is perceived by some respondents as a cost not a benefit. Kerry Bannister sees the school involved in manipulative marketing by "shamelessly trading on our name, the uniform, the badge,

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everything else like that". He sees the school's dependence on the vague nostalgia for a lost golden era as preventing positive change: We have this image of Port City as it was in Hugh Porter's day (principal 19661980) or in somebody's day in the late fifties or early sixties, maybe even the early seventies, and we keep referring back to it as a model. Brian Clarke believes that the school's reputation is based on "community misinterpretation of what really happens here". As an example, he cites the community's belief that "we're a law and order school" which he perceives to be inaccurate. The criticism of the school's use of its past goes much deeper than the accusation of manipulative marketing. Kerry Bannister is emphatic that the past sustains a mind-set which makes for an environment in which change is resisted: ... it is a very spirited, dogged and retroactive sense of reacting to change. Change is seen as something bad, it's seen in moral terms as being something bad. He narrates a substantial list of examples of changes which have been opposed on moral grounds: sex or health education, the Victorian Certificate of Education and Curriculum Frameworks. He argues that the origins of these views are to be found in the fundamentalist religious views held strongly by some community members and some staff. Prior to the nineties, Port City Secondary College was regarded by principals as a good school to retire to. Kerry Bannister reports that Hugh Porter said as much in his farewell address in 1980. The experience of the two principals involved in implementing the 'Schools of Future' program shows that it is now no place for a principal who wishes to serve out his or her days mentally preparing for retirement. The fate of Rex Forster, the principal before Russ Perry, looms large in the accounts of

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respondents and his presence is still influential on the school culture two years after he had left the school. Rex Forster went into Port City with a sense that he had a mandate to implement the Department of Education's agenda for change. The result was disastrous. As Kerry Bannister recalls: The school as a whole - that's parents as well as staff, even some of the students - reacted extremely negatively. The reaction was so violent that it eventually destroyed the principal, M r. Forster. Bill Rogers, recalling the principal "trying to impose change in line with the DoE requirements" explained that "people couldn't see the point of it and were digging in their heels and that was causing conflict". The members of the Port City Secondary College community went to extremes to subvert the changes proposed by Rex Forster and the group who wrote the first charter. Bill Rogers account of the conflict going out into the broader community is vivid: The wider community was being used to white ant change in the school ... talking to people outside saying 'this place is falling apart, they're trying to do this and it's stupid'... That external network was being used to undermine the situation, undermine the school basically, including the leadership. Respondents report that a number of strategies are employed by Port City Secondary College people to try to return to "that model" or at least prevent further change. Resistance comes in terms of attacks on the person. Kerry Bannister remembers indignantly how his attempts to model use of the new technologies by using his laptop at school brought his conduct into question: I was hauled into the principal's office 'Some teachers have accused you of doing your private work on your lap-top in class'. I was totally shattered.

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Snide comments are hurled at the person trying to bring in a change. Kerry Bannister reported the very pointed comments he faced when he began using his lap-top computer at school: ... 'isn't handwriting good enough' or 'why don't you get Lucy (in the office) to do the typing?' In addition to the direct resistance to change, issues of workload, working conditions, organizational problems, the climate of mistrust, curriculum problems and the retreat from involvement beyond the classroom, all provide barriers to implementing change at Port City. Committed as he is to change which will benefit student learning, an increased workload tempers Bill Rogers' enthusiasm somewhat: If I can see the value of change, I'm comfortable with it but, at the same time, change will always mean more work too and that's probably the biggest change, is the workload. That's just gone up in the last three or four years significantly. Basically we're trying to keep running at the same rate with fewer staff, everyone has to work harder or smarter - and we haven't got the time to work out how to work smarter. Related to workload, working conditions are an issue which frustrate attempts to bring about change at the school. Brian Clarke gave an example of a plan to provide more time to form teachers to undertake pastoral care with their form groups. It could not be implemented with enough time to achieve its aims because to do so would have required teachers to go above an agreed number of minutes per week of face-to-face class contact time. Another reason identified as an obstacle to successful change initiatives is the inadequacy of organizational structures. Russ Perry is pleased with the way the expanded curriculum is working but believes that the overhaul of the organizational

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structure has not gone far enough - "I don't think I've got the structures in place to be able to achieve the changes in a variety of areas". Although respondents recognize that the examples of successful change at Port City have mostly been in response to DoE requirements, it is also true that imposed change in the case of the Annual Reviews of teachers provoked a response of great suspicion. Although they were a DoE requirement they were perceived by some to be an invention of Russ Perry: Some people thought this is something dreamed up by me as the new principal as a means of pulling things into line. Certainly obeying the mandate to introduce Sport Education at Year 10 turned out to have a very negative impact on the carefully prepared introduction of the opportunity for acceleration of some students at that year level. A team of three teachers, including Bill Rogers, had introduced a well researched and carefully structured program to provide access to VCE studies for Year 10 students who were ready for this challenge. Bill Rogers explains how the program was undermined:

Why did the Year 10 program fall apart? It was the introduction of compulsory sport. Putting all the Year 10s on a block for a double period for two periods on two afternoons a week, immediately created logjams in the timetable. So the previous arrangements just couldn't be done because there wasn't the flexibility to move them around. There is the irony that in a school where very little has changed, an externally mandated change overtakes a quite rare local initiative and destroys it. The final obstacle to change identified by respondents is the large proportion of staff within striking distance of retirement who have retreated from any significant contribution to the school beyond the classroom. Bill Rogers explains that people in this group do not wish to take on any organizational duties:

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... disappointing ... where people my age or older who've got ten years or less say 'well, I'll just teach, blow all this organization'... It is a form of resistance but it's also a case of people saying 'I've had enough'. Despite the strength of these obstacles, respondents identify a number of signs of the potential for renewal at Port City. A better functioning, better performing school

Russ Perry describes his overriding purpose as the principal of Port City Secondary College as creating a "better functioning, better performing school". His first step towards that end was to seek an understanding of the culture of the school and its relationship with the past. He is very mindful of the background although he describes it in quite neutral language, simply stating that "there'd been a fair degree of mistrust between the staff and the previous administration and some division on the staff". However, he gets closer to the intense nature of the conflict when he refers to the first charter's "fiery baptism" which has "probably jeopardised its outcomes". In the fate of his predecessor, Russ Perry has good reason to reflect on the history of conflict in the Port City school community. From his round of informal discussions with most members of staff and experiencing the ongoing effects on the culture of the school from Rex Forster's era, he concludes that over the period of his principalship the staff became ambivalent about him. The staff were simultaneously dependent and hostile. Other respondents provide details of the unfolding of the relationship between Rex Forster and the school community. The closeness of his supervision is described by Kerry Bannister as a reason for the resistance of the change he stood for: There was inherent resistance from the school community to being told 'this is how we're going to do it'. People were used to drifting along, to not having their books checked and things like that. That general sense of responsibility and

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self-sufficiency whereas M r. Forster was saying 'wait a second, we've got new marching orders from the DoE, this is how we must do it ... In discussion of his own reluctance to do what his predecessor did and supervise teachers as they line up their classes on the asphalt marked out for that purpose, Russ Perry perceives that the staff attitudes to Rex Forster were, by the end of his time at the school, a mix of "great resentment and also great acceptance". Both in spite of and because of the years of conflict, Russ Perry finds, somewhat paradoxically, that ... staff members look to change directions being set probably by the principal more than anything else. I suppose the context is that they're used to being told what to do and they go and do it ... even though they didn't like it much ... great resentment but also great acceptance. Despite his belief in the professional responsibility of teachers, he has discovered that at Port City unless there's that supervision and a rap over the knuckle then it doesn't happen and teachers arrive when they care to arrive. That's an issue I've got at the moment. The diagnosis of simultaneous "acceptance" and "resentment" is borne out in the way some other respondents analyse the school's potential for change. However, respondents have a range of views on the capacity of individuals to effect change and the capacity of the school to change. Some see the top-down experience of change over recent years as an inescapable model while others see opportunities for a broader approach. Kerry Bannister is convinced that, given the culture of the school, through the hierarchy is the only way that change of the scale that is needed is possible. He is admiring of the efforts of both Rex Forster and Russ Perry to bring about change: ... (over the past five years) the only direction has been provided by the previous principal who courageously attempted to implement DoE policy and the present principal who has come in to manage the process of change.

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When asked to consider the capacity of his school to be the responsible unit of change, Kerry Bannister responded dismissively: ... it would have turned its back basically to the world and would have said we taught this way twenty years ago, or whatever, we will continue to do this because this is a moral good. He believes that the capacity to promote change is confined to members of the organization who have formal power: This school is like the Catholic Church, it is not a democratic school. The staff forum is lame, any exchange of views - well, there's no real exchange of views at all. Russ Perry's experience at the school supports Kerry Bannister's view because he has found that the change that has happened since his appointment has been of a top-down nature: ... most of the change that we have responded to has been as a consequence of DoE initiatives... In my view, it's fairly much a hierarchical thing - I suppose the lead has to come from the principal, the assistant principals pull in behind that, leading teachers support the change process more so than teachers whose work is essentially classroom focused though they need to be part of it because they're going to be key implementers. However, this is not the state of affairs he aspires to in the long term. He expresses a firm commitment to using a more inclusive approach in developing the second charter over the next year and a half: ... whereby everyone will feel that they've had a very important part to play in developing the direction of the school in the future and that there is broad ownership of what the charter says about the school's mission, its vision for the future, Alongside the task of establishing this "broad ownership" is the need to ensure there is a legitimate function for dissent so that values can be contested and agreement reached. By asserting that change can be constructively challenged he suggests a framework within which ownership could be developed:
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Some people will challenge, which I think is actually constructive - to challenge the purposes of change and the reasons why there should be change ... they're trying to rationalise in their minds that it is something that's worth changing in their teaching life. The other opportunities which respondents identify as possible signs of potential for growth in Port City's culture concern attempts to focus on improving the core business of learning. Kerry Bannister's advocacy of gaining the infrastructure for sophisticated learning technologies is passionate. So is Bill Rogers' commitment to a better curriculum at the middle school even if the access to VCE units has ceased. The focus on teaching and learning has also been addressed at the organizational level where Russ Perry has taken the unusual step (for Victorian secondary colleges) of appointing learning area program leaders as "key student management people": The simplicity of my argument is - if you're teaching kids well, they're learning what they want to learn, they're motivated towards learning, they're not going to muck up. This structure was presented to staff and gained support. Although many of his responses have reflected the traditional Port City hierarchical way of doing things, a contrapuntal theme of participation and collaboration is also there: ... the ownership principle ... I don't intend for anything to come out without broad consultation. Perhaps this is the central contest to be resolved both within respondents and within the Port City culture.

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CASE STUDY 4: SOUTH BEACH SECONDARY COLLEGE

South Beach Secondary College is located in a middle class peninsula suburb south of M elbourne. Respondents provide a story of a school which is very confident of its capacity to improve, organized in its approach to planning change, persistent and focused in its effort to bring about change, and proud of what it has achieved to date. They report relatively little resistance to change. South Beach competes for enrolments with several government and nongovernment schools, many with excellent reputations. The way in which respondents perceive the school differentiating itself from these schools is important in clarifying what South Beach stands for. Although the principal, Terry Lincoln, is aware of competing against all the schools in the area, it is one neighbouring state secondary college that is most clearly identified as the competition. This rival has built a strong reputation over many years. One of the initiatives that it is now most well known for is its students notebook computers program. Over the years that this competitor has been establishing this reputation for itself, South Beach has taken a quite different direction. Ian Blue, leading teacher responsible for accountability processes and charter development explains:

It takes a lot of courage to say 'no, we're not going down that path', like we've done with lap-top computers for instance. Our neighbouring school has said every Year 7 kid will have a lap-top and they think that provides a lot of kudos for them in the community. You know, 'why hasn't South Beach got lap-tops?' Well, we just tend to think that it's a bit of a gimmick and doesn't really improve the teaching and learning that goes on in the classroom and our focus is on the human side of education which is developing the expertise of our teachers. ... For us the crucial factor in education is the relationship between the teacher and pupil and we make that a really strong emphasis.

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As well as building supportive teacher-student relationships, the 'human side of education' at the heart of the school's change efforts includes valuing teaching and learning which utilises our multiple intelligences. The data for this case study were collected in the months following the launch of an ambitious change process focusing very directly on teaching and learning. This change process is called here the Learning Community Project (LCP). It involved all teachers and administrators of South Beach Secondary College and those of three other secondary colleges. The launch was in February 1997 and involved facilitation by education consultant Julia Atkin. Her work has two main aspects. Firstly, she has developed a contemporary learning theory she calls Integral Learning from Ned Hermann's whole brain theory. Secondly, she emphasises the critical importance of a positive relationship between the teacher and learner as a foundation for maximising learning outcomes. Both are central to the LCP. M embers of M onash University's Education Faculty have been involved from the start with South Beach teachers in designing evaluation instruments to test the success of the LCP over time. Ian Blue provides a concise explanation of how the college became aware of Julia Atkin's consultancy and its orientation: A few of us had been to conferences where (she) had spoken about learning styles and teaching styles, in particular with regard to the Hermann Brain Dominance Inventory - the four areas of the brain and how to access those in your teaching and how to help students access those in their learning. Having seen the response to Julia Atkin and her ideas taking shape at South Beach in the LCP, Ian Blue strongly endorses the staff's willingness to become involved in change: So we've got the good idea syndrome working in everybody's mind whereby staff want to use an alternative teaching approach and they want to explore the students' learning in different ways.

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Terry Lincoln is also very enthusiastic and optimistic about the potential benefits for students of the LCP: It should engage more kids, it should provide us with a broader band of ways of doing things, a number of broader approaches to deal with different kinds of kids and their needs ... we need to provide more diversity of opportunity for kids - so that's what we're moving into ... and I'm delighted by the whole thing. Likewise, assistant principal, Don Blackney is very supportive of the work in progress on change at South Beach describing the "positive" environment for change in contrast to schools in which he has worked with a "static quality (which) quickly becomes stagnant": (By) dealing with change constantly what seems to have happened ... is a ferment of ideas, much more looking outwards, much more working with each other, much more looking at how to solve a problem, how to achieve a task rather than how to lead a comfortable life. A teacher of Literature, he likens creating change planned by the school while simultaneously implementing change mandated by bodies external to the school to writing a poem in the form of a sonnet: The sonnet is a tremendously creative form but tightly constrained. Now I think that the constraints that are put on a school - things like the CSF, things like VBOS requirements, various rules that governments bring down - all of those tend to give that structure within which creativity can flourish. Don Blackney explains that the way South Beach deals with these constraints is "to work hard to put the school in control". He believes that for successful change it is essential that staff feel "that the change is controllable by the school and ... that there is a purpose to it". While proud of the South Beach's achievements in change he sees opportunities which need to be more vigorously pursued beyond the scope of the LCP, in particular increased participation in Vocational Education and Training (VET) programs.

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Patricia Vincent, leading teacher responsible for staff professional development, is the respondent with the shortest length of service at the school. She believes that this places her in a position to offer a fresh perspective and one which is likely to be somewhat different from the other four. She expresses some quite marked reservations about the pace and quantity of change she is experiencing at South Beach. Although her endorsement of the LCP and the principal's leadership in initiating it are fulsome: ...(it) is enormously valuable change and Terry took very much a leadership role of 'this is what I think we should do, what do you think?' she is quick to point out her reservations:

... the thing that's starting to frustrate it is it takes a fair bit of time to plan and deliver a curriculum that takes into account the four learning modes and as soon as you get constraints of time you start to cut corners and not do things properly ... then the impact starts to fall away. Her concerns about change go beyond the problems in finding the time to implement the LCP. The quantity and rapidity of change from inside and outside the school troubles her despite a generally affirmative attitude to change: I tend to think of change as a positive thing, as a form of growth, but I think that the amount of change and the pace of change without time to consolidate, it's really becoming a dirty word. M ore specifically she draws attention to the difficulty of dealing with the routine demands of school life and change: M anaging change on top of managing the normal life of the school is becoming enormously difficult. Finally, she complains about the efforts of the school's administration to hasten the provision of access to VET programs for students: That's an example of this sort of ahead at full speed, more and faster is better that philosophy I'm finding is wearing and I think it needs to be challenged.
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The difference in the views expressed on the implementation of VET by Don Blackney and Patricia Vincent suggest an incipient conflict over the implementation of curriculum change on the leadership team. Barriers to Change

The pressure Patricia Vincent feels as a result of change identifies one potential barrier to change at South Beach. However, other respondents who refer to the pressure of change experience it as providing opportunities to promote change. Although their effect in slowing the change agenda is perceived as slight, respondents do identify three barriers to change: the dispersal of staff to nine scattered staff rooms, the negative attitude towards change of some teachers and the negative response to imposed change which is incongruent with the school's values. Of course, from the point of view of respondents, setting up barriers to change opposed to the school's values is seen as a good thing. South Beach teachers are located in learning area offices. Terry Lincoln jokes about the difficulty of communication at the school because of the "nine Baltic States". Compared to previous schools, Patricia Vincent reports that this feature of the lay-out of the school makes it "... less collegiate in a sense". In terms of the key concept of the school as a learning community, she identifies a significant detriment in the lack of contact among staff from different learning areas ...so there's no continued knowledge about what's an issue in other areas or what one area might be doing that might impact on another. Some South Beach staff have negative attitudes to change which set up some barriers to implementing the agreed direction of change. Terry Lincoln points out that "the staff of this college are of an average age in the upper end of forties" and asserts his view

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that "they would find change to be more difficult than many other staffs". However, the group who are more focused on their impending retirement than looking to advancing the school's future is relatively small, according to Ian Blue. He estimates that although they make up no more than ten per cent of the staff, " they are a group of people that we recognize is going to be very difficult and near impossible for us to inspire to change". Judy Cook, leading teacher responsible for curriculum implementation (a broadly administrative role including daily organization, timetable and staffing), sees that the members of this small group of staff are hankering after the less arduous work life which they perceive to have existed in the past. She believes they aspire to be "8.30 to 3 o'clock teachers. They're trying to protect the easy life that doesn't exist in teaching anymore". Terry Lincoln believes that the solid success of the school over many years is a reason for some to ask "well, why do we need change?. Judy Cook sees that some have gone beyond complacency and rationalise their unwillingness to work hard to develop new approaches as a reason to be dismissive of Julia Atkin and the LCP: So it's presenting them with some more work, it might in the long run be totally beneficial to them - make their life easier - but if they've got to put that initial effort then they say 'oh no, she's talking rubbish'... The strongest complaint about negative staff attitudes to change is made by Patricia Vincent. The examples she cites are forms of passive resistance. Some staff "just don't do things that they're required or they white ant". What she finds most offensive is the use of humour to deride change efforts: There's a lot of cynical humour - humour can be very destructive against change ... (referring to protect, nurture & grow) ... some people will start to sling off at that and anything connected with it, the humour will bubble.

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Despite the positive attitude at South Beach to most external change, when something required by the DoE clashes with the values of the school it is a different story. The DoE's system for performance management for principal class officers and leading teachers is the best example. Patricia Vincent expresses disgust with it because it was "imposed without any consultation with the staff involved". She goes on to comment that most people expected to do performance plans " ... absolutely despise the time it takes to go through it for the benefit it produces". Other reasons for resisting performance plans are mentioned. Don Blackney believes that those involved feel "uncomfortable about setting themselves up to get special money for themselves that is a product of a group". Ian Blue regrets that there is no "ownership of the change process" because it was imposed from above and believes performance plans will continue to be unpopular because those expected to participate "haven't been convinced of any benefit to them or the kids in them doing it". Except when there is a clash between the external change and the school's values, respondents speak proudly of the capacity to make it work. Don Blackney expresses this positive view of external change: ... we'll try and make it work for ourselves ... (it) needs someone well positioned pushing it ... preferably someone who can build up a team around themselves. Ian Blue explains how people are supported in undertaking change and how resistance, largely to things beyond the school's control, is overcome: Change is a very democratic process in the college. It's very supportive. This college is very supportive of people who are going to feel angst as a result of change. There is a lot of concern to make sure that individuals move with the college in the change process ... I think we do an enormous job of overcoming the resistance that people here feel to change which is mainly as a result of what's going on system-wide.

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At South Beach the past is not an influence opposed to change. In what the respondents say about their school there is very little reference to the school's history. The perceptions concerning the past refer to only two areas. Firstly, what was perceived to be the closed culture of the school prior to the appointment of the current principal and, secondly, the changes in the leadership of the school since the introduction of the leading teacher class. Judy Cook, contrasts the open school culture now with the closed culture of the past: This school has opened up. This school was a closed box. The old principal didn't like to let the Rialto (the then head office of the DoE) in. He was horrified when he thought he might have to have a fax machine so they could get a letter to him by pressing a button. He wouldn't have one. This was a closed box. To the respondent, this is a humorous example of what she remembers as an extreme and slightly crazed climate of isolation which was encouraged by the principal. This was eradicated over the three years prior to the collection of data for this study. She sums up the way things have changed: ... it's been a total restructure. I think they have been positive, things a lot more open, I feel more people have input. Patricia Vincent's perceptions of the leadership of the school at the time she took up her appointment provide a snapshot just two years before the data were collected. She perceived that the people already in place as leading teachers seemed to her not to be leading: It was almost as if they still wanted to be one of the troops and not make any of the hard decisions. Now, respondents affirm the quality of leadership being provided at South Beach. They perceive that opportunities for leadership are widely available and taken up. They attest to the strength of leadership from the

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leadership team. Don Blackney, Ian Blue, Judy Cook and Patricia Vincent perceive that Terry Lincoln is providing very strong leadership grounded in the process that the school community went through to establish the vision and to clarify its shared values. Establishing the Vision

Five terms with an acting principal produced some uncertainty at South Beach prior to the appointment of Terry Lincoln. Added to this uncertainty was the turbulence in the system as the 'Schools of the Future' program was being established. Terry Lincoln believes this combination produced a context where members of the South Beach community were eager to ask some fundamental questions about the direction of the school. This felt need coincided with Terry Lincoln's appointment and the obligation to write the school's first charter. Terry Lincoln explains that although it is usual at South Beach for very few parents to become involved in the life of the school, an extraordinary number became interested in the charter. He believes that ninety parents were willing to contribute to writing the first charter because "it was a question of the school community seeing it as an opportunity to re-focus". The school council had selected a principal who was eager to work with the community to establish what the school's values are: ...it's very, very important that we understand what we stand for. If we don't understand that we'll continue to do things without having a context. The charter writing process was owned by all sections of the community. Patricia Vincent, who joined the staff after the charter was completed, reports that " people tell me in this school that the charter was truly owned, there was collaboration". Terry Lincoln describes the process used to develop the charter: We began by getting in keynote speakers, by taking representative groups of the school community out for a meal. We had a major launch meal, keynote speakers did some workshopping - so kicked it off in a very positive way saying,

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'hey, here is an opportunity for us to embrace the direction that we want to go'. And then to continue the involvement of all those parents to give them opportunities for their voices to be heard and to manage the process with the charter reference group - small, dynamic, set timelines, had its program under control, met its deadlines, produced a document that people were very proud of and very happy. Judy Cook had the responsibility of consulting the Student Representative Council (SRC) in the drafting of an important component of the charter, the student code of conduct. This is what she discovered: ... what they really, really wanted was for us to do something about harassment, student- student harassment ...They felt, all of a sudden, they could say 'we want this to be a safer place, we want to stop the harassment'...

Judy Cook remembers that writing the charter "made us think far more than we ever have had to before". What she heard from the students not only influenced the wording of that part of the charter it led directly to identification of "the sense of community" as one of three major priorities for the forthcoming three years. The other two were use of technology and student enhancement and enrichment. It is perceived by all respondents that it was the way the charter was developed that resulted in it being held in such high regard at South Beach. Clearly the charter was a major step forward in identifying the college's values. Subsequently, Don Blackney was given the responsibility for designing the process which created the school's direction statement - a statement of mission and vision. To do so, he used a process which followed the integrated program of Ralph H. Kilmann. Of the number of principal class respondents in this study who participated in the DoE professional development program by Caldwell and Sawatzki, he is the only one to have been sufficiently impressed by the work of Ralph H. Kilmann to have applied it to his school. The major elements of Kilmann's program were used including employing an

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outside consultant from the business world. His role was to facilitate a Sunday retreat meeting of staff, parents and students to draft the direction statement. The consultant led the group to an impasse. Judy Cook recalls: There was an absolutely amazing reaction to him by the end of the Sunday afternoon. He wanted this simple five words of a sentence on the board as our mission statement and basically - there were thirty to thirty-five people in that room, parents, staff and students - none of us would accept what he wanted ... as what the school was about. And we just said that's too simple, that's not us. It was Ian Blue who was inspired to suggest that the school direction statement simply be "Protect, nurture and grow". In so doing, he managed to move the meeting beyond the impasse. Judy Cook explains that this was acceptable because we could tie it to our emblem where we've got 'protect' underneath. Perhaps that's not much different to what he had but it just felt so much more personal, it was amazing. The draft direction statement was adopted by the college. It is a concise representation of the marked degree to which South Beach is student-centred. Terry Lincoln believes that the staff are able to best learn about the direction change should go from the students: Kids are probably in the best position to provide the best advice about meaningful change for them and also for holistic change. Respondents are very definite that the students are central to change at South Beach. As well as the numerous projects initiated by staff to extend students in diverse directions, one major project - the human powered vehicle competition - has been initiated by parents. Don Blackney is emphatic that at this school if the change is good for students it will be supported by teachers: If they see the benefit to students that's probably the number one thing, even if it means putting themselves out, most staff will see that as the number one thing that will enable them to see that change as being a good thing. Something
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that is of benefit to themselves and their own work practice is also helpful, but actually seen as a secondary thing in this sort of atmosphere we've got. Ian Blue is student centred in his orientation to his own teaching and sees this being typical of the values of teachers at South Beach. This is expressed in his view that when faced with implementing mandated change at South Beach it is done "in a way that will advantage our kids". He expresses confidence in the way South Beach manages change because it is guided by the central question: "How is it going to improve outcomes for kids". Leading the Change: "We're holding the footy!"

Terry Lincoln expresses a very strong sense of the urgency of change and an abiding dissatisfaction that progress is never fast enough. He reflects: I'm never satisfied, honestly I'm not. I need to be a little more realistic about people. I think, as a principal, I tend to assume a little bit too much that people understand what I'm on about. Understand why we're doing things. However, he is very well satisfied by the increasing sense of autonomy at the school level and relishes the opportunities unfolding to make decisions about fundamental directions: Let me say that our ability to make a decision and to do it is a great advance on where we were, that's terrific and it's simply the result of staffing flexibility ... A recurring theme throughout the discussion of change with Terry Lincoln is the conviction that the school is the unit of change: We're holding the footy, nobody else is! ... I agree with the basic premise that the school is the unit of basic change... probably the most important change is what happens in the classroom. He clarifies this elsewhere in the interview: Teachers are in the most powerful position ... Teachers are in the best position to initiate meaningful change for kids.
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A dilemma arises because the DoE has the goal of improving what happens in the classroom by implementing the CSF while South Beach is committed to implementing Integral Learning through the LCP. The circus tightrope is the image that Terry Lincoln uses to describe their predicament: I suspect that we're walking a balancing tightrope, and it is quite a tightrope, balancing the need for system change through system wide initiatives like CSF versus the actual change, how that translates into teaching practice and its impact on the kids in the classroom. M y role, I'm feeling less and less emotionally tied to the system I therefore feel very reticent to do things like adopt the CSF simply because the government says we should. So I'm saying I'm becoming less and less interested in system imposed change and more and more interested in change formed from the local setting. Terry Lincoln's resolve to protect the school's independence is firm. Interestingly, at one point he speaks about the DoE as a system as existing in the past only: So, I think it's about picking and choosing from the system, when it was there, the kind of stuff that was appropriate for us but now we feel like that we have a capacity to stand on our own feet and really do some stuff that we want to do anyway, well we'll do it. Staff, I think have a sense of that. He sees his prime role within his school is to create a setting where change is welcomed and supported: M y job is to provide an environment where change can be embraced, where other people have the room to come up with ideas, to run with projects, to feel the ownership of stuff, to see something through, to grow by that process and to allow them a climate for that to occur with security. All respondents see Terry Lincoln as successful in carrying out this role. For example, Ian Blue is delighted that Terry Lincoln has given him a great deal of independence to carry out his leading teacher role. One instance he gives is the free hand he has in preparing and publishing quite lavish annual reports for the college. He reflects on what this means to him: "Now that sort of autonomy gives me a fair bit of confidence in what I am doing".

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Don Blackney's description of Terry Lincoln shows that he perceives him as being an essential ingredient in the school's success at implementing change. Providing others the opportunity to lead change has in no way detracted from his own capacity to influence the direction of change at South Beach: Terry has a huge influence because he is in no way worried by change and happy to push change, that has reinforced and slightly shifted an existing culture in the school ... The principal is very important for setting a culture, a tone. They may not even necessarily appear to be doing much but they will set a tone - positive or negative. Whereas Don Blackney focused on the principals role in creating a cultural environment conducive to change, Ian Blue perceived the principal as taking a more directly active role in change. His view is more representative of the general consensus regarding Terry Lincolns role in South Beach's success. I think the vision of the principal was the key factor... the principal's leadership was vital in getting people moving towards a certain point ... So that we were given us a plan about where we might be in three years time to think about, to look at it from that point of view. The success that has been achieved by the South Beach community can perhaps be explained by its adventurousness in placing the focus on teaching and learning and on the human aspects of schooling after so much attention to restructuring and technology since the start of the 'Schools of the Future' program.

CASE STUDY 5: EAST CITY SECONDARY COLLEGE East City Secondary College is one of two schools in this study which have undergone major cultural and organizational change initiated by the schools themselves to successfully overcome declining enrolments that threatened their survival. In the management of change, East City Secondary College is certainly exceptional.

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Background to the Change Effort The story of change at East City Secondary is focused on the roles played by the principal, the staff, particularly a group that researched community expectations in 1992, and the models of change employed. Bob Thomas was selected as the principal of East City in 1992. At that time the schools enrolment was 365 and its Year 7 intake was 52 students. When data were collected for this project in 1997, the enrolment was 838 and applications for enrolment at year 7 and other year levels well exceeded available places. East City is exceptional in the turnaround of enrolment trends but, more importantly, for the change in the school and the change in community perceptions which the enrolment data reflect. Commenting on the process of change in the interview, Bob Thomas outlined two prerequisites for a successful change process: you cant change anything unless people (a) accept there is a need to change and (b) agree, if you like, on the process that you are going to use to change. The nature of the need to change emerges particularly strongly from the data derived from the interviews of the three teacher respondents at East City Secondary College. They were working at the school in the early nineties before the appointment of the other two respondents, Bob Thomas and the assistant principal, June Pirie who was appointed in 1994. The way the three teachers describe the school reveals the culture of the school prior to the change effort and is the foundation for understanding the process of change used at East City Secondary College. Lisa Lloyd is the careers teacher at East City Secondary College. In 1997, she has been teaching for seven years after working for many years in businesses, including

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her own. She recalls that when she commenced at the school it seemed that staff were very dependent on two people in leadership positions: when I first came here I think probably two people did everything. OK. They took on the role, and I think they almost wanted to do everything. Right, Ill fix this. You want that. Yes, well do that. This suggests a quick fix, reactive approach to leadership. The corollary of two such senior staff being perceived to be the only ones to act is that the majority will be perceived to be inactive. That is the way another teacher respondent, M ary Russell, saw the situation. An English teacher and year 11 coordinator in 1997, M ary Russell has taught at East City since the early nineties. She recalls: When I first came here it was a very static environment, nothing changed for nearly two years when I first came here and I was anxious for change because I knew that what was happening wasnt invigorating, wasnt challenging for anyone concerned, either teachers or students, and I was anxious for something to change. However, the spur to change was not the desire of staff to strengthen the culture of the school but the need to respond in the interests of the schools survival in a very competitive environment. The school is located in M elbournes quite affluent inner eastern suburbs and draws students from a number of surrounding neighbourhoods. Families in these neighbourhoods have the choice of many reputable state and nongovernment schools. Prior to its successful change effort, East City would, according to Lisa Lloyd, often be second preference. Parents not opting to send their children to East City were providing a potent motivation for change according to the assistant principal, June Pirie: The parents are also initiators of change here too. They play a major part because they, theyre the ones that by not sending their kids here said that we really need to have some change.

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The feelings that staff and students had about their school in the early nineties were seen by respondents to suggest the reasons why the school could not become a school of first choice unless it changed in fundamental ways. Lisa Lloyd recalls: There was nothing, just a few kids that were troublemakers. The school had a rotten name. Anyone decent we got in apparently only lasted three weeks in Year 7, then theyd be off to another school and who could blame them. The lack of pride of association expressed by Lisa Lloyd here was perceived by her to be typical of staff and students alike: Five years ago there was not pride in the school. That had permeated the staff as well as the students. The students would say We only go to East City Secondary College. Theyd get on the tram and theyd say Those kids are snobs. (Students from other state schools with better reputations or from fee paying schools). However, a contrasting view of the staff then is expressed by M ary Russell. She does speak with pride about the staffs values in the early nineties and locates the schools malaise then in its failure to communicate what it stood for to the community: we had an excellent staff excellent staff, very caring to the students but without going out and telling people this is what youre doing in a lot of ways we were wasting our time. Bob Thomas applied for the principals position knowing that East City was, as he put it, not well regarded. He accepted the position knowing that change was necessary but was intent on identifying what the school did well while identifying the sorts of things that needed changing here. He believed that in appointing him the school had given him an implied mandate for change and that people in the East City community understood that change was necessary. Respondents recollect an urgency about undertaking extensive change at this time. John Kelly, coordinator of Information Technology believed that East City was very close to folding and if he (Bob Thomas) didnt make it work we would have disappeared. Lisa Lloyd pointed out that
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 we were losing our clientele, staff morale was very low. She saw the staff prior to Bob Thomass appointment as not receptive to change, even hostile to it. She remembers the marked avoidance of professionally relevant talk in the staff room and believes it was symptomatic of the negative culture of the school: it was as if they had to escape their environment it was so depressing any chance they got they had to talk away about nicer things. She saw East City then as being in a little educational backroom not communicating with its community and with the majority of staff resigned to the likelihood of the closure of the school or its forced merger with other schools. This attitude resulted in the stock response to whatever change might be suggested - it wasnt going to make any difference, we were going to die you see. This view was not shared by the five or six members of staff who formed a group which respondents perceive to be the start of the change process. The Save East City Team Over a period of several months preceding Bob Thomass appointment, Lisa Lloyd was a member of a small group of staff, none of whom were in positions of responsibility, who took it upon themselves to investigate the ways in which East City could change to better fulfil the expectations of feeder primary schools and their families. An inspirational guest speaker who discussed change and servicing the community provided the impetus for the formation of the Save East City Team (SECT). The members of the team were responding to the danger the school was in because of its low enrolments and decided that they . were going to research what the community wanted. The teams investigation and recommendations were seen by Lisa Lloyd, who became the teams chairwoman, as the embryo of the subsequent

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change effort. (June Pirie endorses this view of SECT.) Lisa Lloyd asserts that SECT set many sound directions for change before TQM , long before we ever heard of it. (By the time the researcher discussed East City with informants, the school had received considerable publicity concerning its application of quality management principles to the school. For example, an article published in the Department of Education newspaper announced that East City was the first school to enter the Australian Quality Awards.) Lisa Lloyd believes that SECT was formed because its members recognised that without change we knew that East City was dying. The staff as a whole were perceived by her to regard SECT with some suspicion and scepticism: We had these lunch time meetings, Id put SECT meeting up and you could just hear everyone saying, oh you know, what do they think theyre playing at? As if anythings going to make a difference the culture that was probably the biggest barrier because a lot of it was why are we (SECT) bothering, why are we doing this, we know whats going to happen, it will never work It was this internal thing that we werent good enough. The apathetic and resigned attitudes of the general staff strengthened the resolve of the SECT members: it was the faith of five or six people and we had to feed off each other and we had to go out there and sell it our recommendations were a model for the future. They met weekly inspired by their vision of saving the school. Lisa Lloyd and the other members of SECT had felt that the school was in such jeopardy that change could not wait for the appointment of a new principal and that they had to act during the period when East City had an acting principal. The acting principal was supportive of their efforts and encouraged them to take their recommendations to a meeting of staff to seek a vote of in principle support for their recommendations. SECT members felt

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before and during the meeting that most of their colleagues were not with them. However, Lisa Lloyd recalls a speaker swayed the mood of the meeting: So we had the meeting and the body language was mainly like this (demonstrating hostile body language) and this particular person stood up and said that how much work wed put into this and how he felt it was a worthwhile thing that we needed the support and I think they just decided yeah, theyd vote, it wasnt going to make any difference, we were going to die you see. Having had support from the acting principal and at least the token support of the staff, Bob Thomass response to the SECT recommendations was sought by Lisa Lloyd after he had taken up his appointment: I said to him are you aware of the document called the Save East City Team Recommendations? He said Lisa, its one of the very first things I read. In Lisa Lloyds account there is pride in the handing over of the responsibility for change to the new principal: great because he really knew what he wanted when he came, in that he knew what he needed to do and from then on the change was just boom, boom, boom - but it was along the lines pretty much that we saw needed to happen and then he came with his input and ideas. Despite the pride in the work done by SECT and the pleasure in seeing its work being continued by Bob Thomas, there was a tinge of regret in Lisa Lloyd remembering that their trail blazing role was no more. She commented that its never been the same since. The areas they investigated and the recommendations they formulated were described and analysed by Lisa Lloyd in the context of the subsequent planned change effort. She argued that SECT had indeed covered many of the areas central to the successful change process commenced late in 1992 under the leadership of Bob Thomas. In areas such as curriculum (eg. language offerings), marketing, uniform, relationships with feeder schools and attracting overseas fee paying students the recommendations made by the team have been part of Bob Thomass program for
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change also. Lisa Lloyd has maintained a very positive attitude to the implementation of the changes that SECT had the foresight to envision: I guess I was really excited about seeing the changes its just been wonderful, like every week has brought something and just inspiring and it makes you think were in step more with the (educational) world. While somewhat more muted, endorsement of the change process and engagement with it is found in the personal disclosure of other respondents. M ary Russell stated that I feel quite proud of what weve done. John Kelly, when asked how satisfied he is with the way change was managed, is positive in his rather laconic tribute to the change brought about: Overall, pretty well. Its just the time element. The change here has been pretty important Because of all the different things that hes (Bob Thomas) put into place were now in a situation where were 840 this year and were going to blow out to over a thousand in two years time. This is all because of the different changes hes put in place. June Pirie uses an apt metaphor to recognise what has been achieved to date in East Citys quality journey: Weve done what was needed to do to put us on the map. Vision and Values In asking the members of their community what they wanted from East City, SECT was indeed the embryonic form of what has become the trademark of the school, the strongest element in the identity it presents to all stakeholders: the quality movements focus on the needs of the client. The data reveal that this is seen in a somewhat different light from inside the organization. Three respondents emphasise response to parent needs - Bob Thomas, June Pirie and Lisa Lloyd. However, Bob Thomas and June Pirie are the only respondents who refer to students or parents as customers or clients. Close reading of the transcripts reveals that the language and concepts of TQM are not embedded in the thinking of the East City participants as the

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researcher had expected, with the exception of Bob Thomas. June Pirie reports that they are beginning to think in the terms of TQM but reveals her reservations in her insistence on the differences between education and business based models: the products we begin with are not uniform, so in that its different. We have to be able to treat each kid as an individual, we have to look at them in the context of their family, their beliefs, their values, their setting, and we have to react in terms of what they are and who they are and whats made them like that. John Kelly sees TQM as the principals agenda and suggests that it has worked because he pushed it. For M ary Russell, models derived from business cannot gel with the school situation the school situation is something that is unique that none of them really take into account the person that were trying to foster. When June Pirie speaks of the vision as being shared she is referring to making changes to save the school not the principles of quality management: we all had a shared vision of, hey weve got to do something, we have to change - what are the changes that we can make? We were pretty positive about it. Bob Thomas gave an account of the process of change he implemented which was grounded firstly, in the shared vision which began with SECT that change was an imperative- people understood that change was necessary and secondly in the business and managerially derived discourse which regards students and parents as clients or customers. Although he refers to it as a contemporary quality approach to change and to restructuring your organization it was noticeable throughout the interview that he shied away from labelling it TQM . The key elements of this approach to change are client focus, continuous improvement and teamwork: it was based on a number of principles. Im talking about identifying who are your clients and your customers are and getting feedback from them and aligning your policies accordingly which had never been done here before. Understanding the concept of continuous improvement, the concepts of

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teamwork and the importance of teamwork, how, you know, two people working together can achieve a lot more than two people working against each other. Its the synergy concept. You know some tools like systems thinking what youve got to do is spend your energy and your time improving the process and you get the sort of outcome that you want - so thats a process improvement approach. Whereas Lisa Lloyd, M ary Russell and June Pirie speak personally and passionately about the urgency of change at East City with an emphasis on the responses of people to the peril their school faced, Bob Thomass approach is theoretical and analytical but nevertheless it is underpinned by the sense of crisis reported by the other respondents. It is the sense of crisis which enables him so confidently to assume staff commitment to change. Although all the key elements of his account of the change process - client focus, teamwork, process improvement - are mentioned by the other respondents, there is one element of the change process which all other respondents see with greater clarity and emphasis that Bob Thomas did not mention in his account, leadership, particularly his own. Leadership The TQM approach to change does not use the language of leadership. This may explain Bob Thomass reticence on the topic. Nevertheless, all other respondents at East City consider the leadership of the principal as an important ingredient in the success of the change that has taken place there. Nevertheless, within the data the extent to which the successful change at East City can be conceptualised as the product of the leadership of the principal, the leadership of the many and hence a team effort or the result of following a quality process, is contested to some extent. Also, there is a degree of ambivalence within the comments of individual respondents as they attempt to apportion the credit for their schools successful management of change.

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When asked what was the most important factor in the success of the change process at East City, June Pirie replied: Probably Bob and his ability to clarify what the problems were and to be able to put that in context of a vision for the future and where we were going and then to show people the way, you know, the steps we would need to take to get there. So I think clarifying the problem and the vision were probably the things that got people on board. Interestingly, June Piries emphasis is on Bob Thomass command of problem analysis and process which are given considerable importance in his own account of the process of change he followed. June Piries recognition that he did this in the context of a vision for the future and where we were going add the dimension of leadership that is markedly transformational. M ary Russell ranked the principalship as the most important factor in the successful change process: The first one was definitely changing principals, theres no two ways about that. She appreciates Bob Thomass accessibility and his people skills: and then an open door policy in so much as being able to speak to the principal whenever you want to about issues or concerns that you may have and without feeling that youre a nuisance or anything like that and thats been the most remarkable change from the previous time. So I think it has come from the top, theres no two ways about it. In discussion of the positions of the people who are able to bring about significant change, Lisa Loyd jumped straight from mentioning Bob Thomass obvious capacity to lead change to a broadly inclusive response: Well, obviously Bob. Look there is a lot of quiet workers here that it really is a team thing but now its certainly broken down into teams, and probably now I think of it, thats the biggest change Ive seen. That Laura has the sense of continuity with the change commenced by SECT probably led her to emphasise the leadership of the many. M ary Russell, who is a year level

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coordinator but not a leading teacher, also emphasises broad staff participation as a positive element in the change process: at one stage you had to be in with the in-crowd and that sort of thing or you wouldnt get elected or werent felt to be welcome on any panel or anything but nowadays more and more people are opening up to the suggestion of being on whatever panels that are being elected, committees, etc. I think we really do try to cut across everybody being involved I think thats been a studied change of philosophy in a sense and with the idea being put forward we want people to be involved, we value your opinions and youre always listened to and I think people have been given the opportunity to speak out without feeling that they have to toe any line or whatever, you know, weve been able to speak freely And that (participation) has improved enormously. As well as seeing the breadth of possibilities for all teachers to be leaders, M ary Russell is also very positive about the capacity of the relatively new leading teacher structure to contribute to change. She does not see it in terms of strengthening hierarchies but in providing opportunities for renewal: Weve also got some exciting new staff in the school as leaders and they expect there will be lots of changes in the curriculum from these leaders who are bringing in new ideas. In contrast, John Kelly who is a leading teacher within this structure does emphasise the hierarchical nature of the organization and of the type of teamwork in place at East City. When asked about the positions of people who are able to be effective change agents he replied: Obviously the principal class. I think all your leading teachers should be able to bring about change and particularly each of the KLA leaders should be able to bring about change right down to each teacher has a responsibility. Its very much a pyramid effect, everyones got a part - its a team effort The schools got an overall vision then your vision should be part of it. The creation of positions of responsibility so that three quarters of the staff have a paid position has given recognition to broad participation in the organizational structure. Creating additional year level coordination positions has, in the opinion of
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M ary Russell, also enabled the stronger recognition of the value placed on student learning, achievement and growth: now one has the luxury really of focusing on the curriculum, on the ability of students in the classroom etc. and thats great because that was being missed before because as a coordinator you have the task of discipline etc. and that was always getting in the way of what you really wanted to be doing. Bob Thomas has perhaps the broadest view of the East City respondents on the issue of participation of the many in leading change. He perceives that both staff and students contribute to the change process: I think together the whole staff and the staff leadership group (are driving change). We involve the student council too in the change process, which you can do in a secondary school they identify the need for change, they provide the feedback, I mean in student terms, of systems thinking - they provide the feedback that goes into the process improvement loop where youre continually improving the processes and theyll tell you when things are right and theyll tell you when things are wrong, and theyll tell you when new needs are identified or when new needs are arising. In contrast, June Piries view is that the success of change is a more straightforward partnership between the leader and followers who were eager to participate: Look, if wed had parents wanting change, wed had staff wanting change but wed had a dud leader it wouldnt have worked because I would give much of the responsibility for change to Bob in that he was the one that was able to say it needs to be done, to clarify it, to put it into perspective. He couldnt have done it on his own though because it needed people to say hey look, what he is saying is right, you know, I think we need to give it a go, it needed a team of people who formed the SECT committee, or whatever it was called. It needed them to be active and say hey, we need to sit down and we do need to say where its coming from and what we need to change, so its hard to say. Look you couldnt have one without the other. Impediments to Change Despite the overwhelming success of East Citys change effort, the data reveal the need to consider all aspects of the conceptual framework including those concerning individuals and organizational aspects impeding change. Respondents reveal their
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concerns about the impact of change with surprising frequency and, in some instances, surprising intensity. On his prior knowledge of the schools success, the researcher would have expected general agreement among respondents with M ary Russells view that the change process created a very promising future for everyone and with Lisa Lloyd who commented that as far as the staff is concerned, I think theyve gone along for the ride and really thought how lucky they were to be here. The rapidity of change, its effect on workload, the lack of time to carefully implement and reflect, inadequate consultation processes and the Department of Education are seen as factors which impede change. Resistance to change exists in the school but overall is not considered a serious threat to the change effort. While all East City respondents give great credit to the management and leadership skills of their principal, they are not entirely uncritical. These respondents are frank in pinpointing perceived strengths as well as perceived inconsistencies in their principals management and leadership, particularly in the change process. Bob Thomas is strongly committed to participative and collaborative decision making: you have to undertake a process by which staff are involved in identifying what needs changing and why and then identifying how so, in other words, youre talking about participative and collaborative processes and theres the sense of ownership of the process of change and the outcomes theres no point in having a leadership who are committed to change if the rest of the people are not, nothing will happen Bob Thomas believes that leadership of change is a shared responsibility. When asked who is leading change, he said essentially its the teachers and leadership I think together the whole staff and the leadership group (are driving change).

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CASE STUDY 6 WEST BAY SECONDARY COLLEGE

West Bay Secondary College has been successful in turning around a declining enrolment by changing the way it is perceived by its community. In 1984 the school had 800 students but had contracted to 300 by February 1991 with a Year 7 enrolment of only 32. When the data were collected for this case study over three visits to the school in the first half of 1997, the enrolment was 700 and the school had rejected 100 students wishing to enrol because of a lack of classrooms to accommodate them. The suburb of West Bay for a long time has been likened to a country town just across the river from the M elbourne business district. The close connection between the community and the school still has much in common with that relationship in a country town. Doug Hogan is a M athematics teacher who has been at the school since the early 1970s. He is now an acting leading teacher responsible for timetable and daily operations. Of the respondents, he has by far the longest period of service at West Bay Secondary College. He has been a member of that community all his life and in interview spoke confidently on behalf of the community as much as for himself: There were certain things that we had to do and other changes have been changes that were initiated within the school perhaps because large sections of the school community weren't happy with the way the school was progressing and this was indicated most strongly by the drop in student numbers. Remembering parent and wider community dislike of many of the school's policies and practices in areas such as assessment, discipline, homework and uniform, he asserted that: The parent community was given the arse as far as their views were concerned and they ended by voting by not having their kids attending this school. Having opposed the schools directions in the eighties, Doug Hogan is very supportive of the traditional stance being taken across a range of issues.

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West Bay had celebrated a major anniversary in the early nineties which was an opportunity for the community to demonstrate its strong pride in the school's past and for past students and teachers to show their pride of association. Respondents emphasise the important role the community played in the schools revival. Allan Bailey is a teacher-librarian, a staff member of the school council and very involved in the improvement efforts particularly in information technology infrastructure and facilities generally. For him the relationship with community is paramount: "... we responded to what the community was saying they didn't like about the school." He points out: "M ost of the community had come to this school and felt very strongly about it". For him, the influence of the community was a powerful influence for change: ... the school changed its policies and accepted that, "ok the community wants us to survive" but the community also perceived that we were not providing what it wanted us to provide. Beginning at West Bay as Assistant Principal in 1991 and Principal since 1993, Dave Robbins reported on the means by which the community's aspirations were gauged. He recalls that external consultants were commissioned "to interview the community to find out what they wanted". Curriculum Coordinator, Keith Lawrence, emphasises the importance of strengthening relationships with the feeder primary schools in the school's success in regaining the community's confidence: I went with the principal of the time, M ike Smith, and parents from the parents' club and school council and we visited the three or four of the feeder primary schools ... We went to their school council meetings and we went to their parents' club meetings and we said 'look, what is it that you want, what do you want us to do, really?'. ... We had to convey a message to them 'that we are listening to you and we will make changes'.

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Assistant Principal, Jim M cM illan joined the school after the enrolment turnaround was underway. His view is that the threat the school was under was the key ingredient in it developing the capacity to do what was needed to turn around its situation. In addition to endorsing the original commitment to change, he places importance on the change processes subsequent to the initial wave of change. The stamina of West Bay's change efforts has allowed it to produce a significant change in its culture: The change processes we've been through over the last - certainly the four years I've been here, have been incredibly valuable for the school. They came at just the right time when the school had made the decision that it needed to change to survive. This decision had not been any easy one to make. The first step in facing the seriousness of the problem had been for Keith Lawrence and Allan Bailey to organize a number of staff forums to discuss the crisis. There was pressure from the Department to merge with other schools and a staff vote on whether to continue to fight to stand alone or to agree to a merger was closely contested. The vote was tied and, as an organizer of the meeting, Alan Bailey is recalled by Keith Lawrence to have had a casting vote which was for the stand alone point of view. Although some who voted to merge took up the option to transfer out, those who remained accepted the need to change. Allan Bailey stresses the fear staff felt. He sees the college's turnaround in enrolments and hence its survival as a result of the way staff responded to the threat to the school: When people have got their back against the wall some go under and some come out fighting. I think that's true here but in the main people came out fighting and saying 'we weren't going to close'. That came from the staff, it came from the students and ... from the community.

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What ensued is described by respondents in language which depicts a struggle of life and death importance. M oreover, this struggle was not about mere survival, it is perceived by respondents to have brought renewal. Allan Bailey describes the contest and its lasting outcomes with great enthusiasm: When you fight a battle to the death almost, because that's what it meant to this school, amazing things come out and some show their true abilities in extraordinary ways ... some parents who are supporting you in that it becomes a real team effort and you win, the benefits of that last for years. There are, of course, barriers to change at West Bay. Respondents report that to complain about workload is a knee-jerk reaction to proposed change by some. There are a few in retirement mode. However, in describing how positive West Bay staff are about change, Jim M cM illan points out that even "old timers" are more supportive than in many schools because they have seen the benefits of change in growth and the absence of excess and the psychological reassurance of knowing that the "...the place that they loved working at has been saved". The support of the staff and community for change at West Bay would not have been enough to save the school. Dave Robbins vividly recalls the importance of politics, both within the Department of Education and in the State of Victoria, in determining the fate of the school. Because it was the regional office of the DoE which was pushing for merger, he knew they had to be circumvented: It was no point going to bloody Quality Provision meetings and pretending you were going to get an outcome that was going to work out for you. There's no point in going to the region and saying 'Please', because they'd put you in it in the first place. He is very pleased with the way the school used its political nous:

The political game, I think we played really, really well...

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He went on to explain that they "went straight to the Rialto" and to a political figure of some influence who "... met with our parents, he met with the branch, he met with everyone." The nature of the political nous that was needed is described as "playing the political game well" which means ... do not accept defeat ... you have to be in there with the belief that this is the best way to tackle something, that this is the cleverest way of doing it, you don't have to take people at face value but you have to be willing to take some risks yourself in terms of ensuring you've picked the right people to get on your bandwagon. Running through each respondent's account is the same assumption about the criterion of West Bay's success. In the words of Doug Hogan "obviously the measuring stick has been the huge increase in enrolments". Staff, community and politicians have all celebrated the success of the stand-alone decision.

From the Culture of Shrinkage to the Culture of Growth

West Bay's resurgence in numbers was accompanied by a transformation of its culture. The "culture of shrinkage" which respondents recall with distaste is characterised by isolation and an inward looking approach. The "culture of growth" is, in some ways, the mirror image of the "culture of shrinkage". Now the school's introspection reflects on the next step forward. At all levels - students, teachers, administrators - members of the school are involved and engaged outside the school. In the former culture there was only limited involvement with the world beyond the school. Dave Robbins described the culture he found when he arrived at the school:

The school had cut itself off ... it was a bit of a fortress mentality that had developed here as the school had got smaller and a number of the prime movers had left. What was left was a school that very much felt as though it was up against it. It very much shrank into its own skin - we were sort of skulking around the place waiting for someone to come and kick our heads in.
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To him the "school had lost confidence in itself" and he saw it as significant that teachers did not attend network meetings, the school had no sports teams and the school did not get involved in the issues of the day. He notes that the school had expended "a huge amount of energy into trying to develop into a progressive school" but was rejected for it. Doug Hogan recalls the same period in terms of low morale and staff members preoccupied with fears of losing their position in the school: ... going back five or six years ago when the student numbers were down staff morale was fairly low because each year we seemed to have excess as far as staff were concerned ... Staff members were thinking will I be the next person declared in excess at the end of the year. Jim M cM illan remembers a wide range of attitudes on the staff when he arrived with strong representation of what he terms the "old values": When I first came here we had a fellow who was in his sixties ... Anything that was suggested to Jack 'did that in 1958, didn't work then, won't work now'. The staff were preoccupied with internal dissension, particularly focused on what Jim M cM illan called the "two rival courts": There was the principal and his court, of which I was one ... then there was that court - the court of king karaktikas up there ... We had two staff rooms and our court was down here I suppose. And you'd have this incredible situation and you'd have to appease and if you went down here and spoke to these people all hell would break loose up there because you hadn't gone up there. Respondents express their awareness that buoyant enrolments have contributed to the new culture. Allan Bailey describes the way growth has a pervasive and benign influence: when you're in growth mode and almost all the other schools in the state are in decline mode, it's easy to be positive and that's what this school is benefiting from ... it's so easy to have good morale and that good morale means that all the other benefits such as enjoying coming to work ...

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However, respondents perceive that continued success involves more than maintaining student numbers. West Bay has used a series of change processes, most of them required by the DoE, to maintain its change effort and to confirm what it stands for. The changes which kept the momentum going were the curriculum restructure and policies review, developing the first charter, refurbishment of the buildings and the implementation of the CSF. Curriculum Restructure and Policies Review

The curriculum restructure was a change that Doug Hogan saw as an important break with the past and, in hindsight, an important part of the change which would bring more students to the school. He describes what happened at the staff meeting when the restructure was discussed: ... we revised our curriculum and gave our curriculum a little more equity in terms of time. What we did, when I say we, a few people who'd been around the school for a while, people who were part of a sphere of influence ... What we did was put motions to staff to balance the curriculum a little bit. I can remember the staff meeting when we had the vote and three quarters of the staff almost felt like jumping up and down and cheering ... There was a form of relief about it ... we'd slid downhill a fair bit. This was followed by a review of policies and practices on uniform, assessment, discipline and rigour in the curriculum. Doug Hogan sees the result in terms of the community wanting the basics of an orderly and achievement oriented school and the school belatedly responding: One of the things the community wanted was school uniform. We'd been very lax on that so we decided that we would improve uniform. They wanted a different assessment system ... We were also seen as not being particularly rigorous in discipline, so we looked at our discipline. We looked at our rigour in curriculum... They definitely wanted a strong homework policy.

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Charter Development

Writing the first charter, three years after the turnaround in enrolments began, is recalled by some respondents as an opportunity for establishing direction. However, Dave Robbins recalls that his attitude to the charter was rather dismissive, regarding it as a chore that would be completed because the DoE demanded that it be done. He reflects that I was just lucky that Jim did actually care what was in it because he had some idea of how it would work and therefore we ended up with a good document. The successful outcome of these different stances on the charter is typical of the ways in which Dave Robbins and Jim M cM illan emerge as able to complement each other. Dave Robbins lack of interest in what he saw as a bureaucratic requirement provided an opportunity for Jim M cM illan, who had recently been appointed, to take a very supportive role in the charter development process. Having come from a DoE change management unit he was very knowledgeable about what was required to write a successful charter. However, it was Keith Lawrence who took a major leadership role in preparing the charter. This is an example of the success of West Bay's principal class members' attitude to power. As Dave Robbins sees it: One of the things that Jim and I both try to do is to give power away. If somebody has a good idea they can run with it but I don't have to own it, I don't have to be part of it. ... What we've engendered is a feeling that "it" can happen and they'll be supported through the change - we'll set the environment for change to take place and we'll sell it. Keith Lawrence worked with Allan Bailey, with support from Dave Robbins and Jim M cM illan, to provide opportunities for staff, parents, students and feeder primary schools to put forward their views about the future directions and priorities of the

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school. These views provided input into a weekend residential conference devoted to developing the charter. The approach to the charter writing suggests the progress made in realizing Dave Robbins' aspiration for the school that it recognize that "our community is our life blood". This is reinforced by Keith Lawrence's description of what he wanted from the conference: The aim was to try and make sure that everyone involved in the conference and that included parents and some students and all our staff - that they had a real sense of what the community wanted not just the staff, not just the parents - so there's a real sense of the emerging needs of the school. Refurbishment of the Buildings

The million dollars for a long overdue refurbishment brought big improvements but was not a large enough grant to complete the task with the science and technology areas remaining below an acceptable standard in Allan Bailey's opinion. From the perspective of cultural change at West Bay, the most significant opportunity provided by the refurbishment was the bringing the staff together in one staffroom. This had been an ambition of Dave Robbins since he had arrived at the school because I had these two units which operated in totally different ways ... and getting them together to discuss anything was very, very difficult - it's taken five years to get to the one staffroom, even then they still went to different ends ... The two units are the rival courts that Jim M cM illan described as the principal's court and the court of king karaktikas. The coming together in one staffroom was not achieved without resistance, upset, and some careful structural change. Dave Robbins recalls how a member of staff expressed his objection: ... got up at a staff meeting and said 'He wasn't interested in bringing the two staffrooms together because he was only interested in sitting beside the two people he had sat beside for the past twelve years and if he shifted he might have to sit beside someone else and he wasn't going to do it...'... He had passion in his eyes, this was a real challenge to his world that we might shift him.

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Of course, change never exists in a vacuum and there was a dimension other than creating a single staffroom to breaking down the two courts constantly in a state of readiness for civil war. Jim M cM illan explains that some frank conversations and decisions made about the way things are structured and done. Our management structure provides three leading teachers 3s with very clear portfolios ... Now I'd say that king karakitikas is our greatest asset and ally. Despite the strenuous disinclination of some to move, Allan Bailey comments on the staff's overall positive perceptions of the contribution to a team culture that moving to one staffroom has brought: That has had an incredible effect on morale because all the staff are together and seen as a team rather than two or three or five teams ... even the acting leading teachers have been put in the staffroom where they did previously have separate offices, they've been brought back into part of the overall team and that's seen as really positive from the staff. M aking it work for us

Keith Lawrence sees that a large part of his role as curriculum coordinator "... is to bring people around to support any change that we might want to make". This role is very much needed with the implementation of the CSF because of the issue of workload. Keith Lawrence does not underestimate the task involved "to bring people around": The problem with the CSF in particular is that people are feeling overworked, overburdened, overstretched and there are a complex of documents, it's a new way of approaching teaching and it's a hell of a lot of work at a time when people are feeling overworked already. It's been imposed from above and people feel that they're going to be put under more pressure as a result of it ... It's the workload and it's wrapping your head around a completely new set of terminology.

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Keith Lawrence is a powerful devil's advocate. Having so convincingly outlined the opposition's point of view he crosses the floor to reveal his own advocacy of the CSF as a powerful tool for improvement in curriculum delivery at West Bay: M y personal view is that it's been fortuitous for us, the CSF, because it's forced us to revamp all our courses and that was a massive job that we did last year but it's been very good for us to do that. It makes people think about the skills that they're imparting for kids rather than just filling in the content and I really think that when people get used to it, that's actually a big step forward for us. Allan Bailey sees success in CSF implementation as the result of staff working in teams seeing a positive outcome and, in the learning areas where the most progress is being made, they are well led. Keith Lawrence reflects that: Last year there was some sense of 'if we pretend it won't happen it'll go away, or it will never work, etc. etc.' Now there's a realisation 'yes, it's happening, how best can we do it in a way thats realistic for us and make it work for us'. So there's been a shift there and I personally think there will be a big advantage for us in the future with this system. The response to externally imposed change that seeks to find the way to "make it work for us" is a very important feature of the West Bay "growth culture". Jim M cM illan claims to be responsible for successfully encouraging this approach, commencing with overcoming staff reluctance to become involved in writing the first charter: That's always been my push with any change or any problem: let's look at what we can control, what we can affect and let's take control of what we can do... it became a bit of jargon around the place for a while ... People would say 'well, let's look at what we can take control of'. That was in a sense empowering people in the change process... The culture of growth is seen by Jim M cM illan to be strongly student centred. He affirms that the West Bay staff would get behind any change which would benefit students despite any costs to them in workload and added pressure: if they believe that its going to be of value to the students then they say well, lets just go ahead and do it. Question 13:
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This enthusiasm is tempered by Dave Robbins response to

Teaching and learning strategies is something which we havent put enough effort into over the last Youve got about 20% of the staff doing about 80% of the work in forcing the change. This question about satisfaction with change management in the school hit a raw nerve. Dave Robbins, like all other respondents, except Doug Hogan, is scanning for a new phase for change. Improving what is happening in the classroom is what Dave Robbins sees as the priority, hence his dissatisfaction expressed in this answer. In contrast, Jim M cM illan is putting priority on organizational matters wanting to produce an operations manual for staff: It's the detail of ensuring the wisdom is carried through and transferred. We've been very good on the great oral tradition, but not very good at the more bureaucratic tradition of making sure that things are done properly. Such a document may partly address the concern that Keith Lawrence identifies as an urgent challenge to be met if the culture of growth is to be maintained. He is concerned that the addition of sixteen new staff at the beginning of the year means ... we're really at that stage where we need to re-establish a common direction and common purpose ... over the next twelve months we need to re-establish a common direction and common purpose. Jim M cM illan raises another challenge which could provide the means to strengthen the West Bay culture. He recognises a contest within the community over the preferred identity for West Bay which raises fundamental questions of purpose: Are we the local little community high school which provides a nice caring and sharing environment for kids, are we going to be the academic high school where it's all cut and thrust and parry? I think we're trying to straddle all these things and if we're not careful we're going to fall somewhere in between the cracks. And it's a really an ongoing battle because some of the community want the status high school. They will say 'double the fees if you want to, fabulous' and then the others will say 'this is our local school and its always been a nice drop in, village place.

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Allan Bailey is very confident in the capacity for change being widespread at West Bay but looking to the future he asserts that the principal and assistant principal must make a greater effort to give feedback on the good work being done: Change will happen if the administration of the school is assuring, nurturing and encouraging change to take place ... They're really important in saying to someone you've done a good job, well done, continue - and they can also ignore, and if they ignore they kill change. The strength of the culture of growth is evident in the confidence expressed in the schools capacity to compete in the market place. According to Dave Robbins, his school which faced closure or merger six years ago, now could divide up the student population of the district with one other school six kilometres away if West Bay had the room to expand: If we had unlimited space here, Wally Delaney up at West City and us down here, we'd jut kill the whole region, we would absolutely. Wally's after a different end of the market than we're after in some ways ... M oreover, having made "an impact at the Year 7 enrolments of West Bay Grammar", his marketing objectives now include competing against St.Kilda Grammar, an expensive fee paying school some distance away, but keen to gain enrolments from the suburb of West Bay: St. Kilda Grammar has a bus come over the bridge and pick 'em up and take em to St. Kilda each day. St. Kilda's spends an awful lot of money in this part of the world advertising in newspapers as well, so they're the ones we've got to take on ... In improving learning in the classroom, in strengthening staff unity of purpose, in clarifying the community's aspirations for the school, in providing better feedback to staff and in marketing, there are numerous identified opportunities for building the culture of growth at West Bay.

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CONCLUSION

This chapters case studies presented the analysed data related to change at each site in context. The process of data analysis and the presentation of the case studies paid attention to the meaning of change as experienced by each informant as well as the significance of each persons perceptions for understanding the meaning of change at that school. In selecting the sample of schools, a variety of experiences was sought but schools that were atypical in terms of such criteria as student selection, school size or structure were not considered for inclusion. Although all from the one system in the midst of a large-scale statewide reform process, the case studies revealed schools that were very different in many ways. Among the differences related to change were: the schools histories of change management, the extent to which their cultures were open to change possibilities, community attitudes to change, motivations to change, staff attitudes to change, decision making processes used to implement or block change and the styles of leadership demonstrated by administrators and teachers in approaching the change process. The stories of successful and unsuccessful change the interviewees told delineated the micro-social processes through which the contest between change and continuity unfolded in each school. The collection of six case studies illuminated a number of aspects of change. Of most interest was the variety of the experiences of change across the sites and the interdependence of the environmental, organizational and individual aspects of change within each site in determining the degree of success with which change was effected. The interdependence of all the environmental and school level factors in determining the

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outcomes of change efforts make understanding change dependent, to a large extent, on a deep and detailed understanding of each site such as the case studies provided. A number of aspects of the case studies presented in this chapter vindicated the selection of a qualitative design for this study. Firstly, the case studies enabled change to be explored in context at each site. Secondly, they provided the means for the presentation of both similarities and differences among the perceptions of informants at each site and across the sites. Thirdly, they enabled identification of the reasons behind the way respondents perceived change. Hence, the case studies contributed much to realizing the purpose and intentions of the research. The case studies showed that the external environment and both the organizational aspects of the school and the individual members of the school were significant in promoting and impeding change. To facilitate a brief, preliminary discussion of the specific contexts of the case studies in the light of the selected literature, three themes that are central to both have been identified: defining the school through change, leading the change and teachers experience of change. Defining the School through Change: Ball (1987, p. 10) suggested that schools define themselves through conflict over policy. The issue of how each school defined itself in the context of change, that is, identifying what it stood for in the midst of the statewide Schools of the Future reform was an issue in each case study. At East City and West Bay, the imperative for change was gaining enrolments to survive. A base for this was re-defining the schools to match their communities needs. At West Bay, this meant rejecting its previous identity as a progressive school and moving towards a more traditional definition of

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itself. At East City the emphasis on quality at all levels re-shaped its identity into one that engendered pride. Intense conflict over policy occurred as part of this process at West Bay. In addition, an emerging policy conflict loomed between rival definitions of the school as a traditional community high school versus an increasingly competitive academic school. At East City, to a large extent, the centrality of TQM to the schools success at change precluded conflict over policy. At South Beach conflict over the wording of the direction statement provided an apt example of Balls point. However, broad acceptance of the Integral Learning model for change in the context of the LCP restricted further evidence of conflict over policy in the case study to the expansion of VET and the disagreeableness of performance management. The M inesville, East Hills and Port City case studies explored the ways in which conflict over DoE policy implementation was a significant part of each schools way of defining itself. DoE change and hierarchical system and school structures were change enabling factors at these schools. However, hostile responses such as those to the charter and annual reviews at Port City, the CSF at M inesville and curriculum change to accommodate the compulsory study of Sport Education and LOTE at East Hills were important to each schools definition of itself. In these three schools, the goals of those who supported change and the goals of those who favoured continuity were pitted against each other. In these schools goals were diverse and dissensus, not consensus, was the norm. These schools were indeed the places of struggle and compromise that Apple described (1998, p. 79). Curriculum initiatives such as the pastoral care and

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middle school elective programs at Port City were undermined because of, in one case, a contest within the school and, in the other, between the DoE agenda and the schools. In contrast, the case studies of West Bay, East City and South Beach show a high level of goal congruence. Across the schools, whether goals were unitary or diverse, the case studies endorsed Anguss (1995) view that in school change meanings are contested. Respondents took a range of views within each site on matters such as the meaningfulness for the school of charter development, TQM , VET programs and CSF implementation. The case studies showed that of the three schools that attained high levels of unanimity about the purpose and direction of change, two of them were driven by clear theories of change (East City TQM and South Beach Integral Learning within the LCP). At West Bay, change did not have such a theoretical underpinning. Instead, a collaborative process had resulted in acceptance of the viewpoint that continuing to meet the needs and expectations of the community was sufficient to guide successful change. Leadership of Change Across the sites presented in the case studies, leadership of change was exercised in a variety of ways. Among the types of leadership shown by members of the six schools there were examples that, to some extent, supported the range of views about the nature of school leadership found in the relevant literature. Reflection on the way leadership contributed to change across the sites contributes to the contested issue of whether it is transformational leadership or participative leadership that has the greater capacity to bring about positive school change.

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M any of the selected authors emphasized the importance of the principal in promoting positive school change (Hall & Hord, 1987; M cRae, 1988; Bolman & Deal, 1993; Leithwood, 1994). The predominant view was that the principals support and commitment was critical to successful change. All of the six principals played significant roles in the management of change, however, it is the differences among the ways they went about this work that is of most interest. At M inesville, East Hills and Port City the principals played overt leadership roles in their efforts to bring about change, particularly in the early stages of their principalships. On the whole they used required Departmental change requirements to effect the change they perceived as needed. For example, at East Hills the principal enunciated a vision for the school in writing the charter and at M inesville the principal was able to refer to the authority of the charter to carry out a significant curriculum change he favoured. The way they seized these opportunities was aligned with Leithwoods (1994) emphasis on the importance of secondary principals focusing on second order change. Duignans (1990) view that it is part of the principals role to provide the challenge to others to join them in identifying worthwhile change was seen in practice at South Beach S.C. Respondents saw that the principals vision provided the leadership needed to initiate the LCP confirming Chui et al.s (1996) finding regarding the powerfulness of the principals vision in communicating and evolving shared values. The assistant principal of South Beach perceived his principals role as creating the environment (atmosphere or culture) where change could occur. The principal confirmed Ramsay and Clarks (1988) point that a process for change, as well as vision, is important in joining three other secondary colleges in the carefully designed Learning

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Community Project. The LCP met Northfields pre-requisites for leadership in that its numerous projects provided opportunities for developing personal understanding of Integral Learning, giving and receiving support and reflecting on practice. Louis (reported by Keller, 1998) suggested that an important part of school leaders work is structuring the stories of their school. While at South Beach the story of the school was about the human side of education, at East City and West Bay the common story was about survival and turning things around. While South Beachs story was begun by the principal, at East City a group of staff without any positions of responsibility (SECT) outlined the story that was to be taken up by the new principal and developed within the structure provided by TQM . At West Bay it was principal and staff responding to the communitys rejection of the school that was the genesis of the survival story. The stories in these three schools provided the shared meaning that Fullan (1991) suggested was more effective in achieving change than leaders visions. Teachers Experience of Change M indful of the many authors, including Evans (1996) and Fullan (1991), who have written insistently that participants experience of change must be considered and understood by those who would succeed with improving schools the case studies explored teachers perceptions of their own and others experience in the context of diverse change. Louis (1998) confidence that much of the best practice in education is not generated by scholars in laboratories, but by teachers and school leaders in actual settings (p. 1091) endorsed the rationale of the case study methodology of this study. Across the sites, teachers were involved in implementing numerous changes. M any of these emanated from the Schools of the Future change program. Teachers

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attitudes to these changes were diverse and ranged from enthusiasm to resentment and refusal. The school charter was the process most approved while performance management and annual review were the most disapproved. At M inesville, East Hills and Port City the teachers experience of change was, in the main, directly or indirectly related to the Schools of the Future program. This accounted for much change being implemented without enthusiasm and with considerable resistance. At South Beach, East City and West Bay more positive attitudes held sway. On the whole, change was experienced as rewarding because it was seen to meet Coopers (1988, p. 54) benchmark of teaching professionalism, that is, of helping children or helping the school and its community by securing the future of the school.

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CHAPTER FIVE

DISCUSSION OF RESPONSES: PERCEPTIONS OF SUCCESSFUL M ODELS AND PRACTICES FOR POSITIVE SCHOOL CHANGE

PERCEPTIONS OF KILM ANNS INTEGRATED PROGRAM FOR ORGANIZATIONAL SUCCESS

This chapter presents a discussion of the responses in relation to the first major research question followed by a discussion of the responses in relation to the major research questions 2 4 presented in the form of a multisite study. The first major research question asked: What are the perceptions of school principals and teachers in six selected secondary colleges, within the Schools of the Future program in Victoria, of the potential to effect school improvement of a particular North American program designed to create and maintain success in any organization? The program referred to in this major research question was Kilmanns integrated program for organizational success. In the conceptual framework for the study, a large circle at the centre represented Kilmanns integrated program for organizational success (see p. 82). It was labeled element F. Questions 15 17 in the interview guide specifically sought data related to this major research question. The first section discusses the respondents perceptions of the Kilmann program expressed in answer to Question 15. The second section discusses the respondents perceptions of the Kilmann program expressed in answers to Questions 16 and 17. Responses to Interview Question 15: The Need for an Integrated Approach to Change Question 15 invited respondents to share their perceptions of the central element of Kilmanns program, its integrated approach. Question 15 asked: What are your views about the importance of an integrated approach as described in Kilmann's model for a successful outcome to a change process?
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Table 2 presents the responses to Question 15 in summary form but the importance of the individual opinions of respondents is conveyed only in the discussion that follows.

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The perceptions of each respondent expressed in answers to Question 15 were found to fall into one of three categories: (1) the perception that Kilmanns integrated approach was appropriate to the school setting, (2) the perception that it would be appropriate if modified to suit the school setting, (3) the perception that it was inappropriate to the school setting. Data were available from twenty-eight respondents. (Twenty-eight of the thirty scheduled interviews were completed. One respondent became unavailable for interview and equipment failure during the interview of another, Russ Perry, meant answers were not recorded to Questions 15 20.) Eighteen respondents perceived the Kilmann program as appropriate, seven as appropriate if modified and three as inappropriate. The Integrated Approach Perceived as Appropriate Seven of the nine principal class officers answers to Question 15 affirmed the appropriateness of Kilmanns integrated program to provide a successful outcome to a change process in the school setting. M ost answered this question in very general terms. They ranged in tone from very positive to mild in the support they gave to the integrated approach advocated by Kilmann. Des Stephens was the principal who was most enthusiastic about Kilmanns program. He thought it was a great approach. Two other principals viewed the integrated aspect of Kilmanns program in very positive terms. One of them, Barbara Warren, described it as very important, the other, Bob Thomas, as very sound. Of the principals who perceived Kilmanns model to be appropriate to school change, the least enthusiastic endorsement was by Dave Robbins who commented It certainly looks all right the model certainly could work.

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An assistant principal, Peter Crouch, thought that the integration aspect of Kilmanns program was correct. Another assistant principal respondent, Jim M acM illan, found the integrated program quite useful the tracks idea is quite interesting theyre really important things. One assistant principal, June Pirie, endorsed Kilmanns integrated program because of its consistency with the quality precepts on which her school had based its successful change program: If you talk in quality precepts thats exactly what you do. You need to take a step back and see whether its something thats going to take a long time to fix or what the process is to fix it so you really do need not to have a knee jerk reaction. The knee jerk reaction only fixes as a one off and doesnt really look at the cause of the problem Of the eleven teachers who perceived Kilmanns integrated approach to be appropriate to managing change in schools, seven expressed their views in general terms. A teacher-librarian, Allan Bailey, thought, the overall idea is fine. A careers teacher, Lisa Lloyd, said, I think its probably the only way to go. A timetabler/daily organizer, Judy Cook, began her answer to Question 15 asserting, Theres no other way really. A curriculum coordinator, Phil Clayton, endorsed the integrated program, saying I see nothing in my experience of change in schools which conflicts with the common sense of these diagrams. Another curriculum coordinator, Keith Lawrence, began with moderate agreement, I think his model is quite a valuable one but quickly strengthened his view to say, if you dont have an integrated, comprehensive approach youre almost guaranteed to fail. A teacher in charge of maintaining the school environment, Bruce Tulloh, was emphatic, I think its excellent, truly excellent. A teacher member of an information technology change committee, Kerry Bannister,

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emphasized that there was no sense of rejection from me at all but insisted that there must be discernible outcomes from the process. Five teachers gave specific reasons to support their view that the integrated approach was appropriate to change in schools. In different ways, each expressed the perception that Kilmanns integrated program was appropriate because it provided a structure that recognized the complexity of school change. Doug Hogan, a teacher responsible for daily organization and timetabling summed up his response to Question 15: it actually gives you a structure on which you can work and it helps you organize the whole thing. A teacher responsible for accountability processes, Ian Blue, provided a detailed account of the integration of a change process in progress to express his affirmative response to Question 15. All three teacher respondents from one school, Port City S.C., perceived that Kilmanns integrated program provided a means of coping with the complexity of change in schools. A daily organizer/timetabler, Brian Clarke, thought Kilmann was appropriate to the school setting because nothing is simple and youve got to really look at all the aspects of the problem and all the different ways and things that need to be done to solve it. Bill Rogers, a year level coordinator, agreed: you have to be aware of any change, how its going to impact on the rest of the organization. Thats important, its very easy to look just at one area in isolation. To express his agreement with Kilmanns holistic approach, a member of a technology change committee, Kerry Bannister, gave a passionate account of his vision for the involvement of all in the change that he believed was needed at the school: I would say that without some attempt by each and every member of staff and then by the whole organization to see how the organization as a whole is

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working, then the possibility of effecting a change that is going to be worthwhile and lasting is virtually negative. There are those who would say this is my desk, this is my task and isolate themselves from the process of change and yet that process of change is going to impact upon even them. So for an organization to undertake large scale change of the sort of changes as I see as being necessary for this school, it is necessary for the whole picture to be addressed and that is: What is the cultural, political, social context of this school? How does it actually work? What are the dynamics of it? and how can we see this school as a dynamic society move down the track say, for a five or ten year period? So I agree with the whole notion. The Integrated Approach Perceived as Appropriate if M odified The answers to Question 15 of two members of the principal class from South Beach S.C. placed their perceptions in the appropriate if modified category. Terry Lincoln, the principal, hadnt really considered whether Kilmann was right for us, but it could very well be. He made it clear, however, that any model would be modified to support coherent action rather than being used as a blueprint for change. The assistant principal, Don Blackney, the only respondent to make use of the training provided in Kilmanns program, thought that the essence of Kilmann is really good but believed it needed to be modified as much of it, particularly the careful staging of different things was not particularly relevant to a school setting or maybe to an Australian culture. Seven teachers perceived that Kilmanns integrated approach would be appropriate to the school setting if it were modified. After beginning her answer by reflecting on the change processes used at East City S.C., M ary Russell, a level coordinator, concluded that Kilmanns program can be modified and adapted to the school situation. John Kelly, the Information Technology coordinator began with an affirmative comment, I dont see how you would do otherwise but was quick to qualify his view, commenting on the five stages of planned change element of the

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integrated program. He thought that in the school setting it would often be necessary to go back a step and do some more homework. Pam Elliott, a year level coordinator, would reverse the order of the first two stages of the five stages of planned change model. A sub-school coordinator, Frank Clarke, thought some parts of the integrated program were a little idealistic. As an example, he cited Kilmanns principle that all criteria are met before movement from one stage to the next on the five stages of planned change. Another sub-school coordinator, M aureen Haywood, thought that the integrated program was good on paper but thought whether you would use the pattern fully was another matter, implying it would need to be modified. The Integrated Approach Perceived as Inappropriate Three teachers perceived Kilmanns integrated program as inappropriate to the school setting. A professional development coordinator, Patricia Vincent, began her answer by saying, I guess I think its really important. However, after reflecting on change as it takes place in schools she rejected outright all change models that have their origins in business settings. She concluded her answer by asserting that models such as Kilmanns are becoming part of the problem. In contrast, a year level coordinator, Tom Scott, was accepting of applying business models to schools but rejected Kilmanns as too rigid. Julie Austin, a sub-school coordinator, began her reply by expressing her amazement at how the integrated program was just so terribly obvious that she wondered why anyone would bother to write the diagrams down. Her rejection of the integrated program was very strong: there were bits of it that I thought deary me, this person has never been in a school. Some of it just doesnt work.

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Responses to Interview Questions 16 and 17: The Emergence of Cognitive Dissonance

Questions 16 and 17 extended the discussion of the application of Kilmanns theories to schools. These questions were: 16. If the decision was made to introduce Kilmann's approach to implementing a whole-school change process in your school, what do you think would be the constraints which might prevent or limit the application of Kilmann's completely integrated program for change to the school setting? (a) Please rank these 'barriers-to-success' in terms of the relative degree of difficulty which would be encountered in transforming each into 'channels-tosuccess'. (b) Kilmann asserts the importance of completing each of the five stages before moving to the next. If you were using the Kilmann program in your school, how would you rank the degree of difficulty in completing each of the five stages? 17. In your view, does Kilmann's plan overlook any aspects of change as it occurs in schools? Table 3 presents the responses to Questions 16 and 17 in summary form. It is stressed that the individual opinions of respondents are important and are described in the following discussion.

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Questions 16 and 17 provided the opportunity for elaboration of respondents perceptions of Kilmann. The responses provided thick descriptions of respondents varied views of the potential for the use of Kilmanns integrated approach to change in schools. For many respondents, answers to these questions revealed a more complex response to the first major research question than found in responses to Question 15. Respondents perceptions were found to be accommodated by five categories: (1) the perception that Kilmanns integrated program was an appropriate model for managing change in Victorian secondary colleges, (2) the perception that it was appropriate qualified by some reservations, (3) the perception that it would be appropriate if modified to suit the school setting, (4) the perception that indicated ambivalence about Kilmanns approach, (5) the perception that it was inappropriate. The perceptions of twenty-four of the twenty-eight respondents fell into two or more of these categories. Only five respondents expressed perceptions that were in one category, ten respondents perceptions were in two categories, ten in three categories and three in four categories. This suggested that questions that invited hypothetical application of the Kilmann model to school change and comment on any aspects of school change it may overlook, produced cognitive dissonance in respondents. A principle of cognitive dissonance theory is that dissonance results when an individual must choose between attitudes and behaviours that are contradictory (Festinger, 1957, p. 5). The clash between the appeal of the rationality of Kilmanns integrated approach and awareness that change in school is rarely so rational, emerged in many interviews. The cognitive dissonance that respondents experienced will be explored through the thick descriptions.

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Kilmann M odel Perceived as Appropriate Whereas eighteen respondents answers to Question 15 perceived Kilmanns integrated approach to change as appropriate, answers to Questions 16 and 17 revealed that fourteen respondents expressed this perception. In addition to very general affirming comments, answers to Questions 15 revealed three reasons for perceiving Kilmanns appropriateness for managing change in schools: (1) approval of the structure provided to deal with the complexity of change, (2) post hoc analysis of change in terms of Kilmanns model to show its appropriateness, (3) similarities to the TQM approach. Perceptions which emerged in answer to Questions 16 and 17 provided further examples of the first two of the reasons provided in answers to Question 15 - (1) approval of the structure provided to deal with the complexity of change, (2) post hoc analysis of change in terms of Kilmanns model to show its appropriateness - and four additional reasons: (3) respondents psychological compatibility with Kilmanns approach, (4) approval of broad participation in change, (5) approval of the use of external consultants, (6) successful use of Kilmanns model. 1. Structure and Complexity of Change In responses to Question 16, three respondents expressed the view that Kilmanns model provided the structure needed for successful change. Two of them, a principal, Dave Robbins, and a level coordinator, Bill Rogers, described the benefits of explaining the use of the Kilmann model to all staff before a change effort commenced. Dave Robbins, referring to schools unlike his own, schools where there were not a lot of prime movers, asserted that it would be very useful because they (teachers) could see exactly how it was going to operate, what role everyone had, how youd go

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about doing things. Bill Rogers envisaged a more collaborative and tentative approach: It would be good if staff had the opportunity to hear (the principal say) Heres a model of how we can change. Are you comfortable with this? Well, OK, well try to follow this model so you know whats going on. A third respondent, Keith Lawrence, perceived the structure afforded by the Kilmann model as a remedy to the problems encountered in implementation of change projects: Lots of projects start with a great idea and they stumble along the track. So you really do need to think clearly through the whole process as this model indicates 2. Post hoc Analysis of Change Using Kilmanns M odel

Two respondents answered 16 (b) by retrospectively analysing change processes to show the fit between school change and Kilmanns model. One described a successful change process to show how it had closely followed Kilmanns five stages of planned change model and the other described how a planned change could have been improved had that model been followed. The successful change was described by Lisa Lloyd, a careers teacher. She outlined the enhanced transition program designed to retain Year 7s at the start of the renewal of her school, East City S.C. Bill Rogers, a year level coordinator, generalized the reasons for failed change attempts at Port City S.C. and provided the recent example of the mandated introduction of Sport Education at Years 7 - 10 in terms of Kilmanns five stages of planned change model: Too often we jump straight from 1 to 4. Oh yes, better change. Bang! That would be where I would see it too much rush. Were going to have sport next year. Bang! Someones got to do it; you go ahead and do it. But its going to be introduced without looking at everything. Scheduling the tracks: what do we need to do? This, this and this before we actually do that. A lot of that is skipped. Too much happens without going through looking at Whats the real problem? How are we going to overcome it? Whats going to be done before this happens?

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3. Psychological Compatibility with Kilmann Four respondents revealed in the language of their answers to Questions 16 and 17 that Kilmanns holistic and ordered approach to change was compatible with their own psyches. One assistant principal, Jim M acM illan, was very enthusiastic in claiming his affinity to Kilmann: (He) sounds like a man after my own heart. A principal, Des Stephens, revealed strong interest in understanding Kilmann and believed he would find some answers to organizational problems: It seems a sensible model. Just after reading this to get so many things jumping out at me, Im interested in reading more I think I probably could do better after reading him. To a year level coordinator, Pam Elliott, the temptation of the quick fix was psychologically very real but Kilmanns rational approach appealed because it reminded her of the importance of extending her role beyond reactive responses to problems such as student misbehaviour: I agreed with it overall, I feel that yes, you dont have quick fix answers. Sometimes you would like to, especially as a coordinator which I am every now and then you have to pull yourself up and say right Ill try and do something rather than just chase the "naughties". Bruce Tulloh, a teacher responsible for the school environment, found Kilmanns model reassuring: I feel very comfortable because its better to have a plan than no plan at all. 4. Broad Participation in Change Participative management was Kilmanns fourth principle for improving organizations (1989a, pp. 13-15). In his answer to Question 16, this was the element of the Kilmann model that one principal, Dave Robbins, singled out as justifying the introduction of the Kilmann model to schools:

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(It would be) a way of ensuring that change can take place where people, particularly those who arent high up in the hierarchies, are able to involve themselves in it. This is one reason why something like this could be a very valuable tool 5. Use of External Consultants Kilmanns fifth principle for improving organizations outlined the role of external consultants (1989a, pp. 15-18). The use of external consultants was an element in the model strongly endorsed by two respondents. A principal, Des Stephens, saw that external consultants could work effectively on each of the three fronts suggested by Kilmann. Firstly, he saw the benefit of the external consultant diagnosing the problems of the school. He perceived that this would provide leverage for change: then, to be able to turn around and say to staff well, here are the problems that you have identified, so lets do something about them. Secondly, he identified the capacity of the external consultant to facilitate change: bringing in someone, them being the bad boy rather than the principal, them saying well, perhaps this needs to be changed here are some ideas and letting the staff react with an independent person. Thirdly, he warmed to the idea of the external consultant confronting troublemakers:

I think its a good idea because they would take a lot of the heat and you could almost come in as a peacemaker in the end. With the only elaboration being the pleasant memory of working as an external consultant himself, one teacher, Brian Clarke, singled out this element of the Kilmann model for approval: I like the notion of consultants. 6. Successful Use of Kilmann M odel Of the twenty-nine interviewees, one only revealed any prior knowledge of Kilmanns work. When asked about the hypothetical implementation of Kilmanns program at his school, Don Blackney, an assistant principal, replied:
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I dont have to be hypothetical at all. Weve done it. We developed a school vision statement and we said that in the implementation of it we have quite deliberately modeled it on Kilmanns approach a lot of people werent much interested in the Kilmann theory. Right, didnt particularly want to know about all that stuff but were happy to go along with it We havent been very doctrinaire about it at allIf you wanted to grid the Kilmann program on what weve done, thered be a fair few areas of misfit. This was the single attempt in the six secondary colleges in this study to use Kilmanns model, albeit in a somewhat modified form.

Kilmann M odel Perceived as Appropriate but with Reservations In their responses to Questions 16 and 17, fourteen respondents fell into this category. They held the view that the Kilmann model was appropriate for application to school change but expressed a number of reservations about it. These reservations were six in number: (1) appropriate but as a guide rather than a plan to be followed, (2) appropriate but some elements unrealistic or idealistic, (3) appropriate but mismatch between remuneration of teachers work and the Kilmanns reward system track (1989a, pp. 151-172), (4) appropriate but school culture not responsive as proposed in Kilmanns culture track (1989a, pp. 49- 72), (5) appropriate but Kilmanns evaluating the results (1989a, pp. 45-47) in his five stages of planned change not readily implemented in schools, (6) appropriate but aspects of teachers work would be obstacles to implementation of Kilmanns program. 1. A Guide Rather than a Plan to be Followed

Of the fourteen respondents the researcher found that fell in this category, four of them expressed the reservation that the Kilmann model was somewhat too rigid in its design for faithful implementation. The assistant principal, Don Blackney, who began his answer to Question 16 by announcing that he had used the Kilmann program later

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described the ways in which it was used effectively as a guide rather than a program in the development of the schools direction statement: I sold the rest of the team on the idea of using the Kilmann model more or less to guide us in that (developing a direction statement) He sells it as a kind of five step plan you do this, you do that and you do them in these orders and you must follow this approach - schools are too chaotic for that Schools dont work that way. Theyre much more fluid, theyre not a sequential sort of thing. Two other respondents who discussed the five stages of planned change diagram agreed with this point of view. A curriculum coordinator, Phil Clayton, commented, perhaps it wont be as tidy as it appears in the diagram here. A daily organizer/timetabler, Brian Clarke, explained the way that the five stages of planned change may be too simple: Youd wonder whether it was perhaps too simple a diagram because you might go from one stage while youre doing stage four you might go back to stage two when youre implementing something you might have to go back and diagnose a problem beforehand. Ian Blue, a teacher responsible for his schools accountability processes, pointed out succinctly that school planning must be more flexible than suggested by the five stages of planned change model, You cant just plan there will be changes along the way. 2. Unrealistic Aspects

Three respondents expressed the reservation that it was unrealistic to attempt to implement some aspects of the Kilmann program. Frank Clarke, a sub-school coordinator, who in answering Question 15 had perceived the model as appropriate if modified, commented that Kilmanns rules for progression (1989b, p. 203) around the five stages of planned change were unrealistic: some parts were a little idealistic, for example, That movement should not take place from one stage to the next until all the criteria for the earlier stages have been satisfied I think thats probably difficult in the situation of the school. If it gets bogged down somewhere change will never happen. I think
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there needs to be a pushing alongwhether youve successfully completed a stage or not. Terry Lincoln, a principal who had also previously deemed the model appropriate if modified in his response to Question 15, had exactly the same reservation about the movement from one stage to the next: I dont necessarily see that things can ever be quite that planned because one of the things that occurs in a school situation is that you dont know what demands youre going to have to respond to in any given situation, the next day the next week. Another principal, Des Stephens, who had expressed strong approval of applying Kilmanns model to the school setting, subsequently expressed the opinion that some elements might be unrealistic. Although still striving for the levels of goal congruence and teamwork envisaged as the outcome of Kilmanns integrated change program, he spoke as if this was just too much to expect: only if the school is composed of well functioning teams working towards the same objective etc. Every school Ive been in, I havent achieved that Were prodding and shoving and pushing and cajoling to get people to be energetic and enthusiastic and its very hard work. I havent got a solution 3. Reward System

For Kilmann, the change effort was sustained by a performance-based reward system (1989b, p. 215). Doug Hogan, a timetabler/daily organizer who saw Kilmanns model as providing a valuable structure for planned school change, expressed a strong reservation about the reward system track: anyone whos in teaching from the principal down is not financially rewarded for what they do But most people are in teaching because of rewards that are non-financial sorts of personal things you get out of teaching. They end up producing the results despite the fact that there are limited financial results there.

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4. Culture Track In a diagram depicting the scheduling of the five tracks over time, Kilmann drew the culture track to represent it as achieving its goal of establishing trust, information sharing, and adaptiveness; being receptive to change and improvement (1989b, p. 215) in less than three months (1989a, p. 183). A principal, Bob Thomas, who had found Kilmanns model to be appropriate in answer to Question 15 had a reservation about the implementation of the culture track in schools: Changing the culture takes a heck of a long time, a lot longer than three months and, in fact, if youre talking about a whole school, the culture wont change unless youve gone through a process of development of a shared belief, common mission, common teamwork and the changing culture 5. Evaluating the Results Evaluating the results is the fifth stage of Kilmanns fives stages of planned change. Evaluating the results occurs at three levels in Kilmanns program: the pilot program, change in the work unit and determining the impact of the whole program on organizational success (Kilmann, 1989b, p. 225). Two respondents who found the Kilmann program generally appropriate for school change expressed reservations about this element of it. June Pirie, an assistant principal, remarked on the prevailing attitude to evaluating the results at East City S.C. Her matter-of-fact manner suggested that the priority Kilmann gave to evaluating the results would not readily be accepted in the culture of the school: We have great difficulty with the Evaluating the Results. I think once something has been in progress and its happened you tend to move on and you dont tend to spend the time in evaluating what you have done. The perception that in schools there is a tendency to move on before an evaluation

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of the results can occur was shared by a level coordinator, Pam Elliott, who remarked that sometimes youre getting very busy with something else that lands on your plate. For these respondents, evaluating the results does not take place and the implication is that there would be some difficulty in implementing this element of the Kilmann program in schools.

6.

Aspects of Teachers Work Four respondents who perceived that the Kilmann program was generally

appropriate to the management of school change in their answers to Question 15 (Barbara Warren, Bruce Tulloh, Bill Rogers and Kerry Bannister) identified reservations about its implementation in schools arising from their perceptions of the nature of teachers work. M ary Russell, who had perceived it as appropriate if modified when answering Question 15, here expressed qualified support. These reservations concerned workload, dominance of the core task of teaching, the lack of time for organizational change and the independence of mind of many teachers, A principal, Barbara Warren, identified workload as an impediment to the implementation of the Kilmann model in schools. A level coordinator, M ary Russell, spoke about the central importance of teaching that would make it difficult for teachers to become involved in implementing the Kilmann model: (Organizational change) is not part of what we do. We conduct business which has got nothing to do with these examples. In other words, were teaching quite a lot, thats our main job so therefore when we get stressed people tend to go leave all this, because they dont see it as the main game, quite rightly so I suppose. The related concern of the lack of time for teachers to become involved in implementing the Kilmann model was mentioned by a level coordinator, Bill Rogers, as a barrier to its introduction to the school setting. He considered the scope of the Kilmann program,

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described the way teachers were currently working and concluded that it would require the school to be shut for six weeks to achieve the organizational success promised by the Kilmann model: Time. Looking at the culture of the school, checking the assumptions, that sort of thing. Developing, not necessarily a consensus but an acceptance of the direction of change that all takes time and teachers are busy people Now everyone is virtually working in isolation because theyre on the go, the time isnt there. Three respondents commented on the independence of mind of the teaching profession as an obstacle to the implementation of the Kilmann model. Barbara Warren, a principal, imagined a sceptical response from staff Why are you doing it? - if she were to ask them to become involved in implementing the Kilmann model. Kerry Bannister, a teacher who was passionate about change, believed that every five years the school has to reinvent itself (and achieve) discernible outcomes from the process. Nevertheless, he anticipated the staff would recoil from Kilmann model: If that diagram is presented to staff, they will say this is endless change and they wont buy it

Another teacher, Bruce Tulloh, predicted that in applying the Kilmann model to the school setting, the implementation of the tracks would be made difficult by the divergent values or beliefs of staff members.

Kilmann M odel Perceived as Appropriate if M odified Nine respondents expressed the perception that the Kilmann model needed to be modified for it to be used successfully in schools. In answering Question 15, four of these subjects had expressed the opinion that the Kilmann model was appropriate if modified (John Kelly, Pam Elliott, Don Blackney and Terry Lincoln). Three had

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perceived it as appropriate (Keith Lawrence, Phil Clayton and Ian Blue) and two had deemed it inappropriate (Patricia Vincent and Julie Austin) Four modifications were suggested: (1) the addition of feedback loops to the five stages of planned change model, (2) the addition of a sixth stage to the five stages of planned change model to represent the establishment of common direction among the schools stakeholders, (3) the addition of evaluation criteria at stage one initiating the program, (4) the implementation of selected parts of the Kilmann model. 1. Feedback Loops With four respondents recommending it, the addition of feedback loops was the most frequently identified modification felt to be needed to the Kilmann model to make it suited to managing change in the school setting. When considering the five stages of planned change model, John Kelly, an information technology coordinator, identified the need for feedback loops in the rhetorical questions he put to the researcher: Do you ever go backwards at any stage? and Is there anything built into that mechanism so that you can review it at each stage? Two respondents suggested that the five stages of planned change model needed to be modified to have reiterative loops between stage two (diagnosing the problems) and stage four (implementing the tracks). Julie Austin, a sub-school coordinator, explained why she perceived the one-way direction of the five stages of planned change as unsuited to the nature of change in schools: His is a very one way track. Sometimes when you get to this stage (implementing the tracks) you think oh yeah, well Im implementing it but Ive now looked at whats going on somewhere else and it really might have been better if instead of doing this so you need to have a bit of a chance to go back here (to stage 2) and say look, we now think we might have to change. Well have a little quick track around here (linking stages two and four) because

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this would be better. So there should be a chance to have a bit of feedback, youve got to be able to feed it back a bit. Don Blackney, an assistant principal, suggested that the complexity of the school environment means that a lot of the problems you need to diagnose wont even be imagined until youre at the implementation stage. So that in fact, it has to be a much more complex staged thing He went on to suggest that the modification should provide internal loops at several points because in school change it was not appropriate to evaluate the results only at stage five: Curriculum changes are themselves complex and tend to slide into another change before the change is complete, so any point which you are evaluating results is an arbitrary point. Reflecting on his experience of complex change involving extensive staff professional development and curriculum change at South Beach S.C., Ian Blue, a teacher responsible for accountability processes, agreed that evaluation will be ongoing as well as final. He also argued that there needed to be two-way movement between stage three (scheduling the tracks) and stage four (implementing the tracks): the designing and implementing stage where you sometimes seem to go backwards as part of going forwards where all of a sudden youve outlined what the problem is and now the task seems ten times as big as it was before I think theres a bit of looping going on in this model for educators, you may need to reschedule what youre planning to do. So, where you go from scheduling to implementing, you probably go back scheduling and re-scheduling and around a few times I think 2. Common Direction Three respondents suggested modifications to the five stages of planned change so that the model recognized the importance of winning teachers support for the proposed change. A curriculum coordinator, Keith Lawrence, suggested that M aybe it needs a little circle between stages 2 and 3 ensuring that theres a common direction and a common support and agreement for the initiative. It
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doesnt mean that everyone works on the initiative but theres an awareness that this is happening. To achieve the same end, another curriculum coordinator, Phil Clayton, proposed combining stage one (initiating the program) and stage two (diagnosing the problems): Stages 1 and 2 could run together because this implies persuading people that there is a problem. You can quite often have a situation in a school where some people in the school perceive there is a problem and others dont. An example could well be staff morale Pam Elliott, a level coordinator, shared the concern that problems may be misdiagnosed if stage two is undertaken without considering all points of view. She suggested reversing the order of the first two stages of the five stages of planned change with the purpose of ensuring that a common direction for the change effort was established: You have to actually say what is the problem to start and initiate the program, so I would put 2 and 1 back the other way We need a wider number there (at the start) to actually identify do we really have a problem or is it just one person saying we have a problem because of a personal beef about pushing a certain line. 3. Evaluation Criteria As already mentioned during the discussion of Feedback Loops, two respondents (Don Blackney and Ian Blue) suggested modifying the five stages of planned change so that evaluating the results would be carried out throughout the stages. A professional development coordinator, Patricia Vincent, reflected on the experience of an outside consultant convincing her that evaluation criteria for a change in teaching and learning must be established at the start. for a while I was a little bit sceptical about it because it slowed it right down. Instead of moving from initiating a program to doing something, he really wanted us to get back to what is your concern about the way the kids are learning and try to articulate it. People would say theyre not motivated and he would say what exactly does that mean? What do you see in the classroom? How do you know
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theyre not motivated? How will you then know whether what you do motivates them? This experience led her to recommend that the five stages of planned change be modified to include an additional stage for evaluation criteria at the start of the cycle. 4. Selective Application Two respondents from South Beach S.C. made it clear that they would not subordinate their schools agenda for change to a model such as Kilmanns. Since they perceived it as appropriate to the school setting, they would, if it were to be implemented, apply it selectively. Ian Blue, the teacher responsible for the schools accountability processes, expressed the view that some of this is very appropriate to what we are doing, it fits very well there is nothing that I would say you couldnt use this in some way. Terry Lincoln, the principal, was most definite about asserting the independence of the school in determining its direction and how it would get there: it boils back to the basic premise which is you choose where you want to head. You decide that you are really the people who are holding the "footy", nobody else is. So in diagnosing the problems, for example, or initiating the program even at that stage, saying well, well pick and choose this part. Well take it all on board and if we dont want to, fine, its up to us. With that premise in mind, I can see that this model is quite appropriate. Kilmann M odel Perceived as Appropriate but

The perceptions of eleven respondents were ambivalent, that is, they expressed opposite and conflicting views of Kilmanns program or of specific elements within it. The respondents expression of ambivalent feelings concerned three topics: (1) the reward system, (2) the experience of school change, (3) planning for school change.

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1. The Reward System The ambivalence of two respondents concerned the reward system. For one, the reward system track was rejected as an element that was out of step with what motivates teachers while the other expressed contradictory views about extrinsic and intrinsic rewards as motivators for teacher performance. Bill Rogers, a year level coordinator, had expressed the view that Kilmann was an appropriate model for managing school change in response to Question 15. While answering Questions 16 and 17 he had qualified his stance with the reservation that time to undertake the program was a problem. However, about the reward system track he was passionate in his rejection of it: Teachers basically who survive and persevere are in it for the reward of seeing kids growing and developing and getting positive feedback. Theyre not in it for an extra 5% if I can prove Ive done this. Thats not what teachers are on about. A teacher-librarian, Allan Bailey, was ambivalent about the rewards system track. He both denounced the inadequacy of the remuneration teachers received and suggested that non-monetary rewards are prized by teachers: it can be just a verbal reward. And that type of reward is often more valuable than money. 2. Experience of School Change Two respondents expressed their ambivalent feeling aroused by the discussion of the Kilmann model in the form of a contest between two contrasting thoughts- This is a good model but my experience leads me to reject it.

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M aureen Haywood, a sub-school coordinator who had answered Question 15 by expressing the perception that Kilmanns model was appropriate to schools if modified, subsequently expressed strongly ambivalent feelings: Its a good idea, its a good concept but thats not how it really works wholly, no not in a school. It might in business, but doesnt in a school. In exploring why thats not really the way it works she pointed out that change in the school is more complex than the model allowed (I dont think its as simple) and that it was too extended over time (people have to see an implementation fairly soon). Patricia Vincent, a professional development coordinator who had dismissed the Kilmann model as inappropriate to schools in her answer to Question 15, later expressed ambivalence in a similar way to M aureen Haywood. She thought it would be wonderful if you could have a go as a research project to implement the Kilmann model but, in the same answer, pointed out that the model just overlooked the complexity of schools, the busyness of schools. 3. Planning for School Change

Bob Thomas, a principal, had seen the model as appropriate to schools in his answer to Question 15 (very sound) but later expressed a contradictory view that Kilmann overlooks an important aspect of planning for change: I dont think that this program for change tackles the fundamentals which will lead to change to a sufficient extent people need to go through the process of developing a shared vision or shared mission, shared purpose they will lead to change. ... Then you can implement this sort of structure or other sorts of structures Another principal, Dave Robbins, whose opinion when responding to Question 15 was that the Kilmann model was appropriate for the management of change in schools, here expressed ambivalence between contradictory perceptions of the Kilmann

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model. He saw it as both constraining (to sit down and use this sort of model would be constraining) and meeting the need for a logical structure (Id guess Id like to have a more logical structure to base change upon). It emerged in discussion that this ambivalence was based on his understanding of his own psychological response to planning change and the different understanding of other stakeholders: (Im) fairly used to just working in a little more anarchistic ways than this structure. Thats not to say it suits everyone. I think that some people would appreciate a more cohesive model of change. Those of us who are good at just running off and doing things often turn around and wonder why the rest arent chasing behind. In some ways having an accepted structure by everyone is probably not such a bad thing. Despite asserting its appropriateness in answering Question 15 and in subsequent discussion in response to Questions 16 and 17, a teacher member of an information technology change committee, Kerry Bannister, conveyed ambivalence in a paradoxical statement about planning to manage change when it is inherently unmanageable: I think hes put his finger on the need to plan the change and to manage it. What I dont think he spells out is that change is inherently unmanageable. What I dont think he has said is that there is a time bomb always or a hidden bomb in there and that change is likely to blow up in your face and youve got to go into damage control and thats not spelt out there. Phil Clayton, a curriculum coordinator who had endorsed the Kilmann model as appropriate in his response to Question 15 (nothing in my experience of change in schools conflicts with the commonsense of these diagrams) with a minor rider (it wont be as tidy as it appears in the diagram here) expressed quite strong ambivalent feelings as the discussion progressed, showing some agreement with the previous respondent on the extent to which school change is manageable: I find Kilmanns plan embraces a commonsense point of view. M y main reaction to it is that on paper it makes change in a school look like a smooth process with A leading to B leading to C. But it never is, but it never is. There are so many variables in a school that it makes almost any process, and certainly
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a process of widespread change, a very untidy one and you just have to accept that its going to be untidy but youll get there in the end. Don Blackney, the assistant principal who was enthused enough by his training in Kilmann to use it to create the direction statement of South Beach S.C., came to the same conclusion. While still finding Kilmanns concept of the culture, the shadow track and the idea of the tracks very powerful, the five stages of planned change model was too neat for schools.

Kilmann M odel Perceived as Inappropriate

Nineteen respondents expressed the perception that the Kilmann model or some of its elements were inappropriate to managing change in the school setting. The reasons given for the perception of inappropriateness referred to three broad areas: (1) the business and North American origins of the model, (2) perceived elements of mismatch between Kilmanns model and school life as experienced by teachers and administrators, (3) perceived mismatch between Kilmanns model and the nature of the school as an organization. 1. The Origins of the M odel Four respondents perceived the business origins of the Kilmann model as a reason for deeming it inappropriate to schools. Only one respondent perceived its North American derivation in this light. Two principals who had affirmed the appropriateness of the Kilmann model to school in their answers to Question 15 later in the discussion expressed the view that the business origins of the model compromised its appropriateness. One of them, Barbara Warren, remarked on the dominance of teachers time by classroom work. She contrasted this to the relative ease in business of undertaking organization development:

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(In a business) youve got time to say, take a team of people to do something and sit them in an office and do it but in a school setting those people have to be doing the teaching, the core business, and all of this other stuff is added on. The other principal, Dave Robbins, perceived the importance of the profit motive in business and the lack of it in education as the essential distinction: All business models are based around successfully providing a profit Now thats always a problem for schools because that profit motive is difficult to build into a school For schools the capital gain can only be seen in terms of successful outcomes for kids. Numbers demographics can really have an impact on a school that youve got no control over. All those sorts of factors mean that all those models have a flaw. M ary Russell, a level coordinator whose answer to Question 15 showed acceptance of the model for use in school if modified, later expressed the perception that Kilmanns approach omitted the welfare of students and did not recognize that for a school our product is people its about building confidence, bringing about some change in a persons life to help them cope with the future. The Kilmann program, as all others derived from business, was perceived not to have the capacity to consider these student outcomes. An assistant principal, Peter Crouch, who had expressed the view in his answer to Question 15 that Kilmann would be appropriate to the school if modified, drew attention in further discussion of the model to what he regarded as naivete in attempting to apply it to schools. This perception arose from the contrast between the perceived greater complexity of the teachers role when compared to that of employees in business: its different from businesses where you have people with very specific responsibilities, they do their job and someone else does his. Another assistant principal, Don Blackney, whose answer to Question 15 showed he perceived the model to be appropriate if modified and the only respondent to implement
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it at school, later identified aspects which he thought severely limited its appropriateness- its origins in North American business and the authors dogmatic approach: The Americanization, I mean its obviously designed and come out of a world of big business, industrial manufacturing and all that sort of stuff and the kind of careful, staging of different things is not I find particularly relevant to a school setting or maybe to an Australian culture, I dont know which it is but I havent found that useful there is a bit of a sequence to this you do have to work on the culture early. But I find his dogmatism about some aspects of that pretty irrelevant. 2. M ismatch Between Kilmanns M odel and School Life

The mismatch that respondents perceived between the Kilmann model and school life as it was experienced by teachers and administrators concerned matters to do with values, the individuality of students, the urgency and diversity of school change. M aureen Haywood, a sub-school coordinator, perceived the Kilmann model to be unaccommodating of the various values and points of view that make up a school community. She was concerned that Kilmanns model urged an inappropriate conformity. Here her sense of the inappropriateness of the model is considerably heightened compared to her response to Question 15 where she expressed the perception that with minor modification it was an appropriate model for school change. Here the change suggested to the hologram was a fundamental one: The school is a multi-value thing, we may not want to have the same value, at all, because we would not be reflecting what the community says they want in our schools this diagram assumes something which is not true for a school by its nature its implicit that theres a vision out there you could put values in there with culture, assumptions, psyches. The respondent has resolved her cognitive dissonance by concluding that the model is inappropriate. To change it to allow for contested values and goals would be to create a new model altogether.
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In discussion of Questions 16 and 17, June Pirie, an assistant principal whose answer to Question 15 deemed the model to be appropriate to effecting change at school, showed that she was perturbed by the clash between the model which was about producing a product and her student-centred approach: the products we begin with are not uniform and the products for each child are not going to be uniform, so in that way I think its different. We have to be able to treat each kid as an individual, we have to look at them in the context of their family, their beliefs, their values, their setting, and we have to react in terms of what they and who they are whats made them like that. Patricia Vincent, a professional development coordinator, thought likewise. She spoke passionately to evoke what she valued in working with adolescents in school and to clarify the differences between schools and businesses. She had rejected Kilmann as inappropriate in her answer to Question 15 and confirmed her view in the discussion of Questions 16 and 17: I think the theory is admirable but stopping the train or getting the hologram to stand still enough to find out what you will work with is the difficult part when youre dealing with adolescents, its not like dealing with clients and its not dealing with pieces of furniture they move and they breath and they break things make us very different from any other company or business Schools seem less predictable, theyre more vibrant, theyre like wobbly jelly and I think all these systems where they trying to put change management processes that come out of business I dont know that any of them are working. Three respondents believed that the independence of mind shown by teachers and the strength of their views vitiated the goal of the team-building track (fostering cooperative efforts Kilmann, 1989b, p. 215). Two of them, Julie Austin and Tom Scott, had rejected the Kilmann model as inappropriate to the school setting in their answers to Question 15 while the third, Brian Clarke, had perceived it as appropriate. In making his point about the individuality of teachers as professionals, level coordinator, Tom Scotts mild remark implied that the model was too rigid, Im not sure that

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Kilmann can accommodate the contributions of different personalities. A sub-school coordinator, Julie Austin, was scathing in her dismissal of the team-building track: Well, well never get 85 people in a school like ours working together with cohesive sets of goals and working as a team, I mean its just ridiculous so that bit falls down. You cant change that we all have different ideas about what the school is here for In contrast, Brian Clarke, a daily organizer/timetabler, saw that this problem was caused not by the model but by teachers rigidity of views: The beliefs often very strong of individual members are certainly the barrier to most things here. Beliefs about whats right. You always have to be wary of someone who knows whats right. There are people who have fairly strong views about whats right. Whats the right way to teach, whats the right discipline to have, what are the right subjects to teach The urgency and diversity of school change were seen as significant reasons for two principal class respondents at M inesville S.C., who in their answers to Question 15 perceived the Kilmann model as appropriate to school change, to now identify a significant mismatch between the orderly progression of the model and the realities of the change process in the school environment. The principal, Des Stephens, believed that in some circumstances it might disadvantage students to work through the five stages of planned change: It is a very thorough process and we dont always have time in schools to introduce change in such a thorough and rigorous way which could be a bad thing, but change is often very urgent because you tend to look at things in the sense of I have a curriculum at Years 7 and 8 that is not meeting the needs of the students. If I take two years to change it then Ive lost the benefit for 240 kids who have already moved through Years 7 and 8 You have to move quickly to overcome the weakness and to go through such a thorough process of change which will probably get you a terrific outcome in the end, would take a lot of time

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The assistant principal, Peter Crouch, perceived that the multiple changes taking place at any one time in the school would make it inappropriate to implement the Kilmann model: We cant have a discrete closed system in which the change can occur. Weve got a number of changes running, if we were to look at the moment important changes in the process are occurring where would we end? I could name a dozen. Now, they would be starting at different times, ending at different times, different work for different individuals. That was the problem I had with the model. M aureen Haywood, the sub-school coordinator whose criticism of the model for its omission of values has already been discussed, also expressed the view that change in school is too urgent to meet the criteria of Kilmanns model: Sometimes youre forced to quicken this up or ask less. We cant go around asking everyone, there just isnt enough time were powering on and we cant stop and were dealing with growth, I mean were dealing with growth of children and that cant be let stop. Its quite different from a product where you can put it over here, you cant do that. Julie Austin, another sub-school coordinator at East Hills S.C., who had rejected Kilmann as inappropriate to school change in her answer to Question 15, was scornful of the inordinate time it would take to apply the model to the school: Some of it just doesnt work. Some of the statements in here like movement should not take place from one stage to the next until all the criteria are satisfied well, wed never get past stage one if we waited til we got all the criteria satisfied. Theres another one they say understand the complexity of the organizational life of the school well, you can never understand it because its too complicated . A curriculum coordinator, Keith Lawrence, who had perceived the model as appropriate to the school setting when answering Question 15, later concluded that the time taken to work through the five stages of planned change as Kilmann prescribes would be inappropriate. He saw the model as a weighty process in which it would

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be easy to become bogged (down) with the result that you lose the group that youre working with. He explained that change in school has urgency about it: A lot of people would get disillusioned by long term processes. Theyve got a limited amount of energy and time and they want things to happen. Frank Clarke, a sub-school coordinator who had perceived the model as appropriate if modified in his answer to Question 15, also became concerned about the time demands of stage 2 diagnosing the problems of the five stages of planned change. He showed the inappropriateness of the model in a satirical description of an imagined attempt to diagnose the problems of the school: When I got to stage 2 I thought that was pretty scary, not that weve got any more problems than any other school When you get down to talking to everyone, this sensitive information bit, talking to all the staff I dont think you could ever go past that. Thatll take five or ten years, therell be a whole lot of different problems coming up then you could stay there forever. Thered just be downward spiral and youd finish up in the sludge at the bottom. Three respondents expressed the view that the Kilmann model was inappropriate to cope with the diversity and urgency of school change by insisting that it was essential to take an eclectic approach to all the models available. An assistant principal, Jim M acM illan, who had responded to Question 15 by expressing the view that the Kilmann model was appropriate, later showed that he was somewhat sceptical of such approaches and preferred to keep an approach that was open to adapting ideas from many sources: You need to take ideas from here, there and everywhere and operate in your own way. Theyre useful constructs for making sense of things that have happened but I dont think theyre necessarily recipes for making things happen. Frank Clarke, a sub-school coordinator who earlier in answering Question 15 suggested the model would be appropriate if modified, later expressed scepticism that one model could be applied to all schools because one school can be very different from another.
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A year level coordinator, Tom Scott, who in answering Question 15 rejected the Kilmann model as inappropriate, later confirmed his view by asserting the need to match the framework for change to the problem rather than rigidly applying one model to all situations: You may need a variety of approaches to different problems. I could see the question of say, reviewing the schools discipline policy as being quite different to reviewing a curriculum in terms of how you would go about it. 3. M ismatch between Kilmanns M odel and School as an Organization

In the discussion of Questions 16 and 17, ten respondents perceived that the school as an organization and the framework of the Kilmann model were out of kilter. They identified two points where there was a mismatch: the reward system track and remuneration of Department of Education employees, the integrated program and the role of Department of Education in determining the direction of change. These ten respondents commented on the mismatch between the Kilmanns reward system track and the remuneration of teachers and school principal class officers. Four of these respondents (Dave Robbins, Bob Thomas, Des Stephens and Phil Clayton) had deemed that the Kilmann model was appropriate, four appropriate if modified (M ary Russell, John Kelly, Terry Lincoln and M aureen Haywood) and two inappropriate (Patricia Vincent and Julie Austin) to school change in their answers to Question 15. Of the ten respondents who identified the mismatch between the rewards system track and the school as an organization, four were principals (Dave Robbins, Bob Thomas, Des Stephens and Terry Lincoln) and six teachers (M ary Russell, John Kelly, Phil Clayton, Patricia Vincent, M aureen Haywood and Julie Austin).

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M aureen Haywood and Julie Austin suggested the rewards system track was not relevant because Department of Education employees were poorly paid. Dave Robbins and Bob Thomas pointed out that it was simply not possible to implement the reward system track in schools. Two other respondents gave specific reasons. M ary Russell remarked that pay rates were set outside the school and John Kelly contrasted rewards in the school and business setting: So its coming up with a fair reward system but its a lot harder to reward teachers too, in business the boss can give a day in lieu for extra work done on the weekend. Two respondents criticized the Department of Educations recently introduced performance payment system. Terry Lincoln pointed out the contradiction between individually based performance payment and the endeavour to build teamwork: On the one hand, we are running very hard with the idea of teams and on the other hand, we are being placed in a performance management system that is individually oriented. I dont think that that supports a genuine dialogue particularly in this area here of reward systems within the organization Bob Thomas also regretted that teams could not be recognized in the schools

reward system, We havent got enough money to reward teams which is a shame.

Phil Clayton and Patricia Vincent suggested that the reward system track was inappropriate to the school setting because teachers motivation stemmed from intrinsic not extrinsic rewards. Phil Clayton suggested that the state school system relied on the idealism of teachers and Patricia Vincent provided an example of the intrinsic rewards she perceived as meaningful for teachers: I dont know about the reward system in education I think that the biggest reward that teachers get is when they see developments and improvements in their kids, like to suddenly find something that can motivate a kid who has been disenchanted thats the reward that teachers value.

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M ary Russell, a level coordinator who expressed the view in her answer to Question 15 that the Kilmann model would be appropriate if modified, later expressed the perception that the Department of Education restricted the capacity of the school to manage change in the manner prescribed by the Kilmann model: We still have a body above that dictates what this person (principal) does including, in money terms. A manager in business has control of these sorts of things and over how you do something and over the money you can spend on doing it many of our staff are at the point where they cannot be rewarded any more financially were not solely in charge of all this, we have a body above us which puts checks and balances in and which cant were not allowed to run, were not allowed to be entrepreneurial we are in some ways but not over the whole picture. In sum, the progression of Questions 15 to 17 seeking a response to the integrated nature of Kilmanns program, asking for the hypothetical application of the model to the school and the identification of any aspect of school life overlooked by Kilmanns model - produced a rich and varied array of perceptions. As the discussion progressed, increasingly complex responses to the Kilmann model emerged as most respondents experienced cognitive dissonance and endeavoured to resolve it by clarification and qualification of their views. The cause of the cognitive dissonance was the conflict between the theory presented in the Kilmann program and the lived realities of school life.

The array of responses questioning the appropriateness of the Kilmann program to school change makes somewhat problematic the selection of Kilmann as a model in which to train principals to improve their management and leadership skills. To investigate this, an additional research question was needed. This first additional research question was: In the light of responses of principals in this study to the Kilmann program and of knowledge regarding school leader training in management and leadership

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skills, how appropriate was the training provided to Schools of the Future principals in the application of the Kilmann program to school change? Answers in relation to this research question and to all other research questions will be presented and discussed in Chapter 6.

KILM ANNS INTEGRATED PROGRAM AND SCHOOL CHANGE FOR AND AGAINST

In the preface to Managing Beyond the Quick Fix, Kilmann asked that the reader learn and implement his integrated program strictly as he designed it because there is a certain building process that takes place (1989a, p. xvi). It is in regard to the five tracks that he was most emphatic about adhering to his design: They should be learned and implemented in the prescribed order (p. xvi). It follows that a change agent who deviated from the design prescription would not be implementing the Kilmann program. In the light of Kilmanns insistence on the implementation of his integrated program as he designed it, respondents suggested variations to the integrated program are regarded here as expressions of disapproval of its usefulness as a basis for school change. Listing the reasons respondents gave for approving and disapproving of the application of Kilmanns integrated program to schools summarizes the preceding discussion of responses and provides the basis for the further analysis that follows. Respondents expressed approval of the application of Kilmanns work to the school setting in the following ways: 1. Expressing generalized approval. 2. Deeming the program to be suited to the complexity of school change. 3. Nominating specific aspects of the program of which they approved or believed would win staff support for a change effort: the integrated and holistic design, the structure of stages and tracks,

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4. 5. 6. 7.

the principle of participative management, the use of external consultants. Pointing out the programs similarity to an already preferred change model (TQM ). Describing the successful use of the program in the school. Post hoc analysis of a change effort in terms of the program. Respondent psychological compatibility with the program.

Respondents expressed disapproval of the application of Kilmanns work to the school setting in the following ways: 1. Rejecting all business based models because school change is much more complex, and questioning the suitability of a program developed in North America. 2. Describing the program in negative terms: superficial, linear, dogmatic, so lacking in relevance to school that it would be nave to attempt to use it- schools are student centered and the program is not. 3. Identifying specific aspects of the program which made it unsuited to schools: mismatch between reward system track and teacher remuneration: - teachers and administrators pay inadequate, - importance of intrinsic rewards in teaching. school culture not amenable to change as culture track suggests, programs continuous change unacceptable, schools do not want one model as a blueprint, schools want to be in charge of change and choose from a range of change models, time-span too long for school change which is urgent and diverse. 4. Identifying aspects of the work of teachers and administrators that make the program, particularly the team building track, and the school incompatible: - low goal congruence, - teachers independence of mind, - contested values and beliefs, - workload, - dominance of teaching role, - lack of time. 5. Suggesting modifications to the five stages of planned change: reverse the sequence of stage 1(initiating the program) and stage 2 (diagnosing the problems),
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break down the rigidity of completing each stage before proceeding, insert feedback or evaluation opportunities throughout the stages, add a sixth stage common direction or purpose - evaluation criteria be identified at stage 1. 6. Viewing school change as inherently unmanageable: more complex than the business world hence too complex for the program, too untidy for the program, schools unable to evaluate because of the rapidity and complexity of change. 7. Believing imposed Departmental change would regularly override the program. 8. Respondent psychological incompatibility with the program.

DISCUSSION OF RESPONSES

The respondents in this study tested Caldwell and Sawatzkis (DSE, 1996) recommendation of Kilmanns integrated program to principals as a model for the management of change within the Schools of the Future program. This discussion of responses is organized, on the one hand, around aspects of the Kilmann program that led them to support its use in schools and, on the other, the aspects of both the program and the school context that led them to reject it. The way the reasons provided by respondents for their views relate to the themes of school change discussed in Chapter 2 will be shown by brief reference to the selected literature. In the initial response to Kilmann, seven of the nine principal class officers perceived Kilmanns program as appropriate. Among the reasons provided by those who expressed approval of the suitability of the program for use in schools was its capacity to cope with the complexity of school change. Firestone and Corbett (1987) nominated the complexity of school change as an early finding of the formal research into school change. Referring to the early nineties, Fullan described the school change process as increasingly complex, unpredictable and paradoxical (1993, pp. 20-22). Some years later he observed that the relentless pressures of todays complex
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environments create administrators who evince vulnerability to packaged solutions (2000c, pp. 156-157). This is consistent with the readiness of the principal class respondents to endorse Kilmann. Kilmann proclaimed his work as an endeavour to revive and broaden the majestic vision of the Organizational Development tradition (1989b, pp. 200-201). The specific aspects of Kilmanns program that respondents approved of were all elements of this tradition: the integrated and holistic design, the structure provided by the stages and the tracks, the principle of participative management and the use of external consultants. Organizational Development has been adapted and used extensively in schools since the 1970s (Schmuck and M iles, 1971; M ulford et al., 1977; Dalin, 1993). There have been strong voices (Starratt, 1993; Lakomski, 1995; Blackmore et al., 1996; Gardner, 1997; Gronn, 1999) arguing for the leadership of the many (principle of participative management) in the contested area of what style of leadership is most appropriate to school administration. Respondents at East City S.C. endorsed the application of Kilmann to schools because of the similarity to TQM , which was an ingredient in the successful change at that school. They were accurate in identifying this similarity. In fact, Kilmann recognized the congruence of his program with it when he added three process tracks to his model: TQM , process re-engineering and organization wide learning (1999, p. 1). Among the authors included in the literature that guided this investigation there were differing views of the value of TQM in school change. Some found it appropriate to school change (Quong & Walker, 1996) and others were critical of it as a method of school improvement (Cuttance, 1995a, 1995b) or believed it to be fundamentally at odds with education in its conceptualization of students as customers (Dennis, 1995).

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Describing the successful use of Kilmanns program, giving accounts of successful change processes in terms of Kilmanns program and expressing personal psychological affinity for the rationality and orderliness of the program were the other ways respondents explained their approval of applying the program to schools. Despite the strong approval some respondents expressed for applying Kilmanns program to schools, particularly in their initial reactions, numerous disapproving responses emerged during the course of in-depth discussion of the program. Respondents suggested that school change was too complex a matter for such organizational development and business models. This accorded with the views of those most experienced with the application of OD to schools. For example, Dalin comprehensively adapted OD because schools are more complex organizations than most industrial enterprises (1993, p. 11). M ulford et al. (1977) found that adaptation was required in the initial application of OD to overcome barriers caused by its business and North American origins. M iles (1993) reflected that the OD orientation lacked the necessary link between organizational and pedagogical issues. The negative descriptions respondents gave of the Kilmann program and those who would consider using it in schools included nave to use because it is so lacking in relevance to school, superficial, linear, and dogmatic. These responses are more in tune with giving up the futile search for the silver bullet (and) overcoming dependency (M ulford, 2000, p. 3) than showing vulnerability to packaged solutions (Fullan, 2000c, pp. 156-157). The weakness of ODs pedagogical and curricular orientation that M iles (1993) identified is consistent with the many respondents views questioning Kilmanns programs relevance to schools.

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Respondents who regarded Kilmanns approach to change as superficial were supported in the selected literature. For example, Sergiovannis (2000b) view is antithetical to Kilmanns generic, functionalist process that is void of organizational specificity and by which most aspects of any organization are perceived as amenable to reshaping by management. Sergiovanni argued that deep changes require the pervasive adoption of the community metaphor for school and changes in matters such as relationships, in understandings of subject matter, pedagogy, and how students learn, in teachers skill and behaviour, and in student performance (2000b, p. 145). M ulfords (2000) view that contemporary reform programs such as school-based management produce commodified relationships (p. 6) supports respondents sense of the superficiality of Kilmanns approach. Respondents who objected to the linearity of Kilmanns program and his dogmatism, for example, about not proceeding from one stage of the five stages of planned change until all criteria for success are met (1989a, p. 25), were aligned with current views of the nature of the school change process, some examples of which are as follows. The stages of the change process proceed in a non-linear way (Fullan, 1993, p. 21). Change is a journey (Fullan, 1993, p. 25) and planning for it needs to be evolutionary (Louis & M iles, 1990). The direction of change is likely to be disrupted by alterations in the policy environment (Hoermann, 1997, p. 528). Change planners must be able to respond to contingencies in the environment (Schlechty, 1988). Of the aspects of Kilmanns program that respondents expressed disapproval of, the reward track was the one most summarily dismissed. However, the literature contains some views that are aligned with Kilmann and others that support the respondents who rejected his rewards track. Caldwell (1997, p. 253) agreed that

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rewards were potent in achieving high performance schools and advocated gain sharing to recognize contributions to school success. Connell and Sergiovanni disagreed. In discussing the nature of good teaching, Connell (1996) expressed the impossible gap between this work and the monetary reward of it because it involves a gift relation. It is a practice founded in a public rather than a private interest (p. 4). Sergiovanni (1992) referred to the intrinsic nature of teachings rewards: What is rewarding gets done. What we believe in, think to be good, and feel obligated to do, gets done (p. 9). Although some respondents were delighted at the change in the culture of their schools, many expressed disbelief at Kilmanns culture track. Although the view that educators quite readily unmake and remake cultures was expressed in the selected literature (Beare & Slaughter, 1993), many authors endorsed respondents scepticism of Kilmanns representation of culture as readily changed. Angus (1995) viewed Kilmanns approach to culture as a functionalist fallacy that treats culture as a variable subject to the leaders power: something the organization has, which is able to be manipulated and controlled(p. 68). Changing the school culture has been regarded as a difficult and slow process (Evans, 1996) and negotiated among stakeholders (Bates, 1987). Another view questioned the notion of secondary school culture. It suggested that the subject discipline organization of secondary schools creates a multicultural environment rendering attempts to change the school culture futile (Hargreaves, 1994). The respondents who expressed concern that teachers could not accept Kilmanns cycles of continuous planned change echoed M ulfords (2000) presentation of the case for greater emphasis on continuity, independence, community and

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heterogeneity to balance the current overemphasis on constant change, dependence, individualism, and homogeneity (p. 2). The view that schools do not want one model but to be in charge of change and able to choose from the numerous models available was strongly supported in the selected literature. For example, Sergiovanni (2000a) argued the importance of rejecting the one-best way, one-size-fits-all approach to change (p. 64) and Quong and Walker (1996) advised schools to move beyond imported solutions and select what works for them (p. 224). Fullan (2000a) endorsed the idea of the school taking charge and recommended the practice of positive politics of defining their own legitimate reform agenda in the context of state policy (p. 20). The sense of the urgency some respondents expressed for achieving change in their school, such that specific change could not wait for Kilmanns program to be implemented, was expressed in the literature. For example, Schlechty (1997) warned that if education did not change so as to engage the young we will suffer not only a lost generation but a lost society (p. 17). The understanding of the nature of teachers work that, for some respondents, made the Kilmann program inappropriate was endorsed by the selected literature. The perceived lack of goal congruence and contested values and beliefs was echoed in Balls (1993) view that school structures produce dissensus and goal diversity (p. 11). Schlechty (1990) observed that immediacy pervades school life (p. 91) reflecting the respondents perception that the teaching role must be dominant and that there is never enough time. Hargreaves (1993) insistence that there must be respect for the work of strong and imaginative teachers who work better alone than together (p. 53) was echoed in respondents appreciation of teachers independence of mind.

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The many modifications suggested by respondents to Kilmanns five stages of planned change were in the direction of making it closer to contemporary evolutionary planning models discussed in Chapter 2. The respondents who disapproved of Kilmanns program because they perceived it as being unable to cope with the complexity of school change had an informed ally in Dalin (1993) who asserted that schools are much more complex organizations than most industrial enterprises (p. 11). The respondents who predicted that any attempt to implement Kilmanns program will be overtaken by imposed Departmental change endorsed Hoermanns change process model that showed periodic intrusions as a result of policy changes in an otherwise orderly change process (1997, p.528). In sum, many of the views expressed, both of proponents and critics of the application of the Kilmann model to schools, find strong support in the relevant literature.

PERCEPTIONS OF SUCCESSFUL M ODELS AND PRACTICES FOR POSITIVE SCHOOL CHANGE

This section of this chapter presents a discussion of responses in relation to the major research questions 2, 3a & 3b, 4a & 4b that arose from the research intention and guided the study of change in context. These major research questions were: 2. What are the effects of the external environment on the schools capacity to plan and implement change efforts? 3a. What are the critical aspects of the school as an organization which impede planned change efforts?

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3b. Which personnel in what positions in the school are influential in impeding planned change efforts and how is their influence exercised, particularly in relation to school culture? 4a. What are the critical aspects of the school as an organization which promote planned change efforts? 4b. Which personnel in what positions in the school are influential in promoting planned change efforts and how is their influence exercised, particularly in relation to school culture? These major research questions were designed to gather perceptions of teachers and principals in selected secondary colleges on the elements of the conceptual framework that guided the investigation. Question 2 related to elements A1 (Department of Education Schools of the Future Change Plan) and A2 (Other Environmental Factors). Question 3a related to element D2 (Organizational Aspects Impeding Change). Question 3b related to element D2 (Individuals Impeding Change). Question 4a related to element E2 (Organizational Aspects Promoting Change). Question 4b related to element E1 (Individuals Promoting Change). The discussion of responses in relation to these major research questions is presented in the form of a multisite study in the next section of this chapter. A further discussion in relation to major research question 2 is presented after the multisite study in the section of this chapter entitled The School and the System. From Six Case Studies to a M ultisite Study This research was initially designed to include the exploration of the phenomenon of change in the six secondary colleges that were selected so that they differed on a number of variables. However, variables that may have made any site markedly atypical were avoided. During data analysis it was found that it was possible to group cases in an ex post facto way on the basis of information gathered during the

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fieldwork (Schofield, 1993, p. 101). At this point the research design was expanded to include a multisite study. Grouping sites was a valuable tool for facilitating comparison and contrast of the schools in the study and for revealing a pattern of change-promoting variables from the perceptions of respondents. These variables are the basis for a theoretical model suggesting a framework to promote an environment conducive to positive school change to be introduced and described in the final chapter of the thesis. Following the suggestion made by Schofield (1993, p. 98), the researcher generalized the six cases to the three domains of what is (three schools that were regarded in specified ways to be typical in their management of change), what may be (a school which, in the way it was managing change, may illuminate some likely educational issues for the future Schofield, 1993, p. 102), and what could be (two schools that were, in specified ways, exceptional in their management of change). The responses interviewees gave to questions determined the most appropriate organization of this discussion of their thoughts. Respondents readily distinguished between factors promoting or impeding change from the external environment or from within the school itself. Therefore, opinions related to change factors will be grouped in the broad areas of external environment factors and within-school factors. Respondents perceptions of the change factors related to the external environment of the school will be discussed under two headings for each of the three site categories: 1. External Environment- aspects promoting positive change, 2. External Environmentaspects impeding positive change. The data reveal that, for the most part, respondents perceptions reflect simultaneously on individual and organizational aspects that promote or impede change. Hence, for each of the site categories the responses are presented

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under two headings: 3. Individuals and organizational aspects promoting positive change, 4. Individuals and organizational aspects impeding positive change. There were three elements in the external environment that respondents across all the sites referred to frequently: 1. The Department of Education (DoE), 2. The broader school community, 3. Other educational organizations schools, universities, consultancies. These are used as headings to facilitate the description of the responses. There was considerable variety in the themes that emerged in respondents reflections on the individual and organizational aspects that promoted and impeded change. The description of these responses could not be fitted to a standard set of headings for the three site categories. Instead, the descriptions of responses were shaped by the themes that emerged within and/or across sites.

Studying What is - M inesville S.C., East Hills S.C. and Port City S.C.

Schofield (1993) argued that the possible benefit of studying sites that are typical is that they might provide a picture of the current educational scene that can be used for understanding or reflecting on it and possibly improving it (p. 98). What was typical about M inesville S.C., East Hills S.C. and Port City S.C. was the perceived relative weakness of the aspects of the school promoting positive school change in the three elements identified in the major research questions 2 (the external environment), 3a & 3b, 4a & 4b (the individuals and the organizational) and the perceived relative strength of all aspects impeding it.

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1. External Environment- aspects promoting positive change Department of Education Respondents in the three what is schools perceived the Department of Education as having some capacity to effect positive change within their own schools. In the what is schools, the climate of systemic change created by the Schools of the Future program was perceived as a force for change. As Des Stephens, the principal of M inesville S.C. expressed it, change is a process that, in the current climate, is unavoidable and basically affects everybody. Russ Perry, the principal of Port City S.C., remarked that most of the change that we have responded to has been as a consequence of the DoE initiatives. At East Hills S.C., the principal, Barbara Warren, identified the staff attitude to DoE change edicts as compliant: (Department policy is) still predominantly seen as oh well, the DoE says we have to, therefore we will. She believed that without the DoE requirements there would have been no cultural change at East City S.C. A Port City S.C. teacher, Brian Clarke, remarked that a change was successful because it was required: M ind you we were told this has to be done. That it was mandated by the government, you will do this. Five specific aspects of the Schools of the Future program were identified as promoting positive school change: the charter, annual staff reviews, mandated curriculum change in Years 7-10, preferred decision making modes, and school refurbishment. At M inesville S.C., Des Stephens, the principal, relied upon the authority of the charter to bring about a curriculum change. Although in the what is sites there was by no means the widespread ownership found in the what may be and what could be schools, two teachers at East Hills S.C. viewed the charter as a tool the DoE provided

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that did encourage reflection. M aureen Haywood expressed the view that (Developing the charter) made us really think about the vision of education (and) the priorities gave us a sense of purpose to drive us forward while Bruce Tulloh considered that it gave us direction. Barbara Warren, the principal, and a teacher, Julie Austin, described the improved goal congruence that resulted from the requirement at East Hills S.C. that teachers demonstrated in their annual reviews how their work contributed to implementation of a charter priority. Barbara Warren thought that this was where were going to get this common understanding. Julie Austin agreed, somewhat tentatively, that from this approach were hopefully all heading in the same direction a bit. At East Hills S.C., the introduction of compulsory Sport Education provided the opportunity for the principal to insist on a curriculum restructure. She revealed that she had used Sport Education as camouflage for a broader initiative: I was using that (Sport Education), I suppose, as an excuse because I thought that the years 7 and 8 curriculum needed changing.

At the three what is sites, the principals used the DoEs opposition to industrial democracy to increase their capacity to effect change. Each of them modified the decision making process in the school so that AEU nominees were not included on their advisory management groups and a consensus model replaced formal meeting procedures. By 1997, two of the six case study schools had benefited from large allocations of funds for refurbishment, East Hills S.C. and West Bay S.C. The same initiative to change staff dynamics was undertaken as part of the refurbishment project at each school. The opportunity was taken to move staff from numerous staff offices to one

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staff room. By doing this, East Hills principal Barbara Warren was trying to change the culture a little bit. Although aware that some didnt take too kindly to being relocated, she was confident that it had a positive effect on some of the communication thats going on in the school. School Community In none of the three what is schools did respondents perceive the community contributing to bringing about positive change. On the contrary, respondents reported that the school communities exercised a conserving influence. Other Educational Organizations schools, universities, consultancies In the what is schools, respondents described fewer examples than in the other two categories of the schools voluntary interaction with other organizations, for example, schools, universities, consultancies. However, respondents described limited engagements with other schools that assisted in change processes in each what is school. The respondents who described the curriculum restructures at each school reported investigating curriculum structures at a number of other schools and, at M inesville S.C., the implementation of the leading teacher class was assisted by the exchange of draft job descriptions with other schools. 2. External Environment- aspects impeding positive change Department of Education In the three what is sites, the strength of the ways in which the external environment impeded change was significant. As already discussed, respondents from each school had perceived that the DoE had indirectly promoted change, nevertheless the opposite view was forcefully expressed as well.

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At M inesville S.C., there was avoidance of change required by the DoE regarding the implementation of the CSF. Respondents reported that resentment against the government was so great that many teachers regarded this as reason enough to resist DoE change initiatives strenuously. While East Hills S.C. benefited from the DoE change directives, there also was a down side. The most important was the psychological response to imposed change. Staff members resented the imposed vision and values and the redistribution of time for the KLAs resulting from finding space for compulsory Sport Education and LOTE. M oreover, when mandated changes had to be accepted they were implemented without enthusiasm. Unlike the two other schools in the same category, Port City S.C. did not find the development and implementation of its charter a positive influence for change. On the contrary, it provoked a lot of dissension amongst the staff (who objected) that it didnt represent their beliefs or things that they were in favour of and that it represented (the ideas of) a small group in the school. Although from the principals perspective, the influence of the charter at M inesville S.C. was advantageous, a teacher respondent, Pam Elliott, regretted that (The charter) went from being something that we had ownership of to become something that became so general that we lost sight of what it had to do with M inesville. At East Hills S.C., the principal had one reservation about the effectiveness of the charter development process at her school. She was concerned that the staff was reluctant to seek ownership of it, relying on her to write the charter so that it became her basically telling them what the vision was with regard to the school.

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Other DoE initiatives suffered negative fates. At Port City S.C., the staff greeted the introduction of annual reviews with great suspicion and the introduction of Sport Education was lamented because it destroyed a promising local middle school curriculum initiative. School Community The community expectation of each of the what is schools was that they would change as little as possible. At each school, there was respect for the past and for tradition and the will to conserve rather than change. At Port City S.C., conflict over a number of matters of change leadership, including the charter, spilled into the community to muster support for the resistance of change. 3. Individuals and Organizational Aspects Promoting Change

Across all six sites, respondents described the people, political and strategic skills principals demonstrated. However, respondents perceptions of how critical it was that the principal or assistant principal initiated change fell into a pattern revealing that this was rated as much more important in what is schools than the others. Kerry Bannister, a teacher at Port City S.C., saw that the entrenched nature of the schools organizational hierarchy required that the principal initiate change himself: Given our hierarchical structures, the initiation and ownership of the change process has to come from the school leader simply and solely because of the anti-democratic processes or tradition inherent in this particular school. It needs direction from the top. Des Stephens, the M inesville S.C. principal, asserted that Ive done most of the managing (of change). Other respondents thought likewise. The curriculum coordinator, Phil Clayton, on the importance of the principal class initiating change, said:

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(It is) extremely important, vital, imperative that the leadership of the school has a vision for the school and has the capacity to persuade others to participate in this vision Schools traditionally have changed as a result of initiatives, if not from the centre, then from a principal. Frank Clarke, sub-school coordinator, agreed that the hierarchical nature of both the DoE and the school made it inevitable that the principal class led the implementation of change flowing from policy directives: In some cases, especially the ones coming from above directed to them, then theyve got to be willing to put them in place and get running with them or at least direct them to appropriate people who can do it. Pam Elliott, a level coordinator, saw that self-interest motivated the principal or assistant principal to initiate change: They do initiate it. They have to identify it for their own sakes. If youre not having this great idea or new idea, or be seen to be doing something, youre not going to get a job or renew a contract. At East Hills S.C., two teacher respondents were adamant that the principal class must initiate change. The teacher who coordinated the environmental clean up, Bruce Tulloh, thought that in managing change it was vital that leadership comes from above. Tom Scott, a year level coordinator, saw that that the responsibility for recognizing that change is needed lay with the principal or the assistant principal. In the three what is schools, the organizational aspects described as promoting positive change related to organizational structures and school culture. The sense of hierarchy was a strong feature of the structure and culture of each school. It was seen as an aspect that both promoted and impeded change. In each school, initiatives had commenced to ameliorate the authoritarian structure and culture. The principal of Port City S.C., Russ Perry, outlined the way change took place there as a hierarchical process but explained that he had commenced structural change

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to achieve a more collaborative culture with the emphasis on teaching and learning. The curriculum committee had been revamped and the principal avowed his commitment to the ownership principle which he explained meant, I dont intend for anything to come out of it (the committee structure) without broad consultation. The recently introduced leading teacher positions had been tagged for KLA coordinators to highlight the importance of teaching and learning. The M inesville S.C. respondents expressed a range of views on its hierarchical structure and culture. Although resented as dictatorial by another teacher respondent, Pam Elliott, Phil Clayton valued the principals use of positional authority when participative decision making processes floundered: So you need somebody to come in and say we are getting back to where we started, we do have to make a significant break here, and this is the way I would like you to go and provided the school community has had a chance to have its say and talk itself out, I have found, certainly in this school, a willingness to accept direction on the part of the umpire. The management committee, made up of elected staff representatives and the principals nominees, was a structural change aimed at establishing, according to Peter Crouch, the assistant principal, a culture of the staff being a team. The principal of East Hills S.C., while aware that her position had provided her with opportunities to implement change, was striving to build a teamwork culture. From the point of view of some respondents, an aspect of the culture of each site that seemed at odds with its hierarchical nature was the perceived capacity for members of the school community to initiate change. At M inesville S.C., in contrast to the resistance of much large-scale mandated change, two respondents reported an independent, individualistic approach to bringing in important, small-scale change. A sub-school coordinator, Frank Clarke, observed that anyone who has a change that

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they believe is worthwhile implementing can do it. He cited examples such as becoming involved in a M athematics competition and arranging student visits to primary schools. The examples assistant principal Peter Crouch gave of teachers outstanding ideas for change included a successfully revamped sport program and enhanced instrumental music and other extra-curricular offerings. A sub-school coordinator, M aureen Haywood, and the principal, Barbara Warren, gave a similar account of teacher initiatives at East Hills S.C. They mentioned a philosophy group and paper plane making as lunchtime activities for students. However, both added the same caveat any proposed activity must be approved by the principal. At Port City S.C., there was a divergence of views on this topic. One teacher, Kerry Bannister, perceived that Change can only be effected in a rigid structure like this by having powerThis school is like the Catholic Church. It is not a democratic school. The staff forum is limp, any exchange of views well theres no real exchange of views theres no passion as there was in the early seventies In contrast, another teacher, Brian Clarke, described a context where many people can bring about a change if its an area where you have expertise and you present good reasons for it. I dont think it really matters who you are. The different scales of change referred to may explain this seeming contradiction. Kerry Bannisters passion was creating an outstanding information technology facility that could only be realized by generous government funding whereas Brian Clarkes comment implied initiatives that were much more modest. 4. Individuals and Organizational Aspects Impeding Change

In all six sites, respondents described examples of individuals who resisted change. The intensity of the resistance and the strength of influence exercised by these

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individuals was what distinguished the role of individuals in impeding change in what is sites from responses in the other sites. Des Stephens, the M inesville S.C. principal, described two individual members of staff who used malevolent hostility to oppose change in staff rooms and in staff meetings. In tones of disbelief, the assistant principal, Peter Crouch gave an account of meeting with a KLA leader disinclined to implement the DoEs CSF assessment: I had a one-hour meeting with the head of the M aths department myself. Basically, what she wanted me to say was well, dont do it then, forget it. This school will be unique we wont do it. Two East Hills S.C. respondents, M aureen Haywood and Julie Austin, provided graphic descriptions of the range of petulant tactics used by individuals to resist change. Like a teacher respondent, Bruce Tulloh, who described the damaging effect of innuendo, the principal, Barbara Warren, remarked on individuals whose malevolent comments undermined the change process: snide little remarks, sarcasm, things that affect the morale and chip away at people who are trying to do it (bring about improvement) and if theyre not resilient enough theyll give in and say, its too hard Im giving up Brian Clarke, a Port City S.C. teacher, provided similar examples of individuals putting down others for their change efforts. Another respondent at the school, Kerry Bannister, described the disheartening effect on himself of an individuals criticism of his modelling change by using a notebook computer. Across the three what is sites, the organizational aspects that impeded change, as described by respondents, revolved around elements in the culture of each school and the conflict that resulted from attempts to bring about change. Respondents described the cultures of Port City S.C. and East City S.C. as profoundly influenced by nostalgia for a lost golden era.

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At Port City S.C., the will to conserve the traditions of the school created staff mistrust of the members of the schools administration because of their attempted change efforts. A suspicion of change on moral grounds made change very difficult and led to resistance taking a strongly personal form. A teacher, Brian Clarke, described the intense level of mistrust in the school: I suppose theres mistrust between people, people who seem to question the motives of other people; its always something against me or for me. Its probably because they dont know each other well enough and theyre probably not likely to find out much about each other well enough before they retire. No wonder the level of conflict was marked, not only deeply entrenched conflict between staff and administration but between groups of staff. At M inesville S.C., respondents reported the school communitys pride in its past and that its ethos was dominated by a conserving spirit. However, there was no distant golden era. Perhaps the successful amalgamation nearly a decade earlier was a reminder that large-scale change produced an outcome that was perceived as positive. In M inesville and East Hills Secondary Colleges, the role of strong AEU branches was perceived to be a potent influence opposed to change. The M inesville S.C. principal, Des Stephens, and the assistant principal, Peter Crouch, described the branchs role as seeking to preserve the existing school culture and to resist change. Des Stephens recalled that theres been a core of hard core unionists who have tried to frustrate the process at every turn, a view echoed by Peter Crouchs remark that too often weve found change stifled by a hostile union branch. At East Hills S.C., teachers and the principal remarked on the strength of the AEU and other groups that participate in the active micro-politics. Julie Austin, a sub-school coordinator, saw the branch as resisting change in an organized way.

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Respondents in all six schools described as barriers to successful change the workload caused by change or the lack of time to implement change. In the what is schools these barriers were seen to be more difficult to overcome than in the three other schools. At East Hills S.C., the staffs concerns about workload were regarded as an important impediment to successful change. Barbara Warren, the principal, believed it caused many staff members to resist change and that only a few would put the concern with it aside to implement a change perceived by them to benefit teaching and learning, a view shared by a teacher respondent, Tom Scott. At M inesville S.C., the implementation of a long overdue middle school curriculum restructure was delayed for a year due to staff concerns over workload. Similarly, Brian Clarke, a Port City S.C. teacher, described the contribution of the minute counting approach to workload to the failure to implement a new pastoral care program. Respondents in the three what is sites described attributes of the teaching staff that they perceived as detrimental to successful implementation of change. Respondents at all three sites viewed the stability of the staff over many years as a significant impediment to change. Respondents at two schools, M inesville S.C. and Port City S.C. also pointed to the preponderance of staff members approaching retirement as increasing the unwillingness of the staff to embrace change. Respondents at M inesville S.C. and East Hills S.C. mentioned the tendency of some staff members to be so preoccupied with out of school concerns or interests that it interfered with their capacity to implement change. The assistant principal of M inesville S.C., Peter Crouch, expressed his annoyance that some members of staff do other things. They run little farms, they run a shop while an East Hills S.C. sub-school coordinator, M aureen

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Haywood, noted that many staff may have difficulties in their home life that makes it difficult for them to appreciate whats going on. The consensus of opinion among respondents in the what is sites was that most change was difficult. M any staff and school community members preferred that the status quo be conserved. The level of resistance to change was significant and conflicts over change commonplace. M andated change was easier than local initiatives to implement and astute leaders sometimes managed to use DoE required change to implement their own preferred change. In each site, administrators had made structural change as a first step towards organizational and cultural change in the hope that change management would be less problematic in the future.

Studying What may be South Beach S.C. Schofield (1993) suggested that, while it is worthwhile to study typical schools, to study what may be is valuable too because it sheds light on likely educational issues for the future (p. 102). When data collection began at South Beach S.C. early in June 1997 the school was just four months into a three-year project called the Learning Community Project (LCP). The bases for the post hoc generalization of South Beach S.C. to the category what may be were that the LCP was oriented to significant future improvement of the schools performance and that this improvement was grounded in contemporary learning theory. In contrast to the what is responses previously discussed, the perceptions of South Beach S.C. respondents were that the aspects of the school promoting positive change in the three elements identified in the major research questions 2, 3a, 3b, 4a and

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4b (the external environment, the individual and the organizational elements) were markedly stronger than the aspects impeding it. Whereas the what could be sites will be seen to be celebrating their success in turning around their potentially disastrous declining enrolments and, to some extent, looking behind them, there is a strong sense of forward looking in the attitude to change expressed by South Beach S.C.s respondents. The comments of a South Beach S.C. assistant principal, Don Blackney, contrasting the prevailing attitudes to change in his current school to those in his previous schools also reflects the differences between the what could be and the what is sites: much more a ferment of ideas, much more looking outwards, much more working with each other, much more looking at how to solve a problem, how to achieve a task rather than how to lead a comfortable life. This respondent described the culture of South Beach S.C. as one of being open to possibilities. Another respondent, Judy Cook, reflected that not so many years before this school was a closed little box. The respondents stories of change delineated this schools process of becoming a what could be site. The views of the university consultants employed by South Beach S.C. to evaluate its major change process suggest that they certainly believed that it was becoming a school that would fit Schofields category of a what could be site. Respondent Ian Blue summarized the consultants opinions: M onash Universitys education faculty is interested in our project because they think its a pilot for all schools. They were really keen to be involved in the evaluation project so they could then turn around and say a lot of schools should be doing what were doing.

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1. External Environment- aspects promoting positive change Department of Education Whereas the what is schools found that change depended to a large extent on externally mandated change for school improvement, South Beach S.C. has shown it can make good use of DoE derived change for its own ends. Terry Lincoln, the principal, saw the schools relationship with the DoE as about picking and choosing from the system the kind of stuff that is appropriate for us. Don Blackney, an assistant principal, asserted that each time the school was faced with change required by the DoE we have worked hard to put the school in control. This was most markedly so with the development of the first school charter. All respondents believed that this worked very well for South Beach, for example, the daily organizer/timetabler, Judy Cook reflected that it made us think far more than we ever had to before. Respondents highly valued the benefits of self-management brought by the Schools of the Future program. For example, the leading teacher in charge of accountability processes, Ian Blue, mentioned that the staffing flexibility and the capacity for schools to structure leadership positions meant, everything is focused on curriculum delivery and planning of that. His view was that when change was mandated it was implemented at the college in a way that will advantage our kids. Ian Blue explained the approach that will underpin the new charter. This mandated document will be shaped by a team that has a very clear and common vision about where were heading, will have the principles of the LCP built into it, so its part and parcel of everything that we do.

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School Community Although the wider school community was sensed by Terry Lincoln, the principal, to mostly want to say to the school simply get on with the job and not itself become involved in the school, the participation in developing the first charter was remarkable: We had an enormously high level of parental and school community involvement relative to our normal success in that area. We had something like 90 parents involved in writing teams. Now I reckon thats pretty extraordinary given we struggle to get 15 parents the school community saw it as an opportunity to re-focus. Atypically strong community interest was maintained for the development of the schools direction statement, Protect, nurture and grow. Other Educational Organizations Teacher respondent, Ian Blue, reported favourably on the three links created with individuals or groups beyond the school to support the Learning Community Project. Firstly, educational consultant Julia Atkin was very inspiring for a whole group of people. Secondly, networking with other schools meant that the LCP was well funded ($35,000 spent to launch it) and gathered momentum: So we had 300 teachers here agreeing that this was going to be useful for them as well. And weve established a four schools network and were working with each other now so well even have some shared projects. Thirdly, the participation of evaluators from M onash University meant that South Beach would be able to measure improvement in student learning outcomes between the beginning and the end of the LCP.

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2. External Environment- aspects impeding positive change Department of Education When a way was not found to put the school in control of required changes they fared poorly. Performance planning was the example referred to by most respondents. The notion of rewarding teams had been canvassed at the school as a means of implementing performance plans in a manner that reflected the schools values. As this had proved impossible, professional development coordinator, Patricia Vincents observation that she did not think performance plans are working particularly well at all expressed a view typical of most South Beach respondents. Unenthusiastic implementation of this change that was at odds with the values both of individual respondents and the school was regarded as an impediment to positive change. As Patricia Vincent explained: The process of actually writing them up is time consuming, the process of gathering evidence is time consuming. One whole area we never got to because I had to have respect for what was on other peoples agendas and other peoples needs I think what had taken over was this notion of working with people on issues of leadership. 3. Individual and Organizational Aspects Promoting Positive Change The views expressed on the role of the principal in managing change by South Beach S.C. respondents were distinctively different from those expressed by respondents from the what is sites. However, as will be discussed in the next section, the views on the principals role are somewhat similar to the responses in the two what could be schools. As previously discussed, the principals in the what is sites relied to a considerable extent on two aspects of their school environment to effect change: the

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mandated change of the DoE and the hierarchical structure and culture of their schools. In contrast, at South Beach S.C. quite different themes emerged in the perceptions of both principal class officers and teachers. The principal, Terry Lincoln, rather than speaking about managing the staff in change, said his job focused on the schools competitive advantage. He monitors how our college sits in the community, in comparison with other colleges our private or independent school competitors so that we are seen to be innovative, exciting but reliable. Within the school, he translates that into making certain that things travel well. The assistant principal, Don Blackney, did not view the principals role in change as leading its initiation as so many respondents in the what is, sites did. He answered Question 14a (In the school setting, how important is that the principal or an assistant principal initiate change processes?) by saying: I think the principal has to be subtler than that. I think the principal has to initiate the atmosphere or the culture that encourages and sets up change processes. I think if the principal comes in and says we need change it may happen but its not going to happen as effectively as if the principal embraces them, encourages them and subtly modifies them to fit in with the agenda they want they should be open about the agenda but shift them. I think thats much more effective and I think what the principal needs to do is set up the ethos and the guiding principles and set up the support for change. Apart from descriptions of his decision to opt into the arrangement with three other schools to create the LCP, this description of the way that the schools principal influenced change at South Beach S.C. is consistent with the way respondents perceived him. Ian Blue, the teacher responsible for accountability processes, endorsed this view of the modus operandi of the principal. Rather than the principal initiating the change process, he thought that the leadership teams role was crucial in promoting the success of the LCP:

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Its probably more important in the school setting that a leadership team has the vision although initially perhaps the stimulus for that probably comes from the principal. In our case it certainly did. With regard to the change process were going through at the moment where the focus is on teaching and learning in the classroom, so leadership must go beyond the principal. However, respondents asserted the importance of the principals initial commitment to the LCP. Patricia Vincent, for example, perceived that the the vision of the principal was the key factor in the success of the project. Referring to change beyond the LCP, the daily organizer and timetabler, Judy Cook, granted that the principal and the assistant principal had an important role in change but, rather than agreeing that they needed to initiate it, in her view they only needed to be onside with the change. Patricia Vincent explained that the principal class needed to give any change a little bit of impetus because the busyness of schools meant that others might not have the time for it. Nevertheless, her view that change has to touch a chord with staff limited the extent of the administrations perceived influence. Respondents perceived change at South Beach S.C. as participative. As Ian Blue explained, only the support of staff will make it (change) happen. He affirmed a collaborative culture that made for micro-politics that enabled change: A fairly open climate and a willingness to negotiate that comes from the climate thats there all the time, its not something you can create for an event, its got to be there to start with. In committing himself to the LCP network, the principal, Terry Lincoln, perceived himself to be responding to the needs of his staff. After the concentration on management issues at the commencement of the Schools of the Future program, he perceived his staff communicating to him the need to get back to teaching and learning and asking him to allow them to concentrate on that.

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4. Individual and Organizational Aspects Impeding Positive Change The individual and organizational impediments to positive change at South Beach S.C. were comparatively few. An assistant principal, Don Blackney, perceived that the traditional academic focus of the school was retarding the take up of Vocational Education and Training. Comment on his approach to hastening this change revealed incipient conflict over this issue that could limit its successful implementation. Ian Blue commented that a small proportion of staff, perhaps 10%, is a group of people that we recognize is going to be difficult and near impossible for us to inspire to change. Time and workload issues were seen by Patricia Vincent to be impediments to positive change. The principal, Terry Lincoln, described the LCP as the vehicle for change. It was seen by Ian Blue to have enabled the college to affirm its focus on the human side of education and to take a holistic approach to change by incorporating the LCPs principles in the DoE required charter. While providing a fair bit of autonomy (Ian Blue) for all leaders, the principal has a huge influence and because he is not worried by change and happy to push change, that has reinforced and slightly shifted an existing culture in the school (Don Blackney). The school was no longer perceived as a closed little box (Judy Cook). The current culture was described as one of team involvement in things that bring success and excitement even if they have a huge amount of work and hassle involved, doesnt matter (Don Blackney). Judy Cook now saw South Beach S.C. as characterized by its willingness to celebrate achievements. Respondents expressed confidence in the schools future. This stemmed from two critical results of change. Firstly, change processes had clarified the schools values and vision so that the quality

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of the teacher-student relationship was at the centre of the schools efforts to improve. Secondly, change resulted in the application to the schools curriculum of a theory of learning that respondents perceived to have the capacity to engage more kids (and) provide more diversity of opportunity for their students over time (Terry Lincoln). Studying What could be East City S.C. and West Bay S.C. For Schofield, a what could be site is one that we know or expect to be ideal or exceptional on some a priori basis. The purpose of studying what is actually going on there is to explore possible visions of what could be (1993, p. 105). The researchers motivation in approaching the principals of East City S.C. and West Bay S.C. to request their cooperation with this study was the exceptional success each school had experienced in turning around very serious drops in enrolments by changing the way they were perceived by their communities. The environment of extreme competition between schools at the time of this investigation made this phenomenon most interesting. Comparing and contrasting East City S.C. and West Bay S.C. in the context of what has been established about change in the what is and what could be sites will reveal perceptions of what was going on that enabled exceptional improvement in the way their communities regarded these schools. When contrasted to the sites already discussed, two other features in respondents views of change set East City S.C. and West Bay S.C. apart from the rest. Firstly, although some concern was expressed about enrolment numbers at, for example, East Hills S.C., there was nothing of the sense of crisis and fear that respondents perceived as inspiring change at East City S.C. and West Bay S.C.. Secondly, whereas respondents at the sites already discussed expressed a mix of frustration and achievement from their change efforts and many expressed

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hope for future success, the dominant theme running through East City and West Bay respondents stories was the pride in the change that had been accomplished. 1. External Environment aspects promoting positive change Department of Education Like South Beach S.C. but unlike the three what is sites, East City S.C. and West Bay S.C. change processes were rather independent of the Department of Educations change agenda. However, the Department did exercise a strong influence on each school to change by direct or implicit pressure to close or merge with other schools as a consequence of serious enrolment decline. A feature that was rare among schools threatened in this way was West Bay S.C.s success in winning over decision makers in the Department and government to support their cause to stay outside the flood of school closures and mergers in the early Kennett years. Respondents in both schools were motivated to change by the fear of losing their school. However, as the fear of Department intervention receded some quite sanguine views of its influence on school change emerged. The respondents fear of closure or merger by Departmental fiat led them to depict the crisis that both schools faced in dramatic terms of a fight for survival. West Bays teacher-librarian, Allan Bailey, expressed the fighting spirit roused by the threat that school faced: we looked like were going to close. When people have got their back against the wall some go under and some come out fighting. I think thats true here but in the main people came out fighting and saying we werent going to close. At East City this fighting spirit was initially confined to the SECT members who systematically set about researching ways in which community perceptions could be

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changed. Lisa Lloyd recalled that they were motivated by their knowledge that East City was dying but were optimistic enough to act because otherwise we were going to lose our school. At a time when most schools that attempted to stand against the waves of mergers and closures were brushed aside, West Bay S.C.s leaders distinguished themselves by their political acumen. There is no false modesty in principal Dave Robbins recollection of the way the school influenced events to prevent its closure: The political game I think we played really, really well We went to the Rialto we invited Stephen Elder out here. He met with our parents. He met with the branch. He met with everyone. Jim M acM illan, the West Bay assistant principal, observed that the successful fending off of the threat of closure paved the way for implementation of Departmentally required change. Although the first charter was greeted with some scepticism he was able to successfully lead its development. He convinced school stakeholders of the benefits for the school and introduced the slogan lets take control of what we can do that came to epitomize this schools approach to DoE change demands. (This was very similar to the approach of Don Blackney, an assistant principal at South Beach, who explained his commitment to work hard to put the school in control when faced by externally imposed constraints.) The West Bay assistant principals leadership of charter development enabled much mandated change to be perceived as a combination of external and internal change needs: They (the charter and other Schools of the Future changes) came at just the right time when the school had made the decision that it needed to change to survive That scenario has made it a lot easier to do some of the things that we were being required to do because we werent in a confrontational situation with staff.

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East City S.C. respondents in a number of different ways also expressed the view that they valued the charter for the contribution it made to their schools change agenda. John Kelly, the information technology coordinator, saw the charter as setting out your vision of where the schools going in the next three years. Two respondents affirmed the value of the process undertaken to develop the charter as its most significant contribution to school change. Bob Thomas, the principal, believed that: The process of development is probably more important than having the charter itself. If its developed properly and is inclusive of all sections of the community you will get a commitment to the future directions of the school. M ary Russell, a level coordinator, saw developing the charter as a reflective evaluating process of setting goals. Lisa Lloyd, the careers teacher, saw the charter as a means of focusing the schools energy on agreed goals: Its like a comfort thing to have too I suppose. Were not going out everywhere and expending energies in areas that isnt our immediate goal. Keith Lawrence, the curriculum coordinator at West Bay S.C., expressed a very positive attitude to the benefits bestowed on the school as a result of the advent of the Schools of the Future program: Some of the changes have been very positive, certainly for this school they have been. I think weve enjoyed having a lot more freedom for example and a lot more responsibility for our own future. At the time of data collection he was enjoying the leverage the Departments mandated CSF change gave him to carry out a review of the schools curriculum: its been fortuitous for us because it forced us to revamp all our courses and that was a massive job that we did last year but its been very good for us to do that. He was surprised that the principal was able to bring about the needed change, unlike the response found in one what is site, M inesville S.C.: He said, weve got to do it!

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He imposed that on staff. I was quite amazed that the staff did it, but they did. His train of thought concluded with a qualified defence of top-down change: the weight of the DoE behind you. Its not an ideal way to enact change but things that are legislated from above, implemented by you, youve always got that defence that is a requirement of the DoE that we implement this change. Now thats not an ideal way to change but it is a catalyst for a lot of the change theres the sense of an outside force directing change and your role is to implement this change. Since they ceased to be at risk of closure, West Bay S.C.s principal Dave Robbins understanding of the governments ethos of if you scratch their back, theyll scratch yours very happily underlies actions taken and a shift in culture. The school was the only one in the district to join the Victorian Youth Development Program: We put our hands up to be in old Jeffs cadets, OK, not because I thought that cadets were any great shakes, but it was important taking on those government initiatives and doing something with them. West Bay S.C. has engaged in opportunities provided by the Department of Education to achieve a culture shift. The principal described the old culture in vivid terms. The school had shrunk into its own skin and there was an old fortress mentality sort of skulking around the place waiting for someone to kick our heads in. Whereas then the school was not taking an active role in the educational debates now it had changed it was actually taking on those things (DoE opportunities) and actually making them work. At East City S.C., the principal Bob Thomass approach to DoE derived change was much less expansive. He saw his role as that of a buffer between some DoE activity and the school: You really have to filter the changes that are imposed on top to protect the school and organization from change which is not necessary but facilitate change which is necessary.

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So successful was the school perceived to be at change that a reversal of the usual relationship between the Department and the school occurred. John Kelly, the information technology coordinator, explained how the school might have influence on the DoEs change agenda: Bob initiated TQM two or three years ago. Last night at a meeting the DoE (announced it) is going to have a pilot study involving thirty schools next year based on our experience. Theyll look at change that has taken place and see f its a one off. Neither of the what could be schools was like the what is sites where the DoE mandated change was the major cause of change. Indeed, the responses in the two schools on the effect of the Department on school change covered a wide spectrum. At West Bay S.C. the preponderant view was that the DoE change considerably enhanced local capacity for change, while at East City S.C., apart from the benefits arising from the charter, DoE change was regarded by some respondents as something that needed to be tempered if it could not be avoided. Like South Beach S.C., East City S.C. had the challenge of implementing DoE required change in the context of strong commitment to an alternative model of change selected at the local level. School Community Respondents from the two what could be schools perceived the role of their school communities in bringing about the turnaround in enrolments and viability of their schools in much the same way. In both schools, it was clearly articulated that it was the dissatisfaction of the parent community that had put the school in jeopardy. West Bay teacher respondent, Doug Hogan, asserted that the parent community expressed their lack of confidence in the school by not having their kids attending the school. June Pirie, the East City S.C. assistant principal, pointed out that it was the parent

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community which, by not sending their kids here said that we really needed to have some change. It was finding out what the communities wanted and then responding to that knowledge that was critical to successful change at both schools. Respondent Lisa Lloyd, a member of East Citys SECT, a small group of selfselected and self-appointed staff, explained that the team decided that they were going to research what the community wanted otherwise we were going to lose our school. Respondent Allan Bailey recalled that at West Bay S.C. we commissioned outside people to interview the community and find out what they wanted and staff sought the views of members of feeder primary school communities. Keith Lawrence, the curriculum coordinator, reported what was done: I went with our principal of the time and parents from the parents club and school council and we visited three or four of the feeder primary schools. We said what is it that you want, what do you want us to do really? We had to convey a message to them, that we are listening to you and we will make changes. In both schools the efforts to build relationships with feeder primary schools and the broader community were ongoing and extensive. For example, East City respondent M ary Russell mentioned staff participation in a local art, craft and music festival and West Bay S.C. principal Dave Robbins explained that the feeder primary schools were invited to have input into the development of its charter. Other Educational Organizations Apart from the aforementioned consultants employed by West Bay S.C. and the heightened involvement with feeder primary schools at both sites, the only significant factors in this category were an inspirational guest speaker and the quality theory and practice at East City S.C. After addressing a staff meeting there, a speaker from the

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Brotherhood of St. Laurence was given the credit for inspiring the formation of SECT. As the careers teacher Lisa Lloyd recalled: He spoke about servicing the community and change and I think he talked more about change if I really think about it he inspired five us to form this group. Bob Thomas, when he was the newly appointed principal at East City S.C., brought quality principles into the school with the aid of a consultant. He described in some detail the theoretical basis and implementation of his approach to change but at no time referred to it as Total Quality M anagement: We went through a whole school planning process, similar to charter development. That is, identify the sorts of things that needed changing here, identify the sorts of things that we do well and then developed a program for improvement for the school. But you really need to go back a step and, staff needed to and did acknowledge that change was necessary and quite clearly the enrolments of the school were low, the school wasnt well regarded and so people understood that change was necessary. We then implemented a program of change that was based on a number principles. Im talking about identifying who your clients or your customers are and getting feedback from them and aligning your policies accordingly which had never been done before. Understanding the concept of continuous improvement, the concepts of teamwork and the importance of teamwork, how two people working together can achieve a lot more than two people working against each other. Its the synergy concept. You know some tools like systems thinking. Understanding that in an organization theres no point in focusing on an outcome and finding that the outcome is bad and scratching your head. What youve got to do is spend your energy and your time improving the processes and you get the sort of outcome that you want so thats a process improvement approach. So I think that those in (the) order I described them are probably the way that we went about improving the school Id start with the client needs, first of all. Respondents mainly perceived this approach to change in a favourable light because it worked so well for East City S.C. but it remained fundamentally the principals initiative.

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2. External Environment aspects impeding positive change Department of Education At West Bay S.C., respondents were unanimous in perceiving the DoEs influences on school change as benign. The culture of growth sustained such optimism that AEU stalwarts were keen to embrace the recently mooted Self Governing Schools concept despite the AEU leaderships opposition. Although interest in the concept indicated great confidence in the schools capacity, the logic of their position reported by the schools principal indicated that their desire for independence from the DoE was also motivated by their distrust of the central bureaucracy: I had some of the ultra conservative left come to me and say, Gee, we better get our hands up for that one quick smart. Wouldnt it be great, we wouldnt have to deal with the bastards in there at all. Unlike respondents at West Bay S.C. who were positive about the capacity for DoE change to gel with their own initiatives, some East City S.C. respondents were less certain. John Kelly, the information technology coordinator, perceived a clash between the schools purposes and what the DoE required: Were going through a lot of implementation this year with the CSF and Bob (the principal) has his own agenda with his TQM were finding that having to do the two together is stressful. Another, assistant principal June Pirie, expressed the staffs frustration at the intensification of mandated change, particularly the CSF and revisions to the VCE, within the framework of self-management: Theyre sick of being told that its a school of the future and its independent but then on the other hand theyre told, you will do this and do it when we say so I really think theyve had enough of change.

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3. Individual and Organizational Aspects Promoting Positive Change Despite the differences among them in the way they approached DoE change, the principals of the what may be and what could be schools had in common an intense commitment to and support for locally initiated change that set them apart from the what is principals. As already discussed, the what is principals mostly depended on externally mandated change to bring about change they, and other school respondents, believed was much needed. However, there is stark contrast between the ways the two principals of the what could be schools approached their roles of bringing about change in their schools. The principal of West Bay S.C.s leadership was pragmatic and political while the principal of East City S.C.s leadership was grounded in quality theory and adherence to its principles. There is considerable similarity between his independence and commitment to these principles and the what may be school principals passion for the principles upon which the Learning Community Project was based. A common element in the role they each played in the successful turnaround of their schools was that they were appointed to their positions when the crisis in enrolments was most urgent. In each case, respondents perceived that the arrival of a new principal was an important part of the successful change in the way the schools were perceived by their community. At West Bay S.C., the principal, having commented on the timeliness of the change effort, went on to describe his role as the second most important element in securing the survival of the school: I dont say this in any egotistical way, but a change in principal here at that time was also very important because it meant that the school could be viewed by the community in a slightly different light.

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Another West Bay S.C. respondent, Allan Bailey, commented on the importance of this appointment: getting a new management made it easier for all the changes to take place. At East City S.C. the welcome given to their new principal was most enthusiastic. SECT had included consideration of the preferred attributes of their new principal and found the newly appointed principal measured up. A SECT member, respondent Lisa Lloyd, remembered that the recognition that we needed a leader preceded the new principals appointment and that we just knew he was the right man by the feedback we got from people on the panel. Every other respondent remarked on the outstanding contribution the principal made to the turnaround. M ary Russell rated the change of principals as the most important factor in successful change at the school and the new principals approach the second: the open door policy in as much as being able to speak to the principal whenever about issues or concerns that you may have and without feeling a nuisance. John Kelly commented on the enrolment growth and concluded that it was all because of the different change hes (the principal) put in place. June Pirie, the assistant principal, surveyed the elements of the successful change to conclude: Look, if wed had parents wanting change, wed had staff wanting change but wed had a dud leader it wouldnt have worked he was the one that was able to say it needs to be done, to clarify it, to put it into perspective. He couldnt have done it on his own though because it needed people to say hey, look what he is saying is right, you know, I think we need to give it a go You couldnt have one without the other. This interdependence of the leadership role taken by the principals of the two what could be schools and the leadership shown by many others, particularly teachers, was a critical aspect of these schools success.

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At West Bay S.C the turnaround and all subsequent successful change rested on the traditionally democratic ethos of the school and the capacity of the administration to create the environment where staff ownership and shared leadership flourished. Keith Lawrence recalled that those taking the lead in the effort to save the school wanted to absolutely involve the staff as widely as possible (to) try to make them have a sense of the urgency of the situation and a common agreement as to the direction that we were going. He explained that a staff meeting poll carried the motion to fight to stand alone by one vote, the casting vote of the chair of the meeting. Similarly when East City S.C.s SECT had prepared some recommendations for change they presented them at a staff meeting for ratification. In both schools the sharing of leadership and change opportunities has continued. At West Bay S.C., Allan Bailey favourably contrasted the school to all others he had worked in: This is my fifth school, this is the only school where people have been given the opportunity to take up degrees of power and run with and learn from it. In other schools its been a closed shop A lot of people who do things around the school are not interested in leadership but they are exercising it. Lisa Lloyd, the respondent who was a member of East City S.C.s SECT, recalled that none of us had leadership roles. June Pirie, the assistant principal, qualified her ranking of the principals role as the most important factor in the schools success at change by the comment: Look, theres a lot of quiet workers here that it really is a team thing. 4. Individual and Organizational Aspects Impeding Positive Change Despite the successful record of change at both of the what could be schools, respondents revealed that their schools did not lack elements that impeded positive change. M ost of these have much in common with those identified in the other site

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categories. At both schools, respondents reported that there were concerns raised by the implementation of the CSF. At West Bay S.C. Dave Robbins, the principal, commented on the compromises needed to have the CSF implemented in M aths and at East City S.C. it was suggested by M ary Russell that to extend the time for CSF implementation would be better for all concerned. At both schools a minority of staff for a number of now familiar reasons were against change they dont like to move out of their comfort zone (June Pirie). Some were believed to be in retirement mode (Keith Lawrence). The lack of time was lamented (Bob Thomas). That the press of normal everyday business has to keep continuing while you do the change (Jim M acM illan) made some reluctant about it. Some were frightened by change (John Kelly). However, Jim M acM illan, West Bay assistant principal, could be speaking of the staffs of both what could be schools when he remarked how relatively little resistance to change there was and gave the reason for that: What theyve seen is the benefit of being responsive The place that they loved working at has been saved and they are certainly are aware of it thats the big issue around here Theres not the resistance that you may find elsewhere.

The two what could be schools had both differences and similarities. The marked differences were the approaches to leadership taken by their principals and the schools respective responses to DoE change. But it is the similarities that are salutary: the responsiveness to community You have to give the community what they want (Allan Bailey); the cultures being open to change weve just learnt to be quicker and quicker adapting to this because I think theres a trusting feeling in place (Lisa Lloyd); the emphasis on quality in all areas theyve made us look like a school to belong to (M ary Russell), and the shared leadership and dispersed capacity to contribute to
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change change can come from anyone in the organization(Doug Hogan). The most significant similarity was the nexus between change and crisis that produced the strong belief in both schools that our community is our lifeblood if we dont listen to them, we will again die (Dave Robbins). The similarities and differences in the management of change among the domains and sites in relation to both the internal and external factors influencing change are displayed in Table 4 below.

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THE SCHOOL AND THE SYSTEM This section presents further discussion of responses in relation to major research question 2 that asked: What are the effects of the external environment on the schools capacity to plan and implement change efforts? This section presents respondents views in response to question 20 of the interview guide and, in the case of the pilot of the interview schedule at East City S.C., questions 21 and 22. These questions asked: 20. Kilmann's model suggests that the unit of change is the school itself. Could the school achieve optimal success in teaching and learning if it were left alone to get on with its core tasks? How important are external directives, accountabilities, frameworks etc. to getting the best outcomes for students? 21. Relatively speaking, how important do you think internal factors in the control of the school and factors outside the control of the school are influential in implementing change to improve teaching and learning? 22. Conversely, relatively speaking, how important do you think internal factors in the control of the school and factors outside the control of the school are influential in inhibiting change efforts to improve teaching and learning? These questions raised issues related to the school as the unit of change in the contexts of the Schools of the Future program and at the time of the early announcements of the mooted extension of self-management towards the concept of self-governing schools. Hence the responses here relate mainly to one aspect of the schools external environment, the schools relationship with the system. Table 5 below displays the pattern of respondents responses to question/s 20, (21 and 22).

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Respondents views on the capacity of their own and other secondary colleges to achieve successful outcomes, independent of the system that issued a variety of frameworks, directives and accountability requirements, fell into three categories. Two respondents revealed that they neither agreed nor disagreed that the school could succeed independently but saw points for and against. All the other respondents views clearly indicated either agreement or disagreement with the notion that secondary colleges could succeed in achieving optimal success in teaching and learning if left alone to get on with these core tasks. Eleven respondents were categorized as agreeing and fifteen as disagreeing with this proposition. However, most respondents saw some complexity in the issues involved. Sufficient thick description is provided in the following discussion to convey the reflective quality of respondents answers on a range of issues, and the variety of perceptions expressed within the three broad categories. Respondents who neither agreed nor disagreed The two respondents who fell into this category thought that their own schools could succeed if freed from external requirements but cast doubt on the general application of the notion of secondary colleges being self-governing. Respondent Bill Rogers thought that his school, Port City S.C., could succeed if it were independent of the system because we have the expertise here to do the job well without those external directions. However, he did not believe that it was possible for a self-governing schools model to be applied to the system as a whole because not every school is in this situation of having the necessary expertise. A M inesville S.C. respondent, Pam Elliott, believed that (here) I think they could, I think theyd probably function a lot better and youd have more time to (implement change). However, she provided three significant qualifications of this

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view. Firstly, she seemed to draw a distinction between the they, perhaps the school administration, already referred to, and the school and students. For the school and students, connections with the world beyond the school were regarded by her as important: For the school to achieve success and for the kids to feel good you have to have that outside support. Secondly, considering the application of greater independence to schools in general she was less certain than about her own school: if left alone to just teach, then it would depend on the culture of the school too. She concluded her answer with a third qualification suggesting that the notion of school self-governance was unrealistic: it sounds a bit like dreamland. Respondents who agreed Eight of the eleven respondents who agreed that schools could succeed if they functioned independently of a centralized system were from East City S.C. and South Beach S.C. These were the only schools in this study which had holistic change plans that had been developed apart from the change required by membership of the Schools of the Future program. The views of two respondents from East Hills S.C. and one from M inesville S.C. also placed them in this category. All five of the respondents at East City S.C., where change was organized around TQM , saw no need for support from the system to sustain the change program in their own college. The principal, Bob Thomas, went further, arguing generally that it is the school itself that produces positive change and that the systems contribution is minimal if not harmful to it: It is rare that an outside body like a Department of Education or a government can do a lot to help a school get to where they want to go. At the end of the day, the school has to manage that itself. The outside group could facilitate it

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but often they do things that prevent or make it more difficult like imposing new rules, like cutting resources, those sorts of things which have a direct affect on the workload at the school level and the control people have over their own processes. So really change has to come from within. Respondent M ary Russell agreed that the department had a negative impact on the schools change efforts. She expressed the view that East City could improve further and relate better to its community if not needing to respond to DoE demands. She expressed her belief that theres an absolutely enormous waste of time coming to terms with the new (CSF) system and asserted that she had (many) ideas which I cannot implement because of these other restrictions. In contrast to their principals view that saw the school as the unit of change almost as a general principle, three East City respondents favoured self-governance because of their schools success at change. June Pirie located her confidence in the potential for schools to be self-governing in her schools achievement within the existing constraints: I think that has happened here, that the school has changed markedly within the limitations of the department we are able to survey our clientele and find out whats important to them and therefore raise that as a priority within the school. Two East City respondents were very specific about why they believed that their college would succeed if granted more freedom from the demands of the system. They both pinpointed the same factor that gave them confidence in their schools capacity for independent change in one factor, the leadership of their principal. Lisa Lloyd thought East City was ready for self-governance: This place would, thats because weve got someone who understands change so well and is so good at implementing it.

John Kelly agreed:

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Take an example here. Bob initiated Total Quality M anagement two or three years ago. Last night at a meeting (it was announced that) the DoE is going to have a pilot study involving thirty schools next year based on our experience. Theyll look at the change that has taken place and see if its a one off. However, his concluding reservation may be salutary. He revealed that he was uncertain as to whether or not such success could be achieved generally: Sometimes things work only because of the person pushing it. The perceived reliance on the principal for introducing and sustaining the TQM change effort is a qualification of the respondents certainty about the capacity of their school, and other schools, to meet the challenge of self-governance in the longer term. In expressing their confidence in their schools capacity for independence, one South Beach S.C. respondent explained her view by reference to the schools past and the other two by exploring the current change effort. Judy Cook perceived that at South Beach there was a tradition of independence in management of change, even when she likened its culture to being closed within its little box. This respondent asked that, following the greater freedom granted under SoF, the system provide further independence: This school has always managed better on its own, even in its little box. But then external forces have allowed us more freedom (SoF) Theyve changed the rules as weve gone along and moved the goalposts, now leave us alone. The other two South Beach respondents whose views placed them in this category were alike in perceiving that the school needed to be connected to structures beyond it other than those provided by the Department of Education. The principal, Terry Lincoln, saw change at his school in a global rather than a district, state or national context. It is a far more global imperative than a department or system imperative and that it is up to the school community to decide what we want to do

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with it in the light of exploring what we stand for. He explained the consequences of this thinking for decision making about the implementation of change: The most important change is what happens in the classroom It is quite a tightrope, balancing the need for system change through system-wide initiatives like CSF versus the actual change, how that translates into teaching practice and its impact on the kids in classroom. M y role, Im feeling less and less emotionally tied to the system. I therefore feel very reticent to do things like adopt the CSF simply because the government says we should. So Im less and less interested in system imposed change and more and more interested in change formed at the local setting. Ian Blue expressed a very similar view. Although his role in the school is accountability, that is preparing such documents as the annual report, he regarded such required tasks as things that had to be done before (we) can get on what (we) think is important. Like Terry Lincoln he did not think that operating in isolation is the way to go nevertheless he suggested that the autonomy we have is whats allowed us to do what were doing now. That is to work in cooperation with other schools and university consultants to develop and implement change. He explained why it was not appropriate to seek this outside support from the system: We havent gone to the region and said we need your help because I dont think they can help us. I dont think they can see what this college needs, on an individual college basis, the way that we can. An East Hills S.C. respondent, M aureen Haywood, referred to her knowledge of a Californian model where the relationship between the school, other schools and a university had similarities with these relationships in the Learning Community Project at South Beach S.C. To prepare the way to explain that model she expressed her views on school accountability and the Schools of the Future program. She perceived the school as accountable to the community rather than the system: A school is embedded in a social environment and it is answerable to the community both in the short and the long term.

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She praised the change brought about at her school as a result of the implementation of the Schools of the Future program: The school does need the power that its been given I think thats very good for a school to take it away form the central control which used to be a bit crushing. The school in California she admired does take on change by itself However, it looks to other schools and it also looks to university. She is confident that a strong link with educational research would be beneficial for change in her school: (The school) needs to be able to see itself as able to look after its own affairs locally but for big change you need to be looking to where its coming from. We dont have the time to reflect, the researchers have time to reflect and celebrate their reflection. Of the other two respondents in this category, one argued that the role of the system was merely to provide the resources and the other that its major function should be to require accountability. Respondent Bruce Tulloh from East Hills S.C. acknowledged that the issues raised by question 20 were complex but left them unexplored. Instead, he stated his stance on his preferred role of the system as provide us with the resources, trust us to get on with the job and leave it at that. A M inesville S.C. respondent, Peter Crouch, would shrink the system further than had already occurred under SoF but retain focused accountability to community and government: If I had my way Id get rid of all the bureaucracy, Id get rid of the district liaison principals, Id get rid of the regions and Id have very sharp demands made of schools through their reporting. But I wouldnt have any of that bureaucracy, they are impediments, they get in our way.

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Respondents who disagreed The views of the fifteen respondents who believed that schools either could not or should not function successfully independent of a centralized system, fell into six distinct categories: 1. Accountability is beneficial, 2. Change in the school would not happen without external mandates, 3. Working in the context of external constraint produces creative change, 4. Externally set standards are needed for student and teacher performance, 5. Self-governance will increase harmful competition between schools, 6. The schools role in society would be undermined. 1. Accountability is beneficial Two respondents provided quite general comments supporting the need for external accountabilities. Brian Clarke expressed the view that external accountabilities are probably important before adding the rider as much as teachers wouldnt like to have the inspectors back. Julie Austin praised the value of external demands but her view was qualified by the observation that the schools independence is also important: I think it doesnt hurt us to have few external people looking in just assessing that what were doing is on the right track (e.g. charter goals and priorities) However, sometimes theres too much influence from outside(e.g. responding to changes in staffing rules, changing the curriculum to make way for mandated subjects) I think we need some directives but I think we also need to be given a bit of freedom to do what we want to do too. 2. Change in the school would not happen without external mandates The capacity of principals in the what is schools to use departmental change as a vehicle to introduce their own change agenda was noted in the multisite study. Respondent Kerry Bannister in his answer to question 20 forcefully put the point that Port City S.C. would not have changed at all without pressure to change from the system:

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If the school had been left to its own devices for the last five years it would have collapsed in on itself it would have turned its back basically on the world and would have said we taught this way twenty years ago, or whatever, we will continue to do this because this is a moral good. Barbara Warren, the principal of East Hills S.C., another what is school, expressed the concern that principals may not have the skills needed to bring about change without the clout provided by the system: I dont think that this school here with me as principal would be able to succeed without some of these accountabilities and external frameworks in place because (they) give you the reason for doing some of the things that you may (need to do) The ideal is to have the self-managing schools not so much the selfgoverning school It would depend on the skills of the people in the jobs as to how successful the school will be and I suppose that is a matter of having confidence in your own ability. 3. Working in the context of external constraint produces creative change Three respondents put the case that the necessity of responding to externally imposed restrictions was beneficial to producing creative change. Don Blackney drew the analogy between the poetic form of the sonnet and creating change in a school within the state system to point out the benefit of an appropriate balance between freedom and constraint: As a literature teacher you would understand the concept of the sonnet a tremendously creative form but tightly constrained. Now I think that the constraints that are put on a school give that structure within which the creativity can flourish. Now, also to make creativity flourish youve got to have some openness as well. Youve got to have some room to move, so youve got to have that fine balance between constraint and freedom. Less eloquently expressed, but essentially the same point, was made by Phil Clayton:

We have to accept a compromise, in our particular case it has to be enough freedom to enable us to manage our own affairs in a way we find satisfying and enable us to exercise our creativity but on the other hand we have to accept and acknowledge our accountability to those who pay the wages.
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Des Stephens saw the benefits of the constraints of the department in the potentially creative conflict that sometimes arises. His rather cryptically expressed view was that school people might be inspired to great achievements when drawn together against the system as an external foe: The DoE has an effect on the school. If youve got determined people who are determined to work against them no matter what happens to them you can have an outstanding school. 4. Externally set standards are needed for student and teacher performance Four respondents Frank Clarke, Patricia Vincent, Barbara Warren and Tom Scott - saw that the system was needed to establish frameworks that facilitate consistent standards for student assessment and/or skill development across schools. Barbara Warren also perceived that externally imposed structures such as staff annual reviews gave a needed fillip to improving teacher performance. She perceived that without such measures of performance the attitude of some staff would be come to school, teach my class, go home. 5. Self-governance will increase harmful competition between schools Three respondents expressed their fears about the harmful effects of competition already taking place between schools and the risks of this trend being exacerbated if schools were to become self-governing. Speaking of the present situation, Patricia Vincent lamented the enormous amount of time that schools have to put in to proving that theyre one of the best schools in the district thats so self destructive. Referring to the future if schools were to become more independent still of the system, Barbara Warren said that she wouldnt want to see state school fighting state school and having their time consumed by that. Dave Robbins saw a profound threat in increasing the level of competition between schools if they were given self-governance

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and argued passionately for the retention of the framework provided by a system of state schools: The competition model makes it very difficult to see how the system is going to survive You end up with larger schools run on far more business-like lines without the human touch I believe that we do need a framework and I dont believe that any government money should go into any organization unless its able to provide something in which there is some agreed to standards and there are some agreed to curriculum areas There should be an agreed view as to what is a quality education Youve got to find a way to actually allow all the stakeholders in and to provide for everyone within that society. So if you take away the rules, and you take away the standards, if you take away the parameters you dont end up with a system, you dont end with the universal belief that learning is good and that everybody has a right to know certain things in our society. This respondent concluded his case against the competition between schools by asserting that self-governing schools might undermine access to learning. Other concerns regarding the way the self-governing schools model might be a detriment to society are grouped in the next section. 6. The schools role in society would be undermined by self-governing schools Like their principal, the four other West Bay respondents were concerned about the societal implications of the self-governing schools model. Allan Bailey thought the concept was unworkable and undermining of his view of the school serving its community: Nothing can work in a vacuum. It just couldnt work. I dont agree with it. A school is a service. Doug Hogan thought that West Bay could successfully become self-governing if the opportunity arose but had some serious reservations about the consequences of moving from self-managing schools to self-governing schools. He argued that while some schools might succeed on their own, overall state schools would be weakened: Its a fairly dangerous sort of thing because obviously some schools will be better at it than others, particularly when you look at dollars and dollars can be the bottom line. We believe at this school that we could run fairly independently
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 Its a fairly screwy thing to do I think its good to be part of the greater organization because you get the sharing of expertise. I guess what wed have to do is get the expertise from someone else. You wouldnt like to be too much of an island. Like the East Hills principal, Barbara Warren, who was envious of colleges already granted more resources than her own and warned of the inequities that selfgovernance would entail, West Bay respondent Keith Lawrence was passionate that without the system, disparity of resources among schools would lead to inequality and other social evils: If theres not some sort of central control, some central direction then the fundamental education system is going to be so distorted its going to be open to corruption even, it just wont be equitable for our society and I think it would be a terrible mistake to free up individual schools. Im not against the concept of schools, on a day to day basis, managing their own budget but I do think you need these external fingers in the pie, you need those threads that link us to the core that say, these are fundamental things we think that every school should be doing and they should be guaranteeing that every kid in every school has the same opportunity whenever possible to achieve these outcomes. It never will be equitable to step out and say to half the schools in the west here, look after yourselves and see what you come up with. Contrast them to the east of M elbourne. Its just socially unjust to give them that autonomy Its just raping and pillaging the other schools in the state isnt it, its taking the ones that are the most affluent or most successful or most advantaged because they can select the best kids in the state and putting them up as little figureheads and letting the rest rot. Finally, Jim M acM illan put a strong case that a school is a microcosm of Australian society and so should reflect local, state and national priorities: I see schools as agents of the society and as microcosms of the society so we need to be told by the society what it expects. Now to a certain degree, as an individual school going it alone with its own wider community were going to get that direct feedback but the sort of influences and shapers that youre coming across only reinforce what is already there By having things coming at you from in-town - which represents the whole state the sorts of shapers youre getting, while they may not sit as comfortably, are valuable for that very reason because they force you to grapple with things from other sources. Hence the value of federal influences as well . I dont know that I feel too easy about the idea of going it alone something happens in the pit of my stomach which says I dont know about this.
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Question 20 drew diverse and strongly held views from many respondents. The view that schools can succeed in change independent of the system was strongly expressed in only two of the six schools. In both schools, locally decided change initiatives were in progress. At East City, TQM had been established for a few years and its success was perceived to be mainly the result of the commitment of the principal to it. At South Beach, the Learning Community Project was in the initiation phase. The optimism of respondents about the self-governing schools model in the one what may be school and one of the what could be schools was countered by most respondents in all three what is schools and all respondents in the other what could be school. They perceived that to move from a self-management to self-governance model would be detrimental to state schools and society.

SUM M ARY This chapter presented a discussion of responses in relation to major research questions numbers 1, 2, 3 and 4. In this discussion, reference was made to the selected literature. The first section of the chapter presented data to answer the first major research question in two parts. Respondents initial responses to Kilmanns program were explored in the first part. In the main, respondents were theoretically inclined to the view that Kilmanns program would be appropriate for application to the school setting either as he wrote it or if modified. The second part explored the respondents views of Kilmanns program in greater depth. Respondents hypothetical applications of the Kilmann model to school change were discussed. This revealed much more complex

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responses and less certainty about the appropriateness of Kilmanns program to the management of school change. The second section presented responses to major research questions 1 - 4 in the form of a multisite study. The work of J.W. Schofield in relation to enhancing the generalizability of qualitative research in education was applied to generalize the six case studies to the three domains what is, what may be and what could be. Accompanying the discussion was a table that clarified the similarities and differences in managing change among the domains and the sites. The third section presented further discussion of responses in relation to the second major research question. The data presented and discussed here were collected at the time when the possibility of some Victorian schools becoming self-governing entities had first been announced. The discussion focused on the relationship between the school and the system. M ost respondents viewed the issues raised by school selfgovernance as complex. Slightly more respondents disapproved of the self-governing concept than approved. The next chapter presents a detailed discussion of the answers to all of the research questions.

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CHAPTER SIX ANSWERS TO RESEARCH QUESTIONS

INTRODUCTION This chapter presents the answers to the major research questions and the answers to the additional research questions that arose during the course of the study.

ANSWERS TO M AJOR RESEARCH QUESTIONS The first of the major research questions was: What are the perceptions of school principals and teachers in six selected secondary colleges of the potential to effect school improvement of a particular North American program designed to create and maintain success in any organization? The previous chapter revealed the diversity and complexity of respondents views of Kilmanns program. Approving and disapproving points made about the potential of the Kilmann program to succeed as a model for school change were discussed in the context of the selected literature. Here the responses are summarized so as to provide a succinct answer to the first major research question in the context of a brief discussion of relevant selected literature. As in the extensive discussion in Chapter 5, the distinction must be made here between the respondents initial responses and those that emerged as discussion of Kilmanns program progressed. At first, respondents quite readily affirmed the general appropriateness of Kilmanns integrated program for effecting change in schools. Twenty-five of the twenty-eight respondents expressed the view that Kilmanns model, either in the form

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he created it (18 respondents) or modified for the school environment (7 respondents), would be an appropriate basis for school improvement efforts. M ost respondents expressed their initial affirmation in a manner that was somewhat superficial. Seven provided specific reasons for their positive views. Five thought that the Kilmann program would provide the structure needed to succeed at bringing about change within the complexity of the secondary school environment. One identified a specific feature of the Kilmann program he admired (the six tracks) and another saw a similarity to his preferred change model (TQM ). The more considered responses whittled away the initial level of positive regard expressed for the use of the Kilmann program in the management of secondary school change. In extensive discussion related to the Kilmann program, only five respondents expressed a consistent view of Kilmann throughout. Two expressed the consistent view that Kilmann was appropriate to secondary schools (Lisa Lloyd and Judy Cook), two that it was inappropriate (Peter Crouch and Tom Scott) and one was ambivalent throughout (Allan Bailey). The other twenty-three respondents expressed a number of perceptions that were categorized under four headings to cover the gamut of views expressed. The explanation for the emergence of inconsistent attitudes was the clash between two fundamentally contrary responses to Kilmanns program. On the one hand, respondents perceived the need for a structure for school change efforts akin to that Kilmanns program promised. On the other, they perceived a mismatch between the highly ordered, prescriptive and rational nature of Kilmanns business based program and their awareness of the realities of life in secondary schools.

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The respondents contrary responses were expressed in four forms. Firstly, as reservations about the application of the program to the school setting: 1. A guide rather than a plan to be followed, 2. Some elements unrealistic or idealistic, 3. M ismatch between remuneration of teachers work and the Kilmann reward system track, 4. School culture not responsive as proposed in Kilmanns culture track, 5. Evaluating the results stage not readily implemented in schools, 6. Aspects of teachers work would be obstacles to implementation. Secondly, as suggested modifications to the program for the school setting: 1. Addition of feedback loops to the five stages of planned change model, 2. Addition of a sixth stage to the five stages of planned change model to represent the establishment of common direction among the schools stakeholders, 3. Addition of evaluation criteria at stage one of the five stages of planned change model initiating the program, 4. Implementation of selected parts of the Kilmann model. Thirdly, as expressions of ambivalence about the use of Kilmanns program within the school setting. These ambivalent feelings concerned: 1. Reward system, 2. Experience of school change, 3. Planning for school change. Fourthly, reasons for rejecting the program for use in school change: 1. The business and North American origins of the model, 2. M ismatch between the program and school life, 3. M ismatch between the program and the nature of the school as an organization. The authors and researchers on educational change who have addressed the relevance of business models of change to the school organization and culture have expressed a range of views. Some writers of the selected literature strongly endorsed the three broadest objections to business based models identified by respondents in the list above, viz.,
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school culture not responsive as proposed in Kilmanns culture track, the mismatch between the program and the nature of school life and its mismatch with the nature of the school as an organization. For example, Angus (1995) argued that a school culture was not readily changed because it is not a dependant variable of leadership. Dennis (1995), a critic of the application of TQM to educational settings, saw the mismatch between the life of the school and that theory in a somewhat similar way to the respondents who rejected Kilmann because it did not accommodate life as it is lived in school. Ball (1987) saw a difference of such a fundamental nature between business organizations and schools that he totally rejected the notion of applying business based organizational theories to schools. However, some writers of the selected literature were aligned with Kilmann in their view that school leaders could quite readily manage the change of the school culture. For example, writers in the OD tradition such as Dalin (1993) were quite sanguine about the prospects as were Beare and Slaughter (1993) and Hopkins and Ainscow (1993). The responses of participants in this study questioning the appropriateness of the Kilmann program to school change cast considerable doubt over its potential to effect school improvement. This was reinforced by the failure of the researcher to find any evidence, except the use of the Kilmann program at South Beach S.C., that it had been adopted as a change model in any Victorian schools. Given its central role in a very high profile in-service that all principals were expected to attend as their schools entered the Schools of the Future program and the powerful support given it by the influential consultants who ran the program, the lack of implementation of the Kilmann program represents strong resistance. The lack of application of Kilmanns program is

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certainly at odds with the finding of Blackmore et al. (1996) that, within the Schools of the Future environment, secondary principals were relatively uncritical of system demands and tended to take up every issue and run with it out of a concern to gain a competitive advantage (p. 200). However, respondents positive reflections on the structure of the Kilmann program identified a need in secondary schools for a greater capacity to structure change plans. In recognition of this, an element called Change Planning Structure has been included as part of a Framework for Positive School Change Environments, a theoretical model for change derived from the analysis of respondents perceptions and the selected literature. The Framework will be introduced and discussed in the final chapter.

The second major research question was: What are the effects of the external environment on the schools capacity to plan and implement change efforts? The elements of the external environment that were frequently referred to by respondents were the Department of Education (DoE), the school community and other educational organizations such as other schools, universities and consultancies. The effects of the external environment on each schools capacity to plan and implement change efforts depended greatly on its specific organizational aspects and the attributes of individual actors such as their attitudes and values. The case studies presented in Chapter 4 explored the interaction between the school and the three elements of the external environment within each of the six sites. The multisite study in Chapter 5 explored similarities and differences in these interactions in the three domains that the schools were generalized to what is, what may be and what could be. The summary

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of answers to this major research question and to major research questions 3a, 3b, 4a and 4b are presented under the headings of these three domains. The answers to these research questions are briefly discussed in the context of selected literature. Studying What is The schools in the study adopted a wide range of approaches to the Department of Educations change agenda. The dependence of the what is schools was at one extreme and the independence of the what may be school was at the other. Overall, what is respondents perceived that without support and pressure from the system, mediated by the schools principal, no significant whole school change could be implemented. The change agenda of the Department of Education was perceived as both a major source and means of change in the three schools in this category. The principals of all of the what is schools were able to effect changes required by the DoE and, at the same time, use them as opportunities to bring about change that they identified as needed, particularly change related to curriculum. The role of the system as a necessary component in initiating, implementing and institutionalizing school change is solidly supported by the selected literature. Discussion of it has relevance to all three domains but is particularly relevant to what is schools because of the importance of the Departments initiatives to these schools change processes. The experience of change in the what is sites confirmed Fullans (1991, p. 91) view that successful change projects always include both pressure and support. M iles (1998) concurred, reflecting that with mandates or pressure administrators had to sweeten the bargain with assistance (p. 54). The assistance was provided mainly for the principal.

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Barber (1997) suggested a somewhat more intrusive role for the system. Where there were symptoms of a school failing he advocated system intervention. The goal of the intervention was to generate the capacity for sustainable self-renewal, and to unblock barriers to improvement. He tempered his interventionist stance in the policy principle that intervention should be in inverse proportion to success (p. 149). The need for such a role for the system was not expressed by any respondent. Stoll (1997) was much more cautious about the capacity of the system to directly bring about change in the school. She warned that there is little evidence of external mandates for school change engendering commitment on the part of those who have to implement the change" (p. 5). Across the what is schools respondents reported that the principals imposition of mandated changes resulted in their being implemented without enthusiasm. However, Stoll emphasized the need for systems to assist schools maintain change momentum, providing a list of ten external support strategies (pp. 21-22): 1. Provision of an overarching vision, focusing on teaching and learning, 2. Critical friendship, 3. Teacher and leadership development, 4. Assistance to schools, 5. Support for developing action plans or revising school charters, 6. Creation of interconnections, 7. M onitoring of school effectiveness and school improvement, 8. Data collection and analysis, 9. Target setting, 10. Building networks. Implicit in this list is a view of the central-local interaction aligned with M iles (1998) view that this cannot simply be one of enforcement but requires active empowerment and local capacity-building (p. 58). The assistance the Department offered principals for implementation of the Schools of the Future included most of

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these strategies (see pp. 11-12). Teacher respondents in what is schools did access a number of external support strategies and programs, for example, CSF implementation and leading teacher development. Despite the reliance on the system by principals to effect change, across the three what is schools respondents reported that there was marked resistance to, and suspicion of, the change imposed by the Kennett government. This combination of resistance to top-down change and these schools relative success in implementing it raises a number of issues that require clarification. These responses are consistent with the ideas of a number of authors who discussed the Schools of the Future reform within the context of the worldwide trend to school self-management and the findings of two studies of schools undergoing change within it. The strength of the hierarchy within which the Schools of the Future program was phased in is part of the background that explains the seeming paradox of these responses. Slaughter (1997) depicted the DoE and all present educational systems (as) quintessentially industrial era organizations: rigid and inflexible hierarchies (p. A15). As Watkins (1996) pointed out, the self-managing school remained firmly controlled by a central coordinating policy and planning structure (p. 85). It was the principal of the school who, within the Schools of the Future program, was responsible for the mediation of the hierarchy of the system and its policies at the school level. Enhanced power of the principal was a feature of the reform. The ACPPIV (1993) information booklet introducing the Schools of the Future concept to school councils suggested that probably the main effect of moving to Schools of the Future will be felt by the Principal who will for the first time carry

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almost total operational control over the school (p. 8). The selected literature confirmed that in the devolved system the principal was the linchpin (Blackmore, 1997, p. 14) who, by being treated like an executive in an artificially constructed corporation (Smyth, 1992, p. 15), conveyed the expectations and accountabilities of the system to the teachers and students who are marginalised and disempowered (Slaughter, 1997, p. A15) at the base of the hierarchy. The capacity of the principal of the what is schools to bring about change with the aid of their enhanced power confirmed findings of two earlier qualitative studies of the way schools changed in the early years of the Schools of the Future era. In their four case studies, Blackmore et al. (1996) found teachers and principals extremely conscious of the shift of power away from teachers to principals (p. 207). Daniels (1994) case study, exploring decision making and conflict before and after a schools entry into the Schools of the Future program, found that this redistribution of power had significance for managing conflict and change. In the first interview for the case study in 1992 the principal of the school had expressed the view that principals needed more power (p. 155). A year later, during the researchers second visit to the school a teacher interviewee (VSTA branch representative) remarked that the perception of the principals role has changed. At the same time, the principal celebrated that there have been dramatic changes. There isnt really a great deal of conflict in the school theres just no comparison between last year and this year (p. 157). Although important, the enhanced power for principals within a more hierarchical structure was not the only reason that can be suggested for the relative success of the what is principals in bringing about change in resistant contexts. The Kennett regime impacted strongly on teachers and made school staffs more compliant.

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The reduction of teacher numbers by 20% and the closing or amalgamating of 600 schools (Blackmore et al., 1996, p. 197) resulted in many staff leaving who were dissatisfied with the way their school was being redefined (Daniels, 1994, p. 158) and many remaining staff feeling insecure about the tenure of their positions (Tartaro, 1996, p. 40). In Daniels case study a respondent expressed the view that the plethora of external changes brought staff and principal closer together because everyone (had) a common sort of cause, (I was nearly going to say enemy then) (p. 159). Blackmore et al. found that to cope with uncertainty teachers in their study tended to channel their desires and aspirations in line with the school- and system-wide policy directions (p. 200). They argued that worsened conditions of work, more regulation and work intensification (p. 200) meant teachers were trapped into managing change imposed from above rather than changing their practice in innovative ways arising out of an analysis of their local circumstances (p. 205). The degree of change resistance was high in the what is schools as it was in the research findings of Blackmore et al. Respondents in these schools explained that the pressure the government and the Department exerted, most markedly through the process of downsizing, had the effect of positioning teachers as resisters to, rather than initiators of change (p. 202). In the what is schools, the impact of government and Department produced resistance to change that was circumvented by the principals use of their increased power. There was little impetus to change within the cultures of the what is schools. Paradoxically, although they were the schools in the study that most resisted the systems changes they were the most dependent on it for any changes to be initiated and implemented.

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The other elements of the external environment either impeded positive school change or contributed little to it in the what is sites. The communities of these schools were perceived as a conserving force. School traditions were valued by these communities. Engagement between the what is schools and other external educational organizations was quite limited so their impact on these schools capacity for change was negligible. Given the strength of pride in the traditions of these schools and their confidence in the education that they were providing to their communities, this finding was not surprising. Studying What may be All three elements of the external environment exercised a positive influence on the what may be schools capacity to plan and implement change efforts. In marked contrast to the what is schools, the school in this category always strived to put the school in control of the Departments change agenda and, when it succeeded, gained benefit from its initiatives. When a way could not be found to put the school in control their successful implementation was thwarted, for example, in relation to performance management for leading teachers and principal class officers. The manner in which this school responded to the demands of the system was unlike that found in the what is sites where the power of the system and the principal effected change in a context of strong staff resistance to it. The ethos of this school was quite radical in its independence from the system. The view was expressed by some respondents (Ian Blue, Terry Lincoln and Judy Cook) that it would be of benefit to the school if it were left to its own devices. This is not a view represented in the selected literature. Even Barth (1990), whose focus was

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improving the school within, asserted that such improvement could only occur when the conditions were right and that it was a major responsibility of those outside the schools to help provide those conditions for those inside(p. 45). Don Blackney, an assistant principal at the what may be site, was more in tune with the views expressed in the selected literature on the issue of how schools should connect to the system. He compared his schools successful integration of externally required change with the model of change it had chosen, to composing a poem in the sonnet form. In this analogy he showed awareness of the benefits of external pressure and support. His point of view was consistent with Fullans (1991) long standing conviction that the school will never become the centre of change if left to its own devices (p. 203). Blackney agreed with Fullan (2000b) who maintained that for sustained change a school must link to the outside (p. 6). The community of this school, while perceived by respondents as mostly unwilling to become involved, had been roused to participate actively in the development of the charter and statement of purpose. Very strong links had been forged with other educational organizations. An educational consultant, members of a university education faculty and a network of secondary colleges came together for a long-term project focused on improving teaching and learning. Discussion of the successful dynamics of change between the school and these elements of the external environment in the context of the selected literature, in part, explains how and why South Beach was able to be categorized as a what may be site. The consultant was selected by the four principals of the schools in the Learning Community Project (LCP) network because they perceived that her concept of Integral

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Learning met their staffs need to focus their professional development on teaching and learning. They created the network for the benefit of being able to share the substantial costs involved. The team to monitor and evaluate from M onash University was employed for two reasons. Firstly, the principals felt this would be a way of demonstrating accountability for the expenditure of a large amount of public money on this three-year project. Secondly, they wished to ensure that each school and each learning area was able to accurately identify where improvement was needed and to monitor progress towards meeting improvement goals. The school leaderships approach to the DoE was consistent with Hodgkinsons (1991, p. 83) recommendation that the principal should position the school so that it is able to avail itself of opportunities and resist trends that were contrary to the way it defined itself. The leadership practice of putting the school in control of DoE change and designing its own change model through the LCP was consistent with Fullans (2000a) 7th ingredient for sustained change. It suggested that success in change came from not implementing someones else reform but by the school creating its own agenda for change within external policy. However, the principals success in creating school ownership of change by selecting and transforming external change was atypical of the behaviour of secondary college principals in the case studies of Blackmore et al. (1996), who found that secondary principals implemented DoE initiatives indiscriminately to seek advantage for their schools. The roles played by a consultant, a network of four schools and the external evaluators within the LCP provide an illustration of Fullans three stories of inside/out reciprocity (2000b, p. 6). The inside story was strong commitment to students and building a collaborative work culture that was a pre-requisite for the positive staff

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response to the consultant, Julia Atkin. The inside-out story was the recognition that the school could not achieve success on its own so challenge and support were sought from consultant and evaluators. The resource structure of the four school network is, on a small scale, an example of an outside-in story. The LCP was also an outside-in story in the means it provided to implement the statewide middle years initiative. Linking the LCP to a policy level above the school accorded with one of the prerequisites M iles (1998, p. 59) identified for successful institutionalization of change. One respondent, Ian Blue, reported the potential for future linking with a higher policy level. The M onash team had expressed the view that the LCP model would be worthy of scaling up for use in all schools. However, the projects infrastructure did not, as Fullan (2000a: 24) suggested was needed, combine pressure and support. On the contrary, the principal of South Beach asserted commitment to a spirit of voluntarism in the project: Initiatives that involve change in how people teach (as distinct from what they teach) require volunteers who get involved because of existing concerns about their practice (Blair, 1998, p. 2). The consultants framework for effective teaching human spirit, learning environment, guiding the learning process - was a significant factor in the teachers very favourable response to her. Writers of the selected literature offer suggestions why this would likely be so. Respondents found her ideas intriguing (Goodlad, 1975) and their relevance to practice conformed to Fullans (1993) advice to focus on teaching and learning. The human spirit aspect of the framework focused on the critical importance to teachers of the teacher-student relationship and of fostering the growth of each individual (M cRae, 1988; Cooper, 1988).

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In addition to the parent community involvement in the process of writing the charter and composing the purpose statement, two major LCP projects had extensive parent support and direct participation. This suggests that the LCP could provide the opportunity for strengthening the schools organizational culture that M itchell and Willower (1992) suggest may be identified in all schools. However, at the time of data collection, parents had not been provided with the learning opportunities recommended by Darling-Hammond (1998) for building the pedagogy of understanding (p.655) throughout the school community. Very selective and in-depth engagement with elements in its external environment and independence from the Department were of fundamental significance in the what may be schools successful management of change. There were three aspects of this discriminating and independent approach: The opening of the culture to theory and knowledge not available from the Departments professional development sources, the choice of a project structure to guide change independent of the Departments requirements and the creation of structured external support independent of the system. Studying What could be All three elements of the external environment influenced the what could be schools capacity to plan and implement change efforts. Although the most significant change at the what could be schools was initiated and implemented somewhat independently of the Departments change agenda, the threat of closure or merger emanating from the Department in the early nineties provided a motivating sense of urgency to act in both schools. The members of these schools showed a strong capacity to understand the wider forces, accept their

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implications and confront them. From so doing, they developed the attributes that Sharpe (1998) identified as needed to prevent an organization languishing in the past: a sense of purpose, a set of goals to aspire to, a mission to believe in, and a vision to draw them forward with positive anticipation to a better and more exciting and challenging future (p. 41). The acknowledgement by members of both schools that their falling enrolments signified that their local communities had rejected them led to the opening of the cultures of both schools so that they were responsive to the needs of their communities. This realization that their local communities were indeed their schools lifeblood commenced a dynamic of radical redefinition of both schools and cultural change. At East City S.C., those committed to action to save the school gradually gained some recognition for their efforts and won a sympathy staff vote for their recommendations. At West Bay S.C. there was a dynamic of struggle and compromise that Apple (1998, p. 79) saw as typical of school settings. A staff vote to fight to stand alone was narrowly won. Some who would have preferred the school to join the amalgamation transferred out. The rejection of the Departmental pressure to amalgamate at West Bay resulted in a process for change coming from within the culture and membership of the school. It certainly avoided the risk that within the walls of the school and classroom little changes that Atkin (1996, p. 4) associated with implementing mandated change. Numerous far-reaching changes occurred in areas such as relationships with feeder primary schools, curriculum, assessment, discipline, uniform, sport and extra-curricular programs.

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The threat to East Citys survival due to parents and students choosing other schools, and the Department policy on small schools, was less overt. However, it was keenly felt by staff, particularly SECT members. This school also benefited from the change process coming from within, initially with the SECT formulating recommendations based on their research of what the community wanted and later, with the appointment of a new principal, the introduction of TQM to guide improvement. The comprehensiveness of change was similar to that of West Bay S.C. Prevailing attitudes to mandated Department change at the two what could be schools differed somewhat. Not unlike the secondary principals in the Blackmore et al. (1996) study, the principal of West Bay was eager to accept programs and involvement in the external environment of the school that might bring the school political or resource advantage. Similar to the view of the principal of the what may be school, the assistant principal of West Bay believed the school should take control of what it can. He was influential in gaining wide acceptance of this approach at the school and it was the foundation of the schools ongoing success in combining required change with school identified change needs. For example, Curriculum and Standards Framework (CSF) implementation was used to achieve a major re-writing of courses from Years 7-10. At East City S.C., the principals commitment to TQM led to his taking a somewhat selective approach to the Departments change demands. He discriminated so that only change that he believed was unavoidable and/or good for the school was implemented. There was an unexpected way in which this school met M iles (1998, p. 59) suggestion that for success a school change needs to be linked to policy above the

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school level. An East City teacher respondent, John Kelly, was delighted that the region had decided to scale-up the use of the schools TQM model for change in a pilot study at thirty schools the following year. The schools change was linked to the policy level above but in a reversal of the norm for this relationship. After the enrolment turnaround, West Bay S.C. found that imposed change enabled the school change momentum, and the achievement of school change goals, to be maintained. In this, the flexible and pragmatic approach to change of the school administration and staff has proved successful. At East City S.C., in contrast, a respondent, John Kelly, remarked upon the difficulty of meeting the DoE change requirements while working through the continuous quality improvement process that was seen as the principals agenda. The what could be schools were very similar in that the opening of their cultures to the aspirations of their parent and feeder school communities and their systematic response to those aspirations were the foundation for success. While both schools based their improvement on identifying and fulfilling parent and student expectations they differed in that East City followed TQM and identified the parents and students as clients while West Bay succeeded without such a theoretical framework to guide action. At the what may be school the consultants role was critical to the change effort providing challenge, inspiration and a base of knowledge and theory for the change effort. The what could be schools also used consultants in their change processes. West Bay employed consultants to research community aspirations for the school and at East City the initial inspiration for SECT was a guest speaker who, in speaking about change and a community ethic of care, took a consultant-like role. Later, the school established a long-term relationship with a consultant who was expert in TQM theory

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and practice. Across the what may be site and the what could be sites, the benefits M iles (1998) identified for consultative relationships were evident: (They) bypass the status quo , mobilize high energy, open up communication, devise creative alternatives, and flatten the power structure (p. 43). The approaches to external change at the two what could be schools fall somewhere between the extremes represented by the two other categories on the issue of dealing with external change. West Bay took control of what it could but was ready to take advantage of all opportunities the system, community and other educational organizations provided. East City was much more selective in its stance to the Departments change agenda but very open to wishes of its local community mediated through the TQM process improvement strategy. Both of them, like the what may be school, approached change in the spirit that Stoll (1997) suggested was indicative of successful schools: (They) do not only deal with change; they actively take charge of it. It is more than just the management of change. It is about being creative and accommodating external ideas within the schools own context and needs. Successful schools have an ownership mentality, and define their own direction, irrespective of external demands. (p. 6) In sum, the exploration of respondents views across the sites and categories found that the influence of the external environment on the schools capacity to plan and implement change efforts was profound.

The third major research question had two parts. Question 3a asked: What are the critical aspects of the school as an organization which impede planned change efforts? Question 3b asked:

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Which personnel in what positions in the school are influential in impeding planned change efforts and how is their influence exercised, particularly in relation to school culture? The case studies in Chapter 4 explored the interplay of organizational and individual aspects that impeded and promoted change within the contexts of each of the six schools. In the multisite study in Chapter 5, to reflect the narratives of respondents, organizational and individual aspects that impeded change were discussed together. In the case studies and the multisite study there is quite sparse reference to specific individual members of staff impeding change and the identification of the positions occupied by those who impeded change was infrequent. The reticence of informants to identify specific individuals in their discussion of resistance to change or failure of change efforts was not surprising. M ost respondents loyalty to individual colleagues resulted in them not referring to staff by name when discussing the role of school personnel in impeding change. Indeed, many respondents referred to some staff in very general terms when discussing the role of school personnel in impeding change. Therefore, in this summary of answers to major research question 3a and 3b the organizational aspects and individual aspects impeding change are presented together. Studying What is The third research question focused attention on barriers to change within the school. In the what is schools, many teachers resisted change that principals were required, or chose, to initiate and have them implement. The selected literature provides clear reasons why school change is likely to be resisted. Indeed, the experience of the three schools in this category is much more in accord with the literature on change resistance than the schools in the other two categories where resistance was minimal. Discussion of the motives of individuals who resisted change, and the conserving nature

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of these schools cultures, gives insight into why change was resisted so markedly in the what is schools. In each of the what is schools there was the strong inclination to conserve continuity with the past by preserving school traditions. This was a characteristic of the culture of these schools that made them quite closed to external influences. Several writers whose ideas were discussed in Chapter 2 commented on the strength of school culture imbued with conserving values. For example, Hodgkinson (1991) referred to its capacity to overcome the rhetoric of those who lead change. Rossman et al. (1988) located the centrality of values to school culture in summing up the concept as what is true and good (p. 5). The dominant values of all three schools included respect for the past. In two of them, East Hills S.C. and Port City S.C. the influence of the past was heightened by nostalgia for what was perceived by some staff and school community members at both schools as a lost golden era. Although the particularities at each school differ, the psychology of this aspect of change resistance is similar to that found in a case study of change resistance by Corbett et al. (1987). In their sites, like the three what is sites, most of the staff had worked there long enough to remember the good old days and regretted that those days were now gone (p. 48). The selected literature offers a number of reasons for the likelihood that educators will resist change. Vail (1989) believed that change resistance arose from disagreement with the values inherent in the change. Corbett et al. (1987, p. 37) agreed, finding that in each of their case study schools there were norms, beliefs and values that were so unalterable they called them sacred.

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Some respondents revealed that they rejected some of values of the change the Kennett government embedded in the Schools of the Future program. Across the sites, this was most marked in regard to the performance management system that gave rewards to individuals for outcomes often achieved by the group. These doubts were a cause of resistance at each of the what is schools. Hargreaves et al. (1996, p. 291) identified such teacher scepticism about reform as a significant explanation of change resistance in schools. Rejection of change founded in a values clash was reported as having the strongest and most pervasive influence on change at Port City S.C. Respondents perceived that the values of Port City were fundamentally opposed to change on moral grounds. There was a clash of values between the perspectives of administrators and teachers contributing to change resistance in the what is schools that was similar to that identified by Campbell (1997). In her study, the ethical objection to change mandated by administrators stemmed, on one hand, from some teachers perceiving their principals as overbureaucratised and too disassociated from their previous role as teachers and, on the other, principals perceiving teachers as failing to see situations globally enough (p. 255). Some teachers in the what is schools resisted change because they viewed their principals in the manner Campbells respondents did. For example, in defending their tardiness at implementation of the CSF (M inesville S.C.), in suspicion of the annual reviews (Port City S.C.) and resentment at the imposition of vision and values (East Hills S.C.). In each case, the administrators response to the teachers views was similar to that of the principals in Campbells study. Such clashes between administrators and teachers was seen by Bishop and M ulford (1999) as flowing from the DoE cooption of principals during the

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implementation of Schools of the Future, rather than a values clash. In their case study of a secondary school, cooption of the principal was a significant cause of change resistance. The issue was implementation of the CSF. They perceived a vicious circle arising: Teacher trust in principals is undermined by perceptions of principal cooption to change initiatives which are unsupported by teachers. In turn, qualified trust of the principal fuels teacher alienation and disempowerment, which then exacerbates their strategies of resistance. (pp. 179-180) Only rarely, for example respondent Julie Austins indignation at the pointlessness of having to rewrite the Science curriculum to do the CSF, were there glimpses of teacher respondents from the what is schools participating in this chain of psychological states. However, their descriptions of many colleagues resentment and resistance of the DoE change, imposed by principals, suggested this dynamic was common in regard to CSF (M inesville S.C. and East Hills S.C.), compulsory sport and LOTE (East Hills S.C. and Port City S.C.), the charter and annual reviews (Port City S.C.). Rather than regretting their perceived cooption, the principals explained that they took advantage of their enhanced power to implement changes they perceived as needed for school improvement in addition to implementing the mandated change for which they were accountable by the terms of their contracts of employment. In addition to the strength of the culture and the attachment to the way things are and/or have been, change was resisted in the what is schools for micro-political reasons and because of the attributes of the staff cohort in each school. There were two micro-political aspects that impeded change. In all three schools there were concerns expressed about the detriment to change efforts of deteriorating working conditions, particularly the increased workload. In two schools

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(M inesville S.C. and East Hills S.C.), the activity of the AEU branch was perceived as impeding change by contributing to the preservation of the existing culture and by direct resistance. Several attributes of the staff group were seen as impediments to change. The stability and length of service of many staff in each of the three schools were perceived to contribute to their tendency to impede change. Whereas Hargreaves et al. (1996, p. 291) associated change resistance with teachers reaching a mid-career stage, in two schools (M inesville S.C. and Port City S.C.) respondents perceived that the number of staff approaching retirement was a factor impeding change. This finding is consistent with Evans (1996) assertion that the aging of the US teacher cohort intensified their natural human aversion to change (p. 92). The tendency of some staff to be distracted from change initiatives by out of school matters was identified by respondents in the M inesville and East Hills sites as an impediment to change. In one school, Port City S.C., the division of the staff into two fighting groups created a climate of mistrust that was perceived as a very strong barrier to change. There are few data that reveal the positions held by those who sought to impede change in the what is schools. M ostly respondents spoke in general terms about colleagues who resisted change. Occasional reference was made to the positions held by an individual, for example, a KLA leader at school M inesville S.C. who was reluctant to implement the CSF. In each of the three what is schools, the influence of the staff in impeding change was markedly intense. In two schools, M inesville S.C. and Port City S.C., respondents described staff resorting to malevolent hostility to stop change efforts. Respondents from East Hills S.C. and Port City S.C. commented on the undermining

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effect on change efforts of put down remarks. Despite the strength of these staff emotions, principals were able to implement significant change. This seeming paradox is consistent with Evans (1996) view that the expression of emotion in response to the sense of threat and loss that change often causes, may have a part in enabling individuals to adapt both the change itself and themselves (p. 27 & p. 249). From the perspective of the principals of the what is schools, the staffs expression of negative emotion in relation to change reminded them that, although they succeeded through the power given by their position, more inclusive ways of achieving change may be needed. Hargreaves (1998) argued that it is short-sighted to attempt to ignore teachers emotions in response to the change process. That way leads to festering resentment and unresolved grudges and grievances (p. 560). The resistance in the three what is schools drew principals attention to the need for moving beyond the reliance on top-down system change. These changes are discussed with the answers to major research question 4. Studying What may be That the what may be school had been a high school, before high and technical schools were brought into the one system in the late eighties, was seen as a reason for resistance to Vocational Education and Training (VET) programs. The residual academic culture associated with high schools had sufficient strength at this site to impede acceptance of a vocationally oriented program. That the high school culture impacted on change nearly a decade after restructuring is consistent with Evans (1996) generalization that the stronger the culture, the more firmly it resists new influences (p. 46).

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In the area of micro-politics, time issues and workload were perceived to impede change to some extent. Despite the schools success with bringing about change, the Schools of the Future context induced some resistance in this site. This program simultaneously sought radical change and imposed significant cuts in school staffing (Blackmore et al. 1996, p. 197). The result was perceived by principals as dwindling resources (Caldwell, 1994, p. 8) and by teachers as worsened working conditions. That the respondents in this site like all others in varying degrees of intensity reported the detriment to change efforts caused by time and workload concerns was consistent with the consistently negative findings regarding conditions of work in Tartaros (1996, p. 40) study of teacher attitudes in a Schools of the Future pilot school. The staffs location in dispersed staff rooms was seen by respondents to contribute to change resistance. The principal referred to them as the schools nine Balkan states alluding to the many identified detriments that flow from a balkanized teacher culture (Fullan and Hargreaves, 1991, pp. 52-55). Although fewer in number than at the what is sites, some teachers unwillingness to change was perceived as a barrier to successful change implementation. The organizational and individual aspects impeding change in the what may be school were few and relatively weak in their impact on change efforts. To a large extent, the colleges management of change provides the explanation for this. Specifically, the widespread expectation that the LCP would achieve major improvements in teaching and learning in the classroom met a clearly identified staff need. This need was not met by the Schools of the Future program because of its

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focus on management matters. This confirmed Shlechtys (1990) point that while teachers tend to be cynical about imposed reform they will work to achieve excellence and improvement because they believe in what they are doing (p. 108). Studying What could be The micro-politics at one school, West Bay S.C., resulted in compromises in the implementation of a mandated change, CSF implementation. In both schools concerns about workload and time demands were perceived to impede change. A minority of staff at the two schools was perceived to impede change. Some were perceived to be in retirement mode and others were made afraid or uncomfortable by change. The organizational and individual aspects impeding change in the what could be schools have been few and relatively weak in their impact on change efforts because of the development of the will to survive against the odds. The stories of change at these schools during the early and mid-nineties suggested that they were exceptions to judgements about school change such as Evanss (1996) that change is neither natural nor normal, constant nor common (p. 25). In both schools most staff have been perceived to be motivated to actively seek and implement change to an extent that the expectation that change was an ongoing process appeared as if it could become a norm of these schools cultures. Nevertheless, there were voices at the time that the data were collected suggesting that Evans view might at that time apply to these schools. The West Bay assistant principal, Jim M acM illan, pointed out that success had removed the edge from the need to change. He commented that you have to keep finding carrots and sticks to get people to see that no, they just cant sit on their laurels, things are happening around us that we have to respond to. Similarly, June Pirie, the

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assistant principal at East City, questioned the feasibility of continuous improvement through change when she observed that after the extent of recent change people are reticent to even think about any more change. Question 4 also had two parts. The first part, Question 4a was: What are the critical aspects of the school as an organization which promote planned change efforts? The second part, Question 4b asked: Which personnel in what positions in the school are influential in promoting planned changed efforts and how is their influence exercised, particularly in relation to school culture? Respondents made much more frequent reference to specific individuals who promoted change than they did to those who impeded it. Nevertheless, for the sake of consistency summary answers are provided to major research questions 4a and 4b together. Studying What is Respondents in the what is schools perceived that organizational hierarchy was the most powerful element promoting change. M ost change in these schools came about because of the power conferred on the school principals role within the Schools of the Future program. In the what is schools the principal was seen as critical to initiating and implementing change. Perhaps somewhat paradoxically, in light of the respondents emphasis on the principals capacity to effect change, each of the three principals had initiated change to ameliorate the hierarchical structure and culture of his or her school. Each principal sought to enhance team or collaborative arrangements. The principal of Port City S.C. sought a more collaborative culture while the principals of M inesville and Port City

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secondary colleges wanted to establish a team culture. Their actions suggested awareness of the inequities and power differentials on which Schools of the Future had relied and which Hargreaves et al. (1996, p. 291) identified as a cause of change resistance in schools. The changes they mooted may represent movement towards acceptance of Elmores (1987) recommendation that the conditions under which authority is defined have to change to alleviate teachers sense of themselves as nextto-the lowest subordinate in a vast hierarchy of rules, procedures, and sanctions (p. 75). Despite the top-down nature of the most significant change, respondents at all three schools reported that when it came to small-scale change in a curriculum area or the extra-curricular activities offered, individual teachers were able to bring about change. Respondent Kerry Bannister, whose passion was a major improvement in student access to and use of information technology, dissented from this position. He held firm to the view that the hierarchical nature of the school made it necessary for all change to be led by the principal. Studying What may be At this school, the organizational focus was on improving teaching and learning through the Learning Community Project (LCP) and maintaining the schools independence within the Department of Education change agenda. Each respondent reported the widespread acceptance of and involvement in the agreed change process at this school. This suggests that a structured focus for change that suits the schools needs is critical to change that is not imposed. Perceptions of the principals role in bringing about change at this school highlighted its complexity and subtlety.

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Rather than commanding and controlling change as the principals did in the what is schools, this principal paid attention to the schools place in a competitive market environment and to establishing the ethos and structures in the school that were change enabling. Interdependence describes the relationship between the principal and staff that promoted successful change. This added another dimension to the concept of interdependence discussed in the selected literature. Authors such as Fullan (1991, p.xi) and Johnson (1996, p. 3) were confident that the principal who perceived the school and system as interdependent was likely to be both responsible and empowered in the leadership and management of change. The interdependence of principal and staff at the what may be site is a finding that is related to many suggestions in the literature of how the principal and teachers may work most successfully together to bring about change. Perhaps the best example are the facilitative principals whose relationships with their staffs were described by the Blases (1997) in terms akin to interdependence: reciprocity, co-agency, negotiation, sharing and mutuality (pp. 139-140). In Blackmore et al.s (1996) study, among other attributes teachers preferred in their principals, was that they share responsibility and power encourage individuals and groups to work collaboratively and lead (p.15). The theme of participation or sharing power and leadership has been developed by many writers in the selected literature including Lakomski (1995) and Gronn (1995, 1999). Other writers such as Duignan and Bhindi (1997) and Chui (1996) identified the principals role as a facilitator of shared vision and values. At the what may be school, the principal perceived himself as responding to the needs of staff in initiating the LCP. Others perceived the principals vision as its

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genesis. Staff responsiveness to change plans was seen as critical but so was principal class impetus. The principal committed the school to the LCP network but it was the leadership team that was perceived to be critical to its initiation and implementation. Change at this what may be school was perceived as democratic. It took place within what was perceived as an open, collaborative culture where change enabling micro-politics held sway. Studying What could be The organizational focus at the two what could be sites was on responding to the threat to their survival posed by low enrolments. Like the what may be school, the what could be schools worked at maintaining their independence within the Department of Education change agenda. There were significant differences in the responses each school made to its predicament but in both there was marked interdependence of the community, principal and staff in producing outstandingly successful change. Although the threat of amalgamation or closure was perceived to be a significant factor in these schools success with change, the achievement at the what may be site in launching the LCP suggests that the success demonstrated at East City and West Bay could be replicated elsewhere without that threat if a school desired it. Negative community perceptions had created the threat to these schools survival. Staff and administrators identifying and responding to community members concerns were fundamental to promoting the needed change. This fits the TQM focus on the customer and at East City, after the initial research by SECT was completed, the new principal adopted this model to guide the change process. Although West Bay

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researched community perceptions early in its renewal process it did not follow any particular model of change. The selection of new principals in both schools and the support given to them by their staffs boosted the change efforts and was significant in reviving community support. In return, the staff received support in their contributions to change efforts from their principals. These two principals had quite different leadership styles. The principal of West Bay S.C. was pragmatic and political while the principal of East City S.C. adhered to TQM principles. However, in each case their practice was able to encourage the dispersal of leadership. In West Bay, the fight for survival heightened the long-standing democratic ethos. In East City, as the assistant principal June Pirie explained, the staff group (SECT) exploring the means of survival before the new principals appointment paved the way for change to be perceived as a team thing with strong leadership from the top. Change in the what could be schools was perceived as having brought the rewards of survival and renewal. These two schools and two schools in Louis and M iles (1990, p. 37) study of change in urban high schools, Agassi and Alamada, achieved that rare phenomenon, the school turnaround. Among the four schools, there are similarities and differences in the nature of the turnaround and the means by which each was achieved. Some are succinctly outlined below. A strong point of similarity of the four schools is that they are situated in communities where there was a strong local push for improved education (p. 173) to be delivered by their neighbourhood secondary school. Another commonality with

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the way all four schools related to their external environments was their use of consultants in their change efforts (p. 252). West Bay and East City were like Agassi in that, relative to their respective settings, they had small student numbers. Although they found that size does not seem to be a critical factor (p. 174), in the case of Agassi, Louis and M iles suggested its smallness made the impact of the change effort stronger (p. 77). Another similarity among these three schools was the time spent before actually undertaking the change effort to address issues of teacher energy and morale. In each school efforts were made to convince the staff that the change effort would improve the school; at West Bay in the debates over the amalgamation and curriculum issues, at East City in the work of SECT and at Agassi the two years of preparation for the change effort (p. 45). At West Bay, East City and Agassi the turnaround was accomplished under the leadership of new but knowledgeable principals (p. 77). The approaches to change of the principals of West Bay and East City had much in common with that of the principal of Agassi: . far from being the charismatic mover and shaker figure that is often lauded in media accounts of school turnarounds. Rather, using an evolutionary strategy, he exhibited tenacity, flexibility, supportiveness, good problemanalysis and problem-solving skills, and a constant pressure on staff to take small steps, along with a tolerance for setbacks. His style is not that of a stereotyped masculine decision-maker, but that of a nurturing and demanding parent. (p. 77) There are differences among the attitudes of the four principals to change management and exercising power. The principal of East City and the Alameda principal (p. 97) most vigorously pushed their respective change models. In relation to power, the principal of West Bay followed the same basic idea as the Alameda principal: an expansion of the leadership pie, rather than the struggle of a zerosum

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game where the assumption is that giving others power means losing it yourself (p. 96). At Alamada participation in decision making was developed in the context of the change effort (p. 256) while at West Bay the democratic ethos was a long-established part of the school culture. At East City, the principal had retained the participatory and consultative practices that pre-dated the Kennett regime albeit within the framework of TQM principles. Successful change at West Bay and East City endorsed one of Louis and M iles conclusions about the relative strength of local and education department factors: Direct and positive state influence over the kinds of major school reform efforts that we are studying is negligible. Our cases dont support the idea that increased state influence over activities at the school level either through regulation or support will produce significant effects in the absence of much more powerful local factors. (p. 176) The case studies in Chapter 4 demonstrated that each of the six schools was unique and that the dynamics of organizational and personnel elements within each context were critical to change outcomes. However, the organizational and personnel elements promoting successful change identified by generalizing to the three domains are presented in the Framework for Positive School Change Environments in Chapter 7.

ANSWERS TO ADDITIONAL RESEARCH QUESTIONS THAT AROSE DURING THE STUDY

Research question 5 was the first of the additional research questions that arose during the course of the investigation: In the light of responses of principals in this study to the Kilmann program and of knowledge regarding school leader training in management and leadership skills, how appropriate was the training provided to Schools of the Future principals in the application of the Kilmann program to school change?

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The responses in relation to this question are derived from four sources. Firstly, a brief review of responses that were reported in relation to the first major research question. Secondly, the close reading of data provided by a key informant. Thirdly, the analysis of the Kilmann training against Immermans (1985, pp. 106-109) principles for leadership training. Fourthly, the researchers experience as a participant in the Kilmann training and his knowledge of the materials provided by the presenters. The presentation and discussion of responses in relation to the first major research question in Chapter 5, explored the complexity of responses of teachers and principals to Kilmanns program. In relation to research question 5, to give an overview it is appropriate to summarize numerically the responses of principal class respondents to questions 15, 16 and 17 in the interview guide. Question 15 asked:

What are your views about the importance of an integrated approach as described in Kilmann's model for a successful outcome to a change process? The data provided by principals indicated that seven perceived the Kilmann program to be appropriate for application to schools while two perceived that it would be appropriate if modified. Questions 16 asked: If the decision was made to introduce Kilmann's approach to implementing a whole-school change process in your school, what do you think would be the constraints which might prevent or limit the application of Kilmann's completely integrated program for change to the school setting? (a) Please rank these 'barriers-to-success' in terms of the relative degree of difficulty which would be encountered in transforming each into 'channels-tosuccess'. (b) Kilmann asserts the importance of completing each of the five stages before moving to the next. If you were using the Kilmann program in your school, how would you rank the degree of difficulty in completing each of the five stages?

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Question 17 asked:

In your view, does Kilmann's plan overlook any aspects of change as it occurs in schools? As discussed in Chapter 5 and reiterated in this chapters presentation of the answer to the first major research question, responses to these questions were very complex and often internally inconsistent. For example, one respondent , Dave Robbins, indicated at one stage of his response that he felt ambivalent about the appropriateness of Kilmann for application in schools and at other moments he expressed the perception that it was appropriate and the perception that it was inappropriate. The nine principal class respondents expressed twenty-three discrete perceptions of the Kilmann program in their answers to questions 16 and 17. Across the five categories of appropriate, appropriate with reservations, appropriate if modified, ambivalence, and perceived inappropriate, the breakdown of perceptions was as follows: Appropriate Reservations M odified Ambivalence Inappropriate 4 5 2 3 9

The pattern of these responses questioned the appropriateness of the Kilmann program for improving the management and leadership skills of principals. It was these data and the surprising paucity of prior knowledge of the Kilmann program across the six sites that led to the addition of research question 5 to the investigation. At the outset of this project, it had been expected that some respondents, particularly members of the principal class, would have been aware of the salient

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features of the Kilmann program. This was assumed because of the prominence given to it in the training provided to principals as their schools entered the Schools of the Future program. This was not the case as only one respondent, Don Blackney, an assistant principal at South Beach S.C., showed recognition of the Kilmann program having applied it to a change process at his school. This made Don Blackneys responses to questions 15 and 16 unique. In terms of research question 5, his data were regarded as those of a key informant. Key informants are reflective individuals who possess special knowledge (LeCompte & Preissle, 1993, pp. 166-167). The transcript of Don Blackneys interview revealed that he had special knowledge in that he was the only respondent who had attempted to apply Kilmanns program to the school setting and in his analysis of that work demonstrated that he was capable of insightful reflection on practice. The transcript of his answers to questions 15 and 16 has been slightly edited merely to eliminate repetition. Question 15: What are your views about the importance of an integrated approach as described in Kilmann's model for a successful outcome to a change process? Don Blackney commenced his response to question 15 with strong endorsement of the integrated nature of Kilmanns six tracks to organizational success: I think the essence of Kilmann is really good. The idea of the integration of the different tracks, the idea that youve got to be working on the culture, working on the team-building, working on the skills, working on the overall strategy and structure, looking at your reward system, keeping that shadow track that kind of reference group going, is, I think brilliant stuff and very, very powerful. However, as the discussion progressed, this endorsement of Kilmann was markedly qualified.

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Side by side from the start of Don Blackneys answer to question 15 until his concluding comment in answer to question 16, two contrary impulses contended. On the one hand, the attraction of the orderliness Kilmann promised to bring to change and, on the other, the recognition that school change was too complex to have this structure imposed on it. Throughout the responses to questions 15 and 16, Don Blackney introduced six qualifications of his opening praise of Kilmanns program. He expressed his first and second qualifications together. They were the American and business antecedents of the Kilmann program. The Americanization, I mean its obviously designed for and come out of a world of big business, industrial manufacturing, and all that sort of stuff. And that careful, staging of different things is not particularly relevant to a school setting, or maybe not to an Australian culture. I dont know which it is but I havent found that useful. Before discussing his other reservations, the respondent revealed that he wanted to preserve some sense of his starting point: On the other hand, I dont want to downplay it too much because, in a sense, there is a bit of sequence to this you do have to work on the culture early. This is immediately followed by his dismissal of Kilmanns insistence that the principles and stages of his program must be heeded: But I find his dogmatism about some aspects of that pretty irrelevant. The fourth and fifth qualifications, that the theory behind Kilmanns program did not engage his colleagues interest and that he found in practice that it could only be used as a guide rather than a program, were explained in his reply to question 16. Nevertheless, in providing a detailed account of the Kilmann program in use at his school, he still found some aspects about which he felt positive. For example, he and

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his colleagues found themselves using some of Kilmanns language in relation to strengthening the culture of the school. Question 16. If the decision was made to introduce Kilmann's approach to implementing a whole-school change process in your school, what do you think would be the constraints which might prevent or limit the application of Kilmann's completely integrated program for change to the school setting? Blackneys response was: Dont have to be hypothetical at all. Weve done it. We developed a school vision statement and we said that in the implementation of it we have quite deliberately modelled it on Kilmanns approach. So were not being hypothetical about this, we have done it. What we found the constraint was that a lot of people werent much interested in the Kilmann theory but were happy to go along with it For example, the shadow track concept (they) leapt on quite happily so that weve got a steering group. Weve go a number of sub-groups that are working on a number of different aspects of this and they refer back to that steering group. The steering group is agendas, it is building a culture, its talking in the language all the time. The one thats probably worked least effectively is the skills track Nothing much has happened there because we havent actually needed it to. Weve been keeping a watching brief on what sort of special skills training do we need to send people off to, in order to help with all this. Effectively a lot its been done. There was a powerful skills base already and weve done a couple of things weve sent a couple of people off to accountability training . Its probably the least important. We havent been very doctrinaire about it at all. What were bringing in is the implementation of our vision statement, mission statement direction statement we call it and were doing it in the context of our new charter and charter review. So I sold the rest of the team on the idea of using the Kilmann model, more or less, to guide us in that. And they were happy to go along with it If you wanted to grid the Kilmann program on what weve done thered be a fair few areas of misfit. Weve used it as a guide rather than a program but its been effective in a number of respects. At this point the researcher asked a follow-up question: Why doesnt it fit the school or Australian context more closely? In reply to this question, Don Blackney explained his sixth and final qualification, that the Kilmann program was simply incongruent with the dynamics of school change.
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He sells it as a kind of five-step plan you do this, you do that and you do them in these orders and you must follow this approach. But schools are too chaotic for that. I mean, a manufacturing company or something like that, theyre used to working in project management type software to tell you when youre going to get your contract in to do this stage of it stuff thats brilliant for major building projects. Schools dont work that way. Theyre much more fluid, theyre not a sequential sort of thing. Despite recognizing that the non-linearity of school change processes rendered much of Kilmanns program inoperative, he revealed the strength with which he wished it was otherwise by the self-disclosure in his concluding comment to his answer to question 16. He explained that he followed up his interest in the Kilmann program with the purchase of project management software to try to gain better control of school change processes. I had a go at starting to use it and it just broke down, left, right and centre because the timelines are fluid, the range of possibilities youve got. If you dont do it this term, well you can still do it next term if you balance this, you do it all. But trying to (use the software), it just became pointless. The concluding remark, it just became pointless, has a resonance that seems to reflect too on the respondents discussion of the Kilmann program. His six qualifications and his disappointment with the project management software so strongly negated his initial enthusiasm. That this sole respondent who knew of Kilmann from the DoE provided training, endeavoured to use it, but found that at best it was a guide rather than a program, suggested that Kilmanns program was not an appropriate choice for the development of principals management and leadership skills. Analysis of the professional development provided in the Kilmann program using criteria established for the assessment of an earlier leadership training program revealed both strengths and weaknesses.

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Immerman (1985, pp. 106-109) outlined a set of ten principles by which the effectiveness of leadership and management training programs may be evaluated. He had synthesized the ten principles from the research literature on effective leadership and management training programs. These are in italic print and are provided as a basis for a post hoc point by point analysis from available data of the training provided Victorian principals in the Kilmann program. The data are derived from the researchers experience as a participant in the program and his knowledge of the materials provided. 1. Course contents must be flexible. Guidance should be given to participants to conduct an analysis of their own and/or their organizations needs prior to the program. A pre-course planning workshop, in which trainees are given an opportunity to use their needs analysis to influence the precise nature of the course material, is valuable in promoting greater involvement and participation. The training provided on Kilmanns program did not conform to this principle. Unit 9 of the Creating a School of the Future workshops, like all other units, was not flexible or responding to participants needs. Typically, it was based on directed reading, a presentation on the concepts and application activities. 2. The curriculum of a program must be directly relevant and specific to the needs of the particular organization/s from which the trainees come Training in the Kilmann program was pertinent to the adaptation of DoE principals to the Kennett ideology. From the school perspective, the homework assigned to apply the Kilmann program to effect a change process at school had the potential for this criterion to be met. However, the lackadaisical reporting back suggested that at best this principle was met at a low level, with principals not being convinced of its relevance to their school needs. 3. The program must be perceived by trainees as relevant and helpful

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This principle was also met at a low level. Data from this study suggest that training in the Kilmann program would be of quite limited relevance and help. The implications of the data as to the extent to which Kilmann is relevant and helpful to school change will be considered in the discussion of the findings related to research question 9. 4. Each major component of the course requires clearly stated behavioural objectives, the attainment of which is measurable. As the application of the Kilmann program to a school based change effort was reported back informally by participants in small groups its effectiveness could not be measured with any precision. This principle was not met. 5. A number of specific strategies must be devised to further aid in the transfer of what is learnt in the course to the workplace and to prevent fade-out. These should take the form of a. action plan and leaders records of implementing them; b. two or more follow-up workshops (preferably full days) which are prearranged to be held three and six months after the course and are seen as a component of the training activity; c. consultants visiting participants in their organizations and assisting (coaching) them in the implementation plans; d. contractual arrangement to promote trainees commitment to improve their effectiveness. Points a and b of this principle were met at a low level by the homework task set between the two sessions of the program to apply the Kilmann model to a school change effort and report back. Points c and d of this principle were not met. 6. The methodology used for the presentation of the course should be varied and appropriate to the subject matter for each section. The methodology must be designed to enable trainees to acquire a thorough conceptual understanding of the skill being presented Participants should be allowed to practise skills learnt in carefully simulated situations, thus receiving hands-on experience. Support and reinforcement must be provided. This principle was met at a low level. M aterials provided enabled participants to acquire a thorough understanding of the Kilmann program. The in-service program

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included a workshop in which the Kilmann tracks were implemented in a hypothetical situation. The homework tasks provided the opportunity to practise the skills taught by Kilmann. However, beyond this, support and reinforcement were not forthcoming. 7. The course instructor must be respected by trainees

The researcher affirms that the presenters were well respected by him and other participants with whom he discussed the program of which training in the Kilmann model was a part. 8. The course must not be an isolated one-off incident. In addition to the need for follow-up, it should comprise only one component of a longer term professional development program and be a fully integrated part of it. The training in Kilmann did not conform to this principle. After the five days of the Creating a School of the Future program, Kilmann was superseded by other models for change in subsequent programs contracted-out by the DoE to enhance the management and leadership of change. It was Caldwell and Sawatzki, the consultants contracted to introduce the Schools of the Future, who had selected and proffered Kilmanns model as a means to achieve the change needed for its implementation. When other consultancies and academics were employed to provide subsequent training in change management, they naturally chose their preferred models instead. 9. An internal course is generally preferable to an external one. It should be attended by a number of leaders from one organization or at least in the same managerial positions from very similar organizations (e.g. principals from high schools). The course content, wherever possible, should be influenced by problem areas in organizations and integrated into plans for improvements in organizational practices. As the Kilmann program was offered to an audience of primary and secondary principals whose schools were all in the same intake of the Schools of the Future program, the spirit of this principle was partly met. However, being an external course

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attended by the principals unaccompanied by staff involved in change planning, made it likely that any school implementation attempts on their return to school would be resisted. 10. The theory or theories on which the course is based must, of course, be sound. The theory should be consistent with the actual working environment and real world in which participants find themselves. The responses of participants in this study would suggest that the extent to which this principle was met is a matter of contention. However, the key informants perceptions suggested that the soundness of Kilmanns program when applied to schools was dubious and that it was inconsistent with the school environment. Considering Immermans first nine principles, the training in the Kilmann program met two of them (7, 9) at a satisfactory level. It met three and a half of them at a low level (3, 5a & 5b, 6), and three and a half of them (1, 4, 5c & 5d, 8) were not met at all. The tenth principle concerning the soundness of the theory and consistency with the participants working environment, related precisely to the first major research question. Although the data revealed diverse perceptions on both aspects of this principle, on balance, it was not met. Therefore, this analysis supported what was demonstrated by the principal class responses to questions 16 and 17 and the close reading of the key informant data. The Kilmann program itself was an inappropriate model for school change and hence as professional development for principals, despite meeting some principles of what is needed for successful training in the process of change for school leaders, was less than satisfactory.

Research question 6 was the second of the additional research questions that arose during the course of the investigation:

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To what extent were the components and dynamics of the change process presented in the conceptual framework used for this research useful in analysing change across the six sites? Overall, the researcher was well satisfied that the conceptual framework facilitated the collection of plentiful and valued data to provide for meaningful presentation of responses in Chapters 4 and 5 in relation to the major research questions. M oreover, the richness of the data enabled the scope of the investigation to be extended with the creation of six additional research questions. However, during the course of the investigation the researcher found both strengths and weaknesses in relation to the way the design of the conceptual framework presented the discrete elements and dynamics of school change. The strength of interviewees engagement in answers to related interview questions may be a useful, albeit somewhat subjective measure, of the appropriateness of the elements of the conceptual framework. In terms of interviewees responses, the strongest elements of the conceptual frameworks design were those that focused attention on the Kilmann model (F), the contending of forces within the school that promoted and impeded change (E1, E2, D1, D2) and the Department of Education Schools of the Future change plan (A1). Interview questions related to these elements provoked strong expressions of views regarding the Kilmann model and the positive effects of some elements of the Schools of the Future program, particularly the charter. This prompted the telling of many memorable accounts of change in the schools. In the light of respondents stories and their perceptions of models and practices for positive school change, elements A1 and A2 could have been improved.

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Element A1 would have been more useful had it been broader than the Schools of the Future change plan because of the significant impact of the threat of closure and merger on the stories of change in some sites. In addition, the strongly negative reaction of many respondents to the DoEs management of change, to government policies on education and to the Kennett ideology suggested that A1 needed a broader scope. Given the powerful role played by the school community in all sites, A2 Other Environmental Factors would have been strengthened by being broken into two parts, a. school community, and b. other environmental factors. The conceptual frameworks presentation of the dynamics of school change with the grid-like effect created by aspects promoting change (E1 & E2) and aspects impeding change (D1 & D2) intersecting, was a visual suggestion for interview guide questions on the contending change forces in schools (questions 5-10). A limitation of the conceptual framework was that it did not represent change as a process, a strong theme in the literature of organizational and educational change. The dynamics of change as presented in the conceptual framework omitted the phases of change. M any writers on organizational change have highlighted this aspect of the change process. Lewin (1951) broke planned change into three phases. For him, the change process unfolded through the transition of workers attitudes through three phases of unfreezing, reforming and refreezing. Others focused on the managers role in planning and implementing change and presented the change process as made up of stages or phases. For example, Kolb, Rubin and M cIntyre (1984) nominated the stages as scouting, entry, diagnosis, planning, action, evaluation and institutionalization.

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Hoermann (1997) identified the phases of school change as initiation, implementation and continuation. Her emphasis on the cyclical nature of the progression of these phases indicated another aspect of the school change process not represented in the conceptual framework. The conceptual framework did not depict the relationship between the change process and the external environment. This is a notable limitation. Hoermanns amended change model (1997, p. 528) showed the cycle of phases regularly intruded upon by critical external events. In contrast, Ryan (1995) and Fullan (2000b) explored the ways in which connections with the outside may strengthen the implementation and institutionalization phases of the change process. Although the conceptual framework did not allow for the phased, non-linear nature of school change, questions 5 and 6 and all questions on the Kilmann program in the interview guide, by inviting description and analysis of school change processes, enabled respondents to refer to these aspects if they chose. Within these limitations, the researcher found the conceptual framework to be a powerful tool that assisted in analysing and reporting data, particularly in preparing the multisite study. The identification of the individuals and the many organizational aspects involved in the change process was central to making meaning from the data. The design of the conceptual framework with all elements leading to the identification of perceptions of successful models and practices for positive school change (G) was a constant visual reminder of the focus of the investigation.

Research question 7 was the third of the additional research questions that arose during the course of the investigation:

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What insights into promoting positive change in secondary colleges emerged from this study? The experiences of change in secondary colleges have been explored at length in Chapters 4 and 5 as they related to the major research questions. The purpose of framing additional research question seven was to meet the need the researcher perceived to state as clearly and concisely as possible the underlying understandings of change that emerged from the analysis of the respondents views on the Kilmann program, the six case studies, the multisite study, and the eleven variables. These insights are stated as economically as possible. They are arranged under three headings with the related research questions in brackets: the Kilmann Program, Interacting with Change Influences from Outside the School, and Understanding the School Setting.

SOM E INSIGHTS ABOUT SUCCESSFUL SCHOOL CHANGE The Kilmann Program (M ajor research question 1): 1. Kilmanns program both attracted and repelled. However, discussion of it revealed that many respondents perceived the need for improved processes and structures for school change. (See pp. 249 - 289) 2. The most strenuous rejection of Kilmanns program was due to its business origins. M any respondents saw schools and businesses as fundamentally different. On balance, respondents perceived Kilmanns program as theoretically satisfactory but practically flawed. (See pp. 277 - 284)

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Interacting with Change Influences from Outside the School (M ajor research question 2): 3. The external environment DoE, community, and other educational organizations was critical to change efforts. Across the sites, change and the elements that make up the external environment were positively related to in some and negatively in others. Differences among the sites cultures were significant factors in this. (See pp. 299 - 303, 312 314, 319 326) 4. M ultiple changes were in progress at all sites as a result of the Schools of the Future program. (See pp. 299, 312, 319) 5. Threats of closure or merger engendered a sense of crisis that resulted in action to regain community confidence and enrolments. Crisis and renewal were in this study positively correlated. (See pp. 318 329) 6. Principals interacted with the external environment with a number of political skills. They shaped environmental forces in the interests of the school (political nous/negotiation), implemented government policy (ideological/coercive power) or buffered external change forces (discretionary power). (See pp. 303 - 306, 314 316, 327 - 329) 7. Employer power, when used by administrators to bring about change, brought both timely implementation and resistance within the same sites. The conserving strength of the cultures of the what is schools included respect for hierarchy. Change that relied on the principal achieved success and was resisted. (See pp. 299 310) 8. Although appalled by the DoE management of change, most respondents perceived that the school needed the system for success in large-scale change efforts. Some

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favoured the independence of the school self-governance model while most preferred a model of interdependence among schools and/or between the school and the system. (See pp. 342 - 345) 9. The process of charter development had the capacity to build unified purpose and facilitate change planning and implementation when consultation identified school needs that became priorities in the ratified charter document. (See pp. 299, 312 316, 319 - 321) 10. Integration of DoE change demands and local initiatives produced creatively crafted change. (See pp. 299 301, 312, 319 - 323) Understanding the School Setting (M ajor research questions 4a & 4b): 11. Respondents who perceived their school as most successful at change perceived it as having the power to change and as somewhat independent of the distant power emanating from the regional office, the centre or the system. (See pp. 312, 319 323) 12. A focus on maximizing student learning opportunities motivated and sustained the change efforts that respondents perceived as the most successful. (See pp. 190, 201, 202 204, 212, 239) 13. Respondents who perceived their school as most successful at managing the change process also perceived their schools culture as open. (See pp. 330, 311, 319) 14. Collaboration and negotiation characterized the micro-politics of the sites where respondents perceived change efforts as most successful. (See pp. 219 221, 226, 235)

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15. Arising from formal structures or developing spontaneously, team capacity to steer the change was an ingredient in the change efforts that respondents perceived as most successful. (See pp. 219 222, 224, 236 - 237) 16. Commitment and support of the principal and other formal and informal school leaders was critical to successful change. (See pp. 164 165, 179 183, 214, 225, 227, 232 - 233) 17. The person was important in the process of change. The change perceived as most successful resulted from the interdependence of the leadership role of principals and the leadership shown by many teachers. (See pp. 212, 225, 238) 18. Respondents perceived that successful change plans were designed to match the schools unique features so there was a good fit with the school - reflecting the shared aspirations of the school stakeholders. (See pp. 219 224, 202 204, 236)

Reducing the diverse views of twenty-nine participants in this study to eighteen statements shreds them of their individual and school contexts. Nevertheless, they do reflect the overall outcomes of this study, particularly their emphasis on context specific variables. They summarize the insights into promoting positive change in secondary colleges, gleaned over the course of this project, in an accessible form.

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CHAPTER SEVEN THE M AJOR FINDINGS AND IM PLICATIONS OF THE RESEARCH

INTRODUCTION From the numerous insights into change that the data afforded, three major findings express the essence of what may be confirmed about change in secondary colleges in Victoria in the late nineties from this project. In a brief discussion of each, the findings are placed in the context of some of the pertinent literature from that selected to guide this study.

FINDING ONE: The study confirms that the organizational culture of the school and the individual participants in school change efforts are critical to their success. This finding is expressed in two parts: 1. The particularity of each unique school as an organization influences the extent to which planned change succeeds. A school culture that is open to change is a needed ingredient in the change process. 2. The roles played by teachers and administrators, as individuals and in teams, influence the extent to which planned change succeeds. Shared leadership is an ingredient in the change process. This finding endorsed the views of a number of authors represented in the selected literature. The significance of understanding the effect of the particularity of each unique school as an organization on change was recognized, for example, by Stoll and Fink (1996, p. 48) who argued that change efforts that do not attend to the cultural and organizational conditions of the school are unlikely to succeed. Also, Elmore and Burney (1998) in their study of school variation asserted that each school

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presents a unique bundle of attributes (p. 17). This finding endorsed Sergiovannis (2000a, p. 64) insistence on the importance for substantial change of legitimizing individual contexts and situations and his rejection of one-best-way, one-size-fits-all approaches to change. This finding identified the extent to which the schools culture is open to change as significant in achieving success in its management. It endorsed Huberman and M iles (1982) finding that norms supporting collaboration, cohesive relationships, and a reasonable tolerance of diversity (p. 297) were evident in schools that succeeded with change. The finding is also consistent with Evans (1996) view that to avoid reforms being merely grafted on to existing practices the capacity to alter the assumptions, goals, structures (and) roles is needed (p. 5). The findings endorsement of roles played by teachers and administrators, as individuals and in teams affirmed the views of writers of the selected literature such as Fullan whose inside story valued collaborative work cultures (2000b) and his fifth lesson that asserted both the importance of individualism and collectivism (1993, pp. 33-36). Likewise, in his advocacy of schools as learning organizations, Dalin (1996) asserted the importance of the participation of all in the improvement process. This finding lends support to both Hubermans (1993) individualistic concept of the teacher as the independent artisan and Tuohy and Coghlans (1997) view that participation in teams at each of their four organizational levels is needed for successful change. It also shows that Huberman and M iles(1982) recognition that successful change must bridge the differing worlds (p. 475) of administrators and teachers is still current.

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Shared leadership is only one of many views of leadership presented in the literature selected for review in this study. The finding endorsed that position on the leadership of school change held by writers such as Starratt and Lakomski. Starratt (1993) viewed leadership as an energizing force dispersed throughout the school and Lakomski (1995) argued that leadership should be shared among members of the school because knowledge is spread among the schools stakeholders. Also aligned with this finding are Blackmore et al. (1996) whose teacher interviewees preferred principals to share power. Furthermore, this finding is consistent with the work of the Blases (1997) on facilitative principals. These principals empowered their teachers by placing trust in them and by using power-with strategies.

FINDING TWO: The study confirms that although the school is the centre of change, the nature and quality of the interaction between the school and its community, other organizations including schools, and the public education system, are critical to the success of planned change efforts. The finding is expressed in three parts: 1. The views of school community members have a very strong influence on school change. 2. Creating opportunities to interact with other schools and other educational organizations (e.g. consultancies, universities) is a significant factor in the change process. 3. Seizing and shaping the opportunities provided by the interaction between the school and the system is a significant factor in the change process.

The powerful influence of school community members in this finding confirmed M itchell and Willowers (1992) views on the potential strength of the

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community to promote change. Theirs was a study of an excellent high school in which the community was identified as critical to the schools academic success. Also, supported by this finding was the message of Fullans (2000b) inside-out story. It specified parents and other community members as forces in the external environment which schools must turn to their advantage (p. 3). The finding that for success with change a school must interact with other schools and other educational organizations confirmed views expressed in the selected literature. Fullan urged schools to connect with the wider teaching profession and use that interaction to advantage their change efforts (2000b: 3). Also, this finding endorsed Elmore and Burneys (1998) fourth theory of action principle. It encouraged professional development across schools to, among other outcomes, break down the isolation of principals and teachers and establish norms about system-wide instructional improvement (p. 18). This finding that identified the importance for successful change of making the most of the opportunities arising in the interaction between the school and the system confirmed the views of several writers of the literature selected to guide this project. Sirotniks (1989) concept of the school as the centre of change focused attention on interaction with the external environment to achieve change in the school. Fullan (2000b) asserted that the interaction was critical to provide both challenge and nurture for change. This finding also supports Johnsons (1996) definition of the preferred quality of the interaction between the school and the system as interdependency and Ryans (1995) advocacy of the middle-out implementation model that combined the bottom up and institutional approaches to the change process.

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FINDING THREE: The study confirms that school change is a complex phenomenon requiring planning that is suited to the nature of the school as an organization and able to match the particularity of each school. This finding is expressed in two parts: 1. Planning for school change should allow for flexibility and response to feedback throughout the initiation, implementation and institutionalization stages of the process. 2. In undertaking school change teachers and administrators prefer planning structures and processes based on an understanding of change in schools rather than in business. The finding that planning for school change should have flexibility and response to feedback throughout provided support for the metaphor of the journey as appropriate to depicting the nature of educational change planning (Evans, 1996, p. 15). This finding also endorsed Louis and M iles (1990) support of evolutionary planning that enabled those responsible for change to learn from experience. Also, it showed that respondents endorsed the responsive, recurrent and flexible approach to change planning in the self-management model designed from their research by Wong et al. (1998, pp. 77-78). The finding that preferred change models based on understanding of change in schools rather than in business endorsed the views found in the selected literature of writers such as Ball (1987), Cuttance (1995a, 1995b) and Dennis (1995) who rejected the application of business models and concepts to school change.

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IM PLICATIONS OF THE RESEARCH This section presents the implications of the research in three partsimplications for theory (model building), implications for future practice and implications for research.
IMPLICAT IONS FOR T HEORY MODEL BUILDING

The eighth research question, the fourth that arose during the course of the study, concerned the implications of the study for theory. It asked: What are the implications of the findings for change theory and how could they best be represented as a model to guide future change efforts and suggest possible future research? Before introducing and describing a Framework for Positive School Change Environments that incorporates all the elements associated with successful change in this study, clarification of the nature and purpose of model building is needed and recognition of the possible benefits, limitations and risks it entails. Forrester claimed that in every area of life the use of a model is unavoidable. He made a convincing claim for the significance of model building: Each of us uses models constantly. Every person in his private life and in his business life instinctively uses models for decision making. The mental image of the world around you which you carry in your head is a model. One does not have a city or a government or a country in his head. He has only selected concepts and relationships which he uses to represent the real system. A mental image is a model. All of our decisions are taken on the basis of models. The question is not to use or ignore models. The question is only a choice of alternatives. (Quoted in Dunn 1981, p. 111) This observation was born out in the study. There was not one respondent who, when asked about the pertinence of the Kilmann program to schools, even momentarily hesitated before elaborating the similarities and differences between his or her own mental model of how change occurred in the school and in Kilmanns theory.

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Dunn (1981) defined a model as a simplified representation of selected aspects of a problematic situation constructed for particular purposes (p. 110). M odels, he suggested, are artificial reconstructions of reality that are able to be used for a number of different purposes (p. 110). Among the purposes Dunn identified were description, explanation or simplification of the problematic situation. Also, a model could be used to improve the problematic situation, resolve particular problems or predict consequences of choices among alternatives (p. 110). Dunn identified three benefits in model building that are pertinent. Firstly, models enable complex problems to be simplified and made manageable. Secondly, they assist in distinguishing the essential from the nonessential features of a problematic situation. Thirdly, defending the models design requires stating the assumptions on which it was built (pp. 110-111). There are possible risks in model building. Dunn warned that models are inherently untrustworthy because of the simplification and discrimination that gives them their utility (p. 111). The framework that will be introduced in this chapter, in part, meets Dunns definition of a normative model. For him, the purpose of a normative model is to explain and/or predict (and) to provide rules and recommendations for optimizing the attainment of some utility (value) (p. 111). The framework developed from the preceding analysis has the capacity to suggest explanations about aspects of school change and to offer recommendations about the elements that may promote or impede it. However, it is not able to either predict change outcomes or to provide rules to guide change efforts.

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significance in school change environments. Consistent with the conceptual framework for this project, the four main quadrants have been selected to represent the external, individual and organizational with particular emphasis on the cultural resources, expectations and support that may or may not be available to implement change. The sixteen segments were chosen because of the importance given to them in the selected literature and by respondents in their answers to the interview questions. In the contingency perspective, analysis of critical variables in a given situation (Owens, 1987, p. 82) is the basis for planning, initiating, implementing and institutionalizing change. For any specific school change context, the critical variables may be among the segments that make up the Framework for Positive School Change Environments. However, the segments may be adapted to meet the specifics of any school setting. Its holistic approach has the potential to include all relevant aspects of the school and its setting that might either promote or impede change. Studying the perceptions of stakeholders could enable a rating of the capacity of each segment to contribute to change capacity. Hence, the framework may have practical and research applications. Respondents expressed diverse views on the range of individuals who contribute to change efforts and on the organizational aspects of change. However, in a number of ways, respondents expressed their sense of the interdependence of the individual and the organization in the process of school change. For example, South Beachs Judy Cook saw that individuals might be the source of an idea for improvement but that only working within the schools organizational framework could bring it to fruition: And change now very much takes place as a group thing The idea may be one persons but you have got to be prepared to go through a consultative process.

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Ian Blue, another respondent from the same school, reflected on the reliance that those in positions of authority within the system, or the school, have on teachers: You can mandate change but you cant make it happen, only the support of staff will make it happen. The framework is to be read in the light of these respondents sense of the interdependence of the elements. Its adaptable environmental approach follows Stoll and Finks (1996) advice to look at schools and their contexts as ecosystems (p. 11). The framework is offered for consideration of practitioners and researchers alongside the numerous models available to guide school change and research into it. This holistic framework may be of most interest to those sympathetic to the view expressed by many authors that broadly conceived, ambitious and multifaceted educational change efforts are most likely to succeed. For example, Dalin (1994) urged those embarking on change to think systemic and think big. A vision of reform that affects school life substantially, will have more effect than a cautious, incremental approach (p. xviii). The framework should be read with the caveat in mind that it does not seek to provide a generic solution to school change as this is precluded by the uniqueness of each school. The sixteen segments are listed below under the headings of the four quadrants. A brief discussion of each segment with reference to the selected literature and representative respondent perceptions follows. Reference is made to selected authors to suggest each elements significance in leading and managing change. Selected respondents comments provide insight into each elements significance in particular

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change contexts. It would be for the reader to determine whether or not such insights had relevance to other contexts. A. External Resources, Expectations and Support Learning: Theory, Research and Knowledge School Community System and Union Consultants

B. Individual Resources, Expectations and Support Principal Teachers Students Homes

C. Organizational Resources, Expectations and Support Change Process M anagement Change Planning Structure Steering Team Internal Consultants

D. Cultural Resources Expectations and Support Opening the Culture Sharing Leadership Strengthening Relationships Sharing Vision and Values

A. External Resources, Expectations and Support Learning: Theory, Research and Knowledge The review of selected literature in Chapter 2 considered a number of ideas about positive school change and learning. For example, Barbers (1997) research showed that improved learning of secondary students required a focus on motivation, Northfield (1992) advocated a constructivist approach to learning. Others considered possibilities for schools to become learning organizations. For example, M iles (1993) identified the importance of strong links between the organizational and pedagogical
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aspects of the school. Dalin (1996) advocated the participation of all in the improvement process so that the school would become a learning organization. Tuohy and Coghlan (1997) extended the range of the levels that learning is needed for successful change discussing the inter-relatedness of learning at the four organizational levels from the individual to the organization itself. Fullans (2000b) collaborative work cultures and professional learning communities were also conceptions of organizational learning. Some writers looked at the role of learning beyond the school. Dalins (1994) study of large-scale reform in developing countries revealed consistently that the reform process is a learning process (pp. xvii-xviii). Chapman and Aspin (1997) saw educational change in the context of enhanced community awareness of learning and valuing of schools and other institutions that facilitate it. Townsend (1999) included the development of learning communities rather than communities of learners (p. 16) among the skills and attitudes needed for third millennium schools. Ian Blue was a passionate voice for the enhancement of the individual learning of students through new teacher learning based on the constructivist approach of Integral Learning: The (project) should engage more kids she (Atkin) is talking about involvement in tasks and becoming really engaged in what theyre doing. Some respondents considered the nature of organizational learning. Terry Lincoln suggested that the school could learn about change from researching students perceptions of the school: Kids are probably in the best position to provide the best advice about meaningful change for them and also holistic change. June Pirie observed that it was the interdependence of the principal and the staff that enabled East City S.C.

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to learn how to solve its problems and flourish: you couldnt have one without the other. School Community

In the selected literature, writers identified both direct and indirect ways in which community expectations and support influence school change. Fullan (1991, p. 243) pointed out that communities might pressure for change, oppose change or approach it with passive support or apathy. M itchell and Willower (1992) provided an example where the indirect influence of a section of the school community was critical in the development of the organizational culture of a good secondary school. Darling-Hammond (1998, p. 655) recommended the provision of extensive learning opportunities for community members as part of any reform policy. Dalin (1993) argued the importance of cooperation among schools, homes and local communities for the provision of adequate learning opportunities (p. 6). In this study, the capacity of school communities to either promote or impede change was found. The revival of West Bay and East City secondary colleges was largely dependant on their regaining community support by researching their communities views and then changing so that their expectations were met. West Bays principal referred to the schools community as its life blood. In contrast, communities of the M inesville, East Hills and Port City sites preferred continuity with the past rather than change.

System and Union The system and the education union/s are outside institutional elements with inside representation that influences change in ways particular to each setting. The

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system was seen in the literature as a necessary source of and support for change but regarded by respondents in diverse ways including many that were damningly critical. The view was expressed in the literature that the union should not be disregarded in the change process. Respondents expressed a range of attitudes to the role of the union in change. That the data were collected at the time of the nadir of union power in Victorian education perhaps explains the preponderance of negative perceptions expressed by respondents. The need for externally mandated change was recognized by Huberman and M iles (1982) in their scenarios where enforcement could be effective. They found that sustained assistance had to accompany top-down implementation. Fullan (2000a) argued that the system was critical to sustaining school change efforts. It was needed to ensure the institutionalization of a change. M iles (1998) suggested that school change fared better when well linked to policy above the school level (p. 59). However, Louis and M iles (1990) noted the relative weakness of state change initiatives when compared to strong local factors. Across the sites, there were markedly contrasting views of the importance of the system to the management of school change. On the one hand, some respondents expressed the view that the system was not needed for positive change while, on the other, many, particularly those from the what is schools, perceived that without the authority invested in the principal by the system, nothing would change. Fink and Stoll (1998) warned those responsible for change in schools to be mindful of the role of the union in their setting: Change efforts which ignore union interests do so at their peril (p. 300).

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Across the six sites studied, respondents reported a range of roles taken by the union branch in change efforts. At M inesville S.C. and East Hills S.C., respondents reflected on the capacity of the union branch to prevent change. M inesvilles Peter Crouch, found change stifled by a hostile union branch and East Hills M aureen Haywood saw the union movement as one that fights tooth and nail against change. In contrast, the West Bay principal, Dave Robbins, recalled that union members were eager for change in what they perceived to be the radical independence offered by the self-governing schools concept. At South Beach, Judy Cook asserted that maintaining the involvement of the union branch in decision making throughout the Kennett years was a good management strategy.

Consultants

In the literature selected for this study, there was substantial support for the part consultants can play in facilitating the change process. In the Kilmann integrated program, Principle 5 outlined What managers can do with consultants versus without consultants (1989a, pp. 15-18). In the OD tradition of change in education, consultants played a key role. M iles (1998) categorized consultative relationships among a number of temporary systems (that) could bypass the status quo of permanent systems, mobilize high energy, open up communication, devise creative alternatives, and flatten the power structure (p. 43). Fullans (1991, pp. 215-226) endorsement of the role of consultants emphasized the importance of the consultant (or someone else) taking a change through all stages of the change process and paying attention to the need for participants to understand its individual and organizational meaning (p. 224).

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Respondents spoke about the positive roles played by consultants in managing change in their schools. The consultants who connected with teachers values were those who respondents perceived as most effective in promoting change. For example, a South Beach respondent, Patricia Vincent, explained how the consultant to the LCP really touched people rekindling genuine interest in looking at how we teach while a East City respondent, Lisa Lloyd, recalled that the speaker who inspired SECT spoke about servicing the community and change.

B. Individual Resources, Expectations and Support

Principal

In the literature, the support and commitment of the principal to change efforts has been identified as a factor associated with their success. Berman and M cLaughlin were definite about this: projects having the active support of the principal were most likely to fare well (1977, p. 124 Quoted in Fullan, 1991, p. 153). In research for his account of the Australian Participation and Equity Program (PEP) for change in secondary schools 1984-1987, M cRae (1988) encountered universal agreement that without the support of the principal a program like PEP gets nowhere. It was the most frequently referred to of the pre-conditions of success (p.132). Fullan (1991) stated firmly that the principal is central, especially to changes in the culture of the school (p. 145). Reflecting on his study of twelve schools with Huberman, M iles (1998) view of the principals role in successful change combined the pressure and mandatory aspects found in the what is sites of this study with support. He referred to it as assistance which he described as a way to sweeten the bargain (p. 54).

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In the what is sites the principals positional authority was very significant in change. Respondents at the what may be site and the what could be sites reflected on the more subtle importance of the principals commitment and support in achieving successful change. Respondent Don Blackney, South Beach S.C., observed that the principal has the capacity to set a tone for change. Respondent Keith Lawrence, West Bay S.C., considered it important for the staff to sense that the principal is passionate about change. The principal in that school seemed to concur with this view when he commented that my personality has dragged a lot of change through. Several respondents commented on the importance of the principal having the broadest possible view of school change. They spoke in terms such as setting the environment for change (Dave Robbins), having somebody at the helm who had a very clear vision of where we were going (June Pirie) with a grasp of that holistic (view) of where and when its (change) happening (Allan Bailey).

Teachers

The view that those closest to the classroom had the most capacity to improve schools was strongly represented in the selected literature (Sirotnik, 1989; Sergiovanni, 1989; Sharpe, 1996). Fullans (1993) Lesson 5: Individualism and Collectivism M ust Have Equal Power (pp. 33-34) expressed a view of the nature of the teachers role in bringing about change that reflected a recurring theme in the selected literature the individual and/or the group in effecting change. Fullan explained that successful school change is a process of overcoming isolation while not succumbing to group think (p. 33). Hargreaves (1993) emphasized the importance of the individual teachers creativity.

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He, and other writers such as Fullan (1991) and Evans (1996), pointed out the significance of teachers perceptions and experiences to those who are managing change. Barber (1997) celebrated the role of the chaotic myriad of personal interactions (p. 160) of school life in releasing the individual teachers creativity and facilitating the formation of informal teams. The central importance of the quality of the relationship between the teacher and the student was prominent in the literature reviewed (Cooper, 1988; Atkin, 1994; Hill and Russell, 1999). Northfields (1992) description of the PEEL project brought together constructivist pedagogy and concern for the quality of school relationships within a framework for school leadership that would support them. Keating (1998, p. 706) brought the study of human development to educational change. He argued that the classroom needs to be adapted to meet the learning needs of all students. Caldwell (2000) had an equally ambitious brief for developing teachers capacity in the future. He compared the capacity of the teacher of the future to that of medical practitioners now working in a fully resourced hospital environment (pp. 21-22). All respondents expressed the view, in a variety of ways, that the teacher, particularly in his or her work with students, was fundamental to bringing about school change. Keith Lawrence, for example, expressed the centrality of the teacher to a successful school change process in his identification of seven school-based ingredients that enable worthwhile change: Its the quality of the teacher in the classroom, their rapport with kids, the resources you have in your school to make your content work, your knowledge as a teacher, your preparedness to professionally develop yourself, your commitment to the school, to the community.

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All factors promoting change were directly related to the teachers role and work in and beyond the classroom except resources. Respondents at South Beach S.C. expressed the importance of teachers having a strong student orientation. Don Blackney, for example, made this comment about the schools staff: If they see a benefit to students thats the number one thing, even if it means putting themselves out that will enable them to see the change as being a good thing. At East City S.C., two respondents mentioned the central role teachers have in change both as individuals and collectively: all teachers have a role in bringing about change (M ary Russell) and theres no point in having a leadership who are committed to change if the rest of the people are not (Bob Thomas).

Students

The selected literature addressed the outcomes sought for students from educational change and their role in achieving them. Equity, that is, that the results sought were equally for each student, was a concern of many authors. Stoll (1997), for example, expressed the point that to promote progress for all of its pupils beyond what would be expected given consideration of initial attainment and background factors (p. 1) is the first pre-requisite of a school seeking to be effective. DarlingHammond (1998) considered the policy requirements to produce teaching so that all students, not just a few, can come to understand ideas deeply enough to apply them to novel situations and to perform proficiently in their own right (p. 647). Olson and Bruner (1996) highlighted that understanding the minds of children and adolescents and their intentions is of vital importance: Learning theories that tend to ignore what is being learned and by whom and for what purpose must give way to

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theories that tie learning to prior understanding as well as the goals and intentions of the learner (pp. 9-10). They urged that abandonment of the metaphor of mind as container and its replacement by a conception of mind that saw children and adolescents as knowledge builders (pp. 17-25). Olson and Bruner also urged a better understanding of students as persons, living in families and communities, who are struggling to reconcile their desires, beliefs and goals with the world around them (1996, p. 14). Starratt (1993) approached this issue through highlighting the importance in schools of the moral and social growth of children (p. 4). He regretted that schooling failed too often to address students lifeworld. Their hopes, fears and uncertainties (p. 10). Chapman and Aspin (1997, p. 75) asserted the importance of developing student autonomy, that is, the capacity for judgement, self-motivation and self-starting in action. Townsend and Orteros concept of Global Curriculum included understanding community, that is, the connectedness of self and others and understanding personal responsibility as well as rights as a member of the world community (Townsend, 2000, p. 34). In the change process, Dalin (1998) advised inclusion of students for whom it is all being done for and who are the ones taking the real chance (p. 1068). The motivation to enhance student outcomes through change was reported by several respondents. At West Bay, the assessment was made more competitive for that end while at South Beach that it should engage more kids was the rationale of the LCP. Improving student outcomes was seen as motivating for staff. For example, Julie Austin at East Hills expressed benefit to students as the acid test of whether or not teachers support proposed change.

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Students were seen as critical in guiding change at East City and South Beach. The principal of East City valued input from the student council and explained that student feedback provided for the process improvement loop that guided change. The principal of South Beach viewed students as able to provide advice about meaningful change for them and also holistic change.

Homes

M any authors have identified the significant role that parents potentially can play in achieving school goals. Given the disparate circumstances of students the framework encompasses the potential role of guardians and carers as well. Beare (1990) pointed out that school boards or councils provide an opportunity for parents to participate in the management and policy-setting activities of schools (p. 15). However in regard to change, Fullan (1991) argued that strategies to involve parents represent one of the most powerful underutilized instruments for educational reform (p. 246). Dalin (1993) cited research that indicated 80-90 per cent of variation in learning outcomes stem from the home and the local environment and urged school, home and community cooperation (p. 6). Darling-Hammond (1998, p. 655) asserted the importance of providing learning opportunities related to change for parents. Barber (1997, pp. 247-248) provided an example of a direct and interventionist approach to gaining community support in his advocacy of the concept of parents as co-educators. At West Bay and East City secondary colleges, parents were critical in the turnaround achieved. At South Beach, parents were involved in the writing of the statement of purpose and the charter. Don Blackney gave parent initiation and support of the human powered vehicle project (an annual competition for school teams of

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students who pedal a vehicle for twenty-four hours) as an example of the capacity of parents to influence change: it was actually pushed by a parent. Parents are very strongly involved and one of the staff members responded to that.

C. Organizational Resources, Expectations and Support

Change Process M anagement

In Chapter 2, the management of the change process was discussed. As well as outlining Kilmanns integrated program other organizational models were considered (Lewin, 1951; Dunphy, 1981; Kolb, Rubin & M cIntyre, 1984; Ryan, 1995). Discussion of the ideas of writers on the process of change in schools included Dalin (1993), Fullan (1991) and Hoermann (1997). The themes that emerged included the complexity of school change (Firestone & Corbett, 1987) and the frequency of failure (Fullan, 1991), the importance of understanding both the personnel and the organizational considerations in managing school change - for Dalin, the change process starts with people, the way they think and act, alone and together (1993, p. 96), the cyclical rather than linear nature of the progression of the phases of the change process (Hoermann, 1997), the roles of schools and school-system in managing the change process (Fullan, 2000a) and some limitations of the process approach to change (Sergiovanni. 2000a). The difficulty and complexity of the change process emerged as a strong theme in respondents reflections on their experiences in schools. Some spoke of the tendency to undertake change in a reactive or ad hoc manner rather than through a planned process. Others mentioned the neglect of evaluating the progress towards achieving change goals. The importance of understanding the context in which the change must

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occur was highlighted. For example, Bob Thomas referred to the importance of acknowledging a schools present and past achievements. Typical of the views of many was the observation that change was difficult because of the unavoidable dominance of the school routine throughout the change process: the normal everyday business that has gone on for years has to keep continuing while you do the change.

Change Planning Structure In Chapter 2, five frameworks for organizational change were outlined. A prominent theme was evolutionary planning for change. Louis and M iles (1990) advocated that a plan be evolved that included broad and multiple goals for change. Wong et al. (1998) proposed a framework for planning that entailed four elements: flexibility, shared decision making, resource availability and principal support. Two respondents accounts of evolving a change plan have been selected to suggest what this segment of the framework could entail. Patricia Vincent provided a comprehensive and typical list of what was involved in successfully planning a change project: identification of the need to change, listening to staff and helping them prioritize change needs, the endorsement of the principal, the provision of funds, empowerment to act. Bob Thomas summarized the process used within the TQM framework: We went through a whole school planning process (to) identify the sorts of things that needed changing here, identify the sorts of things that we do well. In contrast, Dave Robbins reported that a much more pragmatic approach distinguished by accident and goodwill and good nature also enabled successful change management.

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Three respondents from South Beach S.C. (Ian Blue, Terry Lincoln and Patricia Vincent) and one each from West Bay (Keith Lawrence) and East City (Bob Thomas) asserted the need to begin by specifying the outcomes of a change plan.

Steering Team

In the selected literature, the concept of a steering team was identified as a significant element in successful change by a number of authors. Caldwell and Spinks (1992) steering team had a role focused on taking a school towards the agreed vision for its future. It would set priorities and formulate strategies which take account of likely and/or preferred futures; being a key source of expertise as these occur (p. 92). Louis and M iles (1990, pp. 292-293) proposed that a steering team should be an empowered group made up of individuals with diverse roles who were unaccustomed to working together. Dalin (1993, pp. 107-108) described a steering team as the motor of culture change while all staff retained their hold on the steering wheel. In his IDP model, the steering committee members came from different groups within the school and it was responsible for communications about change with all sections of the school community. In the concerns based approach to change, Hall and Hord viewed the change facilitator team as the key to successful school improvement (1987, p. 347). The change facilitator team had three or four members typically including principal, assistant principal and a teacher member. An external change facilitator may be included in the team. Respondents across the schools outlined a number of different arrangements by which the change process was steered. The composition of these steering teams

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ranged from SECT at East City which was made up entirely of members without designated roles in the leadership and management of their school to the management team at West Bay made up of principal, assistant principal and three leading teachers. This team was responsible for much of the leadership of change within a school with a strong democratic tradition.

Internal Consultants

Both Kilmann and Fullan refer to the role of the internal consultant in a different manner than suggested in this framework. For Kilmann this was a full-time position within the organization contributing expertise to diagnosing and solving organizational problems (1989a, p. 15). Fullan (1991, pp. 216-21) used the term to refer to system employees who would assist in change at a district level. From examples of teachers acting as consultants to change in their schools, SECT at East City being the most memorable, this role is included in the framework for consideration at other contexts. Although many respondents clearly acted as internal consultants in their schools change processes only one spoke about himself in that role. Des Stephens perceived that he was able to take a consultant-like role when he commenced his appointment at M inesville S.C. Referring to his experience in many schools, he urged acceptance of the view that there are better ways of doing things than what were doing at the moment. In the mind of this respondent the concept of consultant was tied to the sense of bringing external expertise to the school.

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D. Cultural Resources Expectations and Support

Opening the Culture

This segment of the framework is problematic. The extent to which those who seek to manage change are able to open the culture in readiness for change is contested. The major point of agreement about the effect of school culture on change among the selected authors discussed in Chapter 2 was that it has great strength in determining whether a given change effort would succeed or fail (Hodgkinson 1991; Dalin, 1993; Gronn, 1999). Beyond this, some believed that changing the culture was readily achieved (Beare & Slaughter, 1993; Hopkins & Ainscow, 1993) and others believed that it cannot (Firestone & Corbett, 1987; Fullan, 1991). Cuttance (1995a, p. 9) expressed the view that schools have multicultures rather than a single unitary culture so urged attention be paid to individuals responses to change strategies. Some respondents expressed an awareness that concurred with Cuttances focus on the individual. For example, Don Blackney saw change resulting when there was an interaction between the individual teachers efforts to contribute to change and the culture of the school: It (change) is two things- its someone believing in the change and wanting it to happen and pushing the change (and) finding a niche in the culture that will then support and amplify it. So its as much the timing and the change as it is the person pushing it but you kind of need both. In this respondents view, any teacher committed to a worthy idea had the capacity to strengthen the school culture, which in turn could extend (amplify) the individuals contribution. In contrast, Judy Cook, at the same school (South Beach), perceived that the principal had effected a change in the culture of the school. Previously a closed little box, it had opened up to the world and she now described it as a culture of being

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open to possibilities. This had become a culture that embraced change where both individual initiative and team involvement created numerous projects. As at South Beach S.C., Lisa Lloyd at East City S.C. had witnessed the opening up of the school culture: Its just been wonderful, like every week has brought something just inspiring and it makes you think were in step with the world instead of being in a little educational backwater. Bob Thomas reported that East City now had a culture that accepts that things are going to change. Lisa Lloyd perceived that pride in the school had become central to the culture of the school for both staff and students.

Sharing Leadership

The work of several authors in the selected literature suggested that shared leadership was a significant element in successful change. Northfields (1992) concept of leadership was the provision of opportunities and encouragement that promoted student learning. Lakomski (1995), Blackmore et al. (1996), the Blases (1997) and Gronn (1999) were writers who argued for the benefits of shared leadership. Dalin (1993, p. 15) argued the importance of leadership at all levels from classroom to system. Respondents in the what may be site and the what could be sites reported that change-enhancing micro-politics resulted from shared leadership and that the capacity for many to lead contributed to successful change. At the what may be site (South Beach S.C.), Judy Cook observed that maintaining the participation of the strong union branch in the management committee had proved to be a good management strategy. The complementary skills of teachers

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and administrators was seen as a reason for the success of shared leadership: Im a teacher in the classroom and the principal isnt . I can translate that (change ideas) into classroom practice. I think that provides a vital link between the leadership and the grass roots of implementing change in the classroom(Ian Blue). Don Blackney was proud that staff are taking up opportunities to lead by constantly coming up with new projects, of things they want to do. At one what could be site, West Bay, the principal prided himself on his capacity to share leadership with others: (I) give power away. If somebody has a good idea they can run with it but I dont have to own it. Allan Bailley observed that others thrived on the opportunity to take up degrees of power and run with (it) and learn from it. At East City, the other what could be site, M ary Russell remarked that most people in the school would be involved at some stage throughout the year on a committee, a panel .

Strengthening Relationships

In Chapter 2, the significance of the quality of the relationships between teacher and student was highlighted by Cooper (1988), Atkin (1994) and Hill and Russell (1999). Looking to the future, Beares (Yaman, 2000) view is that the global environment and information technology could transform the relationship between students and teachers. Alongside one or more online educators for each student, the school teacher will become a kind of educational mentor (p. 7) to his or her students as they acquire the skills needed by an international world. The quality of relationships among teachers and between teachers and administrators was addressed by Hargreaves

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(1993). The Blases (1997) highlighted the importance of principals placing trust in teachers if they are to succeed as change facilitators. Some writers considered the significance of relationships beyond the school. For example, Thomson (2000) addressed the ways in which school administrators could significantly contribute to the development of neighbourhood networks, institutions and norms necessary for the maintenance and creation of social capital (p. 3). To strengthen the relationship between students and their community, Thomson suggested raising civic engagement by students, and curriculum approaches that promote understandings of the complexities of communities (p. 8). Bates (2000) suggested that a school local management focus on human and social capital formation might empower students to take charge of their own formation and help them to act in a world that desperately needs their help (p. 7). Respondents perceived that there was a two-way connection between strengthening relationships and successful change processes. M any respondents discussed the way that successful change had been achieved because of strengthened relationships. Others observed that success in change resulted in stronger school relationships. The respondents at South Beach S.C. were emphatic in agreement that our focus is on the human side of education The crucial factor in education is the relationship between teacher and pupil and we make that a really strong emphasis (Ian Blue). Strengthened relationships among teachers and between teachers and administrators were also seen by respondents as needed to bring about change. While individual teacher capacity was valued, it was usually in relationship with others that

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change was affected. For example, there are groups of teachers who are remarkably creative you only need two or three of them in a school to make a huge difference. They need someone else, they cant do it on their own (Dave Robbins). Respondent Lisa Lloyd observed that the way the staff relate to each other had been changed by East Citys success in transforming the way it was perceived by its community. She spoke proudly about the altered focus of staffroom relationships as revealed in teachers conversations: The biggest change is in staffroom talk. When I first came it was all social If you go up to a group now its usually about a student or what is happening at the school. Respondents also described the nature of the relationship between teachers and administrators that was conducive to change. Don Blackney identified the sense of transparency and trust created by the principal who said to staff Were not doing anything behind closed doors, its going to be all out in the open, this is our agenda, this is the departments agenda, whats your agenda? Support for teachers who were bringing about change was identified as significant by Dave Robbins: A lot of change has come from the teacher Weve engendered a feeling that that can happen and theyll be supported through that change.

Sharing Vision and Values

A range of perspectives related to vision and values was represented in the review of the selected literature. They included Atkins (1996) view that values and vision are the drivers of change. There were those who saw vision emanating from formal leaders, Bennis (quoted in Kennedy, 1996) and Chui et al. (1996). Others, such as Fullan (1991, pp. 4-5), identified shared meaning as at the crux of matters related

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to vision and values. Some authors, Saul (1997) and Angus (1995) for example, extended the significance of educational values and vision to the broader context of the contested values and vision that typify the strength of the Western democratic tradition. Developing shared vision was central to M iles (1998) understanding of school change. He had found that those who succeeded at local reform had used a planning style (that) was not, in fact architectural, but evolutionary not as execution of a blueprint, but as a journey in the service of an evolving, increasingly shared vision (p. 55). Regarding values, the respondents in this study closely fitted Starratts description of Australian educators manner of dealing with this dimension of their profession. Starratt (1993) expressed surprise that Australian educators in state schools rarely spoke from a well articulated social or ethical theory base about how schools should be nurturing the moral and social growth of their children (pp. 3-4). He contrasted this reticence to their practice, in which they exhibited very strong, if inchoate, beliefs and assumptions about these aspects of schooling (p. 4). Respondents references to vision were explicit and quite frequent whereas respondents educational values were revealed implicitly in discussion of their aspirations for students. The respondents who addressed the issue of vision were emphatic that it was shared vision that contributed to successful change. Respondents expressed different views of the way that shared vision develops. At South Beach S.C., the principals vision came to be shared by others. Ian Blue perceived that the principals vision was the key factor in their successful change efforts. The principal agreed and described in operational terms how his vision had

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become widely shared. He regarded himself as in the best position to initiate holistic school change. His role was to impact on teachers to make their change process coherent collectively (it is) very important that we all attach a single focus on where were going. In contrast, Keith Lawrence at West Bay, believed that their shared vision for change arose from processes that are democratic, that involve people, that create a feeling of shared commitment. At East City, June Pirie thought that shared vision came from the pressure of falling enrolments forcing clarification of the best answer to the question What are the changes that we can make? For John Kelly, the existence of the overall vision of the school obliged the individual to share in it. The frameworks sixteen elements have been presented separately with reference to the selected literature and to the data from the interview of respondents. The segments are interdependent rather than distinct but for the clarity of exposition have been presented one at a time. However, the presentation of the elements as segments of a circle is intended to suggest the holistic nature of the framework. The extent to which the framework may succeed as a model as suggested by Dunn (1981) - simplifying and managing the problem of change, distinguishing essential from non-essential features of the process of change could only be tested in use and/or by further research.

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IM PLICATIONS FOR FUTURE PRACTICE

The ninth research question (the fifth that was found to be needed during the course of the study) raised the issue of implications of the findings for future practice. It asked: What are the implications of the findings for practice at the levels of systems, schools and principals? After restating the studys findings their implications will be considered as they relate to the public education system, to schools and to principals. The studys findings were: FINDING ONE: The study confirms that the organizational culture of the school and the individual participants in school change efforts are critical to their success. This finding is expressed in two parts: 1. The particularity of each unique school as an organization influences the extent to which planned change succeeds. A school culture that is open to change is an ingredient needed in the change process. 2. The roles played by teachers and administrators, as individuals and in teams, influence the extent to which planned change succeeds. Shared leadership is an ingredient in the change process. FINDING TWO: The study confirms that although the school is the centre of change, the nature and quality of the interaction between the school and its community, other organizations including schools, and the public education system, are critical to the success of planned change efforts. The finding is expressed in three parts: 1. The views of school community members have a very strong influence on school change. 2. Creating opportunities to interact with other schools and other educational organizations (e.g. consultancies, universities) is a significant factor in the change process.
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3. Seizing and shaping the opportunities provided by the interaction between the school and the system is a significant factor in the change process.

FINDING THREE: The study confirms that school change is a complex phenomenon requiring planning that is suited to the nature of the school as an organization and able to match the particularity of each school. This finding is expressed in two parts: 1. Planning for school change should allow for flexibility and response to feedback throughout the initiation, implementation and institutionalization stages of the process.

2. In undertaking school change teachers and administrators prefer planning structures and processes based on an understanding of change in schools rather than in business. Implications for Practice for Public Education Systems: The collection and analysis of data to diagnose the extent to which the organizational culture of each school is open to change may strengthen the systems capacity to support the change process within schools. Flexibility and responsiveness are system attributes likely to invite schools to make the most of system provided change opportunities. Recognition of the significance of shared leadership in successful management of the change process would suggest that the system offer leadership education and change management training to all. Professional development and training of teachers and principals for managing change is likely to be most successful if largely derived from research in educational change and educational leadership as exercised in schools.

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Implications for Practice for Schools: Analysis of the school culture to estimate its readiness for change could be useful as a precautionary or preparatory measure before deciding to undertake a change process. Acceptance of responsibility for change by both teachers and administrators, individually and in teams is likely to contribute to a successful change environment. Responsiveness to its community and creative engagement with organizations beyond the school are likely to contribute to the environment for success in managing change processes. A change plan design specific to the unique features of the particular school is likely to contribute to successful change management. Flexible responses to the change environment and to designed feedback mechanisms could enable the plans adjustment throughout all phases of the change process. Implications for Practice for Principals: The schools capacity for change is likely to be enhanced when the principal demonstrates commitment to moving the culture towards openness and engagement with the broader educational community. The principal is likely to promote successful change by playing an educative role in modelling the skills of shared leadership and facilitating the broadening of leadership opportunities. The principal is likely to enhance the schools change environment by opening access to community, other educational organizations and the system.

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The principal who becomes knowledgeable about the organizational culture of the school and the change process is prepared to maximize the opportunities for change.

IM PLICATIONS FOR RESEARCH The tenth and final research question addressed the implications of the study for research. It asked What are the implications of the findings for research in terms of content and process? The possibilities for future research that flow from this study may include: To research further sites to explore the possible benefits for successful change management, of generalizing schools in their readiness for change and/or their approach to change to the three domains used in the multisite study, what is, what may be and what could be. To further explore practitioners responses to school change in context by using the framework for positive school change environments as an organizing principle to guide the research. To research the capacity of the framework for positive school change environments to estimate change readiness prior to a school embarking on ambitious change efforts. To research the capacity of the framework for positive school change environments to guide a successful change effort. To test the validity of the framework for positive school change environments in a variety of school settings.

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To test the usefulness of the framework for positive school change environments as a research framework in a variety of school change settings.

CONCLUSION The issue of change at the school level in the context of the large-scale system wide change known as the Schools of the Future program provided the unifying direction for this exploratory study. If, in some small ways, this studys findings add to the understanding of change and of continuity in schools and systems the contributions of respondents and the work of reflecting on their perceptions will be rewarded.

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APPENDIX 1

INFORM ATION ON KILM ANNS INTEGRATED PROGRAM PROVIDED TO INTERVIEWEES FOR READING PRIOR TO THE INTERVIEW

KILM ANNS COM PLETELY INTEGRATED PROGRAM FOR CHANGE

(This is a summary of M anaging Beyond the Quick Fix by Ralph H. Kilmann. Kilmanns program was based on his research and consultancy work with profit and non-profit organizations. His program has been modified slightly to make it applicable to the school setting.) INTRODUCTION- To survive and prosper in an increasingly competitive environment, schools must be transformed into more innovative and adaptive organizations. Only an integrated and holistic approach to change will maximise school success. Adapting Kilmanns definition of success for all organizations, a successful school would be one which creates and maintains high levels of performance and morale for teachers, over an extended period of time. According to Kilmann a complete program to create and maintain organizational success in a school would be based on the following Six Principles: 1. Understanding the complexity of the organizational life of the school by conceptualising it as a complex hologram. 2. Distinguish between simple and complex problems. A simple problem can be solved by one person with the necessary information and expertise. A problem is complex when one person cannot have all the expertise and information to solve it. 3. Use of multiple approaches to solve complex problems. The principle of multiple approaches is demonstrated by the five tracks. 4. Use participative management to conduct the completely integrated program for planned change. Participative management is the only way to solve complex problems. 5. Use internal and external consultants in implementing the integrated program of planned change. 6. Commit to a long-term, completely integrated program of planned improvement and reject quick fixes.

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THE PLANNED CHANGE EFFORT WOULD HAVE FIVE STAGES

Three key guidelines for implementing the five stages:

movement should not take place from one stage to the next until all the criteria for earlier stages are satisfied external consultants are used to guide the diagnostic stage and major proportions of subsequent stages members of the school act as internal consultants in monitoring the implementation of change to enable the school to learn the process for subsequent efforts at planned change

STAGE 1: Initiating the Program

Is the school ready?

A program of complete change can only proceed if the schools leaders and managers are committed to it. A way of seeing the school

School leaders and managers learn a way of seeing the school as a complex and interconnected system and to identify whether all the documented systems are barriers or channels to success. A holographic three dimensional model identifies all the variables that affect the schools success. The new rule of organizational change: All the categories have to be considered and acted upon in all cases although two (setting and psyche) are uncontrollable, at least in the short run.
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Five broad categories representing the at-the-surface aspects of the school are the setting, the organization, the principal, the group, and the results. Three holographic aspects at the centre of the school are culture, assumptions and psyches. 1. The three holographic aspects of the school: Culture: is shared values, beliefs, expectations, and norms. Assumptions: are all the beliefs that have been taken for granted but may turn out to be false under closer analysis. Psyches: an accurate understanding of human nature is essential to the design of strategy, structure, reward systems, cultures and the implementation of decisions. 2. The Setting: includes every possible event and force that can affect the success of the school. Dynamic Complexity: summarises two qualities that are having increasing impact on all organizations: rapid change and interdependence. External Stakeholders: are all the individuals, groups, organizations (including competing schools), or community that has some stake in what the school does. 3. The Organization: is the formal organization of the school. Strategy: is all the documents that signify direction: vision statement, mission, charter priorities and goals. Structure: refers to the way resources are allocated to move the school in the designated direction: organization charts, policy statements and job descriptions.
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Reward System: includes all documented methods to motivate teachers to high level of performance- promotion, special payments, time allowances, performance reviews. 4. The Principal: the act of top managers acknowledging problems to themselves and to others, while painful, is an important event in the life of an organization. M anagement Skills: the skills of the principal (and other school leaders and managers) can be diagnosed for how well they fit with the people and the problems in the school. Problem M anagement: the principal has to be a problem manager sensing and defining problems even more than a decision maker selecting and implementing solutions. 5. The Group: groups are of many types, some are destructive or ineffective only if a school is composed of well-functioning teams (highly interactive, cohesive sets of individuals all working towards the same objective) with minimal barriers to success in every category does it have a chance to be outstanding. Decision M aking: the team approach provides the most comprehensive source of expertise and information to solve complex problems and to make quality decisions. Action Taking: team members are committed to implementing the decisions they have made. 6. The Results: synergism enables the team to contribute more than the sum of its members. M orale: high level of engagement for students and high level of morale for teachers. Performance: high levels of achievement for students and high levels of performance for teachers. STAGE 2: Diagnosing the Problems A plan is developed to pinpoint all the problems in the school. Interviews are conducted to gain a representative view of the school. This stage involves collecting sensitive information about management and organizational problems, revealing cultural norms, exposing outdated assumptions, confronting troublemakers, and helping managers hear honest feedback about their teams functioning.
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STAGE 3: Scheduling the Tracks Five categories of the model are directly controllable by school leaders and consultants: culture, management skills, teams, strategy-structure, and reward systems. These action levers constitute the program of the five tracks. The third stage involves three elements; 1. Selecting the first part of the school to participate in the program and planning the spread of change to the rest of the school. 2. Selecting the techniques (methods for bringing about change) that will make up each of the five tracks in each part of the schools organization to address the specific problems identified during the diagnostic stage. 3. Scheduling the five tracks into a timed sequence of activity in order to promote effective learning and change in each part of the school. Once the plan is formalised in this stage, principal and other leaders, teachers and consultants work together to implement it in the following stage. Which part of the school, if it undergoes the change program and it is successful, would serve as the best example to the other parts of the school that such change is important, necessary and possible?

STAGE 4: Implementing the Tracks The one thing that most distinguishes the change program from the quick fix is the integrated nature of the five tracks. The host of techniques used in implementing the tracks are not scheduled in a random order, nor is a shotgun approach used in which all tracks are implemented haphazardly. The first three tracks concentrate on the informal organization and the last two the formal documents. The primary objectives of the six tracks are: Removing barriers to success and creating channels to success in the schools informal organization 1. The Culture Track: establishing trust, information sharing, and adaptiveness; being receptive to change and improvement. 2. The M anagement Skills Track: augmenting skills to cope with complexity; exposing and updating assumptions. 3. The Team-Building Track: infusing new cultural norms and assumptions into each area of the schools organization; fostering cooperative efforts. Removing barriers to success and creating channels to success in the schools formal organization 4. The Strategy-Structure Track: aligning all parts of the schools organizational structure and resources with new strategic intentions. 5. The Reward System Track: establishing a performance based reward system; sustaining the whole improvement effort.
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Monitoring the Change Process 6. The Shadow Track: facilitating the integration of these tracks through a representative steering committee which draws on the efforts of internal consultants. The key issue during implementation is flexibility. Any new insights or methods adopted as one section of the school after another embarks on the journey of planned change. STAGE 5: Evaluating the Results The three purposes for evaluating the results of the program are1. Collecting information from the pilot project in order to improve the implementation process for the ongoing change process. 2. Collecting information from any part of the school that implemented the program in order to learn what barriers to success still remain in that part of the school. 3. Determining the impact of the whole program on the schools organizational success. CONCLUSION- The complete program for change is complex but so are the problems this program is designed to resolve. Any serious improvement effort must be able to affect every controllable variable in the school, not just one or two. If the whole program is not initiated properly with the principals and other school leaders support, and if the problems of the organization are neither diagnosed correctly nor accepted by the principal and other leaders, the complete program cannot provide its potential benefits. M oreover, the program must be implemented in an integrated manner, with flexibility and adaptability.

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APPENDIX 2 LETTER TO PRINCIPALS PRIOR TO INTERVIEWS

P.O. Box 1004 M t. Waverley, 3149 Phone: 98881491 M ay 29, 1997 M r. Terry Lincoln Principal South Beach Secondary College Pier Road South Beach, 3820 Dear Terry Thank you for agreeing to me visiting your school to discuss the management of change at South Beach Secondary College with you and four members of staff who are knowledgeable about change efforts at the school. In the interviews, respondents will be asked to refer to specific examples of change at South Beach S.C. As a focus for the study I have found it valuable to select a change theory from the many to be found in the literature. I have chosen Ralph H. Kilmanns integrated program because it was highly recommended to principals in the Caldwell and Sawatzki five day in-service which supported the implementation of the Schools of the Future program in 199596. Kilmann asserts this program will be successful with any organization. His book refers to its application in a variety of profit and non-profit organizations. I will be asking each person participating in this project to give their opinion of the appropriateness of this model of change to secondary schools. The interviews will be guided by an interview schedule. At the conclusion of the interview a brief open-ended questionnaire will be given to each respondent for further feedback on the issues raised in the interviews. Interviewees will be provided with the transcript of the interview so they are able to make amendments necessary to clarify their meaning. I estimate that each interview will take about an hour. Confidentiality will be provided to schools and to respondents by reporting findings in such a way that it would be impossible for schools or individuals to be recognised. The Department has formally given me approval to approach principals to seek their permission to conduct this research in their schools (copy attached). A summary of the findings will be provided to the school.
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I have enclosed five copies of the Subject Information Statement and Consent Form and the material on Kilmann. Would you please pass this material on to the four members of staff who agree to participate before I visit the school? In anticipation, many thanks to you and them for being prepared to contribute to my research project.

Yours sincerely

Ray Daniels

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APPENDIX 3 INTERVIEW GUIDE USED AT ALL SCHOOLS EXCEPT EAST CITY SECONDARY COLLEGE Respondents will be asked to refer to specific examples of change efforts in their current school. The assurance of confidentiality already covered in correspondence to all respondents about the study will be reiterated. After the fifteenth question the researcher will discuss Kilmanns integrated program. There will be an opportunity for respondents to ask questions and to clarify points. 1. What are your current views about change as it affects your school? 2. Have your view of change as it has impacted on your school over the past three or four years remained the same or modified over time? If they have changed, what do you think the reasons have been? 3. In what ways do staff attitudes to change affect the success of efforts to bring about improvement? 4. To what extent would staff expectations that a proposal for change could bring about significant improvement to the quality of teaching and learning affect teachers willingness to actively support it? 5. (a) What are the factors which you believe have contributed significantly to the successful implementation of a change process in your school setting? (b) Could you rank these factors in order of importance? 6. In contrast, in circumstances where school change efforts have not been successful what significant causes of the failure are you able to identify? Rank their importance. 7. For what reasons and in what ways is change resisted in schools? 8. What positions do the people who are able to implement significant change in your school occupy? Why are they able to succeed as change agents? 9. How influential is each of these people in relation to bringing about change? 10. Are there leaders of significant change who do not occupy leadership or management positions in your school? If so, why are they able to succeed as change agents?
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11. In the light of the way system-wide change impacts on your school, what are your views about the way change is managed by the Department of Education? 12. What are your views about the role of the School Charter in facilitating planned school improvement? 13. To what extent are you satisfied with the way change is managed in your school? BREAK TO DISCUSS THE KILM ANN PROGRAM WITH DISPLAYS OF THE SIX FUNDAM ENTAL PRINCIPLES, THE FIVE STAGES, THE BARRIERS TO SUCCESS M ODEL AND THE SIX TRACKS. 14. Kilmann asserts that successful change processes have their origins in a leader or manager believing that the organization needs to be improved. (a) In the school setting, how important is that the principal or an assistant principal initiate change processes? And (b) How important is it that the principal or an assistant principal support change processes as they are implemented? 15. What are your views about the importance of an integrated approach as described in Kilmanns model for a successful outcome to a change process? 16. If the decision was made to introduce Kilmanns approach to implementing a whole-school change process in your school, what do you think would be the constraints which might prevent or limit the application of Kilmanns completely integrated program for change to the school setting? (a) Please rank these barriers-to-success in terms of the relative degree of difficulty which would be encountered in transforming each into channels-tosuccess. (b) Kilmann asserts the importance of completing each of the five stages before moving to the next. If you were using the Kilmann program in your school, how would you rank the degree of difficulty in completing each of the five stages? 17. In your view, does Kilmanns plan overlook any aspect of change as it occurs in schools? 18. Are you aware of other models which you view as more appropriate than Kilmanns to successfully managing change in schools? If so, what are they? 19. Why do you regard them as more appropriate?
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20. Kilmanns model suggests to me that the unit of change is the school itself. Could the school achieve optimal success in teaching and learning if it were left alone to get on with its core tasks? How important are external directives, accountabilities, frameworks etc to getting the best outcomes for students?

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APPENDIX 4 OPEN-ENDED QUESTIONNAIRE I would be pleased to receive any additional comments you wish to make on the matters covered in todays interview. Please use the spaces provided below to comment further on applying Kilmanns model for change to schools and on other approaches to the management of change. 1. On further consideration, to what extent is the Kilmann integrated program relevant to the school environment?

2. Reconsider Kilmanns 6-principles, 5-stage and 6- track program. Which aspects do you believe a. would be readily implemented in your school b. would be difficult to implement in your school c. could only be implemented in a modified form in your school d. could not be implemented in your school (I would be grateful for specific reasons which support your responses.)

3. Are there approaches which schools should consider to assist them in the management of change other than Kilmanns integrated approach already discussed and the change processes which arise from the Schools of the Future program and other DoE initiatives?

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APPENDIX 5 PRINCIPALS TELEPHONE QUESTIONNAIRE INFORM ATION FOR SCHOOL PROFILES TO INTRODUCE THE CASE STUDIES . SCHOOL PROFILE In which year was the school opened? In which phase did the school join the Schools of the Future program? What were the priorities of the first Charter? Has the school undergone a Triennial Review? If so, could you send me a copy of the Verification Report? Which like group of schools is the school placed? Has the school developed a second Charter? If so, what are the new priorities? What is the schools stance on the opportunity to become a Self-Governing School? 10. What was the student population in 1997? 11. Are student enrolments growing, stable or declining? 12. What percentage of your students are of NESB? 13. What is the SLN/Rurality index? 14. How would you describe the level of student mobility/transience? 15. Approximately how many teachers have ten or more years teaching in this school? 16. Approximately how many teachers are on contracts of one year or less? 17. How many teachers on the staff (EFT)? 18. In what year did you commence as principal of the school? 19. In which year did the assistant principal/s commence? 20. What is the computer/student ratio? 21. Are you able to add any further information which might be useful in writing a brief pen picture of your school? 1. 2. 3. 4. 5. 6. 7. 8. 9.

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APPENDIX 6 LIST OF SECONDARY COLLEGES, RESPONDENTS AND THEIR ROLES West Bay S.C. 1. Doug Hogan 2. Jim M acM illan 3. Allan Bailey 4. Dave Robbins 5. Keith Lawrence East City S.C. 6. Bob Thomas 7. Lisa Lloyd 8. M ary Russell 9. John Kelly 10. June Pirie M inesville S.C. 11. Des Stephens 12. Phil Clayton 13. Frank Clarke 14. Pam Elliott 15. Peter Crouch South Beach S.C. 16. Don Blackney 17. Ian Blue 18. Terry Lincoln 19. Judy Cook 20. Patricia Vincent East Hills S.C. 21. M aureen Haywood 22. Barbara Warren 23. Julie Austin 24. Bruce Tulloh 25. Tom Scott Port City S.C. 26. Bill Rogers 27. Russ Perry 28. Brian Clarke 29. Kerry Bannister

Timetabler, Daily Organizer. Assistant Principal Teacher-Librarian Principal Curriculum Coordinator

Principal Careers Level Coordinator Information Technology Coordinator. Assistant Principal

Principal Curriculum Coordinator Sub-school Coordinator Level Coordinator Assistant Principal

Assistant Principal Accountability Principal Daily Organizer, Timetabler Professional Development Co-ordinator

Sub-school Coordinator Principal Sub-school Coordinator Environment Coordinator Year Level Coordinator

Level Coordinator, VCE Administration M anager Principal Daily Organizer, Timetabler Chair, Information Technology Committee
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APPENDIX 7 LETTER TO RESPONDENTS INVITING CORRECTIONS TO TRANSCRIPTS

PO Box 1004 M t Waverley, 3149 November 2, 1997

M s Patricia Vincent South Beach Secondary College Pier Road South Beach, 3820

Dear Patricia I enclose a transcript of your interview for my research on change in Victorian secondary colleges. I would be grateful if you would read the transcript to check that it accurately reflects your views. You may find it helpful to refer to the interview guide (enclosed). If you find that the transcript misrepresents your views please amend it, sign it and return it to me in the enclosed envelope. If you are satisfied that the transcript presents your views accurately I would appreciate it if you signed the transcript and mailed it back to me, so that my project complies with the conventions of qualitative research methodology. Thank you once again for being involved in this research project. I appreciate it very much.

Yours sincerely

Ray Daniels
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APPENDIX 8 CODES USED IN DATA ANALYSIS CODES: SET B T V V:CONT V:EM P V:SUC V:TEAM V:DP V:PRIN V:GROW T/S T/S:ST/CH T/S:CB T/S:IND T/S:IM PL T/S:RES T/S:CONS T/S:RM T/S:TD T/S:CW T/S:LS T/S:CO T/S:T/W T/S:PR T/S:IT T/S:PERS T/S:RES: MP M P/PP M P:CON M P:PRIN M P:PP M P:LLT M P:LOM M P:PROC M P:AEU O 3 BACKGROUND TURNING THE SCHOOL AROUND VALUES, VISION, PURPOSE, DIRECTION CONTESTED VALUES TEACHER EM POWERM ENT SCHOOL AS THE UNIT OF CHANGE TEAM WORK, SYNERGY DEM OCRATIC PROCESSES PRINCIPALS ROLE ESTABLISHING VALUES STUDENTS GROWTH AS LEARNERS & PERSONS TEACHERS AND STUDENTS STUDENTS ROLE IN CHANGE PROCESS CORE BUSINESS TEACHING AND LEARNING TEACHERS AS INDIVIDUAL INITIATORS/M ODELS OF CHANGE TEACHERS AS IM PLEM ENTERS OF CHANGE TEACHERS RESISTANCE TO CHANGE CONSERVATISM RETIREM ENT M ODE TOP-DOWN, IM POSED CHANGE CHANGE WEARINESS LIP SERVICE IM PLEM ENTATION PHILOSOPHICAL OR POLITICAL OBJECTIONS TIM E, WORKLOAD ISSUES PASSIVE RESISTANCE INFORM ATION TECHNOLOGY PERSONAL LIFE PRESSURES RESISTANCE M ICRO-POLITICS PARTICIPATORY PROCESSES USED TO RESIST CHANGE CONFLICT PRINCPALS ROLE IN CHANGE PARTICIPATIVE DECISION M AKING LEADERSHIP OF LEADERSHIP TEAM LEADERSHIP OF THE M ANY TEAM S, COM M ITTEES, GROUPS PROCESSES ROLE OF THE TEACHER UNION ORGANIZATIONAL ELEM ENTS
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O:ST RUC

ST RUCT URES- MANAGEMENT ST RUCT URE, MEET INGS, JOB DESCRIPT IONS O:COMN COMMUNICAT ION O:PLAN PLANNING FOR CHANGE O:BUS SCHOOL/BUSINESS SIMILARIT IES AND DIFFERENCES C CULT URE C:T URN EFFECT OF ST AFF T URNOVER ON T HE SCHOOL CULT URE C:O-C OPENNESS/CLOSEDNESS OF T HE CULT URE C:PRIN PRINCIPALS ROLE IN CHANGE BY MANAGING T HE CULT URE C:BALK BALKANIZED/MULT IPLE CULT URES S/E SYST EM AND OT HER EXT ERNAL FACT ORS S/E:DoE DEPART MENT OF EDUCAT ION FACT ORS S/E:SOF SCHOOLS OF T HE FUT URE S/E:PRIN EXT ERNAL CONST RAINT S ON T HE PRINCIPAL S/E:COM SCHOOL COMMUNIT Y EXPECT AT IONS AND SUPPORT S/E:COUNC ROLE OF SCHOOL COUNCIL IN CHANGE S/E:POL ROLE OF POLIT ICIANS IN CHANGE K KILMANNS INT EGRAT ED PROGRAM FOR ORGANIZAT IONAL SUCCESS K:1 PRINCIPAL CLASS INIT IAT ION OF CHANGE (Question 14a) K:2 PRINCIPAL CLASS SUPPORT OF CHANGE (Question 14b) K:3 IMPORT ANCE OF AN INT EGRAT ED APPROACH SUCH AS KILMANNS (Question 15) K:3 APP APPROPRIAT E FOR SCHOOLS MOD MODIFICAT ION NEEDED FOR SCHOOLS INAP KILMANN REJECT ED FOR SCHOOLS K:4 9 APP APPROPRIAT E RES RESERVAT IONS MOD MODIFICAT IONS NEEDED AMB AMBIVALENCE INAP INAPPROPRIAT E K:4 CONST RAINT S T O APPLYING KILMANN T O SCHOOLS (Question 16) K:5 RANKING T HE CONST RAINT S IN APPLYING T HE BARRIERS T O SUCCESS MODEL ACCORDING T O DEGREE OF DIFFICULT Y OF (Question 16a) K:6 RANKING T HE DEGREE OF DIFFICULT Y IN COMPLET ING EACH OF T HE FIVE ST AGES OF PLANNED CHANGE (Question 16b) K:7 ASPECT S OF PLANNED CHANGE T HAT KILMANNS PROGRAM OVERLOOKS (Question 17) K:8 INDIVIDUAL RESPONSES T O KILMANN ACCORDING T O RESPONDENT S PSYCHOLOGICAL T YPE K:9 MODELS PREFERRED OVER KILMANN (Questions 18 &19)

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APPENDIX 9 SEM INAR PRESENTATION M ARCH 18, 1998 OVERHEADS PRESENTED TO INTRODUCE THE SIX SITES FIRST CUT ANALYSIS SCHOOL 1: THE FIGHT TO SURVIVE How the school was saved from closure or amalgamation: Responsiveness to community Fundamental change in direction: rigorous new policies in curriculum, assessment, uniform, discipline and homework Striving to be cool enough that kids to come here Feeder primary schools asked What is it that you want? Democratic ethos mobilized staff support New principal a figurehead for change Politicians wooed successfully SCHOOL 2: THE QUALITY JOURNEY The staff initiated discussion about ways to turn around falling enrolments. Some strategies were put into action. A new principal reported for duty New principal announced what needs to be done New principal introduced Total Quality M anagement rigorously implemented in a whole planning process, community to play a clear role External consultant appointed Ideas of staff strategy team were incorporated into new reform program All teachers have a role in bringing about change Key foci for improvement: Year 7 and overall academic performance Community perceptions turned around by focus on enrichment programs, by changes in curriculum and uniform, and by improving communication with the parents and wider community SCHOOL 3: RAISING EXPECTATIONS The schools comfort zone is being disturbed. M ultiple changes are being initiated by a principal determined to create a culture of success for students and make a significant break with the past. The principal is the main change agent Ive done most of the managing A better curriculum is being developed to replace the compromise of vested interests which determined the curriculum in the amalgamation nearly ten years ago
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At least 10 significant change efforts in progress including refurbishment of a run down campus, building a music centre, revamped sport program The majority of staff are on-board now But there is still much to be done He is finding it difficult to bring about significant cultural change at the school. Were in an environment where change isnt always welcome. Department change processes fare the worst. The school lags behind the mandated timeline for CSF implementation and reporting. SCHOOL 4: EFFECTIVE LEARNING PROJECT

The school is coming alive with projects created to improve student learning. All staff have been trained in Hermanns model of whole brain processing and are applying it to extend themselves and their students. Confident in the benefits bestowed by selfmanagement, this school is developing a team culture despite the obstacles of its Balkanized setting. The principal initiated the Learning Community Project I think Terry has brought a change of culture to this place. Leadership & KLA teams and working parties successfully initiating multiple changes Emphasis on the importance of the student-teacher relationship for the best learning outcomes External consultants provide stimulus for change Attitude to Department change: How can we make it work for us? Challenges: provision of VET programs a reward system for teams SCHOOL 5: OVERCOM ING INERTIA This schools community takes pride in its traditions and many influential, long serving staff prefer things the way theyve been. Departmental reform is advanced by a politically adept principal. The new principal announced direction through the charter: that was basically telling them what the vision was with regard to the school Suggestions for improvement must fit into the principals vision Staffroom relocated to improve communication Leading teachers new to the school have the capacity to implement some initiatives Clear structures followed for staff input into decision making Change weariness and micro-political resistance are obstacles to improvement
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SCHOOL 6: NOSTALGIA HIGH After a period of bitter conflict and stubborn resistance to change, the new principal is striving to build trust. He is freeing the school from the thrall of the good old days. A conservative ethos permeates the school community A polarized staff often blocks change: If one group is for it, you can be certain that the other group will be pretty sceptical The staff have a love/hate attitude to the supervisory role of the principal Leading teacher positions created in the learning areas to highlight the core business and better manage students Conversion of a church into a performing arts centre a successful change Year 10 curriculum re-designed core/elective structure Learning Technologies Committee is preparing for major change and a stake in the new charter

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