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This study develops a framework for transformational change in institutions of higher education that is both theoretically and empirically grounded and is context based. It reports on six ethnographic case studies of six institutions over a four year period. The six institutions in the study and their change initiatives included one research university (reconceptualizing the goals of general education and faculty roles); three doctoral-granting universities (changing faculty roles and rewards, creating a more rigorous academic environment, and integrating technology into the teaching and learning process); a liberal arts college (creating a campus community grounded in civic responsibility); and a community college (becoming more student centered). Qualitative research techniques were used including interviews, participant observation, site visits, and document analysis. The key findings included: identification of five core strategies for transformational change, all of which facilitated organizational sensemaking; (2) the important inter-relationship among core and secondary strategies and the non-linear change process; (3) the need for balance among strategies; (4) the importance of social cognition models for future studies of transformational change; and (5) the efficacy of combining multiple conceptual models. An appendix provides definitions of core and sub strategies. (Contains 60 references.) (Author/DB)

This study examined the impact of institutional culture on the change process within colleges and universities. It used an ethnographic approach and two tiered cultural frameworks to investigate comprehensive change at six institutions. The conceptual frameworks of culture used were Berquist's theory of institutional archetypes of culture and Tierney's theory of unique institutional cultures. The six institutions in the study included one research university, three doctoral-granting universities, a liberal arts college, and a community college. Data were collected on a semesterly basis by participant-observers at each institution and by outsider researchers. Data analysis involved theme analysis of institutional change strategies, development of institutional culture profiles based on both Berquist and Tierney frameworks, and analysis of whether institutional culture patterns could be identified in the change strategies. The report focuses on three of the six institutions describing change initiatives at each institution, their cultures, and discussion of how each culture affected institutional change strategies. Results support the value of exploring change strategies through a cultural approach, the usefulness of Berquist's four cultural archetypes, and the need to consider the unique nature of each institution's culture. Results suggest the need for campuses to conduct audits of their institutional culture before engaging in the change process. (Contains 34 references.) (DB)

Diversity is a policy objective pursued by most higher education systems; at the same time these systems are also concerned about equity of access and the quality of educational opportunity. For a variety of reasons, individual institutions attempt to benchmark themselves against other institutions. Both activities involve measurement, classification, and the selection of peer. Although often addressed apart from each other, diversity and peer selection can be conceptually linked within single scales of similarity and dissimilarity, although existing paradigms that explain diversity may be too simple for reliable peer selection and comparison. A case study of the University of Toronto (Canada) is used to discover the connections between diversity and peer selection, test existing paradigms, and develop a modified methodology that can be used for selecting peers and measuring diversity. Among the study's conclusions are: (1) program cost structures affect institutional cost structures to a large enough extent to be detected in rankings of similarity and dissimilarity and in the measurement of diversity; and (2) of the four principal paradigms--resource dependence, natural selection, competition, and social organization--resource dependence appears to be the most robust in measuring differences in diversity; natural selection and social organization provide better explanations of how diversity develops. (Contains 29 references.) (CH)

This study sought to understand the institutional behavior processes that occur when institutions are faced with anti-affirmative action litigation. A dual case study, conducted at the University of Maryland and at the University of Michigan, was designed to develop concepts linking litigation and institutional response. Using a grounded theory approach, three conceptual schemes entrenchment, battle, and retreat emerged. The first set of responses occurred in the period prior to litigation or during a period of threatened litigation; the second while litigation was pending; and the third set occurred post-litigation. In all three conflict models, aspects of retreat response and aftermath were essentially underdeveloped. The findings indicate that both institutions engaged in various activities to maintain their affirmative action stance legally, socially, and politically. There was also evidence of the institutions engaging in strategies that incorporated polar responses in order to meet diverse objectives. Following the introduction to the problem there is a summary of the literature. The methods section provides an overview of the sampling, data collection, and data analysis procedures. Findings are amplified by extensive quotes and detailed descriptions of the three institutional responses. The paper concludes with sections on theoretical interpretations, recommendations for future research, and implications for practice. (Contains 29 references.) (CH)

This study attempted to identify the continuous quality improvement (CQI) practices that leaders implement in the process of changing cultures at institutions of higher education. Emphasis was on meeting the challenge of balancing a respect for the institution's existing culture while working to create a new culture. First, a survey was constructed and sent to 408 higher education institutions (273 responses) that have implemented CQI. Second, a qualitative study based on in-depth site visits to 10 institutions that had been implementing CQI principles and practices for at least three years was conducted. Visited institutions included four-year public, four-year independent, and two-year community colleges, as well as a mixture of research- and teaching-focused institutions of various sizes. The primary themes that emerged were grouped under the categories of (1) systems developed, (2) main barriers encountered, (3) outcomes of quality principles and practices, and (4) lessons learned. Major themes identified included the need for effective communication systems; (2) the need for changes in institutional culture; and (3) and the recognition that leadership is critical in changing culture. (Contains 42 references.) (DB)

This study applied feminist organizational theory to explore the effects of gender structure on perceptions of organizational culture and climate. The study used data from a 1994 survey of permanent, noninstructional staff at a major midwestern university (n=4,800). The research sought to determine: (1) whether gender-dominated organizational sectors exist in the noninstructional work setting of a university; (2) how employee gender relates to perceptions of organizational work culture and climate; (3) how gender dominance in job type relates to perceptions of organizational work culture; and (4) how employee gender, gender dominance in work sector, and perceptions of organizational culture relate to perceptions of work climate. The conceptual framework for the study included feminist views of organizational theory, literature on organizational culture and climate, and issues of gender in higher education. The data revealed distinctive gender distributions among job types, supporting the feminist description of a gendered organization, with women segregated into particular job types and academic disciplines. It also appeared that employees in job types dominated by women tended to view their work culture as one which emphasized relationships, shared values, and group loyalty, rather than as an entrepreneurial-style adhocracy. Most respondents rated their work environment favorably. (Contains 25 references.) (CH)

This study uses symbolic interactionism as a framework for understanding race, and for understanding how faculty of color construct the promotion and tenure process. Interviews were conducted with 16 faculty members at a private research university in a small United States city. Interviewees included eight African American women, three African American men, two Asian American women, one Asian American man, and two Latino men; all were tenured or on tenure track. Faculty evaluations were based on teaching, service, and scholarly achievement, defined primarily through research and publication. During open-ended, semistructured interviews participants were asked to talk about their promotion and tenure experiences. Faculty members' perceptions of racism were then classified into two categories: individual or institutional. It was found that faculty members negotiated and resisted racism as best they could; responses ranged from "giving up," to fighting back, to picking and choosing battles, to playing the game, finding mentoring support, and most importantly to defining promotion and tenure criteria in ways that benefited their racial communities that is, through "race" research and minority-related community service. The paper concludes that creating a more supportive environment for faculty of color will require the construction of a common understanding of race in higher education. (Contains 78 references.) (CH)

This study examined the effects of state regulation of financial, personnel, and academic resources on the administrative flexibility granted to universities, and tested the hypothesis that state regulatory climate influences levels of managerial satisfaction. Data were gathered through two surveys. The first covered management flexibility and state regulation issues; responses were received from 122 public universities. A second survey of administrative satisfaction and stress was administered to 12 managers on each campus; replies were received from 995 respondents at 100 universities. Survey questions were grouped in five sets of variables: state characteristics, campus characteristics, administrator characteristics, perceived administrative work climate, and overall satisfaction. The study found: (1) that administrative teamwork and interpersonal stress, respectively, had the strongest positive and negative influences on administrative satisfaction; (2) that academic and administrative dimensions of campus autonomy were relatively independent; (3) that there was only a slight relationship between the economic, demographic, social, and political characteristics of the state and the regulatory climate for state universities or managerial satisfaction levels, (4) that there was little correlation between state control and campus characteristics, and (5) that there was little direct relationship between administrator satisfaction and state and/or campus characteristics. Four figures summarize some of the data. (Contains approximately 65 references.) (CH)

In this study, 76 faculty (48 tenured, 28 nontenured) at 5 private universities were interviewed and asked to rate seven questions on tenure and then comment on their ratings. Faculty were at small and medium-sized colleges and universities in Southern California and represented the fields of sociology, history, biology, and business. The faculty rated job security and due process as more important attributes of tenure than the protection of academic freedom or professional status. They also said that academic freedom would still be moderately well protected on their campuses if there were no tenure system, because of the culture and traditions of the institution, students, the administration, and above all, the faculty themselves. Survey results suggest that de-coupling tenure and academic freedom for purposes of analysis could lead to better employment practices and the expansion of academic freedom to all faculty, both tenured and nontenured. Tables detailing the study's findings are included. (Contains 27 references.) (Author/LEE)

Professional-development schools are collaborations between universities and public schools to improve the nation's teaching force. Prospective teachers are assigned to K-12 schools for formal instruction, planned experiences in classrooms, and mentoring from master teachers. This paper presents findings of a qualitative study that described the role of the principal in the professional-development school (PDS) in seven elementary schools participating in the Texas Centers for Professional Development and Technology. Data were gathered through site visits conducted in 1994-95, a review of documents, and interviews with key participants in the schools. Findings indicate that the configuration, size, complexity, and staffing of the school had a significant effect on the PDS roles, and consequently, on the probability of institutionalization of the PDS model at the school. The study applied the Miles and Huberman (Miles 1983) model of institutionalization to predict which of the schools would institutionalize the PDS and which would abandon it as external funding was reduced. The paper also offers recommendations for increasing the probability of successful implementation and institutionalization: (1) Provide staff support for principals in schools with large numbers of interns and other students; (2) develop job descriptions and expectations for principals; (3) provide orientation and staff development; (4) offer training in other related areas, such as conflict resolution and communication skills; and (5) provide additional funds for educational technology and communication linkages. Five tables are included. (LMI)

This report presents the results of a qualitative research study at three small independent colleges/universities on how literature-based strategic planning models compare with actual practices. Four critical aspects of strategic planning were identified: first, dealing with the future; second, understanding the organization's external environment; third, identifying current organizational strengths; and, fourth, using information gathered to make appropriate decisions. The study then focused on five institutional aspects of planning: (1) creation of strategic planning models; (2) how strategic planning is defined operationally; (3) planning activities used in the process; (4) the role of the institution's president; and (5) the outcomes, both intended and unintended, of the planning strategies. The research involved three steps: selecting the institutions, selecting interviewees, and acquiring data. The study showed that, generally, small institutions did not use strategic planning in a manner consistent with the literature, and also that all of them neglected to implement, or did so at a marginal level, the planning activities of providing on-going feedback regarding the status of plan implementation and evaluation of goal implementation and outcomes. Another finding was that while strategic planning was generally created in response to a management crisis, the degree of effort was generally a reflection of the president's commitment. The study concludes that while strategic planning is important, literature-based practices should be adapted to the needs of small colleges. Appendices list attributes of strategic planning and the interview questions. (Contains 39 references.) (CH)

Although educational researchers are beginning to recognize the influence of organizational culture on organizational productivity, the term "organizational culture" has been defined from a variety of perspectives. This paper presents findings of a case study that investigated the cultural characteristics of a junior high school recognized for its effectiveness. The school was located in an urban school district with a 40-50 percent dropout rate. Data were collected through document analysis, observation, and interviews with 25 students, 11 teachers, and 2 administrators (a random sample from a population of 771). Kluchohn and Strodbeck's organizational-cultural paradigm (1961) is used to describe the school's basic assumptions about: (1) humanity's relationship to nature; (2) the nature of reality and truth; (3) the nature of human nature; (4) the nature of human activity; and (5) the nature of human relationships. Teachers expressed the following core values--trust, achievement, openness, innovation, networking, involvement, and recognition. A conclusion is that school culture is a sequence of complex shared behavior patterns that connect the artifacts, core values, and underlying assumptions that form a cultural paradigm. This culture will sustain itself over time as long as the linkages help the school survive. (LMI)

Findings of a study that examined parent and student perceptions of school learning environments are presented in this document. The data are from the 1993 National Household Education Survey (NHES:93), a national survey conducted by Westat for the National Center for Education Statistics. This report is based on data from telephone interviews conducted with 10,117 parents of students in grades 6-12 and 6,504 students in grades 6-12. A Positive School Environment Scale (PSES) was constructed of seven elements. Overall, parents and students gave relatively positive ratings to the schools with which they had direct and current experience. School ratings varied by school characteristics: public schools were rated lower than private schools; larger schools were rated lower than smaller schools; and middle/junior high schools were rated lower than elementary schools. Despite the generally positive assessments, low percentages of youth strongly agreed that they were challenged at school, that they enjoyed school, and that students and teachers had respect for each other. Low percentages of students also reported that their friends thought it very important to work hard for good grades and to behave well in school. Overall scores did not differ by racial/ethnic or urban/rural factors. Five tables are included. (LMI)

In response to an accreditation team's concern over the status of affirmative action, the campus atmosphere toward women and ethnic minorities, and involvement of staff in decision-making at San Joaquin Delta College (SJDC), in California, the college conducted a survey of staff attitudes. A questionnaire was distributed to all 942 full- and part-time faculty, administrators, and classified staff in December 1992, resulting in 359 usable responses for a sample that closely matched college demographics. Survey findings included the following: (1) 45% of the respondents agreed and 9% disagreed that SJDC was making a strong effort to recruit women into management, while for women only 30% agreed compared to 60% of men; (2) 67% of the male respondents disagreed that sexism was a major problem at the college, compared to 40% for females; (3) staff as a whole indicated that SJDC was making a strong effort to recruit minorities and that they were well represented in management positions, while both Hispanic and Black employees indicated disagreement; (4) only 26% of the staff believed that committees created to expand shared governance had much influence on major decisions, compared to 34% who did not believe so and 40% who were neutral or had no opinion; and (5) analysis of the findings offered insight into unity and dissension of staff attitudes, with Black, Hispanic, and classified staff members workers more likely to give negative responses and managers, men, and full-time faculty less likely. The survey instrument is appended. (KP)

This paper summarizes research on ways to measure a school's instructional climate. Four areas of inquiry revolve around accomplishment, recognition, power, and affiliation. Because a school's instructional climate has a significant impact on student learning, the study of instructional climate is important. Three sets of conditions to examine when measuring instructional climate include generalizability, changes in respondents, and changes over time. School norms are essential for interpreting and understanding a school's score. Samples of two forms of the Instructional Climate Inventory (for teachers and students) are presented and ways to analyze their results are described. A conclusion is that instructional climate is real, important, and measurable. A remaining question is how to create positive learning climates. One way is through school leaders who clearly articulate a school mission by their actions and behaviors. Four figures are included. (LMI)

The appreciative inquiry process was used to identify conditions enhancing self-directed learning. Participants in the project did the following: (1) used the five-step process to identify factors/conditions/forces that seemed to cause self-directed learning to occur; (2) created a matrix by combining the factors/conditions/forces with six variables (purpose, structure, relationships, rewards, leadership, and helpful mechanisms); (3) identified for each cell statements of behaviors that their organizations had undertaken with positive outcomes for learning; (4) wrote a single statement of behavior for each cell that captured the essence of the multiple statements; and (5) consisted whether their organizations do and should do the behavior. The conditions identified were as follows: (1) continuous improvement adopted as an organizational strategy; (2) involving individuals by letting them know how their actions contribute to the organization's goals and that their input is valued; (3) rewards and support for individuals who take responsibility for their own learning; (4) values underlying the organization's structure and purpose that are in harmony with individuals' values; (5) managers who set an example by learning; (6) valuing differences; (7) support for risk-taking; (8) effective communication systems that include a network of all stakeholders, flexible supportive structures and processes, and a supportive culture; (9) fostering collaboration in work and play; (10) encouraging learning by implementing rewards and processes that support creativity and innovation. (CML)

Findings of a study that examined how effectively instructional leadership and instructional climate predict student learning outcomes are presented in this paper. Surveys to determine principals' self-perceptions and teachers' perceptions of instructional climate were completed by 72 principals and 1,523 teachers. Achievement results for 9,415 students, taken from the Illinois statewide student-assessment program, were available at the third-grade level (56 schools), sixth-grade level (41 schools), and eighth-grade level (15 schools). The dimensions of instructional leadership included: defining mission; managing curriculum and instruction; supervising and supporting teaching; monitoring student progress; and promoting instructional climate. Measured dimensions of instructional climate included accomplishment, recognition, power, and affiliation. Findings demonstrated a significantly positive correlation between principals' self-ratings of instructional leadership and student achievement. The correlations were strongest for academic satisfaction, recognition, accomplishment, and commitment. No significant relationships were found between teacher ratings of instructional leadership and student achievement, though they were generally positive. In conclusion, the findings provide empirical evidence for a strong relationship between instructional leadership and student learning outcomes. (Contains 26 references.) (LMI)

A study was done to determine the extent to which effectiveness among a nationally representative sample of two-year colleges differs in terms of their dominant type of organizational culture. The study was based on a survey of 1,332 faculty and administrators in 30 colleges. Of these, 662 usable responses were received. Analysis yielded the following distribution of dominant culture types among the 30 colleges: clan (n=10), adhocracy (n=7), hierarchy (n=10), and market (n=3). Clan cultures emphasize shared values, goals, and the development of human resources; adhocracy emphasizes entrepreneurship, growth, and adaptability; hierarchy emphasizes the norms and values associated with bureaucracy (order and uniformity); and market cultures emphasize competitiveness, environmental interaction, and customer orientation. The findings demonstrated wide differences in effectiveness, and the differences were consistent with the colleges' conceptual rationale. The perceived effectiveness of two-year colleges was strongly related to their dominant organizational culture types when controlling for size and level of financial difficulty. Colleges with the adhocracy culture were perceived to be the most effective while clan or market culture colleges occupied a mid-range. Included are 2 tables and 27 references. (JB)

Findings of a study that compared the school climates of four Japanese high schools are presented in this paper. Eight factors that comprise the quality of school climate were examined--respect, trust, high morale, opportunities for input, continuous academic and social growth, cohesiveness, school renewal, and caring (Fox and others, 1974). A questionnaire to measure perceptions of school climate was administered to 362 high school students, 161 teachers, and 8 administrators in 4 high schools in Yamagata City, Yamagata Prefecture. The sample included a male academic, a female academic, a coeducational agricultural, and a coeducational commercial high school. Findings indicate that school climate was perceived differently across all four schools. Teachers and administrators perceived their school climate more favorably than did students in the same school. Of all the factors of school climate, students in all four schools perceived that school renewal occurred least often; teacher perceived that the opportunity for input occurred least often. Finally, students reported "caring" as one of the most positive factors in their school climates. Seven tables are included. (Contains 17 references.) (LMI)

Findings of a study that examined the role of the governing body in the independent school's self-renewing processes are presented in this paper. From the holistic paradigm, the school is viewed as a self-renewing system that is able to maintain its identity despite environmental changes through existing structures that define and create expectations. The school is a living system whose primary concern is to maintain its identity. The sample included five schools in the Sydney Anglican Diocese whose heads belonged to the Association of Heads of Independent Schools of Australia. Methodology involved participant observation, interviews with 56 heads and members of governing bodies, and document analysis. Findings indicate that the governing body participates in the mechanisms that stabilize structures of expectations temporally, sociopolitically, and materially. A conclusion is that a school's identity cannot be imposed externally and that administrators must recognize their schools' internal processes, viewing the school as an autonomous, living system. Two figures are included. (Contains 20 references.) (LMI)

Findings of a study that examined whether individual teacher attributes or organizational conditions influence classroom pedagogical practices in southern Africa are presented in this document. Methodology involved observation and administration of a questionnaire to 244 secondary teachers in Botswana. Findings indicate that teacher behaviors in southern Africa were quite uniform and simple. Moderate variation in technical complexity among teachers was observed, including; (1) the range of frequency in utilizing textbooks and other basic tools; (2) time spent on academic tasks; and (3) the complexity of questions that teachers ask students. This variation can be explained both by factors emanating from the institutional environment, such as curricular traditions, and by formal rules and materials that are manipulated by state actors, such as textbook supply. Sharp variation in ethnic and gender characteristics of teachers were not significantly related to pedagogical behaviors, which suggests that the classroom institution acts to moderate individual differences among young teachers. Five tables are included. (Contains 40 references.) (LMI)

Findings from a study to examine the relationship between school climate factors and student achievement in the Austin Independent School District are presented in this executive summary. Factor and regression analyses were used to analyze data from a survey of all public school professionals in the district. Findings suggested that differences in students' average achievement gains were related to their schools' learning and working conditions and that conditions related to student learning more strongly impacted achievement than did treatment of teachers as professionals or school discipline and management practices. The best predictor of student achievement was the percentage of school faculty willing to express displeasure with their school climate. Most faculty reported positive attitudes toward their schools' climates. Two tables are included. The appendix contains a list of survey items arranged by factor. (LMI)

A pilot program based on a school-based decision making model (SBDM) implemented in eight inner city schools is evaluated in this report. The relationships between program effectiveness and school climate, between teacher characteristics and teacher perceptions of school climate, and between student characteristics and student perceptions of school climate are examined. Three instruments are applied to assess school climate, classroom climate, and self-concept: the Tennessee School Climate Inventory (TSCI); Tennessee Classroom Climate Inventory (TCCI); and Self Concept as a Learner--Revised (SCALR). Factor analysis indicates that perceptions of successful program implementation correlate positively with school climate. A comparison with nonparticipating schools shows that schools in the program demonstrate a more positive school climate. Three statistical tables are included. (LMI)