Following the introduction of Performance Management in schools in 2000, the rate of increase in attainment from 2001-2005, as measured by the GCSE 5A*-C percentage pass rate, is noticeably higher than in the five years prior to its introduction. The aim of this research is to consider the impact of the national policy for Performance Management (PM) of teachers on standards of attainment in secondary schools. The thesis attempts to locate and explain a potential causal link between PM and the rate of increase in attainment at GCSE. It does this from within a Transcendental Realist philosophical framework incorporating a Critical Realist sociological perspective. An extensive literature survey on both Performance Management and its precursor, Appraisal, revealed a potential for research on the link between PM and standards of attainment in schools. In considering prospective strategies for such a study, a comprehensive range of methodologies and research methods are explored and the Critical Realist perspective using a case study design was considered to be a reasonable approach in that it appeared not to have some of the weaknesses exhibited by some of the other methodologies reviewed. The Case Study was completed through a series of forty four structured interviews in schools with ‘Challenging Circumstances' (an Ofsted indicator of the demographics of a school) and with two policymakers from the Department for Education and Employment (DfEE). The structured interviews based upon an analysis of PM national policy revealed a positive response to the effect of PM on standards of attainment. This was also coherent with a wider literature survey of the effects of the various PM policy dimensions at one level and a conceptual abstraction of the policy at another. However, PM policy was introduced as part of the Standards Framework (DfEE 1998), which provided for the introduction of a plethora of policies aimed at raising standards. These, together with a number of other contextual factors, were considered to add to the complexity of the final causal analysis. It is argued that Critical Realism has the potential to provide a useful and penetrative starting point in the analysis of such complicated contexts.

This thesis evaluates the policy intentions, practices and effects of two different types of School-Based Management (SBM) initiatives in Sri Lanka: the Programme for School Improvement (PSI) and the Child-Friendly Schools Initiative (CFSI). Moreover, it examines the similarities and differences between these two initiatives and, when they co-exist in the same school, the ways in which schools have integrated them. PSI is the national SBM initiative of Sri Lanka introduced to the schools during 2006-2011 following a prolonged process of designing and consensus building which started in the 1990s. Running parallel to PSI, the CFSI - a rights-based approach to education which also has SBM features - is being implemented in selected primary schools. The policy discourse of SBM/PSI focused on the proposition that schools should be empowered to meet the expectations of their communities and that the administrative decentralisation which had shifted power from national to provincial levels was not addressing adequately disparities between schools. At the same time, there was scepticism as to whether SBM would be able to address the issues of a heterogeneous school system. CFSI was introduced by UNICEF in response to the government's request to strengthen disadvantaged schools. The policy intentions of these two initiatives were investigated through interviews with key policy officials and with the representatives of development partner agencies who assisted PSI and CFSI. The influences of the policy-intents of PSI and CFSI on organisational practices, their effects, similarities, differences and complementarities were explored through six school case studies and experiences of the principals, teachers and parents. The thesis reveals that PSI is expected to empower schools with autonomy for making collaborative decisions, create a sense of ownership among the school community and permit improvement of schools. CFSI is intended to promote inclusiveness, child-centredness and democratic participation. They are both, in principle, guided by the concerns for ensuring equitable opportunities for all to learn, improving the quality of education which is judged by student learning outcomes and improving efficiency in resource allocation and use. At the school level, each case-study school has forged collaboration between school-parent-community and ensured democracy in decision-making. School-based decision-making is promoted by PSI through a set of Ministry guidelines and by CFSI through a participatory approach recommended by UNICEF and the Ministry, but having less official ‘force' than PSI. Both initiatives have influenced to increase parents' contribution in the school physical infrastructure development and in the educational projects. School-based planning has been promoted by both initiatives, and in some cases has resulted in the production of two separate plans. Some schools have combined these plans in accordance with the thematic structure of national Education Sector Development Framework. These initiatives have involved principals and teachers in decision-making, planning and implementation of programmes in collaboration with the community. The emphasis given to school-based teacher development is, however inadequate. Nonetheless, the increases in attendance and retention was influenced by CFSI rather than PSI, while both initiatives have had a positive influence by improving student learning and performance through various interventions at school and learning at home. The several ways in which these initiatives are integrated by schools, ensuring that each contributes towards filling the gaps left by the other are described. Considering their complementarities, the positive features of management in PSI and rights-based approach to education in CFSI in a rational manner, the author recommends an integrated ‘Learner-Friendly School-Based Management Model' which will effectively address learners' needs. It also recommends a methodology to pilot this model in Sri Lanka, thus putting the new knowledge produced by this research into practice.