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Fred C. Lunenburg
Sam Houston State University

Allan C. Ornstein
St. John's University

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EducationalAdministration:
Conceptsand Practices,Sixth Edition
FredC. Lunenburgand Allan C. Ornstein
© 2012, 2008, 2004 Wadsworth, Cengage Learning
All RIGHTS RESERVED.No part of this work covered by the copyright
Contents
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PRO/CON Debates xvu Social Justice 16
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international.cengage.com/region Uses of Theory 3 Focusing Questions 27
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preferred online store www.cengagebrain.com Human Relations Approach 8 Authority and Responsibility 29
The Hawthorne Studies 8 Centralization/Decentralization 29
Other Contributors to the Human Line and Staff Authority 29
Relations Approach 9 Span of Management 30

I Behavioral Science Approach

Post-Behavioral Science Era
School Improvement
10

13
13
The Bureaucratic Model
Bureaucratic Characteristics
Bureaucratic Dysfunctions
30
30
32
Printed in the United States of America
1 2 3 4 5 6 7 15 14 13 12 11

V
 Contents
Contents
vii

The Participatory Management Model 32 Theory Z 63 Discussion Questions 98

6 Decision Making 135
Theory X and Theory Y 33 A Typology of Organizational Culture 65 Suggested Readings 98
Individual versus Organization 34 Organizational Climate 67 Focusing Questions 135

System 4 Organization 34 Open and Closed Climates 67 5 Leadership 99 The Nature of Decision Making 135
Moral Leadership 37 Healthy and Sick Schools 69 Focusing Questions 99 Types of Decisions 136
School-Based Management 37 Comprehensive Assessment of School The Nature of Leadership How Are Decisions Made? 137
99
Environments (CASE) 70 The Rational Model
Frames of Organization 38 Leadership Defined 100 137
Pupil Control Ideology 72
Alternative Models of Organizational Structure 40 Leadership and Management 101 The Bounded Rationality Model 139
Summary 76 Trait Theories Road Map to Decision Making:
Compliance Theory 40 102
Key Terms 77 The Decision Tree 142
Mechanistic-Organic Organizations 41 Emotional Intelligence 104
Discussion Questions 77 Benefits of Group Decision Making 145
Strategy-Structure Typology Behavior Theories 106
44
Suggested Readings 77 Problems with Group Decision Making 147
The School as a Social System 48 The Iowa Studies: Authoritarian,
Democratic, and Laissez-Faire Leadership 106 Groupthink 147
Dimensions of a Social System 48 Risky Shift
The Ohio State Studies: Initiating 149
Expanded Model: Cultural Dimensions 49 PARTII Administrative Processes 79 Structure and Consideration 107 Escalation of Commitment 149
Getzels's Latest Model: Communities The Michigan Studies: Production
Group Decision-Making Techniques 150
Dimension 51 4 Motivation 79 Centered and Employee Centered 108
Brainstorming 150
Summary 52 Focusing Questions 79 Leadership Grid: A Contemporary
Extension 109 Nominal Group Technique 151
Key Terms 52 Defining Motivation 79 Contingency Theories 111 Delphi Technique 152
Discussion Questions 52 Content Theories 80 Fiedler's Contingency Theory Devil's Advocacy
Suggested Readings 53 111 153
Need Hierarchy Theory 81 Path-Goal Theory Dialectical Inquiry
114 153

I
Existence Relatedness Growth Theory 83 Leadership Styles Summary 154
117
3 Organizational Culture 54 Motivation-Hygiene Theory 84 Leadership Style Continuum Key Terms 155
117
Focusing Questions 54 Learned Needs Theory 87 Three-Dimensional Leadership Styles Discussion Questions 155
119
What is Organizational Culture? 54 Content Motivation Theories: Situational Leadership Styles Suggested Readings 155
120
Similarities and Conclusions 88
Definition of Organizational Culture 55 Other Contemporary Perspectives 123
Process Theories 89
Uniformity of Culture 56 Synergistic Leadership Theory 123 7 Communication 157
Self-Efficacy Theory 89
Creating, Maintaining, and Changing Leader-Member Exchange Theory 125 Focusing Questions 157
Organizational Culture 57 Sources of Self-Efficacy 90
Reciprocal Influence Theory 125 The Importance of Communication 158
Creating Organizational Culture 57 Expectancy Theorx 91
Substitutes for Leadership 126 The Communication Process 158
Values 57 Basic Expectancy Model 91
Transformational Leadership 127 Develop an Idea 158
Maintaining Organizational Culture 59 Equity Theory 92 Summary 132
Encode 159
Changing Organizational Culture 61 Goal-Setting Theory 94 Key Terms 132
Transmit 159
Effects of Organizational Culture 62 Summary 97 Discussion Questions 132
Receive 159
Views of Excellence 62 Key Terms 97 Suggested Readings 133
Decode 159
 Contents Contents

Accept 159 Understanding 177 Kotter's Eight-Step Plan 192 Title 218
Use 159 Feedback 177 Harris's Five-Phase Model 193 Bilingual Education 218
Feedback 159 Listening 178 Organizational Development 194 Education for the Handicapped 219
Nonverbal Communication 160 Summary 180 Total Quality Management 194 The Call for Excellence 221
Kinesics 160 Key Terms 180 Strategic Planning 196 Racial and Class Implications 223
Proxemics 161 Discussion Questions 181 Survey Feedback 199 Reform Reports on Excellence 224
Paralanguage 162 Suggested Readings 181 Job Enrichment 200 Need for Caution 225
Chronemics 162 Laboratory Training 202 State Government and Education 226
Direction of Communication 162 8 Organizational Change 183 Behavioral Performance State Hierarchy of Education 226
Management 203
Downward Communication 163 The Governor 227
Focusing Questions 183 Summary 206
Upward Communication 164 State Legislatures 227
Forces for Change 184 Key Terms 207
Horizontal Communication 165 State Courts 228
Accountability 184 Discussion Questions 207
Diagonal Communication 166 State Education Agencies 229
Changing Demographics 184 Suggested Readings 207
The Grapevine 166 The State Board of Education 229
Staffing Shortages 185
Communication Networks 166 Chief State School Officer 230
Technological Changes and Knowledge
Network Patterns 167 Explosion 185 PART Ill The Structural Framework State Departments of Education 231

Network Analysis 168 Processes and People 185 for Education 209 State Reform Movements 232

171 186 Lessons to Be Learned 234

Communication and Technology Resistance to Change 9, Government and Education 209
171 187 Organization of School Districts 234
Electronic Mail (e-mail) Interference with Need Fulfillment
Focusing Questions 209 Size of School Districts 236
Instant Messaging 171 Fear of the Unknown 187
The Federal Role in Education 210 Number of School Districts 237
Social Networking 172 Threats to Power and Influence 187
Changing Roles in the Federal Government Students and Schools 238
Web Logs (Blogs) 172 Knowledge and Skill Obsolescence 187
and Education 210
188 Consolidation of School Districts 239
Presentation Technology 172 Organizational Structure Current Period: 1980s to 2010 211
Decentralization of School Districts 240
Videoconferencing 172 Limited Resources 188
Clarifying the Federal Role in
Local School Boards 240
Barriers to Communication 173 Collective Bargaining Agreements 188 Education 213
School Board-Public Problems 242
Frames of Reference 173 Overcoming Resistance to Change 188 The Department of Education 213
School Board Meetings 243
Filtering 174 Participation 188 Federal Programs and Activities in Education 214
School Board Responsibilities 244
Structure 174 Communication 188 Grants for Schools 215
School Board Views on School Reform 246
Information Overload 175 Support 189 Grants for Colleges 215
Effective School Reform 248
Semantics 175 Rewards 189 Vocational Education Acts 215
The School Superintendent 250
Status Differences 176 Planning 189 Relief Acts 216
The Superintendent's Job 250
Overcoming Barriers to Communication 176 Coercion 190 War Acts 216
Up the Professional Ladder 251
Repetition 176 Managing Change 190 National Defense Education Act 217
Superintendents' Problems and
Empathy 176 Lewin's Three-Step Model 190 Compensatory Education Acts 217 Performance 254
 Contents

Summary 324
Contents
...
The Central Staff 255 Summary 288 PARTIV Administration of Programs
Large Districts: Increased Central Key Terms 290 Key Terms 324 and Services 366
Offices 256 Discussion Questions 290 Discussion Questions 324
Small Districts: Understaffed Central Suggested Readings 290 Suggested Readings 325
13 Curriculum Development and
Offices 257 Implementation 366
Organizational Hierarchy 258 11 School Finance and Focusing Questions 366
291 12 Legal Considerations and
Efficiency Ratios 258 Productivity Curriculum Definitions anc:lApproaches 367
Education 326
The Principal and the School 259 Focusing Questions 291 Behavioral Approach 367
259 Focusing Questions 326
Conditions, Employment, and Trends Education and Economics 292 Managerial Approach 369
Summary 262 293 Legal Framework for Public Education 327
Tax Sources of School Revenues Systems Approach 370
Key Terms 263 294 Federal Role in Education 327
Local Financing of Public Schools Humanistic Approach 371
Discussion Questions 263 Property Tax 294 State Role in Education 329 Curriculum Development 373
Suggested Readings 263 User Fees 295 American Judicial System 329 Tyler: Behavioral Model 373
Tobacco Settlement 295 The Law and Professional Personnel 331 Saylor, Alexander, and Lewis:
l O Excellence, Equality, and Urban/Suburban Disparities 296 Certification Managerial Model 376
331
Education 264 Municipal and Educational Overburden 297 Contracts Macdonald: Systems Model 377
332
Spending versus Outcomes 298 Termination of Employment
Weinstein and Fantini: Humanistic
Focusing Questions 264 333 Model
298 378
265 State Financing of Public Schools
Definitions and Labels Discrimination in Employment 335 Scientific-Aesthetic Model
299 379
266 Sales Tax
The Role of the Schools Tort Liability 339 Curriculum Overview
Personal Income Tax 300 380
The Conservative Slant 268 The Law and Students 342 Nontechnical Model
Lotteries and Other State Taxes 300 381
Sputnik and Post-Sputnik 269 School Improvement 342 Components of Curriculum Development
The States' Ability to Finance 384
Educational and Economic Opportunity 271 301 School Attendance
Education 343 Criteria for Selecting Content 384
Do Schools Make a Difference? Large-Scale State Financial Responsibility 302 Student Discipline 346 Criteria for Selecting Learning
Studies 273 Experiences
State Funding Methods 302 Freedom of Expression 385
349
The Coleman Report 273 Balance in Determining the Curriculum
School Budgeting 303 386
Classification Practices 351
The Jencks Study 276 305 Leadership Considerations
School Effectiveness and Productivity 388
Students with Disabilities 352
The Duncan Model 278 306 What Knowledge Is of Most Worth? 389
Size of Schools
The Law and State Issues 356
Unaccounted Factors: Luck 279 "308 Knowledge as Facts 389
Effective Schools
School Desegregation 356
International Achievement Gaps Effective School Indicators 309 Explosion of Knowledge 390
in Education 280 Church-State Relations 357
School Finance Trends 310 Essential Knowledge 391
The International Report Card 281 Financing Education 360
Streamlining Budgets 311 Returning to the Liberal Arts 392
The Economics of Schooling 283 Summary 363
Environmental Hazards 313 Modern Languages 392
Pulling It Together 283 Key Terms 364
School Infrastructure Costs 317 Computer Knowledge and Technology 394 -
Excuses and More Excuses 284 320 Discussion Questions 3 65
Financing School Construction Moral Knowledge 395
Brain Drain Counts 286 International Comparisons of Education Suggested Readings 365 Moral Character 396
Centers of Creativity 288 Spending 321
The Roles of the Curriculum Worker
Responsibilities of the Curriculum
Contents

397 The Master Teacher

Cautions and Criticisms
421
423
Recruitment
Internal Sources
Contents

454
454
Performance Appraisal
Performance Appraisal Methods
-
466
466
Worker 397
Teacher Contexts: New Research, External Sources 455 Rating Errors 470
Leadership Role of the Principal 398 New Paradigms 424
Internal versus External Recruitment 456 Compensation 471
Managerial Role of the Principal 399 Metaphors 424
Selection 457 Wages and Salaries 471
Curriculum-Instructional Role of the Stories 425
Biographical Information 457 Benefits 473
Principal 400 Biographies and Autobiographies 425
Reference Checks Union-Management Relations 473
The Teacher and the Curriculum 401 459
The Expert Teacher 427 Union Membership
Written Tests 460 473
The Central (District) Office 402 428
Voice Collective Bargaining 473
The Team Collaborative Approach 402 Performance Simulations 461
Reconceptualizing Teaching 428 Summary 481
Implementation as a Change Process 403 Interviews 461
The Need for Humanistic Teaching 430 Key Terms 481
Incrementalism for Change 403 Hiring Decision 463
Examples of Humanistic Teaching 431 Discussion Questions 482
Resistance to Change 404 Professional Development 463
Moral and Civic Virtues 433 Suggested Readings 482
Improving Receptivity to Change 405 Assessment of Professional Development
Teaching, Testing, and the Achievement Needs 464
Summary 407 Gap 436 Name Index 485
Professional Development Techniques 465
Key Terms 409 Teaching and Learning 437 Subject Index
Evaluating the Professional Development 494
Discussion Questions 409 Aptitude, Achievement and Human Capital 438 Program 465 Case Index 515
Suggested Readings 409 NAEP/State Standards and Test
Scores 439
14 Analyzing and Improving Race and Class 442
Teaching 410 Another Option 443
Focusing Questions 410 Summary 445
Review of the Research on Teaching 411 Key Terms 446
Teacher Styles 412 Discussion Questions 446
Research on Teacher Styles 412 Suggested Readings 446
Teacher Interaction 414
Verbal Communication 414 15 Human Resources
Administration 447
Nonverbal Communication 415
Teacher Expectations 417 Focusing Questions 447
Teacher Characteristics 418 The Human Resource Management Process 448
Research on Teacher Characteristics 418 Human Resource Planning 448
Teacher Effects 419 Job Analysis 449
The Gage Model 419 Forecasting Demand and Supply 450
The Good and Brophy Model 420 Legal Constraints 451
The Evertson-Emmer Model 421 Affirmative Action Programs 453
 ~
"·~4.,\
Admin.istrative Advice ~ " f' ~·

1-1 Methods of Research Used by Behavioral 9-2 Making Board Meetings More Meaningful 245
Scientists 4 9-3 Considering a Promotion
1-2 The Seven Action Imperatives of a to the Central Office? 256
Learning Organization 23
', 10-1 Principles for Improving Schools 281
2-1 Restructuring Schools: Changing
11-1 Checklist for Developing a School Budget 304
How the Bureaucracy Works 33
11-2 Dealing with Asbestos Abatement
2-2 Strategic Questions 44 Contractors 315
3-1 How Leaders Influence the Culture of Schools 59
12-1 Positive Approaches to Sexual Harassment
3-2 Characteristics to Measure School Quality 73 for the Workplace 338
4-1 Practical Motivational Strategies 82 12-2 Guidelines for Safer Playgrounds 341
4-2 Improving Teacher Job Satisfaction 86 12-3 CDC Guidelines for AIDS Education
5-1 The Big Five Dimensions of Personality Programs 345
Traits 103 13-1 Guidelines for Curriculum Development 375
5-2 Applying Situational Leadership 122 13-2 Dealing with the Physical and Health
6-1 Premises of Group Decision Making 147 Factors of the Environment 387
7-1 Guidelines for Readable Writing 160 13-3 Information Checklist for Implementing
7-2 Nonverbal Behaviors to Enhance Your Curriculum Change and Innovation 407
Leadership Image 163 14-1 Observing Other Teachers to Improve
7-3 Multi-Media Presentations Teaching Patterns 415
173
7-4 Listening Styles 178 14-2 Improving Support for Beginning Teachers 423
8-1 Making Change Work 186 15-1 Recruiting the Next Generation of Teachers 458
8-2 Addressing Resistance to Change 190 15-2 Tips for Interviewing 464
8-3 The Four Pillars of Total Quality 197 15-3 Contrasts Between Industrial
and Professional Unionism 479
9-1 Questions to Consider When Your School
District Contemplates Consolidation
or Decentralization 241

xv
 PRO/'CON Debates

Chapter 1 Training School Leaders 24

Chapter 2 School-Based Management 51
t\ Chapter 3 Recognizing Excellent Schools 75
l Chapter 4 Merit Pay 96
Chapter 5 Leadership Style 131
Chapter 6 Principal Power 154
Chapter 7 Parent Involvement 179
Chapter 8 Mandated Staff Development 206
Chapter 9 The Politics of School Elections 261
Chapter 10 Balancing Excellence and Equality 287
Chapter 11 Financing Education 323
Chapter 12 Equal Access 364
Chapter 13 Teaching Values 408
Chapter 14 Teacher Accountability 444
Chapter 15 Superintendent Searches 480

xvii
.' . .' '

Adm'inistrator Profiles *)_

Henry S. Bangser, Superintendent, Winnetka/Northfield, IL 15

Mirabelle Baptiste, Principal, Houston, TX 38
Richard (Rick) Earl Berry, Superintendent, Cypress-Fairbanks ISD, Houston, TX 67
James F. Causby, Superintendent, Smithfield, NC 83
Craig L. Elliott, Superintendent, Maize, KS 109
Pascal D. Forgione, Superintendent, Austin, TX 140
Barry Fried, Principal, Brooklyn, NY 167
Carlos A. Garcia, Superintendent, Las Vegas, NV 189
Joe A. Hairston, Superintendent, Towson, MD 221
David A. Kazakoff, Principal, Pacifica, CA 277
William G. Meuer, Principal, Chicago, IL 295
Joanna Miller, Principal, Great Neck, NY 337
Lonnie E. Palmer, Superintendent, Albany, NY 383
Art Rainwater, Superintendent, Madison, WI 426
Ron Saunders, Superintendent, Winder, GA 465

xix
.,,
Foreword
During the past decade, the nation's attention has again
been riveted on education. Numerous publications offer
a myriad of recommendations focused on what must be
done to improve the quality of education in America.
This intense desire for a new and restructured education
process offers many windows of opportunity for positive
change.
When school reform efforts have been directed to
and given a sense of direction by those local leaders
who are responsible for effective change in our nation's
schools, the results have been favorable. Educational
Administration: Concepts and Practices, Fifth Edition,
will serve as a valuable primer for prospective school
leaders as they work toward effecting change in an
orderly, efficient, and effective manner.
Its authors, Fred Lunenburg and Allan Ornstein,
have addressed both the concepts surrounding
educational change and the processes they feel are
essential for improvement, and they have done it in
a forthright and interesting manner. In addition, the
authors have discussed the fundamental principles of
effective administrative leadership, including the need
to effectively manage the process of collaboration and
coordinate improvement efforts.
Creative, high quality leadership is essential to the
reform and restructuring of American education, as our
schools strive to meet the needs and challenges of our
society.
Richard D. Miller
Former Executive Director
American Association of
School Administrators
xxi
Pre.f~c~~· ,-...~·"" "'- 't-~~
Educational administrators face a challenging and chang-
ing climate in our nation's schools. In the past, textbooks in
educational administration have focused mainly on theory
and research as a way of providing a knowledge base and
preparation for students and professionals. In Educational
Administration: Concepts and Practices, Sixth Edition, we
have attempted to go beyond this tradition by including, in
addition to comprehensivecoverage of theory and research,
a third component: practical applications that help educa-
tional administrators make use of the knowledge base they
acquire.This practical, applied component makes our book
a unique entry to the literature and a resource that we be-
lieve will enhance the abilities of future and current edu-
cational administrators to become effectiveleaders in our
changing educational climate.
The practical and applied component of Educational
Administration: Concepts and Practices can be found in
many aspects of this text.
• New and unique coverage of topics such as the
post-behavioral science era-school improvement,
democratic community, and social justice; school
accountability and testing; ethics and values; gender,
race/ethnicity, and class; critical theory and post-
modernism; instructional leadership; site-based deci-
sion making; change; curriculum development and
implementation; improving teaching and learning;
technology; human resources administration; and
emergent perspectives are included.
• Chapter openings begin with five to eight focusing
questions designed to focus the reader's attention on
the major issues within the chapter.
• Administrative Advice sections (about three or four
per chapter) demonstrate how significant concepts
can be applied to administrative practice.
• PRO/CON Debates (one per chapter) illustrate
opposing perspectives on major issues facing
educational administrators.
• Summaries at the ends of chapters highlight critical
points and especially salient issues in theory, research,
and applications.
• Lists of key terms and discussion questions at the end
of each chapter stimulate application of concepts and
enhance understanding of the chapter.
• Extensive documentation throughout and suggestions
for additional readings at the end of each chapter
encourage readers to pursue further exploration of
significant subject matter.
• "Words of Advice" boxes provide sage suggestions
from experienced administrators.
• All chapters have been revised extensively to include
the latest in governmental policy, teaching technology,
and how the recent economic crisis has impacted
public school administration.
• New to this edition is Chapter 10: Excellence,
Equality, and Education which deals with the
challenges facing school administrators to meet the
demands of testing and accountability, close the
achievement gap, and provide excellence and equity
in our schools and society.
Organization of the Text
This book contains fifteen chapters in four major parts.
The introductory chapter defines the field, looks at how
it came into existence, and presents a conceptual model
that provides a framework for the remainder of the
book. The next chapter focuses on several alternative
approaches to organizational structure. The last chapter
in this opening part provides a cultural context for the
study and application of educational administration.
After this foundation is provided, Part II examines the
basic administrative processes with chapters on motiva-
tion, leadership, decision making, communication, and
organizational change. Part III focuses on the structural
framework for education. The chapter on the government
and education is followed by chapter on excellence,equal-
ity, and edu~ation; school finance and productivity; and
legal considerations in education. Part IV explores the
administration of programs and services.Specificchapters
deal with curriculum development, teaching strategies,
and human resources management.
The four parts and fifteen chapters of the book are
relatively self-contained. Thus, an entire part, selected_
chapters, or even portions of chapters, could be skipped,
or studied in a different sequence, without damaging
the flow or content of the book.
xxiii
Companion Website
Th~ book-specific website at www.cengage.com/
Preface

Franklin B. Jones
Lawrence Kajs
Tennessee State University
University of Houston,
Superintendent, Maize Unified School District, Maize,
KS; Pascal Forgione, Superintendent, Austin Indepen-
Preface

We wish to thank Marion Czaja for conducting and

-
writing the cases for each chapter of the text that appear on
Clear Lake dent School District, Austin, TX; Barry Fried, Princi- the Wadsworth companion website. We also wish to thank
eduation/lunenburg offers students a variety of study pal, John Dewey High School, Brooklyn, NY; Carlos Paula Lestei;Long Island University,for her contribution to
tools and useful resources such as links to related sites, Frank Keane Fayetteville State University A. Garcia, Superintendent, Clark County School Dis- Chapter 9 of the book and William Owings, Old Dominion
case studies, and an additional chapter on careers in Donald Layton State University of New trict, Las Vegas, NV; Joe A. Hairston, Superintendent, University,for his contribution to Chapter 11.
educational administration. For instructors, Power- York, Albany Baltimore County Public Schools, Towson, MD: David We want to thank the people at Cengage Learning
Point slides are available for each chapter. Arthur Lehr University of Illinois, Kazakoff, Principal, Terra Nova High School, Paci- whose contributions made this a much better book:
Urbana-Champaign fica, CA; William G. Meuer, Principal, Norwood Park Mark Kerr, Executive Editor; Lisa Kalner Williams,
School, Chicago Public Schools, Chicago, IL; Joanna Senior Development Editor; Genevieve Allen, Editorial
Acknowledgments Robert B. Lowe Angelo State University
Miller, Principal, E. M. Baker Elementary School, Great Assistant; Melena Fenn, Senior Project Manager; Kara
This book has been a cooperative effort between schol- Betty Jo Monk Tarleton State University Neck, NY; Lonnie E. Palmer, Superintendent, City Kindstrom, Marketing Manager; Dimitri Hagnere,
ars and experienced editors and publishers. We wish to Robert Morris State University of West School District of Albany, Albany, NY; Art Rainwater, Marketing Coordinator.
express our appreciation to the reviewers and others Georgia Superintendent, Madison Metropolitan School District, We are grateful to our respective deans Genevieve
whose suggestions led to improvements in this and in Troy State University Madison, WI; Ron Saunders, Superintendent, Barrow Brown and Jerry Ross for creating an environment and
Steve Nowlin
earlier editions: County Schools, Winder, GA; Paul Vance, Superinten- contributing the resources necessary to complete this
Anita M. Pankake University of Texas, Pan dent, District of Columbia Public Schools, Washington, book.
Judy A. Alston Bowling Green State American DC. Your willingness to share your experiences will Fred C. Lunenburg
University
Albert Pautler State University of New help to guide and inspire future generations of school Allan C. Ornstein
Paul Baker Illinois State University York, Buffalo administrators.
Edwin D. Bell East Carolina University Lorrie C. Reed Chicago State University
Dale L. Bolton University of Washington Glenn B. Schroeder University of Northern
James Boothe Xavier University Colorado
Norman Boyles Iowa State University Gerald Schumacher University of Houston,
Clear Lake
Fred E. Bradley University of Missouri,
St. Louis Linda T. Sheive State University of New
York, Oswego
Dennis C. Brennan University of the Pacific
Roger Shouse Pennsylvania State
Jerry Cicchelli Fordham University
University, University Park
James A. Conway State University of New
Donald W. Smitley Eastern Illinois University
York, Buffalo
Carl Steinhoff University of Nevada, Las
Philip A. Cusick Michigan State University
Vegas
Andrew E. Dubin San Francisco State
Rudo Tsesunhu Pennsylvania State
University
University, University Park
Martha Ellis University of Texas, Austin
Clark Webb Brigham Young University
Janet Fredericks Northeastern Illinois
Noelle Witherspoon Louisiana State University,
University
Baton Rouge
Lloyd E. Frohreich University of Wisconsin,
Madison We also wish to gratefully acknowledge the follow-
ing individuals who contributed boxes for this and
Jits Furusawa California State University, prior editions: Henry S. Bangser, Superintendent,
Dominguez Hills New Trier Township High School District, Winnetka/
Valeri Helterbran Indiana University of Northfield, IL; Mirabelle Baptiste, Principal, Clifton
Pennsylvania Middle School, Houston Independent School District,
Patricia Boehner University of Nebraska, Houston, TX; Richard (Rick) Earl Berry, Superinten-
Kearney dent, Cypress-Fairbanks Independent School District,
Houston, TX; James F. Causby, Superintendent, John-
Ernest Johnson University of Texas,
son County Schools, Smithfield, NC; Craig L. Elliott,
Arlington
 Th'eAuthors

Fred C. Lunenburg is the Jimmy N. Merchant Professor of Education at

Sam Houston State University. Prior to moving to the university, he served
as a teacher, principal, and superintendent of schools. He has authored or
co-authored more than 100 articles and 20 books, including The Principal-
ship: Vision to Action (Thomson/Wadsworth, 2006), Shaping the Future
(Rowman & Littlefield, 2003 ), The Changing World of School Administra-
tion (with George Perreault) (Scarecrow Press, 2002), and High Expecta-
tions: An Action Plan for Implementing Goals 2000 (Corwin, 2000). He
received the Phi Delta Kappa Research Award in 1986 and was The Distin-
guished Visiting Professor at the University of Utrecht (The Netherlands)
in 1995.

Allan C. Ornstein is Professor of Administrative and Instructional Leader-

ship at St. Johns University. He is the author of 54 books ,and some 400
articles on education, and has been a consultant for more than 75 govern-
ment and educational agencies, including the Chicago and New York City
school districts. He is a former Fulbright-Hayes Scholar and member of the
Fulbright-Hayes screening committee. Among Dr. Ornstein's most recent
books are Foundations of Education, 10th ed. (Houghton Mifflin, 2008),
Contemporary Issues in Education, 4th ed. (Allyn and Bacon, 2007), Push-
ing the Envelope (Merrill, 2003 ), and Teaching and Schooling in Amer-
ica: Pre and Post September 11 (Allyn and Bacon, 2003). His most recent
book, Class Counts: Education, Inequality and the Shrinking Middle Class
(Rowman and Littlefield, 2007), examines growing inequality, the shrink-
ing middle class, the slow decline of the nation, and the waning influence
of education.

xxvii
I
·• ·% Educational
·Administration·
~oncepts and Practices , ...
· SJ~h Edition,
Development of
AdministrativeTheory
FOCUSING QUESTIONS

1 What is theory?
2 How are theory and research related?
3 What are the uses of theory?
4 What major developments in administrative thought have evolved in the
field of educational administration?
5 How have emergent nontraditional perspectives influenced the study
and practice of educational administration?
6 How can open systems theory be used to diagnose problems in school
operation?
7 How can the learning organization be used to achieve school success?

n this chapter, we attempt to answer these questions concerning theoretical

I and historical developments in administration. We begin our discussion by

exploring the nature of theory. Then we discuss the relationship between
theory and research. A discussion of the uses of theory follows. Next, we iden-
tify and explain the major developments in administrative thought: classical,
human relations, behavioral science, and post-behavioral science approaches. This
is followed by a discussion of emergent nontraditional perspectives in the study of
educational administration. Next, we examine schools as open systems. We con-
clude the chapter with a discussion of the learning organization and its impact on
the operation of schools.
 PARTI · Fundamental Principles and Concepts
What IsTheory?
Educational administrators are professionals who have
a code of ethics and are licensed by state boards of
education. 1 Thus, their behavior is guided by acceptable
standards of practice. One of the best criteria of a pro-
fession, however, is that it has matured as a science; that
is, it has developed a solid theoretical base-a body of
organized and tested knowledge. Such is the case with
educational administration as a social science.2 Theory
in educational administration has been evolving since
the 1950s. 3 To an increasing degree, educational ad-
ministration is characterized by using theory to explain
and predict phenomena in educational organizations. 4
Fred Kerlinger defines theory as "a set of interrelated
constructs (concepts), definitions, and propositions
that present a systematic view of phenomena by speci-
fying relations among variables with the purpose of
explaining and predicting phenomena." 5 Daniel
Griffiths includes many of the same ideas in his discus-
sion of theory. He adds that a theory is a deductively
connected set of empirical laws and that all statements
in a theory are generalizations that explain the empiri-
cal laws and unify the areas of subject matter. 6
A theory, then, is an organized body of interrelated
concepts, assumptions, and generalizations that sys-
tematically explains and predicts some phenomena.
Theories may range from a simple generalization to
a complex set of laws, from philosophical to scien-
tific. Some theories deal with simple generalizations,
such as results of educational polls or school surveys
undertaken by state accrediting associations. Such stud-
ies involve measures of the nature of some condition
at a particular time. They explain what is. More ~ell-
developed theories enable us to make predictions and
to control phenomena. For example, meteorologists
1American Association of School Administrators, Code
of Ethics for School Administrators (Arlington, VA: The
Association, 2012).
2It may be more accurate to refer to educational administra-
tion as an applied science.
3Andrew W. Halpin, Administrative Theory in Education
(New York: Macmillan, 1958); Daniel E. Griffiths, Adminis-
trative Theory (New York: Appleton-Century-Crafts, 1959).
4See, for
example, Daniel E. Griffiths, "Administrative Theory,"
in N. J. Boyan (ed.), Handbook of Research on Educational
Administration (New York: Longman, 1988), pp. 27-51.
5Fred N. Kerlinger, Foundations of Behavioral Research, 3rd
ed. (San Diego, CA: Harcourt Brace, 1986), p. 9.
6 Griffiths, "Administrative Theory," 1988.
hav~ well-developed theories. Usually they can make
very accurate predictions about the occurrence of hur-
ricanes, tornados, earthquakes, and other atmospheric
phenomena. Special education teachers work from
a well-developed theory of learning (referred to as
behavioral theory). Consequently, they can facilitate
instructional interventions that typically lead to positive
changes in student behavior. Other examples of well-
developed theories that enable us to predict phenomena
include Albert Einstein's theory of relativity and Isaac
Newton's theory of universal gravitation.
Theory and Research
It is important to note that theory and research are
tied together. The theory guides the researcher in what
to look for, and the research provides the researcher
with what was found. What was found also provides
the researcher with an indication of what to look
for in the future. It is also important to note that the
researcher may not see what he/she does not conceptu-
alize. What the researcher sees must be understood and
verified by others. This process of seeing, understand-
ing, and verifying is generally accomplished through
the scientific method.
The scientific method involves four steps. First,
a research problem is specified. Then one or more
hypotheses or predictive statements of what the
researchers expect to find are formulated. These may
come from several sources, including observation, pre-
vious experience, and a thorough review of the related
literature. Next, a research design is developed to con-
duct the research and test the hypothesis(ses). Finally,
data collection, data analysis, and interpretation of the
findings are performed. 7
Returning to our previous reference to the term
hypothesis, we can define a hypothesis as a predic-
tive statement about the relationship between two or
more variables. A variable is a measure used to describe
some phenomena. For example, a researcher may count
the percentage of students who pass the state mandated
achievement test as a measure of a school's productivity.
Then a hypothesis might be formulated that increased
7Meredith
D. Gall, Joyce P. Gall, and Walter R. Borg, Educa-
tional Research: An Introduction, 8th ed. (Boston: Pearson/
Allyn & Bacon, 2007); L.R. Gay, Geoffrey E. Mills, and Peter
Airasian, Educational Research: Competencies for Analysis
and Applications, 9th ed. (Upper Saddle River, NJ: Pearson/
Merrill, 2009).
CHAPTERl · Development of Administrative Theory
productivity will result in high job satisfaction for the
principal and school faculty. Confirmation of the afore-
mentioned hypothesis would lead to the following im-
plication: If you want to increase the job satisfaction of
the principal and school faculty, increase the productiv-
ity of the work unit by increasing the passing rates of
students on the state mandated achievement test.
Many quantitative research studies are designed to
test a theory that has been developed to explain some
educational phenomena. However, studies also can
be designed so that data are collected first, and then a
theory is derived from those data. 8 The resulting theory
is called grounded theory, because it is "grounded" in
the particular set of data the researcher has collected.
In this research tradition, hypotheses are the outcome of
the study rather than the initiators of it. The usefulness
of the theory can be tested in subsequent research. This
approach to theory development is more applicable to
case studies.
In sum, you will be introduced to many theories
in this book. Many of the theories are based on actual
studies of organizations. They offer a lens, or way of
thinking about how organizations function. You will
find that different theories provided in this book will
offer you different ways of thinking about the same
issue. As you study these theories, think about how they
might apply to organizations with which you are familiar:
as an employee, a customer, or a graduate student. This
is the value of theory; by using different lenses, you will
broaden your understanding about how organizations
can be structured and managed in more effectiveways.
Educational administration as an academic discipline
earns credibility by being research driven. Scientific rigor
replaces speculation and untested assumptions about
employee behavior in the workplace. Behavioral science
researchers acquire empirical evidence by using one or
more of five different categories of research designs: lab-
oratory studies, field studies, meta-analyses, survey stud-
ies, and case studies (see Administrative Advice 1-1).
Uses of Theory
Many school administrators feel uncomfortable with
theories. They prefer that social scientists provide them
with practical prescriptions for administering their
schools. Upon closer examination, however, almost every
action a school administrator takes is based to some
8B.G. Glaser, Theoretical Sensitivity: Advances in the Method-
ology of Grounded Theory (Mill Valley, CA: Sociology Press,
1978).
degree on a theory. For example, a school administrator
may include others in a decision involving an issue that is
relevant to them and that they have the expertise to make,
instead of making the decision unilaterally. Such action is
referred to in the research literature as participatory deci-
sion making. Participatory decision making, also referred
to as shared, collaborative, or group decision making,
focuses on decision processes that involve others.
In education, participatory decision making is based
on the idea that active involvement of teachers, parents,
or community members in school decisions will lead to
improved school performance. 9 It is believed that those
closest to teaching and learning, namely teachers, and
those with the most knowledge about the children,
namely parents, should be involved in decisions because
they have expertise that is crucial to improving school
performance. Furthermore, it is believed that when
teachers and parents are involved in decision making,
they will be more committed to implementing and sup-
porting the decision, and a sense of ownership in the
school will result. 10 Without knowing it, the school
administrator made the choice to involve others in the
decision-making process on the basis of a theory.
Educational administrators would most likely floun-
der without theories to guide them in making choices.
Thus, theories provide a guiding framework for under-
standing, predicting, and controlling behavior in orga-
nizations. Theories also contribute to the advancement
of knowledge in the field. 11 Deobold Van Dalen has
suggested six functions of theories, and we follow his
categorization in this discussion. 12
Identifying Relevant Phenomena Theories determine
the number and kinds of phenomena that are relevant to
a study. A theory tells a social scientist what to observe
and to ignore. For example, social scientists may study
school administration from the open systems perspective.
(Open systems theory is discussed later in this chapter.)
9 Kristen C. Wilcox and Janet I. Angelis, Best Practices from
High-Performing Middle Schools: How Successful Schools Re-
move Obstacles and Create Pathways to Leaming (New York:
Teachers College Press, 2010).
1°Fred C. Lunenburg and Beverly J. Irby, The Principalship:
Vision to Action (Wadsworth/Cengage, 2006).
11Robert Donmoyer, "The Continuing Quest for a Knowledge
Base: 1976-1998," in J. Murphy and K. S. Louis (eds.), Hand-
book of Research on Educational Administration, 2nd ed. -
(San Francisco: Jossey-Bass, 1999), pp. 25-43.
12Deobold B. Van Dalen, Understanding Educational Re-
search, 4th ed. (New York: McGraw-Hill, 1979).
 PARTI · Fundamental Principles and Concepts
of Research Used by Behavioral Scientists
have certain methodsfor obtaining Information.So do behavioral scientists.
to as researchdesigns.In broad terms,five basic designsare used by behavioral
studies, field studies,meta-analyses,surveystudies,and case studies.8b
• Laboratorystudies. A laboratory study is poten-
tially the most rigorous of scientific techniques.
The essence of conducting a laboratory study is
making sure that the variable being manipulated (the
independent variable) influences the results. The
independent variable (e.g., a motivational technique)
is thought to influence the dependent variable
(e.g., productivity). Because laboratory studies are
conducted in contrived situations, generalizing the
results to practice requires caution.
• Field studies. In a field study, the investigator
attempts to manipulate and control variables in the
natural setting rather than in a laboratory. Early
field studies in organizations induded manipulating
physical working conditions such as rest periods,
refreshments, and lighting (see, e.g., the classic
Hawthorne Studies discussed later in this chapter).
Because field studies involve real-lifesituations, their
results often have immediate and practical relevance
for school administrators.
· • Meta-<1.nalyses. A meta-analysis is an examination
of a range of studies for the purpose of reaching an
aggregated result. The logic of meta-analysis is that
researchers can arrive at a more accurate conclusion
regarding a research area by combining the results
A relevant component in the open systems approach is
the external environment that impacts the organization.
Several subsystems exist within this environment. Among
the more important are economic, political, productive,
distributive, and resource systems. Social scientists may
study the external environment from within all these
frameworks. Multiple phenomena are associated with
each subsystem. Social scientists will not know precisely
what phenomena to observe until they construct theoret-
ical solutions for each problem area under investigation.
Classifying Phenomena Scientists rarely work
efficiently with masses of phenomena; therefore, they
construct theoretical frameworks for classification. The
physical sciences have been successful in developing
ADMINISTRATIVE
ADVICE Ill
These
- -
of many studies in a specific area of inquiry. It is
assumed that combining the results of many studies
provides a more accurate picture than would be
found in any single study. Many of the research
findings presented throughout this book are based
on meta-analysis rather than the results of a single
study.
• Survey studies. In a survey study, samples of people
from specified populations respond to question-
naires. The researchers then draw conclusions
about the relevant population. Generalizability of
the results depends on the quality of the sampling
techniques and the validity and reliability of the
questionnaires used.
• Case studies. A case study is an in-depth analysis of
a single individual, group, or organization. Because
of their limited scope, results of case studies are not
generalizable. Despite this limitation, the case study
is widely used as a method of studying organizations.
It is extremely valuable in answering exploratory
questions.
8
hGall, Gall, and Borg, Educational Research;Gay, Mills, and Airasian,
Educational Research.
such conceptual schemes. Geologists have developed
schemes for classifying rocks, and botanists have
devised systems for classifying plants.
An example of a classification scheme in educational
administration is the study of organizational climate by
Andrew Halpin and DonCroft. 13 Using factor analy-
sis, they developed eight dimensions of organizational
climate and classified them into six categories: open,
autonomous, controlled, familiar, paternal, and closed.
Another example comes from the work of Henry
13
Andrew W. Halpin and Don B. Croft, The Organizational
Climate of Schools (Chicago: University of Chicago Press,
1963).
CHAPTER1 · Development of Administrative Theory
Mintzberg. After extensive, structured observation of
five executives (one a school superintendent), Mintzberg
classified managerial activities into ten administrative
roles: figurehead, leader, liaison (interpersonal); moni-
tor, disseminator, spokesperson (informational); and
entrepreneur, disturbance-handler, resource-allocator,
negotiator (decisional). 14 If educational administrators
fail to develop theoretical frameworks for classifying
phenomena, they will limit the advancement of knowl-
edge in the field.
Formulating Constructs Reliable information can
be obtained through direct observation and measure-
ment. However, many aspects of behavior cannot be di-
rectly observed. Intelligence is not an observable entity;
it is inferred from using instruments that sample subject
behavior. Affective predispositions such as attitudes, in-
terests, and opinions cannot be observed directly; they
are observed indirectly as they manifest themselves in
behavior. Consequently, social scientists have developed
constructs to explain why certain types of behavior oc-
cur. These constructs are often referred to as hypotheti-
cal constructs to imply that they are a construction of
the social scientist's imagination. Kurt Lewin's force-
field analysis is an example of a theoretical construct. 15
Summarizing Phenomena Theories summarize iso-
lated lists of data into a broader conceptual scheme of
wider applicability. These summaries can be stated with
varying degrees of comprehensiveness and precision.
They may range from simple generalizations to com-
plex theoretical relationships. A school superintendent
making a generalization about granting certificates of
achievement to outstanding teachers in the school dis-
trict is an example of low-level summarizing; this type
of summary is not usually referred to as a theory. But
the superintendent might construct a more complex
generalization, one that describes the relationship be-
tween phenomena. For example, after observing the
granting of certificates of achievement to deserving
teachers, the superintendent may note a relationship:
public recognition is a means of motivating teachers.
Summarizing and explaining phenomena permit deeper
understanding of data and translate empirical findings
into a more comprehensive, theoretical framework.
14 HenryMintzberg, The Nature of Managerial Work (New
York: HarperCollins, 1990).
15Kurt Lewin, Field Theory in Social Science (New York:
Harper & Row, 1951).
In the natural sciences, for instance, the theory of
oxidation brings many of the chemical reactions
common to everyday life into focus. The more com-
prehensive the theory, which is supported by verified
observations, the more mature the science becomes.
Predicting Phenomena A theory permits social sci-
entists to predict the existence of unobserved instances
conforming to it. For example, Abraham Maslow made
the following generalization: people at work seek to
satisfy sequentially five levels of needs arranged in a
prepotency hierarchy. 16 A deprived need dominates the
person's attention and determines behavior. Once this
deficit is satisfied, the next higher-level need is activated,
and the individual progesses up the hierarchy. When the
level of self-actualization is reached, progression ceases.
The more this need is satisfied, the stronger it grows.
On the basis of this theory, one can expect to find a
similar pattern of behavior in a variety of work settings
where no statistics have been generated. That is, theory
enables one to predict what should be observable where
no data are available.
Revealing Needed Research Theories generalize
about phenomena and predict phenomena. They also
pinpoint crucial areas to be investigated and crucial
problems to be solved. For example, test theory and
development have had a long history in education. Test
developers have made significant contributions to the
practice of education. Teachers have always used some
type of test to measure their students' achievement of
academic content. The development of tests of academic
achievement relies heavily on test theory and validation.
An important problem in educational practice today
revolves around the results of testing in our schools.
For example, it has been well documented that there
is an achievement gap between white students and cer-
tain groups of ethnic-minority students. 17 This prob-
lem might have gone unnoticed if it were not for the
documentation provided by state-mandated achieve-
ment tests. The No Child Left Behind (NCLB) Act was
enacted primarily to close the achievement gap. Thus,
the work of educators at all levels is being shaped by
16 Abraham Maslow, Motivation and Personality, rev. ed.
(Reading, MA: Addison-Wesley, 1970).
17Tyrone G. Howard, Why Race and Culture Matter in Schools:
Closing the Achievement Gap in America's Classrooms (New ·
York: Teachers College Press, 2011); Rod Paige, The Black-
White Achievement Gap: Why Closing It ls the Greatest Civil
Rights Issue of Our Time (New York: Amacom, 2011).
 PARTI · Fundamental
national accountability standard s designed to improve the
performance of all students on state-mandated tests. Con-
sequently, tests seem to be driving educational practice. 18
If one accepts the premise that tests are driving
educational practice, perhaps the easiest way to
improve practice and increase student achievement is
to construct better tests. Critics argue that many state-
mandated tests require students to recall obscure fac-
tual knowledge, which limits the time teachers have
available to focus on critical thinking skills. 19 However,
according to Yeh, it is possible to design force-choice
items (multiple-choice test items) that test reasoning
and critical thinking. 20 Such tests could require students
to use facts, rath er than recall them. And test questions
could elicit content knowledge that is worth learning. It
seems reasonable to say, then, that research is a driving
force in educational practice, particularly in the area of
student testing . More research is needed in the area
of test development and validation .21
Development of Administrative
Thought
The development of administrative thought can be
placed into a loose historical framework. In general,
four models emerge: classical organizational theory,
the human relations approach, the behavioral science
approach, and the post-behavioral science era.
Classical Organizational Theory
Classical organizational theory emerged during the
early years of the twentieth century. It includes two dif-
ferent management perspectives: scientific management
and administrative management. Historically, scientific
management focused on the management of work and
18Teach for America, Teaching as Leadership : The Highly
Effective Teacher's Guide to Closing the Ach ievement Gap
(New York: John Wiley & Sons, 2011).
19 Linda McNeil, Contradictions of School Reform: Educa-
tional Costs of Standardized Testing (New York: Routledge,
2000).
20Stuart S. Yeh, "Tests Worth Teaching To: Constructing State
Mandated Tests That Emphasize Critical Thinking," Educa-
tional Researcher, 30 (2001): 12-17.
21W. James Popham, Educational Assessment: What School
Leaders Need to Understand (Thousand Oaks, CA: Corwin
Press, 2010); W. James Popham, Classroom Assessment: What
Teachers Need to Know (Upper Saddle River, NJ: Prentice
Hall, 2011).
Principles and Concepts
workers. Administrative management addressed issues
concerning how an overall organization should be
structured.
Scientific Management
Prior to the turn of the twentieth century, there was
almost no systematic study of management . The practice
of management was based on experience and common
sense. Frederick W. Taylor tried to change that view. An
engineer, he pursued the idea that through careful scien-
tific analysis the efficiencyof work could be improved. His
basic theme was that managers should study work scien-
tifically to identify the "one best way" to perform a task.
Taylor's scientific management consists of four
principles: 22
l. Scientific Job Analysis. Through observ ation, data
gathering, and careful measurement, management
determines the "one best way" of performing each
job. Such job analysis replaces the old rule-of-
thumb method.
2. Selection of Personnel. Once the job is analyzed, the
next step is to scientifically select and then train,
teach, and develop workers . In the past, workers
chose their own work and trained themselves.
3. Management Cooperation. Managers should
cooperate with workers to ensure that all work
being done is in accordance with the principles of
the science that has been developed.
4. Functional Supervising. Managers assume planning ,
organizing, and decision-making activities, whereas
workers perform their jobs . In the past, almost all
work and the greater part of the responsibility were
thrust on workers.
Taylor's four principles of scientific management
were designed to maximize worker productivity. In
his early career as a laborer in the steel industry, he
observed firsthand how workers performed well below
their capacities. He referred to this activity as soldier-
ing. Taylor felt that scientific management-time study
for setting standards, separation of managerial and
employee duties, and incentive systems-would correct
the problem . Rather than relying on past practice or
rules of thumb, he provided managers with explicit
22
Frederick W. Taylor, Principles of Scientific Manag em ent
(New York: Harper , 1911).
CHAPTER1 · Development of Administrative Theory
Table 1-1 Fayol's Fourteen Principles of Management
Component Description
Division of work The object of division of work is improved efficiency through a reduction of wos1e.inCl8Csed output . and a
simplification of job training.
Authority Authority is the right to give orders and the power to extract obedience. Responsibility.a corollary of
authority. is the obligation to carry out assigned duties.
Discipline Discipline implies respect for the rules that govern the organization. Clear statements of agreements
between the organization and its employees are necessary. and the stafe of discipline of any group
depends on the quality of leadership .
Unity of An employee should receive orders from only one superior.Adherence to this principle avoids
command breakdowns in authority and discipline.
Unity of Similar activities that are directed toward a singular goal should be grouped together under one
direction manager .
Subordination The interests of individuals and groups within an organization should not take precedence over the
of individual interest interests of the organization as a whole .
Remuneration Compensation should be fair and satisfactory to both employees and the organization.
Centralization Managers must retain final responsibility. but they should give subordinates enough authority to do
the task successfully.The appropriate degree of centralization will vary depending on circumstances.
It becomes a question of the proper amount of centralizing to use in each case .
Scalar chain The scalar chain , or chain of command. is the chain of supervisors ranging from the ultimate authority to
the lowest ranks.The exact lines of authority should be clear and followed at all times.
Order Human and material resources should .be coordinated to be in the right place at the right time.
Equity A desire for equity and equality of treatment are aspirations managers should take into account in
dealing with employees.
Stability of Successful organizations need a stable workforce. Managerial practices should encourage long-term
personne l commitment of employees to the organization .
Initiative Employees should be encouraged to develop and carry out plans for improvement.
Esprit de corps Managers should foster and maintain teamwork. team spirit. and a sense of unity and togetherness
among employees .
Source : Adapted from Henri Fayol. General and Industrial Administration (New York: Pitman. 1949). pp . 20-41. (Originally published in French
in 1916 with the title Administration lndustrielle et Generale.)
guidelines for improving production management, based the management of organizations and that he found
on proven research and experimentation. useful during his experience as a manager (Table 1-1).
Fayol's fourteen principles of management empha-
size chain of command, allocation of authority, order,
Administrative Management
efficiency, equity, and stability. Max Weber also recog-
Whereas scientific management focuses on jobs of indi- nized the importance of these factors, but Fayol was the
vidual workers, administrative management concentrates first to recognize management as a continuous process.
on the management of an entire organization. The pri- Luther Gulick, another classical theorist, augmented
mary contributors to the field of administrative manage- Fayol's five basic management functions while serving
ment were Henri Fayol, Luther Gulick, and Max Weber. on Franklin D. Roosevelt's Committee on Government
Henri Fayol was an engineer and French industrial- Administration. He coined the acronym POSDCoRB,
ist. For many years, he served as managing director of which identified seven functions of management:
a large coal-mining firm in France. He attributed his planning, organizing, staffing, directing, coordinating,
success as a manager not to any personal qualities he reporting , and budgeting. 23
may have possessed but, rather, to a set of management
l. Planning involves developing an outline of
principles that he used. Fayol claimed that all managers
the things that must be accomplished and the
perform five basic functions: planning, organizing, com-
manding, coordinating, and controlling.
Besides the five basic management functions, Fayol 23Luther Gulick and Lyndall Urwick (eds.), Papers on the Science
identified fourteen principles that he felt should guide of Administration (New York: Columbia University Press, 1937).
 PARTI · Fundamental Principles and Concepts
methods for accomplishing them. It attempts
to forecast future actions and directions of the
organization.
2. Organizing establishes the formal structure of
authority through which work subdivisions are
arranged, defined, and coordinated to implement
the plan.
3. Staffing involves the whole personnel function of
selecting, training, and developing the staff and
maintaining favorable working conditions.
4. Directing, closely related to leading, includes the
continuous task of making decisions, communicat-
ing and implementing decisions, and evaluating
subordinates properly.
5. Coordinating involves all activities and efforts
needed to bind together the organization in order to
achieve a common goal.
6. Reporting verifies progress through records,
research, and inspection; ensures that things happen
according to plan; takes any corrective action
when necessary; and keeps those to whom the chief
executive is responsible informed.
7. Budgeting concerns all activities that accompany
budgeting, including fiscal planning, accounting,
and control.
One of the most influential contributors to classi-
cal organizational theory was German sociologist Max
Weber, who first described the concept of bureaucracy.
Weber's contributions were not recognized until years
after his qeath. 24 Weber's concept of bureaucracy is
based on a comprehensive set of rational guidelines.
Similar in concept to many of Fayol's fourteen prin-
ciples, Weber's guidelines were believed to constitute
an ideal structure for organizational effectiveness.
W~ber's ideal bureaucracy and Fayol's fourteen princi-
ples of management laid the foundation for contempo-
rary organizational theory.
Classical organizational theories and their derived
principles have many critics. An emphasis on efficiency
characterized the classical approach to management. To
these theorists, an efficiently designed job and organiza-
tion were of prime importance. Psychological and social
factors in. the workplace were ignored. The critics claim
that when managers ignore the social and psychological
24Max Weber, The Theory of Social and Economic Organi-
zation, trans. Talcott Parsons (New York: Oxford University
Press, 1947).
needs of workers, organizations do not provide adequate
motivation to their employees. The classicists assumed
that financial incentives would ensure worker motiva-
tion. In short, the focus of classical organizational theory
was on the task, with little attention given to the individ-
ual or group in the workplace. This flaw was primarily
responsible for the emergence of the second approach to
management thought: the human relations approach.
Human Relations Approach
The human relations approach is considered to have
started with a series of studies conducted at the Haw-
thorne Plant of Western Electric near Chicago by
Elton Mayo and his associates between 1927 and
1933. 25 These studies, widely known as the Hawthorne
studies, have strongly influenced administrative theory.
The Hawthorne Studies
The Hawthorne studies consisted of several experi-
ments. They included the first Relay Assembly Test
Room, the second Relay Assembly Group, the Mica-
Splitting Group, the Typewriting Group, and the Bank
Wiring Observation Room experiments. In addition,
an interview program involving 21,126 employees was
conducted to learn what workers liked and disliked
about their work environment.
Two experiments in particular are noteworthy. In the
Relay Assembly Test Room experiments, the research
began with the designation of two groups of female
workers. Each group performed the same task, and the
groups were located in two separate rooms, each of
which was equally lighted. One group, designated the
control group, was to have no changes made in light-
ing or other work-environment factors. The other was
the experimental group in which lighting and other
environmental factors were varied. Changes in the pro-
ductivity of the two groups was subsequently measured
and analyzed. Regardless of the light level or various
changes in rest periods and lengths of workdays and
workweeks, productivity in both the control and the
experimental groups improved; in fact, the worse things
got, the higher the productivity rose.
25Elton Mayo, The Human Problems of an Industrial Civiliza-
tion (New York: Macmillan, 1933); and Fritz J. Roethlisberger
and William J. Dickson, Management and the Worker
(Cambridge, MA: Harvard University Press, 1939).
CHAPTER1 · Development of Administrative Theory
In the Bank Wiring Observation Room experiments,
a group of nine men were paid on a piecework incen-
tives pay system. That is, their pay increased as their
productivity increased. Researchers expected that
worker productivity would rise over time. As in the
Relay Assembly Test Room experiments, researchers
found an unexpected pattern of results. They discov-
ered that the group informally established an accept-
able level of output for its members. Most workers, the
"regulars," ignored the incentive system and voluntarily
conformed to the group's standard level of acceptable
output, called a group norm. Those who did not con-
form, the "deviants," were disciplined by the group to
bring their output in line with the group's standard
output. Workers who produced too much were called
"rate-busters" and sometimes were physically threat-
ened to make them conform with the rest of the group.
On the other hand, employees who underproduced
were labeled "chislers" and were pressured by the group
to increase their productivity.
To understand the complex and baffling pattern
of results, Mayo and his associates interviewed over
20,000 employees who had participated in the experi-
ments during the six-year study. The interviews and
observations during the experiments suggested that
a human-social element operated in the workplace.
Increases in productivity were more of an outgrowth of
group dynamics and effective management than any set
of employer demands or physical factors. In the light-
ing experiment, for example, the results were attrib-
uted to the fact that the test group began to be noticed
and to feel important. Researchers discovered that the
improvement in productivity was due to such human-
social factors as morale, a feeling of belonging, and
effective management in which such interpersonal skills
as motivating, leading, participative decision making,
and effective communications were used. Researchers
concluded, from the results of the incentive pay-system
experiment, that informal work groups emerged with
their own norms for the appropriate behavior of group
members. In short, the importance of understanding
human behavior, especially group behavior, from the
perspective of management was firmly established.
Other Contributors to the
Human Relations Approach
Mayo and his associates were not the only contributors
to the human relations approach. There w,ere several
strong intellectual currents which influenced the human
relations movement during this period. Kurt Lewin
emphasized field theory and research known as group
dynamics. 26 Noteworthy is his work on democratic and
authoritarian groups. Lewin and his associates generally
concluded that democratic groups, in which members
actively participate in decisions, are more productive in
terms of both human satisfaction and the achievement
of group goals than are authoritarian groups. 27 Fur-
thermore, much of the current work on individual and
organizational approaches to change through group
dynamics (sensitivity training, team building, Alcohol-
ics Anonymous, and Weight Watchers) and the action-
research approach to organizational development is
based on Lewin's pioneering work.
Carl Rogers deserves mention here as well. Not only
did he develop a procedure for industrial counseling2 8
while working with Mayo and his associates at Western
Electric, but the metapsychological assumptions on
which his client-centered therapy 29 is based also provide
the skeletal framework on which the human relations
approach is built. For example, according to Rogers, the
best vantage point for understanding behavior is from
the internal frame of reference of the individual, who
exists in a continually changing world of experience;
who perceives the field of experience as reality for her;
and who strives to actualize, maintain, and enhance her
own human condition. 30
The writings of Jacob Moreno made a substantial
contribution to the human relations movement. Like
Lewin, Moreno was interested in interpersonal relations
within groups. He developed a sociometric technique:
people develop selective affinities for other people.
Groups composed of individuals with similar affinities
for one another will likely perform better than groups
lacking such affective preferences. 31
Additional contributors to the human relations
school of thought include William Whyte and George
Homans. Using a field study methodology similar to
26Kurt Lewin, Field Theory in Social Science.
27Kurt Lewin, Ronald Lippitt, and Robert White, "Patterns
of Aggressive Behavior in Experimentally Created 'Social Cli-
mates,'" Journal of Social Psychology, 10 (1939): 271-299.
28Carl R. Rogers, Counseling and Psychotherapy (Boston:
Houghton Mifflin, 1942).
29 CarlR. Rogers, Client-Centered Therapy (Boston: Houghton
Mifflin, 1951).
30Jbid.,pp. 483-494.
31Jacob L. Moreno, Who Shall Survive? rev. ed. (New York:
Beacon House, 1953).
 PARTI · Fundamental Principles and Concepts
the one used by Mayo, Whyte studied the nature and
functioning of work group behavior in the restau-
rant industry. He examined intergroup conflict, status
within groups, workflow, and the like. Consistent with
Moreno's sociometric theory, Whyte found that selec-
tive preferences among group members are associated
with such factors as similarities in age, sex, and outside
interests. 32 His study is significant because the findings
are based on observations of real-life situations rather
than isolated laboratory conditions. George Homans's
general theory of small groups was a major landmark.
Homans conceptualized the totality of group structure
and functioning that has received wide attention among
organizational theorists and practitioners alike. 33
The major assumptions of the human relations
approach include the following ideas:
1. Employees are motivated by social and psychologi-
cal needs and by economic incentives.
2. These needs, including but not limited to
recognition, belongingness, and security, are more
important in determining worker morale and
productivity than the physical conditions of the
work environment.
3. An individual's perceptions, beliefs, motivations,
cognition, responses to frustration, values, and simi-
lar factors may affect behavior in..the work setting.
4. People in all types of organizations tend to develop
informal social organizations that work along with
the formal organization and can help or hinder
management.
5. Informal social groups within the workplace create
and enforce their own norms and codes of behavior.
Team effort, conflict between groups, social confor-
mity, group loyalty, communication patterns, and
emergent leadership are important concepts for
determining individual and group behavior.
6. Employees have higher morale and work harder
under supportive management. Increased morale
results in increased productivity.
7. Communication, power, influence, authority,
motivation, and manipulation are all important
relationships within an organization, especially
32William F. Whyte, Human Relations in the Restaurant
Industry (London: Pittman, 1949).
;l3 GeorgeC. Homans, The Human Group (New York:
Harcourt, Brace & World, 1950).
between superior and subordinate. Effective
communication channels should be developed
between the various levels in the hierarchy,
emphasizing democratic rather than authoritarian
leadership.
The human relationists used field study methods ex-
tensively, as well as laboratory experiments, to study
the work environment. These social scientists made
important contributions to our understanding of em-
ployee behavior in the workplace.
Behavioral Science Approach
Behavioral scientists considered both the classicists'
rational-economic model and the human relationists'
social model to be incomplete representations of employ-
ees in the work setting. A number of authors attempted
to reconcile or show points of conflict between classical
and human relations theory; thus, the behavioral science
approach was born.
Effectiveness/Efficiency Although a contemporary
of many human relationists, Chester Barnard was
one of the first authors to take the behavioral
science approach. For many years, Barnard served as
president of the New Jersey Bell Telephone Company.
His executive experience and extensive readings in
sociology and organizational psychology resulted in
one of management's few classic textbooks. 34
His best-known idea is the cooperative system, an
attempt to integrate, in a single framework, human re-
lations and classical management principles. Barnard
argues that the executive must meet two conditions if
cooperation and financial success are to be attained.
First, the executive must emphasize the importance of
effectiveness, which is the degree to which the com-
mon purpose of the organization is achieved. Second,
the executive must be aware of efficiency, which is the
satisfaction of "individual motives" of employees.35 His
main point is that an organization can operate and sur-
vive only when both the organization's goals and the
goals of the individuals working for it are kept in equi-
librium. Thus, managers must have both human and
technical skills.
34Chester I. Barnard, The Functions of the Executive
(Cambridge, MA: Harvard University Press, 1938).
35 Ibid.
CHAPTERl · Development of Administrative Theory
FusionProcess Another major contributor to the be-
havioral science approach was E. Wight Bakke of the
Yale University Labor and Management Center. He
views the organization as embodying a fusion process.3 6
The individual, he argues, attempts to use the organiza-
tion to further his own goals, whereas the organization
uses the individual to further its own goals. In the fu-
sion process, the organization to some degree remakes
the individual and the individual to some degree re-
makes the organization. The fusion of the personalizing
process of the individual and the socializing process of
the organization is accomplished through the bonds of
organization, such as the formal organization, the infor-
mal organization, the workflow, the task(s) to be com-
pleted, and the system of rewards and punishments.
Individual/Organization Conflict Holding views
similar to Bakke's, Chris Argyris argues that there is an
inherent conflict between the individual and the organi-
zation. 37 This conflict results from the incompatibility
between the growth and development of the individual's
maturing personality and the repressive nature of the for-
mal organization. Argyris believes that people progress
from a state of psychological immaturity and dependence
to maturity and independence and that many modern
organizations keep their employees in a dependent state,
preventing them from achieving their full potential.
Further, Argyris believes that some of the basic prin-
ciples of management are inconsistent with the mature
adult personality. The resulting incongruence between
individual personality and the organization causes con-
flict, frustration, and failure for people at work. People
learn to adapt to the failure, frustration, and conflict
resulting from the incongruency by ascending the or-
ganizational hierarchy, by using defense mechanisms,
or by developing apathy toward their work that ulti-
mately leads to the dysfunction of the organization's
goals. This trend to conformity has been espoused in
such popular books as The Organization Man 38 and
Life in the Crystal Palace.39
36E. Wight Bakke, The Fusion Process (New Haven, CT: Yale
University Press, 1955).
37Chris Argyris, The Individual and the Organization (New
York: Irvington, 1993).
38William H. Whyte, The Organization Man (New York:
Simon & Schuster, 1956).
39Allan Harrington, Life in the Crystal Palace (London:
Jonathan Cape, 1960).
Nomothetic/ldiographic A useful theoretical
formulation for studying administrative behavior is the
social systems analysis developed for educators by Jacob
Getzels and Egon Guba. 40 Getzels and Guba conceive of
the social system as involving two classes of phenomena
that are independent and interactive. First are institu-
tions with certain roles and expectations that together
constitute the nomothetic dimension of activity in the
social system. Second are the individuals with certain
personalities and need-dispositions inhabiting the sys-
tem who together constitute the idiographic dimension
of activity in the social system. Behavior then in any
social system can be seen as a function of the interac-
tion between personal needs and institutional goals.
Conformity to the institution, its roles, and its expec-
tations results in organizational effectiveness, whereas
conformity to individuals, their personalities, and their
need-dispositions results in individual efficiency. (Note
the similarity between Getzels and Guba's framework
and those of Barnard, Bakke, and Argyris.)
Need Hierarchy The behavioral science approach has
drawn heavily on the work of Abraham Maslow, who
developed a need hierarchy that an individual attempts
to satisfy.41 Maslow's theory suggests that an adminis-
trator's job is to provide avenues for the satisfaction of
an employee's needs. that also support organizational
goals and to remove impediments that block need
satisfaction and cause frustration, negative attitudes, or
dysfunctional behavior.
Theory X and Theory V Based on the work of
Maslow, Douglas McGregor formulated two contrast-
ing sets of assumptions about people and the man-
agement strategies suggested by each. He called these
Theory X and Theory Y. 42 McGregor believed that the
classical approach was based on Theory X assumptions
about people. He also thought that a modified version
of Theory X was consistent with the human relations
perspective. That is, human relations concepts did not
go far enough in explaining people's needs and man-
agement's strategies to accommodate them. McGregor
40Jacob W. Getzels and Egon G. Guba, "Social Behavior
and the Administrative Process," School Review, 65 (1957):
423-441.
41Abraham Maslow, Motivation and Personality, rev. ed.
(Reading, MA: Addison-Wesley, 1970).
42Douglas McGregor, The Human Side of Enterprise (New
York: McGraw-Hill, 1960).
guiding management thinking.
PARTI · Fundamental Principles and Concepts
viewed Theory Y as a more appropriate foundation for
Hygiene-Motivation Extending the work of Maslow,
Frederick Herzberg developed a two-factor theory
of motivation. 43 Herzberg makes a distinction be-
tween factors that cause or prevent job dissatisfaction
(hygiene factors) and factors that cause job satisfac-
tion (motivation factors). Only the latter group of fac-
tors can lead to motivation. Herzberg's hygiene factors
relate closely to Maslow's lower-level needs: physiolog-
ical, safety, and social; his motivation factors relate to
the needs at the top of Maslow's hierarchy: esteem and
self-actualization. Recognition of motivation factors
calls for a different style of management from that pro-
posed by the classical or human relations advocates.
Systems 1-4 Another writer concerned with the way
in which the goals of individuals and those of the or-
ganization can coincide is Rensis Likert. Likert con-
ducted extensive empirical research at the Institute for
Social Research-University of Michigan to examine the
effect of management systems on employees' attitudes
and behavior. He developed four management systems,
ranging from System 1, Exploitive Authoritative, to Sys-
tem 4, Participative Group. 44 Each system characterizes
an organizational climate based Qn several key dimen-
sions of effectiveness, including leadership, motivation,
communications, interaction/influence, decision making,
goal setting, control, and performance goals. Likert posits
the participative group system (System 4) as coming clos-
est to the ideal. The essence of System 4 theory is based
on three key propositions: supportive relationships,
group decision making in an overlapping group struc-
ture,,which he calls linking-pins, 45 and high-performance
goals of the leader. (Note the parallel here to McGregor's
Theory X and Theory Y dichotomy.) Likert, however,
provides more categories and more specificity. His Sys-
tems 1-4 represent four different leadership styles.
Managerial Grid In the area of leadership, Robert
Blake and Jane Mouton assess managerial behavior
on two dimensions: concern for production and con-
cern for people. Managers can plot their scores on
4 51
3Frederick Herzberg, The Motivation to Work (New Bruns-
wick, NJ: Transaction, 1993).
44 Rensis Likert, "From
Production and Employee-Centeredness
to Systems 1-4," Journal of Management, 5 (1979): 147-156.
45 RensisLikert, New Patterns of Management (New York:
Garland, 1987).
an eighty-one-celled managerial grid. 46 The grid is
designed to help managers identify their own leadership
styles, to understand how subordinates are affected by
their leadership style, and to explore the use of alterna-
tive leadership styles consistent with employees' needs.
Contingency Theory Contingency theories of lead-
ership have come into vogue in recent years. Fred
Fiedler developed a contingency theory of leadership
effectiveness.47 The basic premise is that in some situ-
ations relationship-motivated leaders perform better,
while other conditions make it more likely that task-
motivated leaders will be most effective. Three variables
determine the situations under which one or the other
type of leader will be most effective: leader-member
relations (the degree to which leaders feel accepted by
their followers), task structure (the degree to which
the work to be done is clearly outlined), and position
power (the extent to which the leader has control over
rewards and punishments the followers receive).
Situational Leadership Another popular leader-
ship theory is situational leadership developed by Paul
Hersey and Kenneth Blanchard. 48Situational leadership
theory is based primarily on the relationship between
follower maturity, leader task behavior, and leader
relationship behavior. In general terms, the theory sug-
gests that the style of leadership will be effective only
if it is appropriate for the maturity level of the follow-
ers. Hersey and Blanchard see two types of maturity as
particularly important: job maturity (a person's matu-
rity to perform the job) and psychological maturity (the
person's level of motivation as reflected in achievement
needs and willingness to accept responsibility).
Transformational Leadership In his examination
of the concept of transformational leadership, Bernard
Bass contrasts two types of leadership behavior: trans-
actional and transformational. 49 According to Bass,
transactional leaders determine what subordinates need
46 Robert
R. Blake and Jane S. Mouton, The Managerial Grid:
Leadership Styles for Achieving Production Through People
(Houston: Gulf, 1994).
47 Fred
E. Fiedler, A Theory of Leadership Effectiveness (New
York: McGraw-Hill, 1967).
4BPaul Hersey and Kenneth Blanchard, Management of
Organizational Behavior, 8th ed. (Paramus, NJ: Prentice Hall,
2007).
49 BernardM. Bass and Robert E. Riggio, Transformational
Leadership, 2nd ed. (Mahwah, NJ: Lawrence Erlbaum, 2006).
CHAPTER1 · Development of Administrative Theory
to do to achieve their own and the organization's goals,
classify those requirements, help subordinates become
confident that they can reach their goals by expend-
ing the necessary efforts, and reward them according
to their accomplishments. Transformational leaders, in
contrast, motivate their subordinates to do more than
they originally expected to do. They accomplish this in
three ways: by raising followers' levels of consciousness
about the importance and value of designated outcomes
and ways of reaching them; by getting followers to tran-
scend their own self-interest for the sake of the team,
organization, or larger polity; and by raising follow-
ers' need levels to the higher-order needs, such as self-
actualization, or by expanding their portfolio of needs.
Other Important Contributors The great diversity of
perspectives in the behavioral science school makes it
impossible to discuss all of its contributors here. Social
scientists like Victor Vroom, 50William Reddin, 51 and
Amitai Etzioni 52 did much to assist its development.
Warren Bennis, in his best-selling book on leadership,
identifies bureaucracy and other classical management
principles as the "unconscious conspiracy" that pre-
vents leaders from leading. 53
A key contribution of the contingency perspec-
tive may best be summarized in the observation that
there is no one best way to administer an organization.
There are no motivation strategies, organizational
structures, decision-making patterns, communication
techniques, change approaches, or leadership styles that
will fit all situations. Rather, school administrators must
find different ways that fit different situations.
Post-Behavioral Science Era
The behavioral science approach influenced the prepa-
ration and practice of school administrators for some
time, but it has lost much of its original appeal recently
with challenges to modernist views of organizations and
leadership. Building on the strengths and short comings
of the past, three powerful, interrelated concepts of
50
Victor Vroom and Arthur Jago, The New Leadership: Man-
aging Participation in Organizations (Englewood Cliffs1 NJ:
Prentice Hall, 1988).
William J. Reddin, Managerial Effectiveness (New York:
McGraw-Hill, 1970).
52Amitai
Etzioni, A Comparative Analysis of Complex Orga-
nizations, rev. ed. (New York: Free Press, 1975).
53
Warren G. Bennis, Why Leaders Can't Lead: The Unconscious
Conspiracy Continues (San Francisco: Jossey-Bass, 1990).
school improvement, democratic community, and social
justice emerge, which form the development of the next
-
era of the profession: the post-behavioral science era.54
This view is reinforced with increased emphasis on
emergent nontraditional perspectives (variously labeled
neo-Marxist, critical theory, and postmodernism).
School Improvement
Accountability for school improvement is a central
theme of state policies. The No Child Left Behind
(NCLB) Act of 2001 (Public Law 107-110) sets de-
manding accountability standards for schools, school
districts, and states, including new state testing require-
ments designed to improve education. For example, the
law requires that states develop both content standards
in reading and mathematics and tests that are linked
to the standards for grades 3 through 8, with science
standards and assessments to follow. States must iden-
tify adequate yearly progress (AYP) objectives and dis-
aggregate test results for all students and subgroups of
students based on socioeconomic status, race/ethnicity,
English language proficiency, and disability. Moreover,
the law mandates that 100 percent of students must
score at the proficient level on state tests by 2014. Fur-
thermore, the NCLB Act requires states to participate
every other year in the National Assessment of Educa-
tional Progress (NAEP) in reading and mathematics.
Will schools, school districts, and states be able to
respond to the demand? In an ideal system, school
improvement efforts focus educational policy, administra-
tion, and practices directly on teaching and learning. This
will require districtwide leadership focused directly on
learning. School leaders can accomplish this by (1) clarify-
ing purpose, (2) encouraging collective learning, (3) align-
ing with state standards, (4) providing support, and (5)
making data-driven decisions. Taken together, these five
dimensions provide a compelling framework for accom-
plishing sustained districtwide success for all children.55
Clarifying Purpose The school district and the admin-
istrators and teachers who work in it are accountable
54
Joseph Murphy, "Reculturing the Profession of Educational
Leadership: New Blueprints," Educational Administration
Quarterly, 38 (2002): 186.
55
Fred C. Lunenburg, "The Post-Behavioral Science Era:
Excellence, Community, and Justice," in F. C. Lunenburg and
Carolyn S. Carr (eds.), Shaping the Future: Policy, Partner-
ships, and Emerging Perspectives (Lanham, MD: Rowman &
Littlefield, 2003 pp. 31-55).
 PARTI . Fundamental Principles and Concepts
for student learning. This assertion has strong economic,
political, and social appeal; its logic is clear. What teach-
ers teach and students learn is a matter of public inspec-
tion and subject to direct measurement. 56Superintendents
need to develop a practical rationale for school improve-
ment. Clearly and jointly held purposes help give teachers
and administrators an increased sense of certainty, secu-
rity, coherence, and accountability.57Purposes cannot re-
main static for all time, however. They must be constantly
adapted to changing circumstances and the needs of the
system. Few really successful schools lack purpose. 58
Encouraging Collective Learning A key task for
school administrators is to create a collective expecta-
tion among teachers concerning the state's accountabil-
ity criteria. That is, administrators need to raise teachers'
collective sense about state standards. Then adminis-
trators must work to ensure that teacher expectations
are aligned with the state's accountability criteria. 59
Furthermore, administrators need to eliminate teacher iso-
lation, so that discussions about state standards become
a collective mission of the school and scqool district.
Aligning with State Standards Most states are
attempting to align their tests with their standards.
States need to consider three principles in this endeavor.60
First, tests not based on the standards are neither fair nor
helpful to parents or students. States that have developed
their own tests have done a good job of ensuring that the
content of the test can be found in the standards. That
is, children will not be tested on knowledge and skills
they have not been taught. However, the same is not true
when states use generic, off-the-shelf standardized tests.
Such tests cannot measure the breadth and depth of each
state's standards. Second, when the standards are rich and
rigorous, the tests must be as well. Tests must tap both
the breadth and depth of the content and skills in the
standards. Third, tests must become more challenging in
56Richard F. Elmore, School Reform from the Inside Out:
Policy, Practice, and Performance (Cambridge, MA: Harvard
Education Publishing Group, 2004).
57Roland Barth, Learning by Heart (New York: John Wiley,
2004).
58Fred C. Lunenburg and Beverly J. Irby, The Principalship:
Vision to Action (Belmont, CA: Wadsworth/ Thompson, 2006).
59Robert Marzano and Timothy Waters, District Leadership
That Works: Striking the Right Balance (Bloomington, IN:
Solution Tree, 2011).
60Elizabeth Spalding, An Introduction to Standard-Based
Reflective Practices for Middle and High School Teaching
(New York: Teachers College Press, 2010).
each successivegrade. The solid foundation of knowledge
and skills developed in the early grades should evolve into
more complex skills in the later grades.
Providing Support One of the biggest challenges in
advancing state standards and tests, and the account-
ability provisions tied to them, is providing teachers
with the training, teaching tools, and support they need
to help all students reach high standards. Specifically,
teachers need access to curriculum guides, textbooks,
or specific training connected to state standards. They
need access to lessons or teaching units that match
state standards. They need training on using state test
results to diagnose learning gaps. 61Teachers must know
how each student performed on every multiple-choice
item or other question on the state test. Schools need
to provide additional help to students who lag behind
in core subjects. This involves creating an environment
that supports school improvement efforts. 62
Making Data-Driven Decisions How can school
districts gauge their progress in achieving high state
standards? Three factors can increase a school district's
progress in meeting state standards. 63The primary fac-
tor is the availability of performance data connected to
each student, broken down by specific objectives and
target levels in the state standards. Then schools across
the district and across the state are able to connect what
is taught to what is learned.
The second factor is the public nature of the measure-
ment system. Assuming the school district has a system
of rating schools, the district should publish annually a
matrix of schools and honor those schools that have per-
formed at high levels. This provides an impetus for low-
performing schools to improve their performance. At the
school and classroom levels, it provides a blueprint of
those areas where teachers should focus their individual
education plans and where grade levels or schools should
focus the school's professional development plans.
The third factor is the specifically targeted assistance
provided to schools that are performing at low levels.
61Fred C. Lunenburg and Beverly J. Irby, High Expectations:
An Action Plan for Implementing Goals 2000 (Thousand
Oaks, CA: Corwin Press, 2000).
62Fred C. Lunenburg, "Improving Student Achievement:
Some Structural Incompatibilities," in G. Perreault and Fred C.
Lunenburg (eds.), The Changing World of School Administra-
tion (Lanham, MD: Rowman & Littlefield, 2002) pp. 5-27.
63Susan Sclafani, "Using an Aligned System to Make Real
Progress in Texas Students," Education and Urban Society,
33(2001): 305-312.
CHAPTERl · Development of Administrative Theory
EXEMPLARYEDUCATIONALADMINISTRATORS
IN ACTION
HENRYS.BANGSER. Ph.D.• Superintendent,New ·
TrierTownshipHigh School District,Winnetka/
Northfield,Illinois.
Words of Advice: As early in your careeras possible,
hopefully well before you become a superintendent,
develop a baseline philosophy and a set of principles
Each targeted school is paired with a team of principals,
curriculum specialists/instructional coaches, and re-
searchers to observe current practices, discuss student
performance data with the staff, and assist in the devel-
opment and implementation of an improvement plan.
In sum, the new framework for school improvement
that we have described here provides a powerful and
useful model for achieving school success. Sustained dis-
trict wide school improvement is not possible without a
strong connection across levels of organization (school,
school district, community, and state). Internal school
development is necessary from principals, teachers, and
parents, but school improvement cannot occur unless
each school is supported by a strong external infrastruc-
ture; stable political environments; and resources outside
the school, including leadership from the superintendent
and school board as well as leadership from the state.
Democratic Community
The concept of democratic community is not new.
Much of the current work is grounded in Dewey's ideas
promulgated more than 100 years ago. 64 For exam-
ple, at the turn of the twentieth century, John Dewey
argued that schools should embody the kind of com-
munity that combined the best aspects of classic liber-
alism and communitarianism or, in Dewey's words, of
"individualism and socialism" 65-a place that could
prepare people to live within and to maintain a healthy,
democratic society. However, Dewey's vision was rela-
tively uninfluential throughout much of the twentieth
century. A resurgence of interest in Dewey and his
concept of a democratic community as it relates to
schooling has emerged in education in recent years.66
64John Dewey, The School and Society (Chicago: University of
Chicago Press, 1900).
65Dewey, The School and Society, p. 7.
66See, for example, Patrick M. Jenlink (ed.), Dewey's
Democracy and Education Revisited: Contemporary Discourses
for Democratic Education and Leadership (Lanham, MD:
Rowman & Littlefield, 2009).
aroundwhichY<>U will buildyourIW\IUlgement -nd
leadership style.Theseare~~ whic;h
you willPot vaty.Jnmy Qpinion,tJiae mm embody
.respect forall ind.ividuals
withintheorganization:
studentto student,studentto adult,adultto student,
.?,Ddadultto adult. ·
At mid-twentieth century, James Coutant suggested
that the basic tenets of American democracy should be
taught in schools, along with language, history, econom-
ics, science, mathematics, and the arts. 67More recently,
Wood expanded this theme by suggesting that democratic
citizenship should be taught in schools. These include
traits such as commitment to community and a desire to
participate; values such as justice, liberty, and equality;
skills of interpretation, debate, and compromise; and hab-
its of study and reflection. 68 Others concur. Hargreaves
suggests that the cultivation of "openness, informality,
care, attentiveness, lateral working relationships, recip-
rocal collaboration, candid and vibrant dialogue, and
the willingness to face uncertainty together" 69 is a cen-
tral purpose of schooling, not merely the production of
employable workers.
Critiques concerning the meaning of democracy in
our time have proliferated over the last two decades.
And a number of publications have addressed the
various meanings of community. For example, com-
munity is described in multiple ways in the education
°
literature. 7 Community is referred to as "professional
67James B. Contant, Education and Liberty: The Role of the
Schools in a Modern Democracy (New York: Vintage Books,
1953).
68George H. Wood, Schools That Work: America's Most Inno-
vative Public Education Programs (New York: Dutton, 1992).
69Andy Hargreaves, "Rethinking Educational Change: Going
Deeper and Wider in the Quest for Success," in A. Hargreaves
(ed.), Rethinking Educational Change with Heart and Mind
(Alexandria, VA: Association for Supervision and Curriculum
Development, 1997), p. 22.
70Patricia E. Calderwood, Learning Community: Finding
Common Ground in Difference (New York: Teachers
College Press, 2000); Gail C. Furman, School as Community:
From Promise to Practice (Albany: State University of New
York Press, 2003); Karen F. Osterman, "Students' Need for
Belonging in the School Community," Review of Educational
Research, 70 (2001): 323-367; Carolyn M . Shields, "Thinking
about Community from a Student Perspective," in G. Furman
(ed.), School as Community: From Promise to Practice
(Albany: State University of New York Press, 2003).
 PARTI · Fundamental Principles and Concepts
community" among educators, "learning community"
among students, "school-community" addressing
school-community relations, and "community of dif-
ference" in multicultural settings.
Furman and Starratt advocate the definition of
community of difference as more compatible with
contemporary postmodernism. 71 Thinking about a
community of difference requires a reconceptualization
of the concept of community itself, moving away from
homogeneity toward a new center in which diverse
groups negotiate a commitment to the common good.
According to Shields, "a community of difference be-
gins, not with an assumption of shared norms, beliefs,
and values; but with the need for respect, dialogue,
and understanding." 72 Educational leaders who want
to move toward a community of difference will be in-
formed by research on race and ethnicity.
Similarly,democracy is subject to many interpretations
in education. Its most common meaning is usually tied to
the idea of the nation-state and the American version of
democracy. According to Mitchell, democratic commu-
nity cannot be limited to such a narrow view of democ-
racy in a world characterized by diversity, fragmentation,
and globalization. 73 National boundaries are permeated
by regional and global alliances. Children should be edu-
cated within an increasingly global context.
Democratic Community and Leadership Our
version of democratic community resembles more the
ideas promulgated by Gail Furman and Robert Starratt. 74
They extend the emerging wo"t!J on democratic community
through a deeper analysis of the linkages between demo-
cratic community and leadership in schools. And Furman
and Starratt's model places democratic community in a
context of postmodernism, characterized by inclusive-
ness, interdependence, and transnationalism. In their view
71 GailC. Furman and Robert J. Starratt, "Leadership for Dem-
ocratic Community in Schools," in J. Murphy (ed.), The Edu-
cational Leadership Challenge: Redefining Leadership for the
21st Century (Chicago: University of Chicago Press, 2002),
pp. 105-133.
72
Carolyn M. Shields, Linda J. Larocque, and Steven L. Oberg,
"A Dialogue about Race and Ethnicity in Education: Strug-
gling to Understand Issues in Cross-Cultural Leadership,"
Journal of School Leadership, 12 (2002): 132.
73Katheryne Mitchell, "Education for Democratic Citizenship:
Transnationalism, Multiculturalism, and the Limits of Liberal-
ism," Harvard Educational Review, 71 (2001): 51-78.
74 Furman
and Starratt, "Leadership for Democratic Community
in Schools."
and ours, professional community, learning community,
school-community, and community of difference, and
the American version of democracy, along with Dewey's
progressivism, laid much of the groundwork for the
concept of democratic community.
Some common themes are beginning to emerge re-
garding the concept of democratic community derived
from Dewey's progressivism and its more contempo-
rary, postmodern interpretations. Furman and Starratt
discuss the nature and character of democratic commu-
nity and how it might be enacted in schools. 75 The cen-
tral tenets of democratic schools include the following:
1. Democratic community is based on the open flow of
ideas that enables people to be as-fully informed as
possible.
2. Democratic community involves the use of critical
reflection and analysis to evaluate ideas, problems,
and policies.
3. Democratic community places responsibility on
individuals to participate in open inquiry, collective
choices, and actions in the interest of the common
good.
4. Democratic community involves acting for others
as well as with others in the interest of the common
good.
5. Democratic community is based on the acceptance
and celebration of difference, and focuses on the
integral linkages between the school, the surround-
ing community, and the larger global community.
6. Creating democratic community in schools involves
systematic attention to structure, process, and cur-
riculum and instruction.
Social Justice
A concern for social justice is at the core of democracy.
The United States prides itself on being a fair and just
democracy, a nation in which every citizen is to be
treated equally in social, economic, political, and educa-
tional arenas. According to its Constitution, the United
States seeks to establish "liberty and justice for all." In
spite of these goals, U.S. society is composed of many
inequities: rich and poor, educated and illiterate, pow-
erful and powerless. Now in the second decade of the
twenty-first century, educational leaders must continue
75
Furman and Starratt, "Leadership for Democratic Community
in Schools."
CHAPTER1 · Development of Administrative Theory
to question whether they have an obligation to create a than a fifth of white students) in special education are
nation whose words are supported by the experiences labeled with the more stigmatizing labels of "mentally
of its citizens. retarded" and "emotionally disturbed." Conversely,
The Fourteenth Amendment to the U.S. Constitution four-fifths of the white students (as compared with
addressed the question of equal opportunity, declaring two-thirds of the African American students) in special
that "no state shall deny to any person within its juris- education are much more likely to be labeled "learning
diction the equal protection of the laws." The mandate disabled" or "speech impaired." African American males
that people receive equal protection extends to equal are more than twice as likely as white males to be sus-
educational opportunity. While this fundamental affir- pended or expelled from school or to receive corporal
mation of equal opportunity has been part of Ameri- punishment. 77Jonathan Kozol, in Savage Inequalities,
can discourse since the inception of this nation and is described the inferior education received by minority
found in the Declaration of Independence and other students (particularly African Americans and Hispanic
documents, inequities in the major social, economic, Americans)-fewer resources, inequities in funding,
political, and educational institutions continue to exist inadequate facilities, tracking systems, low expectations,
in American society. segregated schools, and hostile learning environments.78
These related inequities, the persistent and dispropor-
Inequities in Schooling Among the social injus-
tionate academic underachievement of children of color
tices with which educational leaders need to be most
and their injurious treatment in our schools, are compel-
concerned. Although it has been a stated goal in the
ling evidence that the United States public education sys-
United States that all youngsters, regardless of family
tem remains systemically racist. 79This is not to suggest
background, should benefit from their education, many
that racism is consciously intended or even recognized by
students do not. Most schools do not teach all students
educators; it is institutional racism that is systemicallyem-
at the same academic level. The U.S. educational system
bedded in assumptions, policies and procedures, practices,
to this day is beset with inequities that exacerbate racial
and structures of schooling. Nevertheless, every day more
and class-based challenges. Differential levels of success
than 17 million African American, Hispanic American,
in school distributed along race and social-class lines con-
Native American, and Asian American children experience
tinues to be the most pernicious and prevailing dilemma
the effects of systemic racism in U.S. public schools.so
of schooling. Furthermore, there is considerable empiri-
cal evidence that children of color experience negative
Excellence and Equity Educational leadership for
and inequitable treatment in typical public schools. 76
social justice is founded on the belief that schooling
Many children of color find themselves marginal-
must be democratic, and an understanding that school-
ized in toxic schools that offer inferior education. These
ing is not democratic "unless its practices are excellent
schools affect the opportunities and experiences of stu-
and equitable." Educational equity is a precondition for
dents of color in several immediate ways: They tend
excellence. Gordon linked social justice to excellence
to have limited resources; textbooks and curricula are
and equity by arguing:
outdated; and computers are few and obsolete. Many
of the teachers do not have credentials in the subjects The failure to achieve universally effective education in our
they teach. Tracking systems block minority students' society is known to be a correlate of our failure to achieve
access to the more rigorous and challenging classes, social justice. By almost any measure, there continue to
which retain these students in non-college-bound des- be serious differences between the level and quality of
tinations. These schools generally offer few (if any)
Advanced Placement courses, which are critical for
77
entry into many of the more competitive colleges. Carola Suarez-Orozco and Marcelo M. Suarez-Orozco,
Furthermore, African American students are over- Learning a New Land: Immigrant Students in American
Society (Cambridge, MA: Harvard University Press, 2010).
represented in special education programs, compared
78
Jonathan Kozol, Savage Inequalities: Children in America's
with the overall student population. More than a third
Schools (New York: Crown, 1991).
of African American students (as compared with fewer
79
Skrla, McKenzie, and Scheurich, Using Equity Audits to
Create Equitable and Excellent Schools.
76
Linda Skrla, Kathryn Bell McKenzie, and James J. Scheurich, 80
Linda Skrla, and James J. Scheurich, Educational Equity and
Using Equity Audits to Create Equitable and Excellent Schools Accountability: Paradigms, Policies, and Politics (Clifton, NJ:
(Thousand Oaks, CA: Sage, 2010). Taylor & Francis, 2004).
 PARTI · Fundamental
educational achievement for children coming from rich or
from poor families, and from ethnic-majority or from some
ethnic-minority group families. Low status ethnic-minority
groups continue to be overrepresented in the low achieve-
ment groups in our schools and are correspondingly under-
represented in high academic achievement groups. 81
We must achieve equal educational results for all chil-
dren. Failure to do so will hamper specific groups from
attaining the fundamental, primary goods and services
distributed by society-rights, liberties, self-respect,
power, opportunities, income, and wealth. Education
is a social institution, controlling access to important
opportunities and resources.
Emergent Nontraditional Perspectives
Positivism was the dominant orthodoxy in educational
administration until the late 1970s. Positivism is a view
of knowledge as objective, absolutely true, and indepen-
dent of other conditions such as time, circumstances,
societies, cultures, communities, and geography. 82
Another tradition of positivism is empiricism, which
maintains that knowledge of the world can only be
acquired through the senses and through experience. This
view of science came to be known as logical empiricism
or logical positivism. 83 From these philosophies there
developed positivism-the view that any investigation
in the natural or social sciences must be derived from
empiricist postulates in order to be considered academi-
cally acceptable. Simply stated, positivism is a world-
view that all knowledge of the world comes to us from
sense experience and observation.
The positivist approach to research consists of sev-
eral functions: (a) the observation and description of
perceptual data coming to us from the world through
our senses, (b) the development of theories inferred
from such observations and descriptions of perceptual
data, (c) the testing of hypotheses derived from theories,
and (d) the verification of hypotheses that are then used
to verify the theories derived from the observation and
description of perceptual data. 84 The approach evolved
from an empiricist model of science that involves obser-
vation and description, theory building, and hypothesis
81£dmund W. Gordon, Education and Justice: A View from
the Back of the Bus (New York: Teachers College Press, 1999),
p . XII.
82Auguste Comte, A General View of Positivism (New York:
Cambridge University Press, 2011).
83William A. deVries, Empiricism, Perceptual Knowledge, Nor-
mality, and Realism (New York: Oxford University Press, 2011 ).
84Gall , Gall, & Borg, Educational Research.
Principles and Concepts CHAPTERl · Development of Administrative Theory
testing and verification. Quantitative methods using
large samples with the objective of statistical inferences Table 1-2 Overview of the Four Major Developments in Administrative Thought
was the predominant tool used. The positivist approach Management
to the generation of knowledge dominated research in Period Elements Procedures Contributorsand Basic Concepts
educational administration until the late 1970s. 85
Classical Leadership Top to bottom Tim&0nd-motion study. functional supervisor.
At that time, objections began to surface regard-
organizational Organization Machine piece ra1e (Taylor); five basic functions, fourteen
ing the dominant {positivist) orthodoxy. Alternative theory Production Individual principles of management (Fayol); POSOCoRB
paradigms began to appear and continued to be refined Process Anticipated (Gulick); ideal bureaucracy (Weber)
through the 1980s. These emerging nontraditional per- consequences
Authority Rules; coercive
spectives came under the general heading of subjectivist Administrotion Leaderseparate
and interpretivist approaches. Subjectivist and interpe - Reward Economic
tivist views refer to perspectives that look inward to Structure Formal
the mind rather than outward to experience and that Human Leadership All directions Hawthorne studies (Mayo. Roethlisberger, and
connect to philosophical idealism and, more recently, to relations Organization Organism Dickson); intellectual undercurrents : group
phenomenology and existentialism. 86 Subjectivist and approach Production Group dynamics leadership studies (Lewin. Lippitt, and
Process Unanticipated White); client-centered therapy (Rogers);
interpretivist perspectives are illustrated by the early Authority consequences sociometric technique (Moreno); human relations
work of scholars such as T.B. Greenfield in Canada; by Administration Group norms in the restaurant industry (Whyte);
the work of neo-Marxist and critical theorists such as Reward Participative small groups (Homans)
Richard Bates and others; and by the early work of post- Structure Social and
psychological
modernists such as Jacques Derrida, Michel Foucault, Informal
and Francois Lyotard. 87 The scholars in this tradition
Behavioral Consideration Cooperative systems (Barnard); fusion process (Bakke); optimal actualization-
have attempted to expand the traditional knowledge science of all major organization and indMdual (Argyris); social systems theory-nomothetic
domains that define educational administration. approach elements with and idiographic _(Getzels ~nd Guba); need hierarchy (Maslow); Theory X and y
These alternative nontraditional perspectives have heavy emphasis (~regor); hygiene-motivation (Herzberg); Systems 1-4 (Ukert); open-closed
spawned scholarship on ethics and values by researchers on contingency climates (Halpin and Croft); managerial grid (Blake and Mouton); contingency
leadership. culture, theory (Fiedler); situational leadership (Herse','and Blanchard); expeciancy theory
such as Christopher Hodgkinson, Jackie Stefkovich, Joan transformational (Vroom); 3-0 leadership (Reddin); compliance theory (Etzioni): structure of
Shapiro, Lynn Beck, and Jerry Starratt; gender, race/eth- leadership, and organizations (Min1zberg); leadership-unconscious conspiracy (Bennis)
nicity, and class by such scholars as Carol Gilligan, Sonia systems theory
Nieto, Lisa Delpit, Charo! Shakeshaft, Margaret Grogan, Post-behavioral lntenelated School impr_ovement.democratic community. and social justice (Murphy);
Cryss Brunner, Marilyn Tallerico, Beverly Irby, Genevieve science approach concepts of school transformational leadership (Bass); learning organization (Senge);
improvement. reframing organizations (Bolman and Deal);TQM (Deming); synergistic
Brown, Linda Skrla, Flora Ida Ortiz, Catherine Marshall, democratic leadership theory (Irby. Brown. Duffy. and Trautman); values and ethics
Kofi Lomotey, Barbara Jackson, Diana Pounder, Norma community. and (Hodgkinson. Stefkovich, Shapiro. Beck. and stonatt); gender. race/
Mertz, Cynthia Dillard, and Gretchen Rossman; and social justice with ethnicity. and class (Gilligan . Nieto, Delpit, Shakeshaft, Grogan, Brunner.
heavy emphasis Tallerico, Irby. Brown. Skrla. Ortiz. Marshall, Lomotey. Jackson, Pounder.
critical theory and postmodernism by analysts such as on leadership; Mertz. Dillard. Rossman); critical theory and postmoctemism
T.B. Greenfield, Henry Giroux, Richard Bates, Peter and emergent (T. B.Greenfield. Derrida. Foucault. Lyotard. Giroux. Bates. Mclaren ,
McLaren, William Foster,Fenwick English,Colleen Capper, nontraditional Foster.English. Capper, Maxcy, Scheurich. Dantley, West.Young, Larson,
Spencer Maxcy, James Scheurich, Michael Dantley, Corne! perspectives Furman. Anderson, Sh.ields. Lather, Freire)
West, Michelle Young, Colleen Larson, Gary Anderson,
Carolyn Shields,Patti Lather, and Paulo Freire.
The subjectivist perspectives led to the increased pop- educational processes within local situations. Societies; including the study of administrative processes and
cultures; communities; unique circumstances; gender, managerial functions. The human relations "social"
ularity of qualitative research methods under various
labels: qualitative methods, ethnography, participant race, and class; and geogr,1.physerve as important ana- model was spurred by some early seminal social science
lytical categories in such inquiry. There seems to be an research, including experimentation and analysis of the
observation, case studies, fieldwork, and naturalistic
inquiry. These approaches are attempts to understand increasing interest in bringing together positivist and social and psychological aspects of people in the work-
interpretive paradigms that may prove valuable to both place and the study of group behavior. The behavioral
the researcher and the practitioner. 88 science approach was an attempt to reconcile the ba-
In sum, the classical "rational" model evolved around sic incongruency between the rational-economic model
85Lunenburg, "The Post-Behavioral Science Era."
the ideas of scientific and administrative management, and the social model. The more recent post-behavioral
86Jon Stewart, Idealism and Existentialism: Hegel and
science era includes the interrelated concepts of school
Nineteenth- and Twentieth-Century Philosophy (London:
improvement, democratic community, and social jus-
Continuum International Publishing Group, Ltd., 2011).
88Fred C. Lunenburg and Beverly J. Irby, Writing a Successful tice, as well as emergent nontraditional perspectives
87Christopher Butler, Postmodernism (New York: Sterling,
Thesis or Dissertation : Tips and Strategies for Students in the (variously labeled neo-Marxist, critical theory, and
2011); Lynn Fendler, Mi chel Foucault (London: Continuum
International Publishing Group , Ltd., 2011).
Social and Behavioral Sciences (Thousand Oaks, CA: Corwin postmodernism). Table 1-2 provides an overview of the
Press, 2008). four major developments in administrative thought.
 PARTI · Fundamental Principles and Concepts
As shown in Table 1-2, differences in leadership,
organization, production, process, power, administra-
tion, reward, and structure are important distinguishing
characteristics of the four approaches. We can see how
organization and administrative theory have evolved
from a concern for efficiency and the basic principles
of management to an emphasis on human and psycho-
logical factors, to social systems and contingency the-
ory, and finally, to a concern for school improvement,
democratic community, social justice, and postmodern-
ism. While we have not included all people who have
made contributions in the evolution of administra-
tive thought, we have highlighted major contributors
and basic concepts and primary eras in the evolution.
Furthermore, no attempt is made to date the eras pre-
cisely. In fact, if we view the sequence of developments
in organizational and administrative theory, we notice
a correlational rather than a compensatory tendency.
Traces of the past coexist with modern approaches
to administration. For example, while the classical
"rational" model has been modified somewhat since
its emergence during the 1909s, views of the school
as a rational-technical system remain firmly embed-
ded in the minds of policymakers and pervade most
educational reforms proposed since the publication
of A Nation at Risk in 1983 89 and the many reports
that followed. Indeed, this view of schooling is in
place today with current accountability policy to as-
sess student, teacher, and school performance. Implicit
in NCLB 90 is the concomitant expectation that school
administrators and teachers will adjust instructional
strategies to yield more effective learning outcomes
for all children.
Schools as Open Systems
All schools are open systems, although the degree
of interaction with the external environment may vary.
According to open systems theory, schools constantly
interact with their external environment. In fact, they
need to structure themselves to deal with forces in the
world around them. 91In contrast, closed systems the-
ory views schools as sufficiently independent to solve
89.National Commission on Excellence in Education, A Nation at
Risk (Washington, DC: U.S. Government Printing Office, 1983).
90No Child Left Behind Act of 2001 (www.ed.gov/nclb/landing.
jhtml?src=pb).
91 Richard W. Scott, Organizations and Organizing: Rational,
Natural and Open Systems Perspectives (Upper Saddle River,
NJ: Prentice Hall, 2007).
most of their problems through their internal forces,
without taking into account forces in the external
environment. NCLB is a good example of open systems
theory and the impact it has had on schools. Since
the federal law was passed, states began to focus their
policy on standards, accountability, and the improve-
ment of student achievement. Statewide assessment
systems were implemented nationwide. Thus was born
an era of high-stakes testing complete with rewards
and sanctions for low-performing schools. NCLB has
impacted local school districts in every state.
A system can be defined as an interrelated set of ele-
ments functioning as an operating unit. 92 As depicted
in Figure 1-1, an open system consists of five basic
elements: inputs, transformation process, outputs, feed-
back, and the environment.9 3
Inputs
Systems such as schools receive four kinds of inputs
from the environment: human, financial, physical,
and information resources. Human resources include
personnel. Financial resources are the capital used by
the school/school. district to finance both ongoing and
long-term operations. Physical resources include sup-
plies, materials, facilities, and equipment. Information
resources are knowledge, curricula, data, and other
kinds of information utilized by the school/school
district.
Transformation Process
The school administrator's job involves combining
and coordinating these various resources to attain the
school's/school district's goals, i.e., learning for all.
Ideally, students are transformed by the school system
into educated graduates, who then contribute to the
environment. How do school administrators achieve
this? Work of some kind is done in the system to pro-
duce output. The system adds value added to the work
in process. 94This transformation process includes the
internal operation of the school/school district and its
system of operational management. Some components
M. Senge, The Fifth Discipline: The Art & Practice of
92 Peter
the Learning Organization (New York: Currency/Doubleday,
2006).
93Scott, Organizations and Organizing.
94 Peter Shaw, The Four Vs of Leadership: Vision, Values, Value
Added, Vitality (New York: John Wiley and Sons, 2006).
CHAPTER1 · Development of Administrative Theory
Environment
Organization
Transformation
Inputs
Process
;;. Outputs
1
r
(Feedback)
I
:
L------------------------------------------~
Environment
FIGURE1-1
Open Systems Model
of the system of operational management include the inputs or both, which in turn will have an effect on the
technical competence of school administrators and school's future outputs.
other personnel, including their decision making and
communication skills, their plans of operation, and
Environment
their ability to cope with change. Activities performed
by school administrators and other personnel within The environment surrounding the school/school district
the organization's structure will affect the school includes the social, political, and economic forces that
district's outputs. impinge on the organization. The environment in the
open systems model takes on added significance today
in a climate of policy accountability. The social, political,
Outputs and economic contexts in which school administrators
work are marked by pressures at the local, state, and
The school administrator's job is to secure and use
federal levels. Thus, school administrators today find it
inputs from the environment, transform them-while
necessary to manage and develop "internal" operations
considering external variables-to produce outputs.
while concurrently monitoring the environment and an-
In school organizations, outputs are the attainment of
ticipating and responding to "external" demands.
the goals or objectives of the school district and are
Since the enactment of the NCLB, education has
represented by the products, results, outcomes, or ac-
been near the top of the national political agenda. The
complishments of the system. Although the kinds of
federal law nationalized the discussion concerning the
outputs will vary with a specific school, they usually
well-being of public schooling in America. At the time
include one or more of the following: student achieve-
the report was released and subsequently, there has
ment, teacher performance, growth levels of students
been concern with an achievement gap in America 95
and teachers, student dropout rates, employee turn-
and our academic competitiveness with other nations,
over, student and employee absenteeism, employee-
management relations, school-community relations,
95Linda Darling-Hammond, The Flat World and Education:
student attitudes toward school, and employee job
How America's Commitment to Equity Will Determine Our
satisfaction.
Future. New York: Teachers College Press, 2010); Richard
Dufour, Rebecca Dufour, Robert Eaker, and Gayle Karhanek,
Raising the Bar and Closing the Gap: Whatever It Takes
Feedback
(Bloomington, IN: Solution Tree, 2010; Terrence G. Howard,
Why Race and Culture Matter in Schools: Closing the Achieve-
These outputs provide feedback data to the system.
ment Gap in America's Classrooms (New York: Teachers
Feedback is crucial to the success of the school opera- College Press, 2011); Rod Paige, The Black-White Achieve-
tion. Negative feedback, for example, can be used to ment Gap: Why Closing It is the Greatest Civil Rights Issue of
correct deficiencies in the transformation process or the Our Time (New York: Amacom, 2011).
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 DANCE ON STILTS AT THE GIRLS’ UNYAGO, NIUCHI

Newala, too, suffers from the distance of its water-supply—at least

the Newala of to-day does; there was once another Newala in a lovely
valley at the foot of the plateau. I visited it and found scarcely a trace
of houses, only a Christian cemetery, with the graves of several
missionaries and their converts, remaining as a monument of its
former glories. But the surroundings are wonderfully beautiful. A
thick grove of splendid mango-trees closes in the weather-worn
crosses and headstones; behind them, combining the useful and the
agreeable, is a whole plantation of lemon-trees covered with ripe
fruit; not the small African kind, but a much larger and also juicier
imported variety, which drops into the hands of the passing traveller,
without calling for any exertion on his part. Old Newala is now under
the jurisdiction of the native pastor, Daudi, at Chingulungulu, who,
as I am on very friendly terms with him, allows me, as a matter of
course, the use of this lemon-grove during my stay at Newala.
 FEET MUTILATED BY THE RAVAGES OF THE “JIGGER”
(Sarcopsylla penetrans)

The water-supply of New Newala is in the bottom of the valley,

some 1,600 feet lower down. The way is not only long and fatiguing,
but the water, when we get it, is thoroughly bad. We are suffering not
only from this, but from the fact that the arrangements at Newala are
nothing short of luxurious. We have a separate kitchen—a hut built
against the boma palisade on the right of the baraza, the interior of
which is not visible from our usual position. Our two cooks were not
long in finding this out, and they consequently do—or rather neglect
to do—what they please. In any case they do not seem to be very
particular about the boiling of our drinking-water—at least I can
attribute to no other cause certain attacks of a dysenteric nature,
from which both Knudsen and I have suffered for some time. If a
man like Omari has to be left unwatched for a moment, he is capable
of anything. Besides this complaint, we are inconvenienced by the
state of our nails, which have become as hard as glass, and crack on
the slightest provocation, and I have the additional infliction of
pimples all over me. As if all this were not enough, we have also, for
the last week been waging war against the jigger, who has found his
Eldorado in the hot sand of the Makonde plateau. Our men are seen
all day long—whenever their chronic colds and the dysentery likewise
raging among them permit—occupied in removing this scourge of
Africa from their feet and trying to prevent the disastrous
consequences of its presence. It is quite common to see natives of
this place with one or two toes missing; many have lost all their toes,
or even the whole front part of the foot, so that a well-formed leg
ends in a shapeless stump. These ravages are caused by the female of
Sarcopsylla penetrans, which bores its way under the skin and there
develops an egg-sac the size of a pea. In all books on the subject, it is
stated that one’s attention is called to the presence of this parasite by
an intolerable itching. This agrees very well with my experience, so
far as the softer parts of the sole, the spaces between and under the
toes, and the side of the foot are concerned, but if the creature
penetrates through the harder parts of the heel or ball of the foot, it
may escape even the most careful search till it has reached maturity.
Then there is no time to be lost, if the horrible ulceration, of which
we see cases by the dozen every day, is to be prevented. It is much
easier, by the way, to discover the insect on the white skin of a
European than on that of a native, on which the dark speck scarcely
shows. The four or five jiggers which, in spite of the fact that I
constantly wore high laced boots, chose my feet to settle in, were
taken out for me by the all-accomplished Knudsen, after which I
thought it advisable to wash out the cavities with corrosive
sublimate. The natives have a different sort of disinfectant—they fill
the hole with scraped roots. In a tiny Makua village on the slope of
the plateau south of Newala, we saw an old woman who had filled all
the spaces under her toe-nails with powdered roots by way of
prophylactic treatment. What will be the result, if any, who can say?
The rest of the many trifling ills which trouble our existence are
really more comic than serious. In the absence of anything else to
smoke, Knudsen and I at last opened a box of cigars procured from
the Indian store-keeper at Lindi, and tried them, with the most
distressing results. Whether they contain opium or some other
narcotic, neither of us can say, but after the tenth puff we were both
“off,” three-quarters stupefied and unspeakably wretched. Slowly we
recovered—and what happened next? Half-an-hour later we were
once more smoking these poisonous concoctions—so insatiable is the
craving for tobacco in the tropics.
Even my present attacks of fever scarcely deserve to be taken
seriously. I have had no less than three here at Newala, all of which
have run their course in an incredibly short time. In the early
afternoon, I am busy with my old natives, asking questions and
making notes. The strong midday coffee has stimulated my spirits to
an extraordinary degree, the brain is active and vigorous, and work
progresses rapidly, while a pleasant warmth pervades the whole
body. Suddenly this gives place to a violent chill, forcing me to put on
my overcoat, though it is only half-past three and the afternoon sun
is at its hottest. Now the brain no longer works with such acuteness
and logical precision; more especially does it fail me in trying to
establish the syntax of the difficult Makua language on which I have
ventured, as if I had not enough to do without it. Under the
circumstances it seems advisable to take my temperature, and I do
so, to save trouble, without leaving my seat, and while going on with
my work. On examination, I find it to be 101·48°. My tutors are
abruptly dismissed and my bed set up in the baraza; a few minutes
later I am in it and treating myself internally with hot water and
lemon-juice.
Three hours later, the thermometer marks nearly 104°, and I make
them carry me back into the tent, bed and all, as I am now perspiring
heavily, and exposure to the cold wind just beginning to blow might
mean a fatal chill. I lie still for a little while, and then find, to my
great relief, that the temperature is not rising, but rather falling. This
is about 7.30 p.m. At 8 p.m. I find, to my unbounded astonishment,
that it has fallen below 98·6°, and I feel perfectly well. I read for an
hour or two, and could very well enjoy a smoke, if I had the
wherewithal—Indian cigars being out of the question.
Having no medical training, I am at a loss to account for this state
of things. It is impossible that these transitory attacks of high fever
should be malarial; it seems more probable that they are due to a
kind of sunstroke. On consulting my note-book, I become more and
more inclined to think this is the case, for these attacks regularly
follow extreme fatigue and long exposure to strong sunshine. They at
least have the advantage of being only short interruptions to my
work, as on the following morning I am always quite fresh and fit.
My treasure of a cook is suffering from an enormous hydrocele which
makes it difficult for him to get up, and Moritz is obliged to keep in
the dark on account of his inflamed eyes. Knudsen’s cook, a raw boy
from somewhere in the bush, knows still less of cooking than Omari;
consequently Nils Knudsen himself has been promoted to the vacant
post. Finding that we had come to the end of our supplies, he began
by sending to Chingulungulu for the four sucking-pigs which we had
bought from Matola and temporarily left in his charge; and when
they came up, neatly packed in a large crate, he callously slaughtered
the biggest of them. The first joint we were thoughtless enough to
entrust for roasting to Knudsen’s mshenzi cook, and it was
consequently uneatable; but we made the rest of the animal into a
jelly which we ate with great relish after weeks of underfeeding,
consuming incredible helpings of it at both midday and evening
meals. The only drawback is a certain want of variety in the tinned
vegetables. Dr. Jäger, to whom the Geographical Commission
entrusted the provisioning of the expeditions—mine as well as his
own—because he had more time on his hands than the rest of us,
seems to have laid in a huge stock of Teltow turnips,[46] an article of
food which is all very well for occasional use, but which quickly palls
when set before one every day; and we seem to have no other tins
left. There is no help for it—we must put up with the turnips; but I
am certain that, once I am home again, I shall not touch them for ten
years to come.
Amid all these minor evils, which, after all, go to make up the
genuine flavour of Africa, there is at least one cheering touch:
Knudsen has, with the dexterity of a skilled mechanic, repaired my 9
× 12 cm. camera, at least so far that I can use it with a little care.
How, in the absence of finger-nails, he was able to accomplish such a
ticklish piece of work, having no tool but a clumsy screw-driver for
taking to pieces and putting together again the complicated
mechanism of the instantaneous shutter, is still a mystery to me; but
he did it successfully. The loss of his finger-nails shows him in a light
contrasting curiously enough with the intelligence evinced by the
above operation; though, after all, it is scarcely surprising after his
ten years’ residence in the bush. One day, at Lindi, he had occasion
to wash a dog, which must have been in need of very thorough
cleansing, for the bottle handed to our friend for the purpose had an
extremely strong smell. Having performed his task in the most
conscientious manner, he perceived with some surprise that the dog
did not appear much the better for it, and was further surprised by
finding his own nails ulcerating away in the course of the next few
days. “How was I to know that carbolic acid has to be diluted?” he
mutters indignantly, from time to time, with a troubled gaze at his
mutilated finger-tips.
 Since we came to Newala we have been making excursions in all
directions through the surrounding country, in accordance with old
habit, and also because the akida Sefu did not get together the tribal
elders from whom I wanted information so speedily as he had
promised. There is, however, no harm done, as, even if seen only
from the outside, the country and people are interesting enough.
The Makonde plateau is like a large rectangular table rounded off
at the corners. Measured from the Indian Ocean to Newala, it is
about seventy-five miles long, and between the Rovuma and the
Lukuledi it averages fifty miles in breadth, so that its superficial area
is about two-thirds of that of the kingdom of Saxony. The surface,
however, is not level, but uniformly inclined from its south-western
edge to the ocean. From the upper edge, on which Newala lies, the
eye ranges for many miles east and north-east, without encountering
any obstacle, over the Makonde bush. It is a green sea, from which
here and there thick clouds of smoke rise, to show that it, too, is
inhabited by men who carry on their tillage like so many other
primitive peoples, by cutting down and burning the bush, and
manuring with the ashes. Even in the radiant light of a tropical day
such a fire is a grand sight.
Much less effective is the impression produced just now by the
great western plain as seen from the edge of the plateau. As often as
time permits, I stroll along this edge, sometimes in one direction,
sometimes in another, in the hope of finding the air clear enough to
let me enjoy the view; but I have always been disappointed.
Wherever one looks, clouds of smoke rise from the burning bush,
and the air is full of smoke and vapour. It is a pity, for under more
favourable circumstances the panorama of the whole country up to
the distant Majeje hills must be truly magnificent. It is of little use
taking photographs now, and an outline sketch gives a very poor idea
of the scenery. In one of these excursions I went out of my way to
make a personal attempt on the Makonde bush. The present edge of
the plateau is the result of a far-reaching process of destruction
through erosion and denudation. The Makonde strata are
everywhere cut into by ravines, which, though short, are hundreds of
yards in depth. In consequence of the loose stratification of these
beds, not only are the walls of these ravines nearly vertical, but their
upper end is closed by an equally steep escarpment, so that the
western edge of the Makonde plateau is hemmed in by a series of
deep, basin-like valleys. In order to get from one side of such a ravine
to the other, I cut my way through the bush with a dozen of my men.
It was a very open part, with more grass than scrub, but even so the
short stretch of less than two hundred yards was very hard work; at
the end of it the men’s calicoes were in rags and they themselves
bleeding from hundreds of scratches, while even our strong khaki
suits had not escaped scatheless.

NATIVE PATH THROUGH THE MAKONDE BUSH, NEAR

MAHUTA

I see increasing reason to believe that the view formed some time
back as to the origin of the Makonde bush is the correct one. I have
no doubt that it is not a natural product, but the result of human
occupation. Those parts of the high country where man—as a very
slight amount of practice enables the eye to perceive at once—has not
yet penetrated with axe and hoe, are still occupied by a splendid
timber forest quite able to sustain a comparison with our mixed
forests in Germany. But wherever man has once built his hut or tilled
his field, this horrible bush springs up. Every phase of this process
may be seen in the course of a couple of hours’ walk along the main
road. From the bush to right or left, one hears the sound of the axe—
not from one spot only, but from several directions at once. A few
steps further on, we can see what is taking place. The brush has been
cut down and piled up in heaps to the height of a yard or more,
between which the trunks of the large trees stand up like the last
pillars of a magnificent ruined building. These, too, present a
melancholy spectacle: the destructive Makonde have ringed them—
cut a broad strip of bark all round to ensure their dying off—and also
piled up pyramids of brush round them. Father and son, mother and
son-in-law, are chopping away perseveringly in the background—too
busy, almost, to look round at the white stranger, who usually excites
so much interest. If you pass by the same place a week later, the piles
of brushwood have disappeared and a thick layer of ashes has taken
the place of the green forest. The large trees stretch their
smouldering trunks and branches in dumb accusation to heaven—if
they have not already fallen and been more or less reduced to ashes,
perhaps only showing as a white stripe on the dark ground.
This work of destruction is carried out by the Makonde alike on the
virgin forest and on the bush which has sprung up on sites already
cultivated and deserted. In the second case they are saved the trouble
of burning the large trees, these being entirely absent in the
secondary bush.
After burning this piece of forest ground and loosening it with the
hoe, the native sows his corn and plants his vegetables. All over the
country, he goes in for bed-culture, which requires, and, in fact,
receives, the most careful attention. Weeds are nowhere tolerated in
the south of German East Africa. The crops may fail on the plains,
where droughts are frequent, but never on the plateau with its
abundant rains and heavy dews. Its fortunate inhabitants even have
the satisfaction of seeing the proud Wayao and Wamakua working
for them as labourers, driven by hunger to serve where they were
accustomed to rule.
But the light, sandy soil is soon exhausted, and would yield no
harvest the second year if cultivated twice running. This fact has
been familiar to the native for ages; consequently he provides in
time, and, while his crop is growing, prepares the next plot with axe
and firebrand. Next year he plants this with his various crops and
lets the first piece lie fallow. For a short time it remains waste and
desolate; then nature steps in to repair the destruction wrought by
man; a thousand new growths spring out of the exhausted soil, and
even the old stumps put forth fresh shoots. Next year the new growth
is up to one’s knees, and in a few years more it is that terrible,
impenetrable bush, which maintains its position till the black
occupier of the land has made the round of all the available sites and
come back to his starting point.
The Makonde are, body and soul, so to speak, one with this bush.
According to my Yao informants, indeed, their name means nothing
else but “bush people.” Their own tradition says that they have been
settled up here for a very long time, but to my surprise they laid great
stress on an original immigration. Their old homes were in the
south-east, near Mikindani and the mouth of the Rovuma, whence
their peaceful forefathers were driven by the continual raids of the
Sakalavas from Madagascar and the warlike Shirazis[47] of the coast,
to take refuge on the almost inaccessible plateau. I have studied
African ethnology for twenty years, but the fact that changes of
population in this apparently quiet and peaceable corner of the earth
could have been occasioned by outside enterprises taking place on
the high seas, was completely new to me. It is, no doubt, however,
correct.
The charming tribal legend of the Makonde—besides informing us
of other interesting matters—explains why they have to live in the
thickest of the bush and a long way from the edge of the plateau,
instead of making their permanent homes beside the purling brooks
and springs of the low country.
“The place where the tribe originated is Mahuta, on the southern
side of the plateau towards the Rovuma, where of old time there was
nothing but thick bush. Out of this bush came a man who never
washed himself or shaved his head, and who ate and drank but little.
He went out and made a human figure from the wood of a tree
growing in the open country, which he took home to his abode in the
bush and there set it upright. In the night this image came to life and
was a woman. The man and woman went down together to the
Rovuma to wash themselves. Here the woman gave birth to a still-
born child. They left that place and passed over the high land into the
valley of the Mbemkuru, where the woman had another child, which
was also born dead. Then they returned to the high bush country of
Mahuta, where the third child was born, which lived and grew up. In
course of time, the couple had many more children, and called
themselves Wamatanda. These were the ancestral stock of the
Makonde, also called Wamakonde,[48] i.e., aborigines. Their
forefather, the man from the bush, gave his children the command to
bury their dead upright, in memory of the mother of their race who
was cut out of wood and awoke to life when standing upright. He also
warned them against settling in the valleys and near large streams,
for sickness and death dwelt there. They were to make it a rule to
have their huts at least an hour’s walk from the nearest watering-
place; then their children would thrive and escape illness.”
The explanation of the name Makonde given by my informants is
somewhat different from that contained in the above legend, which I
extract from a little book (small, but packed with information), by
Pater Adams, entitled Lindi und sein Hinterland. Otherwise, my
results agree exactly with the statements of the legend. Washing?
Hapana—there is no such thing. Why should they do so? As it is, the
supply of water scarcely suffices for cooking and drinking; other
people do not wash, so why should the Makonde distinguish himself
by such needless eccentricity? As for shaving the head, the short,
woolly crop scarcely needs it,[49] so the second ancestral precept is
likewise easy enough to follow. Beyond this, however, there is
nothing ridiculous in the ancestor’s advice. I have obtained from
various local artists a fairly large number of figures carved in wood,
ranging from fifteen to twenty-three inches in height, and
representing women belonging to the great group of the Mavia,
Makonde, and Matambwe tribes. The carving is remarkably well
done and renders the female type with great accuracy, especially the
keloid ornamentation, to be described later on. As to the object and
meaning of their works the sculptors either could or (more probably)
would tell me nothing, and I was forced to content myself with the
scanty information vouchsafed by one man, who said that the figures
were merely intended to represent the nembo—the artificial
deformations of pelele, ear-discs, and keloids. The legend recorded
by Pater Adams places these figures in a new light. They must surely
be more than mere dolls; and we may even venture to assume that
they are—though the majority of present-day Makonde are probably
unaware of the fact—representations of the tribal ancestress.
 The references in the legend to the descent from Mahuta to the
Rovuma, and to a journey across the highlands into the Mbekuru
valley, undoubtedly indicate the previous history of the tribe, the
travels of the ancestral pair typifying the migrations of their
descendants. The descent to the neighbouring Rovuma valley, with
its extraordinary fertility and great abundance of game, is intelligible
at a glance—but the crossing of the Lukuledi depression, the ascent
to the Rondo Plateau and the descent to the Mbemkuru, also lie
within the bounds of probability, for all these districts have exactly
the same character as the extreme south. Now, however, comes a
point of especial interest for our bacteriological age. The primitive
Makonde did not enjoy their lives in the marshy river-valleys.
Disease raged among them, and many died. It was only after they
had returned to their original home near Mahuta, that the health
conditions of these people improved. We are very apt to think of the
African as a stupid person whose ignorance of nature is only equalled
by his fear of it, and who looks on all mishaps as caused by evil
spirits and malignant natural powers. It is much more correct to
assume in this case that the people very early learnt to distinguish
districts infested with malaria from those where it is absent.
This knowledge is crystallized in the
ancestral warning against settling in the
valleys and near the great waters, the
dwelling-places of disease and death. At the
same time, for security against the hostile
Mavia south of the Rovuma, it was enacted
that every settlement must be not less than a
certain distance from the southern edge of the
plateau. Such in fact is their mode of life at the
present day. It is not such a bad one, and
certainly they are both safer and more
comfortable than the Makua, the recent
intruders from the south, who have made USUAL METHOD OF
good their footing on the western edge of the CLOSING HUT-DOOR
plateau, extending over a fairly wide belt of
country. Neither Makua nor Makonde show in their dwellings
anything of the size and comeliness of the Yao houses in the plain,
especially at Masasi, Chingulungulu and Zuza’s. Jumbe Chauro, a
Makonde hamlet not far from Newala, on the road to Mahuta, is the
most important settlement of the tribe I have yet seen, and has fairly
spacious huts. But how slovenly is their construction compared with
the palatial residences of the elephant-hunters living in the plain.
The roofs are still more untidy than in the general run of huts during
the dry season, the walls show here and there the scanty beginnings
or the lamentable remains of the mud plastering, and the interior is a
veritable dog-kennel; dirt, dust and disorder everywhere. A few huts
only show any attempt at division into rooms, and this consists
merely of very roughly-made bamboo partitions. In one point alone
have I noticed any indication of progress—in the method of fastening
the door. Houses all over the south are secured in a simple but
ingenious manner. The door consists of a set of stout pieces of wood
or bamboo, tied with bark-string to two cross-pieces, and moving in
two grooves round one of the door-posts, so as to open inwards. If
the owner wishes to leave home, he takes two logs as thick as a man’s
upper arm and about a yard long. One of these is placed obliquely
against the middle of the door from the inside, so as to form an angle
of from 60° to 75° with the ground. He then places the second piece
horizontally across the first, pressing it downward with all his might.
It is kept in place by two strong posts planted in the ground a few
inches inside the door. This fastening is absolutely safe, but of course
cannot be applied to both doors at once, otherwise how could the
owner leave or enter his house? I have not yet succeeded in finding
out how the back door is fastened.

MAKONDE LOCK AND KEY AT JUMBE CHAURO

 This is the general way of closing a house. The Makonde at Jumbe
Chauro, however, have a much more complicated, solid and original
one. Here, too, the door is as already described, except that there is
only one post on the inside, standing by itself about six inches from
one side of the doorway. Opposite this post is a hole in the wall just
large enough to admit a man’s arm. The door is closed inside by a
large wooden bolt passing through a hole in this post and pressing
with its free end against the door. The other end has three holes into
which fit three pegs running in vertical grooves inside the post. The
door is opened with a wooden key about a foot long, somewhat
curved and sloped off at the butt; the other end has three pegs
corresponding to the holes, in the bolt, so that, when it is thrust
through the hole in the wall and inserted into the rectangular
opening in the post, the pegs can be lifted and the bolt drawn out.[50]

MODE OF INSERTING THE KEY

With no small pride first one householder and then a second

showed me on the spot the action of this greatest invention of the
Makonde Highlands. To both with an admiring exclamation of
“Vizuri sana!” (“Very fine!”). I expressed the wish to take back these
marvels with me to Ulaya, to show the Wazungu what clever fellows
the Makonde are. Scarcely five minutes after my return to camp at
Newala, the two men came up sweating under the weight of two
heavy logs which they laid down at my feet, handing over at the same
time the keys of the fallen fortress. Arguing, logically enough, that if
the key was wanted, the lock would be wanted with it, they had taken
their axes and chopped down the posts—as it never occurred to them
to dig them out of the ground and so bring them intact. Thus I have
two badly damaged specimens, and the owners, instead of praise,
come in for a blowing-up.
The Makua huts in the environs of Newala are especially
miserable; their more than slovenly construction reminds one of the
temporary erections of the Makua at Hatia’s, though the people here
have not been concerned in a war. It must therefore be due to
congenital idleness, or else to the absence of a powerful chief. Even
the baraza at Mlipa’s, a short hour’s walk south-east of Newala,
shares in this general neglect. While public buildings in this country
are usually looked after more or less carefully, this is in evident
danger of being blown over by the first strong easterly gale. The only
attractive object in this whole district is the grave of the late chief
Mlipa. I visited it in the morning, while the sun was still trying with
partial success to break through the rolling mists, and the circular
grove of tall euphorbias, which, with a broken pot, is all that marks
the old king’s resting-place, impressed one with a touch of pathos.
Even my very materially-minded carriers seemed to feel something
of the sort, for instead of their usual ribald songs, they chanted
solemnly, as we marched on through the dense green of the Makonde
bush:—
 “We shall arrive with the great master; we stand in a row and have
no fear about getting our food and our money from the Serkali (the
Government). We are not afraid; we are going along with the great
master, the lion; we are going down to the coast and back.”
With regard to the characteristic features of the various tribes here
on the western edge of the plateau, I can arrive at no other
conclusion than the one already come to in the plain, viz., that it is
impossible for anyone but a trained anthropologist to assign any
given individual at once to his proper tribe. In fact, I think that even
an anthropological specialist, after the most careful examination,
might find it a difficult task to decide. The whole congeries of peoples
collected in the region bounded on the west by the great Central
African rift, Tanganyika and Nyasa, and on the east by the Indian
Ocean, are closely related to each other—some of their languages are
only distinguished from one another as dialects of the same speech,
and no doubt all the tribes present the same shape of skull and
structure of skeleton. Thus, surely, there can be no very striking
differences in outward appearance.
 Even did such exist, I should have no time
to concern myself with them, for day after day,
I have to see or hear, as the case may be—in
any case to grasp and record—an
extraordinary number of ethnographic
phenomena. I am almost disposed to think it
fortunate that some departments of inquiry, at
least, are barred by external circumstances.
Chief among these is the subject of iron-
working. We are apt to think of Africa as a
country where iron ore is everywhere, so to
speak, to be picked up by the roadside, and
where it would be quite surprising if the
inhabitants had not learnt to smelt the
material ready to their hand. In fact, the
knowledge of this art ranges all over the
continent, from the Kabyles in the north to the
Kafirs in the south. Here between the Rovuma
and the Lukuledi the conditions are not so
favourable. According to the statements of the
Makonde, neither ironstone nor any other
form of iron ore is known to them. They have
not therefore advanced to the art of smelting
the metal, but have hitherto bought all their
THE ANCESTRESS OF
THE MAKONDE
iron implements from neighbouring tribes.
Even in the plain the inhabitants are not much
better off. Only one man now living is said to
understand the art of smelting iron. This old fundi lives close to
Huwe, that isolated, steep-sided block of granite which rises out of
the green solitude between Masasi and Chingulungulu, and whose
jagged and splintered top meets the traveller’s eye everywhere. While
still at Masasi I wished to see this man at work, but was told that,
frightened by the rising, he had retired across the Rovuma, though
he would soon return. All subsequent inquiries as to whether the
fundi had come back met with the genuine African answer, “Bado”
(“Not yet”).
 BRAZIER

Some consolation was afforded me by a brassfounder, whom I

came across in the bush near Akundonde’s. This man is the favourite
of women, and therefore no doubt of the gods; he welds the glittering
brass rods purchased at the coast into those massive, heavy rings
which, on the wrists and ankles of the local fair ones, continually give
me fresh food for admiration. Like every decent master-craftsman he
had all his tools with him, consisting of a pair of bellows, three
crucibles and a hammer—nothing more, apparently. He was quite
willing to show his skill, and in a twinkling had fixed his bellows on
the ground. They are simply two goat-skins, taken off whole, the four
legs being closed by knots, while the upper opening, intended to
admit the air, is kept stretched by two pieces of wood. At the lower
end of the skin a smaller opening is left into which a wooden tube is
stuck. The fundi has quickly borrowed a heap of wood-embers from
the nearest hut; he then fixes the free ends of the two tubes into an
earthen pipe, and clamps them to the ground by means of a bent
piece of wood. Now he fills one of his small clay crucibles, the dross
on which shows that they have been long in use, with the yellow
material, places it in the midst of the embers, which, at present are
only faintly glimmering, and begins his work. In quick alternation
the smith’s two hands move up and down with the open ends of the
bellows; as he raises his hand he holds the slit wide open, so as to let
the air enter the skin bag unhindered. In pressing it down he closes
the bag, and the air puffs through the bamboo tube and clay pipe into
the fire, which quickly burns up. The smith, however, does not keep
on with this work, but beckons to another man, who relieves him at
the bellows, while he takes some more tools out of a large skin pouch
carried on his back. I look on in wonder as, with a smooth round
stick about the thickness of a finger, he bores a few vertical holes into
the clean sand of the soil. This should not be difficult, yet the man
seems to be taking great pains over it. Then he fastens down to the
ground, with a couple of wooden clamps, a neat little trough made by
splitting a joint of bamboo in half, so that the ends are closed by the
two knots. At last the yellow metal has attained the right consistency,
and the fundi lifts the crucible from the fire by means of two sticks
split at the end to serve as tongs. A short swift turn to the left—a
tilting of the crucible—and the molten brass, hissing and giving forth
clouds of smoke, flows first into the bamboo mould and then into the
holes in the ground.
The technique of this backwoods craftsman may not be very far
advanced, but it cannot be denied that he knows how to obtain an
adequate result by the simplest means. The ladies of highest rank in
this country—that is to say, those who can afford it, wear two kinds
of these massive brass rings, one cylindrical, the other semicircular
in section. The latter are cast in the most ingenious way in the
bamboo mould, the former in the circular hole in the sand. It is quite
a simple matter for the fundi to fit these bars to the limbs of his fair
customers; with a few light strokes of his hammer he bends the
pliable brass round arm or ankle without further inconvenience to
the wearer.
SHAPING THE POT

SMOOTHING WITH MAIZE-COB

CUTTING THE EDGE

 FINISHING THE BOTTOM

LAST SMOOTHING BEFORE

BURNING

FIRING THE BRUSH-PILE

 LIGHTING THE FARTHER SIDE OF
THE PILE

TURNING THE RED-HOT VESSEL

NYASA WOMAN MAKING POTS AT MASASI

Pottery is an art which must always and everywhere excite the
interest of the student, just because it is so intimately connected with
the development of human culture, and because its relics are one of
the principal factors in the reconstruction of our own condition in
prehistoric times. I shall always remember with pleasure the two or
three afternoons at Masasi when Salim Matola’s mother, a slightly-
built, graceful, pleasant-looking woman, explained to me with
touching patience, by means of concrete illustrations, the ceramic art
of her people. The only implements for this primitive process were a
lump of clay in her left hand, and in the right a calabash containing
the following valuables: the fragment of a maize-cob stripped of all
its grains, a smooth, oval pebble, about the size of a pigeon’s egg, a
few chips of gourd-shell, a bamboo splinter about the length of one’s
hand, a small shell, and a bunch of some herb resembling spinach.
 Nothing more. The woman scraped with the
shell a round, shallow hole in the soft, fine
sand of the soil, and, when an active young
girl had filled the calabash with water for her,
she began to knead the clay. As if by magic it
gradually assumed the shape of a rough but
already well-shaped vessel, which only wanted
a little touching up with the instruments
before mentioned. I looked out with the
MAKUA WOMAN closest attention for any indication of the use
MAKING A POT. of the potter’s wheel, in however rudimentary
SHOWS THE a form, but no—hapana (there is none). The
BEGINNINGS OF THE embryo pot stood firmly in its little
POTTER’S WHEEL
depression, and the woman walked round it in
a stooping posture, whether she was removing
small stones or similar foreign bodies with the maize-cob, smoothing
the inner or outer surface with the splinter of bamboo, or later, after
letting it dry for a day, pricking in the ornamentation with a pointed
bit of gourd-shell, or working out the bottom, or cutting the edge
with a sharp bamboo knife, or giving the last touches to the finished
vessel. This occupation of the women is infinitely toilsome, but it is
without doubt an accurate reproduction of the process in use among
our ancestors of the Neolithic and Bronze ages.
There is no doubt that the invention of pottery, an item in human
progress whose importance cannot be over-estimated, is due to
women. Rough, coarse and unfeeling, the men of the horde range
over the countryside. When the united cunning of the hunters has
succeeded in killing the game; not one of them thinks of carrying
home the spoil. A bright fire, kindled by a vigorous wielding of the
drill, is crackling beside them; the animal has been cleaned and cut
up secundum artem, and, after a slight singeing, will soon disappear
under their sharp teeth; no one all this time giving a single thought
to wife or child.
To what shifts, on the other hand, the primitive wife, and still more
the primitive mother, was put! Not even prehistoric stomachs could
endure an unvarying diet of raw food. Something or other suggested
the beneficial effect of hot water on the majority of approved but
indigestible dishes. Perhaps a neighbour had tried holding the hard
roots or tubers over the fire in a calabash filled with water—or maybe
an ostrich-egg-shell, or a hastily improvised vessel of bark. They
became much softer and more palatable than they had previously
been; but, unfortunately, the vessel could not stand the fire and got
charred on the outside. That can be remedied, thought our
ancestress, and plastered a layer of wet clay round a similar vessel.
This is an improvement; the cooking utensil remains uninjured, but
the heat of the fire has shrunk it, so that it is loose in its shell. The
next step is to detach it, so, with a firm grip and a jerk, shell and
kernel are separated, and pottery is invented. Perhaps, however, the
discovery which led to an intelligent use of the burnt-clay shell, was
made in a slightly different way. Ostrich-eggs and calabashes are not
to be found in every part of the world, but everywhere mankind has
arrived at the art of making baskets out of pliant materials, such as
bark, bast, strips of palm-leaf, supple twigs, etc. Our inventor has no
water-tight vessel provided by nature. “Never mind, let us line the
basket with clay.” This answers the purpose, but alas! the basket gets
burnt over the blazing fire, the woman watches the process of
cooking with increasing uneasiness, fearing a leak, but no leak
appears. The food, done to a turn, is eaten with peculiar relish; and
the cooking-vessel is examined, half in curiosity, half in satisfaction
at the result. The plastic clay is now hard as stone, and at the same
time looks exceedingly well, for the neat plaiting of the burnt basket
is traced all over it in a pretty pattern. Thus, simultaneously with
pottery, its ornamentation was invented.
Primitive woman has another claim to respect. It was the man,
roving abroad, who invented the art of producing fire at will, but the
woman, unable to imitate him in this, has been a Vestal from the
earliest times. Nothing gives so much trouble as the keeping alight of
the smouldering brand, and, above all, when all the men are absent
from the camp. Heavy rain-clouds gather, already the first large
drops are falling, the first gusts of the storm rage over the plain. The
little flame, a greater anxiety to the woman than her own children,
flickers unsteadily in the blast. What is to be done? A sudden thought
occurs to her, and in an instant she has constructed a primitive hut
out of strips of bark, to protect the flame against rain and wind.
This, or something very like it, was the way in which the principle
of the house was discovered; and even the most hardened misogynist
cannot fairly refuse a woman the credit of it. The protection of the
hearth-fire from the weather is the germ from which the human
dwelling was evolved. Men had little, if any share, in this forward
step, and that only at a late stage. Even at the present day, the
plastering of the housewall with clay and the manufacture of pottery
are exclusively the women’s business. These are two very significant
survivals. Our European kitchen-garden, too, is originally a woman’s
invention, and the hoe, the primitive instrument of agriculture, is,
characteristically enough, still used in this department. But the
noblest achievement which we owe to the other sex is unquestionably
the art of cookery. Roasting alone—the oldest process—is one for
which men took the hint (a very obvious one) from nature. It must
have been suggested by the scorched carcase of some animal
overtaken by the destructive forest-fires. But boiling—the process of
improving organic substances by the help of water heated to boiling-
point—is a much later discovery. It is so recent that it has not even
yet penetrated to all parts of the world. The Polynesians understand
how to steam food, that is, to cook it, neatly wrapped in leaves, in a
hole in the earth between hot stones, the air being excluded, and
(sometimes) a few drops of water sprinkled on the stones; but they
do not understand boiling.
To come back from this digression, we find that the slender Nyasa
woman has, after once more carefully examining the finished pot,
put it aside in the shade to dry. On the following day she sends me
word by her son, Salim Matola, who is always on hand, that she is
going to do the burning, and, on coming out of my house, I find her
already hard at work. She has spread on the ground a layer of very
dry sticks, about as thick as one’s thumb, has laid the pot (now of a
yellowish-grey colour) on them, and is piling brushwood round it.
My faithful Pesa mbili, the mnyampara, who has been standing by,
most obligingly, with a lighted stick, now hands it to her. Both of
them, blowing steadily, light the pile on the lee side, and, when the
flame begins to catch, on the weather side also. Soon the whole is in a
blaze, but the dry fuel is quickly consumed and the fire dies down, so
that we see the red-hot vessel rising from the ashes. The woman
turns it continually with a long stick, sometimes one way and
sometimes another, so that it may be evenly heated all over. In
twenty minutes she rolls it out of the ash-heap, takes up the bundle
of spinach, which has been lying for two days in a jar of water, and
sprinkles the red-hot clay with it. The places where the drops fall are
marked by black spots on the uniform reddish-brown surface. With a
sigh of relief, and with visible satisfaction, the woman rises to an
erect position; she is standing just in a line between me and the fire,
from which a cloud of smoke is just rising: I press the ball of my
camera, the shutter clicks—the apotheosis is achieved! Like a
priestess, representative of her inventive sex, the graceful woman
stands: at her feet the hearth-fire she has given us beside her the
invention she has devised for us, in the background the home she has
built for us.
At Newala, also, I have had the manufacture of pottery carried on
in my presence. Technically the process is better than that already
described, for here we find the beginnings of the potter’s wheel,
which does not seem to exist in the plains; at least I have seen
nothing of the sort. The artist, a frightfully stupid Makua woman, did
not make a depression in the ground to receive the pot she was about
to shape, but used instead a large potsherd. Otherwise, she went to
work in much the same way as Salim’s mother, except that she saved
herself the trouble of walking round and round her work by squatting
at her ease and letting the pot and potsherd rotate round her; this is
surely the first step towards a machine. But it does not follow that
the pot was improved by the process. It is true that it was beautifully
rounded and presented a very creditable appearance when finished,
but the numerous large and small vessels which I have seen, and, in
part, collected, in the “less advanced” districts, are no less so. We
moderns imagine that instruments of precision are necessary to
produce excellent results. Go to the prehistoric collections of our
museums and look at the pots, urns and bowls of our ancestors in the
dim ages of the past, and you will at once perceive your error.
MAKING LONGITUDINAL CUT IN
BARK

DRAWING THE BARK OFF THE LOG

REMOVING THE OUTER BARK

 BEATING THE BARK

WORKING THE BARK-CLOTH AFTER BEATING, TO MAKE IT

SOFT

MANUFACTURE OF BARK-CLOTH AT NEWALA

To-day, nearly the whole population of German East Africa is
clothed in imported calico. This was not always the case; even now in
some parts of the north dressed skins are still the prevailing wear,
and in the north-western districts—east and north of Lake
Tanganyika—lies a zone where bark-cloth has not yet been
superseded. Probably not many generations have passed since such
bark fabrics and kilts of skins were the only clothing even in the
south. Even to-day, large quantities of this bright-red or drab
material are still to be found; but if we wish to see it, we must look in
the granaries and on the drying stages inside the native huts, where
it serves less ambitious uses as wrappings for those seeds and fruits
which require to be packed with special care. The salt produced at
Masasi, too, is packed for transport to a distance in large sheets of
bark-cloth. Wherever I found it in any degree possible, I studied the
process of making this cloth. The native requisitioned for the
purpose arrived, carrying a log between two and three yards long and
as thick as his thigh, and nothing else except a curiously-shaped
mallet and the usual long, sharp and pointed knife which all men and
boys wear in a belt at their backs without a sheath—horribile dictu!
[51]
Silently he squats down before me, and with two rapid cuts has
drawn a couple of circles round the log some two yards apart, and
slits the bark lengthwise between them with the point of his knife.
With evident care, he then scrapes off the outer rind all round the
log, so that in a quarter of an hour the inner red layer of the bark
shows up brightly-coloured between the two untouched ends. With
some trouble and much caution, he now loosens the bark at one end,
and opens the cylinder. He then stands up, takes hold of the free
edge with both hands, and turning it inside out, slowly but steadily
pulls it off in one piece. Now comes the troublesome work of
scraping all superfluous particles of outer bark from the outside of
the long, narrow piece of material, while the inner side is carefully
scrutinised for defective spots. At last it is ready for beating. Having
signalled to a friend, who immediately places a bowl of water beside
him, the artificer damps his sheet of bark all over, seizes his mallet,
lays one end of the stuff on the smoothest spot of the log, and
hammers away slowly but continuously. “Very simple!” I think to
myself. “Why, I could do that, too!”—but I am forced to change my
opinions a little later on; for the beating is quite an art, if the fabric is
not to be beaten to pieces. To prevent the breaking of the fibres, the
stuff is several times folded across, so as to interpose several
thicknesses between the mallet and the block. At last the required
state is reached, and the fundi seizes the sheet, still folded, by both
ends, and wrings it out, or calls an assistant to take one end while he
holds the other. The cloth produced in this way is not nearly so fine
and uniform in texture as the famous Uganda bark-cloth, but it is
quite soft, and, above all, cheap.
Now, too, I examine the mallet. My craftsman has been using the
simpler but better form of this implement, a conical block of some
hard wood, its base—the striking surface—being scored across and
across with more or less deeply-cut grooves, and the handle stuck
into a hole in the middle. The other and earlier form of mallet is
shaped in the same way, but the head is fastened by an ingenious
network of bark strips into the split bamboo serving as a handle. The
observation so often made, that ancient customs persist longest in
connection with religious ceremonies and in the life of children, here
finds confirmation. As we shall soon see, bark-cloth is still worn
during the unyago,[52] having been prepared with special solemn
ceremonies; and many a mother, if she has no other garment handy,
will still put her little one into a kilt of bark-cloth, which, after all,
looks better, besides being more in keeping with its African
surroundings, than the ridiculous bit of print from Ulaya.
MAKUA WOMEN