2004 - The Challenges of Educational Leadership

The Challenges of
Educational Leadership
Leading Teachers, Leading Schools

Series Editor: Alma Harris, Professor of Educational Leadership at the
University of Warwick
This series of cutting-edge books on current issues in teaching and school
improvement aims to deal with the practical realities of leading and
improving schools and classrooms, but through the conceptual and
theoretical lenses of teacher development, leadership practice and learning
approaches. Each title therefore shows what its subject means for school and
classroom improvement.
This series is for teachers, headteachers and all those involved in school and
classroom improvement. It is also intended to support Professional
Development Opportunities, NCSL courses and MEd/EdD work.
Titles include:
Democratic Leadership in Education
Peter Woods (2004)
Creating the Emotionally Intelligent School
Belinda M. Harris (2004)
The Challenges of Educational Leadership
Mike Bottery (2004)
Teacher Inquiry for School Improvement
Judy Durrant and Gary Holden (forthcoming in 2005)
Leadership for Mortals
Dean Fink (forthcoming in 2005)
The Challenges of
Educational Leadership
Values in a Globalized Age
Mike Bottery
2004 Mike Bottery

First published 2004
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Contents
List of Tables
vi
Acknowledgements
vii
Epigraph
Foreword
1 The books intentions
2 Shifting frames of reference: the need for ecological
leadership
viii
ix
1
12
PART 1 SETTING THE CONTEXT

3 The global challenge
29
4 The impact of commodication and fragmentation
55
5 The impact of standardization and control
77
PART 2 EXAMINING THE IMPACT

6 The impact on trust
101
7 The impact on truth and meaning
123
8 The impact on identity
143
PART 3 BEGINNING A RESPONSE

9 Learning communities in a world of control and
fragmentation
165
10 Professionals at the crossroads
185
11 Models of educational leadership
198
Bibliography
215
Index
225
Tables
Table 1.1 Eight Essential Educational Objectives and their
dependency on one another.
Table 6.1 What happens when governments dont trust

professionals?
103
Table 6.2 The possible trust relationships between different

levels.
116
Table 6.3 Re-establishing governmentalprofessional trust.
119
Table 7.1 The Meeting of Minds? Four approaches to

epistemology and their likely opinions of each
other.
128
Table 9.1 Possible Varieties of Learning Communities
181
Table 10.1 Changing views of Public sector educators.
190
Table 10.2 Two different styles of audit.
193
Acknowledgements
I have been fortunate to have many friends and colleagues who have
helped during the writing of this book. In particular, I would like to
single out Chris Sink, Nigel Wright, Derek Webster, Julian Stern and
Derek Colquhoun.
I would also like to thank Cambridge Journal of Education, Educational Management and Administration, School Leadership and Management, and the International Journal of Childrens Spirituality, for
permission to use materials previously published in those journals.
Finally, and as always, my love and thanks to Jill, Christopher and
Sarah, for all their support, and for being who they are.
And if the blind lead the blind, both shall fall

into the ditch.
Matthew, verse 14.
Foreword
Leadership is back in fashion. Across many western countries there

has been a renewed emphasis upon improving leadership capacity
and capability in the drive towards higher educational performance
and standards. Governments around the world are involved in the
business of educational reform and are placing a great deal of
emphasis on improving the quality of leadership. Even though there
are few certainties about the ability of educational policy to secure
higher performance from the educational system, the arguments for
investment in education, and particularly educational leadership,
remain powerful and compelling.
While the education challenges are considerable and the route to
reform is complex, the potential of leadership to inuence pupil and
school performance remains unequivocal. It has been consistently
argued that the quality of headship matters in determining the
motivation of teachers and the quality of teaching which takes place in
the classroom (Hargreaves, 2003; Crowther, 2000; Day et al., 2000;
Fullan, 2001). The importance of leadership in securing sustainable,
school improvement has been demonstrated in both research and
practice (Harris, 2002; Hopkins, 2001). Consequently, from a policy
makers perspective, school leaders are viewed as holding the key to
resolving a number of the problems currently facing schools. This has
led to a major investment in the preparation and development of school
leaders across many countries and has proved a main impetus for the
establishment of the 1National College for School Leadership in England.
Clearly, there is some basis for optimism. The research evidence
shows that effective leaders exert a powerful inuence on the
effectiveness of the school and the achievement of students (Wallace,
2002; Waters et al., 2004). But there is also need for caution. Although
the international research base on leadership is vast, the evidential
base is very diverse and the nature of studies varies considerably.
Yet, there are relatively few studies that have established any direct
1
The National College for School Leadership is located at Nottingham University.
x The challenges of educational leadership
causal links between leadership and improved student performance

(Hallinger and Heck, 1996).
This new series focuses predominantly upon the relationship
between leadership and learning. It also provides new and alternative
perspectives on leadership which offer a direct challenge to the
current orthodoxies of school leadership that persist, prevail and still
dominate contemporary thinking. This book by Mike Bottery really
does trail blaze the message that there are different ways of
conceptualizing what leadership is, and should be, within a global
society. In an informed but incisive way this book begins to dissect
and dismantle some of the prevailing views about leadership, arguing
that educational leaders need to engage with the wider, global
inuences that affect schools and schooling. The socio-cultural
context, says Bottery, needs to embrace far more than the school, the
district or even the educational system.
This book considers the supra-educational pressures on schools and
locates them at a global, cultural and national level. It critiques
educational leadership arguing that it is simultaneously and paradoxically about control and fragmentation. The dualism of centre versus
periphery is explored in some depth along with the important but
often sidelined issues of trust, meaning and identity within the
current educational context and climate. Bottery rightfully relocates
these at the heart of educational change, development and reform.
The book argues that the main challenge for educational leaders is to
respond in a meaningful and authentic way to these issues and in so
doing develop new meanings and understandings about their role. It
also argues for an alternative model of educational leader who is not
only an ethical dialectician who works from a value base with
educational vision but who also has considerable political and
pragmatic awareness. Such leaders have an internal moral compass
which drives their relationships with others and ensures they rarely
stray from an agenda focused on learners and learning.
As the rst book in a new series, Mike Bottery has provided a rare
balance of challenge, critique and pragmatism. It is unlikely that this
book will be read and forgotten. In the contemporary climate of
designer leadership, lowest common denominator competences and
de-contextualized leadership approaches, Mike Bottery has reminded
us of the global horizon and the professional, moral and ethical
responsibilities of those who lead within our schools. For this alone,
The Challenges of Educational Leadership: Values in A Globalized Age
should be welcomed.
Alma Harris (Series Editor)
Mike Bottery is Professor of Education and Director of Research

Degrees in the Centre for Educational Studies at the University of
Hull. He has been Visiting Professor at the Universities of Saskatchewan and Seattle Pacic, and Noted Scholar at the University of
British Columbia. Chair of the Standing Conference for Research into
Education, Leadership and Management 20045, this is his seventh
book.
The books intentions
Educational leadership is taken extremely seriously across the globe.

There are now a considerable number of initiatives for its development in places as diverse as Canada, the UK, Sweden, the USA,
Singapore, Hong Kong and Australasia (see Bush and Jackson, 2002;
Brundrett, 2002). While all reect local culture and needs, and vary
in the balance of responsibility for such development between
government, local authorities and academics, there remains similarity
in the reasons for current interest, and in the content which
educational leaders are believed to need to cover. Some of these
programmes aim not only at training principals, but also in gaining
overviews of the research in the area, and on the back of such
understanding, to generate new insights. The reason for all this
activity is easy to understand: in a period of massive change, there is
perceived to be an urgent need for all professional educators to
understand such change in order to better prepare their students for
a diversity of potential futures. The UK National College for School
Leadership (NCSL) is a good example of this kind of approach. In its
Annual Review of Research 20023, it suggested (NCSL, 2003: 7) that
ve major issues had emerged during the previous year requiring
discussion. These were: denitions of leadership; the importance of
context; leaders professional development; capacity building; and the
need for a futures orientation.
Historically, there has been much debate about precise meanings
of leadership. It is a highly contested concept. The NCSL (2003: 7)
commented that by one estimate there exist 350 denitions of the
term: they also remark that they were surprised that there were so
few. Indeed, and as Hodgkinson (in Ribbins, 1993: 23) has remarked,
there is much word magic surrounding the term which bewitches
rather than claries. Like the NCSL, then, this book does not want to
get into heavy debates about such meanings. However, there are at
least two occasions when it cannot and should not be avoided. The
rst occasion is when meanings have direct implications for challenges being considered. For example, and as developed in the next
1
2 The challenges of educational leadership
chapter, particular versions of leadership place such weight of

expectation upon individuals, that they exacerbate the situation of
many who already feel over-worked and over-stressed. When this
happens, when certain duties and responsibilities are attached to
particular meanings, then leadership denitions do not simply describe but actually contribute to existing challenges and problems for
educational leaders, and scrutiny becomes essential. The second
occasion is the need to contrast the ofcially prescribed leadership
qualities and activities to which leaders are currently being steered,
with those which research and analyses suggest are needed. Here, it
is important to be able to name and delineate contrasting types to
help us have a clearer idea of where we are and where we want to
go. This book will address both of these occasions.
However, for most of it, educational leaders are taken to be those
both in formally appointed role positions and also in informal
positions who exercise inuence and provide direction to their
colleagues. This book, then, is not written to contribute to a literature
on leadership meanings. Rather it is written to help individuals,
alone and in groups, and at different levels of educational establishments, to help themselves and their colleagues deal better with the
forces which surround them, forces which affect the realization of
their visions of educational purposes.
So this book also agrees with Leithwood et al. (1999: 4) in Canada,
who argue that outstanding leadership is exquisitely sensitive to
context. The NCSL in the UK also takes this position when it argues
that leadership needs to be seen as a contextualized activity because
one of the most robust ndings is that where you are affects what you
do as a leader (2003: 7), and that such context should encompass more
than the type of school, its circumstances or its geographical location.
Instead, it needs to encompass personal circumstance, issues of the
local community, and looking even further aeld, there needs to be the
recognition that local, national and international events interplay with
social, economic and political factors in ways which impact on the
equilibrium of the school as a social organisation. In such an expanded
context, then, successful school leadership . . . involves being sensitive
to these forces and the ways in which they combine, react and
inuence the school (2003: 9). The reasons for this are compelling
we need to prepare the children in school today for a future where
uncertainty and change are a feature of their lives (2003: 8).
This is indeed a critical time for education, and for societies in
general. It is an age of rapid and far-reaching changes, which no
longer occur just at the local and national levels, but which have
profound effects across the globe. It is a time when we recognize that
The books intentions 3
global warming is no respecter of national borders as it melts polar

ice-caps, changes growing seasons and radically affects species
viability. It is a time when we recognize that humanity continues to
contribute to global pollution, and yet still seems stuck within
postures, both political and economic, which prevent this issue from
being properly addressed. It is also a time of great paradox, when
massive standardizations of global culture contrast with the easy
availability of varied cultures and beliefs. It is a time when some
people embrace variety and the freedom while others retreat behind
fundamentalist walls as they feel their beliefs are undermined.
Perhaps, most importantly, with the demise of fascism and communism as state-sponsored ideologies, it is a time when a version of
liberal democracy is the only global political ideology, and walks
arm-in-arm across a world stage with an economics of free-market
capitalism. The results of this twin domination have been remarkable
and striking in their extent and intensity, and while many have
welcomed this development, there are others who are much less
sanguine. This book, then, suggests that the leaders context needs
to be seen as global in nature and, aims to untangle some of these
issues and their effects, particularly with respect to the challenges
they pose for educational leaders.
These massive changes then pose fundamental questions for
society, and in so doing, impose new contexts on the work of
educational leaders. They also raise uncomfortable questions for
conventional professional assumptions and habits, for this book
argues that because of them professionals should be entering domains
not previously considered as central to their interests. Yet, for so
many, the immediate issue is one of time: as the NCSL (2003: 14)
points out for school leaders and teachers alike, today always seems
more urgent than tomorrow. The daily press of the work of teachers
and heads exerts its own inuence on them and in such a press, the
larger issues may simply be pushed to one side. So this book may be
uncomfortable reading for some, and distanced from more immediate
concerns for others. But it argues that these challenges are so
fundamental, so important, that educational leaders, and society as
well, ignore them at their peril. It also argues that while the
challenges described impact upon those within the private sector,
they impact even more strongly upon those working within the public
sector. Furthermore, and, perhaps unfashionably at the present time,
it argues that a public sector with a wide-reaching welfare state is a
valuable element of any developed society, that it is worth having and
ghting for, and that most of its functions are not improved by being
taken over and run by private sector institutions. This argument is not
intended as, nor do I believe it depends upon, a feeling of nostalgia

for some earlier golden period: it argues instead that any future
healthy, caring and culturally rich society requires a public sector to
provide a set of goods or services which are too important to be left
to other sectors especially if these other sectors have differing
values which might result in uneven provision.
Now such public sector goods have varied from country to
country, but have usually consisted of educational, health and social
welfare provision. Such public sector goods are also linked to the
more extensive project of a welfare state, which is based in part upon
the belief that providing citizens with more equal access to such
goods will generate a more democratic exercise of political power, as
greater degrees of health, economic security and educational provision enable individuals to access these rights more easily. Welfare
states, rather than emphasizing the kinds of competitive relationships
which underpin market functioning, value and nurture trusting,
co-operative and caring relationships. Through the stimulation of
such relationships, a public sector can then become the repository for
the kinds of social values which the private sector itself needs to draw
upon if it is to function properly. By undermining the public sector,
then, the private sector is likely to undermine the societal foundations
which it needs if it is to ourish.
The books argument

While such effects are not normally seen as the kinds of challenges
which educational leaders need to consider, this book will argue that
they relate directly to the kinds of work that leaders do, and that they
tend to steer educational leaders away from particular kinds of
education and into other, less desirable areas. Of course, statements
about more desirable and less desirable kinds of education need to
spelt out a little more, and without going into a treatise of educational
philosophy, it is important to make clear the kind of arguments which
will be used in this book. The principal argument can be stated in just
four sentences:
1 A rich and ourishing society depends, in part, upon the provision
for its citizens of a rich and diverse education.
2 A rich and diverse education will only be achieved through the
adoption and practice of a number of different educational
objectives.
3 All of these objectives are interconnected, in most cases being

dependent upon one other.
4 At the present time, one of these objectives dominates and
thereby prevents the achievement of the others.
Now while different people will have different ideas of what a rich
and ourishing society might consist of, this book argues that,
minimally, it needs the following qualities:

A political underpinning by a version of democracy which

encourages its citizens to actively participate in decision making.
To promote the idea that members should respect and care for
one another, and should contribute to efforts to reduce other
peoples difculties in participating in and contributing to that
society.
A commitment to helping all members to appreciate the artistic,

scientic and cultural discoveries of their society, and those of
others.
A commitment to helping all members realize their full potential,

to engage in a process of spiritual growth, and to full themselves
as human beings in the widest sense.
To be sufciently secure that those within it do not live in fear of

either external or internal threat.
To be sufciently outward-looking to learn from and help other

societies.
To be sufciently outward-looking to recognize the interconnectedness of all forms of life on this world, and work towards
helping such interconnectedness.
To be sufciently economically prosperous to permit the achievement of these other aims.
Clearly, different people will have different views on this subject, and
may well want to add or extract from this list. Nevertheless, if the
notion of needing a rich and ourishing society is accepted, then
precise lists can be left to educational philosophers and healthy
democratic debate. What does seem unarguable is that such aims are
unlikely to be achieved by chance, and that any society serious about
them will have to create systems and institutions to achieve them.
Now, given the kinds of aims described above, education is going to
have a pivotal role here, and it will need to be as rich and diverse as
the society it is attempting to nurture; and like the society itself, such
an education system will require a variety of objectives. Without
again wishing to write a treatise in this area, such an education would
seem to require at least the following eight objectives:
1 An economic productivity objective: the need to foster and develop
students skills, knowledge and attitudes so that they are able to
earn a living, and contribute to the overall economic wealth of a
country.
2 A democratic objective: the need to provide students with the skills,
knowledge and the self-belief to contribute to the development of
a democratic state, and for educational professionals to set an
example by their participation in the running of their organizations.
3 A welfare state objective: the communication of the belief that a
society needs to be more than a sum of individuals but should
aspire to be a social and political community which cares for and
helps its members, and redresses inequities so that all can
participate in this society.
4 An interpersonal skills objective: the need to facilitate in students
the social skills which allow people to live together in a harmonious and fullling manner.
5 A social values objective: the need to promote to students social
values such as equity, care, harmony, environmental concerns,
and democracy within this society.
6 An epistemological objective: the need to communicate to students
a deep understanding of the nature of knowledge, normally
through the study of a particular subject discipline, which not
only provides an understanding of this world, and generates a
sense of awe and wonder, but also through understanding human
epistemological limitations, a constant humility.
7 A personal development objective: the need to allow each student to
realize their full potential, to engage in a process of spiritual
growth, and to full themselves as human beings in the widest
sense.
8 An environmental objective: the need for students to understand the
interdependency of all living things, and of the human impact
upon other beings, resources and living conditions on this planet.
It may be tempting to view these as discrete, separate and unconnected. Yet, and as Table 1.1 demonstrates, these can be seen as for
example, three complex, connected and interdependent objectives. A
rst example would be a rich and varied personal development is
essential to the growth of a rich and vibrant democracy. At the same
time, the development of the democratic norms of participation,
respect and inclusion are also essential for the facilitation of rich
individual personal development. A second example would be the
provision of an education in which interpersonal skills are valued and
practised forms a major foundation for the functioning of a sound
welfare state; at the same time an education in the values of the
welfare state itself with its emphasis on notions of community,
equity and caring for others provides a vital political and institutional context within which interpersonal skills can be nurtured and
practised. A nal example is where the provision of an education in
social values, in particular an education in respect for truth, respect
for other opinions, and personal integrity, facilitates the deeper
personal understanding of epistemological issues; at the same time
social values themselves are necessarily conditioned by and in part
dependent upon a full appreciation of an external reality, and this in
itself is conditioned by a full understanding of epistemological issues.
In like manner the provision of an economically productive
education either by making some of its content relevant to the needs
of a nation-state embedded within a global economy, or by providing
future workers with the skills, knowledge, values and attitudes to
enable them to be employable within such an economic scenario is
essential if interpersonal skills, social values and fully rounded
personal development are to be practised with a reasonable degree of
economic security; yet economic activity can only be properly
executed where people have a foundation of social values like trust,
respect and care, where they have the interpersonal skills to engage
in the kind of teamwork essential in a knowledge economy, and have
the kind of well-rounded personality capable of adapting to new
changing situations. The development of democracy and a welfare
state are dependent on a productive economy, because it provides a
secure enough wealth base to support such practices; however, the
development of a healthy economy is also dependent on them, for
both democracies and welfare states are more likely to permit fuller
utilization of all talents, the rst through its underlying principle of
the participation of all, the second by its underlying principle of
providing sufcient services for all to engage in such participation.
This book argues that at the present time, the dominant objective
in many societies, and in many education systems is that of economic
Eight essential educational objectives and their dependency on one another

Economic
Productivity
dependent on
Democracy
dependent on
Welfare State
dependent on
Interpersonal
Skills dependent
on
Social Values
dependent on
Issues of
Epistemology
dependent on
Personal
Development
dependent on
Environmental
Concerns
dependent on
Economic
Productivity
EP provides
secure wealth
base
EP provides
secure wealth
base
EP provides
secure wealth
base to explore
IP
EP provides
secure wealth
base
EP provides
secure wealth
base within
which E can be
considered
EP provides
secure wealth
base
EP provides base
to upgrade
environment
Democratic
D provision
likely to allow
fuller utilization
of talents
D values of
participation and
public good
underpin WS
values
Democratic
structures
provide context
for full exercise
of IS
Democratic
structures
provide context
for full exercise
of SV
Democratic
critical norms
provide context
for full
epistemological
discussions
Democratic
norms facilitate
full PD
Democratic
voice mobilizes
environmental
concerns better
than other
political forms
Welfare State
WS provision
likely to
facilitate
utilization of all
talents
WS provision
facilitates
democratic
ability to
participate
WS provides
strong
communal base
to explore IS
WS communal
commitment
provides basis
for SV
Considerations
of epistemology
enhanced by WS
norms of
participation
Communal
norms facilitate
PD through
enhancing
ability to live
and work with
others
Cooperative
underpinnings of
WS facilitate
environmental
voice
Interpersonal
Skills
IS particularly
important in
teamwork of
knowledge
economy
IS critical to core
democratic
processes like
discussion,
negotiation, etc.
Widely based IS
form foundation
for sound WS
aiming
Good IS help
promote and
implement SV
IS skills of
discussion and
critique facilitate
deeper
understanding of
issues of
epistemology
IS facilitate PD
through
enhancing
ability to live
and work with
others
Environment
better protected
by joint rather
than single voice
Table 1.1
Economic
activity needs
strong societal
value bases to
aim effectively
Care, trust,
respect critical to
proper
democratic
aiming
Widely based SV
form foundation
for sound WS
aiming
SV underpin and
form rationale
for IS
SV skills of truth
and respect
facilitate deeper
epistemological
understanding
SV facilitate PD
Environment
better protected
if environmental
concern is a
dominant social
value
Issues of
Epistemology
Core to new
ideas
development
Sound E base
essential to
democratic
criticality
Essential to
proper
understanding of
WS context
IS contextualized
by worldview,
dependent upon
epistemology
Critical
component of SV
is deep
consideration of
epistemology
Epistemological
understandings
facilitate PD
Epistemology
essential to a
deep
understanding of
environmental
issues
Personal
Development
Core to having
well-rounded
individuals
capable of
adaptation
Mature PD
essential
qualities for rich
vibrant
democracy
Mature PD
critical in sound
WS aiming
IS an aim of
maturing PD
Mature PD
critical in
discussion and
practice of SV
Maturing PD
allows for
deeper
appreciation of
epistemological
issues
Mature PD
allows for
deeper
appreciation of
environmental
concerns
Environmental
Concerns
Degraded
environment
reduces natural
resources;
pollution is an
economic cost
Democratic
politics best
realized in
healthy
environmental
context
Vibrant WS best
realized within
healthy
environmental
context
IS facilitated by
healthy
environmental
context
SV more fully
articulated when
EC included
Epiistemological
understanding
facilitated by EC
PD more fully
developed
within healthy
environmental
context
Social Values
productivity, and that much of this domination is the product of

global agendas which transcend the scope of any particular business,
or indeed any particular nation-state. The following chapters will
discuss the causes and effects of this phenomenon in detail, and two
particular effects those of privatization and standardization
will be singled out as being particularly problematic and challenging
for educational leaders. Ultimately, it is argued, the domination of
this economic agenda leads to an emphasis on functionality as
opposed to a pursuit of other societal goods in their own right. This
emphasis ultimately attacks the value of all the other educational
aims and endangers their realization by transforming and reducing
them to second-order activities.
Developing the context

The NCSL (2003), then, was right in stressing the context of
educational leadership, and to expand that context beyond the local
to the national and global, for it is at these macro-levels that many
forces are acting to prevent education from transcending the aims of
efciency, effectiveness or economic protability. These forces act in
many cases to reduce education to the mastery of a National
Curriculum content, and the achievement of pass scores in high
stakes testing. Yet, as Fielding (2003) argues, in life we encounter
both functional and personal relationships, and while we need the
functional (of which economic productivity is clearly one), such
relationships and activities are for something else for a sense of
personal and spiritual growth, for the growth of caring and vibrant
communities, whether these be at local, national or global levels. If
educational leaders resonate to such concerns, then they need to
include an understanding of the effect of such global actors upon their
practice. If, like Bates (2003) we want to conceive of the work of
educational leaders as being about more than the delivery and
implementation of government legislation, curricula and testing, but
ultimately to do with learning to live with one another, learning to
support one another, learning to listen to one another, and learning
to redress issues of equity, then understanding the dynamics of the
global actors which effect such attainment needs to be included in the
purview of educational leaders.
And nally, if we care what at bottom causes large numbers of both
students and teachers to think negatively of the work they undertake,
then this book argues that we need to consider such issues extremely
seriously. Pollard and Trigg (2001: 103) conclude on surveying their
data on UK primary childrens post-1988 curriculum experiences that

It is difcult to avoid a sense of children in ight from an experience
of learning that they found unsatisfying, unmotivating, and uncomfortable.
Hargreaves (2003: 89), meanwhile, found that many members of
teaching forces, trans-nationally, were deeply unhappy about their
work and what they were being asked to do, with comments like, I
used to love being creative; now Im too busy to try being the norm,
rather than the exception. When pupils nd their school experience
unsatisfying and unmotivating, and teaching forces exhibit increased
disengagement from what they are asked to do, one should take
heed of Sennett (1998: 148) when he remarks of regimes that do not
place ultimate concerns at the core of their objectives: a regime
which provides human beings no deep reasons to care about one
another cannot long preserve its legitimacy.
If educational institutions are to preserve their legitimacy, then,
such ultimate concerns need to be recognized, articulated and placed
at their core. Educational leaders have a critical role to play here. But
before this can happen, they need to fully understand the kinds of
global challenges which prevent such aspirations from being realized,
and come to recognize that a reframing of educational professionalism and educational leadership requires a more critical, extensive and
global conception than has been accepted previously. That is the
purpose of this book.
Shifting frames of
reference: the need for
ecological leadership
Introduction: a leaders current lot is not

necessarily a happy one
There are many empowered, enthusiastic and engaged educational
leaders in the western world, who derive deep enjoyment and real
fullment from their jobs. They hold deep and committed visions of
what a good education should look like, they are passionate about
empowering their students and in raising their educational achievement, and continue to transmit that enthusiasm to those around
them, building a climate of energy, collaboration, trust and selfdiscipline. In the process they create institutions which are alive,
buzzing with the thrill of learning, a joy to be in. Despite increased
pressures, there is good research evidence (for example, Day et al.,
2000; Gold et al., 2003) that these educational leaders do not sacrice
their ideals, but manage to hold on to their values and lead their
schools through their moral visions of what constitutes a good
education.
Yet there is worrying evidence that many of these leaders now feel
more pressurized than did their peers a couple of generations ago.
Their numbers are getting fewer, and there are less and less
individuals coming forward to take their place. Such shortages are
reported throughout the western world. Fullan (1997), for instance,
described a study of principals and vice-principals in Toronto in 1984,
in which 90 per cent reported an increase in demands, with only 9
per cent reporting a decrease. Surveying the situation in 1997, he had
to conclude (p. 1) that we appear to be losing ground [with the
principals leadership role], if we take as our measure of progress the
declining presence of increasingly large numbers of highly effective,
12
Shifting frames of reference: the need for ecological leadership 13
satised principals. Similarly, Williams (2001) details the same issues

in both the USA and Canada. He cites a report by the US National
Association of Elementary School Principals, and the National Association of Secondary School Principals (1998: 16), which suggested
that half the district administrators interviewed felt that there had
been a shortage of qualied candidates when they lled at least one
principalship in the last year. His own study in Canada likewise
suggested that not only were retirement rates 20 per cent higher than
provincial estimates, but the pool of qualied candidates for these
positions was also shrinking. In the UK, Troman and Woods (2000)
reported the same kind of declining enthusiasm for engaging in senior
management positions. Finally, Gronn (2003a), reporting on his own
research in Australia, as well as other studies in the USA and the UK,
came to the same kind of conclusions: the western world is facing an
impending crisis, where insufcient numbers of able people are
willing to ll the principals role.
Why are individuals so reluctant to take on such a role? Evans (1996)
argued that despite the fact that there have always been tensions in
leadership between such things as managing and leading, between
demands and resources, and being a leader yet being dependent on
others, what is new is the way the job has expanded and intensied,
leaving leaders feeling disempowered, the quality of their lives
diminishing. The study by Williams (2001) quoted above provides
some of the detail for this argument. His study found that at least 70
per cent of all incumbent principal and vice principal respondents
found the following (in rank order) to be issues of job dissatisfaction:

adequacy of time to plan for provincially mandated changes;
number of curriculum changes mandated by the province;
adequacy of time to work with students;
amount of in-school staff support for principals given workload

requirements;
amount of time the job required;
resources made available to meet the assessment of the schools

educational needs.
Now this phenomenon of increased workloads, lack of time to deal

with them, and the stress consequent upon this, is not just a
phenomenon of his Canadian principals, or indeed of educationalists
generally. Work intensication, and the greater stress and pressure
which results, are a reality for many across the world of work
throughout the western world, whether in the public, private or
voluntary sectors. While Schorr (1992) has argued that US workers
have worked longer and harder in order to purchase the goods that
would make life in general more satisfying, other commentators have
located such intensication elsewhere, particularly in the continued
demand by the private sector to cut costs, necessitating reductions in
manpower while not necessarily resulting in any reduction in work.
Terms like delayering, outplacement, cutting back and casualization have all become familiar terms as organizations have sought to
reduce their overheads. Handy (1989) described the future of work as
being that of half the workers receiving twice the salary while doing
three times the work. Anecdotal evidence and personal experience
both suggest some truth in the rst and last parts of Handys
prediction, the middle part seeming much more doubtful. This
pattern has moved from the private to the public sector: just as
private corporations have cut back on personnel and increased their
demands on those remaining, so the public sector has felt a similar
bite, as nation-states have retreated from large-scale welfare provision, demanding that their public sectors perform the same kinds of
cost-cutting and manpower reductions, while at the same reducing
individual room for manoeuvre by increasing the amount of legislative direction. For principals in schools, the result, as Evans (1995) put
it, can be the demand for the impossible:
Wanted: A miracle worker who can do more with less,
pacify rival groups, endure chronic second-guessing, tolerate
low levels of support, process large volumes of paper, and
work double shifts . . . He or she will have carte blanche to
innovate, but cannot spend much money, replace any
personnel, or upset any constituency.
Yet despite such demands, and increased imperatives for such
demands to be seen as legitimate, and to feel guilty if they did not,
people continued to go the extra mile, to work the extra evening, to
forego the family event. Indeed, and as Gronn (2003a) points out,
perhaps even more worryingly, in some cases people have become
addicted to this pattern, and in effect are living to work, rather than
working to live. The result, he suggests, is that: in consuming ones
whole being, [work] does more than merely provide the physical and
psychological wherewithal for a life. Because it becomes ones life,
greedy work consumes ones life, so that work becomes the measure
of what one is and not just what one does (2003a: 153).
Blackmore (1995: 51) has made the same kind of point, arguing that
due to the emotional demands of the job and the invasion of personal
time and space, for many teachers and headteachers, the line
between the professional and personal is increasingly blurred, and
Fielding (2003: 12) takes this even further, worrying that the personal
is not just increasingly utilized for the functional, but rather that the
functional and the personal collapse soundlessly into each other [original
emphasis].
These kinds of effects may cause great concern to observers, as
they see the person they knew being transformed and not wishing it
for themselves. Indeed, there is now increasing evidence that such
individuals, to protect themselves, are disengaging from the job, by
either seeking early retirement, or by retreating to a level of
occupational engagement that they believe is manageable. This is not
just a phenomenon in education: Laabs (1996: 1) described individuals doing the same thing in the private sector as downshifters,
wanting to slow down at work, so they can upshift in other areas of
their lives. He also suggested that there were two varieties of
downshifters; those who want to break out of the corporate mold . . .
and those who just want to work less. At bottom though, was an
existential question echoed among educators: Who am I and whats
my life about? (1996: p. 3). In education, if individuals have not yet
reached a principals position, such feelings may result in an
unwillingness to take on the role, thus reducing the supply of suitable
candidates for leadership positions. Gronn (2003a) details examples of
this across the USA, the UK and Australia, while Williams (2001) does
so in Canada. Those in senior and middle management positions,
then, see the stress of the principals job the massive responsibility
contradicted by the paucity of power, the effects upon families and
lives, the emails and texts written in the early hours of the morning
and either realize that they are already well down that path, or
decide that this is not going to happen to them. Added to which, and
like many in the private sector, they may also come to believe that
their loyalty to the organization is not reciprocated: that while greater
and greater demands are made upon them, the downsizing, outsourcing, casualization and exibility of the educational workforce attest to
the fact that loyalty is increasingly an outdated commodity. As
Misztal (2001: 33) suggested, it pays to quit. When allied to
demographic evidence across the western world that a large cohort of
the teaching profession is reaching retirement age, this suggests that
there is a genuine crisis in the teaching profession, and particularly
at the top end. Fullan (2003: 24) seems to be absolutely right then
when he concludes: The system is in deep trouble. There is a huge
need for new leaders, and at the same time there is a set of conditions
that makes the job unattractive.
Labels that kill

So there is good reason to believe that the system is in trouble. Many
of those who are capable of leading are increasingly worried about
the effects that such a position has or will have upon them. Yet the
problem does not just lie in the complexity and volume of the work,
and the constraints placed upon the principal: part also lies in what
is currently expected, and part of this has come from the labels they
have been given, and the responsibilities thereby attributed to them.
Ofcially sponsored denitions of leadership have acquired an impact
upon the lives of educational leaders through being prescriptions
rather than descriptions, prescriptions that mis-describe the way in
which the work should be done. In so doing, they may simply ask too
much of educational leaders.
Historically, models have had much less effect. There have been
numerous depictions of leadership over the years (see Northouse,
2003). Trait theories, for instance, have suggested that leaders possess
certain distinct personal qualities; style theories have suggested that
leaders are distinguished by the different importance they place on
the management of tasks or the management of relationships;
situational theories have argued that different situations actually
require different kinds of leaders; and contingency theories have
suggested that the best way forward is through the matching of a
particular leadership style to a particular situation. However, if truth
be told, these different theories seldom actually impacted upon the
life and work of educational leaders. They might have helped
individuals to reect upon the type of leader they were, or thought
best tted them and their situation, but they were meant and taken
more as descriptions than as prescriptions. If there was any message
for leaders from such literature (which was largely written for those
in the business world), it was that in an age of relative economic
stability, the leaders job was a rational job, one of Transactional
leadership. This, suggested Day et al. (2000), is essentially a form of
scientic managerialism, in which leaders exercise power and inuence through controlling the rewards in an organization, rewards they
can offer or withhold from the workforce. Yet, as the context of
leadership has changed, this model of leadership has increasingly
come to be seen as inadequate. Designed to deal with stable
structures and a predictable economic tomorrow, transactional
leadership came to be viewed as insufcient for coping with an age

of continual change, when economic certainties and western marketplace superiority were constantly challenged. Now, an essential
function of leadership would be to generate commitment to change
from the workforce by providing a vision of the necessary changes,
and of the means of achieving these which others would be
persuaded to follow. Transactional approaches did not then touch
deeper levels of workers motivation, which were bound up with
beliefs and culture. While transactional forms relied on the use of
power and the exchange of favours, the transformational variety
attempted to inspire others through vision and through the use of
personal consideration. If these traditional theories emphasized
rational processes, newer theories needed to emphasize emotions and
values. With such unremitting change forced upon organizations and
their leaders, transformational leadership came to be seen in the
business world, and subsequently in the educational world, as an
indispensable coping mechanism. Transformational leaders then,
were to be social architects, who in creating a vision, developed the
trust of their followers, building loyalty, self-condence and selfregard. As a new age generated new challenges, transformational
leadership was seen as a critical part of the response to them.
Yet if inadequately conceived terms are accepted, promoted and
then utilized, they transform and corrupt reality, for they reify
situations which did not exist before their promotion began. And there
is good reason to believe that this happened with the adoption of
transformational literature, for there is much to question here. For a
start, transactional and transformational leadership may not be
entirely separate entities. Certainly, when Burns (1978) rst coined the
term, he saw transformational leadership as independent, separate and
ultimate qualitatively more valuable than its more mundane counterpart. Yet as Bass (1985) subsequently suggested, both may exist along a
work continuum, both being needed for effective leadership to take
place. If this is the case, then inadequate analysis may, particularly if it
is adopted by inuential bodies and then used prescriptively, lead to an
unnecessary separation, and a relegation of essential duties to a less
sexy agenda. Yukl (1999) has also argued that through a preference in
this research for exploring the inuence of one individual upon
another, transformational theories may have too narrow a focus, in the
process neglecting such issues as task-oriented behaviour, the interaction of a leader with superiors, peers or outsiders, and of the inuence
and dynamics of leadership upon a group or an organization.
Such concentration on dyadic forms of relationship helps in part to
explain the bias of transformational theories towards the depiction of
the leader as hero, though one also needs to bear in mind the
individualistic predispositions of US culture, literature and folklore
from which most leadership theories have originated. It is certainly
easier to paint a picture of the leader as heroic individual, and
prescribe actions that the individual must perform, than to try and
untangle the complex interactive web of group efforts. Certainly, a
dominant research methodology in both business and education
literature is the recording of successful individuals stories, and to
generalize from these. It should then be no surprise to nd that
transformational leadership theories are all too easily conated with
charismatic theories of leadership. Yet such conation is not only
unhelpful but can be positively damaging: Yukl (1999), for one,
argues that most charismatic leaders dont develop and empower
others in their organization in the way one might expect transformational leaders to; and this may explain why many of the studies of
successful change in effective business organizations were led by
individuals who were not perceived as charismatic. As he says (1999:
298) the vision is usually the product of a collective effort, not the
creation of a single, exceptional individual. Yet such individualist
emphasis can convince governments and policy makers that they
should be promulgating a picture of the leader as just such an heroic,
charismatic follow-me-over-the-top gure, and for incumbent or
aspirant leaders to believe that this is what they should be attempting
to emulate.
Yet such a model is likely to run counter to the natural predispositions of many excellent leaders, who are not, and never will be
charismatic. It is likely to under-utilize the capabilities of others in the
organization, as so much stress is placed upon the importance of one
individual. It is likely, as Bryman (1992) points out, to suggest an
educationally unethical approach to leadership through generating a
non-rational commitment by followers. Finally, it is likely to increase
the stress on an already stressed leadership group by suggesting that
the responsibility at the end of the day is all theirs, leading to the kind
of disengagement inclinations mentioned earlier.
This situation the reication of an activity through analysis and
then the ofcial endorsement and prescription of this reication
should be of particular concern to educators, so used as they are by
now to the enthusiastic but uncritical advocacy by others beyond
education of their adoption of business terms and activities. The
sceptical might well argue that transformational and charismatic
leadership theories are in reality little more than business management tools devised to mould workers values and culture into
accepting and then enthusiastically embracing managerial/capitalist
values as a means of increasing company protability what, I

(Bottery, 2000) called the hot styles of business management. Such
transferences to the educational sector then need to be carefully
critiqued for at least three reasons. A rst reason is because the
emphasis in the business literature has historically been on the
techniques of transformational leadership rather than the purposes to
which it might be put. A second is because the idea was originally
devised to inspire others with a vision which had already been
predetermined, and was not intended to include any notion of a
shared participative approach in the determining of vision or the
solving of problems. A nal reason is because the original emphasis
was on individuals inspiring others, with a tendency for conation
with non-rational charismatic leadership approaches, which might be
used in anti-educational ways to bypass critical faculties in order to
gain individuals commitment.
There already exists critical literature on the impact of poor quality
and inappropriate business management guru ideas on private sector
practice (see, for example, Micklethwait and Wooldridge, 1996); to
uncritically transfer such literature into the public sector is double
nonsense.
The advent of distributed leadership

Despite its limitations, there are, however, elements of transformational leadership which do lend themselves to educational, and
ethical consideration, for it is very important for leaders and
educators to have a clear vision of what they want to achieve, and
how they want to achieve it. Moreover, when its heroic implications
are reduced or eliminated, transformational leadership can also
suggest that the processes of both education and leadership should
involve the contributions of all parties, rather than being a matter of
one person doing leadership to others. Certainly, work in Canada
(Leithwood et al., 1999), the US (Spillane et al., 2000), Australia
(Lingard et al., 2003) and in the UK (Day et al., 2000; Harris and
Lambert, 2003) suggest that, where manifested, it tends to have such
characteristics. Indeed, it is partly on the basis of such results that
writers like Spillane et al. (2000), Gronn (2003a, 2003b), and Harris
(2003), and now the NCSL (2003) have argued that one needs to
understand leadership as in reality distributed across a much
broader spectrum of individuals within an organization than is
normally recognized. Harris (2003: 314) argues that such appreciation
has been difcult in coming, most leadership studies in education
having been dominated by the studies of individual headteachers and

principals, which only further instantiates individualistic views of
leadership. Added to this, she suggests that in much educational
practice, the social exchange theory of leadership prevails, one
which bears an uncommon likeness to transactional forms discussed
earlier. Yet she suggests that the work of educational organizations
would be better understood if leadership was seen as part of an
interactive process of sense-making and creation of meaning in
which all members of an organization engaged. Such a view is
supported by the work of Spillane et al. (2000), who argue that the
degree of leadership distribution is only appreciated when, instead of
adopting a methodology of examining individuals positions and roles
within the organization, one instead begins by examining how
leadership tasks and functions are actually carried out. From this
perspective, leadership is then much more easily appreciated as a
shared, group and distributed process than has been generally
recognized, either in the literature, or in the way in which roles and
positions are created in organizations.
This is exciting stuff for a number of reasons. First, it presents a
much more complex and accurate description of decision making
and leadership activity in organizations than is normally provided.
Second, by acknowledging such complex patterns, it may help to
prevent the degree of work intensication, and therefore of the kinds
of individual pressure and stress described at the beginning of this
chapter, for it sponsors a view of leadership which sees many, rather
than just the lonely hero, as being involved. Another reason for
thinking this is a positive move is that viewing leadership as dispersed
helps organizations to more effectively utilize all the talents within
them, and in so doing not only facilitates the achievement of goals,
but also the empowerment of individuals. Finally, the distribution of
leadership could play a critical role in the development of a societal
democratic citizenship, because by empowering teachers, it encourages them to develop a more constructive and critical voice, and thus
helps to ensure that those who work in such organizations are good
role models for the next generation of citizens; for if educators do not
show an interest in these matters themselves, how can the next
generation be expected to understand the need for such practice?
Nevertheless, even though such a model seems a development over
previous ones, a number of caveats must still be made. A rst is that
one must not get carried away with a too distributed vision. Gronn
(2003b: 288), for instance, argues that executive level managers
appointed as leaders surround themselves with an apparatus of
secretaries, personal assistants, advisers, deputies, and support
groups because to do their job properly, they rely on many other

people. Yet this does not necessarily suggest that leadership is
dispersed or distributed: it could just as easily mean that there is so
much clutter surrounding the job, that they need these other people
to free them up to keep their eyes on the main task. Furthermore,
visions of distributed leadership need to take fully into account the
asymmetry of power between different actors, which continues to be
determined in large part by their formal positions within the
organization. It is simply not the case that all actors have equal power
or inuence in decision-making situations. So while it is very clear
that there are organizational leaders who are not institutionally
appointed, the formal organizational and professional structure
should not be neglected. Fullan (2003: xv), for example, while paying
due attention to notions of distributed leadership, by acknowledging
that it is only by developing leadership in others that principals can
accomplish their tasks, nevertheless recognizes that the principal or
head of the school [is] the focal point. If there is other leadership in
the school, then it is a leadership normally sponsored by the
principal. Even more importantly perhaps, Fullan (2003: 22) recognizes that system-wide change involves going beyond the connes of
the school, and that the principalship is the only role strategically
placed to mediate the tensions of local and state forces . . . the
solution is to acknowledge the extreme importance of the principalship. The asymmetries of power could not be clearer, nor could the
recognition of the power granted by formal positions.
A second caveat is that while, as Harris (2003) argues, such a view
of teacher leadership implies a fundamental redistribution of power,
it is important to recognize the full implications of this statement.
Leadership, whether by teachers or anyone else, if it means anything,
means participation in decision making, and not simply consultation.
While such leadership is conned to areas of consensual agreement,
or is granted through sponsorship by those appointed to formal
leadership positions, then one can envisage reasonably harmonious
organizational working. But Harris goes on to say that the implications . . . imply a fundamental redistribution of power and inuence
within the school as an organisation (2003: 322). Indeed they might;
but then it must be asked how this is to be achieved if those in formal
positions do not wish to have their power redistributed in this way.
And what will happen if those beyond the school also do not wish to
see this happen? Furthermore, what if those who wish to exercise
such distributed leadership see it as something which should not be
limited to exercise within organizations, but as something which
should extend beyond? While distributed leadership is seen as the
fairly comfortable functional exercise of cooperative and collaborative relations towards agreed learning agendas, even if this does
involve the building of new and complex relationships, then there
may be few problems beyond those of actual realization. However, if
leadership is about power, which it surely is, and if it is something
which by denition has to be wielded, not granted, this potentially
involves issues of conict, both educationally and politically, which
are likely to pose very signicant questions if those currently
exercising power wish to maintain that position. This does not just
mean resistance by authoritarian headteachers or principals; it means
resistance by those at policy level who, over the last few decades,
have been very keen to see the teaching profession as an implementer
of externally constructed and driven agendas. As Woods (2003) points
out, distributed leadership could be yet one more term used to
devolve work and responsibility to those lower in the hierarchy,
while not actually engendering any real change in the leadership
architecture, and he is right to contrast a vision of democratic
leadership, which explicitly states what this architecture should look
like, with a term which, perhaps all too easily, might be appropriated
for less democratic ends. The working out of distributed leadership
for both functional learning within the school and for participation in
wider educational agendas needs to be recognized and carefully
thought through.
Such recognition raises a third caveat. As noted earlier, all too often
the emphasis in the business literature on transformational leadership
has been on the techniques rather than the purposes to which it might
be put. Distributed leadership faces the same question. For what ends
will such leadership be used? Some of the reasons provided for
adopting a version of distributed leadership have been given earlier,
the central one seeming to be that it will produce more effective
learning. Harris (2003: 322) in her discussion of teacher leadership
appears to be moving towards a more political vision in her
suggestion that this could lead to a fundamental redistribution of
power and inuence within the school. But questions of power need
to be taken further: thus, while distributed leadership may facilitate
more effective learning in an organization, this does not address the
questions of what kind of learning such distributed leadership should
facilitate, and for what purpose. And if discussions of distributed
leadership produce debate about the redistribution of power and
inuence in school, they need to ask questions like: should distributed leadership empower a level of participation greater than that
required for the realization of the three Es of efciency, effectiveness and economy? Should it recognize participation as a good in
itself, a skill which those within a democracy need to practice to

become effective citizens? Should it explicitly recognize a commitment to the public sector, that public institutions have a commitment
beyond the prot and loss ledger, to concerns of equity, care and
justice? In the end the point is simple: debates on the meanings of
leadership must not get so wrapped up with denitions that they
forget that leadership, however it is construed, has critical effects
upon the vision and direction of the school, and needs to constantly
come back to this issue.
A nal caveat is that while a strong point of some current theories
of distributed leadership is an emphasis upon the situated nature of
leadership activity, they do not always recognize the extent of such
context. Thus Spillane et al. (2000: 27) convincingly argue that
understanding leadership in a distributed manner helps us to understand that the sociocultural context is a constitutive element of
leadership practice, fundamentally shaping its form. This is extremely helpful in preventing leadership from being seen as some kind of
insulated personal quality, pointing instead to the need to understand
that there is an interdependence between the individual and the
environment (which includes other actors), and which therefore
points towards the distributed quality of leadership. But such an
understanding should point us not just to the environment of the
school but to that beyond it as well. Spillane et al.s study is prevented
from doing this by two factors. One is the methodology: by beginning
from the tasks of leadership, they fail to conceptualize such tasks
within a macro-perspective. As they say, To access leadership
practice we must identify and analyse the tasks that contribute to the
execution of macro functions (2000: 24) [emphasis added]. This all too
easily becomes a fundamentally implementational and functional
rather than critical orientation, and in so doing limits itself to a
discussion of what leadership is currently concerned with, rather
than with what it ought to be concerned. Fullans (2003) view is
wider, explicitly stating the need for school principals to move
beyond the functioning of the school to exercise inuence and power
at the district, even the state level. Yet even this still seems to be
unnecessarily restrictive. In his book, Fullan discusses a talk by
Michael Barber (2002), adviser and then policymaker to the British
government, who described the movement in education in England
and Wales over the previous 30 years as a movement from uninformed professional judgement, through to uninformed central government prescription, onto a more informed central prescription, and
then nally into an age of informed professional judgement. Fullans
focus in his book is on the development of an informed cadre of
professional teachers, developed and led by transformational principals, and he spends little time on the historical background of UK
education, apart from some small allusion to the problems which
accompanied this process. However, Barbers view is a pro-governmental evolutionary one with which many will disagree, not least
because it fails to do justice to the turmoil, anguish, stress and distrust
felt by teachers over the last 30 years, and which forms a critical
backdrop to the manner in which many educationalists now view
New Labour pronouncements. It also fails to address any of the same
kinds of issues and feelings which Hargreaves (2OO3) describes in
Canada and the USA. Such functionalist views of leadership which
attempt to be ideologically neutral are light years away from the kind
of bastard leadership which Wright (2001) suggests is the lot of
many English headteachers at the present time, and by implication,
far beyond such shores. This is a leadership which feels itself ground
down by overwork, by impossible timescales, by enormous amounts
of paperwork, whose job is not to lead so much as to implement
government policies, which themselves are driven by larger political
and economic forces which only occasionally link with the kinds of
aspirations and moral agendas which many school leaders still hold
dear. Yet this more problematic description of the reality of leadership better ts the picture described at the beginning of this chapter
that of work intensication and leadership disengagement. And
to understand such work intensication and leadership disengagement, it seems critical to understand the larger context which has
created such conditions, for if this is not recognized and not changed,
then those attempts which are made to solve problems will never be
more than sticking plasters on wounds that need more extensive
attention.
The need for the ecological leader

To understand such issues, it is then simply insufcient to concentrate upon the school, the district or even the educational system. To
understand the tasks ahead for educational leaders, the larger context
of educational leadership needs to be understood. The socio-cultural
context needs to embrace far more than the school, the district, or
even the educational system. It needs to describe and understand the
quite unique forces existing within societies today, which in many
cases emanate beyond them, which condition, constrain and in some
cases coerce the work of educational leaders. The rationale of this
book, then, is the belief that critical questions need to be asked
concerning the purposes of educational leadership, questions which

go beyond ofcial recommendations, and to examine the manner in
which ofcial sponsorship is often driven by forces which do not
always have as a priority the educational, political or social welfare
of recipients. This book then aims to be both practical and critical: it
aims to help educational leaders and aspiring educational leaders to
examine their own values and practice by providing a wider-thannormal framework within which to locate them. It therefore advocates that leaders need, as never before, to be ecologically aware
to be cognizant of those forces which impact upon not only their own
practice, but upon the attitudes and values of the other educators
within their organizations, the aspirations and endpoints of their
students, and upon those in the wider communities they serve. Such
leaders, then need to place their practice within both meso- and
macro-contexts, and appreciate not only of what these contexts
consist, and how they frame educational practice, but what leaders
need to do to engage with them to protect their visions.
The book then begins by examining such supra-educational pressures, locating them at global, cultural and national levels. It suggests
that the world of educational leadership is a paradoxical combination
of control and fragmentation. It examines, in particular, the educational objectives of western industrialized countries, and how some
governments have exercised a degree of central direction of educational activity which has resulted in an excess of control, while a
paradoxical drive within these societies towards an excess of consumption has exacerbated existing problems of fragmentation. The
second part of the book examines the impact of these upon the work
of educational leaders, and suggests that these may be best conceptualized as the challenges to trust, meaning and identity. The nal
part deals with organizing a response, and suggests that educational
leaders need to do this by developing an appropriate form of learning
organization, and by developing new understandings of the role
requirements of professional educators. Such a reframing of professionalism then, nally, suggests the need for educational leaders who
are ethical dialecticians individuals with moral compasses, yet
who are sufciently aware of their own limitations, of the massive
changes impacting upon educational institutions, and of their need to
listen to others, to adopt a provisionalist attitude to their understanding of the world. At the same time, they also need to possess the
political and pragmatic astuteness to help balance a grounded
morality, a personal and epistemological provisionalism, and an
ecological awareness, leading to the ability to work with others
towards the formation of real learning communities.
It will then be clear that a critical area of professional development

is going to be a deeper understanding of the etiology of leadership
challenges, for only through understanding the sources of these
challenges can educational leaders begin to move to realize the kinds
of vision that compelled many of them to take up leadership positions
in the rst place. Furthermore, it is only by understanding and
beginning to change the structures and language that discourage
potential leaders from continuing their climb that an educational
system can be developed which encourages people to work within it,
and which contributes to a healthy and vibrant society. This
examination begins in the next chapter at the level of global change.
PART 1
SETTING THE CONTEXT
The global challenge
Why the need for a global perspective?

Many studies of educational leadership are concerned with activities
at personal, organizational and local levels. This is hardly surprising
when a leaders work is normally centred around individuals and the
organization within which they work, and it would be a strange
literature indeed which did not reect this fact. Yet as argued earlier,
such leadership focus is not just explained by day-to-day work. The
larger literature on leadership, which has had considerable inuence
on education stems primarily from the US business world, is
underpinned by values of individualism and personal achievement,
and has therefore long understood leadership as the activities of
outstanding individuals. Only recently has this literature begun to
look beyond the organization to the effect that particular national
cultures have on the practice of management, and that businesses
increasingly operate on a global stage (see, for example, Hofstede,
2003).
However, despite the odd exception (e.g. Handy, 1994, 1997), even
such enlarged business perspectives are still largely concerned with
the commercial success of the organization. Educational leadership,
however, both in the challenges it faces, and in the goals it needs to
achieve, must be more broadly conceived. If, for example, the
education for an entire region is to improve, rather than just that of
a few schools within it, then, as Fullan (2003) argues, educational
leadership must expand its purview to encompass wider regional
issues. If it fails to do this, it is unlikely that the remedies applied to
problems will address deeper underlying causes.
Yet even regional approaches may be insufcient. Indeed, if we
view the tasks of educators historically, they have also been employed to spread the dominant cultures and inculcate popular
ideologies of nationhood, to forge the political and cultural unity for
the burgeoning nation states, and to cement the ideological hegemony
of their dominant classes (Green, 1997: 35). Their work, then, has
29
largely been contextualized within nation-state aims, and they have

been employed for the prosecution of such purposes. Indeed, some
writers (for example, Ozga and Lawn (1981)) view the history of
education professionals as essentially that of a dialogue between them
and the nation-state, with the nation-state largely determining the
terms of the debate. Indeed, over the last two decades, educational
leaders world-wide have been deluged with torrents of legislation that
have massively changed their practice and challenged their values,
and most of it has emanated at the national level. It would be a grave
mistake, then, to only contextualize educational work at personal,
organizational and systemic levels: it needs to be viewed within
national contexts as well, and critiqued as such. This is not just so that
educational leaders can better understand the implications of such
legislation on their practice but also to enable them to engage as both
professionals and citizens in the determination of the role of educational institutions in the provision of the knowledge, skills, resources,
and values in adjusting to and critiquing the demands of a new
information age. This is why Hargreaves (2003) contextualizes the
work of schools beyond the local and systemic, arguing that it is the
soul-less standardisation of many governments which is destroying
the morale of teachers and hampering the ability of schools to provide
their students with the skills they will need to work within and
beyond a knowledge economy.
Yet there are changes afoot in the world today which challenge
even this level of contextualization. With the growth of trans-national
organizations like the EC and NAFTA, it is now apparent that the
nation-state is no longer the only source of political legitimacy; with
the growth of trans-national corporations it is also apparent that the
nation-state is increasingly constrained by the activities and aims of
the private sector. These issues may seem a long way from the work
of educational leaders, but this chapter will argue that such a
macro-contextualization of leadership activity helps place in clearer
perspective the kind of challenges and values that educational leaders
today do indeed face. Such a context, for instance, helps explain that
current crises of teacher retention and recruitment originate at least
in part from changes which transcend the local and the national.
Understanding these crises as global issues is aided by work like that
of Ritzer (2004) who argues that a number of global processes are
accelerating and exacerbating a trend towards what he calls MacDonaldization. A development of Weberian rationalization, this is
an intensication of the processes of efciency, calculability and
control, not just to industrial operations, but to workers of all
descriptions, including those in education, leading to a situation, he
The global challenge 31
argues, where we may be facing the possibility of a world largely

stripped of local meaning. As part of this process, many may nd
themselves steered down roads of training in desired competencies
(what Gronn (2003a) described for educational leaders as designer
leadership), and in being inspected and rewarded or punished on
these competencies. The consequence of such changes may be that
many educational professionals will feel less able to employ a critical
rationality in their understanding of educational policies, and less
able to interrogate their own practice in the light of their personal and
professional values a trend apparently encouraged by some in
managerial and policy hierarchies. Indeed, many professionals may
feel that a non-standard application of expertize to individual situations through the use of personal intelligence is no longer a
requirement or a desirable quality for satisfactory role performance. These challenges to educational institutions, then, suggest
origins transcending the national, which need to be described and
examined as such if they are to be properly understood.
From control to fragmentation

Yet there are other phenomena, trans-national, even global in origin,
which generate effects which are the antithesis of such standardization and control. Many daily lives are, paradoxically, as fragmented
as they are controlled; a fact reected in the increasing impermanence of work, and the exibility required within it, whether this be
the numerical exibility of people in an organization, the temporal
exibility of hours worked, the functional exibility of tasks undertaken, or the vocational exibility of movement between worksites.
In the business world, practices like hot-desking even reduce presence in the ofce to the extent that work loses its physical
embodiment and sense of permanence . . . a constant reminder of
ones marginal status within the organisation as a whole (Brown and
Lauder, 2001: 152). Such fragmentation challenges and undermines
long-cherished value systems and beliefs, leading to what Sennet
(1998) calls the corrosion of character, as individuals are prevented
from building a sense of community and permanence to their life
projects. Yet, in this fragmentation of meaning and value, another
paradox is produced: the danger that a belief system or organization
which can provide structure, control and direction is then welcomed,
regardless of where such direction leads. So while Ritzer (1993: 1)
points to the dangers of a McDonaldized world, he is also aware that
many people welcome it, for those who eat at MacDonalds prefer a
world that is not cluttered by choices and options. They like the fact
that many aspects of their lives are highly predictable. Ritzer is of
course not just talking about the effects of fast-food restaurants on
individuals eating habits, but about much bigger issues, for as such
predictability is sought for all aspects of life, so that life becomes
increasingly controlled. This harks back to Fromms (1942) analysis
of peoples fear of freedom, the attempt to locate responsibility for
personal choice beyond the self, a direct cause, he suggested, for
peoples support for authoritarian governments like those of Hitler
and Stalin. Such political and existential bargains, however, do not
just increase the degree of external control: the practice of voluntary
submission also limits the boundaries within which personal and
existential freedoms are explored. Giving up ones freedom is an act
which gradually ceases to be conscious, and instead becomes a way
of life, a self-imposed frame of living, which then becomes an
unexamined and unargued psychic constraint on political and existential possibilities. When this happens, the ability to make personal
sense of the world becomes that much harder, leading in many cases
to the desire for further external direction and further external
control, producing a dangerously malign cycle of further fragmentation and control. What this analysis suggests, then, is that control and
fragmentation do not then act separately: they interact to synergistically exacerbate existing tendencies; control becomes stronger, more
internalized, as fragmentation becomes more real and more effective.
Three reasons for the macro-contextualization

Excessive governmental control and the fragmentation of personal
and cultural values are then, this book argues, not issues which
educational leaders can ignore; they are ones with which they need
to grapple. So one good reason for needing to macro-contextualize the
challenges of educational leadership stems from the fact that many
challenges may have their origin at such levels. A second reason for
such macro-contextualization comes from the fact that many educational problems are increasingly couched in macro-social terms, and
conceptions of educational activity and achievement, learning communities, and the role that leaders play within them, in macro-level
language. Barber (2000) for instance, talked of the vision of the British
government for education as being a world class education service;
one which matches the best anywhere on the planet, and asserted
that in this decade we will see educational reform globalising. We
will see the globalisation of large elements of the curriculum. These
kinds of comments suggest that the level of comparison should no

longer be the national and cultural, but the global, and that such
globalization will begin to determine the nature of schools everywhere. Whether such claims are true, whether these are the proper
levels of comparison, can only be judged within a macro-contextualized understanding of leadership activities.
A nal reason for needing to include the macro-level in discussions
of the challenges to educational leaders lies in the fact that much
globalization talk is not descriptive but highly normative. There are
usually hidden agendas behind such recommendations of which
every educationalist needs to be aware. There is little doubt, for
instance, that the globalizing of business markets is a huge prize, and
it is therefore unsurprising to nd it vigorously campaigned for by
large business interests in a neo-liberal/conservative alliance. This
places the concept of globalization within heavily contested territory.
Some interpretations (e.g. Ohmae, 1995; LeGraine, 2002) suggest that
globalization is essentially a force for good, that through opening up
new markets, extending competition, and bringing nations into a
world order, globalization increases the prosperity of all involved. On
this account, any short-term problems such as greater disparities of
wealth, the need for personal exibility in the search for work, and a
greater fragmentation to peoples lives are all prices worth paying.
Other interpretations (see, for example, Korten, 1996; Hertz, 2001;
Frank, 2002) view globalization in much more negative terms. For
these writers, the unfettered free markets of economic globalization
have already been seen at the national level, and have produced
social dislocation, led to a neglect of the public and civic good,
increased inequalities between rich and poor, and produced a poorer
quality of life for all within communities. Such critics are therefore
much less enthusiastic in their embrace of the concept. Globalization, then, needs to be deconstructed, and its implications for
educational leadership examined.
Meanings of globalization
Globalization as a term hides a variety of possible meanings which
do not always t together to produce one neat picture. Yet, in a sense,
the term is remarkably straightforward, for seeing the Earth from
space can provide a sense of global wholeness and unity, which
rather like catching sight of your reection in a shop window, can be
rather surprising. Is that me? you ask, realizing perhaps for the rst
time a new facet to yourself, in the process perhaps glimpsing a little
more deeply into who you really are. Seeing the Earth from space is
a little similar. It is certainly beautiful, an aesthetic absolute in an age
when relativity is the predominant intellectual posture. It is also
surprising, as the world of humanity is seen, in comparison with the
earths size and age, as tiny and transitory. What is seen instead is a
living planet, on which the human race seems little more than a
temporary resident, depending on it as other living things do, for its
existence, and yet abusing it rather than treating it with care. As
Boulding (1968: 13348) so presciently said nearly 40 years ago, we
live on a spaceship earth, yet treat it like cowboys: the measure of
well-being [being] not how fast the crew is able to consume its limited
stores, but rather how effective the crew members are in maintaining
their shared resource stocks, and the life-support system on which
they all depend.
We may also recognize that our treatment could lead to our own
extinction. As educators, we may then feel compelled to reect, and
help others to reect, upon our practices and values, our obligations to
others, human and non-human, with whom we currently share the
planet, and with those generations still to come. Ultimately, we may
reect upon ourselves, upon the meaning of our existence, and on our
mortality, the sense of our smallness and fragility, situated on this
small ball whirling through a vast and innite space. This seems such a
core objective of a rich education, and yet how often do educational
leaders, deected by other agendas, nd the time to consider such
ultimate issues? Thinking at the global level can facilitate such
thought, broaden our understanding and experience of others, and
allow us to situate our experiences of life in new and remarkable ways.
Three forms of descriptive globalization

Globalization as a concept intimately connected with the way we
view our place and meaning on this planet, can thus provide unique
avenues to self-exploration and self-development. However, globalization also encompasses more than how we look at the world, for it
is probably even more concerned with processes which would
continue whether human beings recognized them or not, and it is
these processes which affect nation-states and produce policy mediations, which in turn have a direct impact on the management and
leadership of educational institutions. These processes may not be
complete, in the sense that not all on this planet may yet have access
to, or be affected by them yet they do impact on a sizeable majority,
and are likely to impact on many more in the future.
Environmental globalization
Environmental globalization is more than just a description of the
growth or impact of oceans, forests and deserts. It is concerned with
the ecology and interdependence of these and living things on a global
scale. Perhaps the rst form of recorded environmental globalization
concerned the spread of disease, with the proliferation of smallpox;
from its rst appearance in Egypt in 1350 BC, to its advent in China
in AD 49, in Europe 700 years later, and then 1,000 years later in
Australia in 1789. Such globalization of disease has not diminished
but actually increased: since 1973, 30 previously unknown diseases
have spread from being localized infections to having trans-national
incidence, the most obvious and potent being AIDS, largely due to the
ease of transport and communication. Humanitys inuence is then
strongly implicated in such changes to this environment, as it is with
deforestation, global warming and pollution. Environmental issues
transcend national borders, and are no respecters of national sovereignty.
Cultural globalization
It is worrying that while environmental globalization is a pressing and
immediate concern which should help frame the vision of educational
leaders, it as yet only marginally impinges upon their work. The
reasons for this speak volumes for our present over-riding values it
less visibly affects the nancial viability of educational institutions
and the political stability of nation-states than other forms of
globalization which are more pressing in their immediate effects.
Cultural globalization is one such form. It is a curious phenomenon,
capable of being conceived in two totally opposed ways. First, there
is a globalization of cultural variety, where, in a small city such as the
one in which this book is being written, I can eat virtually any
national dish, attend a ceremony of any of the worlds major
religions, listen to any kind of music. Such variety can provide
education with different windows through which new perspectives
are gained on the familiar, where wonder and awe are seen, where it
can be realized that others are simply using different roads to pursue
the same truths as oneself. Yet others dont necessarily view such
experiences as opportunities for spiritual growth. Instead they see
them as roads leading only to relativity and fragmentation. Faced
with too many choices, they cease to see meaning in any, lose their
personal centre, and only play with thoughts, ideas, meanings and
values. In the process they become one of Rortys (1989: 734) ironic
individuals, never quite able to take themselves seriously because
[they are] always aware that the terms in which they describe
themselves are subject to change, always aware of the contingency
and fragility of their nal vocabularies, and thus of their selves.
Yet for others individuals who have used beliefs as protective
structures within which to encase their lives, rather than as challenges to reect upon and deepen themselves such variety leads to
a retreat into rigid, fundamentalist adherences. The globalization of
cultural variety is then seen more as incursions by those who lack the
truth, but who would infect you and your children with their
falsehoods. When such incursions are supplemented by what is
perceived as Western imperialist arrogance, such resistance may be
translated into physical hostility.
Paradoxically, given the possibility of cultural variety suggested
above, another candidate for cultural globalization is precisely the
opposite the globalization of cultural standardization, which operates
through the imposition of a one-window view of the world. It is
Ritzers (1993) McDonaldization again, with its four classic themes
of bureaucracy: efciency, calculability, predictability and control. It
is the world of modern Disney and Rainforest Cafes, where the
articial and the commodied come to replace the real; a cultural
globalization which is quick, cheap, fast and shallow; where the best
bits of a culture are extracted, reformulated and packaged for easy
consumption. It is a globalization heavily directed by global markets
and free market capitalism, where culture is packaged and sold to be
a prot-making activity. When education embarks down such a road,
its institutions, rather than being the liberating experience which
opens up opportunities to the individual, are in danger of becoming
Procrustes beds in which individuals are made to t to the standard.
In the process, the personal is constricted, the spiritual is shackled.
Where societies embark upon such standardization and commodication there must be considerable disquiet, for cultures and their
underpinning values are created by complex relationships between
communities, and by individuals reecting upon, participating in, and
debating the values and practices that should undergird their lives. It
is through such complex interactions that a rich value base is created,
one essential for a vibrant democratic society, and for a commercial
sector to exist and prosper. Yet where these primary educational aims
are colonized and then pressed into the service of the economic, the
base upon which such economic activity relies is destroyed. As Rifkin
(2000: 247) says: To the extent that the commercial arena tries to sell
access to bits and pieces of human culture and lived experience in the
form of bricolage and pastiche, it risks poisoning the well from which
we draw important values and feelings.
So while cultural globalization as the proliferation of access to
different beliefs and approaches to life can be a force for spiritual
growth, it can also drive the less secure and the more dogmatic down
very different paths. And in an age of global paradox, we also nd an
opposing globalization of standardization again stemming from the
West which may also undermine profoundly held beliefs, leaching
out the local and the personal. Such standardization can then have
much the same effect upon the threatened, the insecure and the
dogmatic. The educational leader, living in a world of both kinds of
cultural globalization, needs to be keenly aware of their causes, their
synergies, their potential effects. They are both issues to which this
book will return.
Demographic globalization
Demographic globalization is a phenomenon with at least two stings
in its tail. It may be simply stated as a growing tension between
increasingly ageing populations, and those that have a much younger
prole. The ageing problem is now widely recognized in the developed West and among the Asian tiger nations, and becoming apparent
in developing countries. Its nature and effects are sobering. Simply
put, it is the recognition that there is an increasing number of people
who are living longer, and that this proportion is increasing. As
Dychtwald (1999) points out, in the USA at the beginning of the
twentieth century, life expectancy was only 47 years, yet by the end
it had risen to 76 years. In Japan, the life expectancy in 1950 for
women was 61.4 years, and for men 58 years. By the end of the
century, it was 83 years for women and 76 years for men. Signicantly, this phenomenon of increased longevity is compounded by the
fact that in the same nations, the fertility rate is declining. Assuming
that each couple needs to produce two children each to reproduce a
population (and probably more, as not all will marry and have
children), then many nations are not managing this. The situation of
some nation-states is nothing short of dire: Italy has a potentially
catastrophic rate of 1.2. Japan, the country with the worlds longest
living population, has a rate of 1.39.
This combination of increased longevity and reduced fertility has a
number of problematic effects. First, it means that a decreasing
percentage of the population is paying taxes to sustain core welfare
institutions like education, and this percentage will continue to fall.
It also means that, because ageing populations present more chronic

medical conditions which necessitate continual and expensive health
care, core welfare institutions and their managers will be under
even greater pressure than formerly. Third, as this ageing population
increases in size, so it will wield greater political power. Moreover,
as Peterson (2000) points out, because it tends to be more politically
involved than younger generations, it is likely that gray power will
exercise disproportionate political power, resulting in a skewing of
public spending to the needs of the elderly, rather than to investment
in education and other services for the young.
This is not an issue for demographers and policy makers alone.
Such changes will have a huge impact on the complexion of society,
on welfare state institutions, on their leadership, on those who use
such institutions, and on individual lives, both young and old, as well
as on the changed relationship between young and old. In previous
times, and still in some cultures, the elderly were treated with
considerable respect, even veneration. More recently, particularly in
the west, they have been socially and politically sidelined, apparently
irrelevant to the consuming project of greater economic competitiveness. Furthermore, when life expectancy, only a few decades ago,
could not be expected to exceed the early fties, reections on
mortality occasioned by old age was the province of the few. Now it
will be the concern of the majority. A longer retirement age for most
will present choices which few previously needed to contemplate,
and with which policy makers are still coming to grips. Recent
legislation attempting to keep people in work longer, and reducing or
eliminating state pensions, are symptomatic of this, and are likely to
have quite dramatic effects on the elderly and the societies within
which they live.
Retirement, then, is likely to lead to an extended period of life, but
which could take very different paths. It could be a time of great
suffering and bitterness, as concerns about nancing elderly care,
debates about the responsibilities this places upon middle-aged
children, the guilt both sides may feel, and the personal problems of
coming to terms with a body which is increasingly frail, all contribute
to a potentially dark future. The coming age of the elderly could be
traumatic, damaging and spiritually limiting. However, if planned
properly, it could be much brighter, in which the elderly aid a
generation still in formal education, or, by becoming more politically
engaged, develop concerns for generations still to come. It could be a
time when lifelong learning means more than just equipping individuals with different working skills for changing employment scenarios,
but is related more to the different personal, social and spiritual
demands which different ages require. In this brighter future, old age
would be a time with great potential for spiritual exploration and
development. It is a future which educational leaders need to reect
upon long and hard, not just because it will affect them personally,
or because of the impact it will have upon state and institutional
nances, but because it will have profound effects upon the way in
which a society considers and deals with the core issue of caring for
large numbers of its more dependent members. It is hard to
exaggerate its social, political, ethical and economic importance.
This then is the ageing problem. However, this is only one side of
the issue. The other side is that Muslim countries are not only
experiencing a population boom, but an increasingly high proportion
of people in their teens and twenties. Huntington (1998) argues that
this is a recipe for international tension: an ageing, declining and
conservative set of western populations, keen to hold on to what they
have, are increasingly going to face expanding populations who have
the passions of youth, require greater resources, and are much more
likely to want change than their ageing counterparts. When one adds
to this scenario the cultural challenges driving holders of non-western
beliefs towards fundamentalisms, this does not augur well for the
future. As Huntington points out, radicalism is most often seen
among the young, and tensions normally occur between those who
want change and those who do not. This is why, on his map of
international relations (245), he describes relationships between the
West and Muslim countries as likely sources of international tension.
As he argues, to ignore the impact of the Islamic Resurgence on
Eastern Hemisphere politics is equivalent to ignoring the impact of
the Protestant Reformation on European politics (1998: 111), only
now there are things like nuclear and biological weapons with which
such disputes may be prosecuted. Demography, then, is not only
intimately connected to the internal economics of different countries,
it is critically connected to international politics as well.
Three forms of prescriptive globalization

So far globalization in its various forms has been described as largely
a descriptive phenomenon. There are, however, other forms which are
closely linked to the aspirations of particular political ideologies and
particular power groups and these are described as prescriptive forms
of globalization.
Political globalization
Political globalization is another complex term which is probably best
initially conceptualized as the relocation of political power away from
the nation-state. One reason for such relocation is the increasing
involvement of states in global economic activity, some of which is
generated by nation-states themselves as they cede part of their
sovereignty in exchange for greater global competitiveness through
locating themselves within larger supra-national bodies like the EU or
NAFTA. However, by locking themselves into international nancial
agreements they also limit their room for nancial manoevre.
However, not all global involvement and power diffusion is a
willing move by nation-states. Some is generated by supra-national
economic organizations like the IMF (set up to bail out countries with
balance of payment problems), the World Trade Organization (in
existence to proselytize the merits of global free markets) and the
World Bank (whose prime function is to aid development projects in
developing countries through free-market measures). These bodies
exert their inuence through stipulating that nancial assistance to
nation-states is conditional upon the dismantling of trade barriers and
of their entry into a global system of free markets, which again limits
the ability of nation-states to rewall their economies. One further
form of global steerage is the activities of trans-national companies
(TNCs), who possess considerable capacity to move both nance and
plant from one country to another, and thus further limit nationstates independence. The combination of these forces heavily conditions many other nation-state activities. Education is one such
activity, not only in terms of its nancing, but also in terms of the
uses to which it is actually put. It will be clear, then, that there are
intimate connections between political globalization and economic
forces.
Nevertheless, while nation-states are perhaps becoming smaller
players on a bigger political and economic stage, nation-states are
sometimes seen as too big, for as individuals come to question
whether the nation-state is an acceptable site for their most profound
senses of allegiance and identication, political power not only moves
upwards but downwards as well. This helps to explain why UN
membership in 1945 was 45, by 1960 it was 100, and by 2003 it was
191, and why in all likelihood it will continue to grow. The evidence
suggests that many individuals in reaction against political, economic and culturally standardized globalizations are re-locating their
personal commitments and their very identities to levels below that
of current nation-states.
However, the understanding of political globalization as the

weakening of nation-state power is too simplistic. One of the most
notable features of the modern world is the global interconnectedness
of different interests, and the porosity of the nation-states to these
interests, which is not easily described in simple power-up or
power-down terms. Whether one is talking about the massive
inuence of the use of IT, international trade, terrorism, or the drugs
trade, it is clear that there are forces at work in the world today which
limit the ability of even the most powerful nation-state in maintaining
the integrity of its borders. Political globalization, then, has probably
to be understood as much in terms of the complexity and interconnectedness of present interests and power structures as it does in
terms of any ceding of nation-state power.
Finally, political globalization also needs to be seen as the global
spread of ideas, and the development of international sets of rules and
institutions for political governance. While there are those sceptical
of either the idea or the existence of an international community,
particularly after recent events in Iraq, a United Nations does exist in
which trans-national issues are debated and discussed, and there has
also been a global spread of political ideas, particularly those to do
with democratic governance, anti-slavery, anti-colonialism, and environmentalism and feminism.
Such global political changes affect educational leaders in at least
three ways: rst, in terms of the capture of political and citizenship
agendas by economic agendas; second, by the call for nested
concepts of citizenship rather than a simple allegiance to the national
level; and lastly, particularly with the mediation of such global forces
at the global or cultural level, by the sheer complexity of situations
which make it difcult, if not impossible, to fully comprehend,
predict or control the future. Once again, educational leaders will not
only experience greater control and direction of their work, but also
the increasing complexity and fragmentation of the world around
them; and they are going to have to help others to make sense of this
as well. Nobody said it was going to be easy!
American globalization
Such debates over political globalization lead naturally into a fth
form of globalization, American globalization. There may be many
who will baulk at such an idea. Yet if globalization is to be measured
in terms of power and reach, then consider that in military terms, the
USA spends more on expenditure in this area than the next eight
countries combined. In terms of economic power, it has a 27 per cent

share of world product, equal to the next three largest economic
powers combined. Indeed, the idea of the USA as a form of
globalization is not new; it was suggested as long ago as 1902, when
an Englishman, W.T. Stead, wrote a book entitled The Americanization of the World. The situation today is even more favourable for the
USA than it was then. As the French Foreign Minister Hubert Vedrine
said in 2001:
The United States . . . swims easily and rules supreme in the
waters of globalisation. Americans get great benets from
this for a large number of reasons: because of their economic
size, because globalisation takes place in their language;
because it is organised along neo-liberal economic principles;
because they impose their legal, accounting, and technical
practices; and because theyre advocates of individualism.
(quoted in Nye, 2002: 78)
He might have also have added that a critical skill in global economic
power is a facility in IT, and while the USA contains only onetwentieth of the worlds population, it has one-half of all internet
users.
Indeed, it seems possible to suggest ve facets of American
globalization:
1 A dominance in the design and use of both the software and
hardware of information technology.
2 A massive military supremacy.
3 A massive economic inuence through the conuence of American neo-liberal principles, American-dominated supra-national
economic organizations, and the functioning of global markets.
4 An enormous cultural inuence through the US lm industry, the
spread of MacDonaldized food, and the casualness of T-shirt and
jeans fashions.
5 A widespread politico-cultural inuence, emphasizing the supremacy of the individual freedom and autonomy, of democracy,
and the dislike of strong and expansionist government.
Nye (2002) divides American power into hard and soft power, and
argues that while its hard (military and economic) power is likely to
remain unchallenged for decades to come, the disturbing thing for
Americans (and by implication for all other nation-states) is that,

because of the more complex distribution of power in the twenty-rst
century, nation-states are more much porous than they would like to
acknowledge. There are, he suggests, more and more things which
even the most powerful state cannot control. Recalling the earlier
discussion on the limits imposed on nation-states by political globalization, he argues that particularly after the experiences of September
11, and the invasion of Iraq: The US lacks both the international and
domestic prerequisites to resolve conicts that are internal to other
societies, and to monitor and control trans-national transactions that
threaten Americans at home (2002: 40). He therefore suggests that
the USA will have to learn better how to share as well as to lead,
fearing that it may be too powerful to be challenged by any other
state, but not great enough to deal on its own with issues like
terrorism or nuclear proliferation. This suggests that nation-states
power may not be diminishing so much as the complexity of problems
is increasing, with nation-states nding it increasingly difcult to
resolve them. Nation states could then retain the same level of
resources as previously, but would still be less able to deal with issues
that arise. And America seems to be in the interesting position of
being a form of globalization, yet challenged by other aspects of it.
What are the implications of this for educational leaders? It is
probably best to address this through the hard and soft power
distinctions made earlier. US soft power food, fashion, lms,
political values will almost certainly continue to exert an enormous
effect upon the cultures of other counties, as well as retaining a
virtual monopoly in their country of origin. Such soft inuences may
then be enthusiastically adopted by some, but just as aggressively
resisted by others, making it all the harder for the two sides to
understand one another. The educational leader will have to reect
upon the implications of this for local identity, culture and educational community. It is an area global in nature, ripe for both exchange
and conict.
The hard power of US globalization is also unlikely to be far from
the headlines. Economic inuence and values penetrate the workings
of even the most distant nation-state, and affect its functioning (and
through this its educational organizations). At the same time military
interventions seem a constant possibility, whose outcomes are
impossible to predict, but which are likely to raise tensions wherever
they occur. Nye (2002) may be right in arguing that the USA would
be well advised to restrict its use of hard power in favour of the more
attractive elements of its soft power: it remains to be seen whether
such advice is followed.
Economic globalization
Claims for the existence of economic globalization have been around
a long time. In their 1848 Communist Manifesto, for instance, Marx
and Engels argued that all old-established national industries have
been destroyed or are being destroyed . . . In place of the old local
and national seclusion and self-sufciency, we have intercourse in
every direction, universal interdependence of nations (quoted in
Nye, 2002: 77). It is then a long-term trend, currently facilitated, as
already seen, by three different forces. One is the rapid, largely
unrestricted global movement of nance, a process which prevents
nation-states from protecting welfare agendas. A second is the locking
of nation-states into free market agreements by supra-national organizations like the IMF, the WTO and the World Bank, which limit the
scope of nation-state activity. The third force is that of trans-national
companies, who exert force on national government policies through
their ability to relocate their capital, factories and workforces around
the world, resulting in competition between nation-states to encourage these companies to do business in their country.
Economic globalization not only sets the context for other forms of
globalization, but its language is increasingly used to describe their
activities it captures their discourses. It is implicated in environmental globalization through multinational companies activity in
extracting non-renewal resources around the world and thereby
raises the question of whether environmental globalization can be a
purely descriptive term. It is implicated in aspects of cultural
globalization through the standardizing activities that much global
economic activity has. It is implicated in American globalization
through the US global sponsorship of free markets, through the close
relationship between the US government and multinational nancial
organizations, massive US economic power, and the lead that the USA
has in information technology. Finally, and perhaps most importantly
for educational leaders, it is implicated in political globalization
through the steerage that multinational organizations and transnational companies have on the activities of nation-states. In so doing,
such activities, including those of the education sector, are increasingly co-opted: for many in educational institutions, this manifests itself
through governmental directives, which thereby tends to be seen as
the controlling and directing force. Yet, while there are aspects of
nation-state activity which are not derivative of larger economic
agendas, many such as the quest by the nation-state to maintain its
legitimacy as the primary source of allegiance from citizens are in
large part driven by these larger agendas.
Why does current global economic activity have such profound

effects? Part may be due to the fact that, with the departure of
capitalisms main competitors fascism, socialism, and communism
there is no other global system to provide an alternative form of
economic organization. But it springs more deeply from the nature of
capitalist activity itself, in particular from the fact that the success of
a capitalist company is measured by its performance on the stock
market, by its continued growth and its ability to generate prots.
Such dynamics mean that to be successful, a company, above all,
needs to grow. This leads to the expansion of businesses not only in
the private sector, but into two other critical areas as well.
The rst area is the public sector. This can simply mean that private
sector companies take over the work of public sector companies, of
which there have been many examples around the world. Such
physical growth, however, can also lead to symbolic growth, as the
values of the private sector primarily those of efciency, effectiveness and economy become the criteria of success, while other
values critical to a rich education like care, trust and equity are
increasingly perceived as second-order values.
The second area of expansion is into the personal and cultural, and,
as already seen, if this happens, cultural goods may be turned into
articles or activities for consumption they may be commodied. A
number of potential effects of this have already been suggested the
colonization of cultural activities to serve economic activity; the
standardization of products to generate greater global prots, and a
reduction in local individuality; and nally, the disenchantment of
activities, as the individual response to a particular situation is seen
as uneconomic and therefore irrational. In its pursuit of prot, the
commercial sector tends of its nature to be voracious, turning to
commercial advantage whatever facilitates its growth, even things
like spirituality (Casey, 2001), emotional intelligence (Fineman, 2000),
and informality (Misztal, 2001). Ultimately, then, the dominance of
this agenda leads to an emphasis on economic functionality rather
than the pursuit of things in their own right, and as it does so, it
undermines the value of other aims, transforming and reducing them
to second-order activities.
There are two further potential effects. One is the need for
continued and expanded growth by encouraging individuals to
consume increased quantities of goods. This is most effectively done
if people can be persuaded to see themselves, rst and foremost as
consumers, and to indulge in consumerist activities as activities of
rst choice. As they do so, however, they will come to value the
personal over the shared, the private over the public. A dominant
consumerism is then highly likely to lead to the valuing of the self

over the valuing of the social.
A second effect is on the nature and role of the organization, and
of those within it. It has already been noted how many leaders now
feel increasingly stressed by the intensication of work, and the
amount of themselves they are asked to commit to the good of the
organization. This can in large part be explained by the growth of the
greedy organization which attempts to extract the maximum amount
of physical and emotional labour and commitment out of the
individual, in an effort to reduce the costs of production and increase
the amount of its employees work. All of these should be of interest
to the educational leader, not only for the effects they have upon
themselves, but also for the way they change the mission of their
organization, and the way in which they change the nature of the
society within which they live.
Globalization, the changing nature of

knowledge, and organizational structures
There are then profound inter-relationships between the different
forms of globalization, with economic globalization being the dominant form. This economic domination has one further effect which
requires comment, and this concerns the kinds of business organization and functions which are favoured by the changing nature of
markets. If markets and physical property have been synonymous for
the last 200 to 300 years, as the accrual and control of property has
normally meant increased inuence and control of the market, this is
now much less so. In this new era of capitalism, the critical issue for
many has become one of amassing and controlling the points of
access to the things that consumers want whether this is control of
access to physical materials (like cars), or, more importantly, the
control of access to the ideas and knowledge which generate new
products, new ideas, new experiences.
Now such control of access to ideas leads to the perceived need to
control and manage knowledge, and from there to the adoption of
terms like intellectual capital (Stewart, 1998) and the knowledge
economy (Neef, 1998), as once again, the economic attempts to
commodify other areas, this time that of knowledge itself. Drucker
(1993) suggested that initially in human history knowledge was
utilized almost exclusively for personal and social reasons. Only
much later, with the Industrial Revolution, did knowledge come to be
used in an economic sense, being then applied to the use of tools,
methods and products in industrial processes. From there knowledge

was applied, through writers like F.W.Taylor, to the process of work
itself. Now, Drucker suggests, we are entering an age in which
knowledge is applied to knowledge itself. At the personal level, this
may principally be in terms of learning how to learn. At the
organizational level, the question is increasingly seen as one of how
the intellectual capital in a company the intelligence, innovation
and creativity which is increasingly the wellspring of a companys
prot base can be better audited, managed and directed to the
purpose and the prots of that organization, to become what Stewart
(1998: 67) calls packaged useful knowledge. Now it must be stressed
that physical property does not disappear as a business concern, but
it does begin in many economic activities to move from the assets side
of the ledger to the expense column, to be replaced by intangible
properties like human knowledge, imagination and creativity. As this
happens, institutions which exercise control through amassing physical capital are challenged, even replaced as market leaders by
institutions which control access to ideas, knowledge and expertize.
The new economy, then, is a knowledge economy, and the new
capitalism is knowledge capitalism. There are a number of consequences from this.
One is that businesses and, by implication, education needs to
understand what is involved in conducting knowledge audits, in
ascertaining what workers know, what they need to know, and what
are the best methods for transferring such knowledge and understanding. Yet this will require a much clearer conception of what
knowledge management means than exists at present. Wurzburg
(1998: 39) suggests that while there is still much difference of opinion
here, there are a number of strategies emerging in the more efcient
and effective utilization of knowledge workers. These include:

increasingly attened hierarchies where horizontal communication and links are accorded more importance than hierarchical
ones;
information-gathering at more levels;
better trained and more responsive employees;
multi- rather than mono-skilled employees;
an increase in more responsible and self-managing groups.
An important implication of this is that the management of

such organizations must differ radically from more traditional
hierarchical structures, for as the core of the knowledge-based

company rests on the intellectual capital of its employees, this is best
exploited, not by top-down direction, but by collaboration at all
levels. The central question, asks Leadbeater (1998: 381), then is how
do you get talented, independent-minded people to collaborate? And
the job of managers and leaders will then move, argues Stewart (1998:
189), from the traditional one of POEM (plan, organize, execute and
measure) to that of DNA (dene, nurture, allocate), as organizations
become learning organizations within which increasingly responsible workers are able to ourish. Such organizations will also need
to develop more sensitive and exible education and training systems
for these workers.
This, it is argued, will also help to overcome another major
management problem the development of loyalty and trust in
workers who in the light of market conditions, can only be employable as long as there is a demand. Employees then must not only be
exible, but also accept their dispensability. Given this, how can
employee commitment be generated? The answer, suggests Stewart,
lies in the organizations promise to maintain their employability in
the wider job market by constantly upgrading their training and
skills. The company then not only gets the best out of workers during
their employment, but also provides them with the skills to move to
the next company, the next assignment. Furthermore, because of the
need for attened hierarchies, better trained employees and more
self-managed task groups, the organization of the future will need to
be more empowering, more organic, more democratic, a more
collaborative place to work. People with talent those who have the
intellectual capital will be highly prized and paid, and a critical
function of such organizations will then be to ensure that those who
lack intellectual capital are given the opportunities to develop it,
which will require extensive programmes of training and education.
This is the optimistic side of the theory. On the downside, such a
knowledge economy will bring more exibility in career, more
movement between jobs, no jobs for life. Such organizational structures will mean that the middle manager as an occupation may
largely cease to exist. If in the past, the project manager was the
endangered species, in such knowledge-driven organizations, the
order will be reversed. The worker who identies with hierarchies
will be less valued, while the project worker will be favoured, valued
for expertize rather than seniority, evaluated on how well the last
project was performed. It is, for many, an unnerving scenario, but it
is one increasingly described by business writers as the future of
business organizations.
Now, while such organizational changes may be ones which

outsiders think are ideally suited for transference to education, a
paradox easily recognized by many within education is that this does
not seem to be a particularly accurate description of what is occurring
there. Indeed, and as will be developed further in this book, there
seem to be forces at work which actually increase the degree of
standardization and inexibility in education, raising the possibility
that education systems are being created, and educators conditioned
in ways which make them singularly ill-equipped to help their
students in dealing with these challenges. Part of this, it will be
argued, is that economic globalization does not produce just greater
demands for exibility. Paradoxically, it also increases demands for
standardization and predictability, and many organizations, labeled
by Ritzer (1993) as McDonaldized, are taking this road rather than
any road to exibility. Educational organizations, and particularly
universities, as they are increasingly required to compete in global
marketplaces, nd themselves being pushed towards standardized
rather than exible destinations. It is therefore important to point out
that concepts of the knowledge economy and the knowledge
society do not describe a universal phenomenon; they are only one
side, the other side leading in very different directions. This problem
will be discussed in detail in Chapter 5.
Global realities
This chapter has suggested that different types of globalization
interact and inuence one another in diverse ways, producing a
complex and difcult world, which is likely to produce the following
global realities for those living into the twenty-rst century:

There will be increasing awareness of problems arising from

ageing populations and lowered fertility rates, at rst in the
developed countries, but increasingly in developing ones as well.
This will add to the pressures that nation-states encounter with

respect to the raising of tax revenue for a state spending which can
nance not only the support of people in old age, but more
importantly perhaps for educationalists, the sums necessary to
maintain a rich and diverse education system.
As states encounter difculties in this area, they will continue to

look for efciencies and economies, as well as seek the help of the
private sector in funding these areas, or simply in devolving such
responsibilities to them. There will then be continued debates

about the respective roles of the market and the state.

As economic globalization increases, TNCs will expand their

power, leading to a dispersal of state power and more local
nancial autonomy. As national governments experience this
relative decline in their power, they will feel impelled to nd
means of strengthening their claims to political legitimacy, in
maintaining their economic integrity, and in sustaining social
stability within their own borders.
In the developed countries, there will be a continued shift from

heavier to electronic and service industries, and an expansion in the
use and inuence of information technology; all of which will
happen as a continued shift of labour to cheaper countries occurs.
There will be an increased availability of cultural variety, which

will be counterbalanced by increases in the commodication of
culture and cultural standardization.
There will be increased concerns over population, environment and

pollution, and the spread of disease.
The USA will have the capacity for and will almost certainly exert
its increased inuence in terms of both hard and soft power.
For the individual and the organization this will amount to a

continued and increased rate of change, which will threaten to
produce increased stress and mental disease in the population at
large.
National and cultural mediations

While this chapter has described movements and forces which are
global in scope, it is important to point out before it concludes that
these movements and forces are both culturally and nationally
mediated. As mentioned earlier, Huntingdon (1998), provides a
political/demographic analysis which locates global mediation at the
cultural/national level. Palan et al. (1999) provide evidence that at
least seven different national strategies exist in the mediation of
economic globalization worldwide. Fukuyama (1999) shows that
while in the USA, the UK and Scandinavia, crime rates are rising, and
family breakdown is increasing common results, it is suggested, of
the impact of aspects of cultural and economic globalization this is
much less so in Mediterranean countries, while incidence is virtually
static in Japan and other eastern countries. Levin (2001) provides the
same kind of analysis with respect to educational issues, suggesting
that while there are some commonalities of context and strategy,
there are also profound differences, due to factors like political
culture, geography, and degrees of ethnic diversity.
It may be better to recognize that there exist global drivers which
attempt to steer nation-states in particular economic and political
directions, but that these are not inevitable. The governments of
nation-states, underpinned by different cultural attitudes and values,
adopt or are driven to adopt different approaches and strategies.
Two very different examples will be utilized here to describe this
phenomenon, one very western, the other, extremely pervasive but
largely not covered in western literature.
The rst concerns the mediation of western neo-liberal projects.
These are based around labour market notions of high levels of
mobility, downward exibility of wages, and low costs for employers
(Gray, 1998: 27) what Luttwak (1999) describes as turbocapitalism.
Such an economy seems to produce less structural unemployment,
increased technological progress, better economic growth, more
entrepreneurship and less bureaucracy. Yet it also has negative
consequences like decreased labour protection, increased worker
insecurity, a lower average wage, and a widening of income differentials. The UK, and England in particular, seems located, both
geographically and ideologically, between the USA and Continental
Europe, as its governments over the last twenty years or so have
seemed more ideologically in tune with the USA, intent on continuing
policies of privatization and deregulation. Continental European
countries like France, Germany and Sweden, however, seem more
committed to non-turbocapitalist societies, with the corresponding
opposite upsides and downsides. The result of such cultural and
governmental viewpoints has been very different mediations of this
global ideological project.
A second example is provided by Chua (2003) who points out that
many countries around the world have ethnic minority groups
controlling disproportionate amounts of a countrys wealth and trade.
This phenomenon, occurring in Southeast Asia, Africa, Europe, and
in South and Central America, produces social divisions, feelings of
superiority and inferiority, and on occasions, such strong resentment
as to lead to violence and even genocide. However, when global
policies of the privatization and marketization of national assets are
encouraged, this results in those who already possess large assets and
have the strongest social and business networks proting the most.
The result is an even greater concentration of wealth in minority
hands, leading to even greater resentment. When one then adds to

that another US globalization mantra the spread of one person one
vote forms of democracy, this doesnt create stable democracies, but
rather provides demagogues with the fuel to ignite resentful embittered majorities. In such situations, there are likely to be one of three
results:

a backlash against markets, and the targeting of the minoritys

wealth;
a backlash against democracy by forces favourable to the dominant minority;
a violent, sometimes genocidal backlash.
The result is that because US sponsored global free market and

democratic initiatives largely fail to take note of national mediating
conditions, and indeed exacerbate existing tensions, the USA is likely
to be resented because it is seen by impoverished national majorities
as the sponsors of such increased inequalities. Chua suggests that this
kind of analysis in part helps to explain the actions of September 11,
2001. Simplistic global policies then do not address existing national
problems, and are not likely to produce stable and equitable national
democracies. It is therefore imperative to understand the national and
cultural mediations of globalizing forces.
Conclusion
Such global realities, and such national and cultural mediations are
likely to lead to a heightened sense of paradox and tension. For
educational leaders, this is likely to manifest itself in the following
ways:
1 Attempts to satisfy the greater demands of clients for improved
services will likely be hindered by the need to reduce expenditure and increase efciencies.
2 The need to respond to nation-state attempts to strengthen its
legitimacy as the sole provider of citizenship will likely be in
conict with a need to recognize the increased claims by
sub-national groups, and supra-national organizations, which
result in demands for the recognition of more nested forms of
citizenship.
3 The pressure to use private sector concepts and practices, based

primarily around questions of efciency, economy and prot,
will likely conict with contrasting public sector values and
practices, based more around care and equity.
4 They are likely to be equivocal about the use of IT, and whether
it is primarily a liberating and knowledge increasing force, or
more of a means by governments to integrate and control their
work.
5 They are likely to be pulled in two separate directions as
governments attempt to control and direct them, while, recognizing the need to liberate the intellectual capital of workers,
governments simultaneously expect them to be exible and
creative in developing students abilities for a competitive
knowledge economy.
6 They are likely to experience a tension in terms of trust, as
governments see the need to allow an enhanced autonomy and
creativity, yet feel unwilling or unable to abandon low-trust
policies of targets, performativity and compliance.
7 This tension will probably be exacerbated as governments and
organizations talk about the need to trust and nurture individual
talent, and yet attempt to implement designer and competency
approaches in the training of their workforces.
8 There will be a tension between the encouragement to be
risk-taking and entrepreneurial and the reality that any failure to
meet centrally devised targets is guaranteed to bring an inspectoral body, like OFSTED, down upon their head.
9 A tension will exist, particularly for those in the public sector,
between a loyalty to it and its organizations, versus legislation on
personal advancement which encourages the individual to take a
personal and self-interested approach to career development.
10 There are likely to be tensions for leaders called upon to create
organizations which maintain social stability and nation-state
integrity through enhancing common values and a common
morality, and a potentially contrasting call to also develop
organizations which recognize and respect diverse cultural needs
and differences.
Overall, for western educational leaders, these tensions are
likely to be perceived as being generated by movement towards
decentralization, exibility and empowerment on the one hand, and

centralization and control on the other. The feelings are then likely to
be paradoxical ones of perceived increases in both the fragmentation
and the control of work. The next chapter will examine the manner
in which fragmenting forces operate.
The impact of
commodication and
fragmentation
The previous chapter argued that we live in an age of globalizing

forces, which take a variety of forms environmental, cultural,
political, demographic, American and economic. It was also suggested
that some of these globalizing forces were largely descriptive in
nature, while others were more products of the aims of powerful
forces, and thus were much more prescriptive. One of these, the
economic, was seen as the most dominant and was spreading, not
only geographically, but into other domains of activity as well, such
as the political and the cultural. In the process, it affected their
rhetorics and understandings, turning many of these other-domain
activities into primarily economic ones capturing their discourses
and commodifying them. A nal claim was that these forces
combine to produce a world which seems to be becoming more
controlled and standardized, while also more fragmented. This
paradoxical combination underpins many of the challenges to
educational leadership, and both need to be investigated in
greater detail. While the next chaper will examine the issue of
control and standardization, this chapter examines that of fragmentation, by arguing that the uncontrolled and volatile nature of
economic activity can result in an unpredictability of national
economies, which in turn can have dramatic effects upon the
organization and the individual. This chapter will also examine how
one major economic concept consumerism may not only be
undermining rich and diverse concepts of culture, but also re-dening
individual self-concepts, and thereby undermining social conceptions
of citizenship.
55
The fragmentation of the economy

It wasnt very long ago that a book written criticizing capitalist
economic activity would be in danger of being simplistically categorized as being of communist sympathies. In an age polarized between
the political ideologies of American and Russian superpowers, the
critic who had reservations about capitalism as an economic system,
but did not feel that Russian communism was the answer, might have
found serious difculties in having a third position taken seriously.
Times, however, have changed. The fall of communism in Eastern
Europe has not left just one functioning global economic system; it
has, as Ritzer (2004: 81) has argued, created an era in which for the
rst time capitalism is unchained and free to roam the world in
search of both cheap production facilities and labour as well as new
markets for its products.
If communism did manage one thing, it was to keep capitalism on
its guard; as Hutton (2001: 11) says it kept it aware that it had to have
a human face. The unleashing of uninhibited capitalism has exposed
a much less caring face, and there has ensued a more detached and
objective appraisal of capitalism, devoid of cold war connotations.
Like the taboo on criticizing the UK Royal Family, taboos on
critiquing capitalism as an economic system have largely ended.
There is, however, some disagreement over what constitutes
current dominant capitalist practice. Joseph Schumpeter (1942) described capitalisms genius as that of creative destruction, but there
are different views on the degree to which its voracious appetite
needs be reined in. Hutton (2001), for instance, is convinced that we
are seeing an Anglo-Saxon variety of capitalism, one that believes in
the maximization of shareholder value, the exibility of labour
markets, and the ability of capital to invest and disinvest without
constraint what has previously been described by Luttwak (1999)
as turbocapitalism. It is also a system which produces widening
income differentials, and lower worker security and protection. It
also appears to be rather less than global in operation: countries like
the USA and those in the EC practice a large degree of protectionism
for their home-based industries, yet criticize poorer countries when
they try to do the same. It is a fairly cold and uncaring form of
capitalism, and is in considerable contrast to a Catholic-European
version, which argues for the incorporation into its workings of the
notion of a just wage, just price and just prot. If Hutton (2001: 50)
believes that capitalism does not exist independently of society, and
. . . it is proper for the democratic will to be asserted over business
The impact of commodication and fragmentation 57
and private power, then turbocapitalism is a form of capitalism quite

distant from that vision.
It may then be that the current globalizing form of capitalism is a
particular cultural variant, but it is still new in a number of respects.
Castells (2001), for instance, argues that it is characterized in part by
the degree to which corporations utilize new information and
communication technologies in enhancing the capacity and speed to
do business. Such use of ICT not only facilitates the complexity of
what actually happens, as businesses are increasingly organized into
networks of production, management and distribution; it also facilitates the deregulation and liberalization of nancial trading. The
result of such exibility is for this new economy to select its
components around the planet, in an endlessly variable geometry of
value searching (2001: 53).
Such information and technological advances have generated real
growth and dominance of this form of capitalism, and are in large part
responsible for the birth of the knowledge economy. For the
individual, as writers like Beck (2001) have pointed out, this has
resulted in a world which is considerably more full of risk, uncertainty and complexity. And for other commentators (for example, Elliot
and Atkinson (1999)), because this complexity, risk and uncertainty
are encountered in an uncaring turbocapitalistist age, it is the age of
insecurity, where people feel increasingly lost, fragmented, deserted
by the political parties they voted into power. So while there are
many positive aspects of the knowledge society, the other side is a
high-risk society where people must acquire the ability and resilience
to deal with such uncertainty. Educational leaders, then, cannot be
concerned solely with servicing this knowledge economy through
promoting an education for cognitive learning; they have to help
others to cope with its effects, as well as articulating a vision of
education and society which transcends it. This means being concerned with peoples rights and responsibilities, with issues of trust,
identity and citizenship. These are all issues to be dealt with in
coming chapters. As Hargreaves (2003) argues, this means that
besides requiring an education for the knowledge economy because
students will need the skills and adaptability to survive and prosper
there has to be an education beyond it as well. The economic
system then needs to be undergirded and constrained by a wider
vision of a good society, where educators are both catalysts and
counterparts to the knowledge economy.
Yet Castells (2001) argues that the kinds of technological innovation
and liberalization emblematic of turbocapitalism have prevented the
understanding, and therefore the ability to control the economic
system. For while the technology facilitates investment by individuals, it also decentralizes and thereby fragments decision making; and
while liberalization allows many more to join in market transactions,
the deregulation and liberalization of the system reduce the ows of
information due to the increased secrecy and anonymity consequent
upon them. Such uncertainties, added to the manner in which
changing national or regional economic fortunes now can have global
impacts, lead to greater volatility and fragmentation. The result is that
the global economic system increasingly fragments, and is not
actually one in which the market alone rules. Rather, as Castells
(2001: 57) argues, changes in nancial markets are instead caused by
a mixture of, market rules, business and political strategies, crowd
psychology, rational expectations, irrational behaviour, speculative
manoevres, and informational turbulence of all sorts.
This seems a poor way to run a global economic system, for it limits
our understanding of what is occurring, and prevents us from
controlling its negative effects. Furthermore, it is very selective in its
effects. Faux and Mishel (2000) point out that in 1996 the assets of
the worlds 358 billionaires exceeded the combined income of 45 per
cent of the worlds entire population. By Castells estimates, a full
two-thirds of the worlds population are not beneting from turbocapitalism: for them it means lower wages, poorer standards of living,
and much greater dislocation and fragmentation; and as Chua (2003)
pointed out, when an economically dominant ethnic minority prots
by it, it can result in even grosser wealth disparities, the suppression
of democracy, or genocidal violence. Even in the USA, the centre and
main beneciary of this system, the gures are stark. Rifkin (2000)
points out that Bill Gates has more assets than the poorest 120 million
people of the USA combined; while Castells points out that 15 per
cent of the population live below the poverty line, while 2 million are
in prison. Indeed, in the 1990s, in California, there were more people
in prison than in full-time education.
There are good reasons then to doubt that this is economically,
politically, or socially sustainable in the long term. The best antidote
to problems of instability and, in the long term, to questions of
inequity, would seem to be measures at both global and national
level. At the global level, nancial regulation could be achieved by the
use of Tobin taxes to nance such governance. Such regulation is
certainly possible the technology which facilitates the current speed
and complexity of nancial dealings could also be used to rein them
in. Yet the US economy and US rms are the main beneciaries of
the current system, and their agreement would be needed for any
action to be taken, making this unlikely in the near future. At the
national level, this depends on the particular circumstances encountered. In terms of countries with economically dominant minorities,
Chua (2003) suggests that some or all of the following actions need to
be taken:

a greater degree of wealth redistribution;
the better provision of welfare and health safety nets;
the better education of economically disadvantaged majorities;
the greater expansion of social mobility;
the expansion of equality of opportunity, possibly through

positive discrimination;
the more explicit creation and contribution by ethnic minorities

to national projects.
Many of these measures would seem applicable elsewhere. Nevertheless, for the moment, we live in a global economic system which is
largely uncontrolled and uncontrollable. It can create a global
auction, as nations attempt to attract multinational companies and
international nance to their shores. And because of the speed with
which such changes can happen, it can produce severe instability for
individuals as decisions are made thousands of miles from where they
live, and by an intersection of forces which are neither rational nor
caring. They are asked to be exible temporally, functionally,
locationally and numerically and yet as Sennet (1998: 10 asks):
How can long-term goals be pursued in an economy devoted to the
short-term? How can mutual loyalties and commitments be sustained
in institutions which are constantly breaking apart or continually
being redesigned?
This leads to a situation where, as Hargreaves (2003: 38) says,
children become lifestyle models for their parents, rather than
parents being moral exemplars for their youngsters. This then forms
an immensely powerful, unstable and fragmenting backdrop for the
lives of nations, communities and individuals. It is a background
which poses challenges which educational leaders need to understand, and to which they need to respond. In terms of fragmentation,
perhaps the most critical effect is upon the self-concept of the
individual, and the manner in which individuals are steered into
seeing themselves as consumers rather than citizens. It is to this issue
that this chapter turns.
The fragmentation of the citizen

As already suggested, one consequence of free-market inuence has
been the steerage of many western public sectors into adopting
private sector models of management, and private sector language. A
particularly inuential term is that of the consumer. Now educational entrepreneurs will probably welcome the term as correctly
describing the relationship between educators and students; and
educational pragmatists might argue that because it belongs to a
conceptual universe in which they have to work, they might as well
accept it. However, if the public sector and the welfare state are seen
as having important parts to play in the development of a participative and caring society, as this book does, then there is reason to be
concerned with the use of the term consumer in public sector
practice, as it implies a set of values fundamentally at odds with
public sector aims, and which over-simplify the educational relationship between professional and client. Furthermore, as public sector
education has a role to play within the welfare state project, students
and parents need to be viewed as citizens, rather than as customers
or clients, for education is one of the principal means of induction
into the citizenship role. Further, Marshall (1950) pointed out that
such citizenship needs to be concerned with more than just greater
personal liberty, freedom of speech, or rights to justice and property,
indeed with more than just the right to the involvement in political
power. Citizenship, instead, needs to be seen as social citizenship
the right to the health, economic security and education necessary for
these other rights to be exercised. Nevertheless, proposing education
as in part the promotion of such conceptions of citizenship may be
ineffective if proponents fail to recognize that many educational
clients may want to see themselves as consumers, may want to
dene themselves as such. If this is true, then unthinking adherence
to such positions simply resembles King Canutes behaviour at the
seas edge of demanding the impossible while ignoring the inevitable.
If many want to identify themselves as consumers, then this is where
discussion needs to begin.
Consumerism as a term of abuse

It is not just welfare state proponents who have viewed consumerism in pejorative terms. Business discourse itself, as exemplied by
the history of its thought for the last 200 to 300 years, has been less
than impressed by the activity, seeing it as little more than the rather
trivial end point of the much more praiseworthy activity of production. To understand this, one needs to locate business thought within
the much broader context of the major western intellectual movement of the seventeenth and eighteenth centuries, the Enlightenment.
This movement radically changed views from seeing humanity as
subject to natural forces and supernatural whims, to one of believing
in its ability to exert control over such forces. One way of doing this
was through the increased control over nature in terms of industrial
production. This would eventually lead to two unexpected outcomes.
One, a perversion of the Enlightenment project, was the turning of a
control gaze from nature to the control of humanity itself (see
Bottery, 2000). The other was the celebration of industrial production
as an outcome of the control of nature, which led to the celebration
of materialism as an encompassing value. Such control and materialism would then be major factors in a modern view of the world
which suggested that not only could there be ultimate meanings and
ultimate aims for humanitys endeavours, but that by a process of
reason and scientic effort, these could be achieved.
Both materialism, and industrial production could then be viewed
as good things. Yet the end result of industrial production, consumption, was much less favourably viewed: after all, it didnt create, it
didnt demonstrate any ability to fashion the world to human
purposes. It was simply the destruction of that which was produced.
At its best, consumption fuelled the producers, and was therefore a
necessary support of mans productive capacities (and the masculine
form is used deliberately); but it was nothing to be proud of. Indeed,
as the industrial revolution developed, not only were these two
processes increasingly separated, but those involved in the separate
processes came to have different statuses: men increasingly went out
to work (a good thing), while women stayed at home to prepare the
consumption (a trivial thing). Such geographical and functional
separation of the sexes then meant that men were increasingly
assigned the role of heroic producers, while women were relegated to
being caretakers of the inferior consumption end of the process. Here
was a very important element then in the dominance of patriarchal
relationships in the industrialized world but also, through a kind of
cross-fertilization, of the continued inferiority of the consumption end
of the productionconsumption relationship. Consumerism and the
consumer (who was largely identied as female) were then classed as
inferior to production and the producer.
Consumerism was therefore an activity which was looked on with
disdain, and well into the twentieth century. In commerce, as Zuboff
and Maxmin (2003) describe, the literature and the average store
manager viewed the (female) customer with almost total disrespect.

In industry, the methods developed by Henry Ford for massproducing cars relegated the consumer to the periphery of organizational interest. His desire to make the car an affordable mass
consumer product led to the development and application of earlier
ideas of bureaucratization to the car industry, producing through the
creation of assembly lines, a standardization of work processes and
routines. While such production techniques radically reduced the
price of the automobile, and permitted more of the public to purchase
luxury goods, the techniques used not only alienated the worker from
his work, and focused the worker and manager ever more on the
productive process, but also relegated the consumer to the edge of
their concern. As James Couzens (1921), one of Fords early partners
said, what the Ford company really did was In effect, we standardized the customer. When Alfred Sloan at General Motors took the
management of motor manufacturing to the next logical step,
instituting the hierarchical divisions of professional managers to
oversee the workers so prevalent through much of the twentieth
century, the productive sector became even more focused upon the
organization and its members, rather than looking outwards to the
customer. Leaders were there to lead those within the organization,
hierarchies were instituted to more efciently monitor, control and
direct the workers within the organization, and structures were
designed to facilitate the functioning of the organization. Consumers,
while theoretically the focus of all such endeavour, were in reality
consigned to the periphery of this managerial universe. As Lyndall
Urwick advised (1943: 29): To allow the individual idiosyncrasies of
a wide range of customers to drive administration away from the
principles on which it can manufacture most economically is suicidal
the kind of good intention with which the road to hell or
bankruptcy is proverbially paved.
Now there can be little doubt that some managerial developments
such as that of TQM have tried to bring the customer more centre
stage. Cultural approaches such as those of Peters and Waterman
(1982) have also suggested that the more successful companies are
those that stay close to the customer. Yet quality has various
meanings, and managerial quality can and does on occasions conict
with customer quality (see Bottery, 2000). And despite some
resurgence in the development of consumer-oriented business cultures, there is much skepticism in the public at large about the
genuineness of such claims. Some of this skepticism comes from
numerous examples of high-level corruption in business, such as the
scandals at Enron, World.com and Merrill-Lynch. But part is due to
individual encounters: Zuboff and Maxmin (2003), for instance,

document how currently little murders are perpetrated by businesses
on customers, with those at the receiving end of a commercial
exchange being treated with as little interest and attention as possible.
It is now commonplace for customers to be able to get through to a
business representative on a freephone number if they are going to buy
the product, but when having bought the product and now needing
assistance, having to ring a premium rate help number and be
confronted by canned music for minutes on end, with a recorded voice
occasionally telling the listener that their custom is valued. Customers are too often right in feeling that, instead of being valued, they
are absolutely the last concern of the business. The Financial Times (3
June 1998) suggested, in an article on the growth of call centres, that
there is a powerful logic behind their growth: Dealing with the vast
number of queries and requests for help . . . can tie up central staff . . .
to an unacceptable degree. Outsourcing the responsibility to a third
party frees people and telephone lines for more productive activities.
So there we have it: customers prevent valuable staff from engaging
in more productive work. The customer remains at the periphery of
organizational interest. Nevertheless, while the consumer might be
seen as a nuisance and irritation, the consumer is still central to a
healthy economy. The logic of the economics of capitalism demands
that if production is to continue to expand, consumption will need to
be the vehicle that fuels such expansion. The consumer then, as
Campbell (1982: 282) describes, has a vital function, nay an obligation, which is to want to want under all circumstances and at all
times irrespective of what goods and services are actually acquired or
consumed.
The logic of the market has developed this desired model of
consumerism throughout the twentieth century. Not only is this model
one of obligation, it is also an individual one, for more products are
bought if everyone buys one each. Then, as this model is individual
rather than social, so consumption increasingly becomes private. And
because it stimulates production if industrially produced items replace
the labour of the individuals themselves, it increasingly becomes a
form of consumption divorced from the individual it becomes
alienated consumption. Finally, because what the consumer is to buy
is as much decided by the dictates of the market as by consumer
wants, consumption increasingly becomes a passive experience.
The modernist dream of a universal project, then, was in part
transmuted into a productionconsumption experience, in which the
consumption end was operated mainly by women in this obligatedindividual-private-alienated-passive manner. And it was largely from
such roots that the dominant social arrangements of the midtwentieth century developed the nuclear family. View any episode
of Bewitched, a favourite US sitcom of the early 1960s, and you will
see the wife, Samantha, possessed of unbelievable supernatural
powers, who ludicrously continues to be the willing homemaker to
her husband, Darren, a mortal advertising executive who possesses
neither her powers nor her intelligence. The message is clear:
regardless of her abilities, the womans place is at home, on her own
or looking after the children, and she must be loyal, dutiful, serving
the needs of the productive husband, who at the ofce, does the real
work. And consumption is a second-rate activity, indulged in by a
second-rate sex.
Consumption bites back

This then was a modernist world, its dominant characteristics those of
industrial production, capitalist economics, and the use of reason to
create bureaucratic structures. This was a world underpinned by the
Enlightenment project, the belief in a narrative of universal human
progress through the use of a scientic rationality, underpinned by a
Newtonian vision of a universe governed by mechanical and predictable physical laws. Samantha and Darren, and millions of other nuclear
families like them, thus lived their lives secure in the knowledge that in
an ordered physical world, there was only one way of knowing this
world. The accepted paradigms of both physics and epistemology
underpinned a stable social world which promised the attainment of a
universal set of values a gradually improving standard of living at
home, bureaucratically organized hierarchies of management at work,
a societal emphasis upon consumption as the motor of productive
capacity, and a clear division of gendered roles in producing this. The
world was stable, it made sense. All was right with it.
But what happens when such certainties begin to disappear? What
happens when it becomes increasingly apparent that there are
different ways of viewing this world, when different perspectives,
different values, different ways of life seem to work for those who
practice them? What if it is no longer clear why women should
remain at home? What happens when Samantha and Darrens
ordered relationship on television seems increasingly out of touch
with the realities of the world, and even women can aspire to be
StarTrek captains? What happens when racial segregation is recognized as a gross abuse of power by white majorities? When Miss
Daisy is driven to accepting that her negro driver may have rights,
even opinions worth listening to? When people question whether

their political and military leaders know best, and refuse to be lions
led by donkeys? When cynical yet likeable doctors are permitted to
comment on the insanity of war in programmes like M*A*S*H?
When this happens, when the old certainties begin to disappear,
new doubts begin to surface. Then, Bauman (1996) argues, different
personalities begin to inhabit the human stage. There is still the
modernist pilgrim, the individual who is convinced that there are
eternal truths, and that there should be political and social programmes which try to achieve those ends. But now you also have the
stroller, the individual who doesnt want to get involved, but who
simply observes what is going on. You also have the vagabond, the
one who questioned authority in modernist times and was therefore
viewed as a troublemaker and an outsider, but who now is seen as
reecting the spirit of the age. You have the tourist, who moves from
experience to experience, culture to culture, experiencing each before
returning to the safety of the home only now the permanency of
the home base is disappearing, and he/she is condemned/liberated to
be a tourist everywhere. And nally there is the player, who partakes
of each experience seriously, but knows that ultimately each is only
a game, there being no deeper seriousness or meaning to them, and
so, once experienced, he or she leaves the game to partake in the
next.
When this happens, the grand social project is likely to be
abandoned, and in the process, citizenship as an identity begins to
lose its appeal, because citizenship is so closely linked to the
modernist project of the realization of the nation-state. In its place,
another project self-creation increasingly comes centre stage. And
this means more than cultural self-creation, where one eats Chinese,
or better still, works in Shanghai for a year. This also means physical
self-creation: heads are shaved, bodies are pierced, plastic surgery
creates a new physical appearance. Individuals engage in personal
deconstruction and reconstruction the consumer in effect becomes
the consumed. And in this postmodern world of personal experience,
modernist projects are abandoned. Notions of public good are
downgraded, even forgotten, the needs of future generations ignored
unless, of course, these serve in the creation of the new altruistic
you, a personality which can be tried out, to be abandoned a little
way down the road if it ceases to generate the desired personal
experience.
In such a world, consumption is then not so much about consumption of physical objects as the consumption of experience. In the
modernist age, the possession of a car would have been the
consumption experience. In the postmodernist age, the driving

experience is the object of consumption. Yet such consumption is
more than access to sensory experiences; it is the ability to access
different conceptual and cultural meanings. This Age of Access
(Rifkin, 2000) then means, as we have seen, that power moves from
those producing hard manufacturing and industrialized objects, to
those controlling access to desired experiences. Moreover, they know
that many consumers in the developed world now have the nancial
ability to access the experiences. In such circumstances, really
knowing individual consumer desires, individuals visions of selfrealization, simply makes good business sense. And this cant be done
by leaving the individual consumer at the edge of the business
universe.
The facilitation and structuring of consumption

On this scenario, then, consumerism becomes the means by which
the individual project is accomplished, achieved through acquiring
the time and support necessary to pursue a life of personal construction and psychological self-determination. Such a project is also
underpinned and structured by two sets of values one psychological, one socio-political both of which have quite dramatic inuences
not only upon the type of consumption attempted, but, perhaps more
importantly, upon public sector systems of thought and their management.
One set of values, based upon psychological developmental stage
theories, underpins much of the consumption literature. It suggests
that motivation and cognitive functioning should be located at the
level of the individual, which become increasingly sophisticated as
the individual matures, leading to increased individual autonomy and
independence. Maslows (1954) theory of a hierarchy of needs is a
standard view of human motivation in business management textbooks, not only locating consumer needs within the individuals
physiology, but also suggesting that the lower ones need satisfying
before higher ones can be met. And consumers, in a postmodern
world with an enhanced standard of living, are now able to reach for
such higher stages of self-actualization. Other developmental stage
theories, like those of Piaget (1932) and Kohlberg (1981), suggest that
as individuals mature, they move to stages of functioning independent of group inuence, which again supports notions of individualistic consumerism rather than a consumerism based upon the
satisfaction of populations. Such theories, by suggesting that needs
stem from biological maturation processes, also deect attention

away from the possibility that consumer needs may be in part the
product of marketing and advertising strategies. Such theories also
prevent the individual from asking whether it is the needs of an
economic system requiring constant and in many cases increasing
levels of consumption, rather than individual biology, which create
the culture of high consumption seen throughout most of the
developed world today.
The other major inuence upon current views of the consumer,
which has particular potency within the USA, but which is seen
increasingly within other western nations, is a set of socio-political
beliefs about the relationship of the individual to larger institutions.
A rst is the strong belief in the primacy of the individual and his/her
freedom. This is normally allied with a second, a pejorative view of
bureaucratic organizations as stiing individual potentialities. These
two beliefs are then linked with a third, that the political state inhibits
individual realization. These three beliefs add great strength to the
view that the individual should withdraw from grand narratives and
from national political projects, suggesting instead that:

Consumerism, not political involvement, is the best expression of

personal freedom; indeed the retreat from citizenship involvement could almost be described as a political act.
Such consumerism should be, and now can be realized by private

sector organizations that respond to the individuals desires and
wishes, rather than the individual having to conform to organizational wishes.
It can therefore be indulged in, to the exclusion of issues of

political concern such as citizenship, because the primary vehicle
for citizenship the state is neither to be trusted, nor, because
of postmodern critiques of the validity or possibility of grand
narratives, is a body to which it is worth giving allegiance.
The combination of these beliefs leads to a view of consumerism

which is individualistic, asocial, centred on the realization of the self,
and dismissive of larger societal projects. Furthermore, as these
beliefs lead to the conclusion that the political state is not a proper
vehicle for the realization of this activity, it can then be suggested that
the only proper vehicle for human activity is the market. When such
socio-political views are combined with individualistic psychological
views of need and development, the damage to public services can be
crippling.
The new business relationship and the new

management thesis
The scene is then set for a culture of consumption focused upon the
individual. This entails a radically different conception of business,
one requiring a mediating person between the individual consumer
and the massive variety of experiences offered by the private sector.
It requires a person to provide deep support to the consumer by
knowing them as a close friend would, able not only to respond to
requests, but to anticipate needs as well. This person then identies,
suggests and provides access to a vast federation of businesses and
services which the individual consumer simply wouldnt have the
time, energy or expertise to locate. Zuboff and Maxmin (2003: 331)
suggest that this creates a new kind of business relationship, as
dialogue replaces marketing, because only through real dialogue can
the others meaning be known. And while this kind of relationship
is still largely the province of the rich and famous, they expect such
expense to decrease dramatically as more customers demand this
kind of service, and an increasing number of organizations change
existing practice or are created to cater to them.
Benefits and challenges from the new

consumerism
Some aspects of such deep support consumerism may be of real
benet to education. It suggests that all educational activity from
policies through to their implementation should begin from a
consideration of the needs, abilities and interests of the individual
student, and that only through an intimate knowledge of each could
a complete educational experience be realized. This model of consumption would seem to dovetail fairly naturally with an enhanced
use of ICT, as classrooms might be much more highly individuated
than at present, more sensitive to the changing needs and understandings of each student, and more responsive in supplying materials,
experiences, and web sites to match those needs. It would also
suggest that the educational professional of the future would be a
mediating professional, one able to identify which web sites, which
online support, which learning materials, were most suitable to the
needs of the individual student. On this model, a national curriculum
would only be acceptable if it did no more than spell out general areas
of entitlement, which were then translated through deep support
mediators into the experience and needs most suited to individual
students; and group teaching would only be acceptable where such

an activity had a wider social purpose, such as developing individuals social and cooperative skills.
Even were the reality to fall short of that described above, such a
model of deep-support consumerism would nevertheless provide
educational leaders with both a blueprint and a stimulus for the
development of their institution, for styles of teaching and learning
which might be radically different from those currently experienced
by many students. Such a model, being derived from extensive
practice in the hard-nosed private sector, would probably have a
greater chance of adoption than ideas coming from some woolly
idealist public sector philosophy. And as costs came down in the
business sector, so it would become more possible for a public sector
to implement such ideas.
Problems with the thesis

Yet while such a model might engender radical and exciting changes,
there are considerable problems with it.
A rst problem stems from the very nature of being a consumer,
even a deeply supported one. Websters Dictionary denes a consumer
as a person or organization that purchases or uses a commodity or
service. Yet this fails to fully describe how the current commercial
context denes the role of the consumer in the supplierconsumer
relationship. A consumer in the private sector, then:

pays another person for a product or service;
normally has a number of suppliers to choose from;
has the legal right to expect a certain quality of product or service;
is normally not obligated to the seller in any way other than

paying the amount of money asked for the product or service.
Such an analysis suggests that the consumersupplier relationship is

an essentially adversarial one, for the market relationship denes
them both as self-interested rationalists, trying to get the best bargain
for themselves. Such a relationship might also be one where the
producer/mediator created the need rather than responded to a
genuine one. This and the fact that the customer can go elsewhere
to buy the product or service suggests that their relationship is a
thin and fragile one. Further, in this commercial transaction, the
consumer has very few responsibilities: as long as the product or

service is paid for, it can be disposed of in any way wished, without
any obligation to contribute to its quality.
Finally, this supplierconsumer relationship, built upon the prot
motive, is likely to subordinate and transform values like trust,
goodwill, sincerity, fairness, as they are primarily used as instrumental values to service a commercial relationship. Yet it is instructive to
note that Zuboff and Maxmin suggest that deep support relationships within the new consumer form of capitalism cannot exist
without the I-You relationship in which individuals cease to be
merely means to ends and become ends in themselves . . . Dialogue
replaces marketing, because only through real dialogue can the
others meaning be known (2003: 330).
Such reference to Bubers I-Thou relationships will come as deeply
interesting (and probably deeply shocking) to those who fully
understand his use of the term, for the quotation above suggests that
only when there is unconditional respect between individuals can the
business relationship be fully realized. Yet here precisely lies the
problem. The relationship is entered into, not out of love, trust or
respect for the other, but in order for a prot to be made. The critical
question then is: if this is not going to be a nancially productive
relationship, what should the business person do? In the true I-Thou
relationship, this simply isnt a question one needs to ask. In the
deep support business relationship, however, this lack of productivity and lack of prot signals the termination of the relationship. The
business relationship necessarily reduces all other kinds of relationships to second-order ones for the purpose of commercial gain. Trust,
loyalty, respect, all are valued as long as they lead to a more protable
relationship, a greater degree of consumption. If they fail to meet this
end, they cease to be of importance. By only walking down the road
of commerce and prot, many other destinations, many other areas
of human potentiality, are closed off.
The commercial relationship, then, is a necessary one, but it is a
peculiar one. It is adversarial, it is fragile, it absolves one party of any
real responsibilities to the relationship, it can be manipulated by
producers to their advantage, and it transforms and reduces to
second-order values many qualities which societies need to see
ourishing as rst order ones. The commercial relationship is then
not one which can on its own underpin a healthy wider relationship.
And if this is true of the commercial relationship generally, it must
raise severe doubts about a life style or society which bases itself
upon it.
Consumerism and the public good

Consumerism is part of this more general problem with the commercial
relationship, for not only does it distract us from other kinds of
relationships; it also reduces the kinds of relationships into which we
can enter, radically depressing our potentialities as human beings. As
Barber (1996: 136) argues, it promises a world where everything is for
sale and someone else is always responsible. Such seduction works then
by promising to place the individual at the centre of a personally
specied consumptive universe, with desires being fullled by an
enormously exible and adaptable marketplace. In such a world, the
only role which the individual needs to fulll is that of seeking the best
experiences for self-realization, and to complain when these are not met.
Such seduction also distracts from other relationships, particularly
those concerned with common goods or public interests, suggesting
that there is no problem with some individuals and societies having
greater access to consumption experiences than others. Should we,
for instance, be concerned that the population of the USA consumes
over ve times more than its percentage of the worlds population?
On the consumer model, apparently not: we can assume that any
failure in the ability to purchase is based upon personal failure, and
that if only these individuals worked a little harder, found a job, they
could purchase the things that we ourselves enjoy. The consumer
model provides no reasons to the afuent westerner to be concerned
with starvation in Sub-Saharan Africa, nor with helping the child born
of the AIDS-infected mother, nor with those individuals or groups
discriminated against because of sex, race or colour. It cannot point
the individual beyond the personal to structural reasons for failure,
and it seduces the individual into not doing so.
Furthermore, as such seduction distracts us from the structural
causes of such injustices, so it also distracts us from working towards
common goods which rise above individual short-term need. It
suggests that we need assume no responsibility, need raise no voice
to change such conditions. In so doing, not only is the individual
turned into the consumer: so is the citizen. As Barber argues (1996:
243) Consumers speak the elementary rhetoric of me, citizens
invent the common language of we. Schools, and other vehicles
for the creation of the next democratic polity, and for the nurturance
of the public good, are stripped of this function, and instead simply
become interest groups for people with children (1996: 283).
In a world dominated by market-based consumerism, the market
then becomes the only player in town, translating the world of
politics and the citizen into the world of the market and the
consumer. When Ronald Reagan said on rst meeting his marketing
team I understand that you are here to sell soap and wanted to see
the bar (Firat and Dholakia (1998: 71), he dramatically illustrated
how politics ceases to be concerned with visions of the good society,
democratic participation and debate, and becomes more concerned
with issues of salesmanship, marketing and image and ultimately
with the furtherance of the market itself. In a world dominated by
consumerism, politics, public sector organizations and the welfare
state become the major casualties. The state, viewed so negatively,
and with its functions hollowed out, is increasingly reduced to an
umpire status, existing only to ensure that there are clear legal
parameters for markets to work within, that business contracts are
kept, and that those who break such contracts are punished. It then
increasingly fails to maintain a public sector where essential services
are provided for all in a population, regardless of ability or income.
It ceases to have a role in the creation of societal projects like the
welfare state. It is reduced from being a player in the game of life to
being an umpire in the game of the market.
And what of the individual? The market, by seducing us into
dening ourselves rst and last as consumers, prevents us from
asserting our rights as citizens. This may seem perfectly acceptable in
the short term if, as postmodern tourist or player, the individual feels
neither capable nor motivated to help change the world. Yet such lack
of commitment only leaves a gap for powerful others to ll.
Abnegating responsibility in the political realm for a life of consumerism in the market realm ultimately circumscribes liberties in the
former. For soon there is no body powerful enough to rein in market
excesses, to prevent the manipulation of the individual consumer, to
redress the abrogation of consumer rights, to build the kind of society
and values the market itself needs to survive. As Barber says (1996:
245) the paradox of a marketized world is that it cannot survive the
world it inevitably tends to create if not countered by civic and
democratic forces it inevitably tends to undermine.
Consumerism and the fragmentation of culture

The individualization of consumption does more than just undermine
civic and democratic ideals. It undermines and fragments cultural
values as well. It does this, rst by reducing rst-order cultural values
of trust, care, respect, integrity, to second-order commercial values,
and thus weakens the cultural base upon which human relationships
are founded. Second, by commodifying cultural experiences, and

delivering them in safe, packaged and easily consumable portions, it
leaches out their true meaning. As with Disneyworld, or the Rainforest
Caf experience, the oxymoron of a simulated reality is created, in
which the most saleable bits are selected, and then stitched together to
provide an experience determined by commercial attractiveness. Yet
when the commercial sphere replaces the cultural sphere as the
centerpiece of peoples meanings, two particular dangers present
themselves. The rst is the fragmentation of a personal narrative, as
the immediately experienced becomes the main attraction, and
personal meaning is no longer built by deferring the wants of the
present for the good of the future. The second danger is the destruction
of the societal project between generations. Where commercial
concerns accentuate a satisfaction of immediate wants, insufcient
attention is likely to be paid to future concerns. This explains why
pressure upon nation-states to delay progress in reducing the emissions
which cause global warming and damage to the ozone layer has largely
come from commercial enterprises whose prots lie in supplying
present-day consumption. When private want and consumption
come to dominate economic, political, social and educational agendas,
present and future public goods are threatened. Commercial interests
may be able to determine the price of everything, but they are less
concerned with the long-term communal and intergenerational impact.
This replacement of the cultural and the public sphere by the
commercial sphere has been dramatically seen in Common Interest
Developments (CIDs) in the USA. These are private developments,
commercially owned, access to which is heavily restricted, in which
people obey the rules set by the companies who own and run them.
According to Rifkin (2000), 150,000 of these are now in existence.
They seem to be the outcome of what Reich (1991: 268) prophesied
when he commented that the symbolic analysts and their families
have seceded from public life into ghettos of afuence, within which
their earnings need not be redistributed to people less fortunate than
themselves. Such CIDs appeal because not only is a greater degree
of safety guaranteed, but so is an interaction with those of similar
lifestyles and values. Yet their expansion restricts participation in the
public space, damaging both democratic and cultural values. While
CIDs may guarantee an initial security, they reduce the sharing of
different experiences, and the learning of tolerance and respect for
different lifestyles and different values, and in so doing, they weaken
and fragment wider communal values.
The same kinds of problems are also increasingly seen in the
educational sector, not only through the increase of overt and covert
advertising and sponsorship in public education, but through agreements in which equipment is loaned to schools upon agreement by
them of student exposure to corporate advertising during school time
(see Bottery, 2000: 212). When this happens, educational organizations
become less promoters of a critical induction into a civic culture, and
more an arm of commercial sponsorship. The overall result of such
commercial invasion into the public and cultural spheres is that
individuals are less engaged, less critical, contribute less to the
process, and become more interested in the consumption of the next
experience provided by the commercial arena. When that happens, a
sense of individual and cultural direction is fragmented and lost, and
the immediate and the now become the predominant concerns.
Consumerism and financial scarcity

One further scenario vis-a-vis the public sector needs to be explored.
As already seen, one of the reasons for public sector and welfare state
decline has been that of problematic nances. Given such constraints,
how could such deep-support consumerism be afforded? Writers like
Gilliat et al. (2000), for instance, argue that the reality of much public
sector work is one where consumers are increasingly being induced
to take on former producer responsibilities, or perform many
activities for themselves. This, the authors argue (p. 333), has served
to co-opt service users into the management of scarcity, rationing
and/or technological change, the result being (p. 347) that the
organisation rather than the consumer is empowered. This possibility that deep-support consumerism may not be realised in the public
sector needs to be recognised. Yet the result is more likely to be
that as we travel down a privatised road, the unequal access so
characteristic of the private sector will be replicated in the public, so
that the best services will go, as one would expect, to the consumer
who can pay the most. For those within a residual public sector, then,
deep support will go only to the wealthy. In such a way does the
public sector come even more to resemble the private, and support
for citizenship is even further undermined.
Consumerism and political advocacy

However, there is one view of consumerism which does not undermine citizenship so much as replace it as the context for political
advocacy, and there are both inclusive and exclusive variants of it.
The exclusive variant is seen in Davidson and Rees-Moggs (1999) vision

of a form of citizenship driven by consumer wants: where the individual
has the responsibility to search out the best deal they can nd on
citizenship and buy into that countrys provision. Different countries
will have different brands of citizenship, some with high taxes, some
with low, some more inclusive, some more exclusive. Individuals then
shop around to nd the deal that most suits them. This thesis, clearly
economic/consumerist rather than political in origin, is premised upon
the (dubious) belief that in an age of increased global movement, not
only can money move easily around the world, but so can many of its
inhabitants. Citizenship then becomes a matter of consumerism and
choice. It is pretty obviously a citizenship biased to the rich and
powerful, for it is they who can move the most easily. The nation-state
then nds itself in competition with other nation-states for the
citizen-consumers business, and rather than being a body concerned
with a public good a concern for all it becomes increasingly
concerned with selling its services to the highest bidder, and in the
process its activity, its very language, is captured by the market.
A more inclusive vision is provided by Hertz (2001), who suggested
that we live in a world where the politics of the nation-state is ceasing
to provoke interest and electorate participation. This is in part, she
argues, because populations are beginning to realize where the real
power and inuence lies, and this is increasingly with global
corporations. In such a situation, where the economic producers are
the real power in the land, if people are going to change anything,
they need to pressurize not their national politicians but the leaders
of business. Hertz (2001: 116) approvingly quotes the Church of
England-approved prayer book, New Start Worship, which advises
its readers that: Where we shop, how we shop, and what we buy
is a living statement of what we believe . . . shopping which
involves the shopper in making ethical and religious judgements may
be nearer to the worship God requires than any number of pious
prayers in church.
The message is clear business is the group to address, for it has the
real power. Indeed, there are recent examples of consumer pressure
groups having real effects upon the policies of multinationals with
Shell (on the dispensing of one of its oil rigs) and Monsanto (on its
policies on GM crops) being only two of the latest examples. Hertz (2001)
even suggests that if pressure groups want to inuence political regimes
abroad, then the people to whom these people will listen are not their
nations politicians (who may have very little persuasive power) but the
heads of multinationals, who may be able to dangle the inducement of
relocating a factory or withdrawing it from the country of the regime.
In some ways, this is a more appealing thesis, as it is far more

inclusive, far more concerned with achieving public goods rather
than, as with Davidson and Rees-Mogg (1999), achieving individual
wants. But in doing so it acknowledges the de facto authority of the
economic and private sector over the political and public, and leads
to the dangerous game of playing within private sector rules, rather
than asserting the primacy of the political and societal, within which
the private should operate. Furthermore, it is still tied to the voice of
consumerism, and therefore is still largely dictated by market rather
than democratic forces. While it is a more inclusive and social view
of consumerism, it would still be dangerous to see it as a substitute
for a proper balance between the various sectors.
Conclusion
This chapter then has suggested that the current version of global
capitalism provides a backdrop to cultural life, the work of educational institutions, and individual understanding, which is complex, fastmoving, risk-intensive, knowledge-driven and insecure. It has also
suggested that it has the effect of harnessing, controlling and directing
educational efforts to the delivery of private sector values, locating
them within a vision of consumption as it deects attention away
from issues of the public good. In so doing it ultimately fragments the
purposes of culture and citizenship, posing serious threats to pluralist
democratic societies.
Professional educators and their leaders therefore need to
develop a role beyond the provision of the skills and qualities required
by workers for the marketplace, but also beyond a simple nurturance
of students personal and social skills, and even beyond the appreciation of education for its own sake. They need, as Hargreaves (2003)
argues, to be both counterpoints and catalysts to the knowledge
economy and its products. They need to be able to understand, track
and articulate concerns about the nature of current globalizations, the
effects of the knowledge economy, and the impact upon national
circumstances. They need to develop a critical research-based societal
ecology, in which economic activities are seen as vital but second-order
functional activities in the pursuit of rst-order individual and social
goods. They need then to keep in view the question of the ultimate
purpose of their activities, which calls for an extended and probably
more politicized role for the educational leader than is normally
conceived. The next chapter which examines the standardizing and
controlling effects upon education reinforces and develops this view.
The impact of
standardization and
control
The previous chapter traced the particular nature of current global

economic activities and argued that by understanding the nature and
dynamics of the dominant model the Anglo-Saxon turbocapitalist
one it is possible to begin to understand the fragmented backdrop
to much national, local and personal activity both within education
and beyond it. It was also suggested that such fragmentation was
exacerbated by the increased inuence of current versions of consumerism, which undermine cultural concepts, redene self-images,
reduce personal citizenship visions and increase the neglect of notions
of public good, the need for a public sector and a healthy welfare
state.
One set of fragmenting consequences, particularly from economic
globalization, stems from the nature of capitalism itself. However,
another set of consequences, stemming in large part from the model
of business production which such an economic system tends to
prefer, are, paradoxically, much more centralizing, standardizing and
controlling. Together they provide a backdrop which is both fragmented and controlling, and which, it is argued, reects much
educational reality today.
Now the previous chapter argued that one of the major driving
forces behind globalization (or grobalization, as Ritzer (2004) describes it, in an attempt to describe the drive to expansion) is the
nature of capitalism itself. In particular this was seen as the need by
a business to grow to expand its production, sales and prots, and
to demonstrate that it has potential for future growth. This necessitates expansion, not just geographically, but into the cultural and
political arenas, and into the public and non-prot sectors. Such
expansion is a principal measure by which the company is rated on
77
the stock exchange, by which its success is judged. These kinds of

dynamics, it was argued, have led to a situation of considerable
complexity, turbulence and instability, leading to concerns of fragmentation from the personal through to the global. But herein lies the
paradox. Because while this kind of explanation reects one of the
dominant theses of nineteenth-century sociology that of Karl Marx
the actual manner of production is much better explained by one of
the other great theses that of Max Webers apparently contradictory
emphasis on the increased ubiquity of rationalized and bureaucratic
processes and structures, with their stress on efciency, calculability,
predictability and control; and from there to its twentieth-century
realization through the work of F.W. Taylors scientic management, with his stress on the breaking down of work into its
constituent actions.
Now why would globalizing rms want to employ this kind of
Weberian/Taylorian rationality in their quest for growth and prot,
particularly when we are told that this is an age of increased
diversication? Weber suggested that these kinds of processes were
ideally suited to a capitalist system of organization, possessing many
qualities which capitalists value. When the ultimate aim is that of
making a prot, then the more efcient the structures, the more likely
prots will be generated. And such efciency in many cases is greatly
facilitated by other characteristics of bureaucracy particularly high
degrees of specialization, hierarchical authority structures with restricted command and responsibility, an impersonality of relationships, the recruitment of individuals on the basis of ability and
technical knowledge, and the application of impersonal rules to all,
so that those new to an organization can be immediately aware of
how that organization functions. Then if one adds to this Taylorian
methods of breaking down and analyzing the most efcient way of
performing a task, there is real nancial incentive for managers to
heavily control and direct their workforces. So even if we live in an
age apparently calling for greater exibility and creativity, there are
still, as Ritzer (2004) argues, sound commercial reasons for standardization, as such mass-produced products tend to be less expensive to
produce than more complex and distinctive ones. Furthermore,
because of their simplicity, they are easier to market and advertise,
and are therefore likely to have greater demand. In terms of
consumption, because they are cheaper to produce, and can be
cheaply priced, more people are likely to buy them. But not only will
they be bought because they are cheap; for some people at least, their
comparative simplicity and lack of distinctiveness will be appealing
because they will be easier to appreciate, to consume. They are then
The impact of standardization and control 79
likely to have a wider general appeal, as well as being less likely to

offend particular cultural tastes.
Moreover, such rationalized forms do have other uses beyond
those of mere protability. In todays world, many things work well
and we appreciate them precisely because they have all the
hallmarks of this phenomenon. The credit card is a good example.
Here is a piece of plastic which is simple, quick and convenient to
use, precisely because it is standardized, calculable and controllable.
It is certainly a lot easier to use than carrying large wads of money
around and a lot less dangerous as well. It is a lot more convenient
and efcient to use than having to change currency when traveling
abroad. Internet banking has many of the same qualities: it is easily
accessible 24 hours a day, and it dovetails better with the pressures
of a busy lifestyle than dealing with a physical bank. So, given the
inevitability of living in a fast-moving world, such adaptations may
actually help us not only to be more effective, but perhaps more
relaxed through having less to do. So such McDonaldization may not
only be to the advantage of large corporations: it may in part be to
the consumers benet as well.
Indeed the reverse side of such rationalism, the local, is not always
an unalloyed good. So often in the past it has been an example of the
bigoted, the insular, and the parochial, rather than of the nurturing,
communal and caring. The local has constrained freedoms and
abilities just as much as it has nurtured them. And the extreme of the
local what Barber (1996) rather unfortunately and inappropriately
calls Jihad an uncritical communal adherence to fundamentalist
values and doctrines from which individuals attempt to depart at
their peril suggests that a force like McDonaldization may have
much to recommend it. Our concern then must be to understand and
counter its excesses, rather than to reject it out of hand.
Problems and excesses

Nevertheless, the problems caused by its excesses are real and felt by
many. First, its predominant mode of reason has, historically, had the
effect of corroding attachments to a warm and communal world. This
reason was the product of the Enlightenment project, which some
have seen, and continue to see, as an illuminating tool, helping to cast
light into the attic rooms of superstition and unthinking compliance.
Yet such reason is a double edged sword. For many, as it divides,
analyses, classies, and dissects, it also removes the security of order
and hierarchy, it undermines a belief in the mystery of life, and
destroys belief in a world ordered and managed by a concerned

Deity. It then disenchants the world, and makes it a much harder, less
caring place. As Weber said (1948: 155)
The fate of our age, with its characteristic rationalization and
intellectualization, and above all the disenchantment of the
world, is that the ultimate, most sublime values have
withdrawn from public life, either into the transcendental
realm of mystical life, or into the brotherhood of immediate
personal relationships between individuals.
Second, its predominant mode of organization the bureaucracy
has undoubtedly increased the degree of equality in society through
allocating positions on the basis of ability rather than on birth and
social position. It has also made such organizations more efcient and
effective by the careful and rational analysis of what needs to be
done, and created the means to accomplish those ends. So it is very
important to recognize the necessity for a fair degree of bureaucracy
in virtually all organizations. Nevertheless, it has had a number of
adverse consequences for both organization and individual. Adherence to such rationality can lead to a ritualism (Merton, 1952)
towards rules where little or no effort is made to use personal
initiative, or to improve the service. When such ritualism occurs,
motivation and morale normally decline, and people not only become
inexible to external change, but may fail to provide appropriate
service to individual clients or customers. Perhaps most critically, a
rigid adherence to bureaucratic rules may leave street-level bureaucrats (Lipsky, 1980) feeling that they are being driven to treat clients
or customers in a routinized and dehumanized manner, which may
not only fail to address the particular problems such clients have, but
may reduce street-level bureaucrats morale and effectiveness as they
are unable to treat clients in the individualistic way they feel is
necessary.
Such rationality then, almost inevitably produces a series of
irrationalities, the most tragic perhaps being that while rationality
should be pursued in order to meet the needs of our humanity, yet so
often it seems to be used, irrationally, to destroy it. By the
standardization of procedures, the activities and relationships with
which we are engaged tend to be dehumanized and disenchanted.
Furthermore, this restricted rationality so often, in pursuing one goal,
irrationally prevents us from pursuing more important ones. Finally,
and when used in a competitive situation, it can destroy that which
is socially valued in the pursuit of that which is personally desired.
A major result of such processes, this standardization, argues Ritzer

(2004: 3) is what he calls an increase in nothing a social form that
is generally centrally conceived, controlled, and comparatively devoid of distinctive substantive content.
Economically, if the ultimate aim for many rms is to create a
formal model based on a limited number of principles that can be
replicated virtually anywhere in the world (2004: 85), the result will
be a twentieth-century version of Webers rationalization what
Ritzer calls McDonaldization, the drive towards an efcient standardized product, where everything, being predictable, can be calculated
and controlled, and out of which all or most substantive, meaningful
and human content is extracted. And because of the dominance of
global economic agendas, this model spreads beyond the economic
sector to affect all other aspects of society. For Ritzer, the ultimate
irrationality of this is that we live in a world which produces an
over-abundance of such forms of consumption, largely empty of any
form of local or social content, thereby reducing or destroying forms
which are more valuable and precious because they cater to our
deeper personal and communal needs.
Does McDonaldization add anything?

So there are major problems with such standardization. Yet, given the
previous discussion, two further questions spring to mind. One is:
does Ritzer add anything (apart from large amounts to his bank
balance) by using the term McDonaldization rather than Webers
concept of rationalization allied to Taylorian Scientic Management?
This is important because the answer leads to some signicant
conclusions about US globalization. The other question is: given that
both the Marxian and Weberian perspectives seem implicated in
economic globalization, which is the more important? This is important because the answer provides a richer understanding of the
paradoxes of globalization, and of the ways in which it impacts on
individual lives.
So, Ritzers coining of McDonaldization, and the fame resulting
from this has been viewed with no little envy by some academics
(see, for example, some of the critiques in Smart (1999)). Indeed,
there are times when Ritzer is doing little more than interrogating
Webers ideas in the light of developments in the late twentieth
century. Yet, Ritzer is saying something important, particularly when
he argues that highly McDonaldized systems, and more importantly
the principles that lie at the base of these systems, have been
exported from the United States to much of the rest of the world
(2004: 84).
Ritzer does say that McDonaldization can be seen springing up
around the world, but his point is that the kind of large-scale,
rationalized and standardized organizations dedicated to consumerism, have almost without exception in the last 50 years originated in
the USA. This focus on consumerism, and on the USA as the place of
origin, does make this a new, if slightly derivative phenomenon. The
emphasis on consumerism reinforces the belief expressed in the
previous chapter that consumerism is no longer the handmaiden of
business activity, but now needs to be seen as a central player when
we try to understand the ecology of forces that surround educational
organizations. The second, the USA as locus of origin, is equally
important, because it points to the fact that McDonaldization has two
faces the face of Weberian rationalization, and the face of US
globalization. Critically, were an American to be asked how they
thought of McDonalds, Coca-Cola, or any of the other massive rms
emanating from the USA, their reaction is likely to be a triumphalist
made in the USA one, and not one which simply describes them as
large corporations producing burgers, soft drinks, and so forth.
McDonaldization, then, is as much about Americanization as it is
about economic globalization. Indeed, attacks on McDonalds restaurants around the world need to be seen as attacks on what is perceived
as a representative of US cultural imperialism as anything to do with
global capitalism. And linked to this, in like manner, current forms of
global capitalism need to be seen as both turbo-capitalist and
Anglo-American in origin. So once more, it is highly likely that the
average American will see capitalism as as much American as
economic in fundamental nature. It is a brand which rules the world
and which is perceived alongside the McDonaldized fast-food restaurant, as intrinsic to the American identity, and indicative of Americas
health, success and standing in the world.
If this is the case, then while Americans may celebrate McDonaldization and turbocapitalism as twin representatives of the success of
the American way of life, it might be expected that others might react
against them for twin opposed reasons. A rst would be because of
the negative effects that such forces have upon them and their ways
of life; a second would be the result of the association of these
forces with America, and would therefore be a reaction against
America and things American. As Ritzer himself says: Empty forms
can come to be seen as the product of the United States, an inherent
characteristic of American culture that is being aggressively exported
throughout the world. Thus empty forms may be resented not in
themselves (for their emptiness) but also because they seem so

American (2004: 168).
Thus, when Ritzer says (2004: 149) the reality and sense of loss is
far greater in much of the rest of the world than they are in the
United States, the reason is almost certainly that such loss is not felt
in the US because such corporations are lled with the something
of Americanization. For those outside the USA, however, this may
not be a lling they want, when what is taken away is their own
cultural distinctiveness. If this is the case, then many in the USA may
fail to understand the antipathy that some of their most loved
institutions provoke elsewhere, and those elsewhere may fail to
understand why many in the USA regard these institutions with so
much affection unless they conclude that American intentions are
either malevolent, or they are so far lost that they cannot be saved
from themselves.
Marx or Weber?
The second issue is whether the Marxian perspective, emphasizing
the economic aspects of globalization, or the Weberian perspective,
emphasizing the rational/cultural, is the more important inuence. Is,
then, the fragmentation caused by the instabilities and uctuations of
a largely uncontrolled and uncontrollable world economic system
more important? Or are the prescriptive, centralized, standardizing
and directive forces caused by the rationalized and McDonaldized
processes? The answer is probably that such is the inseparable
interpenetration between the two, that we need to recognize the
importance and inuence of both if the complexity and paradoxical
nature of the forces surrounding educational organizations are to be
understood. This interpenetration is part explained, as argued elsewhere (Bottery, 2000) by the fact that Weberian rationalism and
bureaucratic organization are products of the Enlightenment project
the western attempt to fashion a concept of progress sustainable for
all humanity through the application of reason. Such processes then
predate current capitalist structures in the economic organization of
society, yet there can also be little doubt that those engaged in
capitalist activity saw early on that such rationality, and such
bureaucratic organization, were both ideally suited to their objectives
as they provided clear divisions of labour, transparent hierarchies, an
absence of ambiguity, and the placing of the most qualied person in
the right position. As Weberian rationalism predated and in some
respects laid the cultural ground for capitalism to grow, while
capitalism took on and further developed and incorporated this

rationalism into its own activities, we may simply have to accept that
such is the interdependence of the relationship between the two, that
it would be foolish to try to separate or locate one in dominance over
the other. The conclusion must be that the expansion of global
activity in the economic and cultural spheres is to be explained by the
growth of both turbocapitalism and McDonaldization. This helps to
explain the widespread paradox of feelings of both fragmentation and
control in everyday life, the former emanating from the instability
and turbulence of capitalist activity, the latter from the standardizing
and controlling effects of McDonaldized rationality. It is also a
paradoxical situation which is unlikely to disappear in the foreseeable
future.
The rationalization of educational systems

Globalization is then a complex and paradoxical group of forces,
generating both a fragmentation and standardization/control of cultures and individual lives. Moreover, one country at least the USA
is as much the generator of some of these forces as it is a recipient
of others. One would expect and in fact one sees a considerable
mediation of such global forces depending on culture, political
orientation, and status in the world. Nevertheless, in education
systems across the western world, there has been a quite dramatic
movement towards the standardization of frameworks characterized
by detailed legislative frameworks of pupil testing, precise denitions
of curriculum standards, and high stakes processes for inspecting,
monitoring and intervening in school performance. Now, once again,
it is important to point out that there is not a simple causal link
between McDonaldization tendencies and such rationalization. Given
that globalization is such a complex term, and that there are national
mediations of what happens at the global level, it would be surprising
if there were such simplicity in causation. Instead, it is probable that
such rationalization/standardization is due to the interplay of the
following six elements:
Global rationalizing processes: the centralizing and bureaucratic logic
of many McDonaldizing businesses might be very attractive to policy
makers, as it may seem to enable simple translations of practice from
private sector successes to organizations where there are concerns
over poor performance, and over which they have responsibility and
control. When this occurs, standardization may then be seen as one
means of raising a base level of achievement.
Neo-liberal thinking and markets: as noted previously, much of the

drive to economic globalization is underpinned by neo-liberal thinking, one aspect of which involves a dislike in granting power or status
to producer groups because of the belief that these producers of
which professionals in general and educators in particular are seen as
very representative will use such power for their own purposes. In
such circumstances, policy makers inuenced by such thinking can
be expected to require indicators of success independent of professional judgement.
The drive of global capital for continued growth and expansion: this
drive leads to the viewing of all sectors as ripe for commodication,
as being objects for commercial gain. The public sector is clearly not
exempt from such gaze, and public education may then be seen as an
area ripe for plucking. This might be accomplished by making
education unappealing as a public sector activity. Standardizing public
sector schooling might then make education sufciently unattractive
for parents to consider moving their children to private schools.
The logic of economics: when an economic model is utilized to
evaluate the activities of other sectors, its methods tend to be used
within these foreign sectors. Broadbent and Laughlin (1997) argue
that the transference of acccounting logic into education and other
public sector areas is a logic built on two assumptions:

that any activity can and should be evaluated in terms of

measurable outputs, and in terms of the value added in the course
of the activity; and
that such evaluation can be undertaken in and through the

nances used in the activity.
This means that that any evaluation will be framed in terms of what
can be measured in quantitative terms; and a standardized education
system would facilitate such accounting logic. Further, such economic logic would be predisposed to the much greater use of
international statistical comparators of student achievement in judging public sector success. Indeed one of the strongest reasons given
by western policy makers for school reform has been the perceived
economic miracle of the Asian tigers, which seems in part to have
led to the adoption of similar standardized and controlled systems.
Economic logic may then have favoured the adoption of global
statistical comparators, which may have further encouraged policy
makers to adopt frameworks which deliver to these kinds of
numerical standards.
Reactions to fragmentation: in terms of the previous analysis of the

instability, complexity, change and fragmentation caused by the
economic turbulence, it might well be the case that politicians and
public alike would welcome a type of policy which was relatively
straightforward, simple, and understandable by specialists and nonspecialists alike. In an age of great confusion, the clarity of greater
standardization might be welcomed by many.
National drivers: the reduction in state funding, for reasons of both
demographics and market ideology, has meant that states have found it
increasingly difcult to maintain levels of funding: greater standardization might be appealing to policy makers as a way of achieving cheaper
versions of education. Furthermore, many policy makers are pragmatic
politicians who have, within democratic systems at least, xed terms of
ofce. To be voted back into power, they are driven by timetables
which differ considerably from those of educationalists. They need to
formulate educational policies which can be swiftly implemented and
which yield relatively quick (and simple) results, so that electorates will
be sufciently impressed by their performance to re-elect them.
While some of these reasons can be traced to national issues, many
of them can be traced to the effects of global forces. The irony is that
while standardization, micromanagement and tightened inspection
systems may therefore have been adopted in large part as a
consequence of global pressures, it is likely that they are exactly the
opposite of what is required to meet the challenges of this global
future. It is to this issue that we now turn.
Organization, standardization and control

One of the principal governmental means of achieving standardization and control has been through the re-engineering of organizations, and a critical strategy here has been the creation of a cadre of
managers and leaders to oversee such reculturation. In the public
sector in developed western countries, in contrast to former more
facilitative strategies, such New Public Management has come to be
seen as the guardian of the overall purposes of the organization, and
therefore it is wrong that another group of staff should be able to
work to a different set of priorities (Pollitt, 1993: 113).
Now once again, there has been a paradoxical combination of
empowerment for managers to be more entrepreneurial, yet at the
same time being asked to implement and come into line with more
and more central directives. And perhaps just as paradoxically, such
management practices have experienced considerable swings over the
last twenty years, as attempts at hot management strategies have

been utilized in the attempt to capture the minds, motivation and
commitment of employees, only to be replaced by more cold
management strategies, which have aimed more at compliance, and
the capture and utilization of the time, motion and bodies of
individuals. Hoggett (1996) suggested that governments in the early
1990s were committed to what he called high output/low commitment management in essence neo-Taylorian strategies which
Pollitt (1993: 56) described as being principally concerned to set clear
targets, to develop performance indicators, to measure the achievements of those targets, and to single out, by means of merit awards,
promotion or other rewards, those individuals who get results .
Since Pollitt and Hoggett, this process has, if anything, intensied
in the public sector, combined with an even rmer commitment to
the development of a more marketized, privatized and deregulated
educational sector. Gleeson and Gunter (2000), for instance, in their
analysis of the introduction of Performance Related Pay in Public
Sector education the UK, argue that this has completed a circle of
cold managerial control and direction. It is but one instance of a
situation across the western world where the managers and leaders
of public sector organizations have been smothered in a stream of
directives, targets and steers in the attempt to create predictable,
error-free and risk-less organizations in which professionals dont
need to be trusted in any but the most minimal sense because
everything is so controlled, so micro-managed, so known. Yet the
creation of such an environment has a number of damaging consequences.
First, while such management practice may attempt to leave trust
out of the equation, it actually results in people feeling distrusted and
demoralized, for they know that they are constantly the objects of
surveillance. Second, through its incessant stipulation of more targets
and performativity, such managerialism forces individuals into the
playing of a game rather than concentrating upon the true purposes
of the educational endeavour. Finally, it limits the development of
any meaningful concept of a learning community by steering educators into becoming what Hargreaves (2003) calls performance training sects. These consequences need to be examined in greater detail.
The consequences of distrust and demoralization

There is now strong evidence that throughout the western
world, there are many public sector professionals, and educational
professionals in particular, who are deeply unhappy with their

current work. This is seen in the number who wish to leave, those
who want to take early retirement, and those who are having to leave
through ill health brought on by stress. Some critics may say that this
is simply professional shroud waving, yet the situation is serious for
reasons other than a concern for teachers states of mind. One reason
is that unhappy teachers dont make good teachers. A second reason
is that sufcient numbers are leaving and depopulating a profession
to the extent that replacement crises are now rmly on governmental
agendas, resulting in the adoption of policies of workforce remodelling in which less qualied individuals are allowed to take on
activities previously reserved for professonals. The result for the
organization, the students and the society in general is then extremely
worrying.
Now, as already seen, in study after study (e.g. Hargreaves (2003);
Gronn (2003a); Fullan (2003); Bottery (1998)), at both senior management and classroom teacher level, the same issues of overwork,
demoralization and alienation are repeated. Hargreaves (2003: 91), for
instance, in his studies in New York State and in Ontario, Canada,
reports many teachers feeling demeaned and degraded . . .
unfairly criticised and sick and tired of being asked to justify their
existence; . . . of constant government put downs that teachers
were poisoning young minds; of government mandates to slander
and deprofessionalise teachers as whole.
Part of this came from worries over creativity. As one teacher said:
the primary motivation of the government has been to
increase productivity at the expense of creativity. I do not
have the time for professional development . . . I also dont
have the time to t the curriculum to the needs of my pupils
. . . what a waste of my intelligence, creativity, and leadership potential! (2003: 83)
Yet this does not just apply to teachers. As Fink (2001: 232) said:
There is . . . not a great deal of room in most of the test-driven reform
agendas internationally for pupils to construct knowledge, and to
demonstrate their creativity, imagination and innovativeness.
A major consequence of teachers treatment was their lack of trust
in the integrity of governments and policy makers in introducing
educational changes. As another of Hargreaves interviewees said: I
think the government has done what it set out to do. Many parents
are choosing private education. The state system will become second
rate without money and vocal or involved parents (2003: 97).
When teachers distrust governments so much, it is worrying that a

governmental pamphlet like Professionals and Trust (2001) by a former
Secretary of State for Education in England is exclusively devoted to
governmental difculties in trusting teachers, but which says nothing
of the difculties teachers have in trusting government, and therefore
says nothing about what might be done to remediate this.
Now it has to be said that while teachers may complain that
governments dont recognize their problems, it also seems fair to say
that on many occasions teachers dont recognize governmental
concerns. This points to the fact that trust is a two-way process, in
which the dynamics of relationships are absolutely critical. The next
chapter will look at this in much greater detail, but it is important to
point out here that the kind of trust discussed in Professionals and
Trust is very much as one might expect from foregoing discussions
about economic agendas reducing rst order values to second order
ones trust is here viewed as a management tool, rather than as
something which is deeply personal in its effects. Such a second order
use of trust can have immediate and negative effects upon the morale
of workforces, for if leader/managers/policy makers see trust simply
as a tool, they may fail to see that those on the receiving end those
being trusted or distrusted take this in a very personal sense. Being
distrusted is not perceived as the absence of a managerial tool but as
a normative judgement about ones character. In that situation,
workforce reactions are predictable anger, deep distrust and dislike
of those not trusting them. Tragically, those who began the mistrust
may perceive such reaction as conrmation of the validity of their
initial adoption of cold management approaches and both sides
may then be locked into vicious circles of mutual distrust. And when
perceptions of educators as self-interested workers who cannot be
trusted to dene their work, or be trusted to reach high standards on
their own are conrmed, it may then seem sensible to subject them
to intense micro-management and detailed levels of accountability.
Two strategies in this process need describing here.
The use and abuse of targets

While the general notion of targets as a way of specifying what is
intended, and how it might be achieved, is a sensible means of getting
people to plan ahead, there are a number of issues with their use
which contribute to the problems begun by the creation of low-trust
environments. A rst is that targets are never neutral. As Fitzgibbon
(2000: 2601) argues one of the aims of indicator systems is to attach
value to that which is measured; and where targets are attached to

inspections, and rewards and punishments, it would be a strange
not too say foolish management, that did not put a great deal of
effort into achieving them, an amount which might be disproportionate to the contribution they make to a richer education for students.
Similarly, if individuals know that in annual reviews of their work
they will be judged and pay awards will be made on their ability
to show student progress in those target areas, it would also be
strange if they did not adopt strategies which targeted the enhancement of these specied areas. They will also realize that they would
be better off being assigned teaching groups with whom they can
demonstrate most progress, and this may make them more selective
with the groups they take. They may also be more inclined to take
over groups from weaker colleagues, and more reluctant to take over
those from strong ones, for they will be able to show more progress
by taking over from the former than the latter. They may also be less
willing to teach outside of their specialist area, or share classes with
less competent colleagues. And they may become increasingly reluctant to move schools to teach in difcult areas.
The result of the creation of such excessively directed and
punishment-oriented regimes may then be a distortion of aims.
Individuals, faced with perverse incentives, may be tempted to work
for personal benet rather than for collegial good. The combination
of an organization distracted from its real aims by inappropriate
targets, and of individuals pursuing rational courses of self-advancement at the expense of collegial benet, could then do great damage
to the achievement of a learning community.
Now, it must be acknowledged that successful change requires a
degree of pressure and support from above; bottom-up creativity and
invention will not sufce. Yet as this is a question of balance,
oppressive central standardization does not achieve this. Furthermore, there is evidence that, under current target-driven regimes,
some individuals do manage to work the system successfully, as they
knowingly play the game while at the same time keeping their eye
on the real issues, needs and desired developments of their
organizations (see Day et al., 2000). Indeed, where there is some
exibility in external directions, astute leaders and managers may
well subvert the spirit of individualistic target regimes by incorporating more collegial targets, which strengthen rather than diminish an
organizations learning environment. Yet this cannot be an argument
for keeping such a system in place. Managing to survive in an
unsympathetic environment is hardly as conducive as ourishing in
a supportive one.
Furthermore, excessive external imposition is a problem in a

number of other ways. Not only does it indicate a lack of trust in
those close to the process, thereby generating low morale; it also
cannot see the needs of the institution in the richness that those
internal to the process see it; and it can deect effort away from
responding to such context.
Critically, externality tends to generate largely extrinsic rewards,
such as nancial incentives. Yet going back as far as Herzberg et al.
(1959), the evidence suggests that while such extrinsic rewards may
remove dissatisfaction, they do not generate motivation or satisfaction. Too great a degree of external imposition of work content and
reward may then be self-defeating, resulting in the reduced morale of
a workforce unable to realize the things they believe are central to
their work. And this, as Jeffrey and Woods (1998) report in their
research on UK teachers, may lead to intense feelings of guilt and loss
of self-respect. One teacher talked of resenting what Ive done. Ive
never compromised before and I feel ashamed. Its like licking their
boots (1998: 160).
Another said: My rst reaction was Im not going to play the
game; but I am and they know I am . . . my own self-respect goes
down . . . Why arent I saying I know I can teach; say what you want
to say and so I lose my self-respect (1998: 160).
This echoes other research, which talks not only of demoralization,
but of teachers seeing themselves as prostituting their professionalism
in the service of ends they regarded as morally indefensible
(Hargreaves, 2003: 92).
So excessive standardization through externally-imposed targets
can negatively affect the aims and objectives of a school, reduce
trust in policy makers, and depress educators self-concepts. Sadly,
however, this is not the end. Not only can targets deect attention
from the prime concern of an educational organization, but, because
of their ever-changing nature, they can prevent people from ever
being satised with their efforts. Now it is important to be clear
that satisfaction does not necessarily imply complacency. It is
perfectly possible to do the best that one can, to realize that
change and improvement are never-ceasing, but still feel able
to celebrate attainment and be proud of past and current achievements. Yet when the achievement of constantly changing external
targets is made the overriding objective, morale can be dramatically
lowered, for such targets create constant feelings of self-doubt
(at having to replace carefully acquired professional judgements
with externally imposed targets), of anxiety (at having to constantly
attain targets), of guilt (at being unable to achieve increasingly
difcult targets), and of complaint and blame (as consumers are led to
believe that the focus of their educational aspirations should be on
dissatisfaction with producers attempts to reach such targets).
Indeed, and only half-jokingly, one might argue that somewhere
there exists a manual entitled The Rules of Good Management,
Leadership, and Teaching in an Age of Target Setting and Low Trust.
It probably amounts to the following ve rules:
1 If youre happy at work, then theres something wrong.
2 If youre satised with what youve done, then youre complacent, for satisfaction is the same as complacency.
3 Your best is never good enough.
4 If youre not dissatised with your current performance, then
youre not doing it properly.
5 The good teacher/manager/leader is the one who is unhappy and
anxious.
Such rules may help to explain the fact that in the UK the number of
working days lost to stress in the general population between 1995
and 2002 rose from 18 million to 33 million, and that this was 60
times the number of days lost to industrial action (Guardian, 6
January 2003).
An excess of performativity
The cynical might want to add one further rule to this list: The good
teacher/manager/leader is the one who is able to convince external
observers that he/she is doing what is externally demanded, while
managing to get on with the real job.
This, in a word, is performativity, and it is highly interesting that
as inuential a commentator as Sergiovanni (2001: 514) has as the
fth of seven basic principles of leadership that of building with
canvas, for as he argues, like the decoy tanks built in canvas during
the war, such strategic deceptions can help leaders respond to
external demands which require that school look as they are
supposed to. However, performativity is even more ubiquitous, for
whenever a leader or manager makes demands which are not totally
consonant with a subordinates view of the job, then it is likely that
some degree of performativity will be attempted. Furthermore, one
cannot assume that such subordinates are always right, for they may
reject reasonable demands out of self-interest, or may misunderstand

the true nature of the situation occasioning the demands. So exercises
in performativity do not necessarily indicate where the fault lies, nor
how issues should be resolved. However, there is likely to be a
damaging degree of performativity when external direction is excessive, for when this happens, it obstructs strategies aimed at coping
with the unique and changeable nature of a particular situation.
Moreover, one of the principal functions of performativity in a
culture of low trust is to make individuals activities constantly
public. Yet, as Elliot (2001) points out, such transparency is not
always possible, partly because of the tacit nature of some of the
activity, partly because of the time involved, and partly because of
the transaction costs incurred. Where it is attempted, the result is
likely to be no more than a highly selective objectications of
performance (2001: 194). Moreover, because such transparency
assumes that there are xed and immutable standards against which
to judge performance (2001: 195), it may actually hinder the
exibility necessary to meet the ever-changing learning needs of
students.
What is especially worrying is that even those leaders and
managers opposed to steerage by such means, may nd themselves
engaging in it and in the process hating themselves for it. This
seems particularly the case when there is a squeeze on budgets, for
where extra income generation is not possible, either people have to
be let go, or the best use needs to be made of the resources available.
In this situation, a manager/leader may feel impelled, not only for
nancial, managerial and strategic reasons, but for those of equity as
well, to consider adopting performance measures. Thus, as nance is
reduced, they may try to ensure that all contribute fully to helping
the institution meet its obligations, and thus may attempt a greater
transparency of effort through the introduction of performative
strategies like workload models. These may be considered for what
may seem the very best of reasons, yet they may still generate the
kind of damaging effects described above. Even Stephen Ball (2001),
an arch-critic of performative systems, is forced to admit the
temptation to urge people to submit ill-prepared articles in order to
meet the next UK Research Assessment Exercise, which allocates
research monies to university departments. As he says: Some of the
oppressions I describe are perpetrated by me. I am agent and subject
within the regime of performativity in the academy (2001: 214).
The results of such performativity can then be profound. At the
institutional and strategic level, it can lead to a perversion of the true
objectives of the organization, as attention is focussed on external
demands and not on internal needs. It can also prevent a necessary

exibility of response, as well as limiting the degree of creativity and
risk-taking, with which any learning organization needs to be
concerned. At the personal level, it can generate a variety of negative
and damaging emotions, involving individuals in inauthenticity and
fabrication, as they nd themselves compelled to deny their true
instincts with respect to the betterment of the institution. Not only
then may individuals feel depressed at what is happening externally:
they may feel depressed at their own actions. This lack of self-respect,
of self-betrayal, of guilt and of dissatisfaction permeating a working
life is seen in all of the studies mentioned so far. As Stephen Ball
(2001) said, individuals nd themselves being both agent and
subject in the creation of their unhappiness.
Crippling the learning organization

What is the likely effect upon people within a learning organization,
in terms of their attitude towards students and teaching? Some of this
has already been covered, in the suggestion that demoralization may
well lead to greater exhaustion, lower morale and lower commitment.
However, there are two other aspects of excessively standardized
approaches which further cripple the learning organization.
The rst is, somewhat paradoxically, the fragmentation of the
student experience. This can be understood by re-examining the main
thrusts of excessive standardization. By placing priorities on performance standards, targets and competence checklists, the emotional
dimensions of education are neglected and undermined. By portraying schooling as a predominantly clinical exercise devoted to the
achievement of targets, creativity and imagination may be neglected,
as may the magic of relationships which needs to underpin teaching.
In the process, teachers are disengaged from the act of teaching, and
students from the act of learning. This is particularly true at the
secondary level, where students experiences may be initially fragmented by the lack of absorption and excitement which such
standardization causes, and which may then be further fragmented
by a system which is built around the delivery of separate subjects,
delivered by different teachers, who may have neither the time nor
the opportunity (nor, indeed, if driven by subject delivery, the
interest) to get to know the students in the way that is possible at the
primary level. A further problem with this system of organizing
education is that it demands of pupils a mastery of a variety of
subjects areas, when the experts teaching them do not demonstrate
this themselves. The nal fragmentation is encountered by those least

able to deal with it those who come from fragmented and disrupted
homes. If this book has already dealt with a number of instances of
the irrationality of a restricted rationality, here is a nal one an
education system which by doing the rational thing of increasing the
tests, targets and amount of teaching, disengages the student by
preventing or neglecting precisely those things which give meaning
and coherence to the educative experience, and which undergird the
true learning organization the sense of identity, care, respect, trust,
community and belonging.
The second effect of such standardization and control derives from
the more recent decision to launch large-scale reform strategies, such
as Success for All and Open Court programmes in the USA, and the
National Literacy and Numeracy Strategies in the UK which Hargreaves (2003) argues have a number of key similarities. These are:

heavily prescribed teaching strategies in key areas (normally

numeracy and literacy);
rigorous monitoring of ambitious targets for improvement;
expectations that all pupils will achieve these standards;
relatively generously funded intensive training in these programmes.
Now there is evidence (see, for example, DfES, 2003) that these
strategies have shown some signicant early success, and have
challenged the assumptions of teachers with low expectations of their
pupils. Furthermore, such heavily scripted materials may benet both
novice teachers and those teachers working at unsatisfactory levels.
Nevertheless, in terms of developing genuine learning organizations,
these programmes raise a number of serious medium-to long-term
problems. First, while reasonably successful in terms of achieving
limited aims, these programmes may be less successful in more
complex and critical areas. Second, because these programmes stress
particular areas of the curriculum, and external interrogation of
schools is largely based on these areas, other areas of greater
creativity and criticality may be neglected. Finally, and despite the
fact that the originators of such programmes never intended this to
happen, it is possible, as Hargreaves (2003: 144) argues, that:
Professional development becomes like being inducted into an
evangelical sect where the message of pedagogical salvation is
presented as a divine and universal truth.
The danger, then, is that teachers may be steered into the adoption
of a set of values light-years away from those of genuine learning
communities. These values are:
Pedagogical exclusivity the belief that there is only one externallydened way of teaching; and that the examination and critiquing of
different approaches, or the intellectual movement from thesis,
antithesis, to higher synthesis of different approaches, are neither
values nor options open to the professional.
Epistemological monopoly the belief that research results of the
particular orientation are objectively true and not to be disputed;
educational truth is a monopoly exercised by bodies in authority, and
by researchers who have ofcial approval.
Implementational obeisance the belief that the job of the teacher is
not to critique claims to better education, but to implement what they
are told; critique, if it has a place, has to remain at the level of
implementation, and if aspects of implementation are designated as
true, then these are not to be considered within the orbit of teachers
professionalism.
What is really disturbing is that while Benjamin Barbers (1996)
contrast between the McDonaldization of standardization and the
Jihad of fundamentalist resistance has already been mentioned, it
might be tempting to see this Jihad as a response by some religious
group in an underdeveloped country, somewhere suitably distant
from our more civilized western world. Indeed, as mentioned,
Barbers use of Jihad is an unfortunate choice, for not only does it
mis-describe the proper meaning of the term, but it distracts us from
the realization that one-sided, fundamentalist demands for unthinking adherence to a set of (contestable) beliefs are just as likely in the
West as they are anywhere else and the reform strategies being
discussed have many of the qualities, having both a fundamentalist
orientation and demanding an unthinking allegiance. The arguments
of the followers of Jihad are the same the world over, being founded
on authority and simple assertion rather than on debate and reason.
We do not have to travel too far from home to encounter their values,
arguments and effects.
Such values then militate against research and criticism, except for
the normal scientist working within a research paradigm, concerned
only with making its operation more understood, more efcient. The
paradigm breaker, who questions whether the standard or traditional
way is the correct way of doing things, is then positively discouraged.
Such values also militate against a reasoned epistemology, and send
profound anti-democratic signals to student populations, for they see
themselves being taught by adults who are not allowed to question
what governments say they should do, and who are told that the best
form of education is a paradoxical and contradictory form of the
McDonaldization of standards and targets, and an unthinking allegiance to government-sponsored teaching approaches. This is problematic in the extreme.
Conclusion
There are two principal issues to be drawn from this chapter. The rst
concerns the nature of a learning society. As the UNESCO Delors
report (1996) argued, there are four essential functions of learning.
Two of these learning to know and learning to do are core functional
means for a healthy economy; but the nal two learning to be and
learning to live together are ends in themselves, and are fundamental
to any life worth living. The message is clear: learning for a healthy
economy is a means to an end of a healthy society. More than this, a
healthy knowledge economy depends upon a learning society, and this
in its turn needs to be constituted of individuals and groups who keep
learning in new and innovative ways, which is not aided by excessive
standardization. Yet while western governments may have based
their standardized approaches on perceptions of economic successes
which occurred in the Far East, these same Asian governments have
now largely realized that their future prosperity depends instead on
a different exible, creative and adaptable response. A skilled,
predictable but inexible workforce may have been of use in more
traditionally hierarchical times, but such prescriptive direction will
not create the exibilities either a knowledge economy or a learning
society requires. Indeed, such directive approaches will almost
certainly produce the kinds of people who are not able to compete in
global markets in the next few decades. If, as Leadbeater argues
(1998: 375), in the new economy all companies will need knowledgeable motivated employees who can take responsibility for solving
problems, delivering services to the highest standards of quality and
coming up with new ideas, then standardized and controlled structural, organizational and leadership forms within present educational
systems are likely to be extremely counterproductive. And as Lauder
at al. add: If we are not careful, policy settings which emphasise
results at the expense of methods will lead to a trained incapacity to
think openly and critically about problems that will confront us in ten
or twenty years time (1998: 51) [emphasis added].
Second, and even more critically, not only does standardization
standardize, and thereby inhibit exibility and creativity, and drive
out humanity; it also fragments. And as it fragments, it steers people

into the opposite of standardization, into unquestioning fundamentalisms. Indeed, as Castells argues Fundamentalisms of different kinds
and from different sources will represent the most daring, uncompromising challenge to one-sided domination of informational global
capitalism. Their potential access to weapons of mass extermination
casts a giant shadow on the optimistic prospects of the information
age (1998: 355).
This chapter has largely agreed with this assessment, but has also
suggested that fundamentalisms lie much closer to home than might
at rst be recognized, and that a primary place to guard against them
is within a societys educational system. Like Castells, Giddens argues
that: The battleground of the twenty-rst century will pit fundamentalism against cosmopolitan tolerance . . . Cosmopolitans welcome
and embrace this cultural complexity. Fundamentalists nd it disturbing and dangerous . . . they take refuge in a renewed and puried
tradition (1990: 45).
But yet again, he fails to locate the fact that such fundamentalism
is already in some respects with us. Giddens world of cosmopolitan
tolerance needs to be developed not just by looking outwards, but by
looking inwards as well, and particularly to the nurturing of educational institutions as a primary base. This book now moves to
consider the qualities that are needed for this. One critical area is the
creation of a greater degree of trust. It is to this that the next chapter
turns.
PART 2
EXAMINING THE IMPACT
The impact on trust
Previous chapters have already alluded to issues of trust when

describing global and societal changes. In terms of global economic
changes, as markets become more unstable and volatile, and change
becomes more rapid, trust becomes increasingly more critical. Misztal
puts the case for the need for trust very well:
In a global economy where risk-taking, innovation and
information sharing are seen as paramount, companies will
only be able to prosper if they create a high-trust culture. In
an electronic world, where businesses are geographically far
from their customers, a reputation for trust assumes even
greater importance. (2001: 24)
Yet if trust is leached out by such instability and fragmentation, the
other side of globalization, the control/standardization agenda, has
also led to the use of low-trust cultures. So while excessive fragmentation can lead to misunderstandings and to difculties in assessing
risk, producing strong feelings of confusion and distrust, excessive
standardization can also produce a distrust in the exercise of
professional autonomy.
Trust as a topic is extremely current in other ways as well. Trust
in political leaders, in business tycoons and their dealings, in
professionals like doctors and teachers, is never far from the
headlines. Yet the concern with trust is more than contemporary: it
is also vital. At the societal level, it is essential in building the kind of
relationships necessary for a ourishing society, as well as in building
better relationships between governments and public sector workers.
At the institutional level, it is essential in building better relationships
within teams in a knowledge economy, in building relationships
within a learning community in which knowledge is socially created
and shared, and in building the kinds of group relationships that
boost student achievement. At the interpersonal level, it is central to
perceptions of individual integrity, and therefore critical to good
101
leadership; it is also essential in building the kinds of studentteacher

relationships fundamental to good teaching. Finally, at the personal
level, trust is essential to individual morale, in maintaining selfesteem and feelings of self-worth, and is central in any attempt to deal
with uncertainty, unpredictability and risk. At bottom, it is a critical
existential need. It is hard, then, to over-estimate its importance, yet
this chapter argues that failure to recognize its importance and
complexity currently impedes the raising of morale and student
achievement, prevents the development of not only effective but
acceptable management strategies, and hinders a leaders ability to
cope with the longer-term demands of a knowledge-based society.
Government, trust and teacher morale

It was mentioned earlier that in 2001, the then Secretary of State for
Education in England and Wales, gave a speech on Professionalism
and Trust (Morris, 2001) as part of a strategy to heal damaged
relationships with the teaching profession, as well as an attempt to
address an ongoing teacher recruitment and retention crisis, a
problem common in many other countries. In England, teaching
resignations had risen in 2001 by 4 per cent, 30 per cent of students
qualifying as teachers did not enter the profession, and 18 per cent of
NQTs quit the profession within three years and when 61 per cent
of the current teaching force was over 40 (The Teacher, December
2001: 5). Furthermore, while the current government was committed
to increasing teacher numbers by 10,000, by their own admission
(Morris, 2001: 11) that still left a shortfall of nearly 25,000 teachers.
However, this pamphlet was largely utilitarian in nature, its concern
being with trust by government of teachers; it did not consider
whether there was an issue with the lack of trust of government by
teachers. It therefore failed to recognize the two-way nature of trust,
and discussed it as little more than a pragmatic calculation on the
governments part, failing to see that being trusted evokes very
different emotions, being perceived by those upon whom the judgement is made as a moral judgement about them and their character.
Such failure to recognize that utilitarian trust judgements produce
deep emotional reactions, because they are taken instead as ethical
judgements on individual integrity, suggests a lack of awareness of
the nature and dynamics of trust, which this chapter addresses.
Such apparent lack of trust stems from a number of sources. Table
6.1 suggests that there are three principal foundations for trust
underpinning this loss of trust by government of teachers, and that
The impact on trust 103

Table 6.1 What happens when governments dont trust professionals?
Trust foundation
Lack of trust leads to following

low-trust policies
Values: Agreement over the

necessary values and value
priorities to make the activity
successful
Legislative requirements; training

priorities; promotion geared to value
and value priority compliance
Integrity: A perception that

professionals say and do the same
thing
Increased frequency and detail of

inspection; more accountability; more
testing
Competence: A perception of
competence of those doing the job
Emphasis in training on assessed

behavioural competencies, increased
inspection, speedier dismissal
procedures
where such foundations are undermined, specic low-trust policies

tend to follow.
The rst foundation area for trust is an agreement over values and
value priorities. Some of the foundational undermining of professional practice, then, can be traced back to Hayekian (1944) arguments that welfare state bureaucracies, and self-serving professionals
who work within them, are likely to replicate the authoritarianism of
Nazism and Communism. Some can also be traced to the work of
Friedman (1962) and his belief in the supremacy of markets and the
voice of the purchaser.
The second foundation area is based upon people doing what they
say they will do. Professionals have increasingly been characterized
as not being trustworthy in this respect. Some of this can be traced
to the work of critical sociologists like Collins (1990), who painted
professionals, not as groups centrally concerned with clients welfare,
but as producer-workers attempting occupational closure the
creation of work monopolies which maintained their salary levels and
permitted considerable discretion at work.
The third foundation area of trust is perceptions of job competence:
and governments worldwide have acted upon (and in some cases
engineered) critical reports of performance standards, after which
blame has then largely been attached to the incompetence of
professionals.
Such undermining of the bases of trust in professionals has then
provided legitimation for government action worldwide. Such action
has also been spurred on by increasing concern with declining tax

bases, and the need to extract the best value from the money
available, which has involved ensuring that public servants, educators included, deliver what governments feel they need to achieve. In
the process, governments have developed an increased intolerance of
public servant professional autonomy, and have moved from what
Pollitt (1993) described as a desire to see professionals from being on
top to being on tap. Such assaults on professional autonomy have
resulted, depending on your point of view, in either radically
improved educational provision and greater access to a good education, or with the promulgation of questionable ofcial statistics, and
a disempowered profession aficted by stress, apathy, and a desire
for early retirement. As already noted, even on an optimistic scenario,
there is now widespread ofcial concern over teacher supply across
the western world. Teacher morale and trust, then, are topics high on
governmental agendas.
A growing interest in trust

An educators interest in trust, however, should not be conned to
just these concerns. Trust is also heavily implicated in agendas
involving the transformation of organizations from hierarchical structures with long-term employment, to atter ones with greater worker
exibility and impermanence of employment what Grey and
Garsten (2001) describes as movement from bureaucratic to postbureaucratic structures. The problem, as seen by management
theorists, is that of generating individual worker predictability and
organizational control, for, so the argument goes, trust was not much
of a problem in bureaucratic structures, precisely because the
bureaucratic form extracted the need for trust individuals were
made predictable and controllable through the careful delineation of
their functions and roles. Now such structures have increasingly been
criticized, not because of the way in which they leach out values like
trust, but because of their inability to adapt to changing market
conditions. Writers like Peters and Waterman (1982) have argued
instead for the creation of organizational cultures which can generate
worker predictability and control by inculcating them into the values
and norms of organizational cultures. An individual thus wedded to,
or indoctrinated with, particular organizational values could then be
made quite as predictable and controllable as within a bureaucratic
regime. However, this approach to the creation of worker control
now also looks increasingly outdated, for as we have seen, many
organizations now need to be so exible that their workers must not

only be exible, but dispensable as well. Such workers will then
probably not be around long enough to be socialized into a set of
norms. And if the individual cannot trust the company for long-term
career employment and advancement, why, one may ask, should the
company expect the individual to trust them? And here lies the
paradox: even though trust is now seen as a critical factor in
organizational and economic functioning, the kind of organization
which needs this quality also feels pressured to develop structures
and forms which run counter to its generation.
So trust is a topic of increasing interest in a number of arenas.
Perhaps, given the apparent lack of need for it in bureaucratic and
culture organizations, it should not be too surprising that much of the
work on it has been partial and fragmented. Inuential books like that
of Fukuyamas (1996) are conceptually quite limited, an inadequacy of
analysis which is noted more generally by Dasgupta (1988), Luhmann
(1988), and McLagan (1998). Yet there are pockets of solid research.
Gambetta et al. (1988) explore and develop the conceptual complexity
of the term; empirical research by Kramer and Tyler (1996) developed
the understanding, dynamics and development of trust within organizations generally, while Uslaner (2002) reviewed and developed both
empirical and ethical arguments for its necessity. Finally, Bryk and
Schneider (2002) and Louis (2003) have produced important work in
education. It is time to examine trust in more detail.
Understanding trust: the developmental stages

There are at least four different stages in the development of a trust
relationship. These will be called the calculative, role, practice and
identicatory stages. They are both developmental and normative in
nature, becoming more complex and valuable as they move from an
essentially cognitive platform, to incorporate motivational, affective
and principled elements.
Calculative trust
Trust is involved in dealing with risk and uncertainty, both inescapable facts of the human condition. We cannot, and never will be able
to know all of the contingencies in a situation, nor their likely
interaction. This ubiquity of risk is important, because it suggests that
trust is an inevitability of human existence, no matter how hard
individuals and organizations strive for certainty. For such appreciation of risk does not entail simply abandoning ourselves to fate:
human beings constantly attempt to understand, control and predict
future situations, and use an array of sophisticated mental processes
to do so. It should be no surprise then that Gambettas denition of
trust is necessarily complex, suggesting that it is:
a particular level of the subjective probability with which an
agent assesses that another agent or group of agents will
perform a particular action, both before he can monitor such
action (or independently of his capacity ever to be able to
monitor it) and in a context in which it affects his own
action. (1988: 217)
This denition of trust suggests the need to take a variety of factors
into account, and to make judgements concerning the probability that
someone will do something that is benecial to us, or at least not harm
us. From these calculations, a decision is then normally made as to
whether someone can be trusted. This is calculative trust which,
Gambetta (1988: 218), argues should be seen as a threshold point on
a continuum from complete trust to complete distrust, the actual
decision to trust being a variable point, determined by such variables
as personal predisposition, the amount of information known about a
situation, knowledge of a persons past performance, the risk and
harm attached to trusting, the ability to bring sanctions to bear on
someone likely to break that trust, and the knowledge that that person
knows that you can and will bring those sanctions to bear, and for
these sanctions to matter. All of these conditions will then feed into an
individual act of rational calculation of whether to trust or not.
Role trust
Now a useful element in the calculation of an individuals trustworthiness is supplied by the manner human beings are inducted into
particular organizations and occupations. They learn through such
induction to accept and practice certain values. Western doctors, for
instance, are inducted into a medical profession underpinned by a set
of values, principal among which is that of not harming others. Now,
because the general public believes in such values, and tends to trust
doctors to practice these values, we think we know how a doctor will
react when a situation arises in which a person is injured. This helps
explain, as Meyerson et al. (1996) argue, why swift trust is possible,
for individuals within a group can come together for a short space of
time and yet trust others within it to carry out their role, even though
they have neither the time nor opportunity to form strong personal
bonds, or develop detailed knowledge of each other. This is because
these workers all accept the same cultural role and share the same
value code; when these conditions are put in place, they help to
short-circuit the normally lengthy period needed for people to build
a satisfactory degree of trust. Such occupational values, then, act as
ags by which uncertainty is reduced, for they help people believe
that individuals belonging to that occupation will act on those values.
The case of Harold Shipman, a doctor in the north-west of England
who murdered over 200 elderly people while claiming to be treating
them, is disturbing precisely because his actions undermine this
deeply held societal belief. This form of trust, then, introduces an
ethical component to trust to an extent not seen in calculative trust.
If the metaphor for calculative trust was the logician, the metaphor for
role trust is the professional.
Now if one accepts that many professionals practice is underpinned by such ethical commitments, it is easy to see why relationships
between professionals and managers and/or governments might be
strained, and why professional morale might be low. For the use by
governments and managements of increasingly calculative forms of
trust in their relationships with professionals will in most cases be
taken very personally, as they will be seen as attacks on an
individuals integrity. Moreover, the situation will be exacerbated if
professionals come to believe that their occupational values are being
downgraded or replaced by a set concerned more with cost-cutting
and economic competitiveness. A potent mixture is then created for
producing lowered morale. A profession will not only believe that it
is distrusted by government (or, even worse, believe that government
is not concerned with what it thinks), but it will now distrust the
government, the body determining its practice and conditions.
Finally, and as this distrust is conveyed to government, a vicious
cycle of declining trust is generated between the two parties.
Practice trust
So far, then, trust has been portrayed largely as a matter of personal
calculation, aided by the ags of occupational values. But trust
needs to be underpinned by more than this. A further method is to
engage individuals in continued interaction, to engage in practice
trust. Now such practice trust can be performed simply as an
extension of calculative trust, for repeated encounters increase the

amount of knowledge about a person, and therefore facilitate more
accurate calculations concerning an individuals trustworthiness.
However, such practice trust is also different in that, as Axelrod
(1986) argued, repeated encounters enlarge the reach of the future.
Knowing that further meetings will take place ensures the greater
likelihood of future sanctions. Such possibilities probably ensure that
promises are given more weight, just as the person to whom the
promise is being made is also aware of this, and will calculate this
into their decision of whether to trust or not.
Such reasoning expands the calculative context, but does not
change the basic cognitive nature of trust. However, repeated
encounters also create a new form of trust, because they facilitate the
development of interpersonal bonds. These do more than merely
create a larger calculative context, for they require that each
acknowledges and respects the others integrity, introducing to the
relationship additional ethical and affective components. The partners
now begin to construct the discipline of an ethical system upon which
the relationship will be based, rather than merely basing it upon
rational calculation, or role attribution, and are highly likely to be
offended if such a system is broken unilaterally. A relationship then
begins to develop which is now nurtured for its own sake. It is this
combination of elements the calculative, the ethical and the affective
which provide educational managers and leaders with dilemmas
when they are asked to make utilitarian calculative decisions which
run counter to the ethical and affective dimensions of a relationship,
and lead them to question where their ultimate loyalties lie.
The inclusion of personal and ethical elements into a trust
relationship helps to explain that trust may become depleted through
lack of use, and may be strengthened by continued use. Importantly,
it also suggests that practice trust is the level at which we begin to
think trust becomes a reality. Thus, as Kipnis (1996) found, being
trusted generates very positive feelings, for individuals who feel that
they are being trusted believe that not only does the other party like
them, but also that they are regarded as persons of ethical integrity.
More than that, because trust involves risk, it sends an even more
powerful message:
Even though this situation is potentially threatening to me, I
still believe in you enough to place my trust in you.
The reverse of this of not placing trust where it could be placed
provides precisely the opposite message:
I dont have condence in you and your abilities; you are not
dependable, and when there is a threat or a risk to me, I do
not believe that you are someone to be relied upon.
This then is the kind of trust which contains both affective and ethical
judgements of another person. The results, unsurprisingly, are benign
and vicious circles: the more I trust you, the more complimented you
feel, and the more likely you are to react favourably and repay that
trust by carrying out what is expected and the more likely I am to
extend that trust on a future occasion, when the situation is perhaps
even more threatening. Alternatively, the less I trust you, the more
demeaned and insulted you feel (particularly if you feel you should
be trusted) and the more likely you are to dislike me, to react
negatively to future offers, and therefore for me to reduce the times
I extend trust to you in the future even when there may be
relatively little risk to me.
So, if the appropriate metaphor for calculative trust was the
logician, and for role trust the professional, the appropriate metaphor
for practice trust, Lewicki and Bunker (1996: 12) argue, would be the
gardener tilling the soil year after year to understand it . . . gathering
data, seeing each other in different contexts, and noticing reactions to
different situations. To become a signicant feature in the social
landscape, trust then needs to be practised. And this can be done in
all sorts of ways by living and working closely with someone, by
sharing in joint products or goals, by committing to jointly shared
values, in larger groups, by attempting to develop a collective
identity. Furthermore, for a kind of trust whose metaphor is the
gardener, lack of practice also sows seeds of distrust, for not only do
insufcient interaction and communication prevent the generation of
a deeper understanding, but not practising trust may be interpreted
as not being trusted, liked or being dependable. And nally, missing
or insufciently emphasizing the crucial involvement of affective and
ethical components at this level, or of demoting trust to a purely
calculative level, can have very damaging effects upon the relationship.
Identificatory trust
Identicatory trust is very special, limited in number, and involves an
intensity of relationship not seen at other levels. It contains a
calculative component, but this is relatively little used; it is nourished
by a practice component, but this is not needed as much as at lower
levels; and it draws from an ethical base, but moves beyond any
mechanical application to a complex intertwining of personal
thoughts, feelings and values. If the lowest level is one of pure
cognition, and others build in affective and ethical components, this
level builds in an interpersonal commitment not seen nearly so
markedly elsewhere. Here, for Lewicki and Bunker (1996), the
metaphor is that of musicians playing together: individuals who have
grown to know each other so well that they intuitively know the other
will extemporize in a manner which complements their own creative
insights, without needing to calculate, without needing to gather
information, without needing to refer to role expectations. And
critically, its metaphor is of more than one person. The logician
calculates the consequences of a relationship; the professional declares a set of ethics which will guide others as to his/her behaviour;
the gardener cultivates the relationship; but these musicians have
moved to a level where the whole is greater than the sum of the parts,
and where two people begin to act as one. Trust, here, is very special.
A normative hierarchy of stages

This analysis then provides a developmental view of trust based on
the following stages:

calculative trust (the logician);
role trust (the professional);
practice trust (the gardener);
identicatory trust (the musicians).
Now I want to argue that this is a normative hierarchy, that

relationships containing more developed trust are better than those
with less developed trust, because trust leads to deeper more
meaningful relationships, in which people come to respect each
others integrity and care for one another. These are spiritual goods
virtually all would value. This does not, however, mean that all
relationships require the highest levels of trust, for even though they
may be intrinsically desirable, there is seldom the time to develop
such a degree of understanding. Nor indeed may there be the need,
given that many organizational interactions are low-level functional
ones. Nor, nally, may such identicatory trust be possible, for there
needs to be a high degree of compatibility between individuals for
such a relationship to develop. Many relationships may be conducted

at calculative, professional or practice levels, such levels of trust
being quite sufcient to ensure the success of that kind of relationship.
However, two other things do follow from this analysis. First, while
the further a trust relationship evolves, the more valuable and
signicant it becomes, it also means that violations of such levels of
trust are more hurtful and damaging. The breakdown of such trust
will then be much harder to repair. As Lewicki and Bunker (1996:
127) argue, trust violations here tap into values that underlie the
relationship and create a sense of moral violation. They rend the
fabric of the relationship and, like reweaving, they are expensive
and time-consuming to repair, such that the fabric may never look
quite the same.
Second, and as noted above, because most people assign different
value to different levels of trust relationships, loss of trust, or
unilateral movement by one person from a higher to a lower level, is
likely to be taken personally. Loss of trust hurts: people may never
get over the breakage, may seek revenge, may even attempt to
physically harm the trust breaker. Such perceived breakage can
simply be through one party failing to keep a promise to another. But
there are other, more subtle, breakages which cause just as much
harm and animosity. Thus, as Sitkin and Stickel (1996) point out, loss
of trust may result from the leadership and management of an
organization or the government of a country imposing unduly
detailed, restrictive or inappropriate procedures upon a professional
workforce. This workforce which sees its work as being dened at
role or practice trust levels now feels that it is being treated at a
lower level of trust. Such trust demotion then feels as if one were
regarded as untrustworthy, and this is normally deeply hurtful,
producing a vicious cycle of increasing distrust, leading to an
increasing polarization of attitudes between the two parties. Any
further sensible ideas by the other side are then rejected because of
their place of origin. When this happens, party lines become tightly
drawn, and individuals may nd that their group demands of them
an increasing groupthink (Janis, 1972) which is an ironic position
for a group of professionals who initially dened themselves by their
right and ability to make personal autonomous decisions. The likely
consequence of this is a downward spiral: professional/worker
distrust of government/management is interpreted as hostility to good
intentions, or simple obduracy in the face of progress, and even more
detailed prescription and low-level calculative trust is employed.
Understanding trust: the different levels

Micro-level trust
So trust has different foundations, and developmental levels, and in
its various forms clearly operates at the individual, person-to-person
micro-level. It has already been noted that it is a central component
in any view of a persons integrity, and is therefore fundamental to
peoples perceptions of good leadership. It is also central to the kind
of studentteacher relationships essential for good teaching. Being
trusted is also critical to a persons morale, to self-esteem and to
feelings of self-worth. Yet individuals need to believe that they exist
within an organization, community or society which provides them
with feelings of self-worth, which can guarantee them sanctions
against those who would use the threat of force or violence, or who
would break the trust embedded in a commercial transaction. Other
levels then need to be invoked to provide individuals with psychological, spiritual and physical security, and we need to be able to trust
these levels just as much as the individual we have just met. Such
reection suggests that there therefore exist at least two other levels
of trust besides micro-trust: what will be called the meso- and macrolevels.
Meso-level trust
The meso-level of trust is that trust we have for the institutions within
which we work. Meso-trust is widely dispersed, concerned essentially
with belief in the culture and ethos of an organization. It is particularly
important when any process of change occurs, for the management of
change, suggests Louis (2003), is concerned with a number of issues:
understanding the nature and purpose of the change, the behaviours
required for it to happen, the outcomes which will result, and how and
when the success of the change will be assessed. Louis (2003: 31)
argues that trust is the bridge that reform must be carried over, but
that this bridge is not solid, but built on changing emotions. Her
research suggests that loss of trust can happen with any area of change,
and that when distrust is created, events are interpreted through this
distrust. Trust is therefore critical to the success of any change. In her
study, with respect to both the implementation of TQM policies, and
the appointment of a new superintendent, she found that existing
levels of trust or distrust shaped, and in some cases even determined,
the perceptions of changes and therefore of their likelihood of success.
It is also signicant, given previous discussion, that trust and

distrust were talked about within a language of ethics, with terms like
integrity, honesty and respect being used. And yet and this is also
deeply signicant despite the fact that Louis reports that neither she
nor her co-researchers had any reason to believe that the administrators in low-trust districts were less honest, or less concerned about
school improvement than those in high-trust districts, and this study
took place over several years, she believes that existing low levels of
trust almost certainly doomed their efforts to failure. Trust, then,
seems to act like a lens through which people and proposals for
change are interpreted, and which therefore affects the success of
those aiming for transformational change. Unsurprisingly then,
where there is a legacy of mistrust, reclaiming it during a change
process appears very difcult. And as worrying is the ease with
which trust appears to be broken during periods of signicant change
(2003: 31), no doubt because of the perceived threat and risk to the
practice of those facing change. A nal comment by Louis is just as
sobering: we know very little about how leaders repair trust once it
is perceived as violated. Extrapolating from personal experience and
literature, it is highly likely that such repair is a difcult long-term
process, requiring the restoration of perceptions of integrity, honesty
and respect. After all, as Iago said to Othello:
Who steals my purse steals trash; tis something, nothing;
Twas mine, tis his, and has been slave to thousands:
But he that lches from me my good name
Robs me of that which not enriches him
And makes me poor indeed. (3.3.161)
Bryk and Schneider (2002) provide further insights into meso-level
trust, for through their work in Chicago in elementary schools, they
argue that trust at the meso-level should be understood not as trust
between individuals, but rather as a relational trust a trust
between the different groups (parents, teachers, principal and local
government) who each play a vital role in attaining institutional
objectives. They found that the development of such relational trust
was strongly correlated with school academic attainment when each
group carried out their role obligations, and each group saw that the
other groups were doing likewise. Where one or more groups failed
to do this, school improvement was much less signicant. Specically, Bryk and Schneider argue that relational trust facilitated school
improvement through:

reducing the feelings of vulnerability that participants involved in

major changes normally feel, and thus encouraging the use of
innovative and creative ways of dealing with issues;
reducing the transaction costs involved in such major changes,

and thus allowing people to get on with their jobs;
facilitating the sharing of problems between the different groups

within these learning communities;
the clear understandings by all the parties of their specic role

obligations, and other parties expectations;
sustaining a focus by all parties upon advancing the best interests

of the children, rather than individuals or groups concentrating
upon their own personal interests.
This piece of research is extremely important, then, in supporting the

view that trust is a vital ingredient in improving student achievement.
It once more backs up the argument that low-trust, standardized
educational institutions and systems, which depress the growth of
trust, work against school and student improvement rather than for it.
Macro-level trust
The weakening of the third level of trust in western societies, the
macro-level, is currently unmistakable, and points once more for the
need to see the generation of trust as a two-way process, in which the
representatives and creators of macro-trust need to consider not just
whether they can trust the individual citizen, but whether they are
providing the environment within which such citizens feel that they
are able to trust others. Three groups in particular create this societal
context.
A rst group are politicians. Because they set a countrys legislative
framework, they frame the context within which people explore their
existential possibilities. Yet it is a sad commonplace that politicians
are among the least trusted of all occupations. From Nixon and the
Watergate tapes in the USA, to the cash for questions scandal in the
UK, and onto invasions of other countries, politicians are increasingly
viewed with suspicion. One result of this is probably public apathy
in the political process, and a decline in the percentage of electorates
bothering to vote.
A second group, that of the senior representatives of business, is a
cause for as much concern. Businesses which recognize the responsi-
bility they owe to their society increase the overall sum of macro-trust.
Yet examples of company directors paying themselves huge pay rises
while providing poor quality service to their customers, and cutting the
pay or sacking thousands of workers, do little to promote trust in their
practices. In the USA, three scandals in 20012002 Enron, Merrill
Lynch and World.com severely undermined the trust of the general
public in the business community, as massive lies were told about
company health and protability, and loyal employees lost their life
savings and pensions, conrming for many the belief that in business
the only rule seems to be ensuring you get away with wrongdoing.
The nal group is that of the media. Here, macro-trust is lost when
newspapers are irresponsibly used for political or nancial gain. The
power of newspaper proprietors allows them to distort the truth, to
publish inventions as fact, and to vilify individuals who have neither
the nancial nor legal clout to ght back. Such a situation is serious;
worse occurs when pusillanimous governments are as much concerned with keeping such journalistic pirates from criticizing them
and their policies as in policing and enforcing ethical standards of
journalism. The result is an increased perception that major representatives of macro-trust are colluding together, further reducing ordinary citizens belief in the probity of societys representatives.
Yet the integration of macro-, meso- and micro-trust into an
individuals view of life is not performed in some rational utilitarian
calculative way. It is instead a long-term, deeply existential process,
more felt than reasoned, one which underpins much of the individuals condence in the rightness of the world. Healthy levels of
macro-, meso-, and micro-trust provide a personal assurance, that in
living, things hang together and without this there is no meaningful
social/cultural activity (Webster, 2002). In most instances, such
condence is pre-rational and unacknowledged, yet provides the
support which allows us to explore ourselves, our relationships with
others, our encounters with the unknown, and with the border
situations of our spirituality. Such existential trust then, is produced
not only by stable relationships, but by the support of ones
community for the community is not only porous to the invisible (to
mystery, to our quests, to our exploration for meanings), it also offers
the conditions that make its perception possible.
And yet critically, the condence in the worth of things is
eradicable. Coherence, the context of meaning on which human
activities depend, can crumble . . . the communal basis for our
identity is also a threat to its realisation.
Such descriptions of the connectedness of micro-, meso- and
macro-levels of trust, then suggest that not only are relationships at

Table 6.2 The possible trust relationships between different levels
Macro-trust
Meso-trust
Micro-trust
Macro-trust
MacroMacro (e.g.
one governments
feelings about
another
government)
MesoMacro (e.g.
institutional
perceptions of
government)
MicroMacro (an
individuals trust
in governmental
pronouncements)
Meso-trust
MacroMeso (e.g.
government
attitudes to
educational
institutions)
MesoMeso (e.g.
one schools view
of another)
MicroMeso (an
individuals trust
of the institution
in which they
work)
Micro-trust
MacroMicro (e.g.
governmental views
on the depth of
specication on
individual work)
MesoMicro (e.g.
institutional
views on
trustworthiness
of individuals)
MicroMicro
(one persons
view of another)
these different levels important, but that perhaps those between these
levels are even more important, and particularly if such inter-level
relationships then affect existing intra-level ones. Meier (2002)
provides a good example of this when she argues that when teachers
are not trusted by governments, teacherstudent relationships may
also be damaged, for if governments do not trust teachers, why,
students may ask, should we trust them? Table 6.2 suggests the
possible relationships and the synergy created between these levels.
It is also worth repeating the issue of benign and vicious circles
that attitudes on one side of a relationship will almost certainly affect
the attitudes on the other side to them. Thus, governmental lack of
trust in individuals is likely to generate dislike and lack of trust by
individuals in the government. There is, then, an inevitable interactivity in all trust relationships which educational leaders need to bear
in mind.
Understanding trust: the different functions of

thick and thin trust
A nal aspect of trust which needs noting is that provided by Uslaner
(2002) who describes a difference between thick and thin trust.
Such a description is not a recommendation for one or the other, but

rather the observation that they have different but equally valuable
properties. Thick trust is seen between those individuals who have
strong shared values, such as members of strongly inclusive communities like religiously-based schools. They tend to exhibit an understanding of one another which generates excellent community spirit,
and which can provide a real sense of support to staff, pupils, and the
general community. It is likely that human beings were biologically
constructed as thick trusters prehistoric evidence suggests that
human beings lived in small closely-knit communities, and it therefore would make excellent adaptive sense for extensive thick trust to
be cultivated.
So far, then, so good. Thick trust can be immensely helpful in
generating good relationships, and in providing the citizen of tomorrow with a strong affective base. It promotes a strong inclusivity,
which in a world of rapid change and constantly threatened fragmentation, can act as a much-needed bulwark. Yet strong inclusivity
implies exclusivity: for individuals to be identied as having such
similar tastes and values that they can constitute a community,
others who do not share these must necessarily be excluded. And by
strongly identifying with people of similar values, beliefs, habits and
practices, there is, suggests Uslaner, a real danger that walls will be
built to others different from ourselves. The kind of trust that builds
bridges with strangers, with people of different religion, colour or
culture, is a different, thin trust. It is a kind of trust which seems to
be generated more by genetic inheritance, early experience and the
example shown by ones elders, than by group norms. It is also built
by long-term experience for instance, by how an individual of a
minority group member is treated by a majority culture.
These, then, are very different forms of trust. Yet, suggests
Uslaner, the evidence is that thin trust can lead to thick if we
extend our hand more often than not to the stranger, we are much
likely to develop healthy thick relationships with those who are
different from ourselves than if we dont. Thick trust, however, if
over-emphasized, may actually depress the likelihood of building thin
trust one is so wrapped up in ones community, that one either
doesnt feel inclined or simply doesnt want to nd out about others.
Yet such a development might, in a globalized world, lead to many
other kinds of problems besides those of fragmentation we may
become too keen to stereotype, to pigeonhole, to fear those who do
not look like us, talk like us or dress like us. The implications of this
for educational leaders should be clear: they may wish to create
communal support for their learners, but they must not do this in a
manner or to an extent which leaves these learners unable to reach out

to those who are different. And this issue becomes all the more serious
when allied to questions about fundamentalist and absolutist views of
epistemology, for all too easily such views reinforce thick trust
orientations and prevent the kinds of thin trust increasingly necessary
in a globalized age. This issue will be returned to in the next chapter.
Educational leaders and the generation of trust

Given the importance of trust demonstrated in this chapter, what can
educational leaders do about it? The analysis of trust here suggests a
number of different strategies which might be considered.
A rst strategy, acting upon the dynamics of trust, stems from an
understanding of the developmental stages of trust. An appreciation
of these stages, and of the effect that promotion or demotion within
these can have upon an individual, could provide a greater awareness
of the reasons for low morale within institutions, as well as enabling
leaders to articulate to others that the perhaps unwitting message of
a particular piece of policy is precisely to send a message of demotion.
An understanding of the dynamics of interaction upon these stages
could also help educational leaders to understand and explain how
easy it is to get into vicious or benign cycles of trust, and therefore be
able to devise ways of reversing vicious cycles, or of initiating benign
ones.
A second strategy, understanding and dealing with the foundation
areas of trust, recognizes that trust is generated in three different
ways: by agreement over values and value priorities; by individuals
doing what they say they will do; and by demonstrating competence.
Table 6.3 uses the relationship between professionals and government to show how trust might be enhanced. Here, educational
leaders need to work towards strategies which harmonize the
different value priorities, which help demonstrate the integrity of the
two parties to each other, and nally, for both parties to demonstrate
their competence in their own areas. Such measures, it must be
stressed, need to come from both parties: in this case then, not just
from policy makers, but from professionals as well.
A third strategy, appreciating the mechanisms by which meso-level
relational trust works, implies a need to understand how everyday
issues can help build trust between the different parties in an
institution, and perhaps, by extrapolation, to build better trust
beyond. Actions like reducing peoples feelings of vulnerability in
times of major change, of reducing transaction costs in change

Table 6.3 Re-establishing governmentalprofessional trust
By government
By professionals
Harmonizing value
priorities
Greater commitment to
explaining reasons for
policy, to provide the
ecological context; policy
creation recognized as both
top-down and bottom-up;
showing appreciation of
professionals work
Better explaining of
educators
commitments;
recognition of
government rights and
professional
responsibilities
Proving integrity
Moves from calculative to

practice and role trust;
providing appropriate time
for consultation and
implementation of
initiatives; incorporating
feedback into policy
reformulations
Providing research
evidence on
consequences of
overwork; creation of,
commitment to, and
practice of, explicit set
of professional values;
viewing clients and
stakeholders as partners
Proving
competence
Recognition and reduction

of aspects of teachers
workloads; commitment to
meeting and discussing
with varied stakeholders
Provision of evidence
on student progression
and improvement;
commitment to
evidential base for
practice
processes to allow individuals to get on with the real job, of ensuring

that problems are shared between the different groups within the
institution, of facilitating a clear understanding by all parties of the
obligations attached to their specic roles, and of focusing all parties
upon the core objective of advancing student interests, all help to
develop not only trust but higher student achievement.
A fourth strategy, then, is to recognize that trust is a multi-level
concept, stemming from and across micro-, meso-and macro-levels.
An awareness and understanding of this could help a greater
appreciation of the location of a particular trust impact, as well as
enabling articulation of the level at which a response needs to be
made. Most educational leaders normally operate at interpersonal,
organizational and interorganizational levels; however, the kinds of
ecological contexts described in this book, and the kinds of trust
articulated in this chapter, suggest once more that educational leaders
need to become increasingly aware of and proactive at the macrosocial level as well.
A nal strategy, appreciating the natures of thick and thin trust, can
sensitise the educational leader to the need to develop both qualities
in their organizations, and of the danger of a too-vigorous prosecution
of either. A too-thin approach may lead to a lack of security and
grounding for pupils; a too-thick grounding may lead to a lack of
appreciation of other viewpoints, and a tendency to categorize and
pigeonhole others on limited information, instead of reaching out to
others, and through the exploration of differences, developing the
existential growth and well-being of all. For the evidence seems
increasingly clear that when people are trusted, their self-esteem is
raised; when they feel good about themselves, they are able to feel
good about others and to reach out to them; altruism is then more
likely to be seen. And heightened trust, self-esteem and interpersonal
altruism are strong foundations for better societies, and from there to
the creation of a better and safer world.
Conclusion
Ofcial recognition of morale problems in the teaching profession
across the western world has placed trust back on governmental
educational policy agendas. There are at least three pragmatic reasons
for governments to take it seriously. First, lack of trust seems clearly
linked to poor morale, and poor morale is heavily implicated in crises
in teacher retention and recruitment. Such crises are good ammunition for opposition parties, and reect badly upon governments at
election time. Second, inability to develop and retain a highly skilled
teaching force severely jeopardizes the achievement of ofcial human
resource strategies, and again has long-term political implications.
Finally, research reviewed in this chapter suggests that enhancing
trust is linked to the major governmental objective of increasing
student achievement.
There are, however, other reasons for believing that trust will
continue on governmental and educational leadership agendas for
some time to come. One, as noted earlier, is that trust is increasingly
recognized as a core element in the management of organizations
working within a knowledge-based economy. These organizations are
seen as needing to generate both greater intellectual capital, and a
more exible workforce. These are currently unarguable mantras in
economically developed nations, and depend much more strongly
than past arrangements on healthy trust relationships. Where exibil-
ity is a desirable characteristic, discussion of trust becomes almost

inevitable.
Other reasons are much less utilitarian. First, a happy, tolerant and
healthy society depends upon the blossoming of trust relationships,
both within communities and between them. Second, happy, tolerant
and healthy individuals require a large degree of existential trust the
belief that others can be depended upon, as can the meso- and macrolevels of their society. If the rst-order values of a society are not
economic, but personal, social and moral, then trust has to be seen as
a rst-order value that should be promoted for its own sake. In such
a society, educational institutions, and the relationships between
teacher and student would necessarily be allowed, indeed encouraged, to promote the growth of trust.
However, once trust is lost, it is hard to recreate, and is normally
replaced by mechanical and quantitative forms of external accountability, and such low-trust cultures have been endemic to the management of educational organization for so long that it is unlikely that
this situation will be quickly turned around. But there is now a
reasonable understanding of how trust works, and of the strategies to
increase it, to believe that some of this lost trust can be regained.
Nevertheless, even when greater trust is sought from government,
it cannot be seen as a license for professional autonomy. There can
be no return to the teachers secret garden, where only they knew
what was happening. As Middlehurst and Kennie (1997: 59)) argue,
the trust that must be built can no longer be built on mystique, it
must be built on transparency, and this means a radical re-think of
not only trust but accountability, and the forms with which professionals need to engage. This is a subject taken up more fully in the
concluding chapters, where it is argued that professionals need to
take a much more proactive approach. Trust is a two-way process,
and if it is to be gained, the reasons for granting it must be clear and
transparent. If those external to the educational process are to trust
those conducting it, then professionals need to provide evidence of
their practice, and justication for their conclusions. Educational
professionals need to consider very carefully what committing
themselves to becoming an accountable research-based profession
would mean, and what giving evidenced-based robust reasons for
their practice would entail. While fuller consideration will be
developed later, the question here needs to be asked: if educators are
to provide such robust evidence, what will be their basis for this? In
an increasingly fragmented, postmodern world, some claim that all
understandings are equally valid, just as others retreat into fundamentalisms which claim that only they have true knowledge. It is
also a world where some governments, in similarly fundamentalist

mode, seem keen on creating teaching bodies that resemble training
sects. In such a world, what should be the status of a teachers
knowledge base? This is the question of next chapter.
The impact on truth and

meaning
The last chapter ended by asking what is the educators basis for
robust evidence. The epistemological basis for evidential claims is
perhaps the critical nexus of questions for educational leaders. Yet,
for reasons deriving from pressures of both commodication and
control, they are increasingly difcult questions for leaders to ask.
Commodication pressures ask for a primacy of the question is it
useful? over that of is it true?, deecting educational leaders away
from questions of truth and towards concerns of utilitarian worth.
Pressures of control also steer leaders from educational concerns, for
as Gunter (2001: 96) argues: the mandated model of headship . . .
presented within current government documents does not see the
headteacher as a head teacher, but as a leader and manager in an
educational setting [original emphasis].
When this occurs, leaders are diverted from questions of truth towards
concerns of management, and from problem-posing to problem-solving.
Yet if they are to be educational leaders, the question of robust evidence
bases, and of the interrogation of the integrity of epistemological bases,
have to remain central professional challenges. There are at least four
reasons for this: professional, ethical, political and cultural.
First, then, if claims for the necessity of a exibility of practice, the
exercise of personal judgement, and of a degree of professional
autonomy are to be taken seriously by outsiders, then professionals
need to convince others that questions of truth are a critical element
of professional ethics. However, for the last quarter of a century and
more, that claim has been doubted as a rash of literature has argued
that professional activity and an attendant autonomy have been no
more than attempts by an occupational group to maintain what
Collins (1990) called occupational closure the maintenance of
power by preventing others from engaging in similar practices. The
belief of such accusations was part of the reason for the curtailment
of professional freedoms, and the introduction of systems of external
123
surveillance and accountability. If professionals are to move beyond

such frameworks, they need to be able to show that their practice
transcends such self-interest. Part of this, as just argued, lies in a
commitment to truth-searching, which is in part exhibited by the
construction of a clearly articulated and argued evidence and research
base for their practice. This then needs to be linked to moves towards
a proactive accountability, which encompasses not only external
quantitative measures as summations of the truth of professional
practice, but other more qualitative measures which pay due attention to the richness and exibility of actual practice.
However, such action should not only be directed towards a search
for the truth in some abstract sense, but as a recognition of the fact
that professional practice is likely to be better realized by incorporating the different perspectives of those others who contribute to and
are affected by such practice. This takes professionals knowledge
from a position of apparent unassailability, to one which makes it a
contribution towards a larger picture. And this larger picture is one
where professionals and others work towards a greater public good,
and a more tolerant and caring society. And to realize such collaboration will involve professionals in a project of constituency building,
in which all participants ultimately benet the larger society.
So the development of such a core of expertise needs to be much
more than a self-interested move it needs to be part of an ethical
and a political commitment as well. But nally, it needs to be part of
a cultural commitment. Previous chapters have explored the greater
fragmentation and standardization/control arising from globalized
forces. These contradictory tendencies tend to steer individuals,
cultural groups and societies into a too-rigid adoption of views, either
in an attempt to maintain a simple picture of the world, or as a
reaction against the economic and political excesses of other groups.
However, individuals can also be steered into epistemological supermarkets, where one viewpoint is seen as acceptable as any other.
Both positions pose signicant problems for society and educators.
One steers them towards an unthinking allegiance to the practice of
performance sects, and from there to acts of intolerance and
aggression, as decisions are made on the basis of authority, dogma or
revenge, rather than from reason and critique. The other may lead to
an individualism of taste and consumption as an offshoot of a larger
postmodern movement, which increasingly disbelieves in the possibility or validity of any large societal projects. The nal result is a
relativist view of the world, where there can be no universal truths,
no one right way of doing anything, nor indeed any way of
differentiating and judging one approach from another.
The impact on truth and meaning 125
At professional, organization, cultural and societal levels, then,

issues of epistemological absolutism and relativism need to be taken
very seriously. This chapter examines four different perspectives on
this, arguing that a provisionalist epistemology not only best
explains our understanding of the world, but provides a way for
dealing with the challenges of relativism and absolutism, and provides a means of balancing cultural needs with those of individual
identity.
Moving beyond absolute perspectives

It might be best to begin by stating the obvious: human beings never
attain an absolute perspective on the world. As Scruton (1997: 120)
remarked: We do not even have a concept of the world as it is in
itself. We are creatures of this world, with specic sensory capacities, who perceive the world through these. But our sensory abilities
are limited instruments: we do not have the sensory capabilities to
detect ultraviolet light like a bee, sense damp like a woodlouse, locate
heat like a rattlesnake. However, not only our sensory apparatus
limits us: because we are each born with different physical and
mental capabilities, into particular times and cultures, which ll us
up with expectations and assumptions before we can be critical with
their take on what this external reality consists, we also know that we
will have a particular (perhaps distorted) view of this reality. This will
not only differ from member to member of the same culture, but be
even more pronounced between individuals from cultures distant in
geography and time. Wittgenstein once said that if a lion could speak,
we wouldnt be able to communicate, so different would we be: some
would say that the same may be nearly as true with other human
beings at a cultural and historical distance. And of course we dont
just perceive the world: we select certain things from that external
world, both consciously and unconsciously, and ignore others. In so
doing, we actively construct our reality. And when one adds a limited
perceptual ability to a necessary construction of reality, there can
then be little likelihood of any full apprehension of this reality. Only
some supreme being could do that. Most of the time, we muddle
through, living within our personal and social preconceptions.
Yet a critical function of education is to help improve on such
muddling by critiquing the truth status of our knowledge and beliefs,
and there therefore needs to be viable epistemological educational
positions located between the absolute objectivity of a supreme being,
and a postmodern social and personal relativity. How is this to be
done? We can, for a start, ask whether there are any absolutes to
which educators can turn. A rst, I would suggest, is in the utilization
of the basic canons of rationality. The laws of identity, non-contradiction and deduction are so integral to the fabric of the universe that it
does not seem possible to imagine a world where other forms of
thinking would be more appropriate: a thing, after all, either is or it
isnt, and if a entails b, and b entails c, a absolutely must entail c. If
we cannot function without such fundamentals of logic, then educators cannot choose to be rational or non-rational, nor should they
suppose that this is an arbitrary choice for others. Here, perhaps, is
one absolutism they can and should adopt.
At a less absolute level, it might still be argued that while human
beings differ in their cultures, their histories and geography, all share
the same categories in structuring and sustaining their experiences.
Thus we all use the same mental categories of motives, thoughts and
intentions; we all use the same perceptual categories of sight, hearing,
touch, smell and taste; we all use the same moral categories of care,
truth-telling, equality, freedom, justice and fairness; and we tend to
divide our understanding of the world into the same knowledge
categories of history, geography, music, mathematics, language, etc.
Now such claims necessarily are much more guarded, in part because
of doubts as to their universality: some cultures, like the Ituri pygmies,
do not divide their understanding of the world into the same knowledge
categories as we do. Furthermore, even if there is agreement on the
categories, there is likely to be large differences on the importance of
the contents within societies like ancient Sparta placed much higher
value than we do on bravery, as opposed to care. Nevertheless, if we
can get people at least to talk the same language, to discuss these
assumptions, then some progress is made towards understanding and
agreement. Discussion on such categories is a good start.
Moreover, despite the debates upon objectivity within the philosophy of science, norms which attempt to transcend cultural preference are available: Lysenkos views on genetics became a laughing
stock, not because the critiques were western or bourgeois, but
because his theories were scientic nonsense, and were demonstrated
as such. The nigh universal acceptance that the Earth orbits the Sun
is not western propaganda, but the result of a rigorous examination
of a theory by the scientic canons of empirical investigation,
rationality and logic. The same kinds of approach needs to be taken
with creationist views, with the myths of the Oglala Sioux, or with
any other beliefs (and that of course especially applies to beliefs held
by dominant cultures). Minimally, they can be celebrated as expressive of a groups approach and adaptation to changing conditions, and
so should be treated with interest and respect, but if claimed as

truth, need to be treated with the same epistemological scrupulousness as Lysenkos theories or the manner of the Earths orbit.
Four epistemological positions

But even with such logical imperatives, and categorical parameters,
educational leaders will still be faced by substantial variation and
disagreement, and they are likely to meet and adopt one of four
possible approaches in resolving knowledge claims (Table 7.1). These
must be examined in further detail.
The fundamentalist
The rst the fundamentalist may accept that they personally cannot
know any universal reality, any absolute truth, yet still believe that
this reality or truth is revealed by either a supreme being through
particular holy books, or by the writings and speeches of a political
guru. Most practices and values may be included in this description
of reality and truth, and following the text of the book or speech in a
literal and uncritical manner will therefore be seen as both essential
and mandatory. From this position, educational leaders can derive
great spiritual and practical comfort, for their role now is to nd the
best methods of inculcating such truths into their students. Where
they are in the majority, policies of assimilation will not only be
sensible and acceptable, but an act of great generosity on their part
(even if the individual or group being assimilated does not at rst see
it that way). In situations where they are in a minority, there may
well be a strong tendency for them to develop a thick trust within
their community of belief, and to build both physical and psychological barriers to others. Multiculturalism the sharing and celebration
of different views will be anathema, and tolerance will in many
cases be an undesirable leadership quality, for tolerance may suggest
a weakness in following the revealed path. Organizing and running
an educational institution in which a variety of beliefs were present
would also be intolerable and nonsensical. Why would you expose
students to false beliefs when the truth is known and can be taught?
Of course, the reality of the fundamentalist educational leaders life
is not that simple, not that black and white. While there may be
something of a gratifying clarity to the direction of their decision
making, all educational leaders are normally faced by a plethora of
Fundamentalist
attitudes to:
Objectivist
attitudes to:
Fundamentalist
Objectivist
Provisionalist
Relativist
Fundamentalist: Profound
agreement or profound
disagreement, depending
on whether beliefs
coincide
Fundamentalist: Strong
agreement, but a wariness
over the too-passionate
nature of the commitment
Objectivist: Strong
resonance, but suspicions
of backsliding from full
commitment
Provisionalist: Some
insight, but antipathy to
such ideological weakness
Relativist: Profound
disagreement, even
antipathy to such a false
position
Provisionalist: Some
understanding, but
concerned by such weak
commitment
Relativist: Profound
disagreement, even
antipathy to such a false
position
Provisionalist: Intellectual
comfort; strong resonance
Provisionalist:
Understands the need, but
suspects P is too weak to
follow through the full
implications of the P
position
Relativist: An
understanding of the
position, but concern
over implications of the
position
Relativist: Paradoxically,
must recognize that this
(their own) is only one
position, no better than
any other
Provisionalist
attitudes to:
Fundamentalist: A
wariness: much too
certain about what is
necessarily uncertain
Objectivist: Profound
agreement or profound
disagreement, depending
on whether beliefs
coincide
Objectivist: Understanding
but wariness: too certain
of what is necessarily
uncertain
Relativist
attitudes to:
Fundamentalist: One take

on reality, but not
supported by the facts;
worried by the social
implications of the
position
Objectivist: A possible take

on reality, but not
supported by the facts;
worried by the social
implications of the
position
Table 7.1 The Meeting of Minds? Four approaches to epistemology and their likely opinions of each other
tasks during the day of quite short duration, which may be as simple
as deciding how many toilet rolls to order, or deciding which brand
of computers the school should use. Answers to these questions are
not normally the domain of holy books or political beliefs, and in such
situations a tolerance of views, the welcoming even, of other and
different insights from within a faith community, will be a normal
and welcomed part of life. It is in the larger challenges the schools
direction, its curricula selection, its attitude to government policies
that the epistemological orientation will be seen.
The objectivist
The objectivist leader, like all others, will be faced by minutiae the
decisions made for pragmatic rather than educational, ethical or
religious reasons. However, on the larger questions, objectivists, like
fundamentalists, believe that they possess the truth on a subject. This
may stem from a document which they believe is the revealed truth
of a supreme being or a political thinker. It could, however, stem
from an indoctrination in a particular culture the English major in
Africa in the nineteenth century who had no doubt that he was
bringing civilization to savages. Yet both kinds would normally want
to make a distinction between eternal truths, and other practices
which, it is believed, are reective only of the times and are not seen
as a core element of their beliefs. The objectivist educational leader
may then have a more difcult job than the fundamentalist, for there
may sometimes be disagreements over what constitutes eternal truths
and peripheral practices (for instance, the food one eats, the clothes
the sexes wear, the education the different sexes receive). Nevertheless, the objectivist educator will, like the fundamentalist, see the
inculcation of their truth as their primary responsibility, and assimilation of others as a proper goal. They will also normally be
concerned at the idea of an educational organization which welcomes
different beliefs, and which admits students from different cultural
and value positions. The objectivist educational leader will, like the
fundamentalist, see a primary responsibility in building a thick trust
between the members of the community.
The provisionalist
The provisionalist educational leader breaks radically with both of
these positions. Like the fundamentalist and the objectivist, the
provisionalist believes that there is a reality out there, and that it is

possible to come closer to an understanding of this reality. However,
their optimism is now limited by many caveats. In terms of religion,
he or she may believe in a supreme being who has an absolute
perception of reality, but will not be convinced that this has been
revealed sufciently for human beings to have a road map of what
to do, and is deeply worried about those who would act out of such
beliefs. In terms of politics, they will not wish to assign omniscience
to another human being, no matter how cogent and learned their
arguments appear to be. Professionally, they will exhibit a similar
kind of humility: they may have expertise derived from professional
training, but are convinced that better solutions to practice are
provided when all parties contribute to the understanding of the
problem. For the provisionalist, then, without a belief in the revealed
truths of a supreme being or a political thinker, or in their own
professional superiority, there can be no absolutist epistemology, but
instead a need to accept that there must be a less than perfect
appreciation of reality, and that different systems of belief are no
more than different paths and imprecise ones at that to the
appreciation of any truth. Assimilation of others to a provisionalist
point of view is then almost a contradiction in terms, while
assimilation by others will be seen as an unjustied authoritarian
imposition. Professionalism is an occupation of empowering others
and listening to their viewpoints; multiculturalism a justiable
expression by others of their take on some external reality.
Furthermore, their basis for reaching decisions is likely to be quite
different from the fundamentalists and the objectivists. While they
will use logic in their arguments, and use approximations of the
objective categories described above, yet at the last, both fundamentalist and objectivist will refer back to the revealed truth as ultimate
justication for practices and judgement. These, being positions of
revelation, where judgements and actions are dictated by a faith
orientation, require a leap of faith in the validity and acceptance of the
message transmitted, and cannot be fully open to an empirical
examination or validation by the facts. Provisionalists are unlikely to
refer to revelation. For them, justication must be based upon the
processes of empirical enquiry, reason and logic. More than that,
however, they will probably argue that use of these tools as ultimate
justications is a moral necessity, for once it is felt permissible to accept
a position on authority, rather than interrogate and question it, they will
feel that the road to tyranny and authoritarianism is open. Education
the opening out of possibilities is for them then transformed into
indoctrination the convergence into specied solutions.
Nevertheless, provisionalist leaders may well feel pulled in absolutist directions. The need to make decisions may tempt some into
working with the comfort and certainty of objective beliefs; and as
Lindblom (1959) has shown, the reality of leadership is not one of
examining and choosing between all alternatives, but rather, necessarily, of choosing from a limited selection. However, for the epistemological provisionalist, reection is likely to suggest that the
process of decision making needs to recognize a degree of uncertainty
in the personal or group perception of the situation, and of a
tolerance, a welcoming even, of others views. A provisionalist
leaders requirement to decide and act may then pull them towards
the judgemental black and white, while their more philosophical side,
as well as the pragmatic recognition that getting colleagues on board
is better done by consultation, will suggest that many judgements and
decisions must contain elements of tentativeness and sensitivity, a
continual process of dialectic, of thought, testing and reection.
The relativist
Yet the bases for a provisionalist position may seem very unsteady.
By accepting that there can be no full appreciation of reality, and no
certainty of how near one is to it, provisionalists may well feel pulled
towards a more radical position which argues that because there can
be no guarantee of certainty, no take on external reality can be more
valid than any another. This is the relativist position. The logic is
inexorable: if we can only bring to an external reality the perceptions,
understandings and values of, for instance (say) an early twenty-rstcentury white English-speaking male individual, then, consciously
and unconsciously, so much is missed, so many assumptions added,
that a reality is constructed rather than seen. Who, then, is to say
that one version is better than another? The truth, for the relativist,
may then be no more than personal or cultural group truth. So when
Banks and Banks (1996: 5), in an authoritative US text on multicultural education, stated that knowledge was no more than the way a
person explains or interprets reality, by explicitly stating that
knowledge is synonymous with a persons reality, one may be
tempted to conclude that one persons reality is as valid as any
others, and that there can be no external standard by which to judge
the validity or acceptability of a persons viewpoint. If such a
position is reached, then the logic suggests that an educational
institution should do no more than welcome or accept all and every
point of view. The logic of the position will turn the organization into
an epistemological and values supermarket, where each epistemological consumer may shop for what suits them, and for which no
criterion other than personal taste is possible or necessary. Now
Banks and Banks do argue that knowledge contains both subjective
and objective elements, and that we must not abandon the quest for
the construction of knowledge that is as objective as possible (1996:
65). But where knowledge is seen as no more than an individual
expression or choice of a viewpoint on reality, it becomes difcult
to see how a relativist viewpoint can be avoided. And worryingly for
others, relativism doesnt necessarily entail a tolerance of other
opinions; it must accept that intolerance is as acceptable as any other
viewpoint. Paradoxically, then, cultural relativism can lead to the
establishment and practice of absolutist perspectives just as pronounced as those at the fundamentalist end of the spectrum.
The challenges of multiculturalism

So there are problems with all epistemological positions for educators, but particularly with respect to the treatment of different
cultures. Historically, absolutist, assimilationist views have been
most evident in many western countries, though with some variation.
Initial ofcial US attitudes to different cultures, for instance, were a
schizophrenic mixture of the welcoming, the assimilationist and the
discriminatory. While pursuing what virtually amounted to the
genocide of indigenous native populations, and the enslavement or
apartheid of its coloured numbers, it nevertheless enthusiastically
accepted many persecuted minorities, mostly from Europe, in the
creation of a nation founded on individual freedom, personal responsibility, distrust of big central government and a passionate patriotism, though even more paradoxically through the adoption of an
absolutist, assimilationist melting pot mentality. As one state board
of education put it in 1884 (quoted in Hersh et al., 1980: 18):
The danger to civilization is not from without, but from
within, the heterogeneous masses must be made homogeneous. Those who inherit the traditions of other and hostile
nations; those who bred under diverse inuences and hold
foreign ideas; those who are supported by national inspirations not American must be assimilated and Americanized.
The chief agency to this end has been the public school and
popular education.
The Canadian experience was very different. Instead of the absolutist

melting pot, the model was more that of a provisionalist/relativist
mosaic. For while the USA was in large part dened by what it did
(have a revolution and create its own identity), Canada was more
dened by what it didnt do, which was to reject the American
invitation to join them in revolution, and instead to remain within the
British empire. With such comparative lack of revolutionary selfbelief, with less ideological zeal, and with an already existent and
vocal French minority (as well as an indigenous native population),
there was within the Canadian psyche a much greater toleration of
different views. The joke that the Canadian national character is one
in search of a natural character, may well be a reection of the much
more tolerant view and less assimilationist treatment of minorities
than was seen in the USA.
England, by contrast, has had many waves of immigration, yet,
because of a very settled Anglo-Saxon culture, has tended to adopt an
absolutist, monocultural approach, and assimilationist views such as
the following were the ofcial approach to immigrants as late as the
1960s:
a national system of education must aim at producing
citizens who can take their place in a society properly
equipped to exercise rights and perform duties which are the
same as another citizens. If their parents were brought up
in another culture or another tradition, children should be
encouraged to respect it, but a national system cannot be
expected to perpetuate the different values of immigrant
groups. (Commonwealth Immigrants Advisory Council,
1964 quoted in Troya and Williams, 1986: 12)
Given these different cultural backgrounds, perhaps it is not surprising that multiculturalism originated as a term and a policy in Canada,
when, in October 1971, Premier Trudeau introduced it in a visit to
Winnipeg, in a move to placate groups who felt excluded by previous
emphases on Anglo-French biculturalism. Some of these groups,
however, were not cultural or ethnic in nature, but feminist or gay
who felt that they had undergone similar kinds of oppression.
Multiculturalism as a policy, then, not only spread beyond Canadian
borders to challenge and then largely replace assimilationist policies
in most other western countries, but also developed into a movement
within which many different kinds of groups demanded greater
recognition and rights. This also began a process of what Hollinger
(2000: 102) calls the diversication of diversity where initial
attempts to recognize particular groups led to members of these groups

coming to see such descriptions as too constrictive for their proper
individual or group expression. Why, after all, should a member of the
Iroquois nation have to accept the label of Native American when
such a label hides a much greater variety of afliation?
Provisionalists and relativists might both welcome such moves as
more in keeping with a relaxed tolerance of views. Surprisingly,
perhaps, fundamentalist and objectivist members of minority groups
might also see this as a positive move, a step away from assimilationist attempts by dominant cultures, even if it meant coexistence with
other cultures. Nevertheless, they might still wish to harbour their
communities behind walls of thick trust; and the more that majority
culture right-wing backlash occurred, and the more that they developed a cultural self-condence, the more they might feel inclined to
build such walls. An anti-racist argument would also develop which
suggested that until majority cultures recognized that power structures which disadvantaged minorities also needed to be dismantled,
problems could not disappear. Nor should one forget that resistance
from dominant social groups stemmed not only from an unwillingness to acknowledge previous discrimination, but also from holders
of fundamentalist views within these dominant cultures. Nevertheless, for a while movement towards some form of multiculturalism
seemed inexorable, the high point probably being in 1999 in Canada,
when Nanavut, a self-governing territory for the Inuit which occupies
one-fth of the entire geographical area of the country, was created.
But such changes have brought more problematic elements. Multiculturalism, like excellence, quality and standards has become a
hurrah word one which is criticized at your peril. Indeed, in the
USA, other sources of afliation particularly national ones generated in an earlier period by the dominant culture have become
increasingly less tolerable. Hollinger (2000: 157) suggests that anyone
arguing that there exist viable and desirable afliations beyond the
level of the cultural group, is in serious danger of being branded as a
right-wing reactionary monoculturalist: Closing down and exposing
as reactionary those who try to address the question of the national
culture has become a popular search-and-destroy sport.
He and other critics argue that culture as a symbol of a particular
ethnic group has largely become uncriticizable, individual cultures
being accorded a quasi-religious stature. There are a number of
reasons for this. One is the inuence of a woolly epistemological
relativism, which declares that because cultures have different
origins and different reasons for being, they are beyond criticism by
other cultures, and particularly dominant cultures. Such relativism
does not have to be invoked by sub-cultures: at the United Nations

World Conference on Human Rights in 1993, China, Iraq and other
Asian dictatorships invoked such cultural relativism when suggesting
that western criticism of their human rights abuses was no more than
western imperialism in another guise.
Another reason for rejecting intercultural criticism stems from the
belief that cultures are organic unities, and that to pick at, or suggest
the deletion of particular practices, will therefore and necessarily
harm the entire body. Rockefeller (in Clausen, 2000: 80), for
instance, argues that:
human cultures are themselves like life forms. They are the
products of natural evolutionary processes of organic
growth. Each, in its own distinct fashion, reveals the creative
energy of the universe, working through human nature in
interaction with a distinct environment, has come to a
unique focus. Each has its own place in the larger scheme of
things, and each possesses intrinsic value quite apart from
whatever value its traditions may have for other cultures.
The result of such relativism and organicity, has led, suggests Wolfe
(1998), to the creation of a new, Eleventh, Commandment thou
shalt not be judgemental, where cultures and their practices can then
only be critiqued by members of those cultures themselves, though it
becomes hard to see how minorities within those cultures could then
do so against dominant power holders. Given such strong feeling,
representatives of other cultures, and particularly dominant cultures,
are driven towards either adopting an uncomfortable and dangerous
relativism, where all and everything must be allowed if it is a product
of a different culture; or they are driven to adopt a similarly
entrenched but ideologically different fundamentalism, where the
two communities build walls to keep the other out, just as much as
to keep their members in. Communities then end up building strong
trust between members, but then lack the means or desire to develop
intercommunal values and understanding. The result may well be the
creation of inter-communal uncertainty and tension as communication between communities diminishes.
Questions of absolutism
Movement towards fundamentalist or entrenched positions may be
for epistemological reasons. But they are as likely to be derived from
experience, personality and cultural attitudes. Where dominant

cultures denigrate minority beliefs and practices, minority cultures
are likely to retreat into more rigid positions, for denigration fuels
resentment, and resentment fuels polarization, which eliminates the
voice of the moderate, and which then allows those of extremist
positions to come to the fore. Similarly, and as noted by Chua (2003),
where economically dominant minorities exist, the same kind of
reaction may also be seen in the disadvantaged majority. However,
where concern, interest and respect for other views are shown, even
for views which are very dissimilar from ones own, the chance of
reaching a peaceful and enriching understanding is much more likely.
They are even more likely to occur where social and economic
changes occur at the same time. So leaders of dominant cultures,
including educational leaders, precisely because of the power they
hold, need to be rst to attempt such measures.
Attempts at reconciliation are critical, as are wider social, economic
and political changes. Nevertheless, any society attempting to establish principles of personal freedom, discussion of differences, and the
use of reason and communication, must address absolutist viewpoints. In some cases, this leaves only one possibility. As Chesterton
(1909: 58) argued over a century ago: there is a thought that stops
thought. That is the only thought that ought to be stopped.
This is an uncomfortable position, for it requires that a stand is
taken which repudiates approaches denying personal liberty and
individual autonomy. But absolutist problems are not just out there
if educational leaders need to look outward to potential divisions
within their society, they also need to look inward to the kind of
organization they lead. If in the past intolerance came from professional absolutism, it is much more likely nowadays to come from the
creation of the kind of performance training sects discussed earlier.
A training sect is potentially quite as fundamentalist and intolerant as
anything outside of education, for both are arguments founded on
authority and simple assertion rather than on debate and reason.
They should be resisted as a matter of political, ethical and educational principle.
Questions of relativism
If the previous section suggested the need for a tolerance of different
approaches, but that such tolerance can go too far, the same must be
said with respect to the contrary position where all is tolerated, for a
proper commitment to personal and social projects is thereby
undermined. Relativism is corrosive: at the personal level it can lead

to the belief that nothing is to be taken seriously a contradiction
which will be returned to. At the social level, it can undermine a
commitment to notions of public good, to the creation of a better
world, and thereby permit the continuance of an unjust status quo.
In western societies, the ultimate beneciaries of such a position
would likely be those proposing the primacy of individual consumption, for this would result in individuals without social purpose,
communities without commitment, but entrepreneurs with immense
wealth, power and social control.
However, the answer is not for a reactionary swing to authoritarian
and indoctrinatory positions, but for professionals to possess the
arguments to reject relativism. For the educational leader this does
not mean that we can know nothing, only that we cannot be certain.
We can have good grounds for believing in and doing things, and we
can work towards better ones. Karl Popper (1982: 111) writing on the
provisionality of science, says this as well as any:
the empirical base of objective science has . . . nothing
absolute about it. Science does not rest upon solid bedrock.
The bold structure of its theories rise, as it were, above a
swamp. It is like a building erected on piles. The piles are
driven down from above into the swamp, but not down to
any natural or given base; and if we stop driving the piles
deeper, it is not because we have reached rm ground. We
simply stop when we are satised that the piles are rm
enough to carry the structure, at least for the time being.
Popper is pointing out that while we may never reach rm ground at
the bottom of the swamp, our structure does the job for the moment.
Yet we have some stability, and the likelihood is that with continued
effort, we can attain even more. While absolute certainty may never
be reached, our attempts can still provide a degree of condence,
which can strengthened with further effort. We do not need to
believe that structures are not worth building, and attempts at
improvement not worth attempting. Our attempts may not be perfect,
but they can be adjudged as better or worse than previous efforts.
Relativism, then, can damage by suggesting that there can be no
grounds for deciding between one stance and another. In so doing it
can lead to a vacuous tolerance of all beliefs which corrodes
attachment to communities, and can generate an egocentric individualism. Yet there is a profound weaknesses in the relativist viewpoint, for by its own logic, it cannot assert that its standpoint is more
true than any other. Yet to be put forward as a serious point of view,
it has to make an exception for itself: it must assert that it is the one
belief that can transcend cultures and be universally true: that all
views are relative. This it cannot do. By its own logic, it cannot put
itself forward.
All too frequently, however, such logical entailment is not seen,
and from cultural relativism develops a relativism which suggests that
not only should cultures be immune to outside criticism, but so
should groups and individuals. When this happens, values and
personal positions become no more than matters of choice, criticism
of another becomes bad taste, and is counselled against as it leads to
loss of self-esteem. This kind of individualism, fed by the ames of a
rampant consumerism, is now seen as deeply problematic for western
societies a very different situation from 50 years ago, when books
like Whytes The Organisation Man (1957), and Riesmans The Lonely
Crowd (1950) identied its antithesis, social conformity, as the major
societal disease, while Milgrams Obedience to Authority (1974) portrayed the pathological consequences. Nowadays, the illness requiring treatment is seen as a corrosive individualism, and in order to
bolster societies against this, the development of community spirit is
seen as essential, the explicit teaching of good character increasingly
fashionable.
An important challenge for educational leaders, then, is the
development of organizations which facilitate communication and
critical dialogue between different cultural groups, and which
provide an overarching set of values to which all can commit
themselves. While some communitarian suggestions, as well as allied
character education approaches, seem to do little more than trade an
unwelcome fragmentation of personal afliation for an autocratic
collective imposition, Ignatieff (in Hollinger, 2000: 134), rather
unfashionably has called for a civic nationalism which envizages the
nation-state as a body beyond any group dened by race, colour,
religious afliation or ethnicity, in which individuals sees themselves
as a community of equal, rights-bearing citizens, united in patriotic
attachment to a shared set of political practices and values.
While leaving until later major questions about the ability of the
nation-state to take on such a role, this does at least suggest the need
for a series of nested levels of afliation, where meaning is not
generated primarily by ties of history and ethnicity, but rather by
overarching democratic political principles, underpinned by a tolerance and respect for others, located within a provisionalist epistemology. It is a theme which will be returned to in the next chapter.
Questions of identity
The kinds of fragmentation so corrosive of personal and social
identity can then lead to demands for separatist communities and for
excessive individual compliance to norms and rules, and indeed there
is good evidence that some conservative proponents of community
and character education would have us embrace such moves (Bottery,
2000). Certainly, communal afliation is essential to individual
psychological well-being, as well as in the quest for self-understanding, and as a base from which to explore people and groups beyond.
Nevertheless, enforced identication and assimilation are neither
necessary nor acceptable; and yet such positions occur when cultures
are viewed as entities having lives in the same way as individuals do.
When this happens, cultures cease to be vehicles for individual
identity, betterment and purpose, and threaten individual liberties by
assuming greater importance than their members.
This is understandable politically: members of dominant cultures
tend to accommodate to organized minority groups rather to individual demands, and it therefore makes good political sense, in negotiating with others, to assert a cultural uniqueness and unity. Moreover,
personal identication with a group may provide a sense of historical
continuity and psychological security. However, cultural groups are
not unchangeable entities, but a melange of previous culture and
practice, borrowing from other groups, other quarters absorbing
other practices and values all the time. Where cultural customs and
practices are cocooned, guarded and rigidied, they become fossilized
and may hinder individuals wishing to remain members, but who,
through such things as inter-cultural marriage, may also wish to
extend their conception of themselves and their possibilities by
joining other groups as well. This is a natural consequence of
intercultural exchange, yet it means that cultures are never complete
and distinct entities, but amoeba-like, are inuenced by, absorb,
merge and in some cases are absorbed by other cultures. To protect
them by building physical and psychological walls simply imposes on
members what many minority cultures have accused majority cultures of an enforced acceptance of values and practices, rather than
the thoughtful, conscious and willing adoption by individuals.
Perhaps even more problematically, when cultural reication
occurs, terms like culture, community, and ethnic group become
more than physical and psychological places for shared norms and
values: they can become places where truth is decided and stipulated.
A relativist epistemology provides no access for communicative
critique by outsiders, and intercultural debates about the norms by

which ideas are evaluated are discarded. Moreover, because the
cultural group is ascribed primacy over the individuals within it,
issues of power who gets to decide which ideas are counted as true
may come to dominate internally. Educational leaders then must
recognize that cultural groups provide valuable perspectives upon
reality, which should be treated with respect, but which cannot all be
equally valid takes on reality. It suggests an epistemological provisionalism combining a respect for viewpoint, with a humility of
appreciation, yet nevertheless with a rigour of investigative critique.
Conclusion
While this chapter began with an examination of the impact of global
forces on questions of meaning, it has moved inexorably to questions
of identity, and particularly the changing and increasingly multiple
nature of individual identities within this complex world. Now the
term identity is a critical one, for it suggests a xity and permanence
when locating individuals within cultural or ethnic groups. In some
societies, given the social and economic divisions, such xity is
probably inevitable. Yet for other societies, afliation may be a
better term, for it suggests a more voluntary and conscious choice
than a genetic or cultural imposition. It also suggests, rather better
than identity does, that in these societies, many individuals no
longer live within the circle of one bounded community, but
experience a shifting between several afliations. One can then be
English, black, of Barbadian/Irish parentage, living in Yorkshire,
female, a geologist, married, a mother, a ten-pin bowler and a
Christian. Some of these are of genetic or historical inheritance, some
are self-chosen, many can be traded or discarded. This is a process
which has occurred since time immemorial, only now the forces and
changes which the individual confronts are more numerous, the
fragmentation of structures both more facilitative and risky. The
question for the educational leader then becomes: what should be
recognized, what should be accepted, and what should be supported?
First is the need to recognize and support an epistemologically
provisionalist view of the world. It is likely to be the most correct,
and the most safe. It accepts that all visions may have some truth to
them, and that a world where no one claims a monopoly on the truth
is likely to be a safer, more tolerant, less violent one. In supports the
vision of a pluralist society, with different values and views, for not
only are these to be tolerated as long as they tolerate others but
the exchange of viewpoints is seen as a valuable and worthwhile

thing. The celebration of each take on reality is the recognition that
each most probably enriches our understanding of the world and of
the challenges we face, and helps towards a better public good. A core
professional ethic to be supported, then, would be one of a humility
to other ideas and points of view, for there must always be some
doubt that our view is superior to another, and far more certainty that
it is not the complete picture.
Second, while such epistemological provisionalism suggests a
celebration of different viewpoints, it also recognizes that views are
grounded within particular cultural realities. It may be ne to
embrace such provisionalism at one level; but when groups are
economically and politically disadvantaged, such viewpoints need to
be backed up by an understanding of political realities, and the need
to work from such political realities towards this philosophical
position.
Third, such provisionalism, endorsing a celebration of a variety of
viewpoints, does not mean their uncritical endorsement. All attempts
at the resolution of professional issues, or wider societal problems,
must accept that insights, mores, practices and values of particular
groups (including professional groups, and dominant cultures) are
provisional and partial. The beliefs of any particular group should not
be seen as permanent and inexible entities, but as needing to be
exible and adaptive, leading always to the creation of new communities of meaning. There also needs to be recognition that there are
tools by which the practices, beliefs and values of such communities
can be critiqued. These may still provide no nal answers, but they
do support the view that educational leaders need not subscribe to an
epistemological and value relativism.
Fourth, there is great political and psychological value in groups of
afliation, and such communities need to be promoted either within
or through educational systems, and because prescribed afliations
limit both individual freedom and commitment, communities need to
be built upon the principle of voluntarism. Nevertheless, because
such communities cannot exist without people contributing to them,
educational leaders need to support notions of responsibility and duty
as critical elements, as the other side of individual freedom in the
promotion of healthy communities; it is unlikely that they will be
realized without being pursued.
Fifth, given the dramatically expanded number of challenges and
opportunities with which individuals are confronted, and the psychological need of these same individuals for afliative groups, they will
need the opportunity to move between different kinds of discourse.
Our English, black, Barbadian/Irish, Yorkshire, female, geologist,

wife, mother, ten-pin bowling Christian, probably needs all of these
to enjoy a fullling life, and educational organizations should support
her attempts to access them. And when she can celebrate being both
Barbadian and Irish, and this is not thought strange but an expression
of her individuality, a vibrant post-ethnic era will have been
reached.
Finally, in a global world, with the challenges of epistemology and
ethnicity, and with the need for individual psychological reafrmation, different levels of discourse are needed, different levels for
asserting identity, of cherishing our truths while simultaneously
critiquing them. The personal, familial, local, cultural, national,
supra-national and global may all be sites for afliation, and sites for
nested identity, where individual freedoms and responsibilities are
both exercised, which all may have legitimate claims to more equal
support. Yet this has hardly been the case in the past. The key level
for identity and obligation for the last few hundred years has been
the nation-state. However, in a global age, where people look for, and
are provided with, tangible symbols of legitimacy both below and
beyond the level of the nation-state, conning allegiance to one level
is increasingly problematic, and it is critical to the raison dtre and
functioning of educational institutions, and for the students within
them, to examine just what impact global forces are having upon such
nation-state political identity. This is the subject of the next chapter.
The impact on identity
From personal to political questions of identity

In previous chapters, we have seen how global changes are creating
issues of excessive control and standardization, how individualistic
consumerism accelerates the atomization of communities, and how a
relativistic epistemology facilitates a fragmentation of community and
identity, and yet may also generate attempts at an authoritarian
communal compliance. We have also seen how, in some societies,
unmediated global ideas can lead to dangerous instability and
violence.
We not only live in a changing world: we need to change to survive
in it, and individuals need to be helped within educational institutions
to deal with this complex of forces by a continued stress on criticality
and autonomy, balanced by the cultivation of individual responsibility
towards communities, for only by individuals recognizing communal
needs can such communities provide the conditions within which
freedoms can be enjoyed. Such communities, however, need to be as
balanced as the individuals within them, by not only providing
individual support and requiring a sense of individual responsibility,
but also by not being so inclusive as to prevent individuals from
moving and choosing between communities. This means recognizing
that many lives are, and in some cases should be, increasingly founded
upon sets of different allegiances, within different groups, different
communities. Individuals are, then, increasingly dened by a set of
nested identities, rather than just by single hegemonic national ones.
So while much personal identity is not, and cannot be chosen,
individuals need to be given the freedom to construct as much of
themselves as they can. They cannot choose their genetic makeup,
nor their early formative experience, and they cannot choose the
community into which they are born, just as they cannot choose
their family. Yet individuality can be celebrated through the opportunity to select and join particular groups, interests and tastes. In a
world of globalized opportunity and fragmentation, individuals are
143
more likely to be healthy and stable, and communities vigorous and

dynamic, if individuals, aware of the nature of this global world, are
encouraged to use its opportunities rather than to suffer them, and if
communities recognize the ever-changing needs of individuals and
adjust to these as well. By charting and developing self-chosen
identities, supported by and paying into a complex of communities
and a nest of political options, individuals may well then make the
most of the coming world.
This then is a conception of personal identity which asks for both
greater freedom of choice and an acknowledgement of responsibility
by individuals to their chosen afliations. This is intimately linked to
conceptions of political identity, for citizenship asks similar questions
about personal freedom, commitment and community support, as it
is a relationship between an individual and a larger body, this time
political, in which that individual is provided with certain rights,
while certain responsibilities are demanded in return. The conception
of citizenship thus adopted largely determines the kind of political
terrain within which the individual pursues his or her self-constructed identity. It is therefore vital to understand the kind of citizenships and the bodies who provide liberties and support in exchange
for duties and responsibilities with which individuals will be
dealing in the future. This chapter will therefore examine why
nation-state citizenship is increasingly seen as a construction rather
than as a natural level of allegiance. It will also describe and
evaluate the kinds of responses which nation-states employ to meet
such critiques, before it examines the effects of these changes upon
conceptions of personal and political identity. Finally, it will ask what
challenges this poses for educational leaders and their institutions.
The boundaries of citizenship

At the present time the nation-state is the political body which almost
hegemonically denes the terms and boundaries of citizenship. Most
people think they have a fair idea of what this means, yet nation and
state are terms with quite different qualities, and combining the two
can produce wide variations. Nation, suggests Anderson (1996) is a
concept constituted by:

Being imagined for most members will never know the majority
of their fellow members.
Being limited because all have nite (if sometimes elastic)

boundaries.
The impact on identity 145

Being sovereign for all are founded on notions of self-determination.
Being a community for despite vast differences of wealth and

powers, all members share a sense of comradeship.
Conversely, the state, McCrone (1998) suggests:

is partly dened by its unity;
is partly dened by the fact that it is articial: an institutional

arrangement engineered for specic political purposes;
is based on a rational-legal legitimacy, expressed above all in its

complex of laws.
Nation-states can then occupy any position along a spectrum. At one

end are (i) state-less nations, where groups see themselves as
communities, yet which fail to have distinct territories over which
they have sovereign command. These would include Basques,
Catalans and Kurds, their treatment greatly depending upon the
nation-states within which they are enclosed. At the other end of the
spectrum, however, would be (ii) nation-less states, where multiple
ethnic, linguistic and religious groups are incorporated and assimilated into deliberately engineered entities called states. Hobsbawm (1990: 88) thought this a good description of the USA, as, he
argued, Americans are those who wish to be. As we have seen, there
is an increasing problem for such engineered entities constituted of
more than one group a problem which increasingly confronts the
USA.
However, nation-states dont just vary in shape and nature: there
is actually very little about them or the political hegemony they
have enjoyed for the past 200 years which is natural. The
relationship between the individual and the larger political body has
changed throughout recorded history, from the highly participative if
parochial involvement of the citizen in the Ancient Greek city state,
through the development of Roman notions of civic virtue, on to the
variety of claims upon the medieval citizen, and then to the secular
emphasis of the Renaissance. It is only relatively recently that citizen
allegiance has been located with the claims of the nation-state. Yet
even into the twentieth century its hegemony and peoples allegiance
to it was problematic. Fishman (1972: 6) tells the story of peasants in
Western Galicia who, when asked if they were Poles or Germans,
could only describe themselves as quiet, or decent, identifying as
they did with the specic location they inhabited, not having travelled
conceptually from such concrete geographic identity to a more
abstract national one. Such voluntary allegiance then has had to be
constructed. As the Italian nationalist DAzeglio declared after the
Risorgimento, We have made Italy, now we have to make Italians
(Hobsbawm, 1990: 44). Part of this was achieved by the valuing of a
national language as opposed to the local dialect. Part was by creating
a national standing army (and its use against other national foes),
and part, as Green (1997) has shown, was by the creation of
education systems with the explicit intention of inculcating a nationstate citizenship.
The nation-state, as a concept, then, is uid, and historically and
geographically contingent, and is not as some would see it a
natural part of the political landscape. A growing awareness by
individuals of this articiality and of its claims to citizen allegiance
is increasingly one of its problems, and a challenge which
educational leaders running educational institutions, with the responsibility of inculcating a sense of citizenship, need to consider.
The nation-state citizenship bargain

Nation-state citizenship involves a form of exchange, even if such an
exchange is in many cases never fully articulated. In return for a
transfer of identication and loyalty by the individual from the local
and regional to the national, most states have historically provided a
greater liberty of the person, freedom of speech, rights to justice and
the ownership of property what Marshall (1950) called civil
citizenship. As we have seen, Marshall argued that citizenship also
needed to consist of political citizenship (the right to be involved in the
exercise of political power) and nally social citizenship (the right to a
degree of economic and health security, and educational provision),
as essential to the exercise of the other forms. Moreover, by
suggesting that these not only followed chronologically, but that they
represented an evolution of citizenship which has been in continuous
progress for some 250 years (1950: 10) he was suggesting a natural,
almost inevitable progression from the earlier to the later, as
nation-states perfected their citizenry arrangements.
Their success and underpinning nationalist ideologies is seen
not only in terms of eruptions of radical hot nationalism, but, as
Billig (1995) suggests, in the way in which much nationalism is so
obvious, so overt, and yet therefore so hidden, that we fail to
recognize the ags that constantly direct us to identify with it. On
this account, even the weather forecast is about the weather of this
nation. As Billig says: The metonymic image of banal nationalism is
not a ag which is being consciously waved with fervent passion; it
is the ag hanging unnoticed on the public building (1995: 8).
Marshalls (1950) analysis probably accepts too easily the grounding of citizenship within a nation-state base; if this is the case, and the
nation-state as an entity comes to be threatened, so also will be its
role as primary guarantor of citizenship rights, and of peoples
instinctive identity with it. Citizenship of the nation-state, then, is a
construction, which can be deconstructed, and an increasing awareness of the articiality of the nation-state is therefore a developing
threat to its perceived legitimacy.
In addition to this increased awareness, there are at least ve other
forces acting upon the nation-state which combine to undermine this
legitimacy. These are:
1 The social citizenship critique.
2 Economic globalization and ensuing mean and lean developments.
3 Political globalization and supranational developments.
4 Consequent Sub-national reactions.
5 The rise of citizen consumers.
Threat 1: the social citizenship critique

While modern-day critiques of the individuals right to civil citizenship are still largely at the political periphery, there has been
substantial debate regarding the need for an extensive political
citizenship, particularly with respect to participation in the political
process (see, for example, Schumpeter, 1942). Furthermore, with the
resurgence of the political Right in the 1970s and 1980s, there has
also been a sustained attack upon a social concept of citizenship, the
provision of welfare goods in health, social security and education
legislation in essence, the provision of an extensive welfare state
in order to furnish individual citizens with essential prerequisites for
political participation. Critiques have come essentially from three
directions. The rst has come from a philosophical and ethical
aversion to a paternalistic, big brother state; the second from a
decline in the belief that the nation-state is capable of adequately
providing such goods; the third from a belief that the market is a
better provider of such goods. All of these have affected the status
and legitimacy of the nation-state, and therefore the citizenship
bargain, for if the state is viewed as an essentially malevolent entity,
needing to be kept as small as possible, having neither the capacity
nor the capability of providing the goods it has claimed to provide,
what right has it to demand allegiance, loyalty or duty from the
individual? Why should individuals provide these when it does so
little for them?
Together the arguments suggest that when governments embark on
welfare legislation and therefore on forms of social citizenship
they necessarily over-reach themselves, they encroach on individual
liberties, and disrupt the efciencies of normal market processes.
These problems, it is argued, tend to lead to more government
intervention, which in turn leads to a vicious circle of interventionism
and the abrogation of personal liberties. Together, these arguments
have helped forge a political consensus across the western world
which remains very inuential today. Even Third Way approaches
accept many of its tenets, for a limited and affordable welfare state
is still seen as the best that is possible or desirable, the public sector
needing to emulate the practices and values of the private sector, as
seen for instance, in the enthusiastic espousal by Clinton and Blair of
the works of writers like Osborne and Gaebler (1992), and in the use
of internal and quasi markets to increase the productivity and
efciency of the public sector. Such critiques argue that citizenship
should not extend beyond Marshalls (1950) civil and political
conceptions; yet such limitation would seriously weaken the bargain
between the nation-state and citizens beneting from an enhanced
social citizenship. This is a process exacerbated by a second threat,
the increased impact of global forces.
Threat 2: economic globalization and mean and lean

national developments
While present-day governments do not wish to return to the social
democratic welfare policies of the mid-century, there is still evidence
to suggest that states are more interested than previously in taking
responsibility and central direction. The reasons for this lie in the rise
of globalization forces. Two of them the economic and the political
are directly implicated in threats to the legitimacy of the nationstate, and will be examined in this light as threats 2 and 3.
Economic globalization, as we have already seen, is that agenda
aiming at the creation of unrestricted global free trade, and is
increasingly inuential in the functioning of nation-states, as more

national policies are penetrated by global economic structures and
demands. Such inuence is spread by three main factors. A rst is the
ability of individuals and organizations to move nance easily and
quickly around the world, thus preventing nation-states from creating
re-walls to protect particular welfare or cultural agendas from the
movement of nance out of a country. A second inuence is the
activities of supra-national organizations like the IMF, the World
Trade Organization and the World Bank, which, while having
different foci, lock nation-states into international free-market agreements which limit their room for individual manouevre. The third
inuence is the activities of trans-national companies (TNCs) who,
because of their ability to relocate nance, plant and labour around
the globe, are able to pressure and manipulate governments, not only
into short-term acts of tax breaks and nancial sweeteners, but also
into longer-term policy changes.
Now it has already been mentioned that New Right responses to
increased pressure upon welfare state expenditure have largely been
predicated on attempts to reduce expenditures, primarily by emphasizing efciency as a key value, the employment of a vigorous and
assertive management ideology as opposed to a previously more
facilitative administrative one, the re-education and employment of
professionals as on tap rather than on top, and the use of
quasi-markets to heighten nancial awareness and to stimulate
entrepreneurialism. This nancial austerity road continues to be
travelled by many nation-states, despite changes in the colour of
government. Hood (1995) in his analysis of such policies, argued that
this may be for very different reasons, some nation-state governments, like that in the UK, believing that the hollowing out of state
responsibilities, and reductions in welfare expenditure, will not only
make the country leaner and tter to compete on the global economic
stage, but will also lead to a greater desired privatization. Others, like
that in Sweden, he suggests, have adopted similar austerity policies
precisely to protect the welfare state by making it more lean and
efcient. In the USA, the advent of the Bush government increased
this trend of state cutbacks and nancial austerity. As already
mentioned, Luttwak (1999) describes this approach as a turbocapitalist one, where a widening of income differentials, a lower average
wage, increased worker insecurity, and decreased welfare and labour
protect, are seen as prices worth paying in generating greater
economic growth, less bureaucracy and more entrepreneurship. Such
policy approaches have, however, normally been correlated with
increased wealth differentials, and with increasing crime rates and
greater social dislocation, suggesting that their practice has led to a

reduced citizenship allegiance, as individuals have felt less responsibility to a political body demonstrating increasingly less responsibility
and care for them.
Threat 3: political globalization and supranational

developments
If economic globalization is one form of threat to nation-state
legitimacy, political globalization has added to this pressure. The
drive to political organization above and beyond that of the nationstate has reduced many areas of traditional nation-state responsibility,
and resulted in the formation of trans-national governmental organizations. Their increase has been dramatic: Held (1989: 196) estimates
that in 1905 there were 176 international non-governmental organizations: by 1984 there were 4,615. Another critical aspect of political
globalization has seen nation-states relocating themselves into larger
trading blocks for greater political and economic leverage and
protection, and to have access to enlarged markets. Yet such
re-location moves the focus from the national to the transnational,
and might involve jettisoning many (national) practices, and the
acceptance of some new ones (honouring the EU ag?). In the
process, it might well reduce allegiance to nation-states. A nal aspect
of this threat is seen in countries with economically dominant ethnic
majorities. For when, as argued by Chua (2003), political globalization
in the form of democracy is combined with the advocacy of global
free markets, the result can be an even more dangerously unstable
nation-state as groups fracture down cultural and ethnic lines, with
impoverished majorities attempt to wrest economic and political
power, and afuent minorities attempt to extinguish the democratic
voice.
Finally, and as Billig (1995) argues, the impact of such personal
relocation on political allegiances does not have to be positive. While
it may help the individual choose a freer existence, it can also lead to
a fragmentation and integration of purpose, for these global forces
facilitate a postmodern stance of playing with ideas rather than being
committed to them. By permitting personal exit from identication
with the national, a postmodern psyche which is at home playing
with the free market of identities (1995: 134) is increasingly
facilitated. In so doing, nation-state citizenship is undermined and
degraded.
Threat 4: the sub-national development

Globalization and supra-national identities may have an air of
inevitability about them, but this does not mean that people relish
them. As already seen, the larger become those bodies and organizations which control peoples lives, the more individuals may feel
distanced and alienated from the political process, the less loyalty
they may feel, becoming global nomads, wandering between places
which provide no sense of identity. As this happens, the more they
are likely to relocate and dene themselves at the local level,
treasuring the traditions that spring from within (Naisbett and
Aburdene, 1988: 133). The increased political visibility of separatist
movements in Quebec, Wales, Scotland, Macedonia, Catalonia, the
Basque region, the Kurdish part of Turkey, Eritrea, and the general
increase in intra-state rather than inter-state conict, often dened
around ethnic and religious identities, all suggest that current
nation-states are failing to satisfy current needs for personal identity
and allegiance. Such tensions may also be seen within a number of
other nation-states in the future China, for instance, has 56 regional
groups within its boundaries. However, the interaction between
economic and cultural factors is likely to be both extremely complex
and difcult to predict. If nation-states becomes too small to deal with
the big problems of life, and too big to deal with the small problems,
complex, highly individual and problematic scenarios are likely to be
created, and nation-state legitimacy will be threatened from below as
well as from above.
Threat 5: the elite consumer development

A fth threat, what Lasch (1995) called the revolt of the elite, is one
in which the wealthy cease to identify themselves and their futures
with any particular nation-state, and utilize the market option of exit
rather than the citizen option of voice in order to achieve their
personal aims. This elite consumerist agenda stems from a combination of political arguments and economic opportunities. A rst may
be found in a critique of Marshalls (1950) evolutionary hypothesis
of citizenship, for within it is embedded the notion that a necessary
but insufcient condition for citizenship is the recognition and
acceptance of equal rights between genetically unequal individuals,
and that for this to happen, there has to be a measure of social and
economic equality as well. However, once the wealthy can escape the
demands of such citizenship, such allegiance is likely to founder
under the weight of the responsibility left to the rest. Furthermore,

the argument that taxation is theft, and a violence to the person, in
that the state arbitrarily extracts from its richer citizens moneys to
be redistributed to its poorer citizens, also lends support to those who
would opt out of one national policy approach and locate themselves
and their earnings within a more favourable regime. This, suggest
Martin and Schumann (1997), is leading to a split between the 20 per
cent elite of the worlds population who are globally connected, and
the 80 per cent who constitute the less privileged national majorities.
We have already seen how Davidson and Rees-Mogg (1999) have
taken this analysis one stage further by extrapolating from the present
to a situation, not too far-distant, where the cyber-economy will allow
any individual, any organization, to relocate their nancial holdings
and themselves to the most protable (i.e. least taxed) location around
the world. The result could be, as Davidson and Rees-Mogg argue:
you will no longer be obliged to live in a high-tax jurisdiction in
order to earn high incomes. In the future, when most wealth
can be earned anywhere, and even spent anywhere, governments that attempt to charge too much as the price of domicile
will merely drive away their best customers. (1999: 21)
If this occurs on a large scale, the implications would be extremely
serious, as the leading welfare states will lose their most talented
citizens through desertion (1999: 269), and through the widespread
ight of capital and disappearance of major contributors, many
nation-states would nd it increasingly difcult to provide the basics
of welfare. It would, however, be extremely risky for any nation-state
to increase taxation, or even maintain it at present levels, for this
would provide incentives to others to relocate their nances. The
scenario is then for present edgling competition between nationstates in terms of taxation policies to dramatically increase, and for
citizens (at least the rich ones) to become consumers, shopping
around for the best deal in low-cost citizenship. Davidson and
Rees-Moggs conclusion is that the massed power of the nation-state
is destined to be privatised and commercialised (1999: 259), and in
the process citizenship in any recognizable form will disappear. While
they believe that there will be transition difculties (1999: 224),
prospects nevertheless are bullish even though the price seems
likely to be walled enclosures for the rich, and the demand for new
survival strategies by the poor such as crime (1999: 256).
One must be careful to separate the prescriptive from the descriptive in this argument. While I personally nd ethically grotesque their
prescriptions for a world made up of competing tax havens, where

the poor live either by serving the rich or by scraping a living in
walled-off locations of alternating anarchy and tyranny, their arguments still require serious consideration and rebuttal, for the central
argument is based upon a description of existing realities and
extrapolations from these, and whether one likes the consequences or
not, the possibility of individuals opting out of citizenship commitments and relocating to a more attractive state is an increasingly
possible even probable one. Were this to happen on a sufciently
large scale, a nation-states ability to demand responsibilities and
duties from the remaining population would be severely threatened
by the inability to deliver its side of any citizenship bargain. What
then can be the responses of the nation-state to these threats to its
existence, to current conceptions of citizenship?
Nation state responses to citizenship threats

If these developments threaten the existence of the nation-state, they
also challenge current conceptions of citizenship. There exist at least
six different responses by nation-state governments:
1 Responding to the rich.
2 Enhanced competitive skills.
3 The human capital option.
4 Intensifying citizenship.
5 The social capital option.
6 Enhancing participation.
Option 1: responding to the rich

If nancial elites are increasingly shopping around for the most
competitive residence option (i.e. the state which provides them with
the most security for their assets, and demands the least in return),
one response might be premised on the assumption that while the
rich can move, the poor cannot, so the emphasis should be upon
meeting the needs of the rich. This is the option described critically
by Luttwak (1999), and approvingly by Davidson and Rees-Mogg
(1999), yet it seems to be a mixed blessing, whatever your income. It
clearly rewards the rich and enterprising, but produces constant

stress and insecurity for the less talented. It also seems to threaten
the legitimacy of the nation-state. It would be an ugly place to live if
you were not rich, ugly even if you were rich and used your money
to ensure that this ugliness was kept out of sight. Moreover,
Wilkinsons research (1996) suggests that societies with higher
income differentials between rich and poor also have the lowest life
expectancies, for both poor and rich. There is then some doubt
whether such societies ultimately prot even the rich within them. It
is also clear is that such states would not sponsor any form of
citizenship worthy of the name.
Options 2 and 3: the enhanced competitive skills and

human capital options
Considerably less odious, though still problematic, would be enhanced competitive skills and human capital options. These are
placed together because they combine to form a particular approach
to the development of workforce skills in a competitive economy. The
enhanced skills option has formed the core of Third Way approaches
to education. It is predicated upon the belief that governments
shouldnt provide the kind of extensive welfare safety net seen
previously for individuals who fail, but rather should equip citizens
with the requisite skills to make them employable in future job
markets. And while Tony Blair may have declared education,
education, education as his policy priority at the 1997 UK general
election, this is an education focusing tightly on employability, in the
belief that an employed workforce is a more socially cohesive and
prosperous citizenry. Social cohesion and prosperity, then, provide
the props to support nation-state legitimacy. Yet there remain major
problems with this approach. One is that a concentration upon skills
for employability may fail to tackle issues of structural inequality,
and thereby exacerbate an already unequal situation, for if governments fail to recognize that individuals do not begin from the same
starting line, then they fail to provide equal entry into the competitive
skills marketplace. While another strand of many government policies has been an emphasis upon inclusion agendas, some critics (for
example, Clarke et al., 2000) argue that these two agendas are
incompatible, and are being implemented with the managerialist
approaches of administrations of a different political hue, and
therefore are unlikely to be effective. A further problem is that an
education for employability agenda all too easily becomes rigid and
dogmatic in what must be learned, leading as mentioned earlier to a

trained incapacity (Lauder et al., 1998) of individuals to adapt to
rapidly changing scenarios. Governments may then have to place
more emphasis upon freedom and creativity, as these facilitate the
kinds of responsiveness which rapidly changing national and global
economies demand.
The second part of this economic package, the human capital option
has been a major way in which western governments have conceptualized education since World War II. Indeed, organizations like
OECD seem, if anything, to be increasing this emphasis. This is in
part due to the apparent success by Asian Tigers like Japan,
Singapore, Taiwan and Korea, where governments have not only
provided the training for workforces in competitive skills, but have
been much more intrusive, attempting to mediate and fashion global
forces to suit the particular talents and capabilities of the nations
workforce. Ashton and Sung (1997) provide a particularly good
example of how the Singaporean government adjusted its education
policies to match its economic objectives, prioritizing the raising of
workers skill levels to match the needs of preferred multinationals,
a policy which governments like that of the UK New Labour party
have attempted to copy. Yet it is noteworthy that many of these Asian
Tiger governments have changed tack in the last few years, recognizing the strength of the trained incapacity argument mentioned
above: their workforces have been compliant but unimaginative,
hardworking but uncreative, and it is the nurturing of imagination
and the fostering of creativity which, Tan et al. (1997) argue, are now
seen as essential to successful competition in the future.
Options 4 and 5: the enhanced citizenship and social

capital options
If the last two options concentrated upon the skills required by a
workforce, the next two emphasize the attitudes and affective skills
required. The enhanced citizenship option is concerned with sustaining
the legitimacy of nation-states as deners of citizenship, by stressing
the responsibilities and rights of citizenship, as well as by utilizing the
ags of banal nationalism. Formal education, and citizenship education in particular, are critical here. In England and Wales, for
instance, citizenship education has become statutory in secondary
schools, given the objective of helping students to become informed,
thoughtful and responsible citizens who are aware of their duties and
rights (QCA, 1999: 12), and aided through the stipulation of critical
study areas such as history, social studies and national literature

which contribute to the contextual understanding of this particular
form of citizenship. While some of the thrust of such educational
legislation is more properly located within the Participation option
discussed below, nevertheless, part is much more directive, as
exemplied in the widespread espousal in the USA, for example, of
Character education approaches, which stipulate the particular
virtues which are societally desirable, and then attempt to inculcate
these into populations (Bottery, 2000; Arthur, 2002). This helps to
account for the paradox that in a culturally heterogeneous world,
where the fragmentation of norms and values is a developing reality,
teachers are experiencing an increasing control and direction of the
content and practice of their work. Here then, education is being used
by nation-states in attempts to bolster their legitimacy, and there
exists the possibility that the more centralizing and directive that
governments become, the more they will lose the support of at least
part of their electorates.
The second option, the social capital option, is concerned with
enhancing the social bonds between individuals to reduce fragmentation, and to increase cooperation and social cohesion within communities and workforces. While there is considerable debate in the
literature as to the precise meaning of the term (see Baron et al.,
2000), the present endorsement by a number of governments of
Putnams (2000) conception of benign social capital as a key force in
generating trust and better relationships between individuals, and
within fractured communities, is a strong pointer to its use as an aid
in reducing a more general societal fragmentation.
Option 6: the active participatory option

Perhaps the most acceptable approach, from a liberal-democratic
perspective, this is one which is less restrictive, less directive, more
participatory. It sees the saving of the nation-state through its ability
to motivate and engage all its citizens in societal projects to create not
only a more equitable and harmonious society, but a more equitable
and harmonious world as well. Current conceptions of citizenship
education within the English National Curriculum, for instance, are
fairly radical, arguing that citizens must shape the terms of such
engagements by political understanding and action (DfEE, 1998: 10),
and that students must learn about and how to make themselves
effective in public life (1988: 64). Nevertheless, it is non-statutory in
the early years; only 5 per cent of curriculum time is supposedly
devoted to this area; it has a teaching force which is still largely

ill-equipped to deal with it; and it is based around formal school
education. This active participatory option is better seen in its wider
expression in the Council of Europe project on Education for
Democratic Citizenship (Council of Europe, 2002), which argues that
the development of EC citizenship is a multistranded project, encompassing not just appropriate school curricula and organization,
but life-long workplace and informal learning, which stresses inclusion and social cohesion. Crucially, it suggests that Education for
Democratic Citizenship is not mainly and essentially the inculcation of
democratic norms, but more essentially the development of reective
and creative actors, the strengthening of the ability to participate
actively and to question (2002: 16).
Such aspirations address more directly concerns that nation-state
citizenship is dying from within because of apathy, a fragmentation
of values and the exclusion of minority groups, yet it remains to be
seen whether a supra-national project can have genuine impact at the
nation-state level, and whether sufcient individuals wish to commit
to it as an at least part-replacement to nation-states in terms of citizen
allegiance.
Whither citizenship? Whither personal identity?

Of the options considered, western nation-states seem to be converging around a conceptualization of their role as:

The provision of an affordable welfare state.
An increase in the steerage of areas where they can exert effect,

such as in education, and particularly in skills training, and in
enhancing social cohesion.
A re-assertion of notions of community and duty.
A stress on the value of citizenship participation.
The acceptance of the expanding inuence of global markets and

multinational forces.
However, this issue will not be resolved in purely planned, conscious,

transactional terms, for citizenship is also determined by affective
notions of identity, which run deep into the subconscious, underpinned by the hidden ags of banal nationalism, and aroused when
ethnic and religious identities are threatened. In such circumstances,
it is not enough to look at current governmental strategies, at the

bargains between state and citizen. One also needs to look at the
ways in which citizenship is currently formed, and whether there is
any evidence that individuals are beginning to conceptualize their
relationship with the nation-state differently. Carrington and Shorts
(2000) study of citizenship conceptions by US and UK children is
useful here, for it shows that while UK children are more likely to
think of citizenship in terms of being born in the UK, and of being
able to speak English, US children are more likely to identify
citizenship in terms of its formal, juridical, components. This indicates that the USA, with an identity based historically upon a
deliberate attempt to construct a nation through the prior assimilation
of immigrant populations, but now facing a reaction by many groups
against such policies of national assimilation, is increasingly producing individuals who see citizenship much more clearly as a construction. This is in contrast to the UK, where the evidence suggests that
individuals still tend to see citizenship as a natural and given
identity, though the creation of Scottish and Welsh assemblies is
increasingly developing perceptions of English, Scottish and Welsh
nationalities, rather than a UK nationalism, which may lead to the
same kind of constructivist perceptions.
Constructivist conceptions of citizenship were also (surprisingly)
found by Parmenter (1999) when investigating childrens attitudes to
citizenship in Japan. This is a country wedded to a view of history as
Kokkahattenshi as a description of national unity, whose ofcial
education policy has historically been, and continues to be, that of the
inculcation of a conception of citizenship by ethnic-genealogical
denitions of national identity. Yet Parmenter argues that: The
majority of students . . . seem to believe that national identity is an
identity that has to be constructed by the efforts of the individual
through his/her acquisition of knowledge, development of abilities,
maturity and way of living . . . the individual has a choice in whether
to be Japanese or not (1999: 6).
Furthermore, she found that many student teachers now believe
that in a globalized world, national identity is becoming increasingly
redundant. Such ndings suggest that a global generation is growing
up, more able than previously to see the ways in which nation-state
citizenship is constructed. And once a construction is seen, it can then
be asked whether it should be exchanged or broadened to include
something else.
It must then be doubtful whether present strategies will enable
nation-states to repel all the threats listed above, for their ability is
compromised not only by some of the actions they take, and by an
increased recognition by populations of the construction of nationstate citizenship, but also by an increased tendency for individuals to
rationally calculate advantages. The result is likely to be a paradoxical
combination of enhanced identity for some at the subnation-state
level, and for others, an enhanced consumerist orientation towards
nation-state citizenship. And as nation-states attempt to mediate the
effects of global markets by relocating themselves within supranational bodies, this has the effect of spurring on identication at
subnational levels, as people search for an identity which provides
greater personal meaning.
However, perhaps the major conclusion is that because of the
continued intrusion of the market into all walks of life, and the
increased mobility of individuals and their capital, there is likely to
be a new kind of citizen in the twenty-rst century the consumer
citizen. In an increasingly mobile and knowledgeable world, there
will probably be an increase in the number of individuals who
actively choose their citizenship commitments. Nation-states will
then have to compete for their custom. Proprietor and customer may
be more frequently used terms in discussions on citizenship than
allegiance and duty, and nation-states will have to be far more
concerned with the views or apathy of their citizens than
previously, because increasing numbers will be able to and want to
vote with their feet if service is unsatisfactory. Exit rather than
voice may, for many, become the preferred option. When bumper
stickers appear in the USA which urge people not to vote, because it
will only encourage them, then the leaders of national governments
need to take note; and educational professionals will be asked to pick
up some of the pieces.
Citizenship education and educational

leadership
So what of citizenship education, and the responsibilities of educational leaders? What are the likely implications for political identity if
trends follow the lines described above? If the political and economic
threads are pulled together, citizenship education will probably be
either an emphasis upon one, or a blend of the following four options.
One bleak scenario from a democratic point of view would be of
nation-states, or those who control the reins of power, resorting to
force, both mental and physical, in order to retain their power. They
would then seek to increase control and direction of their educational
institutions, not just in terms of the curriculum, by intensifying a
skills/competency approach in those areas felt necessary to equip the

nations human resources for successful competition on a global
economic stage. But it would also be in terms of character education
and social capital approaches, which would attempt to inculcate
particular virtues and dispositions into a population, not only to
further their attractiveness to trans-national companies as pliable and
compliant workforces, but to also reduce the discontent consequent
upon increasingly national economic mean and lean policies. Such a
prognosis would not only contradict the need for a exible, creative
and entrepreneurial workforce, but would also destroy the development of human potential and political freedoms, and educational
leadership would be reduced to a limited implementational role. One
could well envisage a depressing cycle of state domination, political
protest and repressive state reaction, within which citizenship education and educational leadership became little more than mockeries of
the true meaning of the terms. It is not a pleasant scenario to
contemplate.
A second scenario, which might well be allied to the rst, follows
from the threats to identity, and is a citizenship education predicated
upon a fear and exclusion of others, and an intense commitment to
particular beliefs and practices, which would be indoctrinatory and
intolerant of other beliefs. It would probably take all the elements of
a hot nationalism, based upon particular geographical, ethnic,
religious, cultural or linguistic differences, and combine them with
the elements of a banal nationalism to inculcate an unthinking
allegiance. It would be the domain of the fundamentalist or objectivist educational leader, and would prohibit the development of
reective and creative actors who would wish to participate
actively and to question (Council of Europe, 2000). This is not only
a scenario for distant underdeveloped countries, the Talibans of the
world: with an education sector constituted of performance training
sects, there would be too many examples close to home to permit
such complacency.
A third and more optimistic scenario would follow from the
recognition by nation-states that nation-state citizenship is a concept
which needs to be more participative, while nested within different
levels of citizenship. Enhanced participation is an increasingly attractive notion to many developed nations, in part because of democratic
ideals, in part because of the recognition of increased electoral
apathy, and in part as an element of a larger agenda requiring citizens
to take greater responsibility for things the state no longer feels
capable of providing. There are then some hopeful signs here. Nested
citizenship, an idea raised by Heater (1990), and recognized by the
Council of Europe (2002), nevertheless has yet to receive any real

recognition by individual nation-states. However, were they to accept
that some allegiance was better than none, and that they needed to
work towards a global system within which some power was ceded
both upwards and downwards, then national education systems
would need to provide their citizens with an understanding of the
different functions, rights, responsibilities and powers of these
different levels, and with the skills to negotiate their way through
such complexities.
A nal scenario follows the trends of an increasingly consumerist
world, where the market penetrates deeply into every form of societal
activity, capturing their discourses, and rendering their values
second order to those of the market. In such circumstances, citizenship becomes another consumer good, to be designed, displayed,
marketed and sold like any other. Nation states would then not
provide education, nor would they have ownership of plant, nor
ownership of content and ideas. Educational opportunities for both
child and adult would instead be the subject of intense competition
between rival private organizations, who would sell not only different
kinds of access, but different kinds of experience and different kinds
of curriculum. We already live in an age where universities sell their
products online around the world, and private companies see
education as a huge market opportunity to be exploited like any
other. On this scenario, nation-states would be no more entitled to a
monopoly on educational provision than would any business. If
citizenship became a market commodity, then the function of
educational institutions and their leaders would likely be that of
providing the discerning consumer with the knowledge and skills to
make the right choice in selecting from the different brands of
citizenship on offer.
Conclusion
To draw some conclusions concerning the effects of citizenship
developments upon individual identity, and of the challenges this
poses for educational leaders, we need to retrace some steps to
consider the future of the nation-state, and of citizenship within it, for
on these rest the future of citizenship and political identity. An initial
problem with talking about the death of the nation-state, as we have
seen, is that it has no one Platonic form: it is possible to have forms
which are driven primarily by the needs of the state, while equally
possible to have forms driven by the needs of particular ethnic
groups, linguistic minorities and religious communities. As a current

nation-state splits, it is therefore possible to have smaller, but still
viable, political entities which deserve the same name: the Czech
Republic and Slovakia are as identiable as nation-states as was
Czechoslovakia (and, some would argue, with even more justication
than the previous entity). As current nation-state power is relocated
below, there is reason to believe that such relocation of identity and
allegiance may well result in the proliferation of new nation-states,
rather than in the disappearance of this form and level of political
organization. If this were the case, individuals may well continue to
assign their primary political allegiance to the nation-state, and
educational leaders will be asked to facilitate this.
However, as the forces of globalization drive nation-states to divest
some of their powers to supra-national organizations, then at least
three things happen to citizenship and personal identity. One is that
people become more aware that nation-states, citizenship and its
current location, are constructions, which can therefore be deconstructed. This might mean that citizenship does become a multilayered concept, that people locate their allegiance at different levels,
and therefore begin to construct themselves differently. However,
and secondly, given the fact that new nation-states may be constructed out of amalgamations or dissolutions of existing arrangements, we
may be faced with a complex of multilayered attachments which
resist simplistic analysis a conclusion arrived at by a different route
at the end of the last chapter. It is highly likely, then, that people will
come to more fully understand the constructed nature of citizenship,
and by implication, their increasing freedom to choose in this
construction, and thereby in what they would like to be.
So what does this suggest for educational leaders? It probably
means that at a social and political level they will have more
challenging careers, being perhaps more controlled and directed in
the navigation of their institutions, yet forever open to the political
winds of change. At the personal level, their students, their colleagues
and they themselves, will face an increasingly less clear and fragmented political arena, where personal, political and educational
ideals face implementation in much less certain scenarios. They will,
as the Chinese curse says, live in interesting times.
PART 3
BEGINNING A RESPONSE
Learning communities in
a world of control and
fragmentation
This book has suggested that there is a paradoxical combination of

control and fragmentation to be seen at global, national, institutional
and individual levels. The control element is in large part a product
of global movements towards standardization which are then seen at
both governmental and organizational levels. Fragmentation, on the
other hand, is in the main a consequence of new forms of knowledge
capitalism, and of the effects of assaults upon the political certainties
of the nation-state. As a consequence, both the state and the market
are acting in ways which damage the public forms of discourse which
allow citizenries to articulate, debate and determine ways of life not
directed by state or market. If such forms of discourse are seen as
valuable societal goods, then we need to ask how they can be
supported, and what kinds of education system and schools would
best serve in dealing with such pressures. This chapter then considers
the responses of two contrasting kinds of schools, banking and
community schools, while considering criteria by which their
success or failure should be judged.
The existence of banking schools

Educational systems and professionals are constantly urged to meet
the challenges of a rapidly changing age, and to provide individuals
with new skills, new competencies, and new attitudes, to help
them succeed in a competitive economy. This is often seen as
the key ability of learning how to learn, and learning, rather
than teaching is therefore increasingly given the pivotal role
within education systems. Some of this constitutes exciting, even
165
liberating exhortation, yet much of this thinking derives from a

business sector (particularly a US sector) obsessed since the 1980s
with global economic competition. This obsession has translated into
similar calls within educational systems, without it being fully
appreciated that education is concerned with more than economic
productivity, and that while unceasing change may be the economic
answer, it is not always so for education, and particularly for social,
moral and political aspects of its work. When the difference of these
agendas is not acknowledged, excitement and liberation can quickly
turn into confusion and both personal and societal fragmentation are
then produced. And when this happens, calls are made for a
reassertion of the community to prevent such fragmentation, and to
halt perceptions of social and moral slide. While it is unsurprising to
nd that learning and community are joined together to become
agship terms in an advocacy of Learning Communities, a careful
eye needs to be kept on the ultimate purposes of such communities.
The adoption of this idea needs careful consideration, for it is neither
simple, nor an unalloyed good. Perhaps the best way to illustrate this is
to begin in the negative and describe schools which are not learning
communities. Strike (1999, 2000) suggested that many such schools
which he termed banking schools have large and diverse student
populations. They also have stakeholders with differing views on the
goods education supplies, and thus may differ considerably on the
meaning of human ourishing. These schools, having to respect such
diversity, do so, Strike suggests, not by adopting any one view of
human ourishing, but instead by attempting to provide a broad and
instrumental menu, in the hope that such provision is valued by all
even if no ultimate ends are vocalized. Schools on this account are like
banks, providing students with credentials to be cashed in for other
goods, like income, status, jobs, powers. Strike here extends Freires
(1972) banking concept of education, in which knowledge deposits
are placed in the individual learners head, to be withdrawn on
suitably protable occasions. Knowledge is then a commodity, and
education is instrumentalized, for schools are created to provide
educational services for individual purposes.
Now there are a number of reasons for the continued existence and
support of such schools. One is as a consequence of a commitment,
widely held in politically liberal societies, and particularly in the
USA, to provide public institutions celebrating a diversity of views.
Society is then constituted by different visions of the good, the state
ensuring that all are permitted such liberty, as long as particular
visions of the good do not prevent others from celebrating their
versions. The state itself, then, cannot be a community, and should
Learning communities in a world of control and fragmentation 167
not aspire to be one: it is consituted primarily to secure and

implement a shared view of justice. And state schools, as representatives of such a state, also should not be community schools, for they
must be no more than educational representatives of that liberal
view. Schools then should do no more than help individuals to extract
from the education system what they need to build and celebrate
their personal visions.
Such liberal inclinations, many would argue, are essential to
societies trying to promote respect and tolerance for different values
and lifestyles. However, there is clearly a sting in the tail of this
position, for the logical endpoint of such a view must be that schools
cannot, as public institutions privilege one vision of the good over
another, and therefore cannot be communities. This, for some at
least, links liberal views uncomfortably closely to the kinds of
relativist postmodern perspectives outlined earlier, which lead to an
inability to recommend or condemn any other view. They also seem
to support the kinds of consumerist perspectives where the only thing
that matters is the satisfaction of individual consumer need. And both
of these perspectives undermine larger, shared conceptions of any
society, liberal or otherwise.
The result, critics would argue, is a liberal expression of schooling
which in reality has no vision of the good life, for by attempting to
cater for all, none are celebrated the vision is simply too thin.
Questions of epistemology are now being reframed in organizational
terms, for if liberal schools admit of too much, they embrace a
relativist standpoint; while if they attempt to shore themselves up by
embracing particular communally oriented viewpoints, it becomes
difcult to maintain a liberally-oriented set of public values. The two
can sit very uneasily together.
A second reason for the support for such non-communal schools
may be creation by default legislative frameworks and social and
political thinking may have prevented the construction of much else.
Thus, across the western world, as initiatives by both right- and
left-wing governments over the last 15 years have tended to homogenize school output, individual communal visions have also been
curtailed. Centralizing national curricula, literacy and numeracy
initiatives, and external accountability mechanisms, have all contributed to the creation of standardized cultures of teaching. And while
the paradoxical and simultaneous espousal of market-led policies was
in part to generate greater school variety, it has also steered schools
into consumer-led policies, rather than vision-led ones. Finally, while
governmental adoption of Third Way approaches has largely consisted of state-led attempts to provide the skills required for competition
in the job market (Bottery, 2000), it has seldom developed into the
specication of greater societal goods.
Such legislative initiatives provide a nal reason for the existence
of such schools a lack of commitment, or an inability, by school
leaders to interpret their role through a particular set of values.
Writers like Ball (1999) and Wright (2001), for instance, argue that
headteachers are now so deluged with legislative implementation that
they actually have little time or room for manoeuvre to vocalize and
implement a set of core values, while my own research (Bottery,
1998) has suggested that the professional is drawn into a process of
self- and role denition determined principally by the implementation
of external directives, rather than by denitions of the meaning and
purpose of the job. To be fair, there is other research (see, for
example, Day et al. (2000); Gold et al. (2003), suggesting that the best
school leaders are capable of framing events and responding to policy
through clearly articulated personal visions. This is a debate which
will be revisited in the nal chapter.
Are banking schools the answer?

Whatever the reasons for banking schools, they tend to exacerbate
the paradoxical trends towards both fragmentation and control/
standardization. Thus, by being susceptible to both relativist and
consumerist agendas, they accelerate societal fragmentation; and to
the extent that they reproduce central dictates, they standardize
educational ends. And as these agendas develop, notions of public
good and common goals either cease to be important, for these
schools are primarily about servicing private consumer wants, or
these notions are dened by central agencies determining much of
what is to be taught and how it is to be taught. Second, such schools
instrumentalize and commodify knowledge, because such knowledge
is increasingly valued for its use in other purposes, rather than for
any intrinsic value. Less and less is the need seen for a deep
understanding of the nature of knowledge, normally through the
study of a particular subject discipline, which not only provides an
understanding of this world, and a sense of awe and wonder, but also
tells us something about our limitations. Indeed, it is telling that
anyone who now talks of learning for its own sake is probably seen
as slightly quaint and outdated.
A third result is that because of the instrumentalization of knowledge, such schools and the education they provide enhance the
view and project of education as a competitive exercise, for now
knowledge is a positional good, to be used by students as a way of

gaining (limited) admission to colleges or jobs, or providing access to
(limited) positions of power. As not all can have these things, so
schools become places where individuals compete for them, rather
than as places where some greater good is dened and worked
towards, and to which each has the responsibility of making some
contribution. And nally, on this model, equality is no more than
equal opportunity, which comes to mean fair competition, because
educational knowledge being a positional good, selects some, and
bars others. Banking schools then lead down a path to standardized,
instrumentalized, commodied and competitive education. In so
many ways, then, banking schools fail to provide the qualities
needed to critique restrictive economic agendas of change, and to
encourage participation in wider and more inclusive agendas.
The rise of community schooling

Perhaps, then, while banking schools may have initially been
conceived as one response to a philosophic dilemma at the heart of
the liberal democratic agenda, their development has produced as
many problems as solutions, and it should then be no surprise if
policy makers have increasingly turned from them to the notion of
community schooling. The benets claimed for these are impressive:

Unlike banking schools, which of their nature tend to produce

alienated learning, such schools are said to provide more emotionally secure learning environments.
Unlike the individualistic competitive ethos of banking schools,

such community schools are predicated upon a concern for the
welfare of all in the organization.
While banking schools emphasize individual choice and personal

rights, communal schools tend to place as much emphasis upon
individual responsibility to others within the organization.
While banking schools generate a view of educational knowledge

as a positional good, communal schools celebrate a shared and
public view of knowledge, from which all can benet.
While banking schools are essentially instrumental organizations,

communal schools claim to provide intrinsic non-educational
goods like belonging, identity, trust, friendship, loyalty and care.
However, community as a concept is not a neatly dened notion,

and there is considerable debate as to its meaning. Beck (1999), for
instance, suggests at least six different metaphors for educational
communities:
1 Ontological metaphors those based around the notion of the
caring family, or rustic support (it takes a whole village to raise
a child), or music (the orchestra as producing more than the sum
of the parts).
2 Psychological metaphors those referring to long-term relationships of intimacy and commitment, which suggest strong ties,
psychological safety, a sense of agency and individual and
corporate identity.
3 Behavioural metaphors those which talk of relationships characterized by caring, modelling, dialogue, conrmation, cooperation,
cohesion and purpose.
4 Structural metaphors ones which suggest structures of openness
and inclusivity, which are natural and organic, and are opposed
to fragmentation, bureaucracy, compartmentalization, external
imposition, or articiality.
5 Political metaphors ones which talk of inclusivity, participation,
and care, and which stress the equitable distribution of power in
decision making, and the enhanced choice of stakeholders.
6 Ethical metaphors ones which emphasize the values of critique,
justice, care, empowerment, values expressed in day-to-day actions and structures.
The sheer number of such metaphors might suggest an over-rich
concept, but a number of key themes constantly occur:

These organizations are united by a set of shared beliefs and

values; they develop agreed projects based upon such beliefs and
values;
Such beliefs, values and projects create a sense of membership,

ownership, and loyalty.
Such organizations are familial and nurturing, and create a sense

of interdependence, as opposed to independence.
They are concerned with both individual and minority viewpoints.

Relationships within them are informal, meaningful and nonbureaucratic.
They involve relationships of considerable interaction and participation.
Such relationships occur in multiple contexts which are mutually

reinforcing.
Nevertheless, and despite such claims, community schooling is not an

unqualied good: there are a number of problems which need to be
recognized and addressed.
Questions for community schooling

A rst issue is that arguments for community schools come from
different sources, and may have different objectives. Many proposals
come from social theories of the community, not only intended to
counter feelings of anomie and alienation, but also to reassert the
need for a greater sense of individual responsibility, in reaction to an
over-long xation on rights. However, interest by policy makers is as
much because some research (see, for example, Bryk et al., 1996;
Bryk and Schneider, 2002) suggests that their communal nature is a
key feature of academically successful schools. So while social
community rhetoric may see community development as an intrinsic
good, school improvement literature tends to see it in more instrumental terms. When this happens, it is easy to slip into the kind of
hard instrumental thesis of Fukuyama (1996) where community,
trust, and social capital simply become ends to the attainment of the
twin gods of economic competitiveness and national prosperity.
A second issue is that people may take the notion of community
too seriously for policy makers liking, the adoption of the term
having ramications far beyond policy makers original endorsement.
Thus, Sergiovanni (1994), echoing Tonnies (1957) basic distinction
between gemeinshaft and gesellshaft, and Macmurrays (1950) distinction between the personal and the functional, argues that changing
the metaphor changes the nature of educational activity, and that we
should move from talking of schools as organizations, to talking of
them as communities. Innocent as this may sound, such adoption
suggests dispensing with a whole load of conceptual baggage, for
relinquishing organization as a metaphor would mean rejecting
many organization theory assumptions, and its parent, economics; it
would mean rejecting the view of human nature as motivated by
individual self-interest, where extrinsic rewards and punishments are

seen as essential to performance (such as through the use of PRP); it
would mean ceasing to view schools as needing to be based upon
bureaucratic codication, where activities are grouped into a logical,
linear order, whose purposes are decided externally, where control is
hierarchical and executed by rules and regulations, monitoring and
supervision. Instead, adopting a community metaphor would suggest that human nature is as much constituted by ties of affection and
empathy as self-interest; that much performance is motivated by
intrinsic interest and enjoyment in the nature of the work and in the
relationships developed through that work. Schools would be seen as
principally concerned with developing relationships and nurturing
interdependence, and their purposes would be constructed through
shared values and commitments, and activities determined by projects forged through such communal value commitments. As Sergiovanni argues: Instead of relying upon control, communities rely
more on norms, purposes, values, professional socialization, collegiality, and natural interdependence. Once established, the ties of
community become substitute for formal systems of supervision,
evaluation and staff development (1994: 216).
The full implications of this for policy makers wedded to a rational,
bureaucratic, gesellschaft view of organizations are so revolutionary as
to make one doubt that sufcient consideration has been given to the
implications of the full-blooded adoption of such communal values.
A third issue is that community is not an unequivocal good.
Communities have their darker sides, and the values which members
embrace may not always be ones which a wider society would want
to support. At its most extreme, the Maa is a community of sorts, as
it has a code of values and accepted practices. Many street gangs are
also centred on loyalty to the group, but on ongoing hostility and acts
of violence to outsiders. One does not have to provide such extreme
examples, however: the same issue applies to fundamentalist communities which eschew wider societal values in the belief that they alone
possess the truth, who attempt to isolate themselves and their
members from other communities, other societies. This points to a
wider philosophic and ethical problem raised earlier: that the creation
of communities and community schools within a larger society does
not remove the necessity of providing some extra-communal examination of communal values. Indeed, before a society permits the
existence of such, there has to be some articulation of the principles
upon which they can be accepted within the larger society. A
standard response, as we have seen, is the liberal one, but we have
also seen the difculties that this leads to.
A fourth issue is that the espousal of community schools is likely

to clash with another highly valued policy that of inclusivity. The
reason for this is simple: the very essence of being a community
implies the selection or self-selection of a body of people, dened in
terms of their adherence to a particular set of values and practices. In
so doing, they dene themselves within the community, but necessarily exclude others who do not share their core values and practices.
A policy of community might then clash directly with a policy of
inclusivity. Even if it does not, at the very least, an articulation of the
principles upon which the exclusivity of communities is reconciled
with the policies of societal inclusivity needs to be clearly spelt out.
A fth problem is that such exclusion may lead to an intolerance of
other beliefs, and a failure by communities to provide members with
an appreciation and respect of other communities and their value
systems. Such exclusivity seems closely related to the strength with
which values are held whether communities are thick or thin.
Strike (2000) argues that different kinds of communities will provide
different possibilities, and suggests the following four:
1 Communities as tribes, where there is not only a shared consciousness, but shared beliefs and practices, and an agreed way of
life. This is the true Gemeinshaft community.
2 Communities as congregations, where there are common values
and a shared view of human ourishing, which leads to common
projects, though such communities are not predicated upon
shared forms of life.
3 Communities as orchestras, where there are common aims and
shared practice.
4 Communities as families, where the basis is that of extended
natural sentiments, principally that of the requirement to care for
others.
Now it may be that these are best thought of as on a continuum. At
one end, the thin end, would be communities as families. Yet
communities as families may be too thin a conception of community, for while care is a valuable attribute of any person or
organization, it may not be sufciently distinctive to dene an
organization as a community. Communities may need constitutive
values, like specic religious or democratic values, which would
frame the direction and nature of specic projects. Other constitutive
values in educational communities would be ones which specically
embraced particular views of learning, such as child-centred approaches, or ones where schools specialized in sporting or artistic
curricula. While one would expect all such schools to care for those
within their community, one would also expect the exclusion of those
not wanting to adopt specic values or organizational aspirations.
So this would raise real difculties with the sufciency of the
family community. Yet at the other end of the spectrum, communities as tribes may be so thick as to be too exclusive, thereby creating
problems of intolerance and misunderstanding. To specify not only a
shared consciousness, but also to share beliefs, practices and an
agreed way of life, may well be so embracing, and so exclusive, as to
prevent the embrace of wider societal values. For an educational
community, then, such a thick description might actually be
anti-educational, excluding as it did consideration of other points of
view and ways of life.
On this basis then, a community school would need to be one
somewhere between the two ends of the continuum, having different
weaknesses, different strengths, depending upon where on this
continuum they were situated.
Learning communities and the rise of the

learning organization
If one side of the learning community is that of community, the other
side is clearly that of learning, and there seems little doubt that much
of the inspiration for this side of the equation comes from currently
popular notions of learning organization. Now, once again, this is a
term which began its existence in the business literature and was then
transferred to educational concerns. Its major impetus came when the
western business world felt that global changes and competition
necessitated a paradigm shift in business thinking, along with new
conceptions of business leaders and workers. What was required,
instead of hierarchical organizations peopled in typically Fordist
manner, were atter organizations with more multi-skilled workforces, in which, as Casey (1995: 43) suggests, the workers ability to
learn and adapt becomes more important than his past training. Part
of this change would be achieved by espousing transformational
theories of leadership, as such leaders would lead the new workers
through this new paradigm; but all within the organization would need
to play their part in such change. From such beginnings a widespread,
almost universal, enthusiasm in the business world developed for
organizations which adopted the following kinds of principles:

Ones that created continuous learning opportunities for all their

members.
Ones that promoted continuous dialogue and inquiry between

members, even when (perhaps particularly when) this exposed
deeply held and unexamined assumptions.
Ones which created climates within which people felt encouraged

to share ideas and collaborate on developing new ones.
Ones which could establish systems which would capture and

further distribute such learning.
Ones which empowered people towards the articulation and

embrace of collective visions.
Ones which recognized the need to understand, interact and

adapt to a constantly changing environment.
Some writers were very upbeat about such change. Zuboff (1988: 6),
for instance, suggested that, the new technologies will provide
workers with opportunities in which they can exercise new forms of
skills and knowledge . . . As work becomes more abstract . . . workers
[will] experience new challenges and new forms of mastery.
The new organization then needed to be a one of constant learning,
a place where, according to Senge (1990: 3) people continually
expand their capacity to create the results they truly desire, where
new and expansive patterns of thinking are nurtured, where collective aspiration is set free, and where people are continually learning
how to act together.
Senge went on to suggest that these kinds of organization needed
to develop and interweave ve particular forces or disciplines if they
were to become learning organizations:
1 Personal mastery: the need to make clear personal capacities and
dreams.
2 Mental models: the need to make public, critique and, where
necessary, overturn deeply held personal beliefs, and instantiate
new ways of thinking.
3 Team learning: the need for those within organizations to collaborate in developing and sharing knowledge in small groups.
4 Shared vision: the need to build collective dreams which can then
be used to guide future actions.
5 Systems thinking: the need for employees to develop the ability to

place and understand their own views or actions within a larger,
organizational perspective, and to accept that there is a fundamental inter-connectivity between their actions and all others within
the organization.
Central to such learning organizations is the acceptance of the need
for critical reection and open dialogue, with individuals being
willing to talk about, share and have critiqued their own belief
systems, and to apply the same processes to their colleagues. Such
challenge was acknowledged as threatening for many, but was seen
as essential if organizations and their employees were to break free
of outdated, unhelpful, or dysfunctional thinking patterns in the
quest for innovative ways of dealing with a rapidly changing
environment. Through such openness, sharing and systems thinking,
learning then becomes organizational rather than individual in
nature, as knowledge comes to be seen principally as that which can
be spoken and shared between individuals.
Now there seems good reason to believe that Senges views were
developed from the best of motives. Fielding (2001: 19) for instance,
is convinced that his is a deeply humanistic view, driven by a desire
to help individuals express themselves creatively through the process
of work. Yet, as Fielding and others point out, accounts like that of
Senges account are seriously awed, and, particularly with respect
to their translation into education, need to be carefully examined.
To begin with, it is important to note that, initially being a business
model, it encourages critique of organizational procedures, thought
processes and actions, but not of the purposes to which organizations
are put. It is a view of knowledge which is almost completely
instrumental in nature, for the model emphasizes only two kinds of
knowledge: that used for innovative problem solving, and that used
for detecting error. While employees are then encouraged to reect
critically upon the operational procedures of organizations, they are
not encouraged to reect critically upon power structures, nor upon
ultimate purposes. The learning organization, then, is yet one more
example of an idea which has been taken from a business literature,
which non-critically accepts current economic paradigms, and which,
if uncritically transferred to education, can result in a non-critical
acceptance of current market- and state-led aspirations for educational institutions. In its sphere of origin, as well in education, it then
reduces thought and learning to the instrumental, discouraging
exploration and criticism of currently existing economic paradigms,
and of educations role in these.
Such concerns link strongly with the inuence of economic and

commercial forces upon the public sector, and on education in
particular; and there does seem good reason to believe that educators
are being encouraged to create learning organizations which critique
practices and processes within these paradigms, but are not being
encouraged to develop learning organizations which are critical of
such paradigms. There are a number of different paradigms which
might drive learning purposes. One paradigm is that which sees
education as a principal tool in the production of an economically
more competitive workforce what might be called the economic
productivity function. However, another paradigm would be that
which provided students with a kind of intellectual capital, allowing
them to bank qualications and records of attainment for spending
later on, either in gaining places at university, or in having the
qualications to apply for a job. These would then be part of a
banking function, concerned with learning for individual advancement. A third paradigm would be the transmission of a cultures
norms, values, heritage, intellectual, scientic and artistic achievements the cultural transmission function, while a fourth paradigm
would be that of responding to and building from the learners
interests and abilities a person-centred function. Finally, there is the
paradigm of providing future citizens with the skills and self-belief
to effect change, and with the ability to critically discuss current
practices, values and norms what might be called a social reconstruction function. There may well be other functions, but the point is that
these approaches to education, and the purposes to which learning
can be put, can all be critiqued. Yet dominant learning organization
models largely do not explore them, as their concerns are restricted
and the learner is drawn away to other concerns.
Not only do current learning organization paradigms raise issues of
the direction and control of educators, they also increase the sense of
fragmentation. Fenwick (2001: 85) for instance, argues that the warm
rhetoric in the literature of connectedness, trust and opportunity is
unfurled in a climate darkened by the ethos of anxiety for, as
organizational members nd themselves having to survive and
prosper within a volatile, unpredictable global economy, they are
asked to learn continuously and embrace instability as the normal
order of things (2001: 83). In such circumstances, expertise is an
ever-changing, transient commodity, and the likelihood is that
workers will then be reduced to a situation of eternal, slippery
deciency. Echoing Sennets (1998) concerns regarding the corrosive
effects of such processes upon an individuals character, this suggests
that when continual innovation is the order of the day, the individual
can never be content in having reached a degree of expertise which

provides satisfaction and stability, for, as Fenwick suggests this is an
ideology of constant improvement which creates a competitive racing
track where the racing dogs never reach the mechanical rabbit
(2001: 79).
Now such personal anxiety is one aspect of a much bigger picture
of personal pressure, which combines elements of both fragmentation
and control. Comment has already been made upon the effects of
targets and performativity, and Casey (1995) extends this picture
when she argues that the organizational focus is not just upon the
individuals learning per se, but rather upon the mind and the heart,
the commitment of the worker, as well. It has already been noted
how we live in age of increasingly greedy organizations, which want
and expect commitment beyond normal working hours. Casey argues
that part of this is accomplished through the emphasis within
learning organizations upon both the socialization of the individual
into desired learning habits, and induction into wider corporate
values and procedures, largely through the creation of pseudo-family
values. The individual, impelled to participate in such cultural rituals
and to personally identify with the corporate culture, is thus seduced
into the corporate family. For Casey, this leads to either willing
collusion by some, active defence against such personal invasion by
others, or an ultimate and unhappy capitulation. This has all the
hallmarks of the dilemmas Lispky (1980) described in his classic work
of street-level bureaucrats.
This corporate demand for personal loyalty increasingly limits an
individuals psychic space, and through learning organizational rhetoric, businesses then increasingly assert their power and right to
submit the individual to a public scrutiny of personal beliefs and
assumptions. For Fenwick (2001: 83), this is tantamount to surrendering the last private space of personal meaning to the public space of
workplace control. However, it also constitutes the ultimate in
personal surveillance, for now there is no private space left to the
individual: all must be made public in the name of organizational
improvement. The result, as the personal is increasingly utilized for
the functional, is, as previously suggested, that the functional and the
personal collapse into each other. This bears an uncomfortable
similarity to the kinds of contrived collegiality which Hargreaves
(1994) described as the experience of teachers pressured to work in
teams, whether this made sense either personally or creatively.
This discussion suggests a fourth and wider issue with much
learning organization literature: there is a real danger with it of
political navety, for much of it ignores not only the realities of the
asymmetrical distribution of power within organizations, but also the

economic and commercial imperatives of the business environment.
To uncritically assume the transference of such a theory, from a
highly politicized, value- and power-laden private sector, to a public
sector requiring a different set of values, but which is already heavily
inuenced and steered by the private sector, simply fails to recognize
the political and economic realties within which educational organizations nd themselves. This is not a value-neutral theory, and it does
not result in value-neutral practice. It cannot and should not be
treated as such.
A nal but important point is that by failing to locate the dynamics
of learning organizations within particular political and economic
contexts, the theorys central tenets may fail to blossom because of the
conditions that those supposedly working to implement them actually
encounter. Thus, while learning organization theorists in the business
sector may have called for workers to engage in critical debate,
knowledge exploration, and innovative practice, the reality has been
very different. Argyris (1998), for instance, argues that private sector
worker empowerment is still mostly an illusion. Part of the reason for
this is the collision with systems which, as Fenwick (2001: 85) argues,
demand very different organisational norms of productivity, accountability and results-based measurement using predictable outcomes.
This is a very good description of what currently seems to exist in
many educational systems. If learning organization theory doesnt
work well in its private sector home of origin, there must be real
doubt that an uncritical transference will work outside of it.
Combining learning and community for

educational purposes
The danger then is that those espousing the creation of learning
communities fail to see the hidden assumptions of a functional
organization, fail to see the values which come with the uncritical
importation of a term from the private sector, and fail to see the
political and economic imperatives of currently contextualized learning organizations. When this happens, as Fielding (2001: 27) points
out, community then becomes no more than an ideological cosmetic:
to clothe the functional in the language of the communal.
Furthermore, while it is easy to understand why learning community is a phrase of the moment, it, like so many other concepts, can
be easily tted into the agendas of different pressure groups, to be
lled up with different meanings. The concept then can appeal to
policy makers and politicians, who might wish to see learning

communities as a convenient shorthand for institutions engineered
to meet the demands of a knowledge economy and the need for
intellectual capital, and to facilitate the production of exible
workforces which know how to learn how to learn. But it can also
appeal to those concerned with a perceived decline in social consensus, ethical values or communal cohesion, and who wish to stress the
values and morals of the community side of learning communities.
Finally, it can appeal to educationalists wanting the term used as a
vehicle for moving educational policies away from a punitive results
and accountability orientation, towards one more concerned with
the processes of learning, and even with the notion of learning as a
good in itself. And the concept of leadership would also be given an
appropriate emphasis or twist to bring it into line with the desired
conception of the learning community. It is therefore very important
to know what the term is being lled up with and by whom.
So, a composite version of current views probably incorporates the
following qualities for a learning community:

that members continually expand their capacity;
that they develop new and expansive patterns of thinking;
that they have collective aspirations;
that they learn together;
that they invest in their own learning.
However, this does not exhaust the possibilities. One might also wish,
when specically considering educational institutions as learning
communities, to add other qualities. These might include:

that they prioritize the personal and social above the purely
functional;
they are not exclusive for reasons of nance, race or religion;
that they act as a bulwark for thinking determined neither by

state nor by market;
that they are not only reective and reexive about learning but
about the cultural and political conditions surrounding that learning;
that such reexivity of learning lead to a criticality of existing

frames of reference, of organizational structures, and of economic
and political contexts.
Some will agree with these, some will disagree, while others will want to
add more items and take others out. But the point is clear: conceptions of
learning communities are built upon different social, educational and
political values, and we need to be clear of an advocates views on these
matters before any particular denition is accepted. Indeed, as
communities can be located at thick and thin ends of a spectrum, and as
there are at least ve different functions of learning, it is perfectly
possible to combine these in different ways and produce, as in Table 9.1,
at least 20 different kinds of learning communities.
If this is true, then this is no transparently clear term: for meanings
will be lled up with different values, functions and ends, and its
leaders will also have different values, functions and ends. It also
means that some kinds of learning communities perhaps our most
preferred versions may not be realized because of the forces that
surround them, whether these be local, national or global.
Table 9.1 Possible varieties of learning communities
Learning for
Economic
Individual Cultural
Person
Social
productivity banking
transmission centredness reconstruction
Communities as
Tribes
Communities as
Congregations
Communities as
Orchestras
Communities as
families
Conceptions of the learning community

From the foregoing analysis, it would seem that the creation of genuinely
extensive learning communities need to prioritize the following agendas.
First, the provision for future citizens of an educational overview
of such changes, so that they better understand the world in which
they are living. This will mean, minimally:

the provision of a global perspective on the changes that are

occurring;

the provision of an ecological perspective one which shows

how the parts interconnect and produce the effects experienced.
Second, the provision of an educational system which ameliorates

excessive elements of control. To do this, it would need to:

provide an educational perspective which is neither simply

representative of state or market, but provides a public space for
their debate;
provide students with a critical perspective;
provide them with an empowered perspective;
provide an approach which demands that both political authority

and professional practice be based upon the production of
research-based information.
Third, the provision of an educational system which ameliorates

excessive elements of fragmentation. To do this, it would need to:

provide a greater sense of cohesion to learning and social life;
provide a greater sense of the cooperative nature of learning;
provide a greater continuity of values;
provide for a greater continuity of the project of the self;
provide for a public rather than a private celebration of the

educational project.
These changes could then lead to the fourth, a view of learning which
neither fragmented nor controlled, but which provided the ability to
rise above the two. It would be one:

where learning was less about delivery, and the solving of

technical-rational problems, but was recognized in many instances as being non-linear in nature;
where learning was at least in part concerned with an experimentation of thinking which did not have all end-points already dened;
where a proper conception of the subject matter of learning was

not restricted to the politically pragmatic and the economically
essential, but transcended such concerns and embraced the
broad, rich and varied;

where learning was seen as a cooperative activity; as much a

contribution by, and a responsibility of the individual, to society,
as an instrument of individual, competitive advantage;
where a proper conception of learning was one which not only

adapted central directives to local situations, but which accepted
the location and ultimate meaning of much learning and development as being within and for the personal and local;
where it was accepted that a sign of societal health was one

where a reexivity of learning could lead to a criticality of
existing frames of reference, of organizational structures, and of
economic and political contexts.
At the present time, the jury must still be out on whether current
conceptions of learning communities meet such agendas and the
challenges which underpin them.
Conclusion
The project of creating learning communities is for many the result
of deeply-felt imperatives about the ultimate purpose of formal
education as a contribution to human ourishing. But it is also a
project borne out of pragmatic considerations for the tailoring of
educational policies to t the demands of a new knowledge economy
and of concerns for dealing with a perceived fragmentation of societal
values and practices. Given this, the actual shape and functioning of
such learning communities is likely to be a mixture of such imperatives, and the results are likely to be unpredictable. It is certainly
unlikely that policy makers fully appreciate where a too-enthusiastic
adoption of community rhetoric could take them. Yet it is also the
case that those of a more educational orientation do not fully
appreciate the degree to which instrumentalist, economic and social
forces steer this agenda; and the creation of such learning communities will fail if the concerns over community and learning discussed
in this chapter are not fully appreciated. It is then vital that the
different strengths and weaknesses of thick and thin conceptions
of community are fully realized and addressed. Thin communities
may provide defence for those who would see schools as a support
and exemplication of liberal democratic principles, and as a bulwark
against those (including the state) who would prosecute a single
vision of human ourishing, which would ultimately contribute to
the internal collapse of a liberal-democratic state, founded as it is
upon the celebration of different lifestyles, different visions of lifes

ultimate purposes. Yet at the same time, thin communities will
ultimately fail if they cannot provide a sense of purpose and meaning
to the educational project. In such circumstances, they may well lead
to no more than an anomic concentration upon individual selfgratication, where learning is seen as no more than a personal
means to instrumental gain. Ultimately, then, thin communities may
lead to the collapse of both tolerance and support, for they may fail
to provide the kind of sufciently structuring and supportive vision
which individuals seek and need. Yet the opposite end of the
continuum presents the mirror image of such problems: too thick a
community may provide such a structure and supportive vision, yet
exclude consideration of other visions. Learning would then become
a different kind of tool, one employed in the promotion of a particular
kind of vision, and outputs might well become myopic and intolerant.
In such circumstances, communities which were too thick are as
likely as thin ones to produce a weakening of any overarching
political vision which attempted to provide a larger framework within
which such communities could ourish.
The same kind of considerations need to be applied to learning,
for learning has functions beyond the needs of particular communities. Clearly it has instrumental functions, and it would be foolish and
unwise to dismiss such needs, as part of the foundations of national
economic wealth is based upon its use in this way. Yet learning also
needs to be seen as concerned with a respect for logic, for evidence
and rationality as means of settling disagreements, and for a necessary objective criticality of opinions regardless of the status of the
person holding those opinions. It needs to be seen as concerned with
the affective, the social and the moral. It also needs to be utilized for
wider issues, so that the learner understands not just how to do things
but also appreciates why such things are important. To realize these
aims, educational systems and learning communities within them
need to have the space to develop such a capacity. If education
system are seen as no more than handmaidens to the economic, social
and political objectives of states, learning communities will not have
that room. They are also unlikely to realize that role if they are
designed to do no more than serve the whims of the market. The
success or failure of community schools should be judged, then, on
the willingness of governments to relinquish some control, on a
clarity of vision which circumscribes the inuence of the market and
its tendencies to fragmentation, and on the understanding of those
within the system of the need to embrace and practice such public
and civic principles.
10
Professionals at the
crossroads
Late in 2003, two editions of the Times Educational Supplement, the

premier UK teachers journal, led with very different stories about
the condition of Englands state schools. One, a report entitled
Schools without Teachers (5 December 2003), was concerned with
an ofcial government paper, Workforce Reform Blue Skies, which
claimed that there was need for only one qualied teacher in each
school. The other story, entitled Call me Mr Forgettable (19
December 2003), reported that over half of the teachers in a TES
survey had no idea who the current Secretary of State for Education
was. Both of these stories are highly signicant for this book, the rst
because it suggests that ofcial thoughts on the deprofessionalization
of education may be further advanced than many have thought; the
other, because many of those directly affected by such changes dont
seem to have the faintest idea of what is going on. Both of these issues
are extremely worrying and need to be examined in more detail.
Blue Skies thinking

The rst document, Blue Skies, had been written by a senior
government ofcial and circulated to external signatories of an earlier
workload agreement. The document talked of the essential but
presentationally uncomfortable need to make the case to cut teacher
numbers to pay for more support staff. The paper stated that:
the legal position . . . is that a maintained school must have
a head with qualied teacher status (QTS), but beyond that
the position is very much deregulated. The school need not
employ anyone else other staff need not have QTS and
staff could be bought in from agencies or come in on
secondment. . . . Gone are the days of every school having
185
to have a full complement of directly employed QTS

teachers.
The document accepted that current regulations required support
staff to be supervised by qualied teachers when they were used for
teaching purposes. But , the document went on, [the] teacher might
of course be the head. It also suggested that recruitment targets for
teachers should be abandoned in favour of targets for higher-level
assistants. When qualied teachers were used, their time would be
ruthlessly focused on expert teaching, planning and pupil assessment.
Other work with pupils could be taken by a range of other adults,
support staff then playing increasingly important roles in direct
teaching. It also envisaged that management posts in schools would
be transferred to non-teachers to embrace modern management practices. The model for schools was one of a single professional educator
supervising the work of non-qualied staff, while non-educational
managers took over the headteachers responsibilities. The one
qualied person in the school would then oversee the work of
technicians who would do most of the teaching, with lesson plans
provided for them, most probably by government web sites.
Now while the DfES hastily insisted that the paper had been
produced without the authority and knowledge of ministers, it was
sent out as an ofcial DfES document, and it was clearly believed that
it would be viewed sufciently sympathetically by these other
signatories to be sent to them. It does not seem unfair, therefore, to
suggest that it did reect an ofcial governmental train of thinking. It
was also clear that it was largely driven by two factors. The rst was
concern over spending, for the paper warned that the governments
next spending review, 20052008 would be very tight, and that the
proposed changes would help to keep spending at current levels. This
was a theme revisited repeatedly throughout the document. The
second factor was the concern raised in 2001 when the then Secretary
of State warned that there would be a shortfall of 30,000 teachers by
2006 (Morris, 2001).
It might be tempting to assume that these two factors problems
with nance and recruitment are peculiarly English problems, but
this book has shown how these are much wider problems, and are
generated by global issues such as ageing populations and reductions
in the number of tax-payers, limits on governmental spending
through neo-liberal global market requirements, and by low-trust and
standardizing regimes reducing the commitment and morale of public
sector workers. So by taking a long view of education and educational
leadership, this book has argued that such commonalities between
Professionals at the crossroads 187
economically developed nations are not matters of coincidence, but

are located within larger fragmenting and controlling/standardizing
agendas, which may be mediated at national level, but which largely
originate elsewhere.
Call me Mr Forgettable
This example is but the tip of a much larger iceberg. While global
forces impact upon national funding of education and the recruitment
of teacher workforces, they also impact upon wider relationships.
They do so through limiting the abilities of individuals and groups to
trust one another; they impact upon wider questions of meaning by
affecting peoples perceptions of what is true and worth knowing; and
they impact upon peoples sense of identity by fracturing communities and creating consumerist self-images. In so doing, these forces
generate challenges for educational leadership not just through issues
of funding and recruitment, but through reducing a wider populations commitment to a common good, and to the good of future
generations. They also generate wider challenges by standardizing
work, and reducing the judgements of professionals to the extent
where they may be incapable of responding to such challenges. A
Chinese epigram, used at the beginning of a previous book (Bottery,
1992), suggested that those who lowered their heads to pull their carts
were less likely and capable of raising their heads to look at the road
they were travelling down. It is a caution of which educators need to
be constantly aware, for if they are not, one has to worry down which
roads they may be encouraged to travel, and at which destinations
they and their societies will arrive. Indeed, given the second TES
article, that less than half of the teachers questioned knew the
identity of the man directing the governments education policies,
there is probably real cause for worry. Yet perhaps this nding should
be not that surprising. Previous research (Bottery, 1998) had found
that not only many teachers, but nurses and doctors as well,
signicantly failed, either through lack of interest or simple overwork, to be aware of the social and political context within which
their work was located. Moreover, research following this (Bottery
and Wright, 2000), suggested that most teacher INSET in England was
short-term, technical-rational and implementational in nature. Such
INSET is located within an educational system where the teaching
profession has been deluged over the last two decades with initiative
after initiative, and where the consequences of non-compliance have
been both public and punitive. Such a system damages teachers by
reducing their practice to external requirement, rather than encouraging a exible response to context, and prevents the use of subject and
pedagogical expertise and local knowledge not only to more helpfully
implement policy, but to critique and amend policy by feeding back
the negative effects. It damages students by preventing teachers from
adjusting to individual problems, and by limiting expertise to the
exercise of the competent rather than the excellent. It prevents
consideration of the kind of exible skills required in new economies,
as well as failing to highlight the dangers of excessive fragmentation
and control which can be consequent upon them. It damages
education by capturing a discourse which should be concerned with
exploring a range of possibilities, rather than being reduced to a
cipher of economic policy; and in so doing it damages society by
closing down possible visions of the good society, including critical
explorations of future demands and possibilities. Finally, it damages
global society by preventing a sustained gaze upon the effects of such
policies, and by suggesting that present economic arrangements are
natural and inevitable, when in fact they are conscious choices
engineered by powerful individuals and groupings. Indeed, if the
situation is one where governments seem even more intent on
reducing the scope of education and professional input, while at the
same time there exists a profession which does not seem to have
much of an idea about what is going on, it does not seem too
apocalyptic to suggest that the teaching profession and indeed
society itself is at a crossroads, and its leaders need to think very
carefully about the professions future direction.
Call me Mr Forgettable doesnt mean, as the article suggested, that
the principal problem was that the current Secretary of State for
Education had so little impact that few teachers could remember him.
It meant instead that few teachers knew the identity of the man who
headed the government department which had dramatically and was
continuing to change their work, their practice and their values. It is
a stunningly worrying condemnation of the political awareness of the
English teaching profession. At the same time, Workforce Reform
Blue Skies, while extreme, does follow the trend of the kinds of
predictions made so far in this book, suggesting a model for a future
teaching force which effectively leaches anything professional out of
such practice. It suggests a model of teaching which lacks both
subject knowledge and pedagogical expertise, for teachers would not
require expertise in a subject area, nor how to teach it; the objective
would be to have classroom technicians delivering downloadable
lesson plans by teams of government-sponsored writers in manners
even more carefully prescribed than the UK National Numeracy and
Literacy Strategies, or the US Success for All. It would be an

educational world light-years from one where a profession, through a
deep knowledge of the structure of a subject area, and an expertise
in pedagogy, was aware of and capable of communicating that deep
structure to students, who would then come to understand the ways
in which knowledge is constructed, the ways in which personal
meaning affects such knowledge, and the ways in which individuals,
values and cultures necessarily place their own interpretation on
understandings of the external world. Under a regime such as that
proposed, none of this would be possible. It would be a desperately
impoverished society. It is genuinely alarming that members of a
government could think such things, never mind feel that it was a
sufciently safe proposition to be sent to external parties for
discussion.
Six professional requirements

So the question is: given the kind of alternate model of professional
educator which this book has argued for, what do educational leaders
need to promote as a model to realize this role? Building on earlier
work (Bottery, 1998), this chapter suggests six professional requirements needed for such achievement, which need to guide educational
leaders as they frame their understanding and actions, not only
within the organization, but in managing its boundaries, and in
responding to and participating in future proposals for professional
formation.
A rst requirement, clearly, is an ecological and political awareness,
the necessity for all educators to be aware of the factors beyond their
institutions which constrain, steer or facilitate their practice. This
requirement, underpinning the whole thrust of this book, suggests a
need for awareness beyond the local and the national right through
to the global. But it also requires a professional self-consciousness, an
understanding of how professionalism has changed, and how the role
of professional educators needs to change in the future as well. Table
10.1 illustrates how societal views of professionals have changed
during the last 50 years, from ones of high trust, peer-based
accountability, and mystique, where considerable autonomy and
discretion were exercised, to a kind nowadays which is predominantly low-trust, based on extensive external quantitative accountability,
and limited professional discretion.
Part of this has been due, as Marquand (1997: 141) suggested, to
neo-liberal views which have seen professionals as little more than

Table 10.1 Changing views of public sector educators
Welfare state
Neo-liberal/New
modernisers
Preferred
future?
Internal/external
accountability
peer
external
mixed
Accountability
based on
values and peer

judgement
process and
output
values, process
and output
High/low trust
high
low
high
Trust based on
values and
mystique
external audit
values and
open practice
Technical/Critical
knowledge base
technical
technical
mixed
Prof. discretion/
External direction
high discretion
external
direction
earned
discretion
market distorting cabals of rent seekers, engaged in a collaborative

conspiracy to force the price of their service above their true market
value. Yet despite the fact that Reagan and Thatcher shufed off the
political stage, the professional position did not improve signicantly
under the New Modernist, Third Way regimes of Blair and Clinton.
Indeed, as Fergusson (2000: 208) argues, New Labour is actually
much more interventionist and considerably more managerialist.
Moreover, by moving from a former norm-referenced emphasis on
comparing performance between institutions, to a criterion-referenced emphasis on performance to externally dened targets and
benchmarks, the impact on teachers has been even more marked,
more stressful. Nevertheless, while the style may have changed, the
substance has remained much the same, and the impact, if anything,
has intensied. Such third-way regimes then continue at least in part
to accommodate a continuing dominance of neo-liberal premises,
derived from wider global economic notions.
This continuing low-trust culture led to what Power (1994: 38)
called an audit explosion, which not only stresses the measurement
of professional work by external quantitative measures, but emphasizes a shift to administrative control, where professionals are there,
as Pollitt (1993) suggests, not to be on top in autonomously deciding
how their practice is best used, but instead to be on tap to
managerial strategic decisions. In the process they service a mindset
which asks not is it true? but is it useful?, and where educators

committed to the pursuit of truth become, in Parkers (2001: 139)
terms, no more than court jesters who live out their professional
lives being noisy, but largely ineffectual.
Despite this situation, it is pointless and unhelpful to hark back to
some fondly remembered good old days. Such days may have been
good for professionals, but they were much less good for others who
depended on their service, as the mystique and protection afforded
by professional peers all too often left clients powerless, ignorant and
dependent. To suggest then, that trust can be regenerated by a return
to the past is both quixotic and unhelpful. If trust is to return it will
be by recognizing those factors which placed professionals in the
situation they currently nd themselves and by addressing them. And
that, I suggest, means in part a very urgent need for a professional
transparency, openness and accessibility to the public, and to a wider
educational role than has formerly been conceived. This then points
to two more professional requirements.
A second requirement, if such professionalism is to be grounded in
a service to the public and the local community, is for educators to be
much clearer and vociferous in espousing a notion of the public good.
As argued in previous chapters, this requires that education be seen as
more than a private consumable item, and what Hirsch terms a
positional good, but instead needs to be seen, as Grace (1994: 214)
argues, as a public good which develops a moral sense, a sense of
social and fraternal responsibility for others. This is closely linked to
the need to develop notions of social citizenship, and to the argument
that a publicly provided education is one of the foundation stones for
a welfare state which provides people with the abilities by which to
engage on an equal footing with others, not just in the competitive
race of life (which is essentially the Third Way vision), but which is
also part of a cooperative project, aiding all in contributing to the
building of a better society, and which actively redresses societal
inequities. This means that not only should educational leaders
recognize the political context within which their work is encompassed, but that they should more actively engage with it. Not
only do professionals need to situate their work within an ecological
and political awareness; they need to critique changes in this context
in the light of the kind of educational vision they are trying to achieve.
This leads directly into a third requirement, for perhaps the most
inuential ecological force directly impacting upon professionals at
the present time is the form of accountability which is exercised over
their practice. This, as already described, is one which is normally an
external, quantitative and low-trust form of audit, which attempts to
replace public trust built upon mystique with one based on quantitative transparency. Yet we have already seen how such approaches,
linked to systems of targets and performativity, not only generate
poor morale in those made so accountable, but also fail to be fully
transparent because they fail to understand, appreciate, value or
encourage other aspects of professional practice which make this
practice successful. A third professional requirement, therefore, is the
development of an extended, proactive and reexive accountability. This
recognizes that forms of accountability are a product of, and
contribute to, the ecology within which professionals practice.
Professionals must recognize that because global and national contexts, as well as perceptions of their own practice, affect the kinds of
accountability they face, they must not accept that accountability is
something simply done to them. Instead, they need to proactively
work towards new forms which display how current ofcially
neglected aspects of professional practice are essential to a rich
conception of education.
Current forms of accountability are predicated upon two models.
One model is driven by the market and the search for nancial
efciencies, and is underpinned by what Broadbent and Loughlin
(1997: 37) call two assumptions of accounting logic: (i) that any
activity needs to be evaluated in terms of some measurable outputs
achieved and the value added in the course of any activity; and (ii)
that it is possible to undertake this evaluation in and through the
nancial resources actually received.
The other form of accountability is driven by standardizing and
controlling agendas, and this book has shown that current accountability is not only steered by governments wishing to satisfy the
demands of the market, but by other state-sponsored imperatives
such as its need to bolster its own legitimacy which also require
control of professionals work.
The overall result is what Power (1994: 89) describes as Style A of
audit. This, as shown in Table 10.2, is a quantitative, low-trust
single-measure approach using external agencies. It asks for distilled
judgements within simple reassuring categories, which allow governments to claim effective functioning, both for themselves and for the
institutions being audited. It also enables them to identify where
blame can be located. Power believes that the best approach may be
one marrying Style A with Style B, rather than simply seeing them as
in opposition. As in all things, he suggests (1994: 9), the key is to
achieve a balance and compromise.
Yet, given the different kinds of drivers mentioned above, there are
many pessimistic of such internal/external compromise. Jary (2001:

Table 10.2 Two different styles of audit
Style A
Style B
Quantitative
Single measure
External agencies
Long-distance methods
Low trust
Discipline
Ex-post control
Private experts
Qualitative
Multiple measure
Internal agencies
Local methods
High trust
Autonomy
Real-time control
Public dialogue
51) for instance, concludes that the general exigencies that are
driving audit will continue to sustain Style A audit and preclude any
widespread move to Style B.
Nevertheless, there is some reason to believe that richer forms of
audit, more extended versions of accountability, might be achievable.
Misztal (2001), for instance, points to management theorists who
argue that if organizations are to be successful in the knowledge
economy, they need to generate greater creativity, teamwork and
problem-solving, and that this entails a more extensive sharing of
information within a atter organizational form. As she says the
organisation of the future is interested in fostering trust among its
members and partners because it is recognised that centralised
bureaucratic control is too weak, too costly and incapable of
performing in a new competitive environment where cooperative
relationships are the main sources of productivity gains (2001: 26).
There is also evidence that governments, even those reluctant to
relinquish control, are inuenced by such dominant private sector
ideas, and therefore may be encouraged to adopt a mixture of types
A and B accountability. Nevertheless, it is important to recognize, as
Power (1997: 1456) argues, that governments work within political
climates, and therefore such institutionalised capability for evaluating audit which avoids reproducing the very problems it is intended
to solve could only be created by a condent society. This would be
a society capable of knowing when to trust, and when to demand an
audited account [emphasis added].
How, then, does one go about creating a society knowing when to
trust? Part undoubtedly comes from a private sector eager to
encourage such practices; part also comes from an ofcial sponsorship. But part must also come from those who wish to be trusted. So
a fourth requirement of professionals is for a deliberate move towards

constituency building. This is in part a need for public sector professionals to build support for their practice by involving and educating
those stakeholders around them in the nature, purpose and constraints of their job. This clearly aligns with a focus on a transparency, openness and accessibility of accountability. But it is also a
move towards three larger political objectives.

One is the encouragement within the profession and beyond for

support for a public sector vision and a healthy welfare state.
A second is the belief that such a constituency has to be one

dedicated to more than just the support of educational practice;
this constituency must consist of all those with a shared vision of
a public sector.
A nal objective is the building out from a vision of such a role

for education, and this vision for a public sector, to a vision for
society as a whole, one in which members understand the
ecology of forces surrounding, steering and constraining their
own existences and that of their society.
Such sharing, joint support, and consciousness-raising makes the fth

requirement for educational leaders an essential for any society.
Discarding the belief in the justiability of a profession built on
mystique, and moved towards the acceptance of a profession based
upon transparency, this entails epistemological change as well. If
professional educators previously thought that they alone possessed
the truth of their practice, as they alone were the experts, so now,
with the recognition of the need to listen to others, they need to
embrace an epistemological provisionality a requirement to be suitably
humble about their own capacity to know any nal answers, and to
recognize that others have signicant input here, and not least those
normally described as clients. Yet this transcends professional
knowledge, and the needs of education. As argued in previous
chapters, such embrace of epistemological provisionality helps to
counter both corrosive relativism, and dogmatic and uncritical
fundamentalism. Professional educators then need to embrace such
provisionality not only in pursuit of a better understanding of their
own practice; they need to be at the front of a movement which
recognizes and counters contrary but mutually dangerous tendencies
of relativism and absolutism in society. Ultimately, this position
needs to be one not only for educators and other professionals, but
for society as a whole.
A sixth and nal requirement follows from all that has been
discussed previously. More than ever before, professional educators
need a much greater professional self-reection. They need to appreciate
the contexts within which they nd themselves, debate the purposes
of their profession, and the balance between those purposes, and then
interrogate these in the light of the requirements above. This calls for
a degree of professional self-knowledge and self-reection which,
under the current strain of work intensication, is all too absent. Yet
upon it depends in large part the ability to make a difference to
education, and indeed in the long term to society at large. If
professional education means anything, it means an awareness of
these issues and the ability to debate them. Such education should
begin in the induction stages, and continue as an integral part of
educators continuing professional development. It should be a
critical part of any leadership education, for such leaders frame and
steer the context within which their fellow professionals work. If they
fail to keep this as a constant mirror by which to interrogate the
long-term validity and use of their practice, what hope has the rest of
the profession? Yet, if one looks at the materials of any of the national
initiatives for school leadership, such awareness is sadly lacking. One
could be polite and believe that this is simply an oversight, that the
press of day-to-day work, and of the medium-term management of
institutions, attract so much attention that this longer-term issue is
simply neglected. If this is the reason, then it says little for the overall
understanding or commitment of educators and policy makers to
debate ultimate purposes. If, on the other hand, it is simply because
educational leaders think this unimportant, and policy makers remain
happy to reassure them in their lack of commitment, for they can
perform the simple matter of deciding such ultimate purposes, then
we already have a situation where educational leaders are shorn of
any proper leadership. They will be hardly worthy of the name, for
if they are incapable or fail to articulate what education is for, they
fail to be leaders, and become no more than servants of the powerful.
Conclusion
Educational professionals are at an important crossroads. Given the
kinds of global pressures, national government aspirations and
professional compliance, many retreat into the antithesis of globalization the retreat to the parochial and insular, in the hope that at this
level, true meaning, personal identity, enriching relationships can be
found. There is some sense in such movement, in that much of the
essence of the human is to be found in the personal, and it is at this

intimate level that such relationships are likely to be realized. Yet
ignoring the powerful doesnt make them go away; it just provides
them with even more room and power to exert their effects.
Whatever level individuals retreat to in search of ultimate spiritual
support, larger national and global forces are ignored at their peril.
And for educators, having accepted the responsibility of helping
others in facing the demands of today and tomorrow, there can be no
greater abnegation of such responsibility than to do others bidding
without questioning whether this constitutes what they believe to be
good education.
As argued above, this does not mean returning to a previous period
where professionals believed that it was their right alone to dene
such issues: the professionals responsibility is to add their voice in a
larger dialogic project. Professionals do have their understandings
and expertise to share, and they should not be shy in declaring these;
but they need to recognize other understandings, others expertise, in
a societal-wide debate on what is needed to improve what exists.
The professional requirements outlined in this chapter are a rst
step towards this realization. An ecological and political awareness
allows professionals to understand the context in which they nd
themselves and their society; espousing a notion of a public good
allows them to raise their sights, and that of fellow societal members,
above the level of the self-gratifying consumer to this larger project.
The call for an extended, proactive and reexive accountability requires
that they see accountability as more than something external done
to them, but as something they can and must feed into, not only to
make their own lives more tolerable, but in order to provide
non-educators with a better appreciation of what they, the professional educators, should be aiming to achieve, and what they need to
do in order to achieve this. To realize this objective, however, they
need to be involved in constituency building, which is more than
simply cultivating allies in the pursuit of a more fullling occupation,
but is instead the building of a community which recognizes the
global and national context within which all work, and upon which
all need to cooperate if they are to have signicant input. Such
cooperation, such acceptance of the need to listen to others, requires,
but also produces an embrace of epistemological provisionality, which
also reduces the tendency for some to claim relativist or absolutist
positions. Finally, professional self-reection does not mean an appeal
to introversion, but precisely the opposite, for greater self-knowledge
is only possible where the person is situated within contexts and
when the impact of such contexts is appreciated. By specifying this
last, then, we return to the rst requirement to be aware of and

understand the ecological and political context of professional practice.
Given these conditions, what kind of educational leader is required? This book began by stating that it did not wish to become
involved in disputes over denitions of leadership, but, nevertheless
argued that some denitions actually constrained and steered the
actual practice and, in so doing, intensied the pressure on leaders.
So there are occasions when awareness of ofcially sponsored models
is not only useful but perhaps even vital, for such models also form
part of the ecological context within which leaders work. And
similarly, the nal call to professional self-reection demands that
leaders contribute to their own ecology by arguing for particular
practices, particular models of leadership. This book, then, concludes
by examining a number of educational leadership models and asks:
given the situation that education nds itself in, what model should
be the one that educational leaders adopt and recommend to others?
11
Models of educational
leadership
The last chapter argued that due to current pressures on educational

practice, educational leaders needed to embrace the following requirements as integral to their role:

An ecological and political awareness extending beyond the

institutional and local, to the national and global.
The espousal of a notion of public good, drawing people beyond

the personal and consumerist.
A proactive and reexive approach to a rich and extended version

of accountability.
The building of constituencies with others, professionals and

non-profesionals, to develop extended partnerships not only to
improve professional practice, but society in general.
An embrace of epistemological provisionality, not only as a

reection of humility in such partnerships, but also as a counterweight to moves towards absolutist and relavist views.
A continued need for professional self-reection as the interrogation and understanding of practice within larger contexts.
It was further argued that not enough attention was being paid to the
policy and economic context within which educational leadership is
practised, and that the nature and gravity of the challenges which this
book has discussed might not be fully appreciated. Wright (2001)
provides support for this position in the UK in arguing that the
economic and political climate has effectively reduced the ability of
school principals and other educational leaders to transcend matters
of government policy, their own values and preferred practice being
submerged beneath a deluge of managerialist rhetoric, paperwork
198
Models of educational leadership 199
and legislated practice. Ball (1999) has adopted a similar position in

arguing that much school autonomy is little more than rhetoric,
where greater local management of nance is effectively negated by
what it can be spent upon. Contrary to such a position has been
research by writers like Day et al. (2000), Moore et al. (2002), and
Gold et al. (2003) which suggests that while external forces continue
to impinge upon educational leaders values and practice, the best
practitioners nevertheless still nd it possible to retain and practice
their deeper personal values as Moore et al. (2000: 178) argue, a
conscious eclecticism at its core. Indeed, and as one principal said
(Bottery, 1998: 24), his attitude to legislation was one which ran from
defy through subvert to ignore, on to ridicule, then to wait and see, and
in some exceptional cases to embrace.
Yet it is still likely that an incremental assimilation of thought and
practice to current managerialist norms is likely to occur particularly by those principals whose schools, for one reason or another are
the subject of constant inspection, who are not so mentally agile or
ethically driven, or who are inclined to pragmatism or entrepreneurialism. Fergusson (1994: 213) suggests that an acculturation then
takes place, where educationalists come gradually to live and be
imbued by the logic of the new roles, new tasks, new functions . . .
in the end [they] absorb partial re-denitions of their professional
lives, rst inhabiting them, eventually becoming them.
It may well be then that there is a spectrum of accommodation,
from those who do become largely cyphers for current government
thought and suggested practice, to those who are able to stand back
and continue to deliver their own view of what good education is for.
Yet it is likely that the ends of such a spectrum are unrepresentative
of the profession as a whole. Common sense suggests (and much
research agrees) that much practice is a pragmatic compromise
between personally held views and external pressures. Nevertheless,
the evidence which began this book indicates that even this pragmatic
compromise may be failing as increasing numbers of leaders come to
view the job as simply too onerous.
In the light of this evidence, and in the light of the leadership
requirements detailed above, it is important to interrogate a number
of different leadership models and ask how likely they are of being
capable of responding to such pressures, and how well equipped they
are to take on the requirements listed above. This nal chapter will
interrogate ve such models:
1 The opportunist.
2 The corporate implementer.
3 The instructional leader.

4 The moral community leader.
5 The ethical dialectician.
The opportunist
Of all the leadership types, the opportunist is the most free-oating,
the most de-contextualized. This is in part because such leadership
does not exist as an objective phenomenon: it is in large part a
construction by individual leaders themselves. Such leaders have
drive, ambition and actively shape our interpretation of the environment, the challenges, the goals, the competition, the strategy and the
tactics (Grint, 2000: 4). They are very contextually and politically
aware, even if they do not identify with this context, for they try
instead to persuade others that their interpretation of the context, and
of the manner of dealing with it, is the correct one. Opportunist
leadership, then, is a personal, interpretive affair, a leadership built
on a leaders artistry in the creation of a leadership persona, and the
function of an organization under such a leader would be a similarly
individualistic creation, founded upon the leaders strategic vision,
created as a painting rather than a photograph. Of course, while
vision is a critical skill of such a leader, it is a personal vision, and is
not necessarily one which furthers the good of others.
However, opportunist leaders, as Grint argues, do have other
interesting qualities, for to achieve such personal visions, opportunist
leaders must be master tacticians, individuals better envisaged as
martial arts experts than as mathematicians, because there is an
inherent indeterminacy of outcome which such leaders must surmount, an indeterminacy they might actually encourage, condent as
they are in using a uidity of situation to establish the primacy of
their version of reality. And others may well follow this leader
because of another of their arts that of persuasive communication,
the ability to induce belief in a world painted by words and props.
Such leaders, then, are highly individual, very idiosyncratic, their
success resting not only upon what ends they are trying to achieve,
but on how they achieve them. Ethical considerations do not
necessarily intrude too far in their contemplation of either means or
ends, so if education is seen as an activity which needs to be
underpinned by ethical considerations and different value perspectives, then an opportunist whose major motivation was one of
self-advancement would hardly be educationally desirable, even if
there must be some educational leaders who t this bill very well.
Furthermore, if the opportunist leaders vision is so personal, it might
well be asked how such a person could be trusted to deliver a vision
of a public good, or build a wider constituency towards such a vision.
Finally, present educational policy contexts leave limited room for
such a highly individualistic, non-bureaucratic model. Given strong
direction from the centre, and the degree of surveillance currently in
evidence, the permissiveness needed to allow such individual artistic
creations to succeed seems unlikely. Having said all of this, their
contextual awareness, their ability to paint a compelling vision, and
their mastery of strategy, make these formidable individuals, and
there are no doubt some who do manage to reinvent themselves in
ofcially favoured garb in order to survive and prosper. The conclusion must probably be that while ethically unpalatable, they may
have qualities of which the more ethical might need to take note.
They are likely to be survivors, and that seems no bad thing to be.
The corporate implementer

For some, the corporate implementer is that species of leader who is
hardly worthy of the name. This is the individual who, unlike the
opportunist, has no nal goals, no picture to be painted, except in the
most limited sense, for the subject of this leaders picture has been
painted elsewhere, and it is his/her job to realize this vision. Their
epitaph might well be: I did what I was told, and I did it extremely
well. In England, much of the literature would describe them as
managers rather than leaders, in the USA as administrators. In both
countries they would be seen as having transactional skills, but
lacking the vision to transform a situation. Others would say that this
underestimates what the corporate implementer does. After all, was
not the subject matter of some of the greatest paintings dictated by
others to the artist? And if the task is to implement a vision, might
not this involve many of the tasks of the opportunist or the
community leader? Is it not likely that the corporate implementer will
have to inspire others to believe in this (external) vision in order to
motivate them? Will not this individual need the strategic skills of the
martial artist? May they not need to be master persuaders, especially
if this external vision is not to the liking of the teaching force? And if
they have to implement external agendas curriculum requirements,
performance targets, personal appraisals do not these skills all
apply? It will help, of course, if those who are to be the follower/
implementers are clear in their role as lower-grade members of a
hierarchy whose job is to follow a vision and then implement an

external agenda. They need to be empowered, but such empowerment is carefully circumscribed in its scope. As Murgatroyd and
Morgan (1992: 121) argue:
What a team or an individual is empowered to do is to turn
the vision and strategy into reality through achieving those
challenging goals set for them by the leadership of the
school. Individuals are being empowered in terms of how they
can achieve the goals set, not in terms of what the goals might
be. [emphasis added]
Corporate implementers and their followers, then, are people whose
professional parameters are very carefully specied. A variety of
critical literatures suggests that this has been the position for quite
some time and the DfES document which began Chapter 10
suggests that it remains the key model for many in government.
Glatter (1999: 263) also suggests that currently institutional leaders
are seen as conduits of government policy; Wright (2001: 280)
similarly suggests that Leadership . . . is now very substantially
located at the political level where it is not available for contestation,
modication or adjustment to local variations. And work by Hargreaves (2003) and Gronn (2003b) suggest that this is not just a
problem for the English.
So why would such followers accept such leadership? They may on
occasion be seduced by the corporate implementer who can sell
them this vision, by a calculated persuasion and rhetoric similar to
that of the transformational opportunist; but essentially they will be
persuaded not by educational or moral visions, but by a managerial
system built around systems of legislative dictation, target setting,
external and internal surveillance, and by a professional development
system built around the reward of the individual through compliance
with such dictation and the achievement of such targets. Its moral
basis lies in the claim that because governments are elected on
democratic mandates, they deserve the right to direct and dictate, and
it is the duty of teacher-implementers to comply. This kind of
approach has little time for the literature on the need for bottom-up
mediation and interpretation of policy (for example, Parsons (1996),
Fullan (1992)), or for the need to address the concerns of lower levels
in this system. Bluntly, it sees lower level employees as implementers
of wider policy aims, and because this approach is hierarchical in
nature, it has great potential to frustrate the development of a
distributed leadership beyond those ofcially appointed. Further-
more, it can be a soul-less, mechanical version of education for both

leader and followers, and is probably a strong contributory factor to
the widespread crises in teacher recruitment in a number of countries. The message from such statistics seems clear: the model of
leader as corporate implementer fails to motivate, and those practising it or those on the receiving end are likely to be victims of value
conict, stress, overwork and burnout. Crucially, as Day et al. (2000)
point out, this is what those advocating hierarchical, control-oriented,
transactional forms of leadership for schools seem not to understand,
for as they argue:
There can never be enough rules to ensure that those we do
not trust do the right thing. And as rules are added to
prevent more and more anticipated future diversions from
the right thing, we inadvertently constrain people from using
their problem-solving capacities on behalf of the organisations purposes. (2000: xv)
Its greatest danger, however, is that on so many of the leadership
requirements listed above, it would have no voice. It need have little
ecological awareness, for the wider social and political context is
taken as a given, one which must be worked within rather than
critiqued; it would only espouse notions of public good, and build
constituencies towards this if these were ofcially prescribed, and it
would see no need to build towards a proactive accountability, for the
form of accountability would be unquestioningly accepted as that
which was given by those in authority. And nally, given its
acceptance of hierarchy and authoritarian commands, it is predisposed to absolutist rather than provisionalist views of knowledge. It
is a model which might satisfy the short-term aims of some policy
makers, but continues to be disastrous in the achievement of a rich
and diverse educational system.
The instructional leader

Change is slow in coming. Most centres for developing leaders have
concentrated, not unsurprisingly, on the pragmatics of leadership
the setting of directions, the development of people and organizations, and all within fairly predictable and functionalist frameworks.
In the UK, for example, the initial prospectus for the National College
for School Leadership (DFEE, 1999) was written very much in
corporate implementer mode. The opening paragraph made it clear
that the intention was to provide a coherent national training

framework for headship so that all heads have access to high quality,
practical and professional training at every stage of their careers.
This, and the following pages, emphasized that this framework was
about training, about practical issues, and about the enhancement of
skills. There was little here to suggest that leadership need be
concerned with moral compasses to interrogate questions from the
community, the society, nor from global pressures. There was little
focus upon the developing education of the leader.
Nevertheless, there have been a few indications of change. The UK
publication, Schools Achieving Success (DES, 2001) acknowledged the
possibility of teacher overwork, of unnecessary bureaucracy, of
insufcient exibility in curricular provision, and of the need for
leaders to provide a personal perspective on the development of their
schools. It was now believed that the evidence shows that schools
with a distinct identity perform best, with the ethos acting to motivate
staff and students across a wide range of subjects and activities,
improving teaching and learning (2001: 38, para. S.3).
The UK National College for School Leadership (2001: 3) also
seemed to be adjusting its ground when it argued that leaders who
are capable of transforming their schools are driven by a passionate
commitment to a set of educational and moral values; they need time
and opportunity to explore and test their values so that they can act
consistently and with condence in the school workplace.
Moreover, it initiated a series of think-tanks to establish the kind
of educational leader that was required, the kind of issues that needed
to be addressed, the kind of research needed to be covered. A key
document here was the Think Tank Report to Governing Council
(NCSL, 2001) which came out strongly in favour of what was
described as an Instructional Leader. Such an instructional leader
was committed to the idea of the school as centrally concerned with
learning and instruction for all, and with an ability to exibly
implement in the light of the particular context. Such a leader, it was
claimed, needed to be infused with a moral purpose, the reason for
this being the vital importance of closing the gap between the highest
and lowest achieving students and to raise standards of learning and
achievement for all (2001: 8).
This, we were informed, was the contemporary moral purpose of
school leadership. It undoubtedly was a development beyond the
corporate implementer, and now followers were permitted even
required to have a moral purpose to their work, one of providing
students with core learning abilities, a focus combined the mission to
ensure that this was every students entitlement.
Yet while this was a development, it still left a number of questions.

For a start, this seems a circumscribed and second-order moral
purpose: essentially, it does no more than ensure that more students
achieve standards set elsewhere. There is little here about plurality,
diversity, discussion of varieties of the good society, of the good life,
or of different ways of achieving this nor of the leadership of such
schools as being major players in participating in such wider moral
and educational aims, nor of their developing such a vision with their
colleagues. While it is encouraging to hear talk of moral purpose at
last infusing educational leadership, it remains a very limited purpose.
Moreover, such limitations to its vision were also to be seen in the
belief that such an organization was there, above all, to prepare its
learners (and this includes not only students, but staff, and possibly
the wider community as well) for a future in a knowledge society
where the exibility of learning how to learn was the critical skill.
Such instructional leadership, then, is based within the wider
paradigm of the learning organization and the learning society.
Substantial comment has already been made on the possible limitations of a learning organization, and on the increasingly fashionable
learning community, and in terms of a learning society, the rhetoric
is also very familiar. Ransom (1998: 86), for instance, suggests that
such a society is one transformed by economic, social, cultural and
political changes, where the production of knowledge and information increasingly supplant manufacturing and industry, and where
society must therefore be viewed as having learning as its organizing
principle, where the instructional leader is a natural educational
gurehead. Some of this is fair enough: we do live in an age of rapid
change, where exibility, adaptability and the ability to learn how to
learn, are essential survival skills, and where the ability to provide
them to students of all ages is going to be a critical leadership quality.
Nevertheless, there must be the worry that learning once more
becomes a non-problematized term, where the job is to learn how
rather than why or for what, and where the critical question is not
is it true but is it useful? This suspicion is strengthened when
writers like Hopkins et al. (1994) argue that school improvement, like
the human condition, is largely about problem-solving. Really? Is the
human condition and school improvement to be predominantly
concerned with and resolved by an ability to solve problems, rather
than with a wider and richer appreciation of social, cultural, religious
and ethical issues, with a concern for debating what is a good society,
and what place education might play in these? As Masschelein (2001)
argues, going down such a problem-solving/learning route has the
potential to make education no more than a technical-rational

exercise, where ideological superstructures (such as that the human
condition is largely about problem solving, or that the primary
function of schools is to provide its students with the problem-solving
skills to work within a capitalist knowledge economy) are kept off the
agenda. Would this not impoverish the mission and value of a school
and of educational purpose?
It is reasonable to believe, then, given the description of the policy
context above, that this model is still largely driven by the political
and economic discourse of global capitalist agendas, and where the
role of government is to adopt strategies ensuring that all students are
provided with the problem-solving skills to become members of a
national workforce competing on a global stage. We do not seem to
have come very far from the views of David Blunkett (1988), who
when Secretary of State for Education, asserted in the Foreword to
The Learning Age that
Learning is the key to prosperity . . . investment in human
capital will be the foundation of success in the knowledge
based global economy of the 21st century . . . Learning
throughout life will build human capital by encouraging the
acquisition of knowledge and skills and emphasising creativity and imagination . . . The fostering of an enquiring mind
and the love of learning are essential for our future success.
This is no selective quotation: it formed virtually the entire introduction to a key political document. There must then be concern that
such driving forces continue to have their effects upon the conception
and creation of this leadership model, and that the result is a narrow,
rather rigid instructional leader, whose function dened largely
from above is the paradoxical one of constructing an inclusive,
exible, adaptable workforce, within tight economic/skill parameters.
Yet a genuinely extensive denition of an instructional leader would
embrace the following viewpoints:

that learning is not so much about delivery, or even about the

solving of technical-rational problems, as an acceptance of the
non-linear nature of much thinking;
that learning must at least in part be concerned with an

experimentation of thinking which does not have pre-dened
end-points;

that a proper conception of the subject matter of learning is not

restricted to the politically pragmatic and the economically
essential, but must transcend such concerns and embrace the
broad, rich and varied;
that a proper conception of learning is one which not only adapts

central directives to local situations, but which accepts the
location and ultimate meaning of much learning and development
as being within and for personal and local situations;
where it is accepted that a sign of societal health is one where

learning is viewed as potentially subversive of existing views, for
a reexivity of learning may well lead to a criticality of existing
frames of reference, of organizational structures, and of economic
and political contexts.
There was some movement in 2003 with the recognition in the

NCSLs Annual Review of Research of the need to appreciate the
context of leadership and of developing innovative and leading edge
thinking, signalling perhaps policy makers recognition that instructional leadership needed to entail less central direction, more
tolerance of new strategies that did not produce immediate results,
and were evaluated in other than purely instrumental terms. Yet, at
the end of the day this does not actually develop leadership beyond
instructional preoccupations, and it remains a long way from sponsorship of the kinds of leadership requirements which began this
chapter.
The moral community leader

A more appealing model, perhaps, is the moral community leader of
the sort depicted by writers like Serglovanni (1996), or the servant
leader variation suggested by Greenleaf (1977), both of whom believe,
as Greenleaf says, that if we are to have a more moral society, then
moral man [sic] must also care for institutions (1977: 53). Such a
person is in most ways the antithesis of the opportunist, for this
leader, rather than inventing an image, and constructing a persona
calculated to appeal to followers, instead sees the school as a
community, and embraces and reects back the core educational and
moral values of that community. School life, then, is dened at its
core as the public celebration of certain values, and it is the leaders
role to articulate and provide leadership in the attempted resolution
by the school community of those problems that are dened by such
educational and moral values. As Sergiovanni says (1996: 15), For

schools to work well, we need theories of leadership that recognise
the capacity of parents, teachers, administrators, and students to
sacrice their own needs for causes they believe in.
For those who hold similar educational and moral values, then, this
will be a good place to work, for they will have leaders who articulate
what they know to be good education. Members of such communities
are likely to be empowered and committed, as they will feel that they
are backed by someone who thinks and feels the same way they do.
Such school communities, as Bryk et al. (1996) and Bryk and
Schneider (2002) have found, are likely to be tightly focussed, have
high self-esteem, and may also produce strong academic results. In a
number of ways, this model of leadership might also t current policy
demands rather well. There is, for instance, a clearly perceived
concern at policy level for measures to counteract what is perceived
as a general community decline, and writers like Etzioni (1993, 1997)
and Putnam (2000) have been taken extremely seriously by politicians
on both sides of the Atlantic, as they have advocated a greater
emphasis on individuals responsibility to their community, and of
the need for the generation of social capital, the relationship glue
that binds individuals in communities together, as well as many of the
elements of trust covered earlier. They also t some of the leadership
requirements listed above. They clearly rise above the personal in the
search for the building of a constituency which builds values and
support between people. Moreover given the strong commitment to
a particular set of values, they have a moral grounding which enables
them to critique external policy and which leads them to an
awareness of the political and social context which impinges on their
values. Given such awareness, they are likely to want to argue for a
form of accountability which recognizes and celebrates the values,
knowledge and practices which they as a community value. These are
all very hopeful signs for the development of a viable leadership.
Yet such conceptions have potential downsides. A leaders ability
to rise above the personal to embrace the communal cannot remain
at the local, and the prosecution of such local community values
then needs to be tempered by a recognition of such larger purposes,
and there might then be real tensions between such communityfocussed schools and nationally stated polices, which such community leaders might fail or be unwilling to mediate. Further, given the
extremely strong hold over policy direction that many governments
currently practise, considerable community variation may be difcult
to tolerate, particularly if such attention displaces a concern for
academic results. A nal concern is that, as already pointed out, a
community that espouses certain values excludes as well as includes,

and by creating versions of thick trust, and by insulating the next
generation from understanding others of different background, such
communities might then actually work against the development of
thin trust, and a national or even global sense of community.
Ultimately, public good has to transcend the parochial, and there is
real potential here for the pursuit of the larger public to be lost in the
pursuit of the smaller communal.
Greenleafs (1977) Servant Leader is also likely to encounter
problems. This is the kind of leader whose rst question is what can
I do for my students, my teachers, my community? and then makes
their betterment and their development his/her driving passion. The
danger here is that such a leader may then see the function of the
organization as the realization of whatever it is that its community
wants to achieve. This will be an attractive model to those who
similarly want to serve the needs of the school community, articulating as the servant leader does, their moral principles. Yet, once
again, a number of questions must be asked. What happens, for
example, when what a community wants is not what it needs? What
happens when what it wants is not ethical? Does the servant give
them what they want, even when he/she knows it is not what they
need, nor indeed what they should have? Further, what happens
when such local wants/needs conict with centrally-dened national
requirements? Greenleafs best test (1977: 1314) of leadership is to
ask the questions: Do those served grow as persons? Do they, while
being served, become healthier, wiser, freer, more autonomous, more
likely themselves to become servants? [original emphasis].
Yet these do not provide resolution, for if the judgement is that
their growth depends on giving them what they need rather than
what they want, it is difcult to see how this person is a servant leader
any longer. It is also difcult to see how such a model can t very
well with strong central direction. It is likely, then, that currently this
model has limited opportunity for realization: while some of its
moral aspirations would be welcomed by policy makers, many of its
more local concerns and parochial values would not t with a policy
direction which saw primary attention to local concerns and values
as an impediment to central direction. Perhaps more importantly, it
is likely that it would fail to meet the leadership requirements listed
above, for it is not clear that such reection of communal needs
would automatically include greater social and political awareness, an
enlarged vision of the public good, of the need to build a constituency
beyond this local community, or that it needs to be proactive in terms
of mechanisms of accountability. Finally, there are likely to be
communities committed to forms of absolutist knowledge which, by

followership criteria at least, the leader would have great difcult in
disputing. Perhaps the time has come for an ethical dialectician.
The ethical dialectician

Ethical dialecticians are individuals with an internal moral compass.
They know who they are, they are centred, they dont arrive at a
situation trying to work out what other people think they should do,
but arrive with a particular moral stance. In part this is why people
trust such leaders, for they may well share the same values, and
others will certainly have a good idea of how and why such
individuals will deal with particular situations. Yet such ethical
dialecticians dont drive through their vision with no regard to other
views. While being individuals with moral compasses, they are
sufciently aware of the ecological complexity of the external world,
and of their own personal and epistemological limitations, to know
that they need to listen to others, and to adopt a provisionalist
attitude to the world. They need to move from thesis to antithesis to
synthesis. However, as conditions change, or as a wider picture is
understood, their synthesis may be challenged, and they must engage
in a process of dialectic once more. This then entails much more work
than simply driving through their own or a governments vision; it
entails a willingness to put in the time to forge joint visions, and from
there to develop these into working realities. As Day et al., argue
(2000: xv) When we judge people to be principled, committed to a
vision we also value, to respect our contributions, and to be willing
to work tirelessly on behalf of our organization, we trust them to do
the right thing. Moreover, such a leader is capable of producing a
creative synergy with others because when a school gets to the point
where trust is mutual . . . then rules become largely unnecessary, and
the full capacity of the schools members can be unleashed on behalf
of its mission.
Such leaders work from within a strong ethical and educational
vision, yet they also possess considerable political and pragmatic
astuteness, for they need this to work outwards from a personal
vision of the school as community, towards one which is jointly
owned and increasingly articulated and transformed into a shared
public statement. Such leaders then acknowledge that communal
visions have to be worked towards rather than being thought of as
neatly packaged personal creations. As this is done, so a shared
purpose and a shared sense of trust are developed.
However, this combination of ethical vision and political and

pragmatic astuteness means that they also recognize the legitimacy of
demands beyond their community. Government have claims both
legislative and moral, and such leaders need to engage in a further
dialectic between their own shared understanding of what they
believe should be done and what the government of the day asks of
them, in the light of the facilitators or constraints which policy
parameters provide. There is, then, in the ethical dialectian, the same
recognition as with Grints (2000) opportunist leader, of the necessity
to recognize the social and political context, as well as the practicabilities and the achievability of particular projects at any moment in
time. However, with them, the ends are very different, as are the
beneciaries, for the ethical dialectian, unlike the opportunist, has a
moral compass.
Yet such dialectic does not stop there. Such leaders are ecologically
aware to the extent that they recognize that governments are not
necessarily the nal source of understanding: they too are driven by
demands, imperatives and claims beyond the national level, and may
well be in a position of mediation and interpretation, just as much as
the ethical dialectician is at the local level. This adds a further level
of dialectic to their task, for now they must engage in a debate which
asks of them to think through the effects, not only of local and
national but of global pressures as well. Theirs is a role of increasing
complexity and it would be all too easy to think it impossible, but
given an acceptance of personal limitations, but of an ethical compass
nevertheless, it does allow the ethical dialectician to accept that they
can only do the best that they can.
Leaders in some ways very similar to these were seen in the survey
carried out by Day et al. (2000) when surveying the characteristics of
successful principals. They too began from such internal compasses,
they too recognized the need to dialogue, they too recognized the
complexity and the need for the time to make best sense of a
situation. Yet there are reasons for doubting their full ofcial
espousal. One reason for such doubt returns us once more to the
question of trust. Day et al.s conception of trust is generated by
others recognition of leaders who are principled, who are committed
to a valued vision, who respect contributions, and who work
tirelessly to that end. In contrast, the governmental vision of trust as
articulated by Morris (2001: 26) is a colder, more limited beast: It is
important to trust our professionals to get on with the job. That does
not mean leaving professionals to go their own way, without scrutiny
we shall always need the constant focus on effective teaching and
learning, and the accountability measures described above. The
message here seems clear. Trust is limited in scope, and any exibility
in getting on with the immediate job will be determined by a
continuing battery of external accountability measures.
A second reason for doubt lies in the lack of partnership in this
statement: there is nothing within it to suggest that professionals or
their leaders might actually be consulted on the schools of the future,
or on the likely impact of national and global pressures on contextualized learning communities, or on the best ways of mediating such
pressures. There is, sadly, a great deal from previous experience to
suggest that the professionals job is to be merely one of putting into
practice decisions once more made elsewhere. To use an ugly but
fashionable term, current policies suggest a responsibilization of the
profession, but only to accept the jobs allocated to them, and to get
on with implementing them. So, nally, trust means only limited
permission in the deliverance of targets set elsewhere: it does not
mean trust to participate in developing or modifying policy based on
the dialectically developed moral understandings of a school community interrogating legislation in the light of local, national and global
circumstances.
In the circumstances, there must be real concern that many will fail
the tricky balancing act between the ethical and the pragmatic. Lipskys
(1980) discussion of the tensions facing the street-level bureaucrat, and
of the kinds of strategies adopted in order to maintain their idealism
while dealing with the practicalities of their work, seems very relevant
here. Some, he suggested, will be seduced by the practical, and may
nd themselves on a slippery ethical slope down to the cynical land of
the opportunist. Others, in order to maintain some vestiges of moral
idealism, will sideline the greater vision, and restrict their ethical
practice to particular instances and problems; and others, tragically,
will give too much of themselves and end up either downshifting to
more acceptable levels of pressure, or need time off on extended sick
leave, and from there to retirement. The problems of principal
recruitment, stress and early retirements which began this book,
support such an interpretation. A principled moral vision is essential to
the educational leader, and a process of moral dialectic is also vital, but
current policies of control as well as stresses from societal
fragmentation probably create such intense pressures as to prevent
the full development currently of an ethical dialectic model of
leadership. A policy orientation from the centre which acknowledged
the need for leaders to begin from an ethical centredness in the
moderation of central policy in order to meet the particular contexts of
educational problems, may need to be more centrally strongly endorsed
before the ethical dialectician is a genuine system-wide possibility.
Conclusion
If the leadership of educational organizations, and particularly that of
schools, is embedded within networks of regional, national and global
policy making, then acceptable and practical forms of leadership need
to interrogate such policy making. Leadership of a value-driven and
essentially moral organization needs to ask awkward questions about
the policy networks that facilitate, constrain or direct the work of
education. This chapter has argued that such questions have probably
not been asked enough.
This chapter has also suggested ve possible models of leadership,
while the book has discussed a number of policy contexts within
which to evaluate them. Clearly, any list of leadership models
described is not exhaustive, and there are also many different policy
contexts. Nevertheless, there is little doubt of genuine similarities
between policies in many countries. In particular, in the western
world at the present time, many governments are struggling to
energize populations to be more exible and creative, and there is
some small evidence that a few recognize the need for contextualization, trust and a moral purpose to educational activity. However,
most continue to be wedded to a vision of education and educational
leadership which constrains, even prohibits, such realizations. This
may be a case of a lack of joined-up thinking, but the consequences
for the achievement of such aims are likely to be extremely damaging.
While there may be some movement from the adoption of a
corporate implementer model of leadership to an instructional
leader model, mixed with a little of the moral community model,
this chapter has argued that the realization of an education system
which not only provides adaptability and economic competitiveness,
but which also provides a personally enriching and rewarding
education, lies with the espousal of the practice of ethical dialecticians. At their best, such leaders incorporate many of the instructional and the moral community leader traits, while transcending
both these and the corporate implementer through recognizing that
ultimately the process of education, and the institutions which deliver
it, have to be concerned with governmental agendas and their
delivery, but must also incorporate other communal and societal
concerns.
At their best, these ethical dialecticians take due cognisance
of the need for educational organizations to engage in national
endeavours delineated and organized by the government of the
day, but recognize that they have a responsibility to do much
more than this. Educational leaders also need to help individuals look
into themselves, to stand back from the demands of everyday life,
and reect upon how current circumstances and problems provide
new insights into who they are, into the nature of their mortality, and
into how values fashion and shape such reality to provide personal
meaning to their lives. As individuals recognize that their being is
fashioned by, dependent upon and responsible to others, so they
move back up through levels of concern: they transcend the personal
and reect upon their relationships with others, upon their rights, and
of their responsibilities to other individuals, communities and the
global society. A leader who fails to have such a moral compass is
very likely to fail to recognize and make central these other
educational requirements. It remains to be seen whether ofcial
conceptions can encompass and develop policies which deliver on
these concerns.
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Index
accountability 1913, 2112

accounting logic 85, 192
Age of Access 66
American globalization 413, 44
Anderson 144
AngloSaxon capitalism 567
Argyris 179
Arthur 156
Ashton and Sung 155
Asian tigers 85, 155
audit 190
Australia 13
Bush and Jackson 1

business corruption 623, 1145
Californian prisons 58
Campbell 63
Canada 12, 13, 24, 88, 133, 134
Carrington and Short 158
Casey 45, 174, 178
Castells 57, 58, 98
CatholicEuropean capitalism 567
character education 156
charismatic leadership 18
Chesterton 136
China 151
Chua 512, 58, 59, 136, 150
citizen consumers 745, 1513, 159
citizenship 60
Marshalls denitions 1467
citizenship education 1557, 15961
Clarke et al. 1545
Collins 103, 124
Commodication 5576, 85
Common Interest Developments (CIDs)
734
communism 56
community schooling 16974
consumerism 456, 5576, 82
contingency theories of leadership 16
control 7798
corrosion of character 31, 177
Council of Europe 157, 160, 161
Couzens 62
creative destruction 56
cultural globalization 357, 44
Ball S. 934, 168, 199

banal nationalism 1467
banking schools 1659
Banks and Banks 1312
Barber B. 71, 72, 79, 96
Barber M. 234, 323
Baron et al. 156
Bass 17
Bates 10
Bauman 65
Beck 57
Bewitched 64
Billig 1467, 150
Blackmore 15
Blue Skies 1857, 188
Blunkett 206
Bottery 19, 61, 62, 74, 83, 139, 156, 187,
189, 199
Bottery and Wright 187
Boulding 34
Broadbent and Laughlin 85, 192
Brown and Lauder 31
Brundrett 1
Bryk and Schneider 1134, 171, 208
Bryman 18
Burns 17
Davidson and Rees-Mogg 745, 1523

Day et al. 12, 16, 19, 90, 168, 203, 210,
211
deep support 68
225

Delors report 97
demographic globalization 379
designer leadership 31
developmental stage theories 66
disenchantment 80
disengagement 15
distributed leadership 1924
downshifting 15, 212
Drucker 46, 47
Dychtwald 37
EC 30, 40
ecological awareness 18990
ecological leadership 246
economic globalization 446, 50, 14850
economy as a dominant objective 7
educational objectives 6
Elliot J. 93
Elliot L. and Atkinson 57
England 24, 51, 102, 133, 1556
enlightenment project 61, 79
environmental globalization 35, 44
epistemological positions 12732
epistemological provisionalism 25, 129
31, 194
ethical dialecticians 25
Etzioni 208
Evans 13
Faux and Mishel 58
fear of freedom 31
Fenwick 1778, 179
Fergusson 190, 199
Fielding 10, 15, 176, 179
Fineman 45
Fink 88
Firat and Dholakia 72
Fishman 1456
Fitzgibbon 8990
exibility 48, 59
Ford, Henry 62
Fragmentation 5576, 86
Frank 33
Freire 166
Friedman 103
Fromm 31
Fukuyama 50, 105, 171
Fullan 12, 1516, 21, 23, 29
Functions of learning 97, 177
Fundamentalism 98, 1279, 1356
Gambetta 106
Gates, Bill 58
Gemeinshaft and Gesellshaft 1712, 173
Giddens 98
Glatter 202
Gleeson and Gunter 87
Globalization 2954
Gold et al. 12, 168
Grace 191
Gray 51
Green 29, 146
Greenleaf 207, 209
Grey and Garsten 104
Grint 200, 211
Gronn 13, 14, 15, 19, 20, 31, 202
groupthink 111
Gunter 124
Handy 14, 29
hard American power 423
Hargreaves A. 11, 24, 30, 57, 59, 76, 87,
88, 91, 95, 178, 202
Harris 1922
Hayek 103
Heater 1601
Held 150
Hertz 33, 75
Herzberg 91
hierarchy of needs 66
Hirsch 191
Hobsbawm 145, 146
Hodgkinson 1
Hofstede 29
Hogget 87
Hollinger 133, 134
Hood 149
Hopkins 205
hot-desking 31
hot styles of management 19
Huntington 39, 50
Hutton 56
identity, personal 13940, 1434
identity, political 14362
Ignatieff 138
inclusivity 172
intellectual capital 469
International Monetary Fund (IMF) 40,
44
Iraq 41, 43
irrationality of rationality 801
Index 227
Islamic resurgence 39
Italy 37
I-Thou relationships 70
Japan 37, 51, 158
Jary 1923
Jeffrey and Woods 91
Jihad 79, 96
job dissatisfaction 13
King Canute 60
Kipnis 108
knowledge economy 469
Kohlberg 66
Korten 33
Laabs 15
Lasch 151
Lauder et al. 97, 155
Leadbeater 48, 97
leaders, kinds of
opportunist 2001
corporate implementer 2013
instructional 2037
moral community 210
ethical dialectician 21012
leadership, labels 1619
meanings of 12
as a contextualised activity 2
learning communities 17983
learning organizations 1749
LeGraine 33
Leithwood et al. 2, 19
Levin 51
Lewicki and Bunker 109, 110
life expectancy 37
Lindblom 131
Lipsky 80, 178, 212
literacy strategy 95
Louis 1123
Luttwak 51, 56, 14950, 153
Lysenko 126
MacDonaldization 30, 49, 81, 96
MacMurray 171
maa 172
Marquand 18990
Marshall 60, 1467, 151
Martin and Schumann 152
Marx 44, 78, 814
Masschelein 205
Maslow 66
McCrone 145
Meier 116
melting pot mentality 132
Merton 80
Micklethwait and Wooldridge 19
Middlehurst and Kennie 121
Misztal 15, 45, 102, 193
Moore et al. 199
Morris 102, 186, 2112
Mr. Forgettable 1879
multiculturalism 1325
Murgatroyd and Morgan 202
Naisbett and Aburdene 151
nation, denition of 1445
nation state and education 30
NAFTA 30, 40
National College for School Leadership
(NCSL) 15, 10, 19, 2034, 207
Neef 46
nested citizenship 1601
New Labour 24
New Public Management 86
Northouse 16
Nye 42, 43, 44
objectivism 129
occupational closure 103, 124
Ofce for Standards in Education (OFSTED) 53
Ohmae 33
Osborne and Gaebler 148
Othello 113
overwork 14, 88
Ozga and Lawn 30
Palan et al. 50
Parmenter 158
performance related pay (PRP) 87, 172
performance training sects 87, 956, 136,
160
performativity 924
Peters and Waterman 62, 104
Peterson 38
Piaget 66
POEM and DNA 48
political legitimacy 30
political globalization 401, 44, 150
Pollard and Trigg 10
Pollitt 86, 87, 104, 190

Popper 137
positional good 191
power 190, 192, 193
pressure on principals 1213
professionalism 18597
Professionals and Trust 89, 102
provisionalism 12931
public good 34, 71, 191
public sector 45
Putnam 156, 208
Ransom 205
rationalization 789
of education 846
Reagan, Ronald 72
Reich 73
relativism 1312, 1368
research assessment exercise (RAE) 93
retirement 38
Rifkin 367, 58, 66, 73
risk 57
ritualism in bureaucracy 80
Ritzer 30, 31, 36, 49, 56, 77, 78, 79, 813
Rockefeller 135
Rorty 36
royal family 56
rules of good management 92
smallpox 35
Schorr 14
Schumpeter 56
Senge 1756
Sennet 11, 31, 59, 177
Sergiovanni 92, 1712, 2078
Shipman, Harold 107
Singapore 155
Sitkin and Stickel 111
situational theories of leadership 16
Sloan, Alfred 62
Smart 81
social capital 156
societal qualities 5
soft American power 423
Spillane et al. 19, 20, 23
state, denition of 145
Stewart 46, 47, 48
standardization 7798
street level bureaucrats 80, 178, 212
stress 14, 88, 92
strike 166, 173
style theories of leadership 16
Sweden 149
Tan et al. 155
targets 8992
Taylor F.W. 47, 78
third way approaches 148, 154
Tobin taxes 58
Tonnies 171
TQM 62
trait theories of leadership 16
transactional leadership 16
transformational leadership 17
Transnational Companies (TNCs) 40, 50
Transnational Organisations 30
Troman and Woods 13
trust 48, 10122, 193
developmental stages 10510
foundations of 1034
generation of 11820
levels of 11216
swift trust 1067
thick and thin trust 11618
turbocapitalism 51, 568, 14950
United Kingdom (UK) 1, 1011, 13, 51,
149, 1545, 158
United Nations (UN) 40, 41
United States 13, 24, 37, 413, 44, 50, 51,
52, 58, 823, 132, 145, 149, 156,
158
Urwick 62
Uslander 11617
Vedrine 42
Weber 30, 78, 814
Webster 115
Wilkinson 154
Williams 13, 15
Wittgenstein 125
Wolfe 135
World Bank 40, 44
World Trade Organization 40, 44
Woods 22
Wright 24, 168, 198, 202
Wurzburg 47
Yukl 1718
Zuboff 175
Zuboff and Maxmin 612, 63, 68, 70

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The Challenges of

Leading Teachers, Leading Schools

2004 Mike Bottery

PART 1 SETTING THE CONTEXT

4 The impact of commodication and fragmentation

5 The impact of standardization and control

PART 2 EXAMINING THE IMPACT

7 The impact on truth and meaning

8 The impact on identity

PART 3 BEGINNING A RESPONSE

10 Professionals at the crossroads

11 Models of educational leadership

Table 6.1 What happens when governments dont trust

Table 6.2 The possible trust relationships between different

Table 6.3 Re-establishing governmentalprofessional trust.

Table 7.1 The Meeting of Minds? Four approaches to

Table 9.1 Possible Varieties of Learning Communities

Table 10.1 Changing views of Public sector educators.

Table 10.2 Two different styles of audit.

And if the blind lead the blind, both shall fall

Leadership is back in fashion. Across many western countries there

The National College for School Leadership is located at Nottingham University.

x The challenges of educational leadership

causal links between leadership and improved student performance

Mike Bottery is Professor of Education and Director of Research

The books intentions

Educational leadership is taken extremely seriously across the globe.

2 The challenges of educational leadership

chapter, particular versions of leadership place such weight of

The books intentions 3

global warming is no respecter of national borders as it melts polar

4 The challenges of educational leadership

intended as, nor do I believe it depends upon, a feeling of nostalgia

The books argument

The books intentions 5

3 All of these objectives are interconnected, in most cases being

A political underpinning by a version of democracy which

A commitment to helping all members to appreciate the artistic,

A commitment to helping all members realize their full potential,

To be sufciently secure that those within it do not live in fear of

To be sufciently outward-looking to learn from and help other

To be sufciently economically prosperous to permit the achievement of these other aims.

6 The challenges of educational leadership

The books intentions 7

Eight essential educational objectives and their dependency on one another

8 The challenges of educational leadership

The books intentions 9

10 The challenges of educational leadership

productivity, and that much of this domination is the product of

Developing the context

The books intentions 11

data on UK primary childrens post-1988 curriculum experiences that

Introduction: a leaders current lot is not

Shifting frames of reference: the need for ecological leadership 13

satised principals. Similarly, Williams (2001) details the same issues

adequacy of time to plan for provincially mandated changes;

number of curriculum changes mandated by the province;

adequacy of time to work with students;

amount of in-school staff support for principals given workload