The Principalship:

Vision to Action

Fred C. Lunenberg
Beverly J. Irby
 Table of Contents
(Click chapter title to navigate)

Chapter 1: Cultivating Community, Culture and

Learning
Chapter 2: Creating a Vision for Learning
Chapter 3: Curriculum Development and
Implementation
Chapter 4: Teaching and Learning
Chapter 5: Professional Development
Chapter 6: Student Services
Chapter 7: Organizational Structures
Chapter 8: The Principal as Decision Maker
 Table of Contents (cont’d)
(Click chapter title to navigate)

Chapter 9: Developing Effective Communication

Chapter 10: The Principal and Change
Chapter 11: Budgeting and School Facilities
Chapter 12: Creating Safe Schools
Chapter 13: Human Resource Management
Chapter 14: Community Relations
Chapter 15: The Principal and Ethics
Chapter 16: Political and Policy Context
Chapter 17: Legal Issues
 Chapter 1:
Cultivating Community
Community,
Culture and Learning
Chapter 1: Cultivating Culture, Community and Learning

Interstate School Leaders

Licensure Consortium (ISLLC)
Standards for School Leaders
► Review the language of the seven
standards in your text book
► Re-write each in “plain” English
► Discuss the purpose of each standard; i.e.
Why would the Consortium consider this a
valuable standard?
Chapter 1: Cultivating Culture, Community and Learning

The Role of the Principal

► Historically: Principal

Assistant Assistant Assistant

principal principal principal

Dean of Administrative
Counselors
Students Staff

A NEW APPROACH
Chapter 1: Cultivating Culture, Community and Learning

LEADING FROM THE CENTER

students

community staff

PRINCIPAL

parents teachers
Chapter 1: Cultivating Culture, Community and Learning

Compare and Contrast the Historic

Approach to the New Approach
► Historic ► New
 Principal rules top-down  Principal works
 Leadership dispersed collaboratively
according to authority  Leadership dispersed
 A “power over” according to
approach competence
 Principal is the leader  A “power to” approach
 Principal is the leader of
leaders
Briefly discuss the advantages and disadvantages of
each approach. What factors might have contributed
to the shifting paradigm?
Chapter 1: Cultivating Culture, Community and Learning

Creating a Professional Learning

Community
► Create a mission statement: Why does the
school exist? What is its purpose?
► Develop a vision: What does the school wish to
become?
► How can schools avoid the following?

tradition
of
isolation
Chapter 1: Cultivating Culture, Community and Learning

Creating a Professional Learning

Community (cont’d)
► Develop value statements: What attitudes
and behaviors do stakeholders value and
which will teachers pledge to demonstrate?
► Establish Goals:
 Concrete evidence of implementation of school
improvement
 Influenced by a district’s administrators
 Reflect a desired end result
BENEFITS TO SETTING GOALS
Chapter 1: Cultivating Culture, Community and Learning

Setting clearly defined goals benefits all

stakeholders by fostering…
► Commitment: individuals have a personal
stake in outcomes
► Standards: enable principals to analyze
performance objectively
► Targets: give individuals a concrete
outcome, rather than a subjective one
► Motivation: encourages individuals to
perform at highest levels
Chapter 1: Cultivating Culture, Community and Learning

What is the practical application

of the vision setting process?
►A properly conceived vision serves as a filter
for the myriad of daily decisions a principal
is asked to make.
V
Decisions that
I benefit all
S stakeholders in
an ethical and fair
I manner
O
N
Chapter 1: Cultivating Culture, Community and Learning

Developing a Culture
► What is culture?
 The most common
characteristics of
norms
culture:
observed
dominant
behavioral
regularities values Consider
heroes and
CULTURE
heroines,
traditions and
feelings philosophy
rituals, and
cultural
rules networks
Chapter 1: Cultivating Culture, Community and Learning

Maintaining School Culture

1. Hire staff carefully
2. Train staff in desired school culture
3. Instruct staff in technical aspects of job
4. Reward staff for performances that reflect
the values of the culture
5. Adhere closely to values of the culture
6. Reinforce rites and rituals of culture
7. Identify and make available staff to serve
as role models
Chapter 1: Cultivating Culture, Community and Learning

The Principal as Instructional Leader

The focus on results, the focus on
student achievement, the focus on
students learning at high levels - can
only happen if teaching and learning
become the central focus of the
school and the central focus of the
principal (Blase & Blase, 2003;
Castallo, 2001; Lambert, 2003).
Chapter 1: Cultivating Culture, Community and Learning

Shift instruction from teaching to

learning…
►Focus on learning: What is the
difference between teaching and
learning? What questions do you need
to consider to facilitate this shift?
►Encourage Collaboration: Why is
collaboration beneficial?
►Analyze Results: What type of data
should be disaggregated and into what
categories?
Chapter 1: Cultivating Culture, Community and Learning

Shift instruction from teaching to

learning…
►Provide Support: What training do
teachers need to facilitate this shift?
What would the outcome of this
support and shift look like in the
classroom?
►Align Curriculum, Instruction, and
Assessment: How does this reflect
NCLB? Despite criticisms of “teaching
to a test,” what are the clear benefits
to an assessment driven curriculum?
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 Chapter 2:
Creating a Vision for
Learning
Standard 2: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
promoting a positive school culture, providing an
effective educational program, applying best practices
to student learning, and designing comprehensive
professional growth plans for staff.
Chapter 2: Creating a Vision for Learning

Gaining a Perspective on the

Vision: Considering the Future
► In addition to critical thinking and
imagination, the following factors must be
considered in creating a vision:
 The Global Society (poverty, race, gender,
assimilation, etc.)
 Challenges in Learning (underachieving minority
groups, physical and mental abuse, other
sources of “education”)
Chapter 2: Creating a Vision for Learning

Bringing the Vision Home to the

School Culture
► Basic tenants of the No Child Left Behind
Act of 2001:
 Schools are accountable for achievement of ALL
students
 Schools must hire highly qualified teachers
 Schools implement research-based programs
and practices
How do these criteria impact
how you would create a vision
for your school?
Chapter 2: Creating a Vision for Learning

The Systemic Vision

► Contextual AND dependent upon relationships:

MISSION AND GOALS ACCOMPLISHED

District Vision, Mission, and Goals Beliefs, Attitudes, and Values (of
the leader, faculty, staff, and
community)
Motivated Students

Relationships Built

Deeper Understanding of Individuals and the Organization

Campus Vision, Mission, and Goals Collaboratively Developed Action

Plan for Accomplishing Goals
Chapter 2: Creating a Vision for Learning

Creating a Vision
The principal must consider:
1. Where has the school been?
2. Where is the school currently?
3. Where should the school be in the
future?
How do the conditions listed in figure 2-2
help a principal grow a vision? What roles
do personal beliefs, values, and attitudes
play in this growth?
Chapter 2: Creating a Vision for Learning

The Leadership Framework as a

Doorway to Creating a Vision
A leadership framework should include:
1. Philosophy of education
2. Philosophy of leadership
3. Vision for learners
4. Vision for teachers
5. Vision of organization
6. Vision of professional growth
7. Method of vision attainment
Why is the leadership framework a
useful tool for creating a vision?
Chapter 2: Creating a Vision for Learning

Shepherding the Vision

BEWARE OF…
 Tradition
 Scorn
 Nay-Sayers
 Complacency
 Weariness
 Short-range
thinking
Chapter 2: Creating a Vision for Learning

Shepherding the Vision (cont’d)

Encourage…
 Building ownership in the vision
 Thinking of the long-term benefits
 Seeking input from stakeholders
 Building confidence in stakeholders
 Staying with the vision
 Staying focused
 Keeping stakeholders alert to any changes
 Demonstrating how focus results in efficiency,
effectiveness, and productivity
Chapter 2: Creating a Vision for Learning

Mission Statements vs.

Goal Statements
Mission Statements Goal Statements
► State the purpose of ► Break the mission and
the school, both vision down into
generally and specific and
specifically measurable steps
► Guide decision-making ► The tangible results a
processes school is trying to
► Guided by the vision achieve
and explain how it will ► Guided by the mission
be obtained and vision
Chapter 2: Creating a Vision for Learning

Creating Goals to Obtain a Vision

► Consider the hierarchy of goals: A means-
end analysis can help a principal prioritize
and organize goals

What is necessary for the hierarchy shown in

figure 2-3 to operate cohesively in order to
achieve a stated vision?
Chapter 2: Creating a Vision for Learning

What Makes an Effective Goal?

► Clarityand specificity
► Time frame
► Key areas
► Challenging but realistic
► Linked to rewards

Why are these criteria needed for a goal to be

considered “effective”?
Chapter 2: Creating a Vision for Learning

The Goal Setting Process

Setting Goals Revise and Update

Developing Action Plans

Recycle

Monitoring Performance Revise and Update

Evaluating Results
Chapter 2: Creating a Vision for Learning

Common Problems with Goal

Setting
► Lack of top-management support
► Time-consuming
► Excessive paperwork
► Overemphasis on quantitative goals
► Administrative style
► Prepackaged programs

How would you overcome

each of these obstacles?
Chapter 2: Creating a Vision for Learning

Tips for Effective Goal Setting

► Develop a specific organizational structure
► Create a positive leadership climate
► Maintain the means-ends chain of goals
► Train principals
► Emphasize periodic feedback sessions

Once goals have been set, the principal

must determine HOW they will be
obtained. This leads to…
Chapter 2: Creating a Vision for Learning

Developing Plans for Attaining Goals

Operational plans are developed at the
Strategic Standing
Tacticalplans
plansare
arepredetermined
lower levels ofplans define the
the district meansthe
to specify by designed to
which the goals of theoperational
school are to statements that strategic
help execute help decision
plansmakers
and
means toward achieving
beand
attained handle repetitive asituations
to accomplish in a of
specific part
goals supporting tactical planning
consistent manner
the district’s strategy
activities

Operational Plan Operational Plan Operational Plan Operational Plan

Standing Plans Standing Plans Standing Plans Standing Plans

Tactical Plan Tactical Plan

Strategic Plan

Time Frame for Plans

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 Chapter 3:
Curriculum Development
and Implementation
Standard 2: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
promoting a positive school culture, providing an
effective educational program, applying best practices
to student learning, and designing comprehensive
professional growth plans for staff.
Chapter 3: Curriculum Development and Implementation

Concepts and Models of

Curriculum
► Consider the traditional concepts and
models of curriculum outlined in the first 15
pages of chapter 3.
► Which of these do you most closely align
yourself? Why? What different visions and
goals would emerge from each of these
models?
► Now, let’s look at some more modern
curriculum models…
Chapter 3: Curriculum Development and Implementation

Modern Models of Curriculum

► Most have an emphasis on “interdisciplinary
courses, open-ended systems,
intergenerational and inter-professional
relationships, Socratic dialogue, multi-
dimensional assessments, and multiculturalism”
(McNabb, 1995).
► Most are open educational systems
► Consider the above statements and the late
20th century definitions of curriculum in your
textbook.
How do modern models of curriculum reflect
today’s society?
A closer look…
Chapter 3: Curriculum Development and Implementation

The Irby and Lunenberg Model

Curriculum must be:
 Led by the principal but developed
collaboratively
 Considerate of the community
 Responsive to student needs
 Connected to vision and mission of the
school
 Reflective of the needs of a global society
 Able to be assessed in terms of student
performance
 Integrated systematically
Chapter 3: Curriculum Development and Implementation

The Ornstein Model

► Systemic approach: recognizes that the
actions within the organization impact
curriculum decisions
► 7 categories to the model:
1. Political Forces Examine
2. Knowledge Industry Figure 3-6.
How do these
3. External Groups 7 categories
4. Content interact to
5. Instructional Activities create a model
of curriculum?
6. Evaluation
7. Supervision of Curriculum
Chapter 3: Curriculum Development and Implementation

The Eisner Model

► Five dimensions needed for successful
schools:
1. The Intentional
2. The Structural
3. The Curriculum
4. The Pedagogical
5. The Evaluative
What is meant by each of these dimensions
and how could they work together to
create successful schools?
Chapter 3: Curriculum Development and Implementation

Relationship of Curriculum to
Instruction
► Functions of a Curriculum Plan
 To produce a curriculum for an identifiable
population
 To implement the curriculum in a specific school
 To appraise the effectiveness of the curriculum
developed
Read the 15 characteristics identified by Tomlinson
and Allan. Why must a principal take these
characteristics into consideration in order to make
positive changes to the curriculum?
Chapter 3: Curriculum Development and Implementation

The Principal as the Curriculum

and Instructional Leader
► While the principal does not need to provide ALL of
the curriculum leadership, the most effective ones
collect information and use it to facilitate
curriculum development
► In order to share the responsibility for curriculum
leadership a principal should:
 Allow teachers to take responsibility for curriculum
 Arrange schedule to give teachers time to work on
curriculum
 Provide staff development
 Provide resources
 Create a community of learners (see Figure 13-9)
Chapter 3: Curriculum Development and Implementation

Curriculum Goals and

Instructional Objectives
► Curriculum Goals
To achieve teacher and = ► Instructional
staff “buy-in” a principal needs Objectives
to offer: =
broad, general
1. Data that support the need for required
change performance,
statements to help
2. Information that supports theconditions for contexts
changes in similar behavior,
develop programs
3. Connection betweenof goals andand level ofmeasures
achievement performance
instruction  What
4. Focus on usability, simplicity, and the student actually
effectiveness
 What yourelationships
5. Clear WANT thebetween changes DOES and the vision
students to do for teachers and staff to participate in goal
6. Opportunities
and objective creation
Chapter 3: Curriculum Development and Implementation

Curriculum Goals and

Instructional Objectives (cont’d)
► Classifying objectives  Psychomotor
 Cognitive 1. Reflex movements
1. Knowledge 2. Basic-fundamental
2. Comprehension movements
3. Application 3. Perceptual abilities
4. Analysis 4. Physical abilities
5. Synthesis 5. Skilled movements
6. Evaluation 6. Non-discursive
 Affective communication
1. Receiving REMEMBER: OBJECTIVES MUST
2. Responding CORRELATE WITH THE CURRICULUM
3. Valuing Refer to the 7 principles for selecting learning
4. Organization experiences to ensure that they foster active
5. Characterization involvement in the learning process
Chapter 3: Curriculum Development and Implementation

Developing a Needs Assessment

► Why a needs assessment?
 Assists with developing or revising curriculum and
assessment
 Ensures a dynamic and responsive curriculum
 Gives teachers information about learners
► At the curriculum level, a needs assessment includes
a(n):
1. Review and analysis of standards
2. Review of curriculum from successful districts
3. Interview of students, teachers, and parents
4. Review of current students’ work
5. Review of related literature and best practices
Chapter 3: Curriculum Development and Implementation

Aligning the Curriculum

► After a needs assessment, curriculum alignment
shows WHAT will be taught in all subject areas and at
each grade level
► Curriculum mapping provides scope and sequence of
WHEN skills will be taught
► Curriculum benchmarking provides periodic
assessments and minimum standards of achievement
► Curriculum audits help identify strengths and gaps in
instructional practices
► Instructional differentiation attempts to determine
which instructional methods are best for all learners
Chapter 3: Curriculum Development and Implementation

Focusing the Vision and the School’s

Mission through Curriculum

► “The principal is the curriculum or instructional

specialist or leader who does have the
understanding of philosophy, the clarity of
vision, and the technical skills to move his/her
programs toward meaningful activity.”
► Consider how the case study of Mauka Lani
Elementary School exemplifies this alignment
and call to action.
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 Chapter 4:
Teaching and Learning
Standard 2: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
promoting a positive school culture, providing an
effective educational program, applying best practices
to student learning, and designing comprehensive
professional growth plans for staff.
Chapter 4: Teaching and Learning

The Principal and Instructional

Planning
► Instructional planning should be a self-
reflective tool
► How does the cycle described in Figure 4-1
promote successful instructional planning?

What are the benefits to instructional

planning?
Chapter 4: Teaching and Learning

Benefits of Instructional Planning

► Provides a daily map
► Targets learner benchmarks
► Ensures that teacher follows up on identified
weaknesses
► Reinforces teachers’ understanding of
content knowledge
► Intertwined with the curriculum alignment
process
Beyond instructional planning, what are the
added positive outcomes of the above listed
benefits?
Chapter 4: Teaching and Learning

The Principal and Instructional

Planning (cont’d)

► Promoting Reflective Planning: What

questions would you pose to a struggling
teacher concerning goals, objectives,
instructional activities, assessment, revision,
and implementation?
Chapter 4: Teaching and Learning

The Principal and Instructional

Planning (cont’d)
► Using Student Data to Drive Instructional
Planning: What are some of the obstacles
that educators face in properly using
student data to aid in instructional planning?
How would you overcome these obstacles?
► Consider the anecdote of Dr. John Barrera.
How does this example demonstrate the
proper use of student data?
► REMEMBER!
Chapter 4: Teaching and Learning

The Principal and Instructional

Planning (cont’d)
► Using Students’ Cultural Backgrounds in
Instructional Planning
 Do not use ONLY student achievement data
 Consider also: Ethno-instruction and
Differentiated Instruction
 Why are these two strategies increasingly
important in today’s classrooms?
Chapter 4: Teaching and Learning

Information Processing
► Read the various theories of information
processing as outlined in your text.
► Which theory/theories do you think best explain
how people process information and why?
► Why is it important for a principal to have a
working knowledge of these various theories?
► How could you develop these theories into
practical applications at your school?
Chapter 4: Teaching and Learning

The Effective Schools Model

► What makes anCLEAR

“effective” school? Research
AND FOCUSED
shows the following…
MISSION

STRONG
HIGH
INSTRUCTIONAL
EXPECTATIONS
LEADERSHIP

POSITIVE
FREQUENT
HOME-SCHOOL
MONITORING
RELATIONS

SAFE AND ORDERLY OPPORTUNITY TO

ENVIRONMENT LEARN
Chapter 4: Teaching and Learning

Effective Teaching Practices:

The 12 Principles
1. Students can learn best within cohesive
and caring communities
2. Students learn more when time is
allocated to curriculum related events
3. All components of curriculum are aligned
in a cohesive program designed to achieve
specific goals
4. Teacher can prepare students for learning
by providing initial structure
Chapter 4: Teaching and Learning

Effective Teaching Practices:

The 12 Principles (cont’d)
5. Content is explained clearly and developed
with emphasis on structure and
connections
6. Questions are planned to engage students
in sustained discourse
7. Students receive sufficient opportunities to
practice and apply what they’ve learned
and to receive feedback
8. Teacher provides assistance to enable
students to engage in learning activities
Chapter 4: Teaching and Learning

Effective Teaching Practices:

The 12 Principles (cont’d)
9. Teacher models and instructs students in
learning and self-regulation strategies
10. Students often benefit from working in
pairs or small groups
11. Teacher uses variety of formal and
informal assessment methods
12. Teacher establishes and follows through
on appropriate expectations for learning
outcomes
Chapter 4: Teaching and Learning

Conditions for Learning and Best

Practices
► Conditions for Learning
 School is warm and inviting
 Curriculum includes fine arts
 Students learn to be effective citizens
 Students learn to develop skills for the workplace
 School has smaller class sizes
 Support staff is available
 School reviews self
 Data and evidence drive decisions
Why are these (and the other conditions listed) considered
necessary conditions for learning? Can you think of any
others?
Chapter 4: Teaching and Learning

Models of Observation
► Read the NCTAF’s 5 propositions deemed
essential for accomplished teaching
► Do you agree that these 5 conditions are
necessary? Why/why not?
► Can you think of any other essential
propositions?
► How can a knowledge of these 5
propositions help a principal improve the
effectiveness of teaching and learning at
his/her school?
Chapter 4: Teaching and Learning

Models of Observation (cont’d)

► Formative Evaluation
► Summative Evaluation
► Classroom Observations
► Walk-Through Observations
► Peer Coaching
As a teacher, which of these types of observation
do/did you prefer? Why?

As a principal, which of these types of observation

do you think will be most helpful? Why?
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 Chapter 5:
Professional Development
Standard 2: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
promoting a positive school culture, providing an
effective educational program, applying best practices
to student learning, and designing comprehensive
professional growth plans for staff.
Chapter 5: Professional Development

The Mission of Principals Related

to Professional Development (PD)
Well read and educated in
latest research

Thinks forward and

consequentially

Analyzes impact
Sensitive to students on campus
and community

“THE IDEAL PD PRINCIPAL”

Chapter 5: Professional Development

The Principal’s Mission to Teachers’ PD

PLAN: PROVIDE:
What is the
Work with Resources (time
teachers to advantage to
and money) for
develop a this approach teachers to be
comprehensive to teacher’s reflective about
PD targeted at PD? their practices
individual and
collective needs
Chapter 5: Professional Development

High Quality PD
► Consider Knowles observations:
 Adult learners need to be self-directed
 Adult learners display readiness to learn why
they have a perceived need
 Adult learners desire immediate application of
new skills and knowledge

Do you agree with Knowles’ findings?

What are the implications of these findings
on an effective PD program?
Chapter 5: Professional Development

The Ten Principles of Effective PD

1. Effective PD focuses on teachers as central to
student learning, yet includes other members of the
school community
2. Effective PD focuses on the individual, collegial, and
organizational improvement
3. Effective PD respects and nurtures the intellectual
and leadership capacity of teachers, principals, and
others in the school community
4. Effective PD reflects best available research and
practice in teaching, learning, and leadership
5. Effective PD enables teachers to develop further
expertise in subject content, teaching strategies,
uses of technologies, and other essential elements in
teaching to high standards
Chapter 5: Professional Development

The Ten Principles of Effective PD (cont’d)

6. Effective PD promotes continuous inquiry and
improvement embedded in the daily life of schools
7. Effective PD is planned collaboratively by those who
will participate in and facilitate that development
8. Effective PD requires substantial time and other
resources
9. Effective PD is driven by a coherent long-term plan
10. Effective PD is evaluated ultimately on the basis of
its impact on teacher effectiveness and student
learning; and this assessment guides subsequent
professional development efforts
What would a PD program that utilizes all of these
principles look like?
Chapter 5: Professional Development

The Principal’s Mission for Personal

Professional Development
► Why is it essential that principals develop
their own PD plan?
► Read the description of the PD Portfolio.
What are the various components of the
Portfolio and how do they work together to
ensure that the principal embarks on a
successful and effective PD plan?
► Review your own Portfolio (start one if you
have not already). What components are
missing or need to be updated?
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 Chapter 6:
Student Services
Standard 2: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
promoting a positive school culture, providing an
effective educational program, applying best practices
to student learning, and designing comprehensive
professional growth plans for staff.
Chapter 6: Student Services

Guidance and Counseling Services

► To provide for the realization of student
potentialities
► To help children with developing problems
► To contribute to the development of the
school’s curriculum
► To provide teachers with technical assistance
► To contribute to the mutual adjustment of
students and the school
Assess the scope of the guidance and counseling
services offered on your campus.
Chapter 6: Student Services

Guidance and Counseling Services (cont’d)

► Role of the Counselor ► Major Services
 Personal/social  Assessment
issues  Information
 Educational issues  Placement and
 Career planning follow-up
 Counseling
(Directive,
Nondirective, and
Eclectic Counseling)
Chapter 6: Student Services

Guidance and Counseling Services (cont’d)

► When evaluating the program, consider…
 Student needs Using these 10 criteria,
evaluate the guidance and
 Cooperation
counseling program at
 Process and product your school or one you
 Balance have worked at in the
 Stability past. How can these
characteristics help you
 Flexibility plan for an effective
 Qualified counselors program at your school?
 Adequate counselor-student ratio
 Physical facilities
 Records
Chapter 6: Student Services

Attendance and Student Records

► Cumulative records
should contain:
What is the purpose
 Personal data sheet
of ensuring that
 Parent’s report these artifacts
 Child’s self-concept appear in student’s
 Sociogram cumulative record?
 Behavior reports
 Standardized test data
Chapter 6: Student Services

Evaluating Student Progress

► As NCLB stresses AYP and accountability, evaluating
student progress has become a critical role for the 21st
century principal. Assessment can serve various
purposes:
 Help student understand self
 Provide information for education/vocational counseling
 Help staff understand student population
 Evaluate the academic progress of students
 Help administrative staff appraise programs
 Facilitate curriculum revision
 Make instructional management decisions
 Make decisions about screening students
 Make program decisions
Chapter 6: Student Services

Evaluating Student Progress (cont’d)

► While many bemoan the NCLB’s emphasis on
testing, assessment clearly has its benefits if
the testing program is well developed
 Minimum components of testing battery:
1. Emerging reading tests
2. Learning readiness tests
3. Intelligence tests
4. Achievement tests
5. Interest and aptitude tests
Chapter 6: Student Services

Reporting to Parents/Family
► Any teacher knows that grading has its
difficulties. Among them are:
 Teacher variability
 Unreliable aptitude scores for all students
 Policy variability
 Variety of alternatives to traditional methods
How can a principal account for and deal with
these difficulties?
Compare your solutions with the following…
Chapter 6: Student Services

Methods of Reporting Grades

► Percentage method What are the
► Letter method benefits and draw-
► Descriptive method backs to each of
► Percentile method these methods? In
what circumstances
► Three-group method
would you use one
► Rank method method over
► T-score method another?
Chapter 6: Student Services

Extracurricular Activities
► Shouldn’t principals be concerned solely
with the academic program at their school?

Extracurricular activities are vital to help

students develop skills and talents not
readily tapped into in the traditional core
subjects. Read the text’s explanation of the
functions of these activities. Can you think
of any others?
Chapter 6: Student Services

Special Education Services

► Key Legislation:
 Section 504 of the Rehabilitation Act of 1973
 Education for All Handicapped Act of 1975
 Americans with Disabilities Act of 1990
 Individuals with Disabilities Act (IDEA)
► Key Components of IDEA:
 Related Services
 Due Process
 Discipline
Make sure you are familiar with these terms and
their legal implications. Remember that a principal
must ensure the quality education of ALL students.
Chapter 6: Student Services

Gifted Education
► The area of Gifted Education is growing
rapidly and principals must be aware of how
to best serve this special population. Gifted
students will NOT thrive on their own; they
need and deserve the services, attention,
and resources to best develop their gifts
and talents.
► Refer to Figure 6-2 for a list of options that
will help to meet the needs of gifted
students
Chapter 6: Student Services

Bilingual Education
► As with the gifted population, students
requiring bilingual services are also rapidly
growing
► Principals must consider the following when
creating an ESL program:
 State guidelines
 Student population to be served
 District resources
Chapter 6: Student Services

Bilingual Education (cont’d)

► Principals must be aware of the following terms
 Early-exit
 Late-exit
 Immersion
 Dual immersion
 Submersion
 Dual-language
 Two-way
Chapter 6: Student Services

Bilingual Education (cont’d)

► ESL Program Models:
 Pull Out
 Class Period
 Shelter English or Content-based Programs
 Structured English Immersion
 High Intensity Language Training Programs

When would it be appropriate to use each of

the above models?
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 The Big Cheese

Jr. Cheese Asst. Cheese Assoc. Cheese

Chapter 7:
Organizational Structures
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 7: Organizational Structures

Important Concepts of
Organizational Structure
► Job Specialization
► Departmentalization
► Delegation
► Decentralization
► Span of Management

What do each of these terms mean and how do

they help to explain the concept of an
organizational structure?
Chapter 7: Organizational Structures

Schools as Open Systems

► Schools are open systems because…
they interact with their environments
► Inputs = human, financial, physical, and
information resources
► Transformation Process = combining and
coordinating resources to attain goals
► Outputs = prepared and educated students,
staff and community satisfaction
► Feedback = student, parent, staff, and
community reaction to output
Chapter 7: Organizational Structures

Leadership Functions
Planning

Monitoring Organizing

Leading
How can an understanding of the interplay
between these functions help a principal to
more effectively manage the organizational
structure of their school?
Chapter 7: Organizational Structures

Administrative Roles
► Principal Activities:
 Heavy Workload at a Fast Pace
 Variety, Fragmentation, and Brevity
 Oral Communication

Are these activities unique to the role of the principal?

Which of these do you find most daunting? Which of
these comes naturally to you?
Chapter 7: Organizational Structures

Management Skills
► Conceptual Skills: One’s mental ability to
acquire, analyze, and interpret information
► Human Skills: One’s ability to motivate,
facilitate, coordinate, lead, communicate,
manage conflict, and get along with others
► Technical Skills: One’s ability to use
knowledge, methods, and techniques of a
specific discipline
Consider Figure 7-3. At what level would you
place yourself? Your current administrators? How
does one move “up” the hierarchy?
Chapter 7: Organizational Structures

Effective Principals
► Task Dimensions: Consider Sashkin and Huddle’s
13 task dimensions of a principal. How can you
deliberately design your actions to build cultural as
well as managerial linkages?
► Human Resource Activities: Consider the list of
traits of ineffective administrators. Why would
these be detriments to an effective principal and
how could you correct each of these
shortcomings?
Chapter 7: Organizational Structures

Effective vs. Successful

Administrators
► Effective = how well a ► Successful = rapid
principal was evaluated promotion
by subordinates  Little time on human
 Most time on task- resource
related management
communication  Good at networking
 Human resource  Politically savvy
management

Are these findings surprising to you?

What are their implications?
Chapter 7: Organizational Structures

The Demise of Bureaucracy

► What is the harm of bureaucracy? Explain why
each of the following are seen as negative features
to bureaucracy, especially in education.
 Division of labor and specialization
 Reliance on rules and procedures
 Emphasis on hierarchy of authority
 Lifelong careers and evaluation
 Impersonality

So what are the alternatives?

Chapter 7: Organizational Structures

Emergent Models of
Organizational Structure
► System 4 Design
► Site Based Management
► Transformational Leadership
► Synergistic Leadership Theory
► Total Quality Management (TQM)

Read the description of each model carefully.

Which one appeals to you the most and why?
Regardless of which model you find most
intriguing, consider…
Chapter 7: Organizational Structures

10 Concepts Helpful in Restructuring the

Content of Schooling
► Heterogeneous
grouping
► Cooperative learning
► High expectations for
all
► Responsiveness to
student diversity
► Emphasis on active
learning
► Essentialcurriculum
► Authentic assessment
► Technology as a tool
► Time as a learning
resource
► Diverse pedagogy
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 Chapter 8:
The Principal as Decision
Maker
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 8: The Principal as Decision Maker

The Nature of Decision Making

Making a choice from

a number of options

Decision Making

Understanding how a Purpose or goal

decision was reached achieved
Chapter 8: The Principal as Decision Maker

The Decision Making Process

Identifying the problem

Generating alternatives

Recycle
Evaluating alternatives process
as
necessary
Choosing an alternative

Implementing the decision

Evaluating decision
effectiveness
Chapter 8: The Principal as Decision Maker

The Rational Decision Maker

► What is rational decision making?
 Problem is clear
 Single goal is to be achieved
 All alternatives and consequences are known
 Preferences are clear
 Preferences are constant and stable
 No time or cost constraints
 Final choice will maximize economic payoff
Do these assumptions seem applicable to most
school organizations you are aware of? Rationality
seems limited, so…
Chapter 8: The Principal as Decision Maker

Limits to Rationality
► Bounded Rationality:
 Decisions based on incomplete comprehension of the
problem
 Decision makers will not succeed in generating all
possible solutions
 Alternatives are evaluated incompletely
 Ultimate decision must be based on criterion other than
maximization
► Consider: Satisfying, Heuristics, Primacy/Recency
Effect, Bolstering the Alternative, Intuition,
Incrementalizing, the Garbage-Can Model
 How can these processes compensate for the limits to
rationality and allow a principal to make effective
decisions?
Chapter 8: The Principal as Decision Maker

Shared Decision Making

► Often committees, teams, councils, etc. must make decisions
too. In these instances, an understanding of the shared
decision making process is necessary.
► To help involve teachers in the process, consider Huddleston,
Claspell, and Killion’s method:
 Readiness: prepare for shared decision making
 Experimentation: build comfort in the decision making
process
 Refinement: share the decision making process
 Institutionalization: shared decision making becomes norm
► This process is not flawless. What are the advantages and
disadvantages to shared decision making?
Chapter 8: The Principal as Decision Maker

Advantages and Disadvantages to

Shared Decision Making
• Greater sum total • Social pressures toward
knowledge conformity
Obviously, a principal needs to carefully
• consider ifofthe shared •decision
Greater number making
Individual domination
process
approaches is appropriate for any given
to the • Conflicting
situation. Read Williams’s secondary
list of skills needed
problem for effective site-based decision
goals making. Do
• Greater number
these tipsofseem “do-able”? Now read
• Undesirable
through the model provided
alternatives in the text.
compromises
While seemingly esoteric, what are the
• Increased acceptance of • Ambiguous
practical applications and advantages to responsibility
this
a decision
method? • More time needed
• Better comprehension of
a problem and decision
Chapter 8: The Principal as Decision Maker

Decision Making – Pattern Choice

► An alternative model to shared decision
making, this approach focuses on a
continuum of leadership from boss-centered
to subordinate-centered
► Review Figure 8-4 for a more detailed look
at this approach
► The principal must consider the forces in the
leader, forces in the group members, forces
in the situation, and long-run goals and
strategy…
Chapter 8: The Principal as Decision Maker
Decision Making – Pattern Choice (Cont’d)
► Forces in the leader that
determine which of the
patterns to choose from:
 Value system
 Confidence in group members
 Leadership inclinations
 Feelings of security in
uncertain situation
► Forces in the group members
that allow for greater freedom:
 High need for independence
 Readiness to assume
responsibility
 High tolerance for ambiguity
 Interested in problem
 Understand goals
 Have necessary knowledge
 Expect to share in process
► Forces in the situation that
create pressure:
 The problem
 Time constraints
► Long-run goals and strategy to
consider:
 Raising level of motivation
 Improving quality of decisions
 Developing teamwork and
morale
 Furthering individual
development
 Increasing readiness to accept
change
There is no formula for perfect decision
making. An effective principal must consider
the forces in a given situation and assess
which should influence him or her in a given
situation.
Chapter 8: The Principal as Decision Maker

The Synergistic Decision Making Approach

► Listening
 Active listening with respect, consideration, and no judgment
► Responding
 Paraphrase; be respectful; assume sincerity; avoid pre-judgment
► Reinforcing
 Build on previous remarks to encourage a free, non-competitive, and
diverse discussion
► Clarifying
 When confusion arises, phrase neutral questions, avoid condescension,
avoid impatience, and do not assume you have the answer

Do you think teachers would be receptive to this process?

Why or why not?
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 Chapter 9:
Developing Effective
Communication
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 9: Developing Effective Communication

The Communication Process

► Communication = the process of transmitting
information from one person to another

Encode Medium
Decode
Sender Message Receiver
Decode Noise Encode

Feedback

► Read the tips in the text on planning a successful

communication process. What have been the positive
traits of past communication processes you have been
involved in? Negative traits?
Chapter 9: Developing Effective Communication

Organizational Communication
The following slides will take a closer look at
different categories of communication:
Downward

Upward

Horizontal

Formal Communication Networks

Informal Communication Networks

Chapter 9: Developing Effective Communication

Downward Communication
► Information transmits from higher to lower levels
► Purposes of downward communication
 Implement goals and strategies
 Job instruction and rationale
 Procedures and practices
 Performance feedback
 Socialization

What situations warrant downward

communication? Which situations would be
inappropriate?
Chapter 9: Developing Effective Communication

Upward Communication
► Information transmits from lower to higher levels
► Types of information in upward communication
 Problems and expectations
 Suggestions for improvement
 Performance reports
 Grievances and disputes
 Financial and accounting information
Read through the barriers to effective upward
communication and the tips to improve it. What other
barriers have you encountered in upward
communication? What could a principal have done to
overcome those barriers?
Chapter 9: Developing Effective Communication

Horizontal Communication
► Information transmits laterally or diagonally
across lines of formal chain of command;
essential for increasing coordination
► Categories of horizontal communication
 Intradepartmental problem solving
 Interdepartmental coordination
 Staff advice to line departments
Chapter 9: Developing Effective Communication

Communication Networks
► The three previous communication patterns can combine
to form five common networks
1. Chain: line authority relationships
2. Y: two or more interacting members report to a single
supervisor
What are the advantages and
3. Wheel: several non-interacting members report to a
disadvantages to each of these
single supervisor
communication networks?
4. Circle: members interact with adjoining members, but
not others
5. All-Channel: members interact with adjoining
members and all others
► Informal network: The grapevine flows in all directions
and is not fixed by any formal organizational chart
Chapter 9: Developing Effective Communication

Managing Communication: Barriers

► Process barriers: blocked communication with
sender, encoding, medium, decoding, receiver, or
feedback
► Physical barriers: concrete and real factors that
block communication
► Semantic barriers: variations and
misunderstandings of connotations
► Psychosocial barriers: factors such as fields of
experience, filtering, and psychological distance
that inhibit effective communication
How can you, as a principal, work to overcome these barriers?
What has been the cause of communication breakdowns you have
experienced in the past? How does your experience compare with
the list of factors listed in the text?
Chapter 9: Developing Effective Communication

Improving Communication Effectiveness

► All members of the communication process are responsible for
improving communication
 What can a sender (a principal) do to improve
communication with various stakeholders? Consider the Ten
Commandments listed in the text.
 What can receivers do to improve communication? Again,
consider the ten suggestions in the text.
 What is active listening?
 What can one do to improve giving responsive feedback?
 What types of non-verbal communication should one be
aware of?
Do the suggestions given in the text seem practical? Select at
least one strategy posited from the questions posed above and
explain how you would use it to improve your own
communication. Then, go do it!
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 Chapter 10:
The Principal and Change
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 10: The Principal and Change

The Nature of Organizational Change

► While most systems tend toward the status
quo, principals must anticipate and direct
change positively
 External forces for change: the marketplace, laws
and regulations, technology, labor markets,
economic changes…what else?
 Internal forces for change: problems with processes
or people…such as?

And yet, there is often strong resistance to

change…
Chapter 10: The Principal and Change

Why Is Change Resisted?

► Uncertainty
► Concern over personal loss
► Group resistance
► Dependence
► Trust
► Awareness of weaknesses

Why have you resisted change in the past?

What can a principal do to overcome this

resistance?
Chapter 10: The Principal and Change

Overcoming Resistance to Change

► Some strategies:
 Education and communication
 Participation and involvement
 Facilitation and support
 Negotiation and agreement
 Manipulation and cooptation
 Explicit and implicit coercion

Which of these strategies do you think would be most

effective? Why? In what types of situations would you
use each? What other strategies can you think of?
Chapter 10: The Principal and Change

Getting Reform Right: What

Works and What Doesn’t
► Current research suggests the following:
 Change is learning
 Change is a journey, not a blueprint
 Problems are our friends
 Change is resource-hungry
 Change requires the power to manage it
 Change is systematic
 All large-scale change is implemented locally
Chapter 10: The Principal and Change

Managing Change
► Types of change agents:
 Outside pressure type
 People-change-technology type
 Analysis-for-the-top type
 Organization-development type
What are some “real-world” examples of each of these types?
► Change agent roles:
 Consulting
 Training
 Research
When would a principal need to play each of these roles?
Chapter 10: The Principal and Change

Managing Change (cont’d)

► Common characteristics of effective change
 Hemophily
 Empathy
 Linkage Why are these desired
 Proximity
 Structuring
characteristics of a
 Capacity change agent?
 Openness
 Reward
 Energy
 Synergy
Chapter 10: The Principal and Change

The Change Process

► Phase 1: Pressure and arousal
► Phase 2: Intervention and reorientation
► Phase 3: Diagnosis and recognition
► Phase 4: Invention and commitment
► Phase 5: Experimentation and search
► Phase 6: Reinforcement and acceptance
Note that this model focuses on the role of the change
agent (i.e. the principal). What would a principal actually
be doing in each of these phases?
Chapter 10: The Principal and Change

Promoting Successful School

Change
► Build a vision
► Create a positive climate
► Mobilize
► Engage community support
► Train
► Provide resources
► Remove barriers
Please note that the previous and subsequent chapters
deal with each of these strategies.
Chapter 10: The Principal and Change

Change Strategies
► Process Strategies ► Structural Strategies
 Survey feedback  Goal setting
 Team building  Job redesign
 Process consultation  Quality circles
 Quality of work life  Strategic planning
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 Chapter 11:
Budgeting and School
Facilities
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 11: Budgeting and School Facilities

Basic Terms to Know

► Expenditures
► Current Expenses
► Capital Outlay
► Debt Service
► Revenue
► Fiscally Independent
vs. Fiscally Dependent
Districts
► Fiscal Neutrality
Standard
Chapter 11: Budgeting and School Facilities

The Budgeting Process

Board of Education

Superintendent

CFO AS AS AS

Budget Committee

Division Head: Division Head:

Elementary Secondary

Elementary Secondary Building

Building Principal Principal
Chapter 11: Budgeting and School Facilities

Financial Controls
► What are the purposes of financial
controls?
 Assist principals in acquiring, allocating, and
evaluating the use of financial resources
 Allow districts to pay short- and long-term
debts
 Protect districts from theft, fraud, etc.
► Two types: internal control and financial
audits
Chapter 11: Budgeting and School Facilities

Internal Control
► The policies and procedures used by a district to
safeguard assets and verify accounting data
► Effective internal control should include…
1. Clear, formal organization
2. Accounts for each administrative unit
3. Handling and record keeping of assets should not
be done by the same employee
4. No one person has control over all phases of any
given transaction
5. No redundant work, but employees should check
work
Chapter 11: Budgeting and School Facilities

Financial Audits
► Independent appraisal of district’s
accounting, financial, and operational
systems
► Two types…
 External: conducted by experts outside of the
district to verify district accuracy
 Internal: conducted by district employees to
examine the accuracy of financial reports
What would be the various advantages and
disadvantages to external and internal audits?
Chapter 11: Budgeting and School Facilities

Zero-Base Budgeting
► A district starts the budgeting process at
zero every year
► Not just adjustments to last year’s budget;
EVERY expenditure must be justified
► AN ALTERNATIVE
Three steps:
BUDGETING SYSTEM…
1. Identify Decision Units
2. Develop Decision Packages
3. Rank the Decision Packages

What parts of a district’s organization would be

best served by zero-based budget and why?
Chapter 11: Budgeting and School Facilities

Planning-Programming-Budgeting
Systems
► Similar to ZBB, but not all programs need
be justified
► The basic steps:
1. Specify goals
2. Search for relevant alternatives
3. Measure the costs of the programs for several
years
4. Evaluate the output of each program
The textbook states that “PPBS has not been the
great tool in practice that its logic would imply.” Why
might this be?
Chapter 11: Budgeting and School Facilities

School Facilities Management

► Principals in the 21st century must be aware
of:
 Rising school infrastructure costs
 New school constructs costs
 Environmental hazards inherent with aging facilities
Chapter 11: Budgeting and School Facilities

School Infrastructure Costs

► Infrastructure = the physical facilities that
make up a school building (plumbing,
heating, electrical, sewer, etc.)
► Which areas do you think would have the
schools in the best/worst condition?
► How much of one’s budget should be
allocated to these costs?
 Experts say 5%, but most schools put aside
only 3%
Why are schools falling apart and why do
repairs cost so much?
Chapter 11: Budgeting and School Facilities

1. Age of facilities
2. Energy prices
3. Weather conditions
4. Density and vandalism
5. Newer buildings
6. “A ticking time bomb”: most
educators and the public simply
do not pay attention to the ailing
infrastructure of America’s schools
Chapter 11: Budgeting and School Facilities

Financing School Construction

► With ever increasing public school
enrollments, building new schools will
become a large factor in many districts
throughout the country. According to the
text, what are some unique challenges that
building new schools brings about? How are
schools built today fundamentally different
from schools built decades ago?
Chapter 11: Budgeting and School Facilities

Environmental Hazards
► Every principal should be aware of:
 Asbestos
 Radon gas
 School lead
 Indoor air quality
 Electromagnetic fields

What dangers do each of these hazards

present and how might a principal safely
handle each?
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 Chapter 12:
Creating Safe Schools
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 12: Creating Safe Schools

School Violence and Drug Use

►What does the research say?
 Read the bulleted points from the
selected studies presented in the text.
 Do these findings surprise you? Why/why
not?
 Brainstorm some action plans and
strategies that a principal could
implement to address the trends
identified in these studies.
Chapter 12: Creating Safe Schools

An Action Plan: 6 Strategies for

Success
1. Predict School Violence
2. Prevent School Violence
3. Focus Resources on Schools
4. Strengthen the System
5. Develop a Crisis Management Plan
6. Create an Orderly Climate for Learning
These strategies are, of course, not meant to be used in isolation
of one another; a combination of all or some of the strategies,
depending on your school climate, will surely help you create a
safe school.
Chapter 12: Creating Safe Schools

Strategy #1: Predict

School Violence
 Collect and analyze data
 Identify problem students and provide
support
 Identify problem teachers and provide
support and training
Chapter 12: Creating Safe Schools

Strategy #2: Prevent

School Violence

► Toughen Weapons Laws: What specific

policies should a principal advocate in order
to achieve this?
► Deal with Violent Students: What specific
strategies should a principal use?
Chapter 12: Creating Safe Schools

Strategy #3: Focus

Resources on Schools

► Fund the Basic Education Program

► Teach Violence Prevention
► Establish Task Forces

How could a principal implement this

strategy considering the other financial
demands a school faces?
Chapter 12: Creating Safe Schools

Strategy #4:
Strengthen the System

► Improve the Juvenile Code

► Create a State Center for the Prevention of
School Violence

How, realistically, can a principal affect these

systems that are seemingly out of their
jurisdiction?
Chapter 12: Creating Safe Schools

Strategy #5: Develop a

Crisis Management Plan
► Form a School-wide Crisis Management Team
► Conduct an Ongoing, School-wide Safety Audit
► Develop Policies and Procedures for Various Emergencies
► Conduct Safety Drills
How could you best communicate the need to
► Develop a School-wide Discipline Plan
follow
► Provide these
a Means steps to
for Students a resistantInformation
to Communicate staff? to
Staff
► Teach Students Alternatives to Violence
► Evaluate Administrative Practices of the School
► Use Resources to Identify Students “At-Risk” for Violent
Behavior
Chapter 12: Creating Safe Schools

Strategy #6: Create an

Orderly Climate for Learning
► Establish and Emphasize Goals
► Establish Rules and Procedures
► Improve Teacher-Student Relations in the
Classroom

What specific rules and procedures would be

most helpful in creating a safe school?
What specific strategies can a principal and/or
teacher use to improve teacher-student relations?
Chapter 12: Creating Safe Schools

Consider…
► What are the pros and cons of each of the
six previous strategies?
► Beside creating safer schools, what are the
other positive outcomes of these strategies?
► Which of the strategies (or combination of
strategies) would you be most likely to
implement in your school and why?
► Beyond these six strategies, what else can
principals do to ensure that their school is a
safe one?
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 Chapter 13:
Human Resource
Management
Standard 3: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
managing the organization, operations, and resources
in a way that promotes a safe, efficient, and effective
learning environment.
Chapter 13: Human Resource Management

The Human Resource Management Process

Recruitment

Selection
Legal Union
Constraints
Demands
Staff
Development

Performance
Appraisal
Chapter 13: Human Resource Management

Recruitment of Staff
► Before recruitment can commence,
principals should:
 Analyze the job requirements: refer to job
descriptions and job specifications
 Know and understand legal constraints involved
in recruitment: consult Table 13-1
 Cultivate the sources of potential employees:
promotion within a district, college placement
offices, advertisements, referrals, job fairs,
teacher recruitment consortiums
Chapter 13: Human Resource Management

Selection of Staff
Typical steps in staff selection:
1. Preliminary screening of credentials
2. Preliminary interview
3. Testing
4. Reference Checks
5. In-depth interview
6. Physical examination
7. Hiring decision
The most complications usually arise in the interview
process…
Chapter 13: Human Resource Management

The Interview Process

► Typical problems:
 Interviewer is unfamiliar with the job
 Interviewers make premature decision based on
first impressions
 Interviewers impose personal biases on the
applicants

How to improve the process

Chapter 13: Human Resource Management

A Better Interview Process Will Include…

 Use of a structured interview format
 Explicitly trained interviewers
 The interview as ONE aspect of the selection process
 Candidates that are given interviews only after
references are checked
 Candidates whose files are screened for completeness
 Sufficient time for each interview
 Mailing candidates two or three questions prior to
interview
 Name cards placed in front of each interviewer
 An evaluation form regarding the interview experience
given to each candidate
Chapter 13: Human Resource Management

DO ASK ABOUT…
 Why applicant wants to teach at school/district
 What can applicant bring to the school that is
uniquely theirs
 Why type of grading criteria is used
 How applicant keeps current in the field
 What has applicant done to develop professionally
 What is applicant’s view of the relationship between
faculty and administration
What are some other insightful and
helpful interview questions that you can
think of?
Chapter 13: Human Resource Management
DO NOT ASK ABOUT…
 Age
 Financial condition
 Prior wage garnishments
 Home ownership
 Disabilities
 Marital status
 Where spouse works
 Pregnancy or medical
history
 Ages of children
 Military experience
 Religious observance
 Ancestry, nation of
origin, place of birth,
original language, etc.
 How applicant learned
a foreign language
 Membership in clubs
that would indicate
race, color, sex, etc.
 Names and addresses
of relatives not working
for the district
 How long applicant
intends to work
Chapter 13: Human Resource Management

Staff Development
► Assess Staff Development Needs: Review the
three methods listed in the text. What are the
benefits to these methods?
► Set Staff Development Goals: Why is an
understanding of the three categories of
objectives necessary for a principal seeking to
improve staff development?
► Select Staff Development Methods: Examine the
table that identifies widely used methods. Which
of these (or combination thereof) do you think
would be most effective and why?
Chapter 13: Human Resource Management

Staff Development (cont’d)

► Evaluate Staff Development Program: Why are the
questions relating to staff development outcomes
important to ask?
► Induct Beginning Teachers: Recall how it felt when
you first became a teacher. What information do you
wish you had been given? What specific strategies can
principals use to aid beginning teachers?
► Improve Support for Beginning Teachers: Which of the
recommendations listed to help principals work with
beginning teachers could you most easily implement
at your school? Can you think of any other specific
strategies that would help achieve similar results?
Chapter 13: Human Resource Management

Staff Performance Appraisal

► Appraisal Techniques
 Nonjudgmental methods
 Judgmental methods
► Common Rating Errors
 Too strict or lenient
 Central tendency
 Single dimension
 Halo effect
 Recency of events
 Personal bias and first impressions
Chapter 13: Human Resource Management

Modern Appraisal Techniques

► Clinical Supervision:
1. Pre-observation conference
2. Observation
3. Analysis and strategy
4. Supervision conference
5. Post-conference
► Goal Setting
1. Supervisor and teacher meet to determine goals
2. Supervisor and teacher meet to appraise performance in
terms of goals set
As a teacher, which appraisal techniques did/do you
prefer? Why? As a principal, which do you think you will
employ?
Chapter 13: Human Resource Management

Union-Management Relations
► Why must a principal work hard to create and
maintain positive union-management
relations?
► The Collective Bargaining Process
 Bargaining team selection
 Negotiations
 If negotiations are successful  ratification
 If negotiations are not successful  impasse
1. Mediation
2. Fact Finding
3. Arbitration
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 Chapter 14:
Community Relations
Standard 4: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
collaborating with families and other community
members, responding to diverse community interests
and needs, and mobilizing community resources.
Chapter 14: Community Relations

The Principal as a “Boundary

Spanner”
► A principal should be a bridge between
the school and external constituencies
Chapter 14: Community Relations

Leading Community Efforts

during Catastrophe
► Schoolsbecome a lifeline. Why is this?
► What a principal can do:
 Establish means of communication
 Assess damage quickly and make accommodations
 Prioritize needs and establish authority to make decisions
 Address emotional and survival needs of staff and students
 Arrange for training and support for mental health caregivers
(prior to a catastrophe)
 Provide feedback to media
 Identify and secure available resources
 After a catastrophe, encourage creative lesson planning that
uses lessons learned
Chapter 14: Community Relations

Leading School, Family, and

Community Involvement
► Community = just parents
► What members of any given community
might be most helpful to a school?
► Why is it important that a principal learn to
serve as a leader of this community and not
just the school?
Chapter 14: Community Relations

Leading School, Family, and

Community Involvement (cont’d)
► Epstein’s types of ► Communication
involvement: avenues:
 Orientation meetings
Research demonstrates
 Parenting that parental
 Newsletters
involvement
 Communicating
What are the is a key factor in students’
 School handbook
academic
 Volunteering
advantages and achievement, self-
 Programs for families
 Learningconfidence,
disadvantages to eachand attitude
at home toward
 Suggestion box
 of school.
Decision
these makingWhat can a principal
avenues? do to
 Home visits
encourage
 Collaboration with and promote parental
 Conferences
involvement, especially
community for minority
 Journals
 Comprehensive groups? Personal notes
partnerships  Phone calls
Chapter 14: Community Relations

School-Community Relations
“Educational public relations is a planned and
systematic management function to help
improve the programs and services of an
educational organization. It relies on a
comprehensive two-way communication
process…[to] assist in interpreting public
attitudes, identify and help shape policies and
procedures in the public interest, and carry on
involvement and information activities that earn
public understanding and support.”
The National School Public Relations Association
Chapter 14: Community Relations

School-Community Relations (cont’d)

To develop two-way communication and collaboration
within a community, the NPSRA suggests:
► Anticipate problems ► Promote school’s
► Handle all school strengths
publications ► Publicize staff and
What else
► Write news releases
can a principal do
student achievement
to create
► Stay connected strong community
to budget ► Answer request for
process relations?
information
► Develop communication
► Provide PR training for
plan
staff
► Conduct formal and
informal research to ► Serve as liaison to
gauge public opinion community groups
Chapter 14: Community Relations

Public Relations
► Strong PR programs follow these basic steps:
1. Research
2. Action plan
3. Communicate
4. Evaluate

Read “A Young Principal’s Story.” Identify and

evaluate the principal’s use of this process.
Compare this principal’s actions with those of the
principal in “A Seasoned Principal’s Story.”
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 Chapter 15:
The Principal and Ethics
Standard 5: Candidates who complete the
program are educational leaders who have
the knowledge and ability to promote the
success of all students by acting with
integrity, fairly, and in an ethical manner.
Chapter 15: The Principal and Ethics

What Is an Ethical Principal?

► “One who, in the face of adversity,
ambiguity, and challenge, will reflect on
what is right by some set standard or code
and will act in a rational and caring manner
to resolve problems and conduct business.”
► Do you agree with the text’s definition(s) of
an ethical principal? What are some of the
obstacles that might prevent a principal
from behaving ethically? How might you
overcome those obstacles?
Chapter 15: The Principal and Ethics

Philosophical Concepts of Ethics

► Rights ► Character,
► Freedom
Considering each
Commitment, and
concept individually,
► Responsibility and
Formality
Authority why must a►principal
Conflict of Interest
► Duty be aware ►ofLoyalty
each
► Prudence
► Justicein order to behave ethically?
► Equity ► Critique

► Caring ► Profession
► Moral Imperative
Chapter 15: The Principal and Ethics

Ethical Behavior in Schools

► Promoting Ethical Behavior in Athletic
Programs
 Why is this an issue? Has it become more of an
issue in recent years? Why do you think this is?
 Consider:
1. Athletes must be considered ends and not means
2. Competition must be fair
3. Participation, leadership, resources, and rewards must
be based on achievement
4. Activity must be safe for participants

How do these principles sustain traditional values?

What other principles should an administrator be
mindful of concerning athletics?
Chapter 15: The Principal and Ethics

Ethical Behavior in Schools: Promoting Ethical

Behavior through Character Education
1. Education Is an 5. Schools Are
Inescapable Moral Communities of Virtue
Enterprise 6. Character Education
2. Parents Are Primary Moral Goes beyond Academic
Educators of Children Curriculum
3. Character Education 7. Character Creation Is
Develops Virtues an Essential and
4. Teachers, Principals, and Demanding Life Task
Staff Are Central to
Character Education
What are the benefits to character education and how can these
7 principles help you develop a character education program?
Consider how you would work with your superintendent, school
board, and other administrators.
Chapter 15: The Principal and Ethics

National and State Codes of

Ethics for Principals
► Rationale for a Code of Ethics
 Provide guidelines for conduct
 Establish accountability and protect students
How do the guidelines and self-assessment
 Serve as catalyst for job improvement
tools supplied by these national agencies
Nationalthe
►support Associations (click
rationale for for website)
a code of ethics?
 American Association of School Administrators
 National Association of Elementary School
Principals and the National Association of
Secondary School Principals
 National Education Association
Chapter 15: The Principal and Ethics

National and State Codes of

Ethics for Principals (cont’d)
► Review the sample state codes in the text.
► How do these codes support the concepts
and principles discussed earlier in the
chapter?
► Does your state supply a Code of Ethics for
Educators? How does it help to ensure that
educators and administrators behave in an
ethical manner? Is there anything missing
for your state’s code that you think would
be helpful?
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 Chapter 16:
Political and Policy Context
Standard 6: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
understanding, responding to, and influencing the
larger political, social, economic, legal, and cultural
context.
Chapter 16: Political and Policy Context

Policy: A Historical Perspective

► As far as policy is concerned, what is the
importance of the following terms and events?
 Brown vs. Board of Education
 Differentiated curriculum
 Equity
 Socio-economically disadvantaged
 Public Law 94-142
 Accountability
 Data-driven decision making
 English Language Learner
Chapter 16: Political and Policy Context

Policy
► Read the various definitions of policy in the text.
What are the commonalities in these definitions?
What is policy?
► Levels of relationship to policy
 Orientation
 Degree
 Resources
 Activity
 Autonomy
 Societal Values
 Instructional Values
 Rationale
 Power Relationships
Chapter 16: Political and Policy Context

Policy Theory
► Systems Theory
► Neo-pluralist Advocacy Coalition and Interest
Group Theories What different insights
regarding policy can be
► Neo-institutional Theory gleaned from each of
► Critical Theory the mentioned theories?
Why is it important for a
► Feminist Theory principal to have a
working knowledge of
► Postmodernism
these theories? What
► Ideological Theories are the practical
applications of these
theories?
Chapter 16: Political and Policy Context

Dimensions of Policy
► Normative dimension
► Structural dimension
► Constituentive dimension
► Technical dimension

Take a close look at Figure 16-2 to

understand how these dimension interact to
create policy
Chapter 16: Political and Policy Context

Politics
► What is your definition of politics?
► How does your definition compare to those
given the text?
► Which of Apple’s groups would you place
yourself in? The majority of teachers and
staff at your school? The majority of the
stakeholders in your community? Why is it
important to identify these groups?
► Why must a principal be constantly aware of
the politics of education?
Chapter 16: Political and Policy Context

Types of Educational Politics

► PluralistMaintenance Politics
► Adversarial Politics
► Democratic Politics
► Unitary Politics
► Consolidated Principal Power
The text states that “there are five perspectives on
school politics that might be beneficial to principals to
understand within their own political, school contexts.”
What are the similarities and differences between these
perspectives and how can an understanding of them be
beneficial to a principal?
Chapter 16: Political and Policy Context

Politics: Working with the Superintendent

and Other External Forces
► What is Davis’s take on the politics of principal
evaluations? Why would this important opportunity
for self-reflection cause tension between a
principal and superintendent?
► Read the eight suggestions for working within
political systems and with superintendents. Do you
find these tips useful? Why/why not? Can you
think of any other suggestions for working with
the various political components of a district to
ensure the quality education of all students?
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 Chapter 17:
Legal Issues
Standard 6: Candidates who complete the program are
educational leaders who have the knowledge and
ability to promote the success of all students by
understanding, responding to, and influencing the
larger political, social, economic, legal, and cultural
context.
Chapter 17: Legal Issues

Legal Basis for Public Education

► Obviously, any administrator and educator
needs to ensure that all of their actions are
lawful. The following slides will briefly
outline the various sources of educational
law.
Chapter 17: Legal Issues

Sources of Law: Federal

► The United States Constitution
 Education is NOT specifically mentioned in the Constitution,
so how can the federal government regulate it?
► Federal Statutes
 Elementary and Secondary Education Act of 1965
 No Child Left Behind Act of 2002
 Civil Rights Acts of 1964 & 1991
► Federal Administrative Agencies
 Department of Education
 Office of Civil Rights
 Equal Employment Opportunity Commission
 Environmental Protection Agency
► Case Law
 What power does the Supreme Court have concerning
education?
Chapter 17: Legal Issues

Sources of Law: State

► State Constitutions
► State Statutes
► State Administrative Agencies
► Case Law
► Local Level (school districts and service
centers)
What is the purpose and jurisdiction of each of the
above sources for state education law?
Chapter 17: Legal Issues

Sources of Law: Judicial

► Federal Courts ► State Courts
State Supreme Court
U.S. Supreme Court

Intermediate Appellate Courts

U.S. Circuit Courts (13)

Courts of General Jurisdiction

U.S. District Courts (89)
(Superior and Circuit Courts)

Courts of Limited Jurisdiction

(Municipal and Small Claims)
Chapter 17: Legal Issues

Schools and the State

The following are the most common and pervasive
issues administrators face concerning state and local
legal authority in education  Equal Access Act
 Compulsory School  Released Time for
Attendance Religious Instruction
 Residency Requirements  State Aid to Private
Schools
 Church-State Relations
 School Fees
 Prayer and Bible Reading
 Transportation
 Silent Prayer  Textbooks, Courses,
 Prayer at Graduation and and Supplies
Extracurricular Activities  Extracurricular
Activities
Chapter 17: Legal Issues

Schools and the State (cont’d)

► State’s control over ► State-mandated
curriculum: performance testing:
 School districts must offer  Strongly supported by
curriculum prescribed by NCLB
the legislature or law  Most controversy centers
 Recent cases uphold around using tests as
district’s power to ban graduation requirements
certain curriculum (but
not for purely religious What can a principal do
reasons) to minimize litigation in
these matters?
Chapter 17: Legal Issues

Students and the Law

► Can a student, legally, say whatever they
want in a school? Why or why not? What is
and is not protected by the First
Amendment?
► Can a student, legally, dress any way they
see fit while in school? Why or why not?
What are regulations concerning health and
safety standards, gang-related dress,
controversial slogans, and school uniforms?
Chapter 17: Legal Issues

Students and the Law (cont’d)

► Extracurricular Activities
 Conditions may be attached to participation in
extracurricular activities
► Student Discipline
 What are the stipulations for suspensions,
disciplinary transfers, and expulsions?
 27 states ban corporeal punishment
 Protection from unreasonable search and
seizure must be balanced with the need to
maintain a safe school environment
Chapter 17: Legal Issues

Students and the Law (cont’d)

► Students with disabilities
 As discussed in Chapter 6, a principal must be
very aware of the laws, acts, and legislation
concerning students with disabilities
 The most significant act, IDEA, assures that
students with disabilities 1) receive a free
appropriate education, 2) are prepared for
employment and independent living, 3) have
their rights protected, and 4) receive
appropriate services from the state
Chapter 17: Legal Issues

Teachers and the Law

► Certification:What are the standards for certification
in your state?
► Contracts:
 Offer and acceptance
 Competent parties
 Consideration
 Legal subject matter
 Proper form
► Tenure:
 Does your state provide tenure for teachers and other staff?
► Dismissal:
 Each state mandates proper procedure. What is your state’s
procedure?
Chapter 17: Legal Issues

Teachers and the Law: Sexual Harassment

► Litigated under Title VII of the Civil Rights Act
of 1964 and Title IX of the Education
Amendments of 1972
Discourage with:
► Includes
No-tolerance policy
WideSexual bribery
dissemination of
Sexual imposition
policy
Gender
Easy harassment
complaint filing
Sexual and
Prompt coercion
objective
 Sexual behavior
investigation
Appropriate remedial
action
Chapter 17: Legal Issues

Teachers and the Law: Discrimination

Federal statutes prohibit discrimination based
on:
 Race
 Gender
 Disabilities
 Age
 Religion
 Pregnancy
Chapter 17: Legal Issues

Teachers and the Law: Collective

Bargaining
► Constitution protects free association rights but
does not guarantee collective bargaining
► Bargaining issues to be aware of:
 Management rights
 Narrow grievance definition
 No-strike provision
 Zipper clause
 Maintenance of standards
 Just cause
 Reduction in force
 Wages and benefits
Chapter 17: Legal Issues

Teachers and the Law: Collective

Bargaining (cont’d)
► The Bargaining Process
 Negotiating team selected
 Negotiations commence
 In the event of an impasse:
1. Mediation
2. Fact finding
3. Arbitration
► Bargaining Tactics:
 Counterproposals
 Tradeoffs
 Caucus
Chapter 17: Legal Issues

Tort Liability
► Tort = civil wrong (not contracts) for which a
court can award damages
Defense against
To establish
negligence:
negligence:
 Contributory
 Duty
negligence
 Standard of care  Assumption of risk
 Proximate cause  Comparative
 Injury negligence
 Governmental
immunity
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