A Case Study of Principal Leadership in an Effective Inclusive School

Abstract

This investigation examined the role of the principal in school change during the current era of high-stakes accountability. Qualitative methods were used to conduct a case study of one principal who had a record of success in leading school change efforts and developing a model inclusive program in his school. The results of the case study revealed that the principal viewed his primary role as "lubricating the human machinery," or providing support for teachers so that they could do their best work. He enacted this role by nurturing and caring for his staff, buffering his faculty from external pressures associated with high-stakes accountability, providing high-quality professional development, and ensuring that teachers had opportunities to assume leadership roles in the school. The implications of these findings for practice are discussed. (Contains 1 table.)

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The Journal of Special Education
http://sed.sagepub.com/content/46/4/245
The online version of this article can be found at:
DOI: 10.1177/0022466910390507
2013 46: 245 originally published online 3 December 2010J Spec Educ David Hoppey and James McLeskey
A Case Study of Principal Leadership in an Effective Inclusive School
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The Journal of Special Education
46(4) 245 –256
© Hammill Institute on Disabilities 2013
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DOI: 10.1177/0022466910390507
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As state and federal mandates for accountability and
improved achievement outcomes for all students have pro-
liferated over the past decade (e.g., Individuals with Dis-
abilities Education Improvement Act, 2004; No Child Left
Behind Act, 2002), schools are being required to improve
the quality of teacher practice and significantly increase
student outcomes. This increased accountability has led to
mandates from many states that have produced systems to
evaluate or grade schools based on these outcome mea-
sures, resulting in significant pressure on teachers and prin-
cipals to improve student outcomes or be subjected to
punitive measures (Darling-Hammond, 2004).
Coupled with mandates for improved teacher practice
and increased student outcomes, schools in the United
States also are faced with federal mandates that students
with disabilities be educated in general education class-
rooms whenever possible, have access to the general educa-
tion curriculum, and make progress with regard to this
curriculum (McLeskey, Rosenberg, & Westling, 2010).
These mandates have resulted in a dramatic increase in the
development of inclusive programs. For example, in 1989–
1990, about 34% of these students with disabilities were
educated in general education classrooms for most of the
school day. This proportion had increased to 58% by 2007–
2008 (U.S. Department of Education, 2010). This signifi-
cant increase in inclusive programs has led some to suggest
that in most of the United States the preferred educational
model for many students with mild disabilities is now “full
inclusion with co-teaching” (Zigmond, Kloo, & Volonino,
2009, p. 196).
Achieving the demands for improved student outcomes
for all students and inclusion of increasing numbers of
students with disabilities in general education classrooms
requires significant changes in schools (McLeskey &
Waldron, 2006; Waldron & McLeskey, 2010). Research has
identified the school principal as a key participant in direct-
ing school change and creating schools that support teachers
to meet the needs of all students (Cherian & Daniel, 2008;
McLeskey & Waldron, 2002; Pugach, Blanton, Correa,
McLeskey, & Langley, 2009). This is especially the case
when general education classrooms include a diverse range
of students, including those with disabilities (McLeskey &
Waldron, 2002; Salisbury, 2006). Research has shown that
principals provide many types of support as inclusive pro-
grams are developed and sustained (Furney, Aiken, Hasazi,
& Clark/Keefe, 2005; Salisbury & McGregor, 2002). For
example, Furney and colleagues (2005) found that schools
with highly developed inclusive programs had strong leader-
ship from principals, who were engaged in fostering a shared
vision, creating collaborative structures, encouraging teacher-
centered professional development, using data-based deci-
sion making, and understanding policies that facilitate school
1University of South Florida, Tampa, FL, USA
2University of Florida, Gainesville, FL, USA
Corresponding Author:
David Hoppey, University of South Florida, College of Education, 4202
East Fowler Ave. EDU 105, Department of Special Education, Tampa, FL
33620-6550
E-mail: dth@usf.edu
A Case Study of Principal Leadership
in an Effective Inclusive School
David Hoppey, PhD1 and James McLeskey, PhD2
Abstract
This investigation examined the role of the principal in school change during the current era of high-stakes accountability.
Qualitative methods were used to conduct a case study of one principal who had a record of success in leading school
change efforts and developing a model inclusive program in his school. The results of the case study revealed that the
principal viewed his primary role as “lubricating the human machinery,” or providing support for teachers so that they could
do their best work. He enacted this role by nurturing and caring for his staff, buffering his faculty from external pressures
associated with high-stakes accountability, providing high-quality professional development, and ensuring that teachers had
opportunities to assume leadership roles in the school. The implications of these findings for practice are discussed.
Keywords
principal leadership, inclusion, school reform, accountability, qualitative research
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246 The Journal of Special Education 46(4)
change. Additional research has shown that the types of
activities principals engage in to support inclusive schools
include shared decision making, leading by example, and
actively promoting learning communities (Salisbury &
McGregor, 2002; Waldron & McLeskey, 2010).
Research on school change in general education has
resulted in similar findings regarding the importance of the
principal’s role in school improvement (Blase & Blase,
1998; Blase & Kirby, 1992; Crow, Hausman, & Paredes-
Scribner, 2003; Hallinger & Heck, 1996; Keyes, Hanley-
Maxwell, & Capper, 1999; Waldron & McLeskey, 2010).
This research indicates that the key elements of effective
principal leadership include facilitating the creation of a
school culture that is supportive of teachers, developing
teachers as leaders within the school (i.e., distributed or
shared leadership), and working to develop a collaborative,
professional learning community to support teacher learn-
ing (Blase & Blase, 1998; Crow et al., 2003; Keyes et al.,
1999; Waldron & McLeskey, 2010).
This study was conducted to extend on previous research
regarding the role of the principal in school change, as
inclusive programs are developed, implemented, and sus-
tained over time. Qualitative methods were used to conduct
a case study of one principal who had an extended record of
success in leading school change efforts and developing a
model inclusive program in his school. It should be noted
that this investigation was not conducted as the inclusive
program was being developed but was done shortly after
the program was implemented. During the year the study
was conducted, the principal and school staff were continu-
ing to work to improve their inclusive program and were
also working with faculty from a local university to estab-
lish a professional development school partnership. This
investigation thus addressed the following research ques-
tion: “How does a principal provide support for school
improvement during an era of high-stakes accountability?”
Method
Selection of the Principal
The principal who participated in this investigation, Tom
Smith (a pseudonym), was chosen using purposeful sam-
pling (Patton, 2002). More specifically, he showed a strong
interest in participating in this study, and previous contact
with him by both authors suggested he would be a rich
information source who had the potential to provide insight
and in-depth understanding of the principal’s role in school
improvement. Furthermore, this principal had extensive
and successful experience working with reforms for both
general and special education.
Tom Smith’s career has spanned almost four decades.
Before becoming a principal, Tom served as an elementary
teacher, middle school teacher, and high school teacher at
an alternative school for 11 years. In addition he held vari-
ous district staff roles for 9 years, including coordinator of
gifted services for 2 years. Prior to beginning his tenure as
a principal he served as a principal intern for 1 year. In
1992, Tom assumed the role of principal at Hawk’s Nest
Elementary and has remained there for the past 18 years.
Setting
The setting was Hawk’s Nest Elementary (a pseudonym), a
school that includes Grades 3–5 that is located in a small
town in a rural area in Florida. The school enrolls approxi-
mately 460 students and has 27 teachers. Just more than
61% of the students are Caucasian, 25% are African Ameri-
can, 7% are Hispanic, and the remainder are from other eth-
nic groups. Approximately 54% of the students receive free
or reduced-price lunch. In addition, approximately 18% of
the students at Hawk’s Nest are identified as having a dis-
ability. A breakdown by primary disability category indi-
cates that 65% are students with learning disabilities, 16%
are students with speech or language impairments, 10% are
identified with other health impairments, 4% are labeled
with behavior disorders, 3% are identified with intellectual
disabilities, and a small number of students are diagnosed
with other disabilities (e.g., autism, orthopedically
impaired). Hawk’s Nest Elementary consistently receives A
or B grades from the state department of education, is gen-
erally recognized as an above average school in the local
community, and has a model program for inclusive
practice.
Evidence from several sources supports the perspective
that Hawk’s Nest Elementary has been successful in includ-
ing students with disabilities in general education class-
rooms and improving student academic outcomes for
low-achieving students. First, Least Restrictive Environ-
ment (LRE) data on student placements from 2006–2007
through 2008–2009 reveal that students with disabilities
have been included in general education classrooms for
increasing portions of the school day. For instance, the pro-
portion of students with disabilities who were educated in
general education placements (special education services
outside the general education classroom for less than 21%
of the school day) increased from 44% in 2006–2007 to
67% in 2008–2009. During this same time period, resource
room placements (special education services outside the
general education classroom for 21% to 60% of the school
day) declined from 35% to 18%, whereas separate class
placements (special education services outside the general
education classroom for more than 60% of the school day)
decreased from 21% to 11%.
Coupled with this increased placement of students with
disabilities in general education classrooms at Hawk’s Nest
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Hoppey and McLeskey 247
were student outcome data on the state accountability mea-
sure (Florida Comprehensive Achievement Test; FCAT)
that demonstrate that Hawk’s Nest has also become a highly
effective school. Hawk’s Nest has been successful in
increasing student outcomes for low-achieving students or
those “at risk” for being labeled with a disability, when
compared to local school district averages. For example,
79% of low-achieving students at Hawk’s Nest made learn-
ing gains in reading and 77% in math as compared to 56%
of low-achieving students across the district in reading and
63% in math. Low-achieving students are defined in
Florida as students who are in the lowest quartile (i.e., 25th
percentile or below) in reading or math from the previous
year’s FCAT results.
In addition, data indicate that not only students with dis-
abilities but also their nondisabled peers have substantially
exceeded district and state averages in gain scores for stu-
dents with disabilities in reading and math. The purpose of
the FCAT Developmental Scale Score (DSS) is to deter-
mine student learning gains across grade levels, subject
areas, and school years by tracking student progress over
time. Students can demonstrate learning gains in two ways.
First, students can demonstrate learning gains if they
achieve proficiency on the corresponding grade-level FCAT
math or reading assessment. Alternatively, if students do
not meet proficiency standards but demonstrate a year of
growth as indicated by their DSS gain or change score they
are determined to have made a learning gain for that year.
Hawk’s Nest fourth and fifth grade data for the 2008–2009
year indicated that students with disabilities improved an
average of 299 points in reading and 136 points in math
when using DSS scores. This compares to a 200-point gain
for students with disabilities across the state and 199 across
the district in reading and 111 points across the state in math
and 115 in the district. Furthermore, gains scores for all
fourth and fifth grade students at Hawk’s Nest averaged 124
in reading (the state averaged 81, and the district averaged
51) whereas math scores increased on average by 189 points
(the state averaged 189, and the district improved by 188
points).
Finally, data on the proportion of students with disabili-
ties who meet proficiency standards reveal that Hawk’s
Nest exceeded state and district averages in reading and
mathematics across grade levels (see Table 1). In sum, these
data support the perspective that Hawk’s Nest has devel-
oped a model program for students with disabilities that is
both inclusive and effective in improving student
outcomes.
Design of the Study
This investigation used case study methodology (Merriam,
1998; Yin, 2008) to examine the role of the principal in sup-
porting school improvement during an era of high-stakes
accountability. Specifically, this case study took place dur-
ing one school year and combined ethnographic methods
(interviews and observations) with a phenomenological lens
to study the lived experience of being a principal from Tom
Smith’s point of view (Patton, 2002) and gain an under-
standing of how one principal conceptualizes, negotiates,
and enacts his role in today’s era of high-stakes accountabil-
ity. This emic or insider’s point of view (Merriam, 1998;
Patton, 2002) provided insight into the meaning and inter-
pretations a principal attached to the events that occurred as
his school engaged in school improvement.
Data sources. Phenomenological interviews (Seidman,
2006), participant observations (Patton, 2002), and dialogi-
cal or informal conversational interviews with the principal
(Carspecken, 1997; Patton, 2002) were conducted through-
out the school year. Three phenomenological interviews
were conducted during the first month of the study. Each of
these focused, in-depth interviews lasted approximately 2
hours and explored the principal’s past and present experi-
ences related to the phenomena under study (Rubin &
Rubin, 1995; Seidman, 2006). Open-ended questions were
used to explore the participant’s experiences as he identi-
fied key events and reflected on the meaning of these events
as the interviews progressed. Each phenomenological inter-
view built on the previous interview and also addressed
critical events or themes that had been identified during
informal interviews and observations.
The principal was also observed once weekly during
the school year. Initial observations involved shadowing
the principal for one complete day per week for the first 6
weeks of the school year and provided in-depth informa-
tion regarding the types of activities that the principal
Table 1. Florida Comprehensive Achievement Test Proficiency
in Reading and Math in Grades 3, 4, and 5 for Students With
Disabilities (SWD), 2008–2009
SWD Reading prof. % Math prof. %
3rd grade
State 45 56
District 46 54
Hawk’s Nest 61 70
4th grade
State 46 50
District 44 47
Hawk’s Nest 46 51
5th grade
State 40 34
District 37 31
Hawk’s Nest 57 36
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248 The Journal of Special Education 46(4)
engaged in during a typical school day. During the remain-
der of the school year, weekly observations lasting from 1
to 3 hours were conducted that focused on selected critical
events or issues. Critical events that arose included Tom
Smith’s engagement in public relations activities in the
community, meetings in the district that addressed issues
that reflected the current “obsession” with standardized
test scores, and meetings in which Tom engaged faculty to
solve problems and use student data to inform their
instruction. These targeted observations were used to doc-
ument how Tom’s beliefs and knowledge were put into
practice in his role as the school leader. In addition, obser-
vation data were used to guide dialogical interview ques-
tions (Carspecken, 1997).
Finally, following each targeted observation focused,
informal dialogical interviews were conducted, lasting from
15 minutes to 1 hour, to gain an in-depth understanding of
the principal’s actions, attitudes, beliefs, and understand-
ings about the specific events of the day. Interview ques-
tions were developed as events of the day occurred. More
specifically, this interviewing technique sought to examine
the details of the life of a school administrator as they arose
and get important insights into the meanings of the events
from the principal’s perspective (Patton, 2002). Therefore,
the primary purpose of dialogical interviewing was to gen-
erate meanings from a participant’s point of view by dis-
cussing how and why the events transpired (Carspecken,
1997).
Data analysis. Formal interviews were audiotaped and
shortly thereafter were transcribed, reviewed, and analyzed.
Similarly, field notes were taken to document all observa-
tions and informal interviews. These notes were transcribed,
reviewed, and analyzed immediately after each observation
or informal interview. Researcher reflections and analyses
were coded in the margins as observer comments and dif-
ferentiated from interview and observation data.
Analysis of the data entailed a four-step process that
involved both the researcher (the senior author) and the
principal. First, the data were bracketed or pulled apart by
the researcher to examine essential elements and structures
that could be used to analyze and define the phenomenon
under study (Patton, 2002). After bracketing, the researcher
and principal began to develop “imaginative variation”
(Moustakas, 1994; Patton, 2002) on each theme, as they
sought to see the same data from a variety of perspectives.
The researcher then began to write a textural description of
the themes or phenomena that had been identified as critical
features of the principal’s behavior as he supported school
improvement. Finally, the researcher constructed an overall
description and framework for the meanings discovered in
the study (Patton, 2002), blending the researcher’s and prin-
cipal’s perspectives on the identified phenomena. The
researcher and principal reviewed and reached consensus
regarding this information.
Trustworthiness
To ensure the trustworthiness of this investigation, several
methods were used. First, the researcher worked closely
with the principal to construct themes and write descrip-
tions of these themes, resulting in ongoing member check-
ing of the results of this study. Second, the investigator
spent an extended period of time in the setting studying spe-
cific phenomena that were identified, resulting in prolonged
engagement and persistent observation. Third, triangulation
of data was used to cross-check findings from the inter-
views by observing the principal’s behavior in a natural set-
ting. Finally, the investigator used peer debriefing to discuss
the methods and themes as they emerged.
Results
The purpose of this investigation was to determine how
Tom Smith supported his school and teachers in school
improvement in an era of high-stakes accountability. A piv-
otal, overarching concept related to Tom’s leadership prac-
tice is his perspective that his primary role is “lubricating
the human machinery.” This suggests that Tom believes his
role is to provide a setting that is supportive of teachers and
that helps them to do their best possible work.
Central to Tom Smith’s notion of “lubricating the human
machinery” is an ethic of care (Noddings, 1992), as he
builds relationships with and supports his staff. By exhibit-
ing care in explicit and meaningful ways, Tom seeks to
build and sustain relationships as well as create a commu-
nity that embraces these values. Tom believes the most
important thing he does is “to take care of people.” His
“personal investment” in his staff and students is pervasive
and “part of a belief system that exists” at Hawk’s Nest.
This occurs naturally as he “personally invests and works
closely with his teachers.”
Tom’s concept of care emerges from his priority to build
relationships with his teachers. However, as the quote above
indicates, he also strives to develop a nurturing community
as a shared norm at Hawk’s Nest Elementary. Given this
commitment, how does Tom support and care for his teach-
ers while also facilitating the development of a shared belief
system schoolwide? Three characteristics of his leadership
style describe how he facilitates the development of a sup-
portive and caring school community. These include (a)
caring for and personally investing in teachers, (b) buffer-
ing teachers and staff from external pressure, and (c) pro-
moting teacher growth.
Caring for and Personally Investing in Teachers
Tom Smith cares for and personally invests in his staff
in three major ways: (a) displaying trust in teachers;
(b) listening to their ideas, concerns, and problems; and (c)
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Hoppey and McLeskey 249
treating staff fairly. These behaviors are central characteris-
tics of Tom’s leadership style and demonstrate an ethic of
care (Noddings, 1992).
Displaying trust in teachers. Tom Smith supports and per-
sonally invests in his teachers by explicitly respecting and
trusting them.
I think my teachers or my big people need to believe
that I believe in them and I’m invested in their suc-
cess. Not just because I want them to be happy, [but]
because if they are happy, then there is a better
chance that they will be professionally successful.
And then the payoff is [for] the kids.
In this excerpt Tom uses the word believe (i.e., “believe in
them”), but the undertone of the excerpt suggests more.
With this comment, Tom is sharing the importance of
believing in faculty by acknowledging, respecting, and
trusting educators’ ability to be successful.
Possessing this trust requires a faith not only that teach-
ers are motivated to do what is right for the people around
them but also that they are able to problem solve solutions
to the myriad issues that arise daily in classrooms. Tom
“believes in the passion of teachers” and “trusts that if
they’re motivated by the right thing and driven by the right
ideas, something good is going to come out of it.” For
example, Tom tapped into his teachers’ passion and sup-
ported a group of teachers who wanted to explore Renais-
sance Learning, a new computer-based assessment system
that assists teachers in making data-based decisions to dif-
ferentiate instruction. He supported a “pilgrimage” to a
math conference for a group of teachers because the faculty
“discussed our math data and how we could meet the needs
of our students including struggling learners and at the
same time our accelerated math students.” Even though the
trip was more expensive than initially thought, Tom made
the decision to “invest in the people” and spend the money
for teacher learning.
It was about their level of understanding of what the
problem is and how we’re trying to solve a dilemma.
. . . I also am convinced that I will get much more
value out of what we do here. Not because of the
books and procedures and all this stuff we’ll learn,
but because of what they have invested in it and
learned. Because they’re committed . . . so I have to
trust them and believe it’s going to be successful.
As this comment indicates, Tom Smith also recognizes
the reciprocal nature of trust, as he notes “if you want to get
trust, you’ve got to give trust.” This is evident in an annual
vote of confidence in the principal that Tom developed and
conducts annually. Underlying this vote of confidence is
Tom’s belief that unless a school leader has the trust of those
he leads, he will not be effective. Thus, by asking for a yearly
vote of confidence, Tom encourages the teachers and other
school leaders to assess their confidence in him. This mutual
trust is what allows professionals in an organization to
collaboratively work through dilemmas and solve problems:
I’ve got to trust in them to a certain extent and
they’ve got to trust me to a certain extent, and the
degree to which we trust each other determines the
degree to which we can actually get together and
solve problems and figure things out.
Listening to faculty ideas, concerns, and problems. Tom
Smith also nurtures his faculty and staff by listening to and
respecting their ideas and concerns. He conveys this trust
and respect in a variety of ways. First, “his door is always
open so people can come in.” This policy sets the stage for
being available to help at any time. Tom believes this is part
of the foundation for forming good relationships, and he
“would want people to think that if they needed to talk
about something or needed to tell me about something, that
they could come in and do it.” Therefore, Tom does not
overschedule his calendar, thus ensuring that he is available
to meet with his teachers and staff informally for the major-
ity of his workday.
If somebody needs to talk, that happened a couple of
times this morning, you know, career decisions and
life decisions and I’m mad about this, that stuff is
hard to put off until this afternoon. I need to be avail-
able so my teachers can bounce ideas off of me and
feel supported.
Furthermore, listening to his faculty in both formal and
informal ways allows Tom to gather information about
what his staff feel is important to their lives and success as
teachers.
If you want to know what’s important in an organiza-
tion, just walk around and listen to what people talk
about and that’s what’s important. . . . And I’ve found
that to be very true. If people are always bitching
about things, then, you know, then that’s important
. . . when people are talking about important educa-
tional issues in the lounge or the hallway or some-
thing then I think that says that’s important. If people
are never talking about school, then that says some-
thing. If people are talking about kids, that says a
whole lot about the school.
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250 The Journal of Special Education 46(4)
Often these informal conversations center on the profes-
sional lives of his teachers, and Tom uses the opportunity to
seek more specific information from these professionals.
This was evident one morning during an impromptu visit that
took place with the speech and language therapist about the
school’s recent move toward inclusion. This short exchange
of ideas began with Tom’s question, “So, how’s the coteach-
ing going?” Over the next few minutes Tom listened to the
therapist’s concerns and the inherent challenges of trans-
forming her traditional role in the school to a more collabora-
tive approach for serving her students. She noted that higher
caseloads, initial eligibility screenings, and juggling new
coteaching roles and responsibilities were overwhelming.
After listening, Tom discussed potential proactive solutions
including setting aside “sacred” time for collaborative plan-
ning, adjusting the screening schedule to allow more time for
coteaching in fifth grade, and developing a plan for lobbying
the district for more speech and language services.
Finally, Tom Smith carefully chooses when to partici-
pate in discussions and often listens for a long period of
time before engaging. Furthermore, when he chooses to
participate he often raises a question. For example, in a dis-
cussion of a mentoring program, he chose to engage in the
discussion as the meeting was nearing an end by saying, “It
seems that things are going better [this semester than last],
any ideas why?” This question publicly elicited teacher
reflection to assess the current status of their work and
encouraged them to focus on the progress they had made.
Treating staff fairly. Tom Smith seeks to build and
strengthen relationships with teachers by treating them
fairly. Tom regularly reflects on his practice and uncovers
his motives by examining his leadership “from a moral or
ethical standpoint to consider whether he is treating some-
body fairly.” Thus, Tom’s leadership has an underlying
moral obligation to be fair as he supports and nurtures his
teachers.
As soon as we stop expecting life and organizations
to be fair, then we’ve just contributed to injustice or
unfairness. So I think it’s our obligation to create fair-
ness . . . I’ll go out of my way to try to make someone
successful.
Tom views how people are treated in the school culture
as critical to the school’s long-term success. He believes
that the underlying issue is to try and find a way to “main-
tain a sense of personal interest and humanity.” For exam-
ple, Tom views providing opportunities for teachers to grow
and develop skills as his responsibility.
I think it’s just a matter of fairness that somebody
who’s not doing well needs to be given every oppor-
tunity to succeed and the barriers to not being suc-
cessful need to be removed.
This commitment also includes cultivating a collective
sense of fairness within the school community.
I just think we have an obligation to create working
environments where there is fairness and there is a
sense of justice and decency and there’s a right way
and a wrong way of treating people.
Tom Smith is committed to creating a work environment
where all people are treated with respect. This perspective
was evident when the district adopted a new reading series.
First, Tom convinced his staff that this was an excellent
opportunity to look at the school’s reading program because
it had “become fragmented,” as Hawk’s Nest had gradually
moved away from using the district-adopted reading series.
Instead, “a variety of reading programs were being used in
general education and special education classrooms with
pockets of student success.” Tom saw the district adoption
as an opportunity for “consistency” to occur across both
general and special education by “focusing on meeting all
students’ needs and getting everyone on the same page.” To
accomplish this task, he enlisted his staff to critically exam-
ine curriculum to ensure that the necessary components to
meet the needs of all students, including students at risk and
those with disabilities, were present.
We embraced looking at a new reading program as a
means to an end. Although the one that the district
chose wasn’t the one that I wanted, it happened to be
the one that the teachers liked and they believed it
was going to be a solution to aligning curriculum
across general and special education . . . and the fact
is that any reading program, well implemented is
going to work better than either no reading program
or a hodgepodge of things. So the adoption at least
got us all back on the same page, talking about the
same thing and what program we were using was no
longer an issue.
Overall, Tom uses listening as a tool, by being easily
accessible to his faculty, regularly engaging in both formal
and informal interactions, and sharing his own thoughts and
opinions. In doing so Tom “lubricates the human machin-
ery” and subsequently builds stronger ties with his faculty.
Buffering Teachers and Staff From External Pressure
Tom Smith has deep concerns that high-stakes testing and
the overemphasis on narrowly defined accountability mea-
sures are demoralizing for teachers, create undue anxiety
for the entire school community, and often are not in the
best interest of students. Given these concerns, Tom Smith
seeks to buffer his teachers from these negative aspects of
his state’s accountability system and support his teachers in
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Hoppey and McLeskey 251
developing an accountability system that better fits the
needs of their school community. Tom supports his staff in
this regard by (a) using data to define goals and standards
and (b) building partnerships within the surrounding
community.
Using data to define goals and standards. Although Tom
Smith feels that a major aspect of his role is to “fend off all
the politics” regarding accountability, he also realizes that it
is important that his school maintain high standards for all
students and reach those standards. Furthermore, Tom and
his teachers understand that they must support their stu-
dents to reach certain accountability standards that are man-
dated by the state. As Tom stated,
I think that what we need to do to be successful and
ultimately change the system to first be successful on
somebody else’s terms . . . it needs to be obvious that
our kids are good readers or good writers or good
arithmeticians, and that’s not really a subject for dis-
cussion.
To seek a reasonable balance between mandated stan-
dards and school-developed goals, Tom and his faculty
work collaboratively to develop their own standards and
measures of accountability. More specifically, Tom encour-
ages his faculty to “describe and define what is important to
us so we know we are doing a good job.” Tom believes that
“to achieve long-term growth, we have to create some
meaningful goals that transcend all that stuff, though out
goals could include [some of the state standards].”
The faculty and administration at Hawk’s Nest Elemen-
tary use a variety of outcome measures to make informed
decisions and develop their own standards and goals for
student achievement. This approach allows the school fac-
ulty and administration to address their collective, deep
moral purpose of “educating ALL students to reach their
potential” in an inclusive school community. This approach
was particularly relevant immediately after the school
implemented an inclusive program action plan to transform
special education services.
After guiding them through the inclusion process
and getting through the initial enthusiasm we had to
deal with the implementation gulch. It’s like the end
of September and people begin asking why did we
do this. I like the other [program] better and our kids
aren’t getting it. But that’s just part of any new
implementation and you just encourage them
through that and start to look for trends in the stu-
dent data. Even small victories will help sustain any
change.
Tom noted that as the teachers at Hawk’s Nest Elemen-
tary began examining student data in reading and designing
interventions based on these data, they also began trans-
forming their teaching practice. Over time, this practice of
using data to make instructional decisions has become
“ingrained in the culture” at Hawk’s Nest and is used across
curricular areas. This has resulted in more frequent use of
evidence-based instructional approaches and the reorgani-
zation of the school schedule to allow more time for
cotaught classrooms.
Throughout the school year, Tom Smith focuses teachers
on the progress students are making on locally determined
measures and seeks to downplay the importance of state-
wide accountability measures. Student progress is mea-
sured at least every 9 weeks in reading and math, and these
data are used to determine which students need additional
support in meeting standards. Furthermore, teachers use
these data to adapt instruction and work collaboratively to
develop alternative ideas to address student needs.
Building partnerships with the surrounding community.
Another approach that Tom Smith uses to buffer and sup-
port his teachers is to develop partnerships with the sur-
rounding community. Tom describes this as the “public
relations as part of the job,” as he has built professional and
personal relationships with many key community members
and organizations. Tom enacts this role by frequently shar-
ing the collective vision of Hawk’s Nest Elementary related
to building strong classroom communities, developing
solid citizens, and making steady academic progress with
community groups. He has also been personally involved in
a wide range of community organizations and activities.
This community engagement has helped to create a natural
buffer for Hawk’s Nest Elementary from many of the high-
stakes accountability pressures, as key members of the
community recognize and value the efforts of the local
school and see the many intangible benefits that come with
attending Hawk’s Nest Elementary.
A result of developing solid community relationships is
that key community leaders serve on the School Advisory
Council (SAC). The purpose of the SAC is to assist in pre-
paring and evaluating the school improvement plan and to
assist with the annual school budget. Tom uses this forum to
inform the community about the overarching goals of the
school, to obtain broad-based input regarding these goals,
and to seek assistance in helping the school achieve its
achievement and budget goals.
Tom contends that developing public confidence in
Hawk’s Nest is critical to the long-term success of the
school and also shields the school from much of the undue
criticism associated with the current era of high-stakes
reform. “If you develop trust in the schools, then you help
develop a sense of confidence in the schools, particularly
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252 The Journal of Special Education 46(4)
from the community. Then they are not as likely to be wor-
ried about the No Child Left Behind Act.”
Promoting Teacher Growth
Tom’s beliefs and actions about promoting teacher growth
are tied directly to his overall goal of “lubricating the human
machinery” so teachers can do their best work. At the same
time, Tom recognizes the complexity, tensions, and chal-
lenges associated with promoting teacher growth in an era
of high-stakes accountability and mandated reforms. Tom
describes this as a “simple, but not easy” process of promot-
ing teacher growth that requires him to be flexible as he
seeks to support all his teachers in a variety of ways includ-
ing (a) providing multiple opportunities for high-quality
professional development and (b) providing opportunities
for teacher leadership.
Providing high-quality professional development. Tom recog-
nizes how his role has evolved from when he was primarily
a supervisor who evaluated his teachers and spent much
time doing “clinical things like completing teacher compe-
tency checklists.” Tom has “redefined my role to be more of
a coach and mentor” who “spends the majority of my time
growing people.” To do this, he focuses his energy on build-
ing collegial relationships with his teachers, encouraging
teacher reflection, and providing school-based professional
development to improve teacher learning and student
achievement.
One of Tom’s major concerns regarding professional
development relates to beginning teachers. He recognizes
that he does not have sufficient time to provide these teach-
ers with the job-embedded support and coaching they need.
Furthermore, the mentoring support provided by the district
or state is often directed toward compliance rather than
individual teacher needs. To address this need, he has devel-
oped a school-based mentoring program for beginning
teachers.
Schools as institutions are not very good at bringing
in new teachers. We bring them in, chew them up,
and spit them out. They are often given undoable
jobs. I want them to be in an optimal situation. Thus,
we provide them with veteran teachers to mentor
them . . . mentors are a big brother or big sister who
is invested in them. The mentor helps them to make
sure they are set up for success.
Tom also expressed concern regarding the quality of
professional development provided for his teachers. Most
of these activities address newly mandated reading or math
programs and do not address the individual needs of teach-
ers to improve their classroom practice.
[There’s] not much time to do professional develop-
ment now because of the new mandated reading
program and next year’s math adoption. Most of the
staff development is dictated from the district office.
This makes for some hard choices when I want to
focus on school-based work.
Part of Tom’s leadership responsibilities is to ensure that
his teachers are engaged in high-quality, job-embedded pro-
fessional development that “gets away from the high stakes,
and focuses on the goals we have [for teachers].” Further-
more, he views professional development as a vehicle for
promoting individual and collective growth among teachers
around topics that are important to his staff.
Now in order for that to happen, the school has to be
successful in very obvious ways, not because of what
reading books we have, or curriculum or all these
other procedural things. I think all of that’s going to
happen because we’ve got a lot of people thinking
about good teaching and learning and mastering the
craft and that whole professional development thing.
. . . If you’ve got people talking about the right things
then the solutions will work themselves out.
For example, Tom’s vision to enhance the professional
development process for his teachers included participating
in professional development activities targeting inclusive
school reform. To do this, the school staff agreed to partici-
pate in Project INCLUDE, a university-based professional
development seminar targeting teacher professional devel-
opment around the issue of meeting the needs of all stu-
dents, including students with disabilities. During this
semester-long process, teachers assumed various leadership
roles and actively debated the salient issues of inclusive
school reform with their peers.
I think a good example of this is to look at what hap-
pened in Project INCLUDE. It wasn’t about answers.
It was about the questions and about inquiry, about
reflection and about being honest with ourselves. We
need to get that kind of thing happening all the time.
Not on a situational basis. But that level of inquiry
needs to be what we always do around here.
Project INCLUDE provided support for a team of teach-
ers and administrators to develop and implement action
plans for improving inclusive programs in schools. Specifi-
cally, the project provided professional development activi-
ties to better prepare teachers and administrators to meet the
needs of students with disabilities (and other students
who needed support) in inclusive settings (McLeskey &
Waldron, 2000). During this professional development
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Hoppey and McLeskey 253
seminar, teachers engaged in a professional learning com-
munity and worked closely to examine their current prac-
tice, interview a variety of stakeholders about their beliefs
regarding inclusion, visit exemplary inclusive sites, and
develop a schoolwide inclusive school improvement plan.
Moreover, after this process Tom strongly encouraged
teachers to tie their professional development plans to the
larger, overarching school improvement plan.
In sum, the purpose of providing this type of profes-
sional development is essentially twofold: to focus on
developing the individual teacher’s professional growth
while simultaneously seeking to establish community
norms. Thus, Tom’s underlying purpose (i.e., lubricating
the human machinery) bubbles to the surface and is the
thread that connects his ideas of promoting teacher growth
to the larger issues of school culture and community.
Providing opportunities for teacher leadership. Tom Smith
recognizes that a principal does not have sufficient time to
provide all of the leadership that is necessary for an elemen-
tary school to be successful. Success requires teachers to
assume a variety of leadership roles. Over time, teacher
leadership has evolved from formal roles such as depart-
ment chair and curriculum specialist to a new wave of
teacher leaders “where teachers are leaders in creating and
sustaining a collaborative culture of learning in schools
focused on improving instructional practice” (Yendol-
Hoppey & Dana, 2010, p. 27). Thus, teacher leadership in
an era of heightened accountability highlights how princi-
pals can build capacity by simultaneously focusing on
teacher and student learning. Given this need, Tom Smith
seeks to embed teacher leadership in the collective vision
and culture of the Hawk’s Nest Elementary by expecting
“everyone on the faculty to be a leader, as all have talents or
something to offer to the school.” He states,
The leader’s job is not to develop followers, but more
leaders. So how can you create not just a culture
valuing change and growth and improvement, but
actually a structure or a process that promotes teach-
ers to lead that becomes what you do.
To promote teacher growth, Tom seeks to create natural
opportunities for teachers to lead as part professional devel-
opment activities. For instance, as a result of participating in
Project INCLUDE, Tom and his faculty developed a school–
university partnership and engaged in several professional
development activities. This included talking and collabora-
tively designing with the local university an advanced degree
program focused on teacher leadership for school improve-
ment. Tom also believes that national board certification has
a “similar justification as the degree program.”
Developing a reflective cycle is at the core of the
[master’s/specialist] program. . . . By reflecting on
what and how you teach, what were the results,
everyone can improve their teaching practice.
Additionally, by collectively developing the pro-
gram with the university, teachers can easily target
areas of interest for them and simultaneously com-
plete national board certification at the same time.
These projects help build capacity for teacher leadership by
providing space for his staff to “look outside themselves for
new knowledge creation.”
However, Tom also recognizes that developing teacher
leaders and change agents is a difficult task. It is his respon-
sibility to assist his teachers by “building relationships and
supporting teachers in their growth.” For example, though
many of his staff are interested in leadership roles related to
school change activities, they have “never been pioneers
before,” and they will need his ongoing support as some
“people naturally resist change and experience personal
frustration of doing something new and not understanding
the skepticism of others when they try to help other people
move forward.”
As these examples illustrate, Tom Smith consistently
promotes teacher growth by improving relationships with
his teachers and developing partnerships while simultane-
ously seeking input on ways to provide meaningful profes-
sional development for his faculty. By embedding
professional development in the daily work of his teachers,
Tom’s goal is to improve student outcomes. This is done by
“creating a lot of institutional learning” and has the added
benefit of creating future school leaders.
Discussion
This investigation provides insight into how one principal
enacted his role to provide support for school improvement
during an era of high-stakes accountability. The results of
the study indicate that the central metaphor that guides Tom
Smith’s leadership is “lubricating the human machinery” to
improve the lives of teachers and students so that they can
do their best work. Specifically, Tom seeks to nurture and
care for his staff and to invest personally in his teachers
while simultaneously attempting to buffer them from exter-
nal high-stakes accountability pressures. Furthermore, Tom
seeks to “lubricate the human machinery” by build capacity
and moving Hawk’s Nest toward a collective commitment
to the education of all students with a focus on students with
disabilities. As he does this, it is his underlying moral pur-
pose of improving the lives of teachers and students that
steers Tom’s thinking, decision making, and actions. There-
fore, not only does Tom’s leadership focus on creating and
cultivating relationships that are fueled by making personal
connections with people, both internal and external to the
school, but also he embraces a deeper moral conviction
related to improving his school by helping his teachers and
students reach their full potential.
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254 The Journal of Special Education 46(4)
Several of the actions that guide Tom Smith’s leadership
at Hawk’s Nest Elementary School are supported by previ-
ous research related to the qualities of effective inclusive
schools (Dyson, Farrell, Polat, Hutcheson, & Gallannaugh,
2004; Farrell, Dyson, Polat, Hutcheson, & Gallannaugh,
2007) and principal leadership for school change (Fullan,
2007; Waldron & McLeskey, 2010). For example, research
has demonstrated that principals are rarely in a position to
provide leadership for the numerous activities that are
necessary to achieve lasting school change (Waldron &
McLeskey, 2010). Given this circumstance, distributed
leadership that provides leadership roles for teachers and
prepares them for these roles is often a critical component
of successful school change (Spillane, 2006; Spillane, Hal-
verson, & Diamond, 2001). Furthermore, effective school
change is often supported by teacher-centered, job-embed-
ded professional development (McLeskey & Waldron,
2002; Yendol-Hoppey & Dana, 2010), which was a major
goal of Tom Smith as he sought to improve the quality of
teaching in classrooms at Hawk’s Nest Elementary.
Similarly, school change that results in inclusive pro-
grams, which improve outcomes for all students, is charac-
terized by many components that are similar to those
addressed by Tom Smith at Hawk’s Nest Elementary. For
example, Dyson and colleagues (Dyson et al., 2004; Farrell
et al., 2007) found that effective inclusive schools are char-
acterized by a strong school culture and shared commitment
to improving educational outcomes for all students. In addi-
tion, these schools often have a school-based system for
monitoring student progress and evaluating program out-
comes, similar to that of Hawk’s Nest Elementary, and seek
to improve the quality of teaching in all classrooms by pro-
viding high-quality professional development.
Tom Smith’s efforts to “lubricate the human machinery”
through caring for and personally investing in teachers,
buffering teachers from external pressure, and promoting
teacher growth have served to foster effective inclusive
practices and help teachers and students thrive in an envi-
ronment of accountability. Therefore, this research adds to
the limited literature base on effective principals who
actively promote inclusive best practices in a time of high-
stakes accountability. This can occur if school leaders can
focus their energy on developing solid relationships with
their staff and concurrently address the issue of account-
ability by providing a variety of avenues to develop teach-
ers’ capacity for effectively implementing inclusive best
practices. For example, this research highlights how by
exhibiting care in explicit and meaningful ways, one prin-
cipal attempts to build and sustain relationships as well as
create a shared sense of community that embraces the
values of inclusion, collaboration, and collegiality. This
belief is evident as he treats his faculty with respect and
distributes leadership opportunities by encouraging teach-
ers to participate in a range of professional development
opportunities to meet the needs of all students, including
students at risk and with disabilities. More importantly,
while all this difficult work is occurring at Hawk’s Nest, the
principal consciously attempts to buffer his teachers from
the myriad outside pressures associated with high-stakes
testing by setting school goals. This occurs as the learning
community collaboratively uses student data to define
yearly goals, design and develop effective instruction, and
use ongoing student data to make effective curriculum and
instruction decisions. As data presented previously illus-
trate (see Table 1), the teachers at Hawk’s Nest Elementary
have been very successful in meeting accountability
demands, as students who struggle to learn reading and
math skills as well as students with disabilities make sig-
nificantly more academic progress than similar students in
other schools in the district and the state.
The most obvious implication of this investigation is that
serving as principal in the current era of high-stakes
accountability has become increasing complex. Although
principals continue to be responsible for organizing and
managing their schools, they also must assume a range of
other roles to ensure that their school meets accountability
demands, provide support for teachers, and meet a broad
range of student needs. This suggests the need for a high
level of rigor in the preparation of principals, especially to
ensure that principals have extensive knowledge regarding
school change (Fullan, 2007). Principals not only must be
prepared for the nuts and bolts of change (e.g., knowledge
of high-quality professional development) but also must be
well versed in strategies for changing school culture and
developing learning communities within schools (Fullan,
2007; Pugach et al., 2009; Waldron & McLeskey, 2010).
Another implication of this investigation relates to the
importance of the principal in the school change process as
inclusive programs are developed (McLeskey & Waldron,
2006; Waldron & McLeskey, 2010). When considering the
results of this case study, it is difficult to imagine that an
inclusive program could have been developed in Hawk’s
Nest Elementary without the leadership of Tom Smith. Given
this level of importance of the principal in developing
successful inclusive programs, careful selection of principals
and providing high-quality principals for every school should
be major priorities for every school district. Principals should
be selected who have the knowledge, skills, and dispositions
to provide leadership as well as the respect of the school
staff. If this does not occur, schools will have great difficulty
meeting the complex demands of high-stakes accountability
mandates and serving the needs of all students.
Limitations and Directions for Future
Research
There are three major limitations that should be taken into
account when considering the results of this investigation.
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Hoppey and McLeskey 255
First, this case study was limited to one principal, and this
severely limits the transferability (Patton, 2002) of the
results to the leadership practices of other principals.
Although case study research is time intensive and provides
a rich description of the phenomena being studied, the
reader must be responsible for determining the extent to
which the results of this case study are applicable to other
principals.
A second, related limitation concerns the fact that the
data that were collected and reported in this study do not
include perspectives of teachers, parents, and other stake-
holders regarding the work of the principal. Adding this
information could have provided distinctive perspectives
regarding the work of Tom Smith with the school staff and
community and could have added valuable insights regard-
ing the particular behaviors Tom Smith engaged in (e.g., his
leadership practices) that these stakeholders perceived as
critical influences on school improvement.
Third, the findings of this study are contextually bound
and particular to one school at a particular point in time. For
example, the particular issues related to high-stakes testing
and accountability that were addressed in this study are par-
ticular to the state in which the study was conducted and to
how the local school district interpreted and implemented
state mandates. Thus, although this investigation may pro-
vide insight regarding how a principal may address certain
leadership roles during an era of high-stakes accountability,
the reader must decide if any of the particular approaches
used by Tom Smith to enact his role are applicable in other
settings.
Although this investigation provides a detailed descrip-
tion of how one principal enacts his leadership role, further
research is needed to present a more complete understand-
ing of how effective principals conceptualize and enact
their roles as school leaders in an era of high-stakes account-
ability. This research should include individual cases as
well as cross-case analyses to investigate possible recurring
themes or patterns across settings (e.g., urban, suburban,
rural) and school levels (i.e., elementary, middle, and high
school). For example, how do principals in high-poverty
schools conceptualize and enact their roles, and how does
the work of these principals differ from that of principals in
low-poverty schools?
Future research should also provide more detailed infor-
mation regarding how effective principals cross borders
and navigate the politics of leading a school in the current
era of high-stakes accountability. For example, how do
principals negotiate the politics of school change with
external audiences while simultaneously buffering their
faculty from much of the public scrutiny and policy pres-
sures associated with high-stakes reform? Furthermore,
how do principals achieve this buffering while continuing
to respect teachers and shared decision making?
Finally, more research is needed to understand how prin-
cipals conceptualize and enact effective school-based pro-
fessional development that results in changes in teacher
practice and improved outcomes for students. For example,
under what conditions do teachers and students benefit
from school-based professional development that targets
school-identified improvement goals? How do principals
create job-embedded professional development opportuni-
ties that target school improvement goals?
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with
respect to the authorship and/or publication of this article.
Funding
The author(s) received no financial support for the research and/or
authorship of this article.
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