The Training and Development of School Principals: A Handbook (The Greenwood Educators' Reference Collection)

The Training and Development of School Principals

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THE TRAINING AND DEVELOPMENT OF SCHOOL PRINCIPALS A HANDBOOK Ward Sybouts and Frederick C. WendeI

The Greenwood Educators’ Reference Collection

GREENWOOD PRESS Westport, Connecticut London

Library of Congress Cataloging-in-PublicationData

Sybouts, Ward. The training and development of school principals :a handbook I Ward Sybouts and Frederick C. Wendel. p.cm.-(TheGreenwoodeducators’referencecollection, ISSN1056-2192) Includes bibliographical references and index. ISBN0-313-28556-X (alk. paper) 1. School principals-Training of-United States-Handbooks, manuals,etc.1.Wendel,FrederickC. 11. Title. 111. Series. LB2831.92393 1994 1.2’012-dc20 37 94-1 1222 British Library Cataloguing in Publication Data is available. Copyright 0 1994 by Ward Sybouts and Frederick C. Wendel All rights reserved. No portion of this book may be reproduced, by any process or technique, without the express written consent of the publisher.

Library of Congress Catalog Card Number: 94-1 1222 ISBN:0-313-28556-X ISSN:1056-2192 First published in 1994 Greenwood Press, 88 Post Road West, Westport, CT 06881 An imprint of Greenwood Publishing Group, Inc. Printed in the United States

of America

The paper used in this book complies with the Permanent Paper Standard issued by the National Information Standards Organization (239.48-1984) 1098765432 Every reasonable effort has been made to trace the owners of copyright materials in this book, but in some instances this has proven impossible. The authors and publisher will be glad to receive information leading to more complete acknowledgments in subsequent printings of the book and in the meantime extend their apologies for any omissions.

This book is affectionately dedicated to our wives, Suzie Sybouts and Judy Wendel.

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Contents FIGURES AND TABLES PREFACE ACKNOWLEDGMENTS

1. Introduction to the Principalship Historical Perspective Expectations Placed on Principals, Then and Now The Importance of the Principal as Instructional Leader Climate Staff Development Program Development CommunityLeadership Career Ladder and Professional Development Summary Notes 2.

xi

...

x111

xv

1 1

2

3 7

7

8 8

12

13

14

Effective Principals: EffectiveSchools

15

Introduction Effective Principals: Managers and Leaders The NASSP Assessment Center Principals’ Characteristics of the National Commission for the Principalship Theory Summary Notes

15

15 23

27

29 40 41

Contents

viii

3. The Setting in Which the Principal Works

Introduction Types of Attendance Units Classification of Schools The School District and Community The Environment and the Mission of Schools Summary Notes 4. Legal Aspects of the Principalship Introduction The Legal Basis of School District Organization Tort Liability Student Rights The Rights of Teachers and Staff Members Contemporary Issues Ethical Responsibilities of Principals Summary Notes 5 . The Use of Prime Resources

Introduction The School Calendar The Master Class Schedule Constructing an Elementary School Schedule Constructing a Secondary School Schedule Time Management Assigning Staff and Rooms Information-A Prime Resource The Human Resource Prime Resources and Reforming Schools Summary Notes

6. Leadership of Human Resources Introduction Motivation Human Resource Planning Recruitment Selection Induction Staff Development Supervision and Evaluation

45 45 45 52 56 62 63 63

65 65 67 70 76 86 90 92 93 93

95 95 95 97 98 99 118 119 120 121 124 126 126

129 129

130 132 135 139 145 148 155

Contents

Summary Notes

7. Program Development and the Management of Change

8.

ix

167 168 173

Introduction A Prelude to Program Planning Systems Theory and Program Development Planning for Program Development (A Systematic Approach) The Discipline of Planning Programs for All Students Resources for Program Planning Planning for and Managing Change Summary Notes

173 173 175 176 182 183 184 185

Managing Student Services

189

Introduction Values, Culture, and External Influences Admission and Attendance Guidance and Counseling Limited English Proficiency Programs Regular Education Initiative Learning Styles Intensive Education Career Counseling Crisis Intervention Student Conduct and Discipline Due Process Health Services and Safety Student Records School-Family Partnerships Follow-up Studies Summary Notes

190 195 20 1 205 207 208 209 210 210 213 218 223 227 23 1 233 233 234

9. ManagingSchool Activities Programs Introduction Philosophical Considerations for School Activities The Place of School Activities Setting Goals and Planning for School Activities Staffing School Activities Scheduling School Activities Managing School Activities Budgets Evaluating School Activities

186

187

189

237

237 238 239 247 255 255 256 256

Figures and Tables

FIGURES 3.1 Percentage of Public and Private Schools Offering Various Programs and Services, 1990-91

47

3.2 Percentage of Tenth- to Twelfth-Grade Public and Private

5.1 5.2

5.3

5.4 5.5

5.6

5.7 6.1

6.2

School Students in Academic or College Preparatory Programs, 1990-91 (by community type) Steps Involved in Building a Master Class Schedule Conflict Matrix Floating Block Schedule for a Seven-Period Day Floating Block Schedule with Music Program Scheduled for Student Body on Wednesday Floating Block Schedule with Split Activity Periods Eight-Period Floating Block Schedule Combination Flexible Block-Intensive Time Schedule and Traditional Secondary Schedule Position Analysis Sample Job Analysis Questionnaire

48

103 106 109

110

111 112 114

134

136

TABLES 3.1 Percentage Distribution of Schools and Students by Selected Characteristics, 199G91

46

gures

xii

and Tables

8.1 Allocation of Time and Resources in Elementary, Middle, and Secondary Schools 12.1 Data Collection Instruments

202 314

Preface

American education has always been in transition. Inthe current educational scene, however, there are accelerated changes and conflicting demands that have placed the principal, who is pivotal to the current quality of education and the future of schooling for children and youth, in a highly strategic position. Information is presented in this handbook to assist prospective and practicing principals in managing safe and productive schools; at the same time, the material offered may assist in providing leadership for schools of the future. The scope of this handbook has been determined in large part by practicing principals in the United States who have demonstrated an ability to lead a school to a level of recognized excellence. More important, the scope of this text has been influenced by the philosophy that the children and youth of our society are our most valuable and preciousresource andthatto provide them with anything but the best possible education is unconscionable. Inthefirst chapter, an introduction to the principalship from an historical perspective is given. In the second chapter, the authors have analyzed the traits of an effective principal, and in the third chapter the nature of the work setting for principals is described. Sinceeducation isfounded on governmentaland legal principles, considerations that emerge fromthe legal parameters of the principalship are discussed in the fourth chapter. The topic of the fifth chapter is the efficient management and use of prime resources, which include the use of time and space, information, and human resources; the principal as a leader is addressed in the sixth chapter. Program development is presented in the seventh chapter, and the management of student services is the subject of the eighth chapter. The management of school activities as a part of the total program of the school is discussed in Chapter 9. Business management from the perspective of the building administrator is presented in Chapter 10. The topic of school

xiv

Preface

and community relations is presented in the eleventh chapter, and the topic of evaluation is addressed in Chapter 12. In the final chapter, a discussion of the future of the principalship is presented. We hope that this handbook will be of assistance to educators as they face the responsibilities of managing and leading individual schools to quality education. This book is dedicated to the children and youth who attend the elementary, middle, and senior high schools of our country.

Acknowledgments Many graduate students at the University of Nebraska-Lincoln contributed ideas, stimulation, andbackgroundmaterial forthis book. The contributions of the following are gratefully acknowledged: John Balk, Jean Bartels, Sandy Burrell, Troy Casper, Raymond Collins, Carmen Currey, Camala Denman, Lana Daws, ReesaEisler,KellyEls-Schrad, Gary Gross,BarbFitzgerald, Shari Hoffman, BarbaraHopkins,SusieKanter, Rick Kentfield, Nancy Kindig, Deborah Kippley, Roddie Miller, Patrick Nizzi, Theresa Ourada-Sieb, Wendy Potter, Robert Reznicek,ShirleyRine, Joanna Rogers, John Rooney, Mary LynnSchaffer, MichaelShea,KarenSookram,BonnieSpomer,DebStephenson,CarolSundermeier, Susette Taylor, Judy Troxel, Dennis Van Horn, Mary Whitaker, Gary Williams, Robert Williams, and Doug Wragge. "F.C.W.

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The Training and Development of School Principals

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1 Introduction to the Principalship The job of a building principal is a combination of many things. The content and philosophy contained in this text are reflections of only a small part of the literature and knowledge base regarding building administration in a local educational agency. Not only are there great expectationsplaced on principals, but these expectationsare imposed in the midstof a culturethat is in rapid transition. Consequently, no single text or reference can contain all the information needed by building principals. Thistext is designed to serve as a handbook and presents to prospectiveand practicing building administrators contentthat is steeped with a philosophy grounded in patterns of cultural change. In this book the building administrator is considered to be the key figure in leading staff members, parents, and a student population to higher levels of educational attainment and a conviction that schools will have to be led into new configurations of organization, staffing,program and instruction, technology, parent and patron involvement, and accountability. Whether viewing education as a cultural and economic necessity or looking at it from the perspective of the self-fulfillment of each individual, the educational enterprise is of the highest order of importance for the survival of our nation and for the well-being of each individual.

HISTORICAL PERSPECTIVE The headmaster in early American schools was appointed when the number

of students and teachers became so large that boards of directors or elders in the church saw a need for management and control over staff and students. The headmaster was the point of accountability and was given the authority, almost dictatorial in proportions, to carry out the wishes of the board of education. While the headmaster was constrained by laws, the wishes, mores, and values

2

Training and Development of Principals

of the local governing board provided the primary set of guiding principles for the headmaster. The puritanical influence of the culture was clearly reflected in the expectations placed on headmasters, who in turn extended the same expectations to teachers and students. The “supervisory” influence of a headmaster extended to the teachers for virtually twenty-four hours each day and seven days eachweek. No improprieties or deviations from the norms and expectations would be tolerated, and the headmaster was the enforcer. The tight supervisory control of administrators over classroom teachers in public schools was maintained autocratically until approximately the middle of the current century. As the westward expansion occurred and schools emerged across the continent, principals were not immediately found in every schoolhouse; most schools were one-room institutionsin which only a small number of rural students were served. Local school boards employed teachers and assumed the responsibility for supervising their employees and communicating their expectations. As settlements grew and clusters of population emerged, with the accompanying growth in school population, schools with sufficient rooms were built and staffed with teachers to accommodate the growth in student population. Consequently, school board members responsible forgoverning larger schools felt the necessity of employing an administrator. Often the administrator taught part time, served as the building administrator, and was responsible to the board or the superintendent. Ultimately, as homes were constructed and communities increased in population, grade schoolsand high schools were built. With the increase in grade schools and high schools, a superintendent was employed by the board of education to oversee the district, and a principal was hired to manage each building. With the growth of school districts, building administrators were employed with the primary responsibility of administering a single attendance unit; this building administrator became known as the principal.

EXPECTATIONS PLACED ON PRINCIPALS, THEN AND NOW Perhaps one of the major changes in the principalship has been the range of expectations placed onthe position; these expectations have moved from demands for management and control, with presumptions for forced compliance, to the demand for an educational leader who can foster staff development, program improvement, parent involvement, community support, and student growth. These shifting expectations would not be easy to articulate in a stable culture. To exact major changes and expectations for building principals in a dynamic and changing culture becomes increasingly difficult. Prospective principals should determine what set of expectations they want to embrace and decide what kind of leaders they choose to be. To make such a determination requires an historical perspective of education, an appreciation of the culture inwhichthe American educational system functions, a clearly

Introduction

3

articulated set of educational values, a sophisticated level of knowledge about how people learn, skill in management, and a deep understanding of self. Those who would serve in the role of building administrator should self-reflect and gain an understanding of why the principalship is sought. Prospective principals should be able to strip away all pretense and be honest about their reasons for seeking a principalship. If the prospective principal’s motives are not comparable to those of an instructional leader who enhances the quality of education for each and every pupil, further introspection may be needed. Prestige, power, or money are insufficient reasons to seek a position as a building administrator. A successful coach in a secondary school applied forandwas awarded the job of principal. After two years as a building principal, the ex-coach activated his credentials, began visiting for extended periods of time with traveling sporting goods salesmen (who have often served as placement agents), and actively sought a coaching job. From his perspective he found being a principal unfulfilling; in private conversations he expressed frustration with the expectations placed upon him. He commented, “I want to get back into coaching, where everybody jumps when I blow a whistle. I need to feel like I’m in control.” In retrospect, the coach’s motivations were based on his desire to control rather than his wish to bean instructional leader. As a result hewas, as the saying goes, “a fish out of water.” THE IMPORTANCE OF THE PRINCIPAL A S INSTRUCTIONAL LEADER Leadership may be the first and most important requisite for a good principal. Volumes have been written about leadership: the qualities of a good leader, characteristics of effective leaders, leadership styles,or the role and function of leadership. The need to ask what direction the leadership is to go or what mission is to be accomplished accompanies the various definitions and descriptions of thedimensions of leadership. If good and effective leadership are tobe viewed as the same, one can suggest that Hitler was a good leader; if not a “good” leader, he was an “effective” leader because of what he was able to accomplish. Although Adolph Hitler never reached his ultimate goal, he made great strides toward achieving his desires. He was so effective in his leadership ability that he caused the civilized world to coalesce into a unified effort to turn him back from achieving his desired ends. Few people inthe history of the civilized world have had as great an impact, negative though it was, as Hitler. His loathsomegoals, and the barbaric means he employed to achieve them, caused his final demise, but not until he had involved most of the world in the worst holocaust in world history. Using the extreme example of Hitler as a leader reveals that a person can be a powerful and effective leader and achieve negative or disastrous results; however, in education a good leader is one who also possesses noble intentions based on sound educational values. At one time leadership expectations were placed upon the building principal

4

Training and Development of Principals

to maintain control of teachers, students, and program. As well recognized as Machiavelli is as a political philosopher, one should note that he was writing from a perspective that came from a time, place,and culture different from our own. Thus, as English has suggested,Machiavelli (1469-1527) has cast a “400year shadow over the principalship.”‘ The modern principal must rise above Machiavellian practicesof deceit and coercion, leading from aposition of power, and embrace strategies drawn from what is known about territoriality as well as human motivation, involvement, and empowerment. Powershifts, as described by Toffler, not only are experienced in the international, business, and political arenas but can be seen in the educational enterprise fromthe global level to the local setting.* InMachiavellianterms, power is something possessed by executives and wielded over subordinates in order to maintain compliance and control. In the shifting world of education, however, power is based on a different set of principles and values. Power can no longer be viewed as a divisible commodity jealously possessed by an individual or a groupof individuals; power is instead a commodity that can be enhanced and multiplied by knowing how to involve others and by sharing that power. Thus, the shifting pattern of power requires of the leader a new philosophy and a higher level of personal security, accompanied by knowledge and skills not required of leaders from past generations. There is adistinction between “commandership” and “leadership.” On a continuum that goes from “followership to “commandership” to “leadership,” one can identify where different persons may function. At one extreme of the scale-followership-individuals can be found who are incapable of selfdirection and who canfunction only if given direction orinstructions. Continuing from the extreme end of the scale labeled followership, individuals can be identified who are capable of self-direction and who can assume some minimal duties of commandership. Such individuals can be depended upon to complete the duties assigned to them and, on occasion, relay directions to their peers. Progressing toward the leadership end of the scale, persons can be identified who have the ability to lead and command, set the course, and help staff members determine a clear sense of direction. The individuals at the leadership end of the scale are the inspirational leaders with visions of the future. Individuals who are not self-directed and who must depend on other significant individuals in their life to give them assistance in functioning in a complex society are an illustration of the lowest level of followership. At the next level, followers who are more capable but who feel uncomfortable in a position of commandership or who are not motivated to assume greater levels of responsibility can be found in many walks of life and function independently as long as they are not asked to command. Commanders, throughout the entire range of commandership, are comfortable giving orders or relaying messages. Commanders are capable of interpreting rules and regulations and are most comfortable ‘when the rules are clear. Leaders are people who can make policy and rules mesh effectively. Leaders

5

Introduction

can also move into the realm of commandership with relative ease. Sir Winston Churchill, for example, wasan individual who functioned very effectively at high levels of leadership and various levels of commandership. When he stood before the people of England in World War I1 and inspired them to resist the German attack, he was serving his country at the ultimate level of leadership. In the days that followed, he maintained the roll of inspirational leader and at the same time was a commander of the highest order. He commanded his military leaders, issued orders and directives, made hard decisions as he governed, and commanded the nation at war. By contrast, Martin Luther King, Jr., was a leader in a different time and under different circumstances. Like Churchill, he inspired his followers. Before the throngs he declared, “I have a dream,” as he projected an image that led marchers in pursuit of civil rights. As his army of followers grew, Dr. King was compelled to become more involved in commandership because of circumstances, but he remained aloof to much of the operational requirements of his mission and projected his vision as he led. Leaders of unusual capabilities and in unusual circumstances command respect and gain allegiance from their followers. The respect shown for Churchill and King by their followers enabled them to fulfill the role of leadership and commandership. To be an effective commander requires respect between commander and follower, although many are the commanders who obtain compliance through coercion or domination. However, coercion is not effective as a technique for those who would lead rather than command. Leadership has been analyzed and dissected in various ways in an effort to gain a better understanding of leadership theory. But leadershipis a very complex commodity. To categorize people as leaders, commanders, or followers is a gross oversimplification of leadership. Two-dimensional diagrams have been used to categorize and show types of leadership characteristics; some analysts have elaborated on the process by presenting three-dimensional diagrams with interlocking cells or components of leadership. That a person may be a leader in one setting and a follower in another suggests that people operate within a range of leadership-followership behaviors; thus, a person does not occupy a point or spot on a continuum, but works within a range of behaviors. That people are complex beings who possess varied characteristics on scales that measure leadership leads us to suggest a molecular view of leadership in place of a fixed two-dimensional or even three-dimensional model. Consider a few of the scales that can be used to analyze leadership:

Low level of intellectual power Low level of motivation/drive Values placed on self Task oriented

vs. vs.

High intellectual power High motivation and drive

VS.

Values places

People oriented vs.

on needs of others

6

Uninformed Impetuous Insecure Unskilled Tradition bound Vacillatinglweak

Training and Development of Principals

Knowledgeable vs. Cautious vs. Self-confident vs. Highly skilled vs. Visionaryvs. vs.

Firmconvictiordstrong on

If all the above dichotomous scales were to be placed in one model, much like a working model of a molecule in which each dichotomous scale becomes an orbiting element, a complex model would be generated. The best possible mix of factors could be considered in a multifaceted relationship, much more so than in a two- or three-dimensional figure,andthe scale would contain more of the basic elements embodied in leadership than would even a threedimensional figure. Building principals who are strong instructional leaders can be found throughout the nation. The characteristics and working behavior of effective principals may vary, but how they go about their work and the results they achieve can be witnessed. Management by wandering around (MBWA) has been acclaimed as one effective way to work with a staff.3 MBWA is not a particularly new concept, and although conventionalwisdom suggests it can be effective, a growing body of research has been used to substantiate the value of MBWA. According to Frase and Melton, MBWA is associated with increased levels of confidence by teachers; hasresultedin higher academic achievement in lowsocioeconomic areas; provides more interaction between principals and teachers; has improved teachers’ perceptions of their principals as instructional leaders; and places principals in settings that allows them to devote moretime to instructional leadership. Being an effective principal requires more than applying the technique of MBWA, however. Research on effective schools has been used to substantiate the information depicting outstanding principals as individuals who clarify the mission of the school, hold high expectations for self, staff, and pupils, and provide a safe and orderly learning environment: The demand for instructional leadership does not negate the need for a principal to be a good managerof prime resources. Staff and patrons expect a school to function smoothly with routine conditions run in a predictable and efficient manner. Little good willbe realized if a principal is visionarybut unable to manage the daily affairs of the building in an orderly and efficient way. A vision will never be realized if there is chaos in a building. According to Deal, in times of crisis, good management and smooth running schools are not enough. “People facing uncertainty turn to leaders for direction, confidence, and hope.”5 A leader faces many more complex challenges during times of financial crises and cuts than during normal conditions. Whereas staff members may have been

Introduction

7

willing to extend themselves inan innovative effort duringnormal conditions, they become less willing to take risks when they face budget cuts. They will be less openand sharing,less willing tolook ahead, and moreconcerned about self-preservation. Psychologically, when there is an external threat, many people derive comfortby holdingtothatwhich is knownorbyfinding asense of stability withthestatusquo. Theleader’schallengesareincreasednoticeably during times of financial crises. Researchers havesuggestedthatgoodleaders dotwo things:“They incorporate aproblem-solving approachintheirwork with others, and they use group dynamics skills.”6 Higher levels of leadership are called for in times of crises, and principals must contribute more to keep a staff motivated, secure, and moving forward. Imbedded in the label “instructionalleadership” is theword“leadership.” Principals who accept the challenge of becoming instructional leaders should be versed in leadershipand link theknowledge of leadership with educationand human motivation.

CLIMATE The principal more than any other individual is responsible for the climate in the building. Climate will emerge from the personality and behavior of a principalregardless o f whatthatperson does or does notdo. Consequently, the building principal can consciously design the kind of climate that will be found in an attendance center, or the principal can let a climate emerge by default or neglect. There will always be abuilding climate. That the principal does not consciously create a certain kind o f climate does not mean there will be no climate in the building. If a principal does not instigate behavior and values that create the intended or desired climate, a climatewill emerge like weeds in an untended garden. Consequently, a principal has a choice to build a constructive climate conducive to quality education or let some undesigned climate emerge in which there is only a chancethat it will be positive.A school climatethat emerges from a principal’s thoughtful consideration will have a much better possibility of exerting a positive and constructive influence on the inhabitants of a building than a climate that simply happens as a result of chance and random influences.

STAFF DEVELOPMENT Staff development is perhapsthe key responsibility of a buildingprincipal. The topic o f staff developmentisexplored in more depth in Chapter 6. Staff membersarecentralto the realm of human resources with which a principal works. Through the staff, a principal exerts an influence 0 n students and parents. Thus, staff quality becomes paramount when considering how a principal will accomplish the ultimate objective of improvingtheeducational experience of each pupil. Consequently, the development of the human potential of staff members can be viewed as the highest of all priorities for a building principal.

8

Training and Development of Principals

PROGRAM DEVELOPMENT The program of a school is developed by staff members working in conjunction with the principal, parents, and pupils, and if the district is of sufficient size, with specialists in various areas of program development. Programs will not simply appear nor articulation occur automatically as teachers walk into their classrooms. Program development is a function of high priority that emerges on the heels of staff development. In Chapter 7 , approaches to program development are presented, information is given concerning the planning and evaluation of programs, and the way principals manage change is discussed.

COMMUNITY LEADERSHIP Schools do not operate in isolation from the community, nor do schools serve the singular purpose of “educating the young.” Schools serve a need broader than simply teaching subject matter to children and youth. Beyond providing for student services,guidance and counseling, and school activities, not to speak of the formal curriculum, schoolpersonnel are involved in meeting various community needs. School personnel who clearly recognize the importance of the linkage between school and community will be more capable of meeting the needs of the community thanwill personnel found in schools where the emphasis is on operating the schools in isolation, without community involvement. School officials who shun community interference not only detract from what the community can do for the school but also negate much of what the school can do for the community. The concepts imbedded in site-based management embrace community involvement. If parents and patrons are tohave a more active role in the decisionmaking process at the local school level, one way to foster that involvement is to have school-community participation. The level of community and parent participation in the school decision-making process is tied directly to the building principal’s philosophy, values,confidence in people, and leadership. Involving the community is not relinquishing control or giving up power, nor is it abdicating responsibility. Involvingsignificant others, including parents and patrons, is a strategy for enhancing power and generating the actual growth of influence and power. Building principals cannot be viewed as possessing delegated qualities or fixed amounts of influence and power. Influence and power can grow as the credibility of a principal is extended to the parents and patrons. Thus, influence and power in a community grows in direct proportion to the quality of leadership provided by the principal. The importance of providing leadership in school-community relationships can be better understood if the scope of the influence and the actual role of the school is perceived. Patrons of a school district look to the leaders in the school to enhance the quality of community life in a number of ways. Community pride is an important force in any setting. With community pride one finds a

Introduction

9

spirit or level of satisfaction and ownership that can become a major, contributing influence to the community-and consequently to the school. One has only to listen to the conversation of patrons following an athletic event in a local school to hear “we” used in a positive context or, by contrast, to hear Monday morning quarterbacksreflect a negative impression as they refer to local team members as “they.” “When we held them on the three-yard line in the last quarter, I knew we were going to win” reflects the “we” of ownership and pride generated between school and community. By contrast, a different perspective can be found that reflects the reverse of school-community pride; for example, “Those teachersin that school need to bear down and teach those kids how to spell. They don’t know how to spell. When I went to school ...” or “Why don’t they get rid of that math teacher if she can’t teach them math?” Here the “we” is converted to “they.” More likely a school will have support when programs are in place to create the “we” approach to avoid the “they” syndrome. The school as a source of community pride can emerge when parents, staff, students, and patrons refer to the school as “our school.” When there iscommunity pride in a school, parentsand patrons display ownership. Ownership is not something that will take care of itself even when there is a winning athletic team or outstanding academic achievement and honors earned by students. The effective school principal will involve stakeholders in a planned effort to foster ownership and pride. Schools can be a center for many of the events taking place in a community. Whether the school is an urban senior high school, a middle school, or a local elementary attendance unit in an inner city or a rural farming community, the school should serve as a focal point for community, as well as school, activities. The school can be the rallying point for citizens and thus become more than a place where children are sent to study. Theamount of time and energy required to extend the school to the community can be an important investment for a building principal. Through a school-community partnership focus, many benefits can come back to the school for the ultimate benefit of children and youth. The school is expected to provide entertainment to parents and patrons. In reality, athletic, theatrical, and musical activities are a part of the culture of a community. Senior high schools carry a heavier burden of entertainment expectations than do middle-level education and elementary units; however, all levels participate in the entertainment business. School leaders who are able to reach out to the community with those facets of the total program that provide entertainment to parents and patrons, and at the same time are able to avoid abuses of time and intrusions on formal classes,will generally be meeting an important expectation of the community and serving a significant need. Various school functions and student activitieshave become an expected form of entertainment for members of the community. When viewed as a viable and contributing agency in a community, the school can serve the community as a source of information. Parents not only receive information from their children and official communications from school offi-

10

Training and Development of Principals

cials; asthey become involved as active participants, they also continually gather information and impressions about the school. In turn, parents who are involved in schools become a pipeline for information to persons in the attendance area who are less involved in immediate schoolwork and functions. Schools serve as an official communication source in a community and as an important segment of the informal communication network that reaches throughout the community or attendance area. In an information age, the school should provide community patrons, as well as parents, with the means to access databases and information network sources. All schools should be connected through technological networks and multimediated data sources to information that can be of value to various segments of the community or attendancearea. Access to information is daily more important in a society changing as rapidly as ours. In many locales, especially in small or isolated rural communities, thelocal school, and ultimately a specific attendance center can become the link to outside information sources that can supply data for specialized projects,make available information to meet the interests of and answer questions for citizens, or serve as a dataaccess link for community and commercial development efforts. The degree of involvement with formal networks to tap information sources will vary with the size and composition of a community, but if a school is to function in an information age and provide students with means to access information from multiple sources,the school can be involved in meeting some of the needs of a given community or attendance area. A building principal can perform a valuable leadership function in a community by working with older citizens. Developing programs for senior citizens can be a win-win arrangement as the senior citizensgain and the school children benefit. In one community senior citizens had used a shopping mall for early morning walking exercises. When ownership of the mall changed, the new manager announced that the early morning hours would no longer be available for walking in the mall. The high school principal stepped in. He presented the superintendent with a plan to invite senior citizens to come to the school, walk in the halls, and if they chose, to have breakfast for a nominal charge. Community relations between senior citizens andthehigh school were enhanced, and the stage was set for additional areas of involvement for senior citizens in the school. An alert principal grasped an opportunity and capitalized on it. The practice of inviting senior citizens to come to the schools on designated days for lunch has proven tobean effective wayto build better relations in communities. Providing athletic passes to senior citizens and providing transportation to school events are other approaches that have been employed. Principals who can see the potential of involving citizens-as contrasted with those who argue that the work involved would be excessive and who see no potential in opening a school to the community-can build stronger school-community relations and stronger school programs. School-community recreation programs are another area in which building

Introduction

11

principals can provide leadership that can make a difference in a community. Generalizations about linking the school and the community together for providing recreational programs are difficult to make because there are so many different circumstances found from one community to another. A basic premise is that the principal would be well advised to foster cooperation and encourage coordination of recreation programs of a wide variety between the school, the community, and other agencies such as the YMNWCA and other groups. In some communities, virtually no collaborative efforts exist between school and community agencies, and competition and duplication between entities prevail to the detriment of the children, youth, and adults in the community. Territoriality is the basic cause of a lackof cooperation. In such cases, the principal should become involvedin the often long and tedious process of breaking down the barriers to cooperative planning and the conduct of recreation programs. In communities where there is a history of cooperation and coordination, economy can result from providing facilities and staffing, and better promotion and support can be achieved for recreation programs. Budgets can go further in city recreation departments if permission is given to use school facilities, especially playgrounds during school vacation periods. Of course, school leaders can realize similar benefits when city facilities are made available for school programs. Cooperation can take an inordinate amount of time and patience. Two bureaucracies cannot easily function as a team; however, with proper leadership, cooperation can be achieved, and the benefits can be far beyond expectations. Inmany smaller communities, the school library has many more resources than can be found in the community library. As the information age reaches the schools in the United States, even in very small towns, city and school officials should work together to provide the children, youth, and adults of the community the best library resources possible. With the emergence of electronic capabilities in library science andnetworking to reach into distant databases, there are economic, accessibility, and staffing advantages in having one central city-school library in preference to two competing facilities. The building principal is in a strategic position to take the lead in such an effort. Thebuilding principal should becomeacquaintedwith all human services agencies in the community. Federal, state, and local agencies provide services to all people, including those of school age. Students may demonstrate needs that can be addressed by various human service agencies. Notuncommonly, human services agency personnel fail to meet the needs of individuals because of the limits to their jurisdiction. With respect to school-age children and youth, principals should knowwhichhuman services agencies are available in their community and what they offer; thus, principals should be able to call upon the right agency to perform the service needed in a given case. Principals are well advised to know the “personalities” of the officials in the various agencies in order to work with them as effectively as possible. In short, principals should tap the various resources of human services agencies to gain as much advantage as possible to provide for the needs of their students.

12

Training and

Development of Principals

Of all the community groups or client groups with which a principal works, the parents are the most important. Leadership in involving parents in school is at the pioneering stageand requires an attitude different from that which building principals have typically demonstrated. If educational leaders are to maximize the potential for all students, parents must be brought into the school, and conversely the school must be accepted in the home. Consequently, building principals should develop understanding and acquire the skills necessary to work with parent groupsin different configurations of home and school. School-parent involvement is discussed more fully in Chapter 3. CAREER LADDER AND PROFESSIONAL DEVELOPMENT Principals emerge from the ranks of teachers. Not uncommonly, teachers become restless and desire to extend their sphere of influence from the students and classroom into a larger arena-and often this translates into an interest in becoming a principal. As the appeal of the principalship grows, teachers apply for admission into graduate programs in institutions of higher education that offer coursework leading to certification. In most states, two or three years of teaching experience and at least a master’s degreein educational administration are required for a person to be minimally certified as an entry-level principal. Two patterns are used most commonly by teachers to move into a principalship. In one, the candidate seeks a first administrative position in a small, rural school; in the other, the candidate seeks administrative experience in a larger suburban or urban school district as an assistant principal or program coordinator. In the larger suburban or urban school district, a person may be appointed as a team leader in an elementary building or placed in charge of intramurals and community services in a middle school. A very common first administrative assignment may be as an assistant principal in charge of student discipline in a secondary school. There are often sufficient numbers of supporting management positions in large secondary schools toafford a variety of opportunities for those who aspireto be building principals. The first-year rural school principal is usually a one-person administrative staff and performs all tasks associated with the management and leadership of the school. In the rural setting, the principal will usually advance or achieve a greater professional challenge by moving to a larger school district. The beginning administrator in the urban or suburban school district will frequently gain advancement by moving to a second middle-management position, in which a wider scope of responsibilitiesis assigned. After a time inthe second position as assistant principal, sufficient experience is accumulated to warrant making application for a position as principal. Some persons use the principalship as astepping stone to a position in central administration. Again, a difference can be seen in small schools as contrasted to larger school districts. In small school districts, abuilding principal may apply for and get a superintendency. After experience as a superintendent of a very

Introduction

13

small school, the person may move on to a larger district in which there may be several professional persons on the central administrative staff. In a large district, the move from the building principalship to the central office is often to a position as a support person on the superintendent’s staff. Depending upon the size of the district, there may be several levels of support positions, such as directors, assistant superintendent,or associate superintendent. These may be the ultimate positions sought by the individual, or they may be steps on the way to becoming a superintendent in a large district. Many persons are career principals who have no interest or intent to become a superintendent. A career as a building principal is a noble calling and one that can be extremely gratifying to an individual who has the interest in working at the building level. Fromthe above discussion, the reader may conclude that moving from a small school to a larger school, orfrom an assistant principalship to aprincipalship, is the preferred and correct move.Such is notthe case. Moving from one position to another is good only if it fits a person’s career aspirations and capabilities. A person can commit a serious personal and career mistake if a “bigger” position is taken for reasons of prestige, power, or greater financial rewards. Everyperson has a level of competence and interest that should not be exceeded. For an individual who likes to work with young people and is challenged and inspired by developing staff programs, there is no better environment in which to work than the principalship. SUMMARY Thestage onwhich theprincipalship has emerged and matured has been provided by the history of education in the United States. A gradual transition has taken place as schools have grown in size and complexity, and the principalship has gone from a position of management and control to one that has demanded instructional leadership. In modern schools the demands on persons in the principal’s position are becoming more complex than ever before because of the pluralism and complexity of society itself. Principals of future schools should make a conscious effort to define their personal philosophies and educational values and to demonstrate that they have a set of principles that will guide them as instructional leaders in a complex environment. The importance of the building principal as an instructional leader cannot be overemphasized. Leadership of the highest order is demanded of building principals as they work to enhance the human potential of staff, pupils, parents, and patrons and as they foster program improvements sufficient for thedayand appropriate for moving into the future. Staff development becomes the highest priority for building administrators, and program development and the management of change is built on staff development efforts. Principals have always worked with local citizens in various ways. Principals who will be passing through the threshold of the coming century will be called upon to work in more innovative and diverse ways. They will be called upon

14

Training Development and

of Principals

to lead schools and communities into different and more involved relationships designed to enhance the quality of learning for children and youth and, at the same time, the quality of life in the community as a whole. As principals continue their careers, they will be involved in as high a calling as can be found in modern history. Whether in elementary schools, middle-level buildings, or in senior high schools, building principals willbe in themost strategically important position found in education. The future of American education will be riding on the shoulders of persons who occupy the principalship. NOTES

1. Fenwick W. English, “The Principal andThe Prince: Machiavelli and School Leadership,” NASSP Bulletin 76 (January 1992): 10. 2. Alvin Toffler, Powershifts: Knowledge, Wealth, and Violence at the End of the 21st Century (New York: Bantam Books, 1990). 3. Larry E. FraseandGerald R. Melton,“Manager or ParticipatoryLeader?What Does It Take?” NASSP Bulletin 76 (January 1992): 17-24. 4. James R. Bliss, William A. Firestone, and Craig E. Richards, Rethinking Effective Schools: Research and Pructice (Englewood Cliffs, N.J.: Prentice-Hall, 1991). 5. Terrance E. Deal, “Leadership in a World of Change,” School hadership: A Blueprint for Change, ed. Scott D. Thomson (Newbury Park, Calif.: Corwin Press, 1992), p. 1. 6. Lawrence W. Aronstein and Kenneth L. DeBenedictis, “An Interactive Workshop: Encouraging School-based Management,” NASSP Bulletin 75 (October 1991): 67.

3

Effective Principals: Effective Schools

INTRODUCTION

A considerable amountof information is available regarding the role of effective school principals. In this chapter, an effort is made to distinguish between management functions and processes involved in providing instructional leadership. The National Association of Secondary School Principals (NASSP) Assessment Center skills are reviewed and their implications examined. Characteristics of effective school principals, developed by the National Commission for the Principalship, are summarized; the chapter is concluded with a discussion of several theoretical considerations. EFFECTIVE PRINCIPALS: MANAGERS AND LEADERS Management and leadership are basic components of administration. Principals have the responsibility of making certain that specific tasks are completed by teachers and other staff members. Principals coordinate, direct, and support the workof others by defining objectives, evaluating performance, providing resources, building a positive climate, fostering positive school-community relations, planning, scheduling, keeping records, resolving conflicts, handling student problems, working cooperatively with central officestaff members, and keeping the school running smoothly on a day-to-day basis. The scope of the roleof principals can becomplicated further by factors outside their control. Negotiated contracts, for example, may include provisions pertaining to class size, employee discipline, grievances, leaves, criteria for determining teaching assignments, teaching load and duty factors, and transfer of personnel that may limit or proscribe options for principals. How comfortable

16

would you feel following?

Training and Development of Principals

about employee discipline if your board’s policy was

like the

A. Theboard,throughitsadministrativepersonnel, in recognition of the conceptof sequential correction, shall notify the teacher in writing of alleged misconduct which, if continued, mayresult in formal discipline up to and including loss of pay and/or suspension or discharge. Such notice shall (1) identify ‘themisconduct, (2) indicate the expected correction, (3) establish a period for correction, and (4) identify formal disciplinary action to be taken in event misconduct is repeated. B. A principal shall hold a conference with the teacher as soon as practical to discuss the aforementioned notice.

What do you like about thepolicy?Whatwouldyouwant changed? Why would you want those changes made? When all activities are routinely in place, the assumption is that the school will achieve its goals.’ Unfortunately, many activities are viewedas management oriented rather than as leadership. Lest the word “management” be thought of as a low-level activity, consider the importance ascribed to Total Quality Management (TQM). TQM is also referred to as Total Quality (TQ), Total Quality Control (TQC), Total Quality Improvement (TQI), or some other variation. The objective of TQM is to succeed by continually improving all facets of the organization. “Total” implies that everyone in the organization is responsible for quality, and everything in the organization is fair game for improvement. “Quality” suggests that products or services must consistently meet or exceed customer or client expectations. “Management” subsumes a host of factors, such as quality improvement viamission,values,goals,policies,processimprovement,financial support, measurements,communication,supervision,training, rewards and recognition, and, above all, participatory management. For some TQM is a concept or philosophy for managing organizations. Itis a set of actionorientedprinciples,ideas, or management practices,and its proponents insist that it is a culture, a call for doing things differently, a framework for improvement, and, ultimately, a way of life. TQM promotes proactive steeringof change, continuous focus upon improvement, and performing what is done right the first time. The management of activities is routine but should be considered a necessary part of the job of principals to improve learning and teaching. Leadership activities, on the other hand, are commonly thought of as ones that initiate newness and change, stimulate and invigorate, and inspire followers to unparalleled heights of greatness. Through leadership,principalsbring an active and personal attitude toward the reaching of goals. Principals who are both successful leaders and managers empower others. The system as a whole begins to function effectively with the improvement of teaching and learning for students.Principals should consider themselves leaders of leaders, not leaders of followers. How can principals convert routine dutiesinto leadership? Much depends

Effective Principals: Effective Schools

17

upon how principals interpret their activities. Routine duties in the hallway or in the lunchroom can be opportunities for defining mission, monitoring student progress, promoting instructional climate, and communicating expectations for student performance.Whereas oneprincipalmightlookuponlunch duty as drudgery, another might capitalize upon the opportunity to hear from students about their achievements and what they are learning. Converting time spent on mundane tasks into quality time is what effective instructional leaders do.2 Principals can make a difference in four core dimensions-supervision, administration, management, and leadership-by attending to cultural proce~ses.~

Principals as Instructional Leaders In the past, leadership was often conceived as a transactional control process. Principals distributed incentives for completion by teachers and other staff members. A new process, known as transformational leadership, works by transforming the goals and aspirations of members of the organization. Transformational school leaders pursue three goals: (l)to help staff members develop and maintain a collaborative, professional culture; (2) to foster teacher development; and (3) to help personnel solve problemstogethermoreeffectively! Instructional leaders of thistype realize thatan integrated, cohesive grouplendsitselfto effectiveness. Everyone workstogetherto pursue commongoals. A sense of ownership exists withinanorganizationwhere transformational leadership is practiced. Instructional leaders are knowledgeable about instructional resources, provide resources for their teachers by promoting staff development activities, and obtain resources and support for school goals. Performance appraisals conducted by instructional leaders have primary emphasis upon improvement of instruction. Instructional leaders help teachers solve instructional problems, encourage the use of many strategies and styles, and assist teachers with assessment and evaluation techniques. Instructional leaders promote theirvisionfortheir schools, communicate to teachers about desired instructional practices and criteria for evaluating performance, and provide frequent feedback to teachers. Principals who would beinstructional leaders actively promote staff development activities, are readily available to discuss issuesrelatedtoteachingand instruction, are visible to staff and students, and make frequent classroom observations. Instructional leaders focus upon instruction and take care of routine managerial tasks, such as completion of paperwork, before or after classes as much as possible. Principals who believe that all students can learn and enjoy school are willing to examine how students learn and redirect the focus of schooling upon students’ learning styles. Those principals share a number of characteristics. Of such principals observed by Dunn and Griggs, each had become knowledgeable about learning styles. They had learned enough about the concept and its practical applications to actively participate in sharing information

18

Training and Development of Principals

with and teaching their colleagues. Thus, they were able to encourage others to participate in the movement and to provide a support system for them. They each had excellent management skills. Their techniques differed, but all of them knew how to focus on what they wanted to achieve and how to manage their time and energies to permit active involvement in the change process. They each had vision, commitment, energy, and persistence to move their educational communities toward more effective instruction.They knew they could change the system and theychanneledeveryone and everythingaroundthemintothedirection in which they believed their schools should move.s

Principals candevelop instructional leadership by establishing clear goals, objectives, and priorities; expressing high expectations; emphasizingstudent achievement, attendance, behavior, and attitude; and focusing upon school goals and priorities. Principals can enhance instruction through establishing a safe, orderly environment; by keeping curriculum focused upon goals and priorities; by working with teachers to improve their instructional skills; and by monitoring school perfonnance.6 Principals who are effective instructional leaders focus upon five key areas: (1) defining the school’s mission, (2) managing curriculum and instruction, (3) promoting a positive learning climate, (4) providing supervision of instruction, and (5)assessing instructional programs.’ The amount of academic press or the degree to which a school’s policies, practices, norms, rewards, and expectations challenge students to produce their best work and to succeed can raise achievement levels.8 Principals can directly influence the expectations of students, for example, through setting school standardson student progress, homework, grading and marking practices, and mastery of learning. Instructional leadership can be enhanced through improving the working environment of teachers. One approach is by enlisting the cooperation of teachers on schoolimprovement by creating “collaborativeschools.” Insuch schools teachers talk about teaching practices in great detail, are observedand given candid critiques of their teaching, develop teachingmaterials with other teachers, and teach each other about teaching. To establish collaborative schools, principalsmust seek teachers’ help in planning faculty meetings, give teachers authority in curriculum and instruction, allocate time for teachers to work together, marshal resources, and be actively engaged in observing and evaluating instructions. For collaborative schools to prosper, principals must remove teachers from the isolation of their individual classrooms and enable them to work together on instructional and curricular issues? Successful school leaders respect the expertise of teachers, and teachers, in turn, respect the principal’s duty to observe, supervise, and appraise performance. Collaboration, shared leadership, team leadership-regardlessof the name-fitsthenature of schooling and school staffs and the complexity of teaching and instruction. Empowering teachers to plan, manage, and implement the curriculum unleashes instructional leadership among all teachers.

Effective Principals: Effective

Schools

19

Principals who would be instructional leaders must have competence in curriculum content, instructional methodology and teaching styles, and supervision. Principals who merely “turn everything over to their teachers” are not stimulating leadership among their staff members but are, instead, abdicating their responsibilities. Instructional leaders understand adult learning theory and their role as master teachers; with those understandings, master teacher-instructional leaders have different perceptions about their role. Instructional leadership can be fostered by setting clear academic goals, engaging teachers in curriculum development, establishing reciprocal supervisory relationships, protecting instructional time and programs, maintaining apositive school climate, and monitoring and evaluating instructional programs.

Effective Schools and Leadership Inthe late 1960s and 1970s, student achievement waspurportedto be predetermined by family socioeconomicstatus or pure luck. Schooling was believed to have little effect on student achievement. More recently, many researchers have documented the effectiveness of schools. Rutter, Edmonds, and Brookover, among others, determined that a host of factors combines to produce an effective school. In schools where student achievement is beyond what might beexpected, schools accumulate a “critical mass” of positive qualities.’O Successful schools do not have one set of qualities in common but have many different, as well as similar, qualities. But effective schools share one quality: an exceptional principal or other leader who influences teachers and students through knowledge of instruction. Brookover and his associates concluded that a school is a social system that produces what it is designed to produce-to expect and to get success with learners. Educators should not feel helpless against forces outside the school’s environment. The achievement of students canbe affected bywhat goes on in school. In effective schools, an ethos or set of expectations and norms that anticipate and supportachievement is established, fostered, andpursued diligently.” “We already havean effective school. What’s next?” Surely remarks like these will never be spoken or taken seriously by educators. What are effective schools?What criteria are usedto determine whether or not aschool is an effective one? Most likely people from most if not all school districts and communities feelthat their schoolis an effective one. Yetindividuals from such districts and communities need to be open-minded enough to realize that to have and maintain an effective school, change is inevitable. “The school environment, by virtue of its close ties to external political and social forces, is characterized by constant demands for change, most of which cannot be predicted. A beleaguered school principal’s wail, ‘I wonder what tomorrow will bring,’ is reflective of the nature of the beast-school.”’2 Over the course of time, changes and adjustments will have to be made within systems for them to remain effective.

Training and Development of Principals

20

When investigating the characteristics of effective schools, for example, researchers discovered that some schools have based their effectiveness on pupil performance on standardized tests. Others have formulated theirown dimensions. Threeapproaches, the goal-attainmentapproach, the environmentalresponseapproach, and the processapproach, havegroupedmany of these dimensions t~gether.’~ A brief description of each of these approaches follows. Goal-attainmentapproach. The goal-attainment approachbases the effectiveness of a school on its achievement of goals and purposes. Learning objectives, subject content, standardized tests, and national norms are all considered to be important. The shortcoming of this approach is that outcomes are viewed with more importance than the actual means or processes that were used to achieve such results. Another concernwithusingthe goal-attainment approach is the question of goal ownership.Whose goals shouldserve as the measuring criteria? One final consideration is goal expectations. Short-term goals differ and often conflict with long-term goals. Process approach. The processapproach emphasizes the processes and means that administrators and teachers use to heighten student outcomes. Principals in schools that focus on process seemtobe instructional leaders.They take an active part in classroom instructional programs and curriculum developmentand have a clear view of goals to be achieved. The whole climate centers around success. The major cause for concern withthe process approach, however, is the neglect of student outcomes and learnings. Too much importance can be placed on process. Environmental-response approach. The environmental-response approach is linked with perception. Principals work to illustrate to members of the school board, parents, and numerous other interest groups that their schools are successful. This approach requires evaluation systems that in reality are a combinationof advertising andgood communication.Theapproach is a typeof environmental selling program. What are the criteria for determining whether or not a school is effective? And what do principals do in schools that are known to be effective? Characteristics or “correlates” of effective schools consist of the following: 1. In the effective school, there is a safe and orderly environment. The school is conducive to teaching and learning.

climate

2. In the effective school, there is a climate of high expectations for success. The staff believes that all students can learn, and the staff alsobelieves that they havethe capability to help all students learn. 3. In the effective school, the principal acts as instructional leader and continually communicates that leadership role to staff, parents, and students. 4. In

theeffectiveschool,thereis a clear and focusedmission.Thestaffshares an understanding and accepts the responsibility to achieve this mission. Student acquisition of basic skills is stressed.

Effective Principals: Effective Schools

21

5. In the effective school, there is opportunity to learn,

and students have a significant amount of classroom time for instruction. 6. In the effective school, student academic progress is measured frequently through a variety of assessment procedures. These assessments are used to improve individual student progress and instructional programs. 7. In the effective school, there are good home-school relations. Parents understand and support the school’s mission and are giventhe opportunity to help the school achieve its mission.I4

What part do principals have ineffective schools? Brookoverand Lezotte viewed principals as aggressive instructional leaders and evaluator^.'^ Edmonds suggestedthatinstructionalleadershipwasthe “bonding agent” foreffective teaching and learning.I6 By focusing upon effective teaching and learning, the principal’s role had changed fromthatofbuildingmanager to instructional leader. Asick concluded thereis no effective schoolwithouteffectiveleadership.17 What do principals as instructional leaders emphasize as classroom behaviors of teachers? Principals want to see their teachers actively teaching. Priority is placed on strong goalorientation,activeassessment,and academic subjects. Principals want their faculty members to be involved, enthusiastic, and knowledgeable about educationalresearch. Teachers are expected to possessgood communications skills and be positive role models to their students as well as to the community. Principals in effective schools work to shape school culture. Subcultures exist in school systems. Therefore, principals must recognize these differences and work to articulate shared values and a common way to bond subcultures to the school as a whole. As leaders, principals must understand the nature of groups to be led. Thus, rather than being a leader of followers, the principal’s role has changed to being a leader of leaders. What would you set as expectations in a principalship? Review the “Expectations of an Administrative Team Member” and compare Thomas’s statements with yours. 1. I expect dedication to the goals of the district and institution.

2. I expect loyalty. 3. I

expect professionalism.

4. I expect growth.

5. I expect leadership.

6. I expect hard work. 7. I expect discipline. 8. I expect a good attitude. 9. I expect good communications.

22

Development Training and

of Principals

10. I expect congeniality. 11. I expect submission to authority.’*

From a review of more than seventy-four research studies, Persell and Cookson identified nine behaviors of effective principals. 1. Demonstrating a commitment to academic goals

2. Creating a climate of high expectations 3. Functioning as an instructional leader 4. Being a forceful and dynamic leader 5. Consulting effectively with others 6. Creating order and discipline 7. Marshalingresources 8. Usingtimewell 9. Evaluating result^'^

The nature of schooling and developmental levels of students are also important considerations. For example, effective principals at the middle level are up-to-date on “blockscheduling,interdisciplinaryteaming,cocurricularprograms, learning styles, teachedadvisor programs, and developmental age grouping.”” Changes in school improvement are made school by school and in one school at a time. Principals who desire to make theirs “effective schools” will more likely succeed if they have support from their superintendent and board of educationandifalladministratorsandstaff at a school siteare engaged ina collaborative, collegial process to bring about desired changes. Principals who try to “go it alone” place their efforts to make lasting changes in jeopardy.

The Distinction between Management and Leadership To manage means to bring about, to accomplish, to have charge ofor responsibility for, toconduct.Leadingisinfluencing,guiding in direction,course,action,opinion.The distinction is crucial. Managers are people who do things right and leaders are people who do the right thing. The difference may be summarized as activities of vision and judgment-effectiveness versus activities of mastering routines-efficiency.21 Are effective principals, then, either managers or leaders? No, for managers must lead and leaders must manage. A perspective on the relationship between management and leadershipisthatinstructionalleadership accrues from the repetition of routine and mundane acts in accord with a principal’s overall perspective on schooling. Instructional leadersare goaldrivenbut also need to attend to the details of daily management?*

Effective Principals:Effective Schools

23

Principals must also seek to establish curricular unity-to reduce the distance among and between the written curriculum, the taught curriculum and the tested curriculum. Principals who seek to increase relationships between curriculum guides, course content, and tests may need to plan and carry out rather mundane tasks such as clarifying ambiguous curriculum statements and identifying valid assessment tools; butbecause themanagerialtasks focus upon the “right things,” the outcomes are acts of instructional leadership and should result in effective instructi~n.~~ How can principals, who have the ability to manage and lead, handle avariety of tasks, balance the needs of staff with those of students, and so on, be identified? A description of one process for identifying individualswhohavethe skills to become effective principals is discussed in the next section.

THE NASSP ASSESSMENT CENTER In 1975, NASSP and the Division of IndustriaYOrganizational Psychology of the American PsychologicalAssociation established an assessment center to provide leaders in school districts with a more objective and effective way of selecting school administrators. Since thattime,overfiftyaffiliateshavebeen operating in the United States and foreign countries. The NASSP Assessment Center is a means of assessing an individual’s performance in job-related tasks. The assessment center method uses multiple techniques and assessments. The function of the assessment center is based on a standardizeddesign of (1) twelve skill dimensions that are observable and measurable, (2) a series of simulations, and (3) a well-trained staff of assessors. The participants are observed by assessors in specially designed activities over two days. During this time, observational data from each activity are recordedandcompiled in a standardized report. ‘The data from the exercise report forms are then pooled and a consensus rating on each of the twelve dimensions is assigned. A final, comprehensive report is written and shared with each participant during a private session.

Assessment Center Skills The twelve skills to be assessed in the NASSP Assessment CenterProject are the following: 1. PROBLEMANALYSIS. Ability toseekoutrelevant information to determinetheimportantelementsof for information with a purpose.

data and analyzecomplex a problem situation; searching

2. JUDGMENT. Ability to reach logical conclusions and make high-quality decisions basedonavailableinformation; skill in identifying educationalneeds and setting priorities; ability to critically evaluate written communications. 3. ORGANIZATIONAL ABILXTY. Ability to plan, schedule, and control the work of

24

Training and Development of Principals

others; skill in using resources in an optimal fashion; ability to deal with a volume of paperwork and heavy demands on one’s time. 4. DECISIVENESS. Ability to recognize when a decision is required (disregarding the quality of the decision) and to act quickly. 5 . LEADERSHIP.Abilitytogetothersinvolved in solvingproblems;abilitytorecognize when a group requires direction, to interact with a group effectively, and to guide them to the accomplishment of a task. 6. SENSITIVITY.Abilitytoperceivetheneeds,concerns,andpersonalproblemsof others; skill in resolving conflicts; tact in dealing with persons from different backgrounds; ability to deal effectively with people concerning emotional issues; knowing what information to communicate and to whom. 7. STRESSTOLERANCE.Abilitytoperformunderpressureandduringopposition; ability to think on one’s feet. 8. ORAL COMMUNICATION. Ability to make a clear oral presentation of facts or ideas. 9. WRITTEN COMMUNICATION. Ability to express ideas clearly in writing; to write appropriately for different audiences-students, teachers, parents, and others. 10. RANGE OF INTEREST. Competence to discuss a variety of subjects-educational, political, current events, economic, and so on; desire to actively participate in events. 11. PERSONALMOTIVATION.Needtoachieve in all activities attempted; evidence that work is important to personal satisfaction; ability to be self-policing. 12. EDUCATIONAL VALUES. Possession of a well-reasoned educational philosophy; receptiveness to new ideas and change. Within these twelve skill dimensions, problem analysis, judgment, organizational ability, and decisiveness are viewed as administrative skills. Leadership, sensitivity, and stress tolerance are characterized as interpersonal skills. Oral and written communication are, of course, basic communication skills. Finally, range of interest,personalmotivation,and educational values are considered tobe “other” skills deemed valuable to the success of building administrators.

Assessment Center Research The importance of an effective administrator in a buildingis well documented. Leadership is avaluable element tothe success of anyschoolsystem. For a great number of years, however, district personnel relied upon information gathered from interviews, academic credentials, and personal references or credentials to make employment decisions. Interview procedures oftentimes produced results of low validity and reliability. Academic credentials could do no more than show on paper what coursework was completed and the grades that were attained on that coursework. Letters of recommendation or personal references could state only how fellow educators felt an aspiring administrative candidate might be in any school system.

Effective Principals: Effective Schools

25

A critical factor in acquiring the requisite skills and attitudes for administration is not the number of years one has been a teacher but, rather, is a function of what one has learnedaboutworking with adults at an organizational level during that period. For example, an administrative intern or an assistant principal may learn much or little that is relevant to the situational requirements of a particular principalship, depending on the nature of the learning opportunities in those r01es.2~ The designers of NASSP’s Assessment Center Project set out to challenge the inadequacies of the selection system for building administrators and worked to develop more relevant and credible selection procedures. The twelve skill dimensions and activities of the NASSP Assessment Center were designed to represent tasks similar to those performedby principals. The exercises developed were explicitly related to job performance and school climate. Additionally, the training program for assessors wasbuiltuponspecifictargetbehaviors,and procedures for scoring participants’ behaviors in the activities were designed to eliminate assessors’ idiosyncratic beliefsand values. Althoughthe assessment activities provide but a “snapshot” of participants’ behaviors, they are not keyed to the personality preferences of either assessors25or participants26 as measured by the Myers-Briggs Type Indicator. According to validation studies, NASSP’s Assessment Center Project has yielded promising results?’ Weseetheassessmentcenter as a content valid procedure for the selection of school administrators. Evidence concerning its criterion-related validity isalsopositive,especially as it relates to supervisory performance ratings. Further, assessment center ratings are related to later student perceptions of school Several factors contributed to the success of the assessment center. First, major job dimensions of the principalship were identified. Those dimensions included curriculumand instructional leadership, coordination of student activities, direction of support services, staff selection, evaluation and development, development and maintenance of community relations, coordination with district and other schools, fiscal management, maintenance of school plant, and structures communication. The next step was to evaluate whether or not the assessment skills were necessary to perform each of the major jobs identified. This evaluation and comparison study was completed by both experienced administrators and previous assessors in the center. Schmitt, Meritt, Fitzgerald, and Noe reported that many of the skill dimensions were necessary to perform the tasks of the identified job dimension^.^^ Problem analysis was determined to be essential to all performance dimensions except for fiscal management and maintenance of the school plant. Judgment, too, was found to be necessary for most of the tasks, with the exception of fiscal management. Organizational ability and decisiveness were judged to be related to communication and to to all tasks. Leadership wasfoundtobeimportant curriculum and instructional leadership. Finally, writtencommunicationwas

26

Training and Development of Principals

found to be essential to the majority of the dimensions, with the least amount of emphasis placed on fiscal management, school maintenance, supportservices of the school, and coordination with district and other schools. The rest of the skill dimensions indicated areas of importance, but not consistently. Jones and Godfrey reportedthatthe greatest benefittheJeffersonCountry School System of Birmingham, Alabama, received from six years of affiliation with NASSP’s Assessment Center Project wasthe security of objective data before administrative promotional decisions were made?’ They concluded that participation in an assessment center gave more valid information about each candidate. A principal in an urban school district wrote that the most significant aspect of participation in the NASSP Assessment Center came from the written and oral feedback. Landholm stated thatherparticipation in an assessment center helped her to formulate long- and short-term goal^.^' The feedback helped her to clarify her educational philosophy and illustrated to her how to link that with her school’s philosophy. Finally, Landholm felt that the time and effort were well spentbecause the experience providedher with an abundance of information about job-related skills. The written and oral feedback identified personal strengths and developmental areas. In another instance, a counselor reported positive feelings toward assessment: My experience in the Assessment Center is one I will never forget.It gave me confidence in my school system.If the assessment evaluation is used to appoint persons to leadership positions, then I feel that we will have individuals in leadership positions who will be adequately equipped to handle the problems faced by our schools today. Appointment of such qualified persons will make a definite difference for our children and the entire educational process.22

Assessment Center Implications The NASSP Assessment Center has made positive contributions to the selectionof school administrators. The twelve skill dimensions have proven to be valid and reliable indicators of the skills necessary to be an effective administrator. What, then, do these positive findings imply for the future of the NASSP Assessment Center? The assessment center could be used as part of the preparation program for principals. The method could be used todiagnose prospective principals’ skills in the twelve dimensions as a basis for program activities and as a means of measuring effectiveness of a preparation program. Program modifications for individual students is another beneficial aspect of using assessment center methodology in preparation programs. After diagnosis, individualized studies could be designed based on individuals’ strengths and weaknesses. The curriculum of a preparationprogram could be enhanced by greater emphasis upon job-related skills and how expectations for students are expressed, delivered, and measured. Instruction could also be altered to include greater emphasis

Effective Principals: Effective Schools

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upon deducing, measuring, and recording skills, such as problem analysis and judgment. Participation in an assessment center would also be useful in testing the skills essential to success before actually assuming a position. Because many practitioners are trained as assessors, theycould also serve as assessors and provide a vital linkage with the field. PRINCIPALS’ CHARACTERISTICS OF THE NATIONAL COMMISSION FOR THE PRINCIPALSHIP The National Commission for the Principalship The National Commission for the Principalship developed a new framework for preparing principals. The framework is built upon four areas and consists of twenty-one performance domains. I. Functional Domains. These domains address the organizational processes and techniques by which the mission of the school is achieved. They provide for the educational program to be realized and allow the institution to function. 1. Leadership: Formulating goals with individuals orgroups; initiating and maintaining direction with groups and guiding them to the accomplishment of tasks; setting priorities for one’s school in the context of community and district priorities and student and staff needs; integrating one’s own and others’ ideas for task accomplishment; initiating and planning organizational change. 2. Information Collection: Gathering data, facts, and impressions from a variety of sources aboutstudents, parents, staff members, administrators, and community members; seeking knowledge about policies, rules, laws, precedents, or practices; managing the data flow; classifying andorganizinginformation for use in decision making and monitoring. 3. Problem Analysis:Identifying the important elementsof a problem situation by analyzing relevant information;framingproblems; identifying possible causes; identifying additional needed information; framing and reframing possible solutions; exhibiting conceptual flexibility; assisting others to form reasoned opinions about problems and issues. 4. Judgment: Reaching logical conclusions and making high-quality, timely decisions given the best available information. 5.Organizational Oversight: Planning and scheduling one’s own and others’ work so that resources are used appropriately and short- and long-term priorities and goals are met; monitoring projects to meet deadlines. 6. Implementation: Making things happen; putting programs and plans into action; applying management technologies; applying methods of organizational change includingcollaborative processes; facilitating tasks; establishing progress checkpoints; considering alternative approaches; providing “mid-course’’ corrections when actual outcomes start to diverge from intended outcomes; adapting to new conditions. 7. Delegation: Assigning projects or taskstogether with clear authorityto

28

Training and Development of Principals

accomplish them and responsibility for their timely and acceptable completion; monitoring projects to meet deadlines. II. Programmatic Domains. These domains focuson the scope and framework of the educational program. Theyreflect the core technology of schools, instruction, and the related supporting services, developmental activities, and resource base. 8. Instructional Program: Envisioning and enabling instructional and auxiliary programs for the improvement of teaching and learning; recognizing the developmental needs of students; ensuring appropriate instructional methods; designing positive learning experiences; accommodating differences in cognition and achievement; mobilizing the participation of appropriate people or groups to develop these programs and to establish a positive learning environment. 9. Curriculum Design: Interpreting school district curricula; planning and implementing with staff a framework for instruction; initiating needs analyses and monitoring social and technologicaldevelopments as they affect curriculum; responding to international content levels; adjusting content as needs and conditions change. 10. Student Guidance and Development: Providing for student guidance, counseling, and auxiliary services; utilizing community organizations; responding to family needs; enlisting the participation of appropriate peopleand groups to design and conduct these programs and to connect schooling with plans for adult life; planning for a comprehensive program of student activities. 11. Stag Development: Identifying with participants the professional needs of individuals and groups; planning and organizing programs to improve staff effectiveness; supervising individuals and groups;engaging staffand others to plan and participate in recruitment and development; initiating self-development. 12. Measurement and Evaluation: Determining what diagnostic information is needed about students, staff, and the school environment; examiningthe extent to which outcomes meet or exceed previously defined standards, goals, or priorities for individuals or groups; drawing inferences for program revision; interpreting measurements or evaluations for others; relating programs to desired outcomes; developing equivalent measures of competence. 13. Resource Allocation: Planning and developing the budget with appropriate staff; seeking, allocating, and adjusting fiscal, human, andmaterial resources; utilizing the physical plant; monitoring resource use and reporting results. III. Interpersonal Domains. These domains recognize the significance of interpersonal connections in schools. They acknowledge the critical value of human relationships to the satisfaction of personal and professional goals and to the achievement of organizational purpose. 14. Motivating Others: Building commitment to a course of action; creating and channeling the energy of self and others; planning and encouraging participation; supporting innovation; recognizing and rewarding effective performance; providing coaching, guidance, or correction for performance thatneeds improvement; serving as a role model.

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15. Sensitivity: Perceiving the needsand concerns of others; dealing with otherstactfully; working with others in emotionally stressful situations or in conflict; managing conflict; obtaining feedback; recognizing multicultural sensibilities. 16. Oral Expression: Making oral presentations that are clear and easy to understand; clarifying and restating questions; responding, reviewing, and summarizingforgroups; utilizing appropriate communicative aids; adapting for audiences. 17. WrittenExpression: Expressing ideas clearly in writing; writing appropriately for different audiencessuch as students, teachers, and parents; preparing brief memoranda. W . Contextual Areas. These domains reflect the worldof ideas and forces within which the school operates.They explore the intellectual, ethical, cultural, economic, political, and governmental influences upon schools, including traditional and emerging perspectives. 18. Philosophical and Cultural Values: Acting with a reasoned understanding of the role of education in a democratic society and in accord with accepted ethical standards; recognizing philosophical and historical influences in education; reflecting an understanding of American culture, including current social and economic issues related to education; recognizing global influences on students and society. 19. Legal and Regulatory Applications: Acting in accordance with relevant laws,rules, and policies; recognizing governmental influences on education; working within local rules, procedures, and directives; administering contracts. 20. Policy and Political Influences: Identifying relationships between public policy and education; recognizing policy issues; examining and affecting policiesindividually and through professional and public groups; relating policy initiatives to the welfare of students; addressing ethical issues. 21. Public and Media Relationships: Developing common perceptions about school issues; interacting with parental and community opinion leaders; understanding and responding skillfully to the electronic and printed news media; initiating and reporting news through appropriate channels; enlisting public participation; recognizing and providing for market ~egments.3~

THEORY

Organizational Theory The need for organizational theory exists because school programs require a high degree of coordinated effort. Many organizational theories have been formulated, and scholarsagree that formal organizations have certain common characteristics, which include the following:

30

Training and Development of Principals

1. Goalorientation. Typically, organizations have goals that have been legitimized by

the larger culture of which they are a part, and these goals provide unity of purpose for the organization. 2. Hierarchical structure. In organizations, power is distributed through formally defined

superordinate-subordinate relationships. 3. Organizational structure. In organizations, the functions and processes are distributed

into defined relationships and procedures for the regulation and evaluation of activities. 4. Interpersonalinteraction. In

organizations,thecoordinatedactivitiestakeeffect situations involving person-to-person interaction^.^^

in

Organization theory also considers power relationships in schools. Each of the three levels of the hierarchical structure of aschoolpossessesa certain degree of power. The institutional level (school district) controls powerover financial support; the managerial level (attendance center) possesses power over operations and services; and the technical level (classroom)possesses power overteaching and instruction. All principals have somedegree ofpower or authority; however, not all haveachieved power or haveinfluence. Halfpowerless are those principals who lack theesteem of the individuals with whom they work; half-powerless also are the principals who choose to surrender their delegated authority and who try to operate a school on their personality only. Classical organizational concepts include such concepts as (1) time and motion, which means completion of a task with a minimum expenditure of time and effort; (2) division of labor and specialization, in other words, subdivision of anytask or operation intobasic parts to increase efficiency; (3) unity of command, which means coordination through centralized decision making as responsibility flows from top to bottom; (4) standardization of tasks, which is the routinization of performance by dividing tasks into basic parts; (5)span of control, or the limiting of the number of workers one superordinate supervises to increase coordination andunity of command; (6) uniqueness of function, which means not duplicating the function of one unit or department by another; and (7) formal organization, which means the official organization is the chief focus. Few distinctions have greater usefulness for the principal than that made between the formal and the informal structures of the school. The formal organization is composed of structured roles, such as principal, secretary, or head custodian, whereasthe informal one is basedupon interpersonal interactions. Both formal and informal structures have their norms, expectations, channels of communication, and reward systems. Individuals relate in different ways to the formal and the informal structures. Theorists have dividedpeople into three parts: (l) the “upward mobiles,” who align their goals congruent with organizational goals and work hard on the job; (2) the “indifferents,” who care little about organizational goals and “just work here”; and (3) the “ambivalents,”

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whowould like to do wellbut because of a lackof ability or effort do not Whether in an informal structure or a formal structure, the fact is that schools do change and principals do have a key role in the process. Principals must realize that to be a proponent of change is not enough. Because principals occupy a key role in influencing variables relatedto change within the school, they must analyze the nature of a change and use processes appropriate to that change. Role Theory

A question administrators often ask is: What is, or should be, the principal’s role? The principal who possesses an understanding of role relations has taken a significant step toward effective performance in the principalship. Historically, the role of the principal evolved as schools became larger. Typically, a head or principal teacher was designated to fulfill administrative duties while continuing to teach either full or part time. A principal-teacher was often chosen because of length of service in the school. In recent years, however, emphasis has been placed on the leadership aspect of the principal’s role. Critical functions and tasks in school administration include (1) instruction and curriculum development; (2) pupil personnel services; (3) staff personnel services; (4) community-school leadership; ( 5 ) the physical plant and transportation services; (6) organization, structure, and coordination; (7) school financeand business management;(8) activities; and (9) effectiveness attainment. Principals must not only fulfill these functions and tasks but also attempt to meet the job description set by their district. A set of guidelines determined by a school district may be similar to the following: Principals shall be responsible for 1. maintaining the organization, administration,and supervision of the schools to which they have been assigned. 2. providing leadership for students, teachers, staff members, and parents or guardians. 3. providing instructional leadership to the teachers. They shall inform teachers of their duties and responsibilities, work cooperatively with the teaching staff, and schedule and conduct faculty meetings. 4. assisting in the development of the curriculum. 5 . making an appraisal and evaluation of the curriculum. 6 . making recommendations for the hiring of teachers and staff members. 7. assigning duties to the teaching staff. 8. maintaining a comprehensive program of in-service training for teachers. 9. employing substitute teachers for teachers who are absent.

Training and Development of Principals

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10. classifying, promoting, or retaining of students within their buildings. 11. promoting an effective system of student guidance.

12. overseeing the attendance, conduct,

and health of

students. 13. maintaining good public relations with the community. 14. supervising records keeping for the school building. 15. ensuring the care of the school buildings, grounds, furniture, and other property of the school. 16. ensuring the proper requisitioning of supplies, equipment, and teaching aids for the educational program. 17. fulfilling other duties as may be assigned.

As if completing all these functions and tasks and fulfilling any responsibilities in a jobdescription were not sufficient, principals must also fulfill a number of roles. Indeed, principals may often experience considerable interrole conflict when attempting to fulfill two or more incompatible roles at the same time-in effect, from wearing many hats, Having butone head, principals oftenfind interrole conflict to be one of the most stressful types of conflict with which to deal. Decision Theory Decision making is of major importance in the administrative process.Although several views of the administrative process exist, the stages of planning, organizing, stimulating, and evaluating have particular relevance for the decision-making role of principals. The stage of planning includes those activities related to defining and clarifying goals, purposes, and objectives; analyzing conditions and operations related to purposes and objectives; proposing possible alternatives; and determining paths to follow. Oftentimes planning precedes a major decision, but planning may also follow a decision and be used to direct the installation of the decision. Principals of the future will need to be skilled planners. The stage of organizing includes the processes usedinputting a plan into operation. This stage includes decisions about choosing specific processes with which to put a plan into operation, assigning responsibilities to people, monitoring the schedule for each activity, and allocating personnel, facilities, and equipment to meet each purpose and objective. In the process stage of stimulation, administrators workwith personnel to achieve both organizational and individual goals. Principals must consider many variables, such as personality structures, power and influence, and value orientations as they try to motivate personnel to work toward a plan. The process of stimulating includes having individuals accept and work toward achieving the objectives and activities of a plan; helping others tounderstandthe reasons behindthe overall plan; enabling personnelto achieve satisfaction from their

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workandfromworkingwith others; sharinginformation and ideasaboutthe plan and its progress; and creating an environment for change. Principals must be skilled in formal and informal interpersonal relationships if they are to stimulate others. The final administrative process stage, evaluating,includes measuring the progress towardpurposesand objectives byanalyzingplans and objectives; gathering and analyzing data about inputs, processes, and outputs; identifying factors thatmay affect futureplanning; andpreparingreports on purposesand objectives, progress, and future plans. Principals haveto make many-perhapshundreds of-decisions eachday. Decisions that can be based upon accurate and up-to-date information are likely to be more satisfactory thanthosebaseduponwhim, bias, or ignorance.What can be done to make high-quality decisions based upon information? A problem must be thought through and stated as concisely as possible. Conversation with a colleague about a problem can help to clarify it and toidentifyinformation needs. A decision about how to use the information should follow. Specification about the type of informationthatisneededshould alsobe made. An information search-a few good pieces or an exhaustive analysis-should be implemented.Individualswho can helpfindtheinformationshouldbecontacted. Dissemination of the results of an information search should be made to appropriateindividuals andfutureplansshouldbeformulated. Files on information likely to be needed should be kept, and ties with information sources maintained. By relyingmore upon information and research, principalscan increasea school’seffectiveness. The use of empirical data in thestudy of problems in schools can be o f great advantage.

Leadership Theory Leadership by principals is critical to the success of programs in schools. Individuals who want to be principals can increase their effectiveness by knowing about principles of leadership. In leadership theory, there are three common approaches: psychological, sociological, and behavioral, The psychological approach to thestudy of leadershipisbasedto a large extent onthe concept thatbehaviorisdeterminedbyeach individual’s unique personality structure. In this sense, what a person “is” constitutes the behaviors that a person may exhibit. Those who ascribe to the “great person” theory think that leadersaredifferentfromothers, leaders are “bornandnot made,” and inherenttraits are o f greater significance than training.Advocates of thepsychological theoryperuse biographical and autobiographical accounts of ‘‘great persons” to learn from these leaders. Those who espouse this approach are also interested in personality traits thatmay account forleadership. Dominance, achievement drive, and identification with superordinates rather than with subordinates are a few personality traits associated with leadership. Because psychological factors have not fully accounted for leadership, atten-

34

Training and Development of Principals

tion has turned to a study of sociological factors with a shift from analysis of personality traits to one of roles and relationships-from a focus upon characteristics of individuals to one upon characteristics of groups. In the sociological approach, leadership is thought to be determined more by the needs of group members than by the characteristics of individuals. The size and complexity of interactions among andbetween group membershave direct effects upon the demands placed on those in leadership positions. The approach to the study of leadership that recognizes both psychological and sociological factors is the behavioral approach. This approach focuses upon observed behaviors. In this approach, a distinction is made between leadership and leader behavior. As the study of leadership has advanced, so has recognition of the complexity of the topic. Leadership may also be thought of as consisting of four stages: I.

Attemptedleadership:acts that includeexpression of an intentionto initiate a new structure for dealing with a problematic state of a social system. 2. Accepted leadership: acts that are mutually acknowledged as a tentative solution to a problematic state of a social system. 3. Implemented leadership: acts that have initiated a new structure in a social system. 4. Effective leadership: acts that have initiated a new structure and have met the expectations for resolving a problematic state of a social system.36 Individuals who are interested in developing their leadership skills or leader behaviors may analyze their actions and those of others to determine effective actions. To what extent do those who provide effective leadership have innate persuasion or interpersonal skills or skill in sizing up situations? Perhaps absolute answers to those questions cannot be found; however, persons who desire to develop leadership skills or leader behaviors may learn how to work more effectively with individuals and groups. Principals can improve their leadership through several avenues. First, principals should not look upon leadership as “good” or “bad”; they should instead analyze the interactive and descriptive factors that comprise leadership. Leadership should not be examined in a simplistic fashion but should be examined for the complexity of forces that constitute leadership. In working with groups, for example, the leadership roles of initiator, information seeker, opinion seeker, opinion giver, clarifier, energizer, supporter, harmonizer, tension reliever, and gatekeeper can serve as the basis of analysi~.~’ Second, principals should take a long-range view of their leadership behaviors.Inmany cases, the effect of leadership acts maybevisibleonly after a long passage of time. Principals who wish to have teachers become more attentive to students’ learning styles should not expect an overnight reversal in teachers’ attitudes and behaviors. Third, because the results of leadership stem from complex forces, principals should view leadership from that vantage point. Prin-

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cipals who broadly announce high expectations for students to obtain computer skills must realize that setting high expectations is not sufficient; curriculum decisions, equipment, in-service training for teachers, and allocation ofother resources would be needed to meet expectations. Fourth, principals should not focus upon one factor as “the key to success.” Having high levels of student achievement in math and science, for example, should not be considered sufficient evidence of leadership. Finally, principals need to be concerned about the view of members of internal and external groups. Actions taken by a principal may be viewed quite differently by students, teachers, noncertified staff, parents, and patrons. Consider the effect upon the school and community if a principal decides to require ail students to stay on campus overthe noon hour or to require at least one hour of homework every evening. Over time many experienced administrators have developed their own guiding principles for leadership. Consider the gems of meaning in the following words of advice. If it’s broken, it’s too late to fix it. Green stuff grows. Ripe stuff rots. Death precedes heaven. The mule does not load the wagon. You may as well eat the devil as drink his brew. You may want horns but you will die butt-headed. The only true failure is failing to try. Time-outs are limited by number and duration. Water, not gasoline, puts out fires. Listening speaks. You can walk on a woodenlegandyou can eat with false teeth, but you can’t see with a glass eye. There is no such thing as a “~heer-manager.”~~

In practice, principals provide leadership by establishing objectives enlisting the support and participation of others, obtaining input from many sources, appropriately delegating, monitoring progresstoward deadlines, and obtaining and organizing necessary resources. If the objectives are lofty and desirable, if workers are motivated to provide enthusiastic support and participation, and if realistic and challenging deadlines are set and met, the results should be evidence of leadership. To initiate and to bring projects to fruition, principals must lead personnel to work together to accomplish clearly definedtasksandmanage groups, processes, and tasks along the way. Japanese firms are often revered as models of superior management. What makes Japanese firms so successful? Two observers characterized one Japanese automaker, Toyota, as having broken “ranks with the old style industrial model, withits soul-killing treatment of workers as unthinking cogs whorespond to the directives of a managing elite. Instead, Toyota has recognized a new kind of thinking employee-thekind of worker who makes employee-based innovation possible.’’39 For Toyota, the results of their auto sales in the United States are evidence of their success of working with thinking employees. Principals who want to be instructional leaders could look for the best thinking of their staff members to unleash “employee-based innovation.” W. Edwards Deming, the American who has been credited with converting a

36

Training and

Development of Principals

Japan devastated by World War I1 into a super economic power, believed that workers are responsible for only 15 percent of the problems that an organization has, while the system is responsible for the remaining 85 percent. Since the system is the responsibility of management, where should the focus for improvements be placed? If Deming is correct, emphasis should beplaceduponimproving the system of management. Managers must “discover the barriers that prevent workers from taking pride in what they do.”40 Social Systems Theory

A social system is comprised of a bounded set of elements, or subsystems, and activities. Thesesubsystems and activities interact within a single social entity:’ Thus a school may be thought of as a social system, where two independent elements, the institutional dimensions and the personal dimensions, are interactive. Institutions have certain roles and expectations so that the goals of the system can be met; second, individuals who inhabit the system have certain personalities, needs, and dispositions. Not surprisingly, the expectations of the institution are often in disagreement withtheneedsof individuals. “Family leave” is an example of a clash between institutions and personnel. Regardless of the natureof a social system, patterns of behaviorbecome regular over time as functions and tasks reoccur. Eventually, these routine patterns of behavior are institutionalized. The structures created to handle institutionalized functions are called institutions. Thus, the school hasbecomethe institution devoted to educating. Other systems will probably look different because different patterns of behavior are evoked, for example, to sell natural gas, build small aircraft, or market personal grooming goods. Anotherelement in social systems theory is that of the individual. Roles within a system or subsystem are fulfilled by individuals. Because noindividuals are alike, they uniquely stamp the roles they occupy with their own pattern of behavior. For example, even with a districtwide job description for principals, no principal administers a school exactly as another principal; within the same building, no department chair functions exactly as another. Halpin conducted a series of investigations of leadership of social systems. He isolated two important factors that he termed initiating structure and conin demarcating the sideration. Initiating structure refers toleaders’behavior relationship between themselves and the members of their work groups and in trying to set up organizational matters and structure, channels of communication, and ways of operating. Consideration refers to interpersonal relationships as trust between leaders and the members of their work groups. Many other individuals have isolated what they consider to be important factors of leadership. Douglas McGregor, Chris Argyris, and Robert Blake and James Mouton have also developed views of leadership based upon bipolar factors?’ Many factors play a part in social systems theory; effectiveness, efficiency, satisfaction, andmorale are just a few. Effectiveness is the extent to which

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observed social behavior matches the expectations for a role. If two observers have different expectations for someone’s role, they will likely not agree on the role-holder’s effectiveness. Efficiency is the extent towhichobserved social behavior is congruent with the need-dispositions of the individual. When roleholders’ behavior coincideswith their personal needs, their work is less stressful or stressless, done with relative ease, and done willingly. Satisfaction isthe extent towhich a role suits or “fits” an individual. Workers who intone, “I don’t do windows,” leave no doubt about their satisfaction with the role of a window washer. Distinct from satisfaction, morale is a function of three variables: (l) belongingness, (2) rationality, and (3) identification. Belongingness refers tothe feeling thatonewillbe able to achieve satisfaction in the role. Rationality refers to the extent to which role expectations are felt to be appropriate. Manyan individual hasresignedbecauseofbeing asked toperform functions considered to be inappropriate to the position. How well the goals of the system mesh with the needs and values of workers is referred to as identification. Workers whosebloodrunsthe same color astheir company’slogo have a high degree of identification. All of the above factors must be in place for a system to function at its highest level. If any one of the variables isat aminimum,a highlevelcannot be sustained. If principals can keep morale high in their schools, satisfaction, effectiveness, and efficiency should result.

Systems Theory A system is a set of interdependent elements forminganorganizedwhole. An organization such as a school district, an attendance center, or a classroom may be thought of as a system. Each is composed of interacting personalities bound together in a mutually interdependent relationship. Throughout history, some type of systems approachhas been used to provide management services for an organization. For example,the Romans divided their forces into legions, with each legion composed of ten cohorts and the cohorts divided into centuries, with 100 soldiers in each century. The way that Roman armies were deployedwas a major factor in their conquests of other nations. As civilization advanced, greater understanding of how organizations could be governed and operated was sought. In modem times, a systematic approach to the study of administration has followed these developments: (1) scientific management, (2) human relations, (3) behavioral science, and (4) quantitative systems approach to administration. The scient$c management approach. Frederick Taylor, the father of the scientific management approach, was a laborer, clerk, machinist, foreman, chief draftsman, and chief engineer. His experiences reinforced his belief that individuals could and should be programmed to beasefficientas machines. The key to understand the scientific management approach is grasping the metaphor of “man as machine.”43

Training and Development of Principals

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Taylor and his associates thought that workers were motivated by economics andlimited by physiology.Because of thesecharacteristics,workersneeded constant direction to become efficient. Taylor's ideas can be summarized inthese few excerpts: I. A

2. 3.

4.

5.

LargeDailyTask:Eachman in theestablishment,highorlow,shouldhave a clearly defined daily task laid out before him. The carefully circumscribed task should require a full day's effort to complete. Standard Conditions: The workman should be given standardized conditions and appliances to accomplish the task with certainty. HighPay for Success: High pay should be tied to successful completion. Loss in Case of Failure: Failure should be personally costly. Expertise in Large Organizations: As organizations become increasingly sophisticated, tasks should be made so difficult as to be accomplished only by a first-rate man."

Taylor showed thatmany jobs could be performed more efficiently by adhering to scientific principles of management. Through his efforts, Taylor helped unskilledworkers improve theirproductivity.Inmanyindustries the pay of unskilled workers who werehighlysupervised,efficient,andproductive was raised to nearly that of skilled workers. During the early part of the twentieth century a somewhat separate strand of the scientific management approach became more concerned with the administrative process. In this case, the process of administration was less concerned with what should be done than with how the organization should be managed. The human relations approach. Mary Parker Follett was the first great proponent of the human relations view in administration. A s industries developed the capacity to mass produce goods in vast factories with long assembly lines, her interest shifted to concern for the workers. She proposed that coordination should underlie effective organizations; she developed four principles of organizationinrecognition of humanfactors in administration: (1) coordination should be the responsibility of those directly affected horizontally between units rather than from top down; (2) coordination must be established at the outset of an operation, before policy is established; (3) coordination should be viewed as the complementary action between all factors; and (4) coordination should be equipment are integrated continuous so that newknowledge,procedures,and into the 0rganization.4~ As the human relations approach spread, it became influential in the fields of business administration, industrial psychology, and education. Other well-known studies were conducted at the Hawthorne Plant by Mayo and his associates. The researchers concluded that productivity increases at the plant were due to attention to the workers and not necessarily to physical factors, such as increasing illumination at the workplace. The opportunity for workers to have some form of self-determination was believed to be critical to worker output. Human re-

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lations efforts have since been directed toward the development and utilization of new techniques in developing relationships with workers. The behavioral science approach. The next major development in administrative theory is generally known as the behavioral science approach. Chester Barnard, Herbert Simon, Max Weber, and Talcott Parsons, among others, studied organizations and developed administrative theories. Barnard, for example, formulated a theory of cooperation and organization. Barnard’s writing led to increased understandingof the link between Taylor’s emphasisupon production, or organization achievement, and Follett’s emphasis upon worker satisfaction. Many well-known studies have been conducted using behavioral science concepts. One of the more prominent theorists is the sociologist Max Weber. Weber’s writings focused primarily upon the characteristics of a bureaucracy: (1) a division of labor based on functional specialization, (2) a well-defined hierarchy of authority, (3) a system of rules covering the rights and duties of employees, (4) asystem of procedures for dealing withwork situations, (5) impersonality for relationships, and (6) selection andpromotionbasedupon technical competence that constitutes a Weber postulated, for example, that organizations built upon impersonal relationships could reduce emotional elements that might interfere with rational decision making. Likewise, he believed that persons in an organization could be protected from arbitrary treatment by basingpromotion, tenure, and other personnel decisions upon established factors such as seniority or achievement. Schools have adopted Weberian principles, for example, a teacher is certified to teach general science but not physics, or fifth grade in an elementary school but not the same age group in a middle school. Organizations may become rigid in operation by relying too heavily upon a system or rules and procedures.4’ The quantitative systems approach. The fourth movement can be termed the quantitative systems approach. The first proponents of this approach advocated use of statistical probabilities in decision making. In World War 11, operations research relied heavily upon quantitative systems in determining projected losses of airplanes in bomber raids andof cargo and troop ships in convoys.The development of electronic gear, especially of computers, has expanded the use and application of quantitative systems in schools for use in class scheduling, grade and mark reporting, and calculating salary schedules. The major characteristics of systems thinking have several principles that are helpful in decision making. First, systems thinking crosses many disciplines; cross-disciplinary or interdisciplinary thinking provides abroader perspective on problem solving. Second, systems thought encourages examination of all parts of an environment, both parts and the whole. Third, careful analytical, reflective thinking is promoted so thatall connections are considered. Fourth, systems thought employs considerationof patterns and linkages with the past and future; phenomena are not viewed as single happenings or isolated events but are examined in abroader context. Last, the systems approach is focused upon multiple variables in complex situations and results are measured objectively.

40

Training and Development of Principals

Information Theory As the world becomes smaller through electronic communications, informationtheory is of increasing significance. Accordingly, communication is conceived of as a system composedof five basic elements: (1) an information source (encoder); (2) a transmitter to convert a message into a signal; (3) a channel, through which the signal is passed, (4) a receiver (decoder) which reconstructs the message from the signal; and (5) “noises.”48 Administrators can enhance communications through conscious attention to information theory. For example, administrators need to consider the characteristics of the receivers of their messages (the decoders); one writing style is more appropriate for parents whereas another, more technical style would be used in drafting a proposal to a funding agency. The element of “noises” alerts encoders to consider factors that might interfere with the intended outcome of amessage. An encoder (that is, the principal) might send a message that attendance at a meeting is ‘‘voluntary but desirable,” whereas receivers might decode the message as “required” because of some “noise” that interfered with the principal’s message.Consequently, principals need to be on the lookout for feedback about the messages they send. Information theory includes the study of complex factors such as redundancy, ameasure of the organization or patterningof messageelements.A skilled decoder maybe able to predict the rest of a message after hearing part of it because of many clues provided in the first parts of a message. Redundancy is probably the most effective means yet found to reduceerror in communication.49 When information is communicated orally, listening skills are of great importance. Principals who want to be effective school leaders must be good listeners and sensitive to the concerns of others. Good listeners hearwhat the informationsource or sender intended, expend energy in focusing upon the sender’s ideas, and provide verbal and nonverbal behaviors as indicators that a message was received. Some key behaviors include clarifying the sender’s message by rephrasing the sender’s thoughts, encouraging the sender to elaborate on ideas, verbalizing perceptions of the sender’s message, and seeking to reduce misunderstandings. Askingthe right questions can help eliminate misunderstandings. Communication is not one- or two-way but interactive in nature. Principals should hear as well as send messages. SUMMARY

In this chapter, major emphasis has been placed upon the nature of the principalship. Three topics of current interest have been addressed: managementand leadership, instructional leadership, and research on effective schools. Management and leadership were discussed by drawing distinctions between the two and by highlighting the relationship between them. For example, “keeping operations runningsmoothly” waspresentedasan essential ingredient of successful management. The concept of setting a vision for a school was noted as

Effective Principals: Effective Schools

41

a feature of leadership. The necessity for providing excellent management as well as leadership was stressed. The need to identifyhigh-qualityindividuals who can serve as effective principals led into the next section. An overview of the NASSP Assessment Center Project contained a background on the nature of assessment, the NASSP skill dimensions, the results of the two validation studies, and implications of assessment. Attention was directed to some features of an administrator preparation program. The chapter concluded with synopses of various administrative and organizational theories, for example, role theory and systems theory.

NOTES 1. T.J.Sergiovanni, ThePrincipalship: A Rejective PracticePerspective, 2d ed. (Boston: Allyn and Bacon, 1991). 2. “Quality, Not Quantity,” LeadershipandLearning 2 (Winter 1989): 2-4. 3. Douglas Mitchell, Principal Leadership.,: A Theoretical Framework for Research (Urbana: University of Illinois, National Center for School Leadership, 1992). 4. Kenneth A. Leithwood, “The Move toward Transformational Leadership,” Educational Leadership 49 (February 1992): 8-12. 5. RitaDunnandShirleyGriggs, LearningStyles:QuietRevolutioninAmerican SecondarySchools (Reston,Virginia:NationalAssociationofSecondarySchoolPrincipals,1988). 6. NorthwestRegionalEducationalLaboratory, EffectiveSchoolPractices: A Research Synthesis (Portland, Oregon: Northwest Regional Educational Laboratory, 1984). 7. Stuart C. Smith and Philip K. Piele, ed., SchoolLeadership:Handbook for Excellence, 2ded.(Eugene,Oregon:ERICClearinghouse on EducationalManagement, 1989). 8.JosephF.Murphyetal.,“AcademicPress:TranslatingHighExpectationsinto School Policies and Classroom Practices,”Educational Leadership40 (December 1982): 22-26. 9. JamesScottandStuartC.Smith,“CollaborativeSchools,” ERICDigest Series (1987): 1-2. 10. Gilbert Austin, “Exemplary Schools and Search for Effectiveness,” Educational Leadership 37 (October 1979): 10-14. Fifteen 11.MichaelRutter,BarbaraMaughan,PeterMortimore,andJanetOuston, ThousandHours:SecondarySchoolsandTheirEffects on Children (Cambridge, Massachusetts:HarvardUniversityPress,1979);RonaldEdmonds,“EffectiveSchoolsfor theUrban Poor,” EducationalLeadership 37(October1979):15-18,20-24;Wilbur Brookover, Charles Beady, Patricia Flood, John Schweitzer, and Joe Wisenbaker,School Social Systems and Student Achievement: Schools Can Make a Difference (New York: Praeger Publishers, 1979); Austin, “Exemplary Schools,” 10-14. 12. Ann B. Miser, “Weaving Webs,” LeadershipandLearning 4 (Spring 1992): 5. 13. Sergiovanni, The Principalship, pp. 81-97. UnusuallyEffectiveSchools (Madi14. Daniel U. Levine and Lawrence W. Lezotte, son, Wisconsin: National Center for Effective Schools Research and Development, 1990). 15. W. B. Brookover and L. W. Lezotte, Changes inSchoolCharacteristicsCoinci-

42

Training and Development of Principals

dent with Changesin Student Achievement(East Lansing: Institute for Research of Teach-

ing, College of Education, Michigan State University, 1979). Edu16.RonaldR.Edmonds,“ProgramsofSchoolImprovement:AnOverview,” cational Leadership 40 (December 1982): 4-11. on WhatMakesanEffective 17.ThomasR.Asick,“LookingatSomeResearch School,” Blueprint for Educational Reform, ed. by Connaught Marshner (Chicago, Illinois:RegneryGateway,1984). 18. William C. Thomas, “Expectations of an Administrative Team Member,” NASSP Bulletin 74 (November 1990): 112-1 14. 19. Caroline Hodges Persell and Peter W. Cookson, Jr., “The Effective Principal in Action,” The Effective Principal: A Research Summary (Reston, Virginia: National Association of Secondary School Principals, 1982), p. 22. Jr., and Jerry Valentine, The 20. James Keefe, Donald C. Clark, Neal C. Nickerson, Middle Level Principalship. Vol. 2, The Effective Middle Level Principal (Reston, Virginia: National Association of Secondary School Principals, 1983). 21. Warren Bennis and Burt Nanus, Leaders: The Strategies for Taking Charge (New York: Harper and Row, 1985), p. 21. 22.DavidC.Dwyeretal., FivePrincipalsinAction: Perspectives onInstructional Management (San Francisco: Far West Laboratory for Educational Research and Development,1983). 23.Fenwick W. English,“ThePrincipalasMasterArchitectofCurricularUnity,” NASSP Bulletin 71 (April 1987): 35-42. 24. William D. Greenfield, “Empirical Research on Principals: The State of the Art” (paper presented at the Annual Meeting of the American Educational Research Association, New York City, March 19-23, 1982), p. 23. 25.DennisP.Baughman,“PersonalityPreferencesasPredictorsofPerformancein the National Association of Secondary School Principals Assessment Center Training of Assessors” (unpublished doctoral dissertation, Temple University, 1989). M. Kilgore,andCandaceW.Spurzem,“AreAd26.FrederickC.Wendel,Alvah ministrators’ Personalities Related to Their Job Skills?” NASSP Bulletin 75 (December 1991):14-20. 27. Neal Schmitt, Raymond Noe, Ronnie Meritt, Michael Fitzgerald, and Cathy Jorgensen, Criterion-related Validio of theNASSPAssessment Center (Reston, Virginia: National Association of Secondary School Principals, 1982); Neal Schmitt and Scott A. Cohen, Criterion-related Validity of the National Association of Secondary School Principals’ Assessment Center (Reston, Virginia: National Association of Secondary School Principals,1990). 28. Schmitt, Noe, Meritt, Fitzgerald, and Jorgensen, Criterion-related Validity, p.2. 29.Ibid. 30.RonJonesandGeraldE.Godfrey,“IncreasingOne’sPotentialtoBecomean Administrator,” NASSP Bulletin 70 (January 1986): 20-22. 31. Lou AnnJ.Landholm,“CenterHelpsOne’sMonitoringofStrengths,Weaknesses,” NASSP Bulletin 70 (January1986):24-25. NASSP Bulletin 64 (Oc32.MargaretBeard,“ReactionsfromOtherParticipants,” tober1980):97. 33. National Commission for the Principalship, Principals for Our Changing Schools (Fairfax, Virginia: The Commission, 1990), pp. 21-25.

Effective Principals: Effective Schools

43

34. JamesM.LiphamandJamesA.Hoeh,Jr., ThePrincipalship:Foundationsand Functions (New York: Harper and Row, 1974), pp. 90-91. 35. Ibid. 36. Ibid., p. 814. 37. Kenneth D. Benne and Paul Sheats, “Functional Roles of Group Members,” Journal of Social Issues 4 (1948): 41-49. 38. David E. Sawyer, “Leadership Principles I Have Learned,’’ TheSchoolAdministrator 49 (September 1992): 35-37. 39. Richard B. Wilson and Mike Schmoker, “Quest for Quality,” The Executive Educator 14 (January 1992): 18. 40. YvonneSiu-RunyanandSallyJoyHeart,“ManagementManifesto,” The ExecutiveEditor 14 (January 1992): 25. 41. Wayne K. HoyandCecil G. Miskel, EducationalAdministration: Theory, Research and Practice (New York: Random House, 1987), p. 37. 42. Andrew W. Halpin, The hadership Behavior of School Superintendents (Columbus: Ohio State University, 1956). 43. Hoy and Miskel, EducationalAdministration. 44. Frederick Taylor, Scientijic Management (New York: Harper, 1947), pp. 63-64. 45. Lipham and Hoeh, The Principalship, 24. 46. MaxWeber, 7% Theory of SocialandEconomicOrganization, ed. by Talcott Parsons (New York: Free Press, 1947). 47. Ibid. 48. L. Asuncion and C. Nobleza, “Developing a Unit of Intercultural Communication

for a Bilingual Education Program” (paper presented at the Annual Conference of the National Association for Asian and Pacific American Education, Denver, Colorado, April 7-9,1988). 49. James E. Grunig, “An Axiomatic Theory of Cognition and Writing” (paper pre-

sented at the 66th Annual Meeting of the Association for Education in Journalism and Mass Communication, Corvallis, Oregon, August 1983).

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3 The Setting in Which the Principal Works

INTRODUCTION

No principal, man or woman, is an island. Rather, every person who walks into the role of a principalship acquires a complex set of relationships. In this chapter we will explore some of the relationships that tie the principal into a complex environment. First there will be a brief summary of the types of schools, or attendance centers, in which principals in theUnited States work. The view of different relationships will be expanded from the building setting to the school district, the total educational agency, and the community. There will also be a brief listing of some of the broader cultural influences that affect what the principal does. In the final section of the chapter wewillrelatethe complexities of relationships that form the environment in which the principal works with the mission of education in a pluralistic and changing society. TYPES OF ATTENDANCE UNITS Various school organization patterns exist in the structure of different grade levels in districts in theUnited States. Traditionhasemerged as schools are categorized in several ways. Parents have certain expectations of the schools their children attend. Teachers plantobeprimary teachers, secondary social studies teachers, or possibly middle school counselors based on their interests. Prospective principals, in light of their training and experience, plan to become certified and employed as elementary, middle school, or secondary school prin-

Training and Development of Principals

46

Table 3.1 Percentage Distribution of Schools and Students by Selected Characteristics, 1990-91

School Type Percent

Central city fringeflarge 21.3 Urban town town

Rural/small Source:

of Schools Percent

26.9

of Pupils

31.9 31.4 36.1

Schools and Staffing in the h i r e d Stares: A Srarisrical Profile (Washington, D.C.: US. Department of Education, National Center for Educational Statistics, 1990-91).

cipals. Each state has certification requirements, which may vary slightly from state to state, for teachers and principals based on the traditional categorization of elementary,middle-level, or secondary school configurations. Seemingly, there is a school for every educator. Statistics are gathered each year that show the types of schools found in the United States. Some of the information about the number and types of different kinds of schools is not complete because the data need to show not only the number of public schools but also the number of parochial and entrepreneurial schools and the situations in which children are involved in home schooling. Data are not gathered every year for all types of schools; therefore, some figures are approximations. In 1992-93, there were approximately 47.6 million students in prekindergarten through grade 12 in public and private schools in the United States.’ A total of 42.2 million K-12 students, or 88.7 percent, attended public schools, and approximately 5.4 million, or 11.3 percent, attended private schools. “Private school membership in grades kindergarten through 12 has remained fairly constant in recent years, ranging from 4.9 million students in the 1988-89 school million in1990-91, 4.8 million in 1991year, to 5.0 million in1989-90,4.9 92, and 5.0 million in 1992-93.”* During the same time period, 1988 through 1992, nonsectarian schools showed the greatest percentage of growth, from 620,312 students in 1988-89 to 802,070 in 1992-93.3 The pupil-teacher ratio for public schools in theUnited States in 1992-93 was 17.2:1. In private schools the ratio was 14.9:1: Pupil-teacher ratio averages can be somewhat misleading because of the wide variation in class size found in schools. The figures showing pupil-teacher ratios for 1992-93 reveal a shift in numbers from those reported in 1990-91,when the ratio was reported as

The Setting

47

Figure 3.1 Percentage of Public and Private Schools Offering Various Programs and Services, 1990-91

90

80 70

--- 60

$ 50

I” -

40 30

20 10

0

Freeor

reduced

price lunches

Handicapped Remedial Diagnostic programtalented and Chapter reading or math prescriptive programs services

Gifted and

ECIA

1 servlces

ESL

Bilingual education

KJ Public schools

Source: Schools and StafJing in the United States: A Statistical Projile (Washington, D.C.: U S . Department of Education, National Center for Educational Statistics, 1990-91).

16.7:l in public schools and 16.1:l in private schools? As might be expected, larger schools have higherpupil-teacher ratios in both public and private schools than schools located in rural settings and small towns. When schools are categorized by locations in the central city, the urban fringe/ large town, or in ruraYsmal1 towns, it is interesting to note their distribution and enrollments. The smallest number of schools are urban, and the largest number of schools are located in rural/small towns, while the enrollment pattern is just the reverse of that depicted in Table 3.1. There is a difference in the services and programs offered in publicand private schools (see Figure 3.1). For various reasons public schools typically offer a wider range of programs to pupils than do private schools. There is also a greater concentration, or percentage, of students planning to go on to college who are enrolled in private schools than in public schools. The discrepancy in public and private schools as shown in Figure 3.2 is most noticeable in urban settings.

Training and Development of Principals

48

Figure 3.2 Percentage of Tenth- to Twelfth-Grade Public and Private School Students in Academic or College Preparatory Programs, 1990-91 (by community type)

90 80

70 60 E

g

2

50

40 30

20 IO Central city RuraYsmall Central Urban town town fringeflarge town town fringenarge Public school students

city

Rurausmall Urban

Private school students

Source:Schoolsand Stajjing in the UnitedStates: A Statistical Profle (Washington, D.C.: US. Department of Education, National Center for Educational Statistics, 1990-91).

Elementary Schools Various grade levels are housed in elementary schools. At one time students in grades 1through 8 typically attended an elementary school. Kindergarten was later added to elementary schools. Some elementary schools are primary units inwhich students fromkindergarten and grades1 and 2 attend. In other instances, there may be elementary units housing kindergarten through grades 4, 5 , or 6. The percentage of schools that house kindergarten through eighth-grade students has declined since the formation of early community school systems. When the junior high school movement, which extended from approximately 1911to the 1980s, became acommon feature of the educational enterprise, many elementary schools were structured to contain grades kindergartenthrough 6. With the emergence of interest in restructuring junior high schools into middle schools basedon a renewed emphasis on themiddle-level philosophy, it has become more common to have students attend primary schools from kindergarten through grade 4 or 5 . Elementary schoolsare often designed to serve as neighborhood schools. Personnel in neighborhood schools are expected to shoulder a much wider responsibility than simply teaching the three Rs. A neighborhood elementary school becomes a center for many family and school activities that reflect the interests and needs of a community as well as the expectations of the parents of elementary school children.

The Setting

49

Middle-Level Schools The philosophy of middle-level schools and the supporting theory has shaped the way in which many schools have been reorganized. Although it is true that in some districts grades have been placed in buildings because of space needs or convenience andnot because of a middle school philosophy, major strides havebeen made,nevertheless, byleaders of middle-level educationtobring about an approach to schooling that is specifically designed to meet theneeds of early adolescents. Early adolescents, who are youth in transition, have demonstrated needs that leaders of the middle school movement have recognized as unique and distinctly different from the needs of primary children or senior high school youth. The grades that are contained in a middle-level school will differ from community to community. In one case, a middle-level school might have grades 4 and 5; in another setting, theremaybe as many as fourgradescontainedin a middle-level school. Some combination of grades 4 through 8 is the most common in a middle-level school. The grade configuration is not the crucial variable in making a good middlelevelschool. The crucialfactorsare the staffmembers, theirphilosophy and values, and the curriculum they develop and deliver; in other words, what makes the difference is what is accomplished for the students.

Junior-Senior High Schools In many rural areas or smaller communities, a common school organizational pattern is a K-6 elementary school and a 7-12 secondary school that is organized along the lines of a middle school-senior high school. The descriptor frequently attached tosuch schools is “junior-senior high school.” Six-year secondary schools, whether they are structured as junior-senior high schools or as six-year secondary schools are the most frequently found secondary schools in the United States. A junior-senior high school is structured so thatstudentsare in two distinct student bodies, or communities, usually consisting of grades 7 and 8 in the middle level or junior high and grades 9 through 12 in the senior high school. Schedules in a junior-senior high school are built so that one staffcan be utilized to best advantage to serve the two student communities. Although some teachers may teach exclusively at the middle level or at the senior high level, it is common for a majorportion of the staff to teach at both levels. Examples of teachers with specializations thatareusedatboth levels includeart, music,physical education, modern foreign language, industrial education, and home economics. The school librarian is another professional educator who may be used at both levels. The size of the school has a major influence onhowmuch grade-level specialization andhowmuch subject matter specialization willbefound. To the

50

Development Training and

of Principals

limits to which the building can be adapted, the junior-senior high school will have some areas used almost exclusively by middle-level students, some areas devoted to senior high students, and some areas are used by students from all grade levels. Areas used by all grade levels parallel the subject disciplines mentioned above; thus art rooms, music rooms, and shops may be used by students from grades 7 through 12. Ideally, schedules are constructed in such a way that the distinction between middle-level students and senior high students is maintained, and the student communities are physically separated. A good illustration can be found in the use of the lunch room. Lunch periods can be scheduled so that middle-level students go through the lunch line first. During a second lunch period, grades 9 and10may eat, andfinally grades 11and 12 can be served. An area that does not yield to separation is the school library, which may serve all grade levels. The separation of middle-level students from senior high school students is primarily a matter of meeting theneedsthat emerge from different maturity levels. One of the key needs of youth is personal identity. Younger adolescents are susceptible tobeing overshadowedor dominated by more matureyouth. Making separate programs available for middle-level students can contribute to their positive self-identity, while at the same time enabling professional educators access to program options geared to their developmental levels. As suggested above, middle-level students could be scheduled for the first, or earliest, lunch period. There is a physiological rationale for scheduling younger adolescents to go to lunch early. Typically, they are listening to their tummies growl, and not the teacher, from about eleven in the morning until they get to eat. That physiological rationale ismuch sounder than announcing the seniors will eat first simply because that is the tradition that has been carried on in the school for unknown years. Junior-senior high schools can be more efficient than small, separate middlelevel schools and small, separate senior high schools. In a small senior high classes of chorus, school in which there may be one band period and perhaps two it is obvious that the music facilities would be sitting idle for approximately half the day. If those same music facilities could be used by middle-level students, obviously the combined usageofthe facility is going to be more cost effective than having separate music facilities for middle-level students and senior high students. The primary forces to make a junior-senior high school work to maximum effectiveness are the attitudes andtheknowledge of the professional staff. A building principal should be able to analyze the needs of thestudents, understand their developmental levels, and possess a basic knowledge of appropriate curriculum and instructional approaches for each age group. Second, a principal of a junior-senior high school needs to develop within the staff the knowledge and the philosophy that will support the kind of program that is targeted both at the middle-level, early adolescent student and at the senior high student.

The Setting

51

Six-Year High Schools Six-year high schools, like junior-senior high schools, house grades 7 through 12. They are organized as a six-year, or a six-grade-level, senior high school. All grade levels are generally placed in a block schedule, with seventh graders having the same number of periods and classes of the same length as twelfth grade students. One of the few portions of the six-year high school program in which there maybe a difference is the area of interscholastic sports. Because of school activity association guidelines, students in grades 7 and 8 are excluded from senior high school interscholastic sports.

Senior High Schools Senior high schools are most frequently three- or four-year institutions. In a small percentage of instances, there are two-year senior high schools. Senior high schools can be found in which a wide array of approaches are employed and many different types of class schedules are used. The senior high school has many school activities, and students generally have a wide array of options. There may be a portion of the students, however, who have not been attracted to take part in school activities. Senior high schools are traditionally structured along subject area groupings experience taking and scheduled so students movethroughtheirhighschool required and elective courses and, in the majority of cases, being involved in one or several school activities. Senior high school students have the services of a guidance program along with other student services. Senior high schools in the United States have become the focal point of many events and activities that generate a high level of community pride. The principalship of a senior high school is an important and demanding job.

The Danger of Traditional Organizational Patterns Educators, school board members, parents, and patrons have grown up with experiences that, in turn, have generated mental images of what they perceive a school to be or, more significantly, what they think a school should be. Arguments have been presented about the best way to organize a school, and it is not difficult to find a sound rationale for almost any grade configuration. As suggested earlier when discussing themiddle school configuration,themost important thing is what educators dofor students, what they plan in the program, and how they deliver the instruction. There is, however, a need for the educational establishmentto search for new and different ways to organize schools to meet the needs of children and youth. More creative arrangements should be generatedandtested. Theschool day could be extended to allow for preschool programs,or the formal class schedule

52

Training Development and

of Principals

could be extended in some instances to afford the nontraditional secondary student options for combining school and work or parenting. Traditional school facilities can also beused for adult education and for infant and preschool programs. The principal of a school is in a key position to provide leadership in developing innovative arrangementsthat will reach a larger percentage of the population than were reached in the past by typical organizational arrangements and school hours. Principals need to think of their school not just as a primary school, a middle school, or a senior high school designed to serve the students, but as an educational institution that affords them an opportunity to enhance the human potential of all persons who may come within their geographical area and sphere of influence. Indeed, to stay within the limits of traditional patterns of grade configurations and typical school hours can be life threatening to a school.

CLASSIFICATION OF SCHOOLS Public Schools The public school in the United States is an institution that came into existence as a result of legislation. This legislation did not take place at the federal level but was enacted at the state level. The Constitution of the United States did not prescribe how education in the various states would be conducted. The responsibility for providing for education of children and youth was assumed at the state level because the federal government didnot originally assume responsibility for schooling. The courts of the land, in harmony with the constitutional structure under which they operated, have played a role in helping define areas of responsibility for education. A s described in Chapter 4, an entire legal framework has been developed that governs much of what can be done in public education. Thomas Jefferson was perhaps the key politician of early U.S.history to shape the nature of public education.Many of Jefferson’s philosophical statementsand the values upon which they were based set the stage for public education. The value of the common person and the importance of an educated electorate were recognized by Jefferson; in turn, the public schools have helped to develop the human potential of the populace to be competent in the area of work and to serve as an informed and involved electorate. The philosophy espoused by Jeffersonpointed clearly tothe“common citizen” andan electorate in which equality was present. The Jeffersonian philosophy rejected elitism. Elitism is not compatible withpublic schooling. Various forces in society have been moving the educational establishment toward greater equity in opportunities for children and youth. The path of public education has, however, not been without conflicts in philosophy or circuitous routes that have deviated from egalitarian positions.

The Setting

53

Parochial Schools The parochial school has been a part of the total educational establishment in the United States from the very beginning of this nation. The courts of the land established early the right of church-owned schoolsto exist. As the second half of the twentieth century unfolded,the line of distinction between public schools and parochial schools became less clear at some junctures. Federal school support, and ultimately influence, has provided children in parochial schools with some of the tax-supported benefits afforded students in public school systems. Parochial schools came into existence because of parental desire to provide children withan educationalexperience in whichthe religious faith of their choice was part of the school curriculum.It was further believed that the school climate, the values, and the practice of a parochial school would assist the parents in transmitting the faith of their choice to their children. Parents also expressed the view that the peer relationships and the associations their children would have in a parochial schoolwould be more structured and wholesome than those possible in a public school. Private or Proprietary Schools Private or proprietary schools have been in existence for more years than the United States. Private schools were first established at the college level but were later opened at the elementary and secondary grade levels. Inmany instances private schools were boarding schools. In almost all private schools thathas been a special focus and philosophy that pervade the system. The private military academy has been, perhaps, the most common of such institutions. In recent decades, the proprietary school has become more popular as desegregation has taken place in the public schools. More than one city in the United States has experienced the “white flight” accompanying court-ordered desegregation. In response to desegregation, and also in response to what was perceived by many as failing school systems, private proprietary schools became more popular. In one sense, private schools have been a form of protest against perceived failures ofpublic schools. Special interests have also caused some parents to take their children from public schools and place them in proprietary schools that offer the curriculum and the environment they feel is more appropriate for their children. Home Schooling In the 1980s amovement emergedthathasgrownandhasbeenlabeled “homeschooling.” Whenhome schooling firstappearedonthe educational scene, with sufficient numbers and support to draw attention or make demands, state officials typically labeled it illegal. The battle raged in more than one state legislature, and eventually home schooling became an institution that was legally

54

Training and Development of Principals

protected and even given various levels of support beyond permissive legislation. As the interest in home schooling grew, formal organizations came forth to provide families with curricular materials and information that could be used to further their cause. Regional and national conferences have been held for persons interested in home schooling to further their understanding and develop proficiencies in providing home schooling for their children.

Commercial TutoringLearning Centers Commercially operatedtutoring programs have been developed, and for a fee students can attend these to supplement their formal schooling. Inmostinstances, the tutoring services are evening programsin which students may enroll to improve their knowledge and readiness in a specific subject area.

Correspondence Schools Correspondence schools are almost as old as the U.S.Postal Service. Many correspondence schoolsare accredited and have a certified curriculum and teachers. Two extreme outcomeshave resulted from correspondencestudy. First, and more familiar, are the results that are reported about students who have been unable to attend regular secondary schools and who have enrolled in correspondence schools and completed all requirements for a high school diploma. When such graduates have been identified and followed into college, it has been found that they can do better than average high school graduates. The second and less well known outcome of correspondence study is that many enrollees in correspondence schools never complete the courses started. It is common practice for students fromsmall schools to supplement their curriculum by completing carefully selected correspondence courses. In other instances, students make up lost credits or overcome deficiencies by taking correspondence courses. Correspondence study has proven to be a workable substitute for regular schoolattendance for many students. There are students, however, who do nothavethe interest, motivation, or necessary skills tobe successful in correspondence study. Personnel in small secondary schools should be willing to serve as monitors or resource persons for secondary students who wish to supplement their curriculum by taking correspondence courses. Students in larger schools, whomayhaveto retake a course, want to speed up their program, or blend work and schooling, may also take advantage of correspondence courses. Principals who may wish to capitalize on correspondence schools should be certain thepurchased courses arefrom a fully accredited school. There are a number of longstanding, reputable correspondence schools available. If a principal needs to identify an accredited correspondence school, he or she should

The Setting

55

call the state department of education for information on fully accredited correspondence schools.

Lifelong Learning The changing family structure in theUnited States hasledto a need for preschoolprograms for infants and children, as well as extended schoolday programs. Some of the programs are for-profit national child care or preschool organizations. Churches have also entered the preschool scene. Some preschool programs are operated from private residences. The rules and licensing requirements for operating a nursery or preschool program vary from state to state. Legislatures have notbeendisposedto require public schools to operate preschoolprograms nor have theyshownan inclination orwillingnesstofund public schools to operate preschool programs. Despitea lack of agreementregarding the role theyshouldplay,public schools are operating some preschool andbefore-and after-school child care programs. When such programs are initiated in a public school system, they are typically located in elementary school facilities and staffed with personnel who are employed specifically for theduty or paidan extra stipend for additional duties. School leaders are caught on the horns of a dilemma on the issue of child care. On the one hand, citizens in many communities have acknowledged there is a definite need for child care; ontheotherhand,budget limitations preclude assumingany additional areas of responsibility unless there is adequate funding made available. A strong rationale exists, however, for employing the publicschoolsbecause theyhavethestaffwiththe expertise and, in many settings, facilities that can be used for child care. The school is also in a strategic position to assume an added dimension to the early child care and the extended child care needs: working with parents in the domain of how to parent. This is not to suggest that school principals and teachers have all the answers to parenting issues; however, school administrators can and should identify, employ, and develop staff members with expertise in the area of parenting, just as specialists in guidance and counseling, library science, or any other area are employed by the schools. The contention that school personnel should be involved in parenting is based on some sociological propositions. The first proposition is that in spite of the radical changes that have taken place, the family is the most influential institution in shaping an individual’s life. The second proposition is that the culture as a whole-including its sounds, food, music, air, and language-is the second most influential force in shaping an individual. Peer groups have been claimed to be the third most influential force. Peer pressure emerges and reigns supreme during early and late puberty when youth are in middle schools and senior high schools. At this time of life many parents lose credibility. The school as a major agency of socialization is acclaimed as the fourth most influential force in shaping a person’slife. If the above observationsare accurate and logical, then would

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it not behoove educational leaders to forge stronger ties between the school and the home? Adult education programs are often viewed insharp contrast to needs in the area of infant and preschool day care or extended school day programs. Lifelong learning has been recognized as a way of life in a changing culture. The complexities that facepeople of all ages haveresultedin a widerange of adult learning efforts ranging from hobbies and personal adjustment programs to vocational training. Schools, public schools in particular, are in a strategic position to be involved inadult or lifelong learning programs. With the changing demographics in the United States, the needs for adult education are expanding, and school district leaders, including building principals, should be alert to the role they can play as educational leaders.

Distance Learning Distance learningis an emergingdimension of education. Distance learning is most frequently found in secondary schools and postsecondary or adult areas of learning.As hardware becomesmoresophisticated and costsfordistance learning facilities and deliverydecline, there will bemorewidespreaduse of the approach. Over the last half of the twentieth century, recumng and repeated claims have been made that schools would disappear as learning stations in the home, radio, teaching machines, computers, or most recently “hyperlearning” would negate the need for schools.6 Distance learning, however, is posed not as a replacement for formal schooling but, i f used appropriately, as a major form of enhancementfor programs in public andprivate schools. Observationhas shown, however, that in spite of the almost unlimited potential of distance learning and multimedia, if distance learning is not used appropriately it can simply be a means of extending and expanding poor instruction to more students. Distance learningthat is truly interactive drawsupontheinformation base available regarding learning styles and developmental levels of students, applies what is known about different teaching models, and capitalizes on the exploding capabilities o f multimediaandcanbe amajorforce in theimprovement of educational opportunities for students for all ages. Principals should develop the expertise of staff in the use o f multimedia. There is no longer any excuse for students to be deprived of information that can be accessed through technology such as Internet? Teachers should not be the sole source of information regarding any given subject. Distance learning or multimedia can, i f properly used, be a major contributor to education in any school.

THE SCHOOL DISTRICT AND COMMUNITY Building principals should become scholars and analysts of the communities in which their schools are located. Key individuals in every school district and community are thepersonswhomakethingswork; conversely, theyare also

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theindividualswhoseeminglyblock all efforts to make thingswork.Every building principal should examine the district and the community and search for answers to some general questions, such as the following: What is the historical background of the school and the community? (In this context the word “community” can be used to refer to the school district and the broad community in which the district is situated.) What is the cultural and ethnic composition of the community? What is the economic base of the community? Who are the power brokers in the community and who are the opinion leaders? (Power brokers and opinion leaders may be one and the same, or they may be different persons.) What are the cultural values andtheexpectationsofthepeopleofthecommunity? (Cultural values and expectations can encompass political leanings and religious affiliations.) What are the human services agencies in the community? How is information communicated in the community? A s newly appointed principals examine such questions as those listed above and find answers and explanations,theywillbebetter equipped to work as educational leaders in their community.

The Culture Principals need to have a general grasp ofthe culture of their schools and communities. Principalsshould .not onlyknowthecommunityinwhichthey work;they should also payattention to the broader, worldwideenvironment. The interrelated and pluralistic nature of the global environment mandates that every principal have an understanding of the global culture in order to relate the school to that culture and to the individual needs of students who will live in the global environment. Population Characteristics and Trends The global population is growing, according to some analysts, at an alarming rate. In the United States, thepopulation is notonlygrowing but changing. Primary changes inthe U.S.populationthathaveaffectedschools have been the rural-to-urban shift, the pattern of ages, and the shift in ethnic backgrounds. In many states, the movement from rural areas to urban areas continues. In the heartland of some statesthe total population has grown but that growth has been unequal as rural areas have lost and urban areas have gained population. The proportion of people at or above retirement age has steadily grown, while the proportion, not numbers, of school-age children has declined. The graying of the population and the increased numbers of older persons whom the govern-

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ment must supportclearly signal that the competition for the tax dollar to support education will become increasingly competitive. The changing proportions of racial or ethnic population is another trend that has implications for educational leaders. The school has in large part become the crucible in which a common culture isbeing forged. Although there are those who would define the American dream of upward mobility as appropriate only for all children of white Anglo-Saxon extraction, the principles upon which the United States was founded extendthat dream to all races and creeds, to men and women, indeed, to every individual regardless of capabilities or limitations. Building principals have amajorchallenge andanunlimited opportunity to contribute to the fostering of a common culture. A common culture does not mean that a person’sheritage must be forgotten; rather, a common culture means that one nation grows and flourishes so that all individuals have the opportunity for self-actualization. If the school leaders in theUnited States can foster a common culture, the people of the United States will never face the seemingly incurable divisiveness that has been witnessed throughout the globe. Values Values are not separate from other cultural considerations. Embedded in all that people do, values will be manifest in different ways under different conditions. First, there are values associated with survival. After survival needs are met, values move into cultural and political considerations, followed by values that are aesthetic in nature. Inmany school districts, value conflicts cover all levels ranging from survival to aesthetic. For a school to address the needs of the people in a given attendance area, the principal needs to identify and understand the value system of the people served. Values become entwined in the politics of a community in various ways. The opinion leaders and the power brokers display a range of values. School principals canhaveaninfluenceonthevalues displayed by citizens as programs are instituted andas communityinvolvement is achieved.Leadership by the principal can enhance what is done in a school and in a community and ultimately reach the value core of that community. Government Principals in the United States of America have enjoyed more political stabilitythanisoftenthe case in some nations. At the same time, U.S.school principals are facing public expectations for change that have been channeled through the political process at the local, state, and national levels. Often politicians win or lose elections based on positions taken with respect to education. Political trends that are shaped by the public and given life through the legislative process have an impact on local schools. The emergence of special education programs in their presentform are largely creations ofthe legislative

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process. Changes in the application of due process for pupils has come about as a result of judicial decisions, followed by legislative actions. Each national cry for school reform seems togenerate a rashof legislative bills that often require certain programs; however, the funding for the accomplishment of such legislative mandates may not be provided. The political climate of the nation is influenced by local advocates or special interest groups. For example,the local and national media, reportingthe electoral and political process, frequently make the debate on political issues in education very immediate for school principals. Educators of necessity become embroiled in the political debates of the nation as well as within their local districts; educationhasbecome politicized to a high degree. Politics and education are inseparable. Technology Technology has been influencing education since the advent of paper in the 1300s and the Gutenberg Press in the 1400s. In past centuries, however, inventions adopted by educators took place at a slow rate, so that assimilation was actually not a problem. With the technological explosion in the last half of the twentieth century, the comfort zone for the adoption of change has been shattered. Whether technological or cultural, change does not occur evenly; as advances take place in one area, there can be a lag in another area. Consequently, conflict emerges as a by-product of technological change. In schools, technology maybeused for management functions, instruction, research, and all related dimensions of communication and data retrieval. Building principals are now attempting to board a moving freight train passing not at a walking or running pace but at an unbelievably high speed-a train that is gaining momentum. Out ofan ever-changing set of conditions, principals are expected to know what hardware and software to acquire and how to getteachers to derive the greatest amount of benefit from computer purchases that will be current only for a short time. The building principal is called upon to demolrstrate vision in terms of what students should know about technology and what the staff needs in the way of expertise in terms of program and computer skills. Media The influence of the media on education is not fully known. “Experts” from various walks of life claim to have insights into understanding media. McLuhan and Perelman, for example, haveboth suggested that media is making information more plentiful outside the school than in the school.8 Media has been cursed and praised, defended and accused, and persons with different persuasions have given differing analyses regardingtheimpact of mediauponour culture. When claims are madethat certain programs containing violenceor nontraditional values are a bad influence on children and youth, proponents will

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argue that to curb any form of program is to curb the constitutional right of freedom of speech. Principals have been caught in the eye of the storm on more than one occasion, and unresolved debates have ultimately arrived in the courts for a judication. Some analysts have suggested that media sources caused the Iron Curtain and the Berlin Wall to fall. The media have been purported to be more powerful than armies. Principals should understand the power of media and understand the implications and potential of media at the global, national, and local levels. A principal who can gain the cooperation of the local press will be far ahead of the person who is seen as uncooperative or antagonistic. It is most unlikely that a principal or the superintendent will control the press or the television and radio media. Media reporters maynotbe interested in stories the principal feels are important. In spite of differences that may occur between the school principal and the media, school administrators should continue to maintain a positive effort to enlist and cooperate with the media in all areas.

Affluence and Poverty Affluence and poverty are two realities of our culture faced by building principals. Affluence and poverty constitute opposite ends of a continuum from which children and youth come into the school. Expectations have emerged from affluence, and sociologists have not yet fully analyzed or described their implications. The commercial interests that have swarmed around the adolescent consumer have exacerbatedconditions, andthe gap betweenthosewho have material resources and those who live in poverty has widened. The sociology of affluence and poverty comes to school with students each day school is in session. Crime and violence. In schools, crime and violence are related to affluence and poverty in complex ways. Crimes may be committed by persons of financial means or by persons who come from abject poverty. But as crime and violence thrive in society, they will also flourish in the schools. The degree of violence in schools varies dramatically from one setting to another. In some communities there is little or no crime. A stolen pair of gym shoes may be the major event of the week, and two students getting into a fight the event of the month. By contrast, police patrol the halls in in some schools in an effort to keep law and order. Every principal is charged with the responsibility of assuring parents their children are provided a safe environment with caring people and full opportunities to learn. Principals should work closely with the local police and forge a cooperative relationship in order to coordinate the work of the two agencies. District policies and rules and regulations should be agreed upon in advance by school personnel, law enforcement, and juvenile workers. When the school personnel know what to expect from the police, and the police know their role and the procedures to be followed, the results can be positive.

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Drug use. The use of drugs within schools goes hand in hand with drug use within the community. As the drug culture becomes a part of the community, the use of drugs will become a part of the school scene. School principals should use their leadership to curb the use of illegal drugs. At the same time, principals should be involved in education in thefight against drugs. The principal is responsible for coordinating the curriculum, the methodology, and staff members in the battle against drugs. The Global Economy

Communications and the mobility of society have implications for the environment inwhich school principals work. As graduates from U.S. secondary schools go into the world of work or to postsecondary institutions, they will be facing a world in which the concept of global economy has growing ramifications for them. Toffler wrote about the demise of the Soviet Union just prior to its fall? Not only timely and accurate, his futurist view was also an illustration of how multiple forces at play in a global economy affect nations and individuals. Because secondary school graduates cannot escape the influence of the global economy, each building principal has a need to be informed regarding the significance of the global economy for education. Knowledge Explosion

The “knowledge explosion” means simplythat knowledge has grown at such a fast pace and with such a vast scope that it has not yet been fully comprehended. It is interesting toknowhow fast peoplecouldtravel in thetime of Christ and how over the centuries that speed increased and also to see diagrams depicting the growth of recorded knowledge starting from the time of the Gutenberg Press to the present. Curves showing the speed of transportation or the accumulation of knowledge have shown explosive growth in the last half century. At onetimeknowledge was so limited it wasrevered; at the present, knowledge seems to be so abundant its perceived value has been diminished. Actually, knowledge remains valuable. The problem principals face is how to access and sort the valuable knowledge. The principal is also faced with discovering ways to workwithstaff members andthecommunityto develop a curriculum that equips students to live effectively in an information-rich environment. Powershifts

Power will remain a part of every principal’s life. One of the interesting facets about power is that the manner in which it isdeployedis in transition. The sources of energy to fuel power strategies are changing, primarily in the form of information, and political forces are undergoing cosmetic alterations as well

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as some substantive changes. The powershifts explained by Toffler reach into the everyday lives of leaders, including building principals who are working in an arena of shifting power patterns.’O Openness hasbeen recognized asmore appropriate than efforts tohoard power. Legal provisions requiring open meetings is only one small manifestation that accumulating power has been culturally rejected in preference to sharing power. Democratic processes have become more open by legal requirements in such areas as due process and human rights, and the flow of information and sophistication of communications have radically altered expectations. With the invention of the atomic bomb, everything in the world instantly changed with the exception of the way people think; and as the changes in the world have been witnessed, all facets of the schools have changed. It remains to be seen if the way educators think can be changed.

THE ENVIRONMENT AND THE MISSION OF SCHOOLS Every principal works in a complex environment. While every environment has its unique characteristics, there are also fundamental likenesses and similar categories by which a principal can analyze a community. In the complex environment of a community, unique expectations are placed on each principal. The mission of education has been viewed from a broad political base that in turn reaches down to the local level and mixes with local expectations. Federal laws, which are a reflection of national interests, influence what goes on in local schools. The federal mandates are supported in some instances with federal funding or with court rulings. The Constitution did not provide for education, and therefore education was left to the discretion of each state. This is no longer totally substantiated when federal mandates and funding are reviewed. Education is an institution involving a high national priority. The importance of education to the national well-being of the United States has been periodically reiterated and stated differently by leaders ranging from President Thomas Jefferson to presidents in the last half of the twentieth century. The Seven Cardinal Principles were set forth shortly after the turn of the current century, the Ten Imperative Needs of Youth followed, and during the post-World War I1 era almost every president used education as a plank in his political platform. The debate has not been whether education was of a high priority but how the priority should be met. Local school officials have been responsible for responding to national concerns and mandates, state mandates, and local interests. A Sunday supplement may comeout with a new set of criticisms of education or another“white paper” maybepresentedon a nationaltelevisionnetworkthat causes local patrons to echo the concerns they have seen in the media. Interest groups with vastly different agendas call upon local school officials with requests, demands, and expectations that are often in conflict. The principal, who has a clear sense of what the mission of education shouldbe and a solid set of educational values

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that merge into a definable educational philosophy, should be able to maintain some semblance of balance amidst all the counterforces. Of all the groups that influence a principal, the most significant group is the student body. Whereas the nationalagenda is of grave importance, thewellbeing of each pupil as a unique individual is of utmost importance. Thenational agenda can be addressed only by meeting the needs of each pupil. Parents make up the second most important client group with which the principal must work. The teaching staff, as a third immediate group of great significance, is the means and the human resource the principal has to work with to achieve local expectations, the national mandate, and the needs of each individual pupil.

SUMMARY Every principal must be an environmental analyst-a student of trends and a reader of social, political, and technological information. It is no longer adequate for a person to be a “good teacher” and then acquire an administrative certificate to become a principal. In order to survive and to provide leadership for schools capable of educating children and youth for the future, principals must be able to understand the depths of their environment and the complex relationships that influence education. Each person who would be a principal should look at the local setting, the school itself, and the community in an effort to become perceptive and knowledgeable about the school and community. With a greater understanding of the history, the economic base, and the cultural and sociological elements of a community, the principal willbetter comprehend howtomeettheneeds of the children and youth in the community. A s partof a larger and more complex system, the local environment does not exist as an island. A principal who will help staff members meet the needs of youth understands the forces outside of the local community that help shape the local environment. Consequently,every principal needs to be an environmental analyst. NOTES 1. Public and Private Elementary and Secondary Education Statistics: School Year 1992-93 (Washington, D.C.: National Center for Education Statistics, U.S.Department of Education, Office of Educational Research and Improvement, 1992). 2. Ibid., p. 5. 3. Ibid., p. 8 . 4. Ibid., pp. 9-16. 5 . Schools and StafJinng intheUnitedStates: A Statistical Projle, 1990-91 (Washington, DC.: National Center for Educational Statistics, US. Department of Education, Office of Educational Research and Improvement, 1991), p. 6. 6. Lewis J. Perelman, School’s Out (New York Avon Books, 1993). 7. Ed Krol, TheWholeInternet (Sebastopol,California: O’Reilly & Associates, 1992).

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8. Marshall Herbert McLuhan and Quentin Fiore, The Medium Is the Message (New York:RandomHouse,1967);Perelman, School’s Out. 9. AlvinToffler, Powershift:Knowledge,Wealth,andViolenceatthe Edge of the 21stCentury (New York:Bantam Books, 1990). 10. Ibid.

4 Legal Aspects of the Principalship

INTRODUCTION Principals need to understand the laws that relate to education in general and to students, employees, parentsandguardians, and patrons in particular so they can confidently face the legal implications and responsibilities of the principalship. Principals must know enough to understand when to seek legal services, what to do and what to avoid to remain in compliance with a law, and how to protect the rights of individuals. Awareness of legal considerations and implications does not licenseprincipalstobebarristers,butitcanhelpprincipals followwhatthelawrequiresandavoidlegalentanglements. Thus, principals who understand the legal responsibilities and dangers of field trips, for example, willrequirecarefulplanningandorganizationbyteachersbeforeapproving them. Because anyone can bring suit against another at any time for almost any reason, principals must understand the basic principlesof America’s legal system and the particulars of their own state and district. Inthis chapter, anoverviewofthelegalfoundationuponwhicheducation operates is presented. Tort liability and student and faculty rights according to thelaw are discussed. Some contemporaryissuesthat have significantlegal implications are presented. Finally, the ethical responsibilities of the principal are addressed. The word ‘‘law’’ is used to refer to all directives regardless of their sourcefederal or state constitutions,statutes,judicialrulings,andothers. “Law” is also used specifically in reference to statutes passed by legislative bodies. Boards to pass policies, rules, of education at the state and local levels have authority and regulations that form a set of “education laws.” Every state has some laws thatpertainspecifically to education, butmany

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come from a body of laws with general applicability to governmental agencies. Becauseeducation is afunction of state governments, muchthat applies to governmental entities, such as “open meeting” laws, also applies to governing boards of education. Constitutional provisions, legislative enactments, agency regulations, and judicial decisions can be thought of as sources of external law. Board policies and actions, administrative rules and regulations, and contracts, such as collective bargaining agreements between an institution and its employees, are considered as forms of internal law. In America’s tieredlegal system, federal laws take precedence over laws passed in state legislatures, and external laws supersede internal ones. Furthermore, within the framework of external law and internal law, a hierarchy exists. In internal law, for example, a grading practice developed by a school’s faculty is subject tothe district’s policy on grading. The U.S. Constitution is the base upon which all laws, statutes, policies, rules, regulations, and practices are interpreted. Court decisions can be divided into two kinds: (1) interpretation of constitutional or statutory provisions or (2) application of common law. Matters of common law are decided upon general principles rather than upon specific constitutional or statutory provisions. In tort liability, the principle of “What would a reasonably prudentperson do?” is of prime importance in personalinjury cases. If an accident occurs on abus on a field trip, several parties may be sued; the standard of “reasonably prudent person” would be applied to the driver of the bus, the teacher who organized the trip, and the principal who approved it. Other parties, dependent uponthe situation, might also be defendants in the case, for example, a parent who had volunteered to be an unpaid supervisor for the trip. The U.S. Constitutiongrants authority to the federal government with specific restrictions on its power. Because education is not mentioned in the U.S.Constitution, education is reserved to the states under the “General Welfare” clause of the Fourteenth Amendment. Nevertheless, the federal government retains a keen interest in education, and Congress has enacted many laws that regulate the operation of school programs. The enactment of Title IX of the 1972 Education Amendments prohibits discrimination against female students in public schools and in private schools that are recipients of federal financial aid. One result of the passage of Title IX was the creation of provisions for equal treatmentof females in athletics.’ The law is also thebasis for claims ofsexual harassment. Title IX is a prime example of how intrusive or protective actions of the federal government may be. State constitutions provide a framework for state government, some protections of personal liberty, and provisions for education. The Congress oftheUnited States has enacted many statutes that relate to education, such as civil rights acts and funding for programs that are deemed to be in the national interest, but it does not legislate how education is to be governed and administered. There are provisions in federally funded programs, however, thathave direct influenceupon schools, suchasrequiring carefully

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planned proposals that meet criteria established by the U.S. Department of Education, limiting expenditures to approved categories, and external evaluators. Noncompliance with rules and regulations of a federal agency may have severe consequences because the federal government retains the power to stop funding for all programs if a violation is found. Each state’s legislature has comprehensive power over public elementary and secondary education and can exercise considerable control over private education. The organization of education varies much from state to state; for example, Hawaii is a single school district whereas Texas and Nebraska have dozens or hundreds of school districts. State legislatures tend to have more control over the financing and less control over the governance of public postsecondary education in comparison with public elementary and secondary education. Both federal and state departments of education are administrative agencies whose purpose is to handle specific matters pertaining to education that require the time and the expertise members of legislative bodies do not have. In addition to departments of education, many other state and federal agencies affect the operation of educational institutions. Regulations and decisions fromfederal and state agencies have the force of law. The courts provide a means to resolve disputes, but jurists do not act on their own initiative. A case must be filed with a court before any action or litigation can take place. Courtdecisions have far-reaching implications onprincipalteacher-student-parent-patronrelationships. Because an external or internal law of practice is subject to interpretation, the constitutionality of a law is often of first consideration. The rights of citizens with respect to the administration and operation of schools is also of deep concern to the judicial system. Court cases consist of two types, civil and criminal. A dispute between two or more individuals is a matter of civil law. A criminal action is a wrong or crime against the state; the state brings suit against the wrongdoer, who if found guiltymaybefinedand/or imprisoned. Legalactionusuallybegins in a trial court. The loser of a trialmay appeal to a higher court. An appealmaybe carried through a state’s judicial system and federal courts to the highest courtthe Supreme Court of the United States (SCOTUS)-which has produced decisions that have significantly altered the operation of schools. What was legally sound years ago may be found to be unconstitutional, such as the concept “separate but equal schools” which formed the basis for segregated schools. Whenever in doubt over a legal issue, principals should contact a superordinate whomay choose to refer an issue to the school’s attorney. Most school districts have an attorney on retainer who specializes in educational law who can be called upon for guidance.

THE LEGAL BASIS OF SCHOOL DISTRICT ORGANIZATION Because education is not mentioned in the U.S.Constitution, this important function was left to the states. At the state level, authority flows from the people

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to the state legislature to local districts; the state board of education represents

the legislature by supervising the state’s programs through the staff of the state education agency (SEA) or state department of education.In most states, the responsibilityfortheoperationandcontrol of educationisdelegated to local school boards. Consequently, the organization and operation of schools varies from state to state and from district to district. The primary basis for education in a state, then, is its constitution; the federal constitution, laws, and court decisions mayproviderestraintsupona state’s authorityregardingindividual rights, personalfreedoms, and thelike. A state may not prohibit the establishment and operation of private or nonpublic schools but may require that they adhere to standards set by the legislature, state board, or court order for the protection of the attending students. Each state has established one or more agencies to set standards for the operation of all schools. Becauseeducationisafunction of the states, each state’slegislature has authority to create, dissolve,or modify its school districts at any time. For example, whereas the legislatures in its bordering states have reorganized and consolidated districts, the legislature of Nebraska, which has had thousands ofschool districts, hasoptedtopasspermissive,ratherthanmandatory,legislationregardingreorganization and consolidation. Thus educationinNebraskais conducted in many more school districts than in Kansas,Missouri,and other neighboring states. Authority for education is usually vested in a state board of education whose members may be elected by the people or appointed by the governor. A state board of education serves asthegoverning,policy-makingbody over a state department of education. The latter is headed byan elected or appointed state superintendent of instruction or commissioner of education. In states where the superintendent of instruction is elected, the position is one of political significance. In other states, the chief state school officer is appointed by the governor or by the members of the state board of education. Considerable debate may be waged over the advantages of the election or appointment of the state board of educationandchief state school officer. The scope of responsibility of state departments of education, however, isoften so broadthatfocusisprimarily upon regulatory functions; too few resources are provided for a significant degree of leadership at the local level. Local school districts are subdivisions of the state and as such are involuntary quasi-corporations. School boards have three kinds of powers: (1) those granted by statute, (2) those that are implied, and (3) those that are essential for operation. None of the three powers are immune to challenge. Members of school boards are generally immune, however, from tort liability unless a statute imposes such liability. The immunityisbasedupontheprinciplethatbecause school districts are instruments of the state, the state cannot be sued unless it agrees to be sued. Whether thistenetwill endure isupforspeculation, since the law is a dynamic body. How are educators classified? Generally, superintendents are classified as state

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officers and as such have some power of government that may be exercised for the public good; teachers do not have that power. Filling a function as middle management, principals occupy a less well defined role. In a few states, statutes define principals’ authority and responsibilities. Principals should review state laws andlocal policies to clarify the scope of authorityand responsibilities vested in the position. Local school districts may be classified by state statute. For example, in Negrades, braska six classes are designated: Class I maintainsonlyelementary whereas Class VI districts maintain only high schools. The remaining four classes serve K-l2 populations and are baseduponpopulationofthe district. In other states, local districts may be coterminous with county boundaries or may follow another prescribed pattern of organization. Considerable differences in assessed valuationper student are a function of district organization; one district maybe poor, whereas a contiguous one maybeconsidered rich. If the rich district has relatively few students, the imbalance in educational opportunity may be even greater. Thus, the structure of school districts defined by the state, the wealth of a district, and state financing formulas have a major influence on the operation of a school. Finding the optimum size of districts, ones that are large enough to be efficient, but not too large, is not easy. Over time many organizational patterns have been formed thatbenefitorlimitneighboring districts. The public schools in Chicago with some 400,000 students, for example, have 600 attendance centers, are composed ofheavy concentrations of urban poor, andare surrounded by moreaffluent districts. Shouldthe ChicagoPublicSchools be mergedwith neighboring districts to form an even larger district with an accompanying larger bureaucracy, or should the state provide even greater levels of funding for Chicago? Such questions have enormous implications andmaybeanswered in a legislature ora court on some future date. Onegeneralprincipleisthatthe wealthof a state shouldbeused for theeducationofallchildrenwithinits borders, and ability to pay should not be the determining factor in the quality of education inany school district. Equaleducationalopportunityremains a dream for many educators and students, however. The legal basis for school district organization and operation also speaks to issues regarding law suits, letting of bids, the selling of real estate, upkeep of the schools, student records, and dozens of other matters. Many laws that directlyand indirectly affect education andschool employees are enacted each year. One way that administrators can keep reasonably informed about legislative changes is through membership in professional organizations for administrators. Administrators’organizations oftenhave legislative committees and lobbyists who track bills perceived to affect education and issue timely reports on pending bills that affect education. In the following sections, attention is directed toward legal matters of direct import to principals. In the first section, the relationship of the principalship toward tort liability is addressed.

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TORT LIABILITY What is tort liability? A tort, a civil matter, is a wrong by a person in which another is injured in body, property, or reputation. An individual may also be held responsible for the breaking of a contract, which may result in a payment of damages.Whereasschool board members are usuallyprotectedfrom tort liability, schoolemployees are not. Previously, areference wasmadetothe necessity of careful preparations for and supervision of a field trip. A principal more than likely would be sued if a student were injured on a field trip, although the principal had not accompanied the group from school. Let’s examine how responsibility is established and how a standard of care can be applied. In many torts, a plaintiff alleges injury to one’s body because of negligenceon the part of another or others. The individuals being sued, generally including the principal, are named as the defendants.

Negligence “Negligence” is a wordthat principals cringe to hear. Doesanyone in a school system ever intend to be negligent or careless, with resultant injury to another person? Nevertheless, sometimes accidents happen that are not seen as caused by negligence of a school employeebut, in fact, are. Four elements must be proved to maintain a cause of action for negligence: 1. A duty recognized by law to conform to a certain standardof conduct to protect others against unreasonableriskof harm. Teachers and principals, by thenatureoftheir positions, have such a duty.

2. A breach of that duty, which is the failure to conform to that standard of conduct. 3. Actual harm to the interests of another, for which the law provides a remedy.

4. Proximate cause, which is a reasonably close causal connection between the conduct and the resulting harm.

Defendants may protect themselves from suits for negligence in four ways: 1. Immunity to suit 2. Plaintiffs assumption ofrisk that caused an injury

3. Plaintiffs contributory negligence 4. Preventing the plaintiff from proving any of the four elements

Principals may also protect themselves through insurance that is individually purchased or, in some states, by save-harmless statutes. Some states have provided statutory protection for financial damages and other expenses that may result from claims? Legal defense costs are covered in a few states. An immunity avoids liability in tort because of the favored position of the

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defendant. A privilege avoids liability for tortuous conduct under particular circumstances that make it just and reasonable that the liability should notbe imposed. Negligence isdefined as doing somethingthatan ordinary, prudent person would not have done under similar circumstances or failing to do something that an ordinary, prudent person would have done under similar circumstances. “Reasonably prudent persons”always act with care and take reasonable precautions to protect persons under their care. How far does tort liability hold? In one case, anemployerwas subject to liability for physical harm to third persons caused by failure to exercise reasonable care in selecting the employee, althoughsaid employee was an independent contractor. To impose liability on an employer for negligently entrusting work to an employee incompetent to perform such work, the plaintiff had to show that the employer negligently selected a person incapable of performing the work and that the conduct of the incompetent employee was a proximate cause of injuryto another. Theemployee’s characteristic, quality, or deficiencymust proximately cause the harm producing injury to a n ~ t h e r . ~ Anotherform of protection is affirmative defenses, suchas “contributory negligence” and “assumption of risk.” Althoughallfour elements of negligence may be present in a case, a defendant may be successfully defended by a plaintiffs’ own negligence. In the case of young children, the affirmative defense of contributory negligence is tempered, if not entirely eliminated, by the age of a child. The second form of affirmative defense is assumption of risk by a plaintiff. For example, astudent who tries out for a team to play tackle football assumes some degree of risk because of the nature of the sport. The burden of proof for “contributory negligence” and “assumption of risk” remains the responsibility of the defendant, who must show that three elements exist, namely, that the plaintiff (1) knew or should have known of the risk (foreseeability), (2) understood the risk, and (3) had the knowledge, experience, and time to withdraw from the risk. Often school administrators use a “release of liability” form to inform students of risk and have parents sign the form. In general, the use of such a form provides little protection, as students’ rights cannot be waived by their parents or guardians nor can students waive their own rights. Indeed, students are entitled to reasonable care atall times. Asking parents to sign a consent form that acknowledges receipt of information about risk ladenactivities is, however, recommended. Principals, teachers, and other school employees are judged according to the amount of possible danger inherent in an action and the degree of maturation of the students. Taking five seniors in high school who have completed three semesters of woodworking to a wood mill to see finished products in a showroom may be a quite different matter than a teacher, unaccompanied by other supervisors, takingthirty kindergartners throughtheoperationalplant of the wood mill. If an injury occurs to a senior in the showroom or to a kindergartner on the plant floor, the standard of care is the same: What could a reasonably prudent person be expected to do? First, each teacher would have to show that

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the duty to conform to a certain standard of conduct to protect others against unreasonable risk of harm was met. The other elements would be considered in relationship to the injury, its probable cause, and the duty of the teacher. In a trial, a jury decides whether a “reasonably prudent person” would have foreseen that an act or omission would have placed a student in jeopardy. “The law does not require precision in foreseeing the exact hazard or consequence which happens. It is sufficient if what occurred was one of the kind of consequences which might reasonably be fo~eseen.”~ When a student or staff member has been killed or maimed following a school activity, litigation often ensues. In the case of Brahatcek v. Millard School District, the courts found for the plaintiff, Brahatcek, whose fourteen-year-old son was killed during a physical education class in golf. David Brahatcek died two skull. days after hewas struck by a golf club in the left optical region of his The courts found for the Brahatceks on the grounds that the class was mandatory and the plaintiff was not negligent. In a case of negligence, the burden is on the plaintiff to show there was a negligent act or omission by the defendant, and the negligent act was a proximate cause of the plaintiffs injury or a cause that proximately contributed to it. Although the class was being supervised by two teachers, the courts did not feel that adequate supervision, instruction, and care had been given to the golf lesson. The court said, “We have no difficulty in finding that the lack of supervision was a proximate cause of death of Da,,id.”S Proximate cause” is that cause which in the naturaland continuous (A

sequence, unbroken byan efficient intervening cause, produces the injury and without which the injury would not have happened. How can principals keep students and employees from injury and avoid lawsuits for torts? First, principals must understand and enforce the need for supervision of students. The gym teacher who is having seventh graders work out on a trampoline for the first time has the duty to meet a standard of care that is different from administering a pencil-and-paper test in a classroom. Principals are also responsible for seeing that equipment is kept in workable and safe operating condition. Principals must oversee how teachers provide instruction on the proper useof chemicals, equipment, machines, and supplies. Principals should expect shop teachers to begin classes with direct instruction on how to start, operate, and stop a drill press, for example. On a tour of the building, if a principal notes that hazardous chemicals are left in the open, a “reasonably prudent principal” would ask the chemicals be safely stored. AIthough the nature of some courses, for example, chemistry, is more inherently dangerous than others, for example, penmanship in first grade, the standard of care thatmustbemet by the respective teacher is thesame. Thechemistry teacher may provide a safer environment through careful instruction and monitoring of activities in the chemistry lab, and the penmanship teacher may be negligent by leaving the classroom unattended while taking a break in the teachers’ lounge some eighty feet down the hall for twenty minutes. Parents and guardians have specific rights. They must be notified in advance

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of field trips and asked to grant permission for their child to participate in the field trip. Parents’ authorization for the trip does not, however, lessen the responsibility of school personnel. Principals should analyze activities for potential dangers. Students, especially young children, should not be sent on errands to the convenience store across the street to get supplies, whether for a class orteacher. The potential for injury and a lawsuit is much greater when students are sent off the school grounds. Extra care should be used in assigning students to safety patrol, in loading and unloading buses, in supervising high-risk activities, sending students home early, or keeping them after school without the knowledge of their parents. The number of lawsuits exposing actions that were not reasonably prudent becries a simple admonishment to “use a little common sense.”

Guidelines for the Principal Principals can follow several guidelines in reasonable prudent procedures: An assembly or other meeting should he held periodically in which school rules for the safety of students are viewed with both students and staff. 2. When instructions or directions for the safety of students in school are issued, the age and ability of the student must be taken into account. If there are any special categories of students for whom different standards would apply (such as physically or mentally handicapped youngsters), special rules may be necessary. 3. There should be no time during the day when each student is not under the supervision of a member of the staff. 4. If your state requires that a certified person always be in charge of students, appropriate assignments should be made and a record kept of each assignment. 5. The staff should be instructed to report all dangerous conditionsso that the principal may take steps to correct them. All such reports should be acted upon immediately. 6. Appropriate warning signs should be posted in shops, parking areas, and other potentially dangerous places. 7. All field trips should he approved by the principal. If there are any questions concerning the trip, the principal should investigate the matter and either disapprove the triporimposeappropriatelimitations.Onlystudentswhoseparentshavesigned permission slips should be permitted to go on the trip. The slip should indicate an acknowledgment by the parents of the nature of the trip, and the time supervision of students will end. While such permission slips do not absolve school personnel ofresponsibility for negligence,theyareimportantevidencethattheparenthad knowledge of, and gave consent to, his [or her] child’s participation. 8. The principal should consult his school district’s attorney as to whether private vehicles may be used to transport students to athletic and other school events. 9. Either by a general procedure, or by specific instruction, the principal should always designate someone to be in charge when he [or she] is not present. 10. It should be ascertained from an attorney whether school districts in the principal’s I.

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state are required by law to pay any judgmentrendered against a principal from an action taken in the course and scope of his [or her] employment. If not, appropriate insuranceshould be carried.Suchinsurance may be offeredthroughthestateprofessional association; it is automatically provided to all NASSP members?

If the above rules are followed, the reasonable andprudent principal will have a minimum of legal problems based on injury to students. Defamation One of Americans’ fourfreedoms is freedom of speech. Yet freedom o f speech is limitedbytherights of others; individualsdonot have the right to defame others. “A communication is defamatory if it tends so to harmthe reputation of another as to lower him [orher] in the estimation of the community or to deter thirdpersonsfrom associating or dealing withhim [or her].”’ To create liability for defamation there must be 1. A false and defamatorystatementconcerninganother 2. An unprivilegedpublicationto a third party 3. Fault amounting at least to negligence on the part of thepublisher 4. Either actionability of thestatementirrespective of special harm or the existence of special harm caused by the publication

Defamation may be made by libel or slander. In general, libel is the product of written statements, and slander is oral in nature. If a principalwrites a defamatory letter of reference about a staff member, thatcouldbe libel. I f the principal also makes a defamatory telephone conversation about the same staff member, that could be slander. A defamatory communication may consist of a statement of fact or opinion. Publication requires that something be communicated to someone other than to the person defamed. The publisher is not subject to liability for defamation if the statement is true. If a statement is published, that is, written or spoken, for malicious motivesor is not published for justifiable ends or on a matter of public concern, a statement could be held to be defamif thewords atory if injurious to the plaintiff. Defamation maybefoundeven but canbeproven to be so. In other themselves do notappeartobeharmful cases, defamation can result from the mere utterance or writing of words. Principals are often asked to write or tomake comments abouttheirsubordinates by a prospective employer, for example. When giving an appraisal of a staff member, a number of points should be considered: 1. Althoughthelaw recognizesadistinction between libel andslander, a principalcould beheld liablefor an unprivilegedpublication o f afalse and defamatory statement about another whether the statement is written or oral in nature.

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2. A defamatory statementof pure opinion is, at least in theory, not actionable; however, what constitutes a statement of “pure” opinion is not &ways clear. An honest opinion basedon disclosed true facts should be protected. But an opinion that implies the existence of undisclosed defamatory facts may be actionable. 3. A defamatorystatement of fact maybe actionable. Any fact, stated or implied, should be true. 4. When one is asked by an applicant for permission to be listed as a reference or to provide a communication in support of the application, agreement to either would seem to imply that one’s comments will be supportive; if the comments are not supportive, that may be viewed as an act of bad faith. If one cannot say good things about the person, the best course of action would seem to be refuse any such request. 5. When one responds to a request for information about a person from another who has a need for that information, a qualified privilege will likely afford protection against liability for defamation. The qualified privilege will be lost, however, if it is abused.To avoid abuse, the communication should include only matters that are relevant, should be an honest and true statement about such matters, and should not reflect any hostility, ill will, or improper motives. 6. If privilege is to be a defense,one should be prepared to prove the existence of the privilege. 7. Further, one should be prepared to prove the truth of the statement made. Principals may want to review with teachers the import of written and oral statements about their students so that teachers do not commit libel or slander. The writing of comments about students in their permanent records should be reviewed expressly. Principals areoften viewed as public figures and as such both enjoy and suffer from their status. The GeorgiaSupreme Court determined that high school principals were not public officials and as such did not need to prove malice on the part of a defendant in a libel suit. In Maryland and Mississippi, principals are held to be public officials, whereas the law in Illinois grants principals the same protection that private citizens enjoy. In general, principals do not stand in a confidential relationship with others, as do a husband and wife or attorney and client. Thus, principalsshould limit their negative comments about students and staff members to those they have personally observed. Also, any statements that are possibly defamatory should be reported only to those who have a need to know. In a society that is increasingly litigious, knowing and keeping the law, reporting only the truth, and acting without malice can reduce risk. The issue of protecting individuals from libel or slander by students in publications or in speeches at assemblies raises a host of complicated concerns. To what extent can administrators censor student publications, for example? Matters affecting student rights are addressed in the following section.

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STUDENT RIGHTS Compulsory School Attendance Educationisheld to bearight and privilegeof every childintheUnited States, and laws are set forth to protect the rights of every child to receive an education. One way to have each student become a good citizen is through the establishment of compulsory school attendance. In some states, the law requires attendance to age eighteen and in others to age sixteen. One outcome of such legislationis that educationisdetermined to beafundamentalpropertyright that cannot be denied arbitrarily. Compulsory school attendance is not outlined in the U.S. Constitution but is included in every state’s laws. The law in Nebraska, for example, states the following: 79-20 I. COMPULSORY EDUCATION; ATTENDANCE REQUIRED; LENGTH OF SCHOOL TERM. Every person residing in a school district within the State of Nebraska who has legal or actual charge or control of any child not less than seven nor more than sixteen years of age shall cause such child to attend regularly the public, private, denominational, or parochial day schools which have met the requirements for legal operation prescribed in Chapter 79 each day that suchschoolsareopen and in session,except whenexcused by schoolauthorities,unlesssuch child hasbeengraduatedfromhigh school.Thetermshallnotbeless than (1) one thousand thirty-two instructional hours for elementary grades and (2) one thousand eighty instructional hours for high school grades in any public school district or private, denominational, or parochial school, except that in the event of the failure of any district which receives twenty percent or more of

its total receipt for general fund purposes from federal sources to actually receive receipts anticipated at the time of the adoption of the schoolbudgetfromtaxes,statefunds, federal funds, tuition, or other sources, the board of education of such district may, at any time during the school year, elect to close all or part of its schools. In the Nebraska compulsory education law, matters in addition to compulsory attendance are addressed. The reference to the number of hours of instruction was added during the heat of the debate over A Nation at Risk, a report that sparked a decade-long reform movement. Statutory provisions often reflect the intent of legislators for students to receive maximum benefits from schooling.

Discipline and In Loco Parentis What is the law in your state regarding corporal punishment? Or your school board’s policy? Many states have statutes and school boards have policies that forbid corporal punishment-theuse of forceupon or toward the personof another. Principals and teachers are responsible for proper management of the learning environment, maintaining good discipline, and having positive relationships with students. Often these responsibilities conflict. In the best of times,

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keeping the behavior of all students within acceptable limits or standards is difficult. The relationship between students and educators has, however, changed for the better. “Grab your ankles,”a firm grip on a bundle of sensitive nerves above the elbow, and a rapontheknuckles are partofour past. Long-held attitudes about the need to punishviolatorsofschool rules viewith greater tolerance of behavior so that students do not become frustrated and emotionally upset with rules and their rigid enforcement. The ideal-that students impose self-discipline upon their actions-is too frequently eroded by a need or desire to impose external discipline. Principals, teachers, and other school employees, however, must discipline themselves in confrontational situations withunruly students and restrain their actions as directed by law. When children are in school, they are supervised by teachers and administrators acting in loco parentis. That is, administrators, teachers, paraeducators, and others have the legal status of a conditionally privileged person “in place of the parent.” This privilege, however, does not give educators the rights of parents, who naturally have a wider privilege. Principals canuse student andteacher handbooks to outline expected norms or standards of behavior, expectations for self-discipline on the part of students, the reason for and nature of rules, the way in which external discipline maybeimposed, grievanceprocedures for appealing a disciplinary action, and other matters. The tone, design, and approach to discipline in a student handbook will reveal the principal’s attitude toward students. Even if corporal punishmentis permitted in a state and district, principals and teachers should act from good motives and not from anger. For that matter, any punishment should notbe severe norout of proportiontothegravity of the offense. Severity of punishment will be weighed against several factors, such as the age, size, physical strength, and sex of the offending student. Another factor to be considered is whether the rule to be enforced is a reasonable one. Caution and tempered restraint should guidethe actions of educators who seek todevelop self-discipline in their charges and should, accordingly, display and model selfdiscipline in their own actions. Although a principal may believe that a student will surely benefit from a paddling, the parents and student may believe differently. Of such differences are lawsuits made. When matters of discipline in athletics arise, thesituationisoften compounded by interests that are seemingly greater than the sum of the parts. In Braesch v. D e Pasquale, members of the boys and girls interscholastic basketball teams of Arlington High School were disciplined for breaking rules of conduct for students in athletic programs? The school had a code for athletes that stated: “DRINKING, SMOKING OR DRUGS: Do not come out for basketball if you plan on using any of the above. Any use of them will result in the immediate expulsion from the squad.” Each of the plaintiffs and one or more of their parents had signed an acknowledgment of the code. In’a meeting the day following the incident, the coach asked the students about the alleged drinking.

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Each student, accompanied by a parent, the coach, and the principal talked about the situation. The students admitted that they drank alcoholic beverages, and the principal notified them at that time that he considered them to be dismissed from the basketball team. The principal further told them that they would receive a confirming, written decision through the mail. Each member of the basketball team received a written confirmation as promised. The principal also stated in the letter that the plaintiffs and their parents would have five days in which to give written notice of their desire to appeal to the board of education, and they would each have the opportunity at that meeting to present their side of the case. Each of the plaintiffs requested a hearing, which was granted. All appeals were denied by the board of education. Thiscase was found for the school because the students were aware of school policy on athletics and the use of tobacco, drugs, and alcohol, and still broke the code whichtheyhad signed. The students were asked iftheyhad broken the rules, and they responded in the affirmative. They were given an informal hearing with the coach and the principal and found guilty. Their punishment was removal from the basketball team. Due process was provided as they were given written notice of the decision and a chance to appeal the decision of the coach and the principal. Because school officials had specific guidelines and procedures for handling the incident, this case was found inthe school officials’ favor. The needto have guidelines and procedures to follow is readily apparent. In Pfeiffer v. Marion Center Area School District et al., after lengthy litigation the right of school officials to dismiss a pregnant student from the National Honor Society was upheld because the federal district court found that the dismissal was not based on the student’s pregnan~y.~ The Court of Appeals noted that the “regulation of conduct of unmarried high school student members is within the realm of the National Honor Society given its emphasis on leadership and character.” In this case, provisions of Title IX were not found to have been violated. In general, married or unmarried and pregnant students whose ages are within those prescribed by a state’s compulsory attendance law cannot be denied a regular academic education, as was found in Ordway v. Hargraves.’O The rights of married or unmarried and pregnant students in co-curricular activities are not as well defined, but their rights to due process and equal protection of thelaw are indisputable. Title IX has sparked controversy over many issues, such as the right of female participation on all-male teams in contact sports. Courts are likely to require considerable evidence if a student’s behavior results in a suspension or expulsion that voids academic privileges. Grade reduction as a means of discipline for student behavior that is not related to academic performance should be carefully considered. A teacher who lowers a student’s grade for rude behavior maybe going beyond the boundsof reasonableness although the same teacher may, of course, give a failing grade or withhold credit

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if the samestudentdoes“failing” work. The harsherthe penalty, the more likely that due process requirements must be met. Fairness, equality, equal protection-these rights are fundamentalto a democracy, and principals are their guardian in their schools. Basic Freedoms What would our nation and our nation’s schools be like without basic freedoms like the freedom of speech and assembly? As a principal, what will you do to protect the basic freedoms that all citizens of the United States of America enjoy? Wouldyou permit students toform a club thatmeets during the noonmeal in acorner of the lunchroom tostudythebiologyofflowering plants, Egyptology, the Bible or theKoran, Satanism, astrology, Unidentified FlyingObjects, or the history of human sacrifice? Whatwouldbeyourresponse if the group’s members wanted to meet after school in the instructional design center? On Saturday morning? What guidelines can you follow to answer such requests? Freedom of expression. Over time, public attitudes change, and the legal system is reflective ofthose changes. In recent years a greater tolerance toward accepting more deviant behavior by students is evident in society at large, in the legal system, and in schools. One major change is the freedom of expression granted to students; the sun has set on the day “children should be seen and not heard.” A notable case occurred in 1969 as SCOTUS ruled in Tinker v. Des Moines Independent Community School District.“ The turbulent times of the Vietnam War was one of numerous changes in the United States, many of which were abrupt, violent, and rending. In the Tinker case, the justices ruled that students could protest against the war by wearing armbands. The Court heldthatthe school’s policy was an abridgment of the rights of students, since they did not shed their rights at the gate of the schoolhouse. Would the Court haveruled differently if the wearing of armbands had substantially interfered with the normal and regular activities of the school? Remarkably, the students’ protests had not disrupted the school in Des Moines nor has the expansion of freedom of expression brought the collapse of public education. The lesson to be learned is that school officials must carefully balance the rights of students with the desire to maintain order in the school. Most cases of freedom of expression can be examined on the basis of what is called the Pickering Balancing Test: In determining a public employee’s rights of free speech, the problem is to amve at a balance between the interestsof the [employee],as a citizen, in commenting upon matters of public concern and the interest of the State, as an employer, in promoting the efficiency of the public service it performs through its employees.’*

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In the U.S. Supreme Court case Bethel School District v. Fruser, the matter of student freedom of expression is 0ut1ined.l~The respondent, a public high school student, delivered a speech nominating a fellow student for a student elective office at a voluntaryassemblyheld during school hours as part of a school-sponsored educational programin self-government. The assemblywas attended by about 600 students, many of whom were fourteen-year-olds. During the entire speech the respondent referred to his candidate in terms of an elaborate, graphic, and explicit sexual metaphor. Prior to delivering the speech, the respondent discussed it with several teachers, two of whom advised him that it was inappropriate and should not be given. The day following the speech the respondent was called into the principal’s office, where the principal notified the respondent that his speech violated the school’s “disruptive-conductrule.” This rule prohibited conductthat substantially interfered with the educational process, including the use of obscene or profane language and gestures. The respondent was given copies of teacher reports of his conduct and was given a chance to explain his conduct. After he admitted that he deliberately used sexual innuendo in the speech, he was informed that he would be suspended for three days and hisnamewouldberemovedfrom the list of candidates for speaker at the school’s commencement exercises. Reviewofthe disciplinary action through the school district’s grievance procedures resulted in affirmation of the discipline, but the respondent was allowed to return to school after serving only two days of suspension. The student filed suit alleging violation of his First Amendment right to freedom of speech. The U.S.Supreme Court found for the school on the grounds that the First Amendment did not prevent the school district from disciplining the respondent for giving the offensively lewd and indecent speech at the assembly. Under the First Amendment, the use of an offensive form of expression may not be prohibited to adults making what the speaker considers a political point, but the same latitude need not be given to children in a public school. The inculcation of values is viewed as the work of the school, and the determination of what mannerof speech is inappropriate properly rests withthe school board. The school disciplinary rule proscribing “obscene” language and the prespeech admonitions of teachers gave adequate warning to the student that his lewd speech could subject him to sanctions. Again, issues that are outlined in a school’s handbook can safeguardstudents’ rights and standards of behavior as well as normalcyofschool operations if issues are addressed properly in the beginning. Whether freedom of expression is violated is a sensitive matter and should be treated circumspectly. Strope outlined numerous arguments raised by students concerning publications: 1. A school newspaper is a forum for the dissemination of ideas and is a peaceful, traditional method of expressing them.

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2.Contentofadsmaynotbelimitedwherethesamecontentisallowedinnews and editorial sections. 3. The general authority of the school board over curriculum does not apply to studentpublicationsastheyareapublicforumandarenotanofficialpublication or statement of the school system. 4. Freedom of the press protects distributing or selling as well as printing or writing.

5. Anticipateddisagreementovercontentfromparents,teachers,administrators, board members or other students is not a valid basis for limiting publication or distribution. 6. While restrictions on time, place, and manner of distribution are allowable, such policies must not be so vague as to be misunderstood by a reasonable person. 7. Time,place,andmannerrestrictionsmustspecificallyspellouttheprocessfor securing approval for distribution, must include an appeal process which is extremely brief, and must be evenhandedly applied to all.

8. Policies limiting commercialism and solicitation of students must be evenhandedly enforced and may be of questionable application in controlling publications. 9. Generalized fear or apprehension of disruption without evidence of actual disruption or evidence of imminent disruption may not be the basis for limiting publication or distribution. 10. A decision to eliminate the publication and distribution of all student publications to avoid one undesirable publication is not an acceptable solution.

11. Topics discussed and language used in publications may not be a basis for punishingastudentwheresimilartopicsandlanguagearefoundinthelibraryandin required reading assignments. 12.Claimsoftechnicaldefectsinapublicationusedasabasis to halt distribution will be closely reviewed. 13. While school authority over students may sometimes extendto activities off cam-

pus, not during school time, and where there is a direct impact on the operation of the school, efforts to control publications published off campus and distributed before or after school off campus are probably beyond school a~th0rity.l~ Two principles can be drawn from court cases. One, the courts are receptive to protecting freedom of the press in comparison with adjudicating other forms of student behavior. Second, actions takenby school officials to censor or to limit material prior to publication and distribution are not favored. School officials do have rights in specific instances such as the control of “legal obscenity” and advertisements. Students’ rights are not limitless, nor are they limited by decisions of one court about one set of circumstances; students’ rights are changing and alert administrators will take cognizance of interpretations of the law. Freedom from search and seizure. In determining whether a search violates the Fourth Amendment, the initial question is whether that amendment’s pro-

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hibition on unreasonable searchesand seizures applies to searches conducted by public school officials. The U.S. Supreme Court holds that it does. In the case of New Jersey v. T.L.O., a fourteen-year-old and her companion were discovered smoking cigarettes in a school lavatory in violation of a school r ~ 1 e . They l ~ were taken to the principal’s office, where the students denied they were smoking and claimed they did not smoke at all. Theassistance viceprincipal demanded to see the student’s purse. Upon opening the purse, the administrator found a pack of cigarettes and also noticed a package of cigaretterolling papers that are commonly associated with the use of marijuana. He then proceeded to search the purse thoroughly and found some marijuana, a pipe, plastic bags, a fairly substantial amount of money, an index card containing a list of students who owed the respondent money, and two letters that implicated her in marijuana dealing. The courts heldthat the Fourth Amendment’s prohibition on unreasonable searches and seizures applies to searches conducted by public school officials and is not limited to searches carried out by law enforcement officers. Nor are school officials exempt from the amendment’s dictates by virtue of the special nature of their authority overschool children. In carrying out searches and other functions pursuant to disciplinary policies mandated by state statutes, school officials act asrepresentatives of the state, notmerely assurrogates for the parents of students, and they cannot claim parents’ immunity from the Fourth Amendment’s strictures. Under ordinary circumstances, a search by a school official will be justified at its inception where there are reasonable grounds for suspecting that the search will turn up evidence that the student has violated or is violating either the law or the rules ofthe school. Such a search will be permissible in its scope whenthe measures adopted are reasonably related to the objectives of the search and not excessively intrusive in light of the student’s age and sex and the nature of the infraction. In the case of New Jersey v. T.L.O., the court found for the school. Principals should publicize the school’s policy on lockers to convey the rights of students and the rights of school officials in maintaining a safe educational environment. Some general guidelines to follow regarding searches of students and their property include these: (1) make every effort to obtain consent from students prior to a search, (2) have the student present during a search of property, and (3) have a third party present to witness any search. Drug testing is considered by the courts to be a search and as such is subject to the same provisions regarding searches of lockers, cars, and other property. Drug testing maybe performed if school officials suspect the useof illegal substances by individual students. Blanket or random drug testing, however, is likely illegal or, at best, questionable. Theimport is quite similar to most issues. School officials should have a policyon drug testing with a rationale that is based upon sound educational principles, notify students and parents and guardians of the policy, apply the policy and test only when reasonable suspicion of the use of drugsexists, and keep in mindthe general principles regarding

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searches. If abuse of drugs is found, the extent and kind of disciplinary action should be carefully considered. A therapeutic treatment program may, in the long run, be preferred over disciplinary measures that are merely punitive. Dress Codes Efforts to control students’ dress, appearance, and grooming should beundertaken carefully. First,any regulations must be related to the educational purpose of the school and must be specific and narrow to that purpose. Second, the basis forregulations is best founded upon concern for students’ education, health, and safety.Third, any regulations must avoid sexual discrimination. Fourth, any regulations must stand the test of substantial disruption. Finally, regulations must be disseminated widely, for example, printed in the student handbook. What is personally distasteful to administrators may not meet many of the standards for dress codes. Student Privacy and Their Records School officials must provide students and their parents or guardians access to their records and restrict access to others whohave no legitimate right to student records. As is often the case in response to abuses, legislation was adopted to curb them. The Family Education Rights and Privacy Act (FERPA) spells out the rights of students and parents to review, copy, correct errors, and restrict release of student records. Parents and adult students must be informed of their rights, including the right to review, to a fair hearing, andto having procedures for deleting information. School officials who have legitimate interests in viewing records, of course, neednot have prior written permission. School officials must also protect the rights of students to have records transferred as expeditiously as possible to prospective employers, admission officers at universities, and enlistment officers of the armed forces. FERPA also designates what is known as “directory information” that may be disclosed without first obtaining parental permission; however, parents must be givennoticeof the intent to disclose such information and have the opportunity to refuse the release of information about their children. Some commercial companies can benefit from “directory information” by acquiring names and addresses for their marketing or promotional purposes. Academic records should be kept separate from records of disciplinary action to limit further access to information about students. Balancing the scale of the right to privacy of students with others’ access to information is one more act to perform. Information of a more sensitive and personal nature, of course, has particular safeguards. School counselors may be faced with complex issues, and principals face equally difficult issues if not of the exact nature. Confidentiality is basic to the student-counselor relationship; studentsare not likely to confide in individuals who cannot keep a secret. If counselors or other personnel believe they

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must reveal what a student said, the student should be informed. School counselors and other officials may enjoy testimonial privileges. Such privileges are not absolute, since they maybe waived by clients. School officials may face perplexing questions about what to do with information from or about students who pose a danger to others. Counselors, in particular, may be faced with receiving information from a potentially dangerous student who implies doing harm to others. Counselors then must take action that will protect the studentclient as well as the potential victim, for example, by referring the student-client to professionals in mental health and by providing protection in some form to potential victims. One unerring guide, of course, is the standard of care: What would a reasonably prudent counselor or principal do? School officials may also hear from students who are abused or neglected, andthey are required by lawto report suspected andknown cases of abuse. Each state has a designated social services agency which should receive reports of abuse. Individualswho report abuse are protected even though the report may be found to be false as long as individuals acted in good faith. If a principal is aware of abuse of a student and fails to report such abuse and the student is injured, the principal might be held liable for civil and criminal charges. Civil liability would accrue for negligence-failure to act-and for criminal liability; it is the law, and failure to report is a misdemeanor. The use of audio recordersto tape conversations in person or over phone lines is a related issue. Some states prohibit the taping of conversations without the prior consent of other parties. Thus any recording should be done with extreme c are. Due Process In the case of Goss v. Lopez, the U.S. Supreme Court outlined due process for the protection of student rights.I6 Public high school students in Ohio who had been suspended from school for misconduct for uptoten days without a hearing brought a class action suit against school officials. The students sought a declaration that the Ohio statute permitting such suspensions was unconstitutional and an order enjoining the officials to remove the references to the suspension from the students’ records. The case made its way to SCOTUS, where it was found for the students. The Court said that students facing temporary suspension from a public school have property and liberty interests that qualify for protection under the due process clause of the Fourteenth Amendment. A ten-day suspension from school is not de minimis and may not be imposed in complete disregard of the due process clause. Neither the property interest in education benefits temporarily denied nor the liberty interest in reputation is so insubstantial that suspension may constitutionally be imposed by any procedure the school chose, no matter how arbitrary. Due process requires that in connection with a suspension of ten days or less,

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students begiven oral or written notice of the charges against them. If the students deny the charges, they must be given an explanation of the evidence and an opportunity to present their version. Generally, notice and hearing should precede a student’s removal from school, since a hearing may almost immediately follow the misconduct. If prior notice and hearing are not feasible because the student’s presence endangers persons or property or threatens disruption of the academic process, thus justifying immediate removal from school, the necessary notice and hearing should follow as soon as practicable. In cases involving suspensionsand dismissals, the procedures outlined in state legislation or board policy must be followed meticulously. The proper sequence of actions must be followed, and documentation should be made for each action. In the case of Missouri v. Horowitz, the Court held that dismissal for academic (as opposed to disciplinary) causedo not necessitate a hearingbeforethe school’sdecision-makingbody.”According to the Court,disciplinary cases have no application: Misconduct is a very different matter fromfailureto attain a standard of excellence in studies. A determination as to the fact involves investigationof a quite different kind. A public hearing may be regarded as helpful to the ascertainmentof misconduct and useless or harmful in finding out the truth as to scholarship. Because the setting of Missouri v. Horowitz was in a postsecondary institution, principals should not be led to believe that arbitrary dismissal of students from K-l2 setting for poor scholarship would be tolerated by the courts. Due process is based upon the concept of fairness. Students have the right to knowwhat is expectedbehavior.The more severe thepunishment,such as suspension or expulsion, the greater the responsibility of principals to follow due process, both in substance and procedurally.

Suspension and Expulsion Does your state have statutes relating to suspensions and dismissals? After the Goss v. Lopez case, many states adopted statutes on due process that contain exactly what procedures mustbefollowedbefore a student issuspended or expelled. Specific provisions are often noted for long-term suspensions, expulsions, and mandatory reassignment for an activity that occurs on school grounds or during an educational function or event off school grounds. The specificity of some laws is such that principals should peruse statutes thoroughly and not assume that good intentions will carry the day. The suspension or expulsion of a handicapped child from a classroom is an entirely different matter, as in the 1988 U.S.Supreme Court case of Honig v. Doe.18Disabled students mustremain in their current educational placement pending completion of any review proceedings, unless the parents and state or local educationagenciesotherwise agree. Respondents Doeand Smith, who

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were emotionally disturbed students, were suspended indefinitely for violent and disruptive conduct related to their disabilities, pending the completion of expulsion proceedings by the San Francisco Unified School District. The U.S. Supreme Courtfound for the respondents on the grounds that given the evidence that the students were unable to conform their conduct to socially acceptable norms, and the absence of any suggestion that they had overcome their behavioral problems, they would be reasonably expected to engage in aggressive and disruptive classroommisconduct again. Moreover, any future educational placement would be unlikely to suit their emotional and academic needs perfectly so that further disruptions on their part would be probable. The Court reiterated its mandate that a child shall remain in thethen current educational placement. Further, the intent of Congress to stripschool officials of the unilateral authority they had traditionally employed to exclude disabled students, particularly emotionally disturbed students, from school was to be followed. Laws regarding children with disabilities prohibit suspension or expulsion that is substantiallyrelated to the student’s disability. If a student’s behavior is properly determined not to be directly and substantially related to his or her disability, the student may be expelled; however, the school may not cease providing educational services.Prior to the expulsion of a studentwith a verified disability, a district is generally required to observe all procedures required for a change in placement. THE RIGHTS OF TEACHERS AND STAFF MEMBERS Teachers have special rights because of their position, status,and employment contract, but many of those same rights are also limited by law or board policy. Teachers have the right to be assigned to a position for which they are qualified, but they do not have the right to a specific assignment in a particular classroom or school. After teaching for many years in one classroom, some veteran teachers may come to believe that Room 221 in Baker School is theirs; but such is not the case. Principals who are contemplating changes in staff deployment will, of course, exercise caution and sensitivity in reassigning or transferring teachers. Other rights are often prescribed by law, board policy, contract, or collective bargaining agreement. Teachers have rights, such as compensation if injured while on duty, reasonable protection while on duty, absence with pay while ill, and the like. Each of those rights is limited in some way, of course; for example, the number of days of absence withpay for illness is frequently limited by provisions in a collective bargaining agreement. The right to strike is often a subject of heated debate. Administrators who are faced with an imminent strike should have established procedures well in advance. How to handle students who come to school on the first day of a strike should be specified; bus schedules will need to be reviewed; and the number of certified and noncertified staff who might be available for supervision should be determined.

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Teachers have the right to expect to be assigned to positions for which they are qualified and to be paid for their services. School officials may or must, by law, refuse to pay teachers who are not properly certified or refuse to maintain records that are required by law. Principals are usually responsible for keeping records of their subordinates’ behaviors andmay have a singular duty to provide documentation regarding an employee’s malfeasance or misfeasance.

Academic Freedom

Do educators have the right to group, grade, and graduate students in their care? Yes,they do, and courts are reluctant to review the judgments of educators who have the training, preparation, and experience for making such judgments. Judges willuphold educators’ decisions that are fair, reasonable, andintune with students’ rights. The placement of students in courses of study, classes, and grade levels is generally left up to principals and certified staff. Ability grouping is often challenged on the basis of racial or some other form of discrimination, and principals must assign students in a nonarbitrary and nondiscriminatory manner. A grouping plan must always serve a good purpose and lead to better educational opportunities for students. Racial impact from grouping practices should be carefully weighed by administrators. Principals are responsible for classifying students by processes that are not discriminatory and developing systems that allow students to move from group to group. The first point to be addressed is that grouping must serve an educational purpose; often the burden of proof is upon school officials. Placement of.students into any class, grade level, or ability or achievement grouping shouldbe based on several factors such as test scores, achievement record, teacher recommendations, and other objective data. Educators can be expected to know much about the purpose, norming, validity, and reliability of test scores if they use testscores for placement of students. Goodlad found that testing was used to place students into tracks and that students placed in the upper tracks were taught differently as well as presented with different subject matter.lg Ironically, Goodlad concluded that those who could benefit the most from varied teaching methods and individualized attention given to students in the upper tracks were those who were in the lower tracks. Grades, marks, and promotion. Doesyour state have statutes relating to grades, marks, and promotion? Have you checked your board’s policies on the subject? Do all teachers in your school comply with state laws and board policy? A word such as “pass,” a percentage, a number right or wrong, a grade for an assignment or test, or a mark for a term’s work can have great impact upon students’ lives-evenupontheir future livelihood. Parentsand guardians, admissions officials, employers, and others are vitallyinterested in grades and marks and grade point averages. High marks can lead to admission into honor societies and prestigious schools, recognition by faculty and peers, and increased

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self-esteem. Individuals in our society do not take grades and marks lightly, so their issuance should be done with due regard to their importance. Because educators are thought to be qualified to assess student learning, determine passing scores, and give corresponding grades and marks, courts are reluctant to interfere with grades and marks. Courts may act if there are errors, arbitrary and capricious acts, discrimination, or fraud. Thus,educators have broad latitude in grading, marking, and promoting students. In some states, principals are authorized to grade students. Principals also have authority to change a grade if they determine, after consultation withthe teacher, that a grade or markwas awarded arbitrarily and capriciously or in violation of an accepted grading process, law, or board policy. Other practices, such as loweringgrades or marks andwithholding credit because of behavior in or out of school, tardiness, or truancy, should be carefully reviewed. Primary consideration should begiventothetestof “‘reasonableness.” The more severethe effect of lowering a gradeor mark is upon a student, the greater the attention that should be paid to due process procedures. Freedom of Speech The balancing of employees’ free speech rights against school officials’ interest is a delicate one. In Pickering v. Board of Education, the US. Supreme Court indicated that balancing was measured against the degree to which speech interfered withthe employee’sperformance, created disharmonyamong coworkers, erodedthe authority of immediate supervisory personnel, and destroyed loyalty and trust between employee and employer?’ Violations of First Amendmpst rights can be prevented by developing and maintaining good supervisorsubordinate relationships, allowing employeesto exercise their First Amendment rights, documenting performanceappraisals, promoting the use ofgrievance procedures for resolving conflict, and following generally accepted legal principles of fairness. Property Rights Property rights extend beyond that of real property, that is, of homes, buildings, and real estate or real property. Individuals who have worked for a public school have acquired property interests or rights, one of which can be continued employment. If teachers haveacquired a propertyinterest by havingearned tenure in a school district, for instance, those teachers cannot be dismissed without due process. If property interests are established, then employees can expect to be treated fairly and not arbitrarily. Sexual Misconduct The relationship betweenschool employees and students is a special one. Under provisions of Title IX, damages can be levied against an employee, as

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well as supervisors and the district, if found guilty of sexual misconduct. Discharge of an employee for sexual relations with a student is likely to be upheld where credible evidence is presented. In some states, the courts are required to consider the extent of the damage to relationships in the school and of remediation of the employee’s conduct.Principals are charged with the responsibility to develop an environment that is safe for children by identifying unacceptable behavior, assuring that allegations ofsexualmisconductwillbe investigated, limiting physical contact between students where health or safety is a factor, and citing administrative actions that would be taken.

Dismissal of Certified Staff Any issue of a teacher dismissal is usually a difficult decision for a principal to face. The employment of staff members may be terminated for one reason or another-for budgetary reasons, decliningenrollment, or incompetence.Regardless of the reason for terminating an employment contract, principals have a heavy responsibility for, and may be expected to take the lead role in, such proceedings. As population shifted and declined, many school officials had to implement reduction in force. Because of the issues created by declining enrollments, some states’ legislatures established guidelines regarding reduction in force. Principals need to know the criteria and procedures for reduction in force in their state; an error in determining seniority could result in a legal battle. Inyour state, what constitutes a tenured teacher? What are the rights of a probationary, certified employee? What are just causes for dismissal of probationary and tenured employees? Can part-time certified employees acquire the rights of permanent employees? What are the criteria and procedures for a reduction-in-force? Principals musthaveinformationregarding dismissals, probation of employees, contract cancellation, disciplinary action, contract amendment, termination and nonrenewal of contracts, formal due process hearing, employee’s rights, informal hearings and their procedures, and other issues related to the rights of certified and noncertified personnel. In Dykeman v. Coleridge, the Supreme Court found that in making a selection of the teacher to be dismissed pursuant to a reduction in force, the school board may exercise its discretion and consider non educational factors as well as educational ones. The board of education is given the general authority to manage and direct the schools within the district. This includes the power to conduct non-teaching and extracurricular duties as a part of the educational program. It follows that the board mayconsiderateacher’scontributiontotheactivitiesprogramwhendecidingupon a reduction in force.21 In case of a teacher dismissal, the principal must have ample documentation to show that there was probable and justifiable cause for the dismissal. In ad-

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dition, teachers will expect to be informed of standards of performance and have postobservation conferencesof formative and summative appraisals, suggestions for improving performance, a reasonable amount of time to improve, reasons for evaluations, and assistance from theimmediate supervisor. Teachers may need in-service training in teaching methods,howtomeet students’ learning styles, unit preparation, dailylesson planning, collaborative learning, howto create a positive learning environment, cognitive coaching,and other up-to-date instructional formats. Certified staff who are dismissed for “cause” have the right to an impartial, formal hearing. Such a hearingmay require the expenditure of extensive resources, and principals must be thoroughly prepared todemonstrate their reasons for dismissal. In a hearing for dismissal, principals may come to feel that they are the ones on trial rather than the employee. Policies, rules, and regulations must provide for the protection of both school and individuals-certified and noncertified staff, students and their parents and guardians, and citizens. The law strives to provide equal protection for all and allows for rational and reasonable requirements to be set for employment, certification, promotion, transfer, andotherpersonnel actions. Unequal treatment that is discriminatory on the basis of sex, race, and national origin will not be tolerated by the courts. Teacher evaluation policies and practices should be in compliance with constitutional and statutory considerations. Procedural requirements must be meticulously met;if they are not met, principals may not succeed in their efforts to dismiss employees.

CONTEMPORARY ISSUES

AIDS The threat of Acquired Immune Deficiency Syndrome (AIDS) to school personnel and students has generated serious problemsforschool officials. The need to provide information on AIDS and HIV,to dispel unwarranted fears, to protect the rights of individuals whohaveAIDS,andtoprotect others from exposure to AIDS, is not easily met. Individuals with disabilities are protected by the Rehabilitation Act of 1973, and other legislation, such as P.L. 94-142, is used for the protection of individuals with AIDS, with symptoms of immune deficiency, or with HIV. From Section 504 of the Rehabilitation Act, SCOTUS identifiedfour factors to be considered regardingpersons with acontagious disease: 1. The nature of risk of the disease as influenced by how the disease is transmitted

2. The duration of the risk as influenced by how long an infected person is infectious 3. The severity of the risk as indicated by the potential harm to others

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4. The probability that the disease will be transmitted to others and the harm that can

be caused by the disease to others School officials would do well to follow the suggestions of Strope and Broadwell in their “Guidelines for Principals.”22 1. Encourage your school system to develop a legally sound policy and administrative regulations for dealing with all contagious diseases.

2. DealwithAIDSandARCasyou would with other contagious diseases, taking into account the degree to which the disease is likely to be spread in the school environ-

ment. 3. Consonant with the need to knowbyschoolstaff,takeallstepspossibletoprotect the privacy of students infected with HIV. 4. Realize that evidence of“bad faith” and “foot dragging” in recognizingthelegal rights of students with AIDS can be costly to the system and to you.

Discrimination, Equity, and Educational Opportunity The Civil Rights Act of 1964 on discrimination of persons led to the federal statute Title VII. This act prohibits discrimination in employment on the basis of an individual’s race, color, religion, sex, or nationalorigin. This law also prohibits preferential treatment to any individual or to any group because of the race, color, religion, sex, or national origin of such individual or group on account of an imbalance that may exist with respect to the total number or percentage of persons of any race, color, religion, sex, or national origin employed by any employer. Most states have laws prohibiting discrimination in employment. A common provision is that employers, employment agencies, and labor organizations are required to post in a conspicuous place or places a notice that sets forth excerpts of the law stating that they are an equal opportunity employer.

Sexual Harassment The issue of sexual harassment is becoming increasingly important. An increasing awareness of sexual harassment,heightened by thehearings for the nomination to SCOTUS of Clarence Thomas and an increasing number of lawsuits, should alert principals to potential problems of this nature. Sexual harassment cannot be defined by a mere listing of offensive behaviors and is further complicated by the often divergent views of females and males on the nature of sexual harassment. The Equal Employment Opportunity Commission classifies sexual harassment as a form of sex discrimination under Title VI1of the 1964 Civil Rights Act and notes that unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment. Victims may suffer damage to their emotions and physical

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sense of well-being like those reported by victims of rape. Students who are the victims of sexual harassment may suffer harm to their right to an equal educati~n.~’

Special Education P.L. 94-142, the Education for All Handicapped Children Act, provides for a “free and appropriate public education” consisting of educational instruction specially designed to meet the unique needs of handicapped children, supported by such services as are necessary to permit children to benefit from the instruction. Since the passage of this landmark legislation, services to the handicapped, or more correctly “children with disabilities,” have greatly expanded. As special education needs expand, principals must remain alert to changing requirements. As thecost of services to childrenwithdisabilities continue to climb, principals must be continuously alert to provisions in the law relative to such services. Many people have questions regarding the Americans with Disabilities Act (ADA) of 1990. The ADAprohibitsdiscriminationagainstindividualswith disabilities in availability of public services, access to public accommodations, transportation,andprivatesector employment. Becauseof its scope, ADA is similar to civil rights legislation and the Rehabilitation Act of 1973. Title I of theactprohibitsdiscrimination in employment. One outcome is that job descriptions must clearly state essential and nonessential elements of jobs. Another is that preemployment exams and inquiries must focus upon a person’s ability to perform job-related activities. The operation of schools is affected by the Americans with Disabilities Act, since schools are “public entities,” which are treated in Title 11. The extent of the meaning of “reasonable accommodation” and “disability” is yet to be determined. Publicentitiescannotlevyspecial charges upon persons with disabilities for measures necessary to ensure nondiscriminatory treatment so schools will incur additional expenses to comply with the act. In general, accommodations must be provided for employees with disabilities (1) to provide them with equal opportunity in job applications, (2) to enable them to perform essential functions of jobs held or desired, and (3) to give them the same benefits and privileges as those provided for the nondisabled.

ETHICAL RESPONSIBILITIES OF PRINCIPALS Any person in a position of power and authority, such as a principal, must consider ethical responsibilities. What makes an ethical person? Is acceptance of goods and services from vendors merely one of the “perks” of the position? Is the hiring of a relative a natural progression of “the more you know about someone, the more trust you can place in your judgment?” An ethical person is one who does not do somethingthatwould compromise thetrustofthe profession or of co-workers. An ethical person does not have motives that would

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satisfy personal goals with no regard for others. An ethical principal does not promote one group over the other because of personal interests. Perhaps your professionalassociation has a code of ethics.Yourschoolboardmayhave adopted a code of ethics for administrators. As times change and schools change, the issues of ethics in administrative positions may become even more important. The responsibility to be in a leadership position where children are concerned is a great one. Students and staff members look up to theirprincipal.Thatisagreatresponsibilityandagreat honor for anyperson to hold.Keepin mind at alltimesthat the future of tomorrow is looking at you for leadership today. What can you do to maintain ethical standards? First, identify a code of ethical conduct. Second, provide in-service training for employees in ethical conduct. Third, monitor your own actions so that your behaviors are exemplary. If you face situations that areperplexing, contact your superordinate, mentor, and peers before acting.

SUMMARY Although the law itself is often unclear, principals are expected to understand, interpret, and act according to its precepts. “Ignorance of the law” is more than an adage. Certainly, ignorance of the law is no defense. The first line of defense, then, isto become knowledgeable withtheeducationlawsinyourstateand with the policies, rules, and regulations of your district. The second is to remain alert to potential problems. The third is to keep accurate records of events that you observe. Fourth, remember to act asareasonablyprudentperson.Fifth, whenever possible, check youractionsagainstestablishedprinciples or with others who may advise you. The standard of care to which principals are held is high. The standard is probably no higher than that which you have set for your actions in the principalship.

NOTES 1. “Title 1X Ruling Likely Applies to High Schools, Experts Say,” Education Week 12 (April 28, 1993): 2. 2. Ivan Gluckman, Statutory Protection for Principals: Tort Liability. A Legal Memorandum (Reston, Virginia: National Associationof Secondary School Principals, 1986). 3. Greening v. School District of Millard, 223 Neb. 729 (1986). 4. Comstock v. General Motors Corp., 258 Mich. 163,99 N.W. 2d 627 (1959). 5. Brahatcek v. Millard School District, 202 Neb. 86,273 N.W.2d 680 (1979). 6. Ivan Gluckman, A n Update on Negligence. A Legal Memorandum (Reston, Virginia: National Association of Secondary School Principals, 1989). 7. Restatement (Second) of Torts, Sec. 559 (1977). 8. Bruesch v. De Pasquale, 200 Neb. 86, 273 N.W.2d 680(1979): 9. Pfeiffer v. Marion Center Area School District et al., 917 F. 2d 779 (1990). 10. Ordway v. Hargraves, 323 F. Supp. 1155(1971).

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11. Tinker v. Des Moines Independent Community School District, 393 US. 503 (1969). 12. Pickering v. Board of Education, 391 U.S. 563 (1967), p. 142. 13. Bethel School District v. Fraser, 478 US. 675 (1985). 14. John L. Strope,Jr., School Activities and the Law (Reston,Virginia:National Association of Secondary School Principals, 1984), p. 31. 15. New Jersey v. T.L.O., 469 U.S. 325 (1984). 16. Goss v. Lopez, 419 U.S. 565 (1975). 17. Missouri v. Horowitz, 435 U.S. 78 (1977). 18. Honig v. Doe, 484 U.S. 305,108 S . Ct. 592 (1988). 19. John I. Goodlad, A Place Called School: Prospects for the Future (New York: McGraw-Hill, 1984). 20. Pickering v. Board of Education, 391 US. 563 (1967). 21. Dykeman v. Board of Education of the School District of Coleridge, 210 Neb. 596, 316, N.W. 2d 69 (1982). 22. John L. Strope and Cathy Allen Broadwell, Students with AIDS. A Legal Memo-

randum (Reston, Virginia: National Associationof Secondary School Principals, September 19891, p. 4. for Princi23. Susan Straws, “Sexual Harassment in the School: Legal Implications pals,” NASSP Bulletin 72 (March 1988):93-96.

5 The Use of Prime Resources

INTRODUCTION Considering the use of time is a good way for the building principal to start thinking about how to use prime resources. The manner in which time is used is fundamental. A consciouseffort to relate time to the philosophy, mission, and goals of a school district needs to be made by the principal. Time is not something apart from learning theory. Consequently, planningthe use of time is more than a simple management function. The use of time is manifest in the school calendar and in the development of a masterclass schedule. Space, as a resource, is allocated as rooms are assigned to pupils and staff. In this chapter, the use of time and space is discussed, sections are included dealing with information as a prime resource, the human resource, andprimeresourcesandreforming schools.

THE SCHOOL CALENDAR In most districts, building principals may have a voice in setting the school calendar; however, major parameters of the school calendar are usually determined in the office of the superintendent. Of course, several things can influence the establishment of a school calendar. Once the calendar is announced, most people can find something wrong with it, so it may be just as well the principal can take a back seat in its establishment. The required number of days of instruction are prescribed by state law. This is generally tiedto state funding, which, of course, involves a convincing argument. The nature of the holidays, what days of the week they come on, and the expectations of constituents also enter into the picture. Athletic conferences and state athletic tournament dates

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affect school calendars. In many local areas, there are celebrations or events, such as an Octoberfest or the county fair, and city officials and school board members confer toavoidconflicts. Thus, the officeofthe superintendent of schools, with the final approval by the board of education, is generally viewed as a logical place for setting the school calendar, even if done by consulting with building principals. From the building principal’s perspective, the annual school calendaris an important planning tool and communications device. One step in the use of the resource time, the school calendar begins with those dates handed to the principal from outside sources. The starting and ending dates for classes and the intermittent days for in-service and holidays become givens. The next source of externally controlled dates is usually more significant to secondary school principals than to elementary school principals: the state athletic schedule of tournaments and the conference athletic schedules for each sport. (More information is presented aboutthe athletic schedule in Chapter 9, “Managing SchoolActivities Programs.”) With a listing of all the required or imposed dates, the building principal has the parameters available to construct the calendar for a given building. Developing the school calendar is not something done in a day. Although the bulk of the school calendar planningis done in the spring, with refinements and adjustments made during the summer, information is made available at various times and from different sources. As the information becomes available, it is added to the accumulating databaseupon which the final calendar is determined. Advanceplanning is recommended so interested parties are able tobecome involved as competing demands for time are taken into account. The involvementof all stakeholders is implicit in the process of planning the calendar. School calendars affect the work of many people, and not only coaches, music, and drama teachers but the entire staff, students, and parents should be involved. The value of involving significant others became clear to a young secondary principal who was confrontedwith an enrollment explosion during a school year as a result of an unexpected major construction project in the community. Radical adjustments had to be made in the school schedule and the school calendar. The principal soon realized the changes werenot going to be easy, nor were they welcomed with open arms from a concerned staff and student body. Once the extent of the influx of new students could be ascertained, the process of developing a new master schedule and calendar was undertaken. The principal could see the situation would be viewed as a “no win” proposition in which all parties involved were going to be upset and angered. Either through a stroke of genius or a moment of cowardice, the principal called upon opinion leaders from the student body, the staff, and the parents to discuss the situation and to work collaboratively on finding the best solutions to the problem. When the new schedules and calendar were completed, the principal acknowledged the solution generated by the interested parties was better than what he had considered. The level of acceptance was much more favorable than if he had done the task by himself. Not only did the stakeholders help with the solution, but they helped communicate to their peers what was done and why; thus, they contributed to

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better communications thatfostered acceptance ofthenew schedule and calendar. One can reasonably concludethat if the involvement of significantparties in a scheduling crisis can prove beneficial, significant parties can also be appropriately involved in more normal noncrisis times. When state and athletic conference scheduleshave been placed on the school calendar, staff members can then look to other dates for such things as major field days, social functions, dramatic performances, musicals and music festivals, career days, or a dozen other possible inclusions in the school calendar. The placement of such events as music festivals, visitation days for elementary students to the middle school, the junior class play, or the spring dance are all locally controlled within the limits of the starting and ending dates of the calendar; they are, of course, coordinated with fixed dates beyond the control of (or at least acceptedby) localpersonnel. Strong feelings andeven dogmatic demands can come from staff members who fervently want the activities for which they are responsible to be scheduled on a date of their choice. The principal may be called upon to demonstrate skill in negotiation and conflict resolution or the ability to lead groups of stakeholders in reaching consensus. When considering calendar parameters that are often imposed from external forces, one can easily lose sight of the fact thatthe school calendar andthe daily schedule are designed for one primary purpose: to foster learning among children and youth. The decisions regarding the use of time must be driven by a clear set of educational values in which the highest priority is placed upon instruction. When placing into a school calendar various dates, such as state basketball tournaments, college entrance testing schedules, holidays, and other special events, the instructional priority is not easily kept in focus. Hard decisions may be called for as choices are made and some activities or functions eliminated. The hard choices regarding a school calendar become insurmountable in schools where no clear mission has been established and where expedienciesoutweigh principle. By contrast, when a principal demonstrates instructional leadership and works from a clear mission and set of educational values, the hard choices tend to become less excruciating and more educationally sound. Whenall elements of the school calendar are inplace, copiesshould be printed and distributed to interested persons. Differences may be found in different school districts with respects to who is responsible for printing the school calendar; generally, because there are items unique to each building, building principals will need to see that the calendar is printed and distributed. Once the school calendar for a given attendance unit is completed, it is no longer used for planning but becomes a communication device and a management tool. THE MASTER CLASS SCHEDULE The construction of a master class schedule is the second form of planning for the use of time. The principal is responsible forproviding instructional leadership through the use of a master class schedule. The significance of the master

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class schedule has been overlooked by some observers. Pronouncements have beenmade that educational leaders needto direct their attention tostaffand program development and not waste time building a master schedule. Actually, the master schedule of classes is, or should be, a manifestation of the school district philosophy, what is known about developmental stages of children and youth, a reflection of sound curriculum planning, and the embodiment of pedagogical considerations. If the master class schedule is tobe constructed to maximize the use of time in the educational process, such a schedule requires some of the best planning of a principal in fulfilling the role of instructional leader. Time ontaskisone consideration whenbuilding a class schedule. Some learning, especially sequential developmental tasks,isbest fostered whenthe student is given learning activities to perform daily. Some learning is best done in small time segments, and some in larger time segments that may not need to be scheduled every day. In some instances, learning is facilitated when groups of students work cooperatively. In other situations, students need to have privacy as theywork independently. A compounding factor is that some students can accomplish specified tasks very quickly; other students who are capable of learning the prescribed outcome take much longer. Learning styles vary among students, as demonstrated by some who are independent learners and others who are dependent learners. The age and, more importantly, the developmental stages throughwhich students progress, haveaninfluence onhowtime should be structured in the daily class schedule. Readiness to learn, home or environmental factors, and a host of uncontrolled external forces on children and youth have influences that are often beyondthe control of the school; they nevertheless have an impact onwhatmay or maynotbe done in planning a master class schedule. In reality, principals cannot take every conceivable variable into account when building a master class schedule. These variables, however, should never be taken as a license for avoiding the construction of the best possible daily class schedule. CONSTRUCTING AN ELEMENTARY SCHOOL SCHEDULE

Several variables need to betaken into consideration when constructing an elementary school daily class schedule. The composition of the student body, the staff, the facility and instructional resources, local policies and state requirements, bus schedules, and the school calendar are some of the most common, and obvious, considerations. If an elementary school isorganized entirely on the basis of self-contained classrooms, the task of building the schedule can be left to the individual teacher. The principal needs only to review the schedule with the teacher to see that state requirements are met with respect to the allocation of time and subjects taught. The task of constructing a daily class schedule increases in complexity as pull-out programs in areas such as music, physical education, and art are made available to students. Another degree of complexity emerges in districts where some teachers are assigned to teach in more than one

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building. Team teachingand an integrated curriculum can further the complexity of constructing an elementary school daily class schedule. The assignment of students, or matching students with teachers, is where the formal process of constructing a daily class schedule often begins in an elementary school. Laws, local policies, and what is known about the development stages of children and different specializations of staff members can influence how students are assigned. Sheer numbers of students and staff will obviously have an influence on how many students are assigned to each teacher. Assigning students is more than random placement. The more a principal and staff know about their clientele, the more likely they will be able to provide each student with the “best fit” in terms of a class assignment. The elementary principal should meet with principals in otherbuildingsto coordinate the use of shared staff. If, for example, the band instructor from a secondary school is to teach band to elementary students, an agreement should be reached between the principals involved as to when band will be taught in the elementary building and in the secondary school. Once shared teacher assignments are determined, the principal and staff in the elementary school will be able to determine howtheywant to allocate timeto different subjects or learning activities for each classroom.Pull-out programs involving teachers who spend their entire day in the school can also be coordinated. Teachers need to be considered when putting together the daily class schedule in an elementary school. Although there needs to be some sequence and logic to a given classroom schedule, thought should also be given to the schedule of each teacher. Whether moving from one building to another or working in pullout programswithin one building, traveling teachers needtobegivensome sequence and continuity in theirdaily schedule so thereissomesanityand efficiency in how they spend their time. To achieve an effective schedule for pull-out or resource teachers and at the same time to build a daily classroom schedule for the regular classroom teachers so the students’ time is not fractured and fragmented is, perhaps, one of the most difficult things to accomplish in building a class schedule. The principal, though working with the teachers, is ultimately responsible for providing a daily class schedule that can be defended in terms of meeting the needs of students and providing staff members with an equitable teaching load. In a growing number of communities, parents of elementary students are also being brought into the process of building a daily class schedule. Parentinvolvement is most fruitful at the stage of reviewing what should be accomplished and analyzing the variables that will have an influence on the daily schedule. If parents are appropriately enlisted in the process of building a daily class schedule, there can be much greater support for the organization of the school.

CONSTRUCTING A SECONDARY SCHOOL SCHEDULE Secondary school schedules, both middle leveland senior high, havebeen created in a wide variety of forms and styles. Because of differences in second-

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ary schools in terms of size, grade configuration, and program, there have been various types and approaches employed in scheduling. Differenttypes of middleschool and senior high schoolschedules have evolved. The first type of secondary school schedule was the block schedule. The block schedule wasmodifiedto achieve more responsiveness to student needs and evolved into a student demand block schedule. Further changes in secondary schedules came about with the advent of computers as variable time and flexible schedules emerged. When constructing secondaryschoolmaster schedules, in some instances there have been some key oversights or false assumptions or, if not actual oversights, an inappropriate reliance on tradition. One erroneous assumption, which has detracted from the most appropriate use of time in some secondary schools, is the view that the same amount of time to learn a subject is required in all courses or areas of study and by all students regardless of age, interest, or ability. Thus, time is allocated in equal period lengths each day for all subjects and for all students. Another inaccurate assumption has been that every class must meet every day of the week for all students to learn the assigned materials. Another false assumption thathas caused concern fromvariousinterested participants and observers is that when athletic or other special activities are scheduled, a license has been given to sacrifice student time from other learning experiences and that all will work out in the end. Still another incorrect assumption is that seniors, through somerite of passage or tradition, should have a privileged place in the schedule over first-year students, even if such schedulingcontradicts what is known about developmental levels and social responsibility of students. The traditional study hall in most secondary schoolshas been perpetuated for the sake of schedule builders-not for the benefit of students. By placing study halls throughout the day in a secondaryschool schedule, particularly in the block or demand type schedule, the number of student schedule conflicts is greatly diminished.A problemcan be recognized, however,when observing traditional study halls in which certified teachers are assigned study hall monitoring duties tomaintain peace and order. If one asks what students needto have at their disposal during assigned study time, educators or parents would identify such things as supplemental reference materials, computers and software, general reference materials, access to databases and networks, consultation with a subject area specialist, and, of course, space and facilities such as chairs and tables. Accompanying the needed resources for working effectively in independent study, each student needs an individualized set of directions and assignments. When contrasting the characteristics of a traditional study hall with the above list, a discrepancy becomes discernible almost immediately. References, computers and software, access to databases and network data retrieval systems, or a specialist in a given subject area is not available inmoststudyhalls. If a teacher with a specialization that matches a given student’s need in a study hall is present, it is by chance, not by plan. Arm chair desks or tables and chairs are

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found in study halls, and as a general rule students are expected to do “class assignments.” The waste of time in a typical study hall caused McLuhan and Fiore to comment that television created a higher level of information outside the school than was found in school, and when a high school student entered the classroom, or certainly the study hall, that student knew the education process was being interrupted.’ Time is much too valuable a resource to allow it to be lost in the traditional study hall. Principals in secondary schools need to seek other options to provideindependent study time for students, such as developing subject area studyhesource areasor extended class periods that contain directed and independent study time. The block schedule.The first type of schedule found in secondary schools was the block schedule. In the early block schedules, the curriculum was limited and academically oriented; thus, schedules were devised so all courses, most of which were required, were placed in the schedule by the principal; blocks of students were assigned with little or no concern for student preference. Some limited options were available in the areas of fine arts and industrial arts or home economics. Since the majority of the students in the school took the same curriculum and no concern was extended to students with special needs, schedule construction was simple; in fact, itwas not uncommon to use thesame schedule year after year. The demand schedule. With increased numbers of elective courses and expanding school activities in the total program of the secondary school, a need was recognized to reconstruct the master schedule each school year, based on students’ preferences and needs. Scheduling complexities were further exacerbated by the advent of tracking, in which some students were identified as college bound, others vocational, and of course, a portion as dropouts. Throughout the development of demand block scheduling in secondary schools, the most complex problems faced by principals came at the time elective courses were greatly expanded and before researchers told people in education that tracking was counterproductive. Thecomplexity stemmed from the fact that the expanded numbers of electives often meant single-section courses rather than multiple sections. Tracking also increased the number of single-section classes. For example, a school with approximately 100 pupils per grade level might have four sections of junior year language arts, unless tracking was used. If tracking were used in the schedule, there could be one section of advanced junior year language arts, two sections for the middle track, and one section for “practical language arts,” for those identified as slow learners. Principals could easily schedulefoursimilarsections of junior language arts. Scheduling, however, became much more difficult when tracking was used that resulted in one advanced, two middle, and one lower-level section. Single sections are difficult to schedule; when any single-section course is placed in the same period ofthe day with some other single-section course, there is a potential student schedule conflict. Tracking has proven to be of dubious value in facilitating student learning and the development of self-concept. Tracking creates needless problems for the builder of the master schedule.

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Steps in Building a Demand Schedule The demand schedule was implemented to enable students to identify what courses they preferred and to build a master schedule that would accommodate the needs of students to the fullest extent possible. The sequence of steps involved in building a demand schedule, whether a demand block schedule or a schedule' containing various times allotted to different classes or a variable time schedule, is depicted in Figure 5.1. 1.0 Review Parameters. Prior to building a schedule, the principal, along with significant others, should review the parameters involved. He or she should (1) examine theresources, (2) takeintoaccountthe developmental levels of the pupils, (3) consider learning theory, (4) review needs as reflected in socioeconomic conditions in the attendance area, and (5) reexamine the district mission, philosophy, and goals for the school. Consideration may be given to any factors identified as having an impact on the use of prime resources available in the school. The master class schedule is a device by which most of the school's prime resources, such as staff, time, space, and facilities, will be coordinated. 2.0 DrawfromIntegratedDatabase. Principals need to have an integrated database to which they turn for information about students and staff. Information about student cumulative records should be contained in a database, as well as informationaboutstaffqualificationsandcertification. School principalsand counselors should draw upon such a database whentheybegin to develop a master class schedule. If an integrated database is not available for the principal and staff to use, the principal should see that such information is made available through the manual retrieval of student and staff records. 3.0 Determine Potential Offerings. Required courses or areas of study in all middle schools and senior high schools can beconsideredasastarting place for listing curricular offerings to be made available in an ensuing school year. By gathering pupil input and information from teachers and parents, a preliminary determination of additional offerings can be made that will be considered as electives for the coming year. Although past experience and the history of enrollments in courses is important to review, new or different elective courses in should also be considered. The listof school activities is often overlooked the process of determining potential offerings for pupils. School activities are too often taken for granted; sinceclassroom space may be less critical for school activities, much of the scheduling of activities is accomplished without planning or counseling with students or parents. If the philosophy of staff members regarding school activities is that they are extracurricular and not actually a part of the total school program for pupils, less attention will be given to the scheduling of such activities. A s schools move from a time-based program to an outcomes-based program, new dimensions are emerging when determining potential offerings. When pupil learning outcomes are specified, major ramifications become evident concerning what is to be offered and how it is to be offered. As traditional curricular issues

Figure 5.1 Steps Involved in Building a Master Class Schedule Renew Parameters Integrated Data 1.o l

Determine Potential Perform Counseling Offerings Scores 3.0

Bank

Student Files

2.0

l

+Function: 3-4Yr.Plan Test Scores

t-Parenfipil Input 5.0

Educ. Progress Personal Goals

*

Plan for Coming Year: Required Courses Elective Courses Activities

Pre-register

8

7.0

I

I Determine Offeringsin Construct Master C- Conflict Schedule: 9.0 Allocate Time Place Courses Assign RoomdStaff Run Balance Tests +Test Load Schedule

-

Build Revised Schedule

11.0

Load Schedule: Run Class Lists

4

No Good

I

13.0

-

12.0

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change, there are significant implications regarding the construction of the master class schedule. When the list of learning outcomes has been translated into required learning experiences and new or revised electives and exploratory options, such information is transmitted to counselors and/or teachers who will be working with pupils and parents in developing educational plans for each pupil. 4.0 Pelform the Academic Advisement Function. Counselors and/or teachers, depending uponhowthe counseling and guidance function is organized in a building, should work with parents and pupils to develop a three- or four-year educational plan. The development of an educational plan can be one of the most beneficial experiences for pupils and their parents. The educational plan for each individual pupil sets the course and gives meaning to an entire school experience. A good educational plan can assist in moving a pupil into learning experiences thatwillbethe stepping stones for thatpupil’s future. Although educational plans can and should change at times, they should also provide the stability to help a pupil focus in a consistent manner on life-shaping experiences. Thus, the educational plan developed with the pupils, parents, and school officials working in consort becomes a very important step in the life of eachstudent and provides a significant base upon which master class schedules are built. 5.0 Parent and Pupil Input. The school counselors should make test scores, pupil progress reports, aptitude and interest data, andother assessment information available. Such informationcan contribute to judgments made by the pupil and parent, in consultation withtheschoolofficial,to arrive at a total educational plan for the pupil. The student records and cumulative folder become significant sources of information in planning for the educational needs of each pupil. Along with the information that comes in student files or a database, consideration shouldbe given to personal goals or interests of each pupil when developing the educational plan. Theeducational plan developed when a pupil enters a secondaryschool should be examined and, if necessary,revisedeach spring atthethetimeof preregistration. Progress toward the completion of the original educational plan should be reviewed and interests and goals affirmed or modified. Any changes should be mutually agreed upon and approvedby parents as plans for the coming year are developed. 6.0 Individual Student Plan for the Coming Year. With the educational plan in hand and information regardingpotential offerings for the upcoming year and progress reports available, parents and pupils can select what courses they desire for the ensuing years. If the educational plan has been carefully developed and adhered to, selection of courses by the student and parents is not a whimsical process. Course selection should be thoughtful and constitute a continued commitment on the part of parents, pupils, and the school. The timingand spacing of selected courseoptions canbemadewithfull knowledge of family commitments, work or private lesson obligations, or possible church involvements. Plansfor involvement in school activities should also

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enter into the selection of courses for the coming year. The selection of school activities should be completed with care in terms of student interests and with considerationgiven to balancingtimeandenergybetweenactivities and academics. 7.0 Preregistration. Once each pupil knows what courses are to be selected, fill out the prethe preregistration process can then be completed. Students can registration forms, which should include a place for listing school activities in which the pupil plans to be involved. An alternative course should be listed in the event thepupilisunable to procureallthecoursesrequested. The most frequent reason a pupil fails to get a requested course is because of the conflicts that can occur, especially with single-section courses. By listing an agreed-upon alternative course, in the event of aconflict,schoolpersonnelcanrevisethe schedule for a pupil with the least amount of difficulty. 8.0 Tally Preregistrations and Construct a Conjict Matrix. Tallying preregistrations to determine the number of students who have requested each class is typically done with the assistance of a computer. The use of a computer in the tallying process is fast and accurate. Once the class preregistration tally has been completed, the principal and staff can make judgments and decisions concerning the number of needed sections for each course. Possibly decisions will have to be made not to offer courses in which the enrollments are exceptionally low. What number is too low to offer a specific course? That number is determined by existing conditions in a given school. In some schools classes are offered for three or four students, while in other schools the minimum number of students may be set at ten or twelve. If a given course is needed for a few students to move forward toward their goals, if staff are available, or the course in question may not be offered the following year, the principal and teachers may decide that even if the enrollment would be very small, the course should be offered. The numberoftimesagiven class isoffered, or thenumber of sections offered, will be influenced by various possible constraints. For example, if 100 pupils preregister for a class in keyboarding and twenty-five machines are available in the computer lab, four sections may be needed. It may be unlikely that exactly twenty-five students can be placed in each section because of various factors and scheduling needs. Consequently, a determination may be made that five sections of keyboarding is advisable, assuming, of course, that staff would be available to teach the five sections. When decisions are made regarding how many classes are to beofferedandhowmanysections of each class willbe needed, the principal can proceed with the construction of a conflict matrix. The conflict matrix, typically accomplished with the assistance of a computer, is a device by which the principal is able to list all single-section courses along ahorizontalaxisand also alongaverticalaxis, as showninFigure 5.2. The conflictmatrix is a simple tabulation of thenumber of studentrequests for single-section classes that are in conflict with other such requests. If, for example, a student requests theater (course 1204) and Russian (course 0606), both

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Figure 5.2 Conflict Matrix

Course Title

Course Number

Advanced Art

020400

0

Journalism

050403

1

Advanced Drama

050650

0

Spanish I11

060243

1

Individual Living

090105

Calculus

110600

[l 11 -

Numbers in brackets show how many students preregistered for classes displayed on conflict matrix.

of which may be single-section courses, the conflict matrix would be used to identify a potential conflict for the student making such a request if theater and Russian were placed in the same period of the school day. For each additional pupil who preregistered for and requested theater and Russian, one more tally wouldbe added tothematrix cell for the twoopposingcourses to show the principal the actual number of potential conflicts that would occur if the two courses were to be placed in the same period of the day. By reviewing the entire conflict matrix, the principal can see which single-section courses would cause the most conflicts if scheduled simultaneously and which course combinations would cause conflicts for the fewest students. By examining the conflict matrix (see Figure 5.2),a principal could quickly see that eleven students wanted to take journalism, which is a single-section course, and theater, another singlesection course. If journalism and sociology, however, were scheduled during the same period of the day, no conflicts would occur. The conflict matrix becomes a key tool to determine the placement of all single-section courses in the master schedule. 9.0 Determine Offerings in Conjlict. In most situations, the principal and staff willbe ableto reviewtheconflictmatrixand make judgments aboutwhich courses will cause the greatest amount of problems for students if placed in the same period. First, priority for single-section courses that are offered at all grade levels, such as band, is given consideration. Second, priority will generally be

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considered for single-section courses that are offered to seniors; less considerationmaybegiven to thoseinvolvingfirst-yearstudents or sophomores.In many, ifnot most cases, theplacement of single-section courses in amaster class schedule isamatter of selecting theleast of the evils. Single-section courses can seldom beplaced in amasterschedule so that no conflictswill occur; the best possible fit must be found. At first glance, a logical consideration might be to simply use the computer to identify the best fit when placing singlesection classes in the master schedule. Relying on a computer to place classes in the master schedule may cause a problem because there are so many influences and variables to take into consideration, and human perceptions and caby the pabilities to make thenecessary judgments havenotbeenmatched computer. Stated differently,allpossiblevariablescannotbeinputintomost computer programs in order for the computer to make the needed judgments for class placement in a master schedule. 10.0 Constructing the Muster Schedule. Since the actual placement of courses in a master schedule involves so many human considerations and variables, most computer programs for scheduling have been designed so the principal can input information, such as course number, class limits, length of periods, number of days in the scheduling cycle (e.g., five days or in some cases ten days), names of teachers, room numbers, and finally, the specific placement of courses on the schedule matrix. The speed and accuracy of the computer is then called upon to provide a printout of the master schedule. The preliminary drafts of a master schedule can be tested to give indications of whether the class schedule will meet the needs of the students. By looking down a list of courses during a given time slot or period on a schedule, a rough calculationcanbe made to see ifenough classes areoffered so allpotential students in a given grade level have sufficient offerings. If there are 200 tenthgrade students ina school, by scanningeachperiod, the principalcan see if there are enough potential classes to hold 200 tenth-gradestudentsforeach period of the day. There may be two sections of a required course in history (50 students), four sections of required English (100 students), one section of agriculture (10 to 20 tenth-grade boys), a section of home living (20 girls and 5 boys), a mixed chorus class (20 tenth-grade students, mostly girls), a section of Spanish I1 (10 students), and an Art I class which might attract another five to ten tenth graders. By such a review, the principal could see there was sufficient offerings during the period in question to accommodate all the tenth graders. The same process would need to be performed for each grade level and for each period of the day. The preliminary master schedule can also be examined to see ifthereisa reasonable balancebetweenelectiveandrequiredcourses each period of the school day. Many potential problems can be noted in advance by running a balance check on the placement of courses. 11.0 Test Load the Schedule. When in the principal’s best judgment an appropriate master class schedule has been built, the time has come to test it by loading all or a portion of the students into the schedule to see if each student

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gets requested courses and if class sizes are balanced. The speed of the computer makes it possible to input all studentregistrationforms and load each student into the schedule while balancing class size and selecting the best fit of classes for each student. A list of conflicts is generated by the computer program, and the results can be examined and a judgment made about the best fit in the master class schedule. Is the schedule satisfactory? Does it fail to come up to desired standards? 12.0 Build a Revised Schedule. If too many conflicts are generated or a problem is revealed in achieving balance in class size by thefirst run of schedule loading,adifferent schedulemayneedtobeconstructed. This new schedule information will be input into the computer and another trial loading run. This process mayberepeateduntilwhat is deemedthe bestpossible master class schedule is achieved. The computer is an ideal tool for loadingstudent class requests in orderto provide the principal with the information needed to arrive at the best possible class schedule. There are generally twoapproaches whenusingcomputers for scheduling: ( l ) theprincipal goes to central computerscheduling service and provides the data, which are input by specialists who in turn generate the printout for the principal; and (2) computers and software are available in the principal’s office so that in-house computer assistance is available totheprincipal and staff. Each approachhascertainadvantagesand limitations. Not uncommonly, principals can belimitedbythenumber of runsmadewhen a central computer service is used. In some instances, when centralized computer assistance is used, there may be less flexibility in terms of designing options or using the computer to answer “what i f ’ questions concerning the modifications of a master class schedule. When software packages and hardware are available for scheduling within a given school, the principal and staff members must possess or develop the needed expertise and familiarity with the system. When in-house scheduling is employed, the principal or a staff member must also do the troubleshooting when problems occur with the software or hardware. Regardless of whether the computer assistance for scheduling is provided through some central system or in-house, a complete system backup must be maintained. 13.0 Resolve Conjlicts. Even with the best possible schedule, it isgenerally a cold day in the realms below before a schedule with no conflicts is produced. Consequently, there will almost always be some students who have unsolvable conflicts, and their schedules will have to be changed. At this point, the school personnel will find alisted alternativecourse onthestudentregistrationform file of all students helpful. A revised schedule can be inputintothetotaldata to be loaded by the computer, or it can be “hand scheduled.” 14.0 Load the Schedule. Once the desired schedule is in place, all students’ in a final runon thecomputer.Atthe names can beloadedintotheschedule conclusion of the final loading process, there will be a printout of all class lists. Each student’s schedule of classes will be listed in sequence, with room numbers

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Figure 5.3 Floating Block Schedule for a Seven-Period Day

Mon Tue Wed Th

Fri

andthe name oftheteacher.Preliminaryattendancerostersandgradereport forms will be printed. Schedule complete!

The Floating Block Schedule The floating block schedule is depicted in Figures 5.3, 5.4, 5.5, and 5.6. In Figure 5.3, a schedule with seven periods is shown. Inafive-dayweek, each class isofferedfourtimesandtwoactivityperiodsareincludedthatcanbe moved to any time slot during the week. In Figure 5.4, the two activity periods have been moved to the last two time slots on Wednesday, so a dress rehearsal of the school musical may be presented to the student body. All the remaining periods are sequenced to the end of the week. In the illustration given in Figure 5.5, one can see that no class or instructional time is lost whenthedress rehearsal is scheduled. The two activity periods may be moved together, as shown in Figure 5.4, or they may be moved separately to different time slots during the week as shown in Figure 5.5. The avoidance of intrusions on class time by school activities is the primary advantage of the floating block schedule. By use of the block schedule, a method is provided to demonstrate that school activities are important and that designated periods are scheduled each week to give students access to activities. At the same time, such an approach demonstrates thatinstructionaltitne in academic courses is important and should not be intruded upon. In actual practice, some intrusionson class time cannot be avoided, evenwithafloatingblock schedule; however, the vast majority of intrusions can be eliminated. In a floating block schedule containing eight periods, three activity periods would be availableforuseanddistributionthroughouttheweek(see Figure 5.6). By contrast, a six-period schedule would provide only one activity period. When a floating block schedule is in use, a weekly bulletin in which the class

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Figure 5.4 Floating Block Schedule with Music Program Scheduled for Student Body on Wednesday

M o n Tue Wed Th

Fri

schedule is presented to students and staff should be distributed. The routine in which a teacher meets a given class at a designated hour each day of the week The floatingblock schedule is not utilizedwiththefloatingblockschedule. maintains some of the limitations of a demand schedule, as reflected in periods of the same length for all classes. In the demand schedule, classes typically meet five times a week, and in the floating block schedule, classes meet four times each week. In courses such as modern foreign language, physical education, or chorus, where there is evidence to suggest that the preferred method is for the class to meet each day, the floating block schedule has an obvious limitation. Consequently, there are advantages and limitations to the floating block schedule that should be recognized and taken into consideration by a principal and staff when selecting the scheduling approach they feel will best fit the needs of their students. The Modular Schedule

During thelate 1950s and the 1960s major efforts were made to develop approaches to secondaryschoolschedulingthatwouldmaximizelearning opportunities for students and minimize the shortcomings of the block or demand schedules usedextensivelyinsecondaryschools. Through hisworkwith the NationalAssociation of Secondary School Principals, Trump wasresponsible for introducing a conceptual framework that led the wayto school restructuring? The modular schedule was built on a set of concepts that took into account the levels of student maturity, developmental tasks, and learning theory. Designers of the modular schedule suggested that some things can be learned more easily by presenting material and providing motivational presentations to large groups of students. At other times students can best learn certain materials by working

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Figure 5.5 Floating Block Schedule with Split Activity Periods

Mon Tue

Wed Th

Fri

in small groups in order to discuss and exchange ideas. Learning or involvement in some instructional activities cantakeonly a short time; in othersituations and in different subjects, a longer time period will be needed. Finally, the modular schedule was predicated on the belief that students need to be responsible for their own learning and have a portion of the school day available for independentstudy or study in pairs or triads. To achievea schedule thatwould accommodate the different time demands for learning, the modular schedule was devised. The modular schedule was also predicated on the assumption that instruction canbeimprovedandlearningenhanced when teachers workasteams. Consequently, teamteachingisconsidered an integral part of modularscheduling. Designers of modular schedules perceived teachers working in diverse roles and using their time in different ways than in traditional block or demand schedules. A muchgreater emphasis is placed on cooperative teacher planningandupon teachers fulfilling the role of tutororinstructional facilitator in individualized learning activities. The modular schedule hasproved to be just as rigidas block schedules in somedimensions.Theallocation of time fordifferent learning activities, althoughbuiltwith small modules or timeblocks rangingfromapproximately fifteenminutes to twenty minutes, ispredetermined and prescheduled. Once these time blocks are inserted into the master schedule, theyremainas a fixed pattern. For example, in a tenth-grade social studies class, a team of teachers decide theywould like to schedulethreemodulesforthe 120 students in their learningcommunity fora large-grouppresentation onMondaymorning. The teachers then decide to schedule one module for discussion periods onthe following days. On the last day of the week, they request a two-module time slot for testing or a final culminating presentation in a large-group setting. The remaining time for the tenth-grade social studies students is allocated as structured

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Figure 5.6 Eight-Period Floating Block Schedule

independent study time. Once the sequence of large groups, small groups, and independent study times is set and scheduled, the same sequence and timeframe appears week after week-withno flexibility. Consequently, all instructional units are taught week after week in the time pattern established, which obviously reveals a limitation inherent in the modular schedule. In a move to soften the rigidity of the modular schedule, attempts have been made to use a ten-day sequence for scheduling rather than a five-day sequence. The ten-day sequence gives a team of teachers greater opportunities to devise a modular schedule in whichanadded degree of variable timeframes over the longer ten-day sequenceis provided. Another administrative headache can occur when building a modular schedule. Administrators must attempt to fit together themanyvariedtimepatternsrequested by teamsofteachersfrom different subject areas. In order to avoid some conflicts, guidelines are developed with suggestions about ways to improve schedules for teams of teachers. Requests will have to be accommodated from the various members of subject area teams, such as language arts, science, mathematics, fine arts, and vocational education. A key advantage of the modular scheduling approach is that different teams representing different subject areas can design the use of time that in theirjudgment best fits the needs of their students. Someschool buildingshavenotbeen constructed withteamteachingand modular scheduling in mind. Consequently, buildings have been renovated by putting partitions in some standard classroomsto make two small-group meeting areas. In other instances, partitions are removed to provide for large-group meetings and auditoriums refitted with the equipment needed for large-group instructional presentations. Areas are set aside and furbished for teacher offices and work space; when possible, such office areas are placed adjacent to student in-

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dependent study and resource areas. Such an arrangement gives students access to the neededmaterialsand to teachers who knowtheassignmentsandthe subject material involved. In addition to specialized study areas, students have access to the school library. The amount of time for independent study allocated for different groups of students varies with the age of the students. Ninth-grade students typically have more structured time and less independent study time as contrasted to twelfthgrade students, whohavelessstructuredtime or in-classmodules and more independent study time. In practice, teachers find there are some secondary students who lack the maturity or self-discipline to prosper and benefit from independent studytime.Insuch cases, structuredstudyhalls are imposed on selected students, and more narrowly prescribed assignments are given, along with counseling and instruction about becoming more responsible. The modular schedule remains, however, quite inflexible.

The Flexible Schedule or the Block-Intensive Schedule Modular schedules gave way to a more flexible type schedule as school leaders soughtwaystocapitalize on the advantages whileovercomingthedisadvantages of modular schedules.Blocks of timeareusedtogaingreater flexibility, and a team of teachers generates their own schedule within the block of time. The early work of Trump became more sophisticated.' Other leaders in secondary education, such BrownandDempseyandTraverso,reinterpreted, refined, and expanded upon this earlier Improvements and modifications that fit into school restructuring have been provided by current versions of the flexible schedule.s The greatest amount of support for flexible scheduling has come from teachers in middle schools. School communities or clusters of approximately 120 students areusedwithteacher-advisorassignments. A block of timemayoccupyapproximately half of the day for a given group of students; within that block, the teachers are responsible for allocating the time. The other half of the day may then be used for scheduling exploratory courses and electives, as well as those courses that do not lend themselves to learning communities or team teaching. A s illustrated in Figure 5.7, a flexible schedule may have 120 students in a learning community. Six teachers and a librarian are assigned to an instructional team to plan and deliver instruction to the 120 students during a block of time that occupies a half day. At a designated time each week, the team of teachers will meet and make plans for the allocation of the block of time in the upcoming instructional unit. Depending on the number of other learning communities and the facilities available in a school building, the instructional team will coordinate plans for the use of time and space with other staff members on other teams. If, for example, an interdisciplinary instructional team is made up of teachers of language arts, mathematics, science, and social sciences, the team can collectively determine how each subject will be taught as separate classes or mod-

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Figure 5.7 Combination Flexible Block-Intensive Time Schedule and Traditional Secondary Schedule

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8~30 11:30 First Block

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Learning communityfor 120 pupils and6 teachers on an interdisciplinary team with a librarian. Teachers plan how the Block from 8:30 - 11:30 am is tobe scheduled.

ules and how subjects will be integrated. The interdisciplinary team will also be responsible for allocating and structuringtheinstructionalandstudy time for students. The proportion of instructional time that is "integrated," as contrasted to separate classes or instructionalmodules,mayvaryfrom one instructional team toanother. Instructionalpatterns can bedevisedthataccomplishthree things: (1) meet the needs of students, (2) capitalize on teacher expertise; and (3) allocate space for the best use to facilitate learning. There is no five-day or ten-day cycle in a flexible schedule. A given unit may be scheduled for any number of days, and the repetition of the cycle orschedule need not be a consideration in shaping the use of time. As seen in Figure 5.7, a team of teachers may determine that a five-day sequence for a given week is appropriate to accomplish an integrated unit of instruction. On another occasion, however, the team of teachers may plan a different length for a unit or block of time. As shown in Figure 5.7, all 120 pupils are brought together on the first day of the unit for a unit introduction, a pretest, and schedules and instructional materials. While the students are in the large-group setting, a videotape may be presented to create interest. The videotape could be followed by a brief questionand-answer period designed to clarify the focus and provide the setting for the coming unit. Not all teachers need to be present for the large-group sessions. Perhaps twoteachers will deal with the introductorysessionwhile theother team members work on preparations for instruction. Following the large-group sessions on Monday morning are smaller-group meetings in which students move to six classrooms. Teachers follow up on the

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introductory materials, and group projects are planned by students underthe direction of teachers. Once preliminary planning is accomplished, students can be scheduled to work in pairs to start gathering the materials they need for their projects and to read assigned materials. On the morning of the second day of the week, a second presentation is given to all 120 students. Following the presentation, students are assigned to discussion groups of fifteen each. Half of the students are placed in independent study under the supervision of two teachers. The other half of the students, or four groups of fifteen students, meets with an assigned teacher to discuss and explore topics derived from the large-group presentation. Thus, all six teachers from the team are involved: two as directors of independent study for half of the learning community and four with fifteen students each in small-group discussion and exploration sessions. At the midpoint of the process, the students who had been assigned to independent study go to the four small-group discussion sessions, and those who had been in the first small-group discussion sessions go to the directed study period. Depending upon the maturity of the students, the teaching team could decide to have only one resource teacher working with the students involved with independent study, and they could assign twelve students each to five small discussion groups. On the third morning, followingan orientation session, all students and teachers are assigned to laboratory and work sessions on a science project that staff members feel could best be done over an extended period of time rather than in traditional daily periods of equal length. On the fourth morning, all students are again convened in a large-group setting and given a quiz over the science lab they attended the day before. Following the science quiz, avideotape isagainscheduledwhile the learning community is in a large-group setting.The latter portion of the morning is then used for alternating science labs and writing labs for students. On the fifth day, students present their projects in groups of twenty students and participate in a question-and-answer period. A study-work period follows the class sessions, and students are expected to finalize projects and organize their materials to hand in to the teachers. The last session of the morning block of time may be an enrichment exercise and concluding activity for the unit, in which students work in groups of twenty with one teaching team member assigned to each group. Following a lunch period, the learningcommunityinvolved in theflexible block schedule for the morning may be scheduledinto a nonflexible block schedule for the afternoon, and such classes as physical education and various exploratory courses are available in a typicaldemand schedule. Withinthe afternoon block schedule, an activity period can be scheduled on alternate days with an enrichment elective (see Figure 5.7). If there were as many as 240 pupils in a grade level, the students could be divided into two learning communities. One-half of the students would be in a flexible block in the morning and one-half in the typical demand schedule in

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the afternoon. The second learning community would be assigned to a reverse schedule, in which the typical demand schedule for exploratory courses would be in the morning and the flexible block in the afternoon. The example displayed in Figure 5.7 is but one pattern that could be devised. There are untold variations that could be incorporated in which differing numbers of students are assigned to learning communities, differing staffing patterns used, and variations of time allocations made. The intensive schedule or thefour-periodday is but one illustration. The prototype depicted in Figure 5.7 is an approximation of what has been devised in various middle schools. Teachers must be given a great deal of autonomy to build their own flexible schedule.6 To develop successful flexible schedules within a block of time cannotbedonewithout staff development or structure. Principals mustnotonly give the autonomy needed; they must give both material and psychological support forin-service. Coordinationis essential.A break with tradition willbe required and sacred cows will need to be confronted, as efforts are devoted to the application of theknowledge base and as what is knownaboutlearning theory and developmental tasks of youth is taken into account. Teacher autonomy in sharingthe responsibilities in building a master class schedule does not imply a laissez-faire approach to administration. The principal and staff must agree upon principles for developing a schedule. The principal isthen responsibleforseeing that staff membersadheretotheagreed-upon basics for building a schedule. If varying time and frequency of class sessions are seen as appropriate but a team of teachers schedule all class sessions to be of equal frequency and duration,theprincipalthen becomesresponsiblefor dealing with the staff's failure to adhere to agreed-upon principles. Although there maybe less interest in using an integrated cumculum approachatthe senior high level, theschedule can still be made flexible and organized to fit the needs of students, rather than forcing students into uniform blocks of time. In some classes, such as a modernforeign language, it is appropriate to meet every day for a shorter period of time. In other subject areas, the class meets only twice a week, but for an extended period of time. A science class fits into such a timeframe. Although the modern foreign language teacher andthe scienceteacher maynotwant to team or integrate their classes, they can cooperativelyschedule their classes to takeadvantage of what is known aboutlearninganddevelopmentaltasks as theybuild a schedule. As hasbeen the case for the past 100 years, the principal plays a key role in facilitating and coordinating the staff in the process of building a flexible schedule.' The search for the most appropriate schedule within any given school continues, as is evidenced by the fact that various kinds of master schedules are found throughout the United States?

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Schedule by Appointment In some instances, school administrators have suggested doingaway with any formof master schedule. Each student meetsindividuallywith teachers in a subject area, and arrangements are made for diagnostic, prescriptive, and evaluative instruction. All instruction is individualized andalthough it ispossible for small groups of students to schedule a meetingwith a teacher to discuss and interact, most instruction is personalized. Each student works independently toward achieving prescribed individual educational outcomes. One of the major advantages claimed for instruction by appointment is that students can advance at their individual rates based on interest and ability. Recommended instructional materials are in the form of individual learning packets and multiple resources. With the advent of computer technology, the CD-ROM, the videodisc, or more recent multi-media, learning options for individual students have been greatly enhanced. Computer-managed instruction software packages also provide a dimension for instruction by appointment that was not readily available when the concept was introduced in the 1970s. The problem of dealing with the immature or disinterested student who does notrespondto a highlevel of individualization isunavoidable in programs designed for instruction by appointment.Independent learners benefitmuch more than dependent learners in instruction by appointment settings. In the final analysis, instruction by appointment is most appropriate for a student who comes to the school with a high level of self-discipline and self-direction. The reverse argument is that many students cause problems or demonstrate disinterest and low motivationsimplybecause thetraditionalblock schedule works against motivating and providing students the opportunity to demonstrate responsibility. While scheduling by appointment has never been widespread, it contains concepts that warrant consideration. Scheduling by appointment is at one end of a continuum and the block schedule at the other. The demand schedule is a step away from block schedules and meets the needs of students with less emphasis on forcing every student into the same mold. The floating block schedule gives school personnel the advantages of a demand schedule while avoiding losses of class time because of school activity schedule intrusions. A step further away from block scheduling, the modular schedule is a major departure that takes into account learning and motivational theory as well as information about developmental levels of students. The flexible schedule emerged from the modular schedule and was another step toward making the school master schedule fit the needs of students. The final approach to scheduling, instruction by appointment, was proposed to meet the needs of students in a highly personalized way. Each scheduling approach has strengths and limitations. Each takes into account different knowledge about the growth and development of children andyouth. The principalwho is an instructional leader should examine each approach to scheduling and determine which best meets the needs of students. The master class schedule is the man-

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agement device that will influence to a major extent how other prime resources, in addition to time, will be used to foster student growth. TIME MANAGEMENT Another dimension of time as a resource can be explored in the writings of time management experts? As some experts on time management have noted, “time management” is a misnomer. What principals should manage is themselves; whatthe principals do whenmanaging themselves is whatcan make time utilization efficient. Persons can manage themselves, but time is actually unmanageable. Principals who have learned to use some time management techniques effectively are more able, as a rule, to have time to work with staff in the area of instructional improvement. Time management should be viewed as a means of creating access to and for people to interact with the principal. Time management should never be used as a means of preventing accessto a principal simply so a principal can keep a clean desk. Instead, time management should helpthe principal become organized and efficient in taking care ofoffice routines so there will be more time for staff interaction. Principals must deal with a large amount of paper work, and many have found that coming to work an hour before others arrive is a good time to dictate letters and sign papers. Other principals find that a Saturday morning or a late evening may be the time to clear the paper work off their desks. A simple technique to use time efficiently is to follow the precept, “Handle each piece ofmailonly one time.” There are some instances when such an admonishment is simply not possible, but, in general, handling items only one time is much more efficient than pushing them back or deferring to a later time. The tickler$le can be an effective tool to use to keep things off the principal’s desk. A tickler file consists of twelve expandable file folders, each labeled for one month of the year. A s items andregularly scheduled tasks come to the attention of the principal, they are placed in the file for the month in which the task is to be performed. Toward the end of each month, all the items that have been placed in the monthly file for the upcoming month are taken out of the file, sorted, and placed into a second set of files that are marked with numbers to represent each day of a month. Placing items in the daily tickler folder gets items off the desk, provides an orderly way to keep track of them, and helps the principal plan by spacing those itemsthat can be attended to at a convenient time. All daily tickler files should be placed in the hands of the secretary who retrieves the materials from the file on the day the items are to be accomplished; the secretary thenplaces the materials on the principal’s deskwithincoming mail and phone messages. The tickler file items become a part of the daily inbasket for the principal. If the principal comes to the office early in the morning before others usually arrive, the secretary can place the tickler file items for the corning day on the principal’s desk just prior to leaving the office in the evening.

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Upon arrival at the office for the start of a day, the principal should scan the in-basket items and sort them in terms of priority and level of importance. The items that require immediate attention should be listed first; items of importance can be given an appropriate place among the list of “things to do” and a time allowance assigned to each item. The few minutes that it takes to organize the day can pay high dividends and help keep the principal on task. The principal can keep a firm grasp and better control of high-priority items if a tickler file and plans for a daily work schedule are used. For example, an elementary principal may perceive meeting with parents of children at risk as a high priority. If, when looking at the tickler file content and how time is allocated each day, the principal finds little or no time has been devoted to planning for or actually meeting with parents, the signal is clear: Insufficient time and priority have been devoted to a specified task or goal. Daily, weekly, monthly, and annual planners are distributed by various publishers and software companies. Each such calendar or daily management tool has its own unique characteristics. Principals should select or devise a process for planning the day that is convenient and efficient for them. In using time management techniques, the principal should always be aware that time management is used primarily to accomplish one thing: to efficiently take care of the routine office management tasks and foster an orderly operation. The principal then has time to perform more important human interaction functions, such as staff and program development.

As principals review the daily list of “things to do,” they should study the typeof itemscontained onthe list. Whenever feasible, theprincipalshould delegate routine tasks to support staff. By studying the daily list of tasks to be accomplished, a principal can soon determine if there are items that could be performed by others. If when reviewing the items to be accomplished the principal does not conclude that others should be performing some of the tasks, the principal should pay more attention to delegation. ASSIGNING STAFF AND ROOMS The availability of staff is a primary consideration when building a master schedule. For example, every elementary principal must determine how many students are assigned to the building and match that information to the number of teachers available. By knowing how many third-grade students are expected and how many third-grade teachers are available, the principal can easily determinehowmany students will be assigned to each teacherand in the process assure equitable staff loads. When the number of students and the number of teachers at a given grade level do not translate into an equitable pupil-teacher ratio, the decision becomes moredifficult.Principalswouldbepleased if the total number of students and the number of classrooms could be divided so each teacher has 15 pupils; however, life is not that simple. Consequently, principals may have to reassign staff as enrollments ebband flow at different grade levels.

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Not uncommonly, a class that is numerically larger or smaller than the norm may be found in a given school. The assignment of an additional teacher to the grade levelwith the inflated class size maybecomenecessary. To make the needed staff reallocation, a teacher may be required to leave a favored or preferred grade level and be assigned to a different grade for a year. Because of enrollment fluctuations in smaller schools, a teacher may have to teach a combination class of third and fourth graders, rather than being assigned to a class of third graders. In larger elementary schools the split class is less frequently required than in smaller schools. The assignment of staff in senior high schools or middle-level schools is an important process of allocation. The principal, and ultimately the superintendent of schools, are responsible for assigning teachers to classes for which they have an endorsement. State departments of education and accrediting agencies are responsible for monitoring local districts to provide some assurancethat teachers are assigned toteach classes in areas for whichthey are prepared. Building principals are usually required to fill out forms, which are transmitted through the office of the superintendent to the state department of education, verifying that teachers are assigned to areas for which they are certified. Usually there is an allowance given to permit a specified percentage of staff members to teach out of license; however, the obvious advantage of having teachers provide instruction in subjects for which they have adequate academic preparation is apparent. In the process of assigning staff, the principal is givenan opportunity to empower staff and ultimately gain valuable input and staff support. The assignment of staff becomes significant to individual teachers who have a major stake in staffing decisions. If adequate guidelines for assigning staff have been identified and agreed upon in advance, involvementof teachers in staffing decisions gives more opportunity to capitalize on teachers’ interests. The lack of criteria and guidelines for staff assignments can leadtoconflictand competition for preferred assignments. Teacher empowermentin the area of staffing is like empowerment in many areas. If teachers are to be involved in the decision-making process, they need to have a clear understanding of the direction or mission of the school, be knowledgeable about the laws and policies, and be involved in arriving at criteria for assigning staff founded on sound theory and knowledge. Such a background for decision making is needed lest the process turn into a political exercise or power struggle rather than a fundamentally sound process for making educational decisions. INFORMATION-A PRIME RESOURCE Information is a prime resource. There is a growing recognition that information is power; through accessing information, individuals are able to draw upon resources to assist in decision making at a much higher levelthanin situations where data are ignored by decision makers. Educational leaders need

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to be expert users of information drawn from a number of sources. The principal should know where to find answers to questions that have been answered before. To search for data in an organized way, locate and sort resources, and synthesize and distill the essence contained in documents are skills needed by school principals. Much information from local districts can and should be available and retrievable. Capitalizing on district records can be facilitated through the use of computers and the installation of a local information system to provide an integrated cross-referencing capabilities district database. Databases, in whichthereis within a local district, canprovidelocalbuilding principals withveryuseful sources of information and a means of problem solving. The kinds of school district information contained in an integrated database is limited only by the imagination and the limitations of the hardware and software available in the district. In addition to working with local information bases, the principal should be aware of information from various sources that is accessible through networks such as Internet and through devices such as the CD-ROM. Trends involving demographic statistics and economic information that have an impact on local districts can be valuable to building administrators; local conditions and needs can be better understood when put into a broader context. Information for the broader context is often gathered by accessing informationfromvarious data sources. For example, an increasing number of mothers of young children are seeking employment outside of the home, and increasing numbers of children are coming to school from homes in which only one parent, usually the mother, resides. The ability to compare local information with state or national information can be of value to a building administrator and staff when seeking an understanding of trends and solutions to local problems. Inan informationdriven society, building principals should be knowledgeableaboutlocal integrated databases and regional and national networks that can be used to access information.

THE HUMAN RESOURCE The human resource is the most important and most powerful resource with which a principal works. Capitalizing on the human potential and the development of the human resource is a high priority for principals. Detailed information is provided in Chapter 6 regarding the staffing practices involved in acquiring and developing staff. Selected approachesto capitalizing on the human potential of the staff are listed below. Capitalizing on teacher power is a skill successful principals have developed to a high level of perfection. To gain maximum benefits from the skills possessed by staff members, theprincipalshould establish a working climate to foster staff involvement andatthe same time introduce programsto enable teachers to grow and develop their skills. The organization of the school, or the

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deployment of all prime resources, has a direct bearing on the effectiveness of the principal when developing and capitalizing on thehumanpotential of the staff. The manner in which a principal delegates, as a means of capitalizing on the talents of a staff, becomes important. Delegation involves more than assigning a given task to a subordinate. Delegation reaches into the dimensions of organization in the form of job descriptions, interpersonal relations, levels of confidence, and reward systems. A job description is related to delegation. The assistant principal is assigned certain responsibilities listed in the job description. The person in charge of advisement and counseling is also assigned or delegated specified responsibilities that are reflected in the job description. With the responsibilities specified in a job description, the staff member is given authority and implied resources to accomplish the delegated responsibilities. When a principal delegates a taskto a person, perhaps a tasknot actually detailed in the job description, simple guidelines should be followed.Tasks should be assigned that the individual is capable of accomplishing. The delegated assignment should be made clear so the staff member understands what is to be accomplished, what elements need to be included in the task, how it is to be approached, the expected end results, and when it is to be completed. The principal has the responsibility of providing support to the person to whom a task has been delegated. Support may take the form of explaining to others what is being undertaken andwhyand expressing valuesrelatedto the task. The needed prime resources to accomplish the task should also be made available. Monitoring the progress of the delegated function or task is also important. If additional resources are needed, the principal has the responsibility to make them available, assuming of course that needed resources are accessible. Upon completion of the task, the person to whom the task or function was delegated needs to know that the principal needs to know that the principal recognizes the completion of the job. Perhaps the principal can extend a “well done” statement as part of the reward structure. High expectations should be projected by the principal; at the same time, the principal should extend praise and appreciation shown for a job well done. Delegation is a technique that reaches into the area of time management and staff utilization considerations. School climate is an important ingredient that relates to the productivity and well-being of staff members, parents or guardians, and students. Terms that have been used to denote school climate are climate, environment, culture, job satisfaction, morale, and ethos. At times, the terms mean the same or similar things; or distinct differences of at other times they are usedtoportrayvariations people’ssenses and feelings about the school. Climate, according to Keefe, refers to “group perceptions of school characteristics” while satisfaction is “the individual’s personal” view and response to the school.” The topic of Keefe’s article was “school climate”; however, in the title of the article Keefe used the word “environment,” which illustrates how experts have used the terms interchangeably. Keefe continued by stating, “Climate does not ‘define effectiveness,

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it only helps to predict it.”l’ According to Taylor, “Climate is generally defined as the prevailing conditions affecting life and activities” in a school.I2 Rossman, Corbett, and Firestone wrote about people’s perceptions and reactions to their setting: “Culture sensitizes and draws attention to certain aspects of the organizational process.” The authors continuedby stating that culture “prescribes the way people should act: it normatively regulates appropriate and acceptable behavior in given situations .. .throughshared knowledge.” Finally, theterm “ethos refers to the tone of the school, the ‘feel’ one gets from going into a school building, or-using a more overworked word-its climate.”” The concept of culture “sensitizes and draws attention to certain aspects of the organizational process that has been neglected-notably the subjective, the symbolic, the tacit, and the n~rmative.”’~ The importance of the symbolic and the normative aspects of the organizational process is found in the messages communicated to individual staff members as they learn how things work and gain an understanding of what is expected of them as individuals. Consequently, the culture or the climate is a known among staff who can generally articulate their perceptions. NASSP staff members have attempted to measure school climate by studying the relationships and perceptions held by students, teachers, andparents. The following ten categories of the NASSP School ClimateSurvey have been scaled to measure school climate: (1) Teacher-Student Relations, (2) Student-Peer Relations, (3) Student Values, (4) Student Academic orientation, (5) Student Acand tivities, (6) Guidance, (7) Instructional Management, (8) Security Maintenance, (9) Administrative Leadership, and (10) Parent and CommunitySchool Relations. The NASSP School ClimateSurvey has been usedextensively by local school officials to measure climate. The instruments and computer softwareto assist in the analysis of data are available through the NASSP. Upon entering an elementary, middle-level, or senior high school, a person can “sense” or “feel” the ambiance of the school and gain an impression of the climate. To link climate toproductivity is a less easy task. Patrons and educators have accepted the importance of a positive climate, and many judgments are made regarding its value. In some accreditation procedures, building principals are required to gather information about school climate and make it available to persons responsible for the school accreditation. Just as good climate has beenperceived as generating positive results,poor climate in the public schools ‘‘and the alienation it engenders among students is an important element of the troubling dropout pr~blem.”’~ Generating good climate in a school can only be perceived to have positive results. More than any other single individual in a school, the principal shapes the school climate. A principal should focus attention on known elements of climate to enhance or improve it. According to Taylor, the elements that create a positive school climate include trust, respecting people by recognizing their worth, involving others in meaningful ways, providing opportunities for social and academic growth, fostering a high level of

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collegiality by sharing and caring, and taking steps to develop high morale.“j Building a positive climate beginsby principals demonstrating respect for others through their attitudes and behaviors. If principals communicate and listen effectively, a positive dialogue and improved climate emerges.Principals will add to the quality of the climate if they respect and value the students, parents, and members of the staff and enlist or empower them without contradictions between pronouncement andbehavior. If a principalcanwork effectively with stakeholders to clarify mission and consistently supportspeople in achieving that mission, such leadership and supporting behavior can contribute to a positive climate. Positive climate can be further advanced in a school if a principal is insightful and generous with the use of motivational techniquesand employs an appropriate reward structure. When a principal is able to lead staff members, students, and parents into higher levels of accomplishment and the achievement of desired outcomes, the school climate will ride the tide of success to a higher plain. Human relations have been examined from various perspectives and defined in a variety of ways. A principal cannot developgood human relations by scheduling a meeting or planning to devote a given amount of time each day to the topic of human relations. Good human relations come from a multitude of things thatmayhappen in anygiven day. Good human relations, like good school climate, growsfrom what people sayand do. Through the components that contribute tohuman relations, people are able to define howtheyfeel about other people and themselves. There are generally two schools of thought regarding how much a principal should know about faculty members. Some persons feel that it is not advisable to get “too close” to staff members because such closeness makes it difficult for the principal to take disciplinary action against a staffmember. Another position espoused by some is that principals can become more effective when workingwithstaff members,including handling disciplinary actions, if they know the staff members. Good human relations exist when the principal is perceivedas caring and genuine in valuing human beings. Good human relations are achieved through good communications, tact, diplomacy, knowing how to resolve conflict, the use of humor, and thoughtful and caring reinforcementand support for staff and all client groups. Good human relations enable a.principa1 to work effectively with other people and thus becomesacornerstone for capitalizing on the human potential in any school setting.

PRIME RESOURCES AND REFORMING SCHOOLS Explanations and arguments have been presented in this chapter for approaching the allocation of prime resources, whichhaveincluded a philosophyto improve schools and focus on instructional leadership. A set of considerations

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that can change the shape of education at the building levelandreformthe structure, organization, andprocedures involved in providinggrowth experiences for children and youth is implicit in the suggestions made for considering a different philosophical base. The comprehensive approachthat can be conceptualized through systems theory is required to bring about changes that can reach into the educational experience of each child and young person in a meaningful way. Education is a system. When applying all the criteria for a system to education, it can easily beidentified as acomplex, bureaucraticentity created of related parts that function as a whole to accomplish a prescribed function. Each school building and what transpires in that building is a part of a larger system. A given schoolis a part of what is often referred to as aloosely coupled system. If a system is to change, systemstheorists have suggested that all of the major parts that involve the use of prime resources must be involved. A crude analogy can be seen when looking at an old car. If a new set of tires is put on an old car, the old car is not transformed into a new one. There have been major efforts to change education by pouring large sums of funds into projects to develop new curricular materials and to disseminate them. In other instances there have been extensive efforts to change an instructional approach, place technology in school, legislate, change school organizations, or create competition. Alltoo often such efforts have not been accomplished from a systemic perspective and have resulted in putting a new set of tires on an old car. Since it will do little or no good to change an isolated component or subsystem and expect the total system to change, principals should recognize all the majorcomponents, or subsystems, ofthesystemwithwhichtheyworkand involve all subsystems in the allocation of resourcesand the change process. For meaningful change to be comprehensive and succeed in a school, the principal should recognize that the school exists within a context, or larger system, that cannot be ignored. A given school must remain in synchronization with the larger context or it will be rejected. The place of site-based management in the total scheme is a significant one and is involved with the allocation of prime resources. Principals must capitalize on teacher empowerment and shared decision making. Empowerment, shared decision making,and site-based or school-basedmanagement have all been used interchangeably in the literature. By whatever label, site-based management is participatory, consultative, and collaborative. Site-based management should be employed to place emphasis on the learner as the top priority. Thus as teachers work under the leadership of the building principal to become involved in making decisions regarding the use of prime resources, they should do so by emphasizing the student as the top priority. Site-based management is designed to bring the decision-making process close to the people most critically involved. Obviously, site-based management is predicated on a clearly stated set of educational values that can lead to a more effective use of the human resource.

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SUMMARY

In order for every student to be afforded the best possible education, a principal gains access to staff members and program development through prime resources. Principals will move toward a more sophisticated and productive form of schools when they develop a greater understanding of the scope and implication of the allocation of prime resources. Prime resources are used because everything accomplished in the school is to enhance the learning opportunities for children and youth. Time and space should be used with the mission of the school in mind and with an understanding of how children and youth learn and staff can best be deployed to foster learning. The human resource, including the parents and guardians of students, may need to be deployed in new configurations. Building principals should use information as a prime resource to become expert in applying that whichisknown to the learningprocess.Inaddition, principals should know how to access local, regional, and national databases in order to draw from the available information and apply what is known to the program for students. In an information age, the definition of prime resources and the attitude toward their deployment calls for building principals to think and behave differently than during the past decades. NOTES

l. Marshall Herbert McLuhan and Quentin Fiore, The Medium Is the Message (New York:RandomHouse,1967). 2. J. Lloyd Trump, A School for Everyone (Reston, Virginia: National Association of Secondary School Principals, 1977). 3. J. Lloyd Trump and William Georgiades, How to Change YourSchool (Reston, Virginia: National Association of Secondary School Principals, 1978). 4.B.FrankBrown, TheNongradedHighSchool (EnglewoodCliffs,NewJersey: Prentice-Hall, 1963); Richard A.Dempsey and Henry P. Traverso, Scheduling the Secondary School (Reston, Virginia: National Association of Secondary School Principals, 1983). 5. RobertLynnCanady,“UnlockingtheLockstepHighSchoolSchedule,” Phi Delta Kappan 75 (December 1993): 310-314. 6. Ronald Williamson,Scheduling the Middle Level School to Meet Early Adolescent Needs (Reston, Virginia: National Association of Secondary School Principals, 1993). 7. Henry P. Traverso, “Scheduling: From Micro to Macro,” The Practitioner 18 (1) (October 1991):I . 8.Ibid. 9. Alec R. Mackenzie, The Time Trap (New York: AMACOM, 1972). IO. James W. Keefe, “Assessing the Environment of Your School: The NASSP Case Model,” NASSP Bulletin 73 (March 1989): 35. 11. Ibid. 12. EdwardE. Taylor 11, “A Plan for Improving School Climate,” NASSP Bulletin 173 (April 1989): 103. 13.GretchenG.Rossman, H. KicksonCorbett, and William A. Firestone, Change

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and EfSectiveness in Schools: A Cultural Perspective (Albany: State University of New York Press, 1991), pp. 7-8. 14. Ibid., p. 5 . 15. Thomas Toch, In theName of Excellence (New York: Oxford University Press, 1991), p. 240.

16. Taylor, “A Plan for Improving School Climate,” pp. 104-105.

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Leadership of Human Hesources

INTRODUCTION Educators have consistently endorsed efforts to improve educational practice, notwithstanding critics of the 1980s and 1990s who have intimated that so much is wrong in schools.’ In nearly every proposalforimproving education, improved performance from school personnel is cited, even if a reform measure is disguised as a career ladder or as merit pay. In one way or another, betterquality education and services for students are dependent upon the performance of teachers and other staff members. Where can improved performance be launched? Inthemain, teachers, administrators, and analysts of education have come intuitively and objectively to the same conclusion-that the individual school is the locus for improvements in education. Reform measures that are not linked with improving instruction and learning will not address fundamental conditions in classrooms.* Proposals for reform are often based upon “marketplace metaphors,” such as becoming first in science and mathematics by the end of this century? The complexities of changes in America’s social and economic structures, increasing global interdependence, and the vast accumulation of knowledge are but a few of the forces that call for more effective teaching and instruction if learning is to be enhanced and broad goals of education are to be met. If the individual school is thelocusfor improvements, principals havethe key role in designing, developing, monitoring, and evaluating thoseimprovements. In this chapter, consideration is given to the role of principals in developing human resources to their potential.

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MOTIVATION Good schools can be found in rural, suburban, and urban areas, in rich and poor districts, in schools of all sizes and grade levels, and by about any combination of descriptors. All good schools are likely to have staff members who are motivated to do their best. Why are some schools staffed by highly motivated, energetic persons while others are not? Very likely, the principals of good schools have a high level of personal motivation and have discovered ways of capitalizing upon motivated staff members and maintaining their motivation at high levels.

Personal Motivation Motivation is an intrinsic drive thatpropels individuals tofulfillpersonal needs. In the NASSP Assessment CenterProject, personal motivation is defined as a “need to achieve in all activities attempted; evidencethat work is important to personal satisfaction; ability to be self-policing.” Individuals are motivated by events in their lives, accomplishments,values, and the examples of significant others. Motivation is frequently expressed through the setting and achieving of goals. Motivation is intrinsic and not extrinsic. A rousing speech in a convention center may stimulate listeners for the moment; however, once the speech is over, listeners must depend upon their own motivation to follow through on the pleas of the orator. Principals, teachers, aides, secretaries, and students succeed in environments where motivation exists and where growth is sought.

Maslow’s Theory of Human Needs The hierarchy of human needs popularized by Abraham Maslow categories needs into fivebasic sets: physiological, safety, loveand belongingness, selfesteem, and self-actualization,4 According to Maslow’s theory, once one level of needs is met, individuals can continue in pursuit of meeting the next level. What do individuals who are tired, wet, cold, and hungry want? Not a book on howtodiet. After they receive shelter, dry clothing, warmth,and food, they will shift to safety needs. Once safety needs are met, individuals can turn to the next level of needs and so on. Knowledge of motivational theories can aid in the understanding of individuals and their actions. Individuals who are frustrated in meeting their needs may withdraw or act out. A teacher who fears a loss of teaching a favorite course, for example, may drop out of activities, fill every conversation with co,mplaints,or show fear in other ways. Perceptivesupervisors will do more than write off individuals as problem makers but will seek to help those individuals regain their balance.

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Motivation and Values The values that individuals hold determine the extent of a need and how needs can be gratified. A teacher who values financial security and has become dependent upon a school activity assignment that pays extra for the extra work could have a clash of values if asked to accept a position that would increase status but would require dropping the extra duty. Teachers may suffer conflict when their bargaining unit proposes actions that are not in keeping with their professional values, for example, limiting the number of parent-teacher conferences that can be held per year. For some, the idea of introducing merit pay would be viewed as a repudiation of years of compensation and a reflection on their long-termcommitment to service; others mightbedelightedaboutthe opportunity to “get their share and then some.” Establishing “prizes” can be viewed with distaste by some. For example, setting aside dollars for one large grant for staff members’ use based upon competitive proposals will not appeal to everyone, as some staffmemberswouldprefer another means of gaining recognition. One way to find out a staffs preference, of course, is to ask them.

The Role of Principals Principals need to serve as “significant others” in the lives of staff members, as the contributions of significant others is a key element of motivation. Principals must earn-not merely demand-the respect or affection of staff members by emulating what is expected of staff members: setting goals for themselves and their schools, understanding the values of others, identifying need levels, safeguarding the security needsof staff, recognizing major events in others’ lives and acknowledging their success, helping staff redirect their goals when necessary, and energizing staff members by meansthatrelatetoindividuals’ needs and values. Principals must listen carefully to what individuals say about themselves. Staff members often reveal their frustrations, sources of enjoyment, motivators, and other factors that affect their needs. By being sensitive to staff members’ needs, having a sound educational philosophy and articulating it through personal and school goals, analyzing the social factors in school, allowing staff members to participate in decision making,and communicating a senseof purpose, principals can do much to keep staff members motivated? In case of declining enrollment, principals might expect to see a drop in morale and levels of productivity because some staff members’ physiological (Can I keep up the house payment if I’m riffed?) and security needs are threatened. The fear of losing one’s job can be devastating to self-esteem. Principals’ skills in problem analysis, judgment, sensitivity, educational values, and communication can be tested to the maximum by events outside the control of principals. Inthe case of reduction-inforce, principals would be well advised to give the issue high priority, provide staff members with any news immediately lest the grapevine circulate rumors

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that “they’re hiding something,” and let staff members in on any decisions that would help them to understand the situation. In the final analysis, what motivates staff members is pride in their accomplishments. Recognition for a job well done carriers no price tag, and individuals who believe that every good action carries a price tag fail to recognize why people work in schools in the first place. Principals can work to have staff members support district and school goals, carry on positive relationships with co-workers, get community supportfor staff members and their efforts, and recognize the achievements of staff members. Motivational factors of recognition from others, responsibility for one’s work, satisfaction from successful performance, and opportunities for change of position and increased responsibility can also be useful. People should feel that they are making contributions to worthwhile endeavors and that their input is valued. The importance of principals’ responsibility to motivate staff members cannot be overemphasized. Nor can one underestimate the need for principals themselves to be highly motivated. HUMAN RESOURCE PLANNING Long-range planning is the basis for effective use and growth of human resources. Principals should examine personnelneeds carefully so that replacements and additions to their staffs fit congruently in meeting students’ needs. The retirement, transfer, or resignation of a teacher or other staff member does not necessarily call for a clone as a replacement, but it should serve as a spur to focus upon personnel needs. Changes in academic and support programs, the rate of pupil survival and enrollment, board priorities, financial resources, ethnic composition, employment rates of graduates, job skills that are advertised by local employers, and other factors need to be considered in addressing staffing needs and program requirements. Principals must assess the needs of a school, identify the skills of staff that are needed to meet those needs, and employ the most qualified individuals to perform needed services. An increase in students whose native language is not English (for example, Spanish),may denote a need to establish an English as a second language (ESL) program, to hire staff members who speak Spanish, and to offer in-service training for staff members in basic rudiments of that language. Immediate and long-range needs must be anticipated and balanced so that a school’s programsare not disrupted by external social, economic, or demographic changes.

The Impact of Changes Analyses of community characteristics should lead to early identification of changes. Diversityof social groups,including religious, socioeconomic, and residential patterns, should be carefully studied for effects upon school programs. Political interest groups with diverse aims, educational expectations, and other concerns should be identified and listened to as their input and desires are

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taken into account. Shifts in socioeconomic class in a community and changing composition of families, which may reflect greater amounts of dysfunctionality, need to be continually analyzed. Changes in ethnic composition, the number of students with disabilities, non-English-speaking students, and those with unique educational needs must also be recognized. As a community changes, school administrators must be cognizant ofthose changes andworktowardmeeting those changes through staffing and program alterations. In planning for staffing and program alterations, key decisions must be made regarding the nature of position descriptions, the number of employees required for each type of position, the number of positions that require new and replacement employees, and skills in technology that are required for a position. The process of preparing position or job descriptions consists of the listing of daily duties and of other duties, key areas of responsibility, priorities for the position, and goals. Preparation ofposition descriptions can be facilitated by using a standard format.

Position Analysis In some cases, a position analysis must be conducted toidentifythekey characteristics to be met. An outline for conducting a position analysis is provided in Figure 6.1. A sample job analysis questionnaire is found in Figure 6.2. Completion of a position analysis can be a fruitful means of identifying the characteristics, skills, and abilities that would be required of a position holder, The time and effort spent in conducting a position or job analysis will bring immediate and long-range benefits, as hiring officials can conduct focused recruitment efforts and attract talented persons whose characteristics, skills, and abilities match those sought. In such instances, the needs of both organizations and individuals can be met.

Extending Human Resource Planning Candidates who have the highestcapabilities, strongest commitment to quality education, andgreatest probability of effectively implementing adistrict’s learning program should be recruited, identified,andhired.After individuals are hired, they will function best in a climate that produces optimum staff performance, morale, and job satisfaction. Staff development programs should be designed to contribute to improvement of the learning program, working conditions, and each staff member’s career aspirations so that optimal benefits are obtained. Provisions for a team approach to the delivery of services, including staff participation in planning, decision making, and evaluation, will afford positive results. Although attractive compensation and economic fringe benefits are desirable, other social, psychological, andindividually rewarding benefits are of equal importance. Long-range planning should include the development

Figure 6.1 Position Analysis Position Available: Date: I. SlRATEGIC NATURE OF THE POSITION A. Mission statement ~

11.

111.

~~~~

B.

Strategic objectives of the sub-unit, i.e., raise test scores.

C.

Organizational structure of the sub-unit, i. e., K-8.

STATIC AND DYNAMIC FEATURES OF THE POSITION A. Important considerations at the beginning of the assignment B.

Anticipated changes in position requirements and factors influencing change, e.g.,new curriculum, increase in population

C.

Effect of others on position

D.

Nature of important constituencies of the position, e.g., relations with parents, students, member of the board of education

E.

Nature of supervisory relationships, reporting responsibilities, and appraisal system

BEHAVIORS REQUIRED AND DESIRED A. Required 1. In immediate work setting ~~~~~~~

~

~

~

2. In relation to members of the school system ~

~~

~~

~

3. In relation to external groups or individuals

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Figure 6.1 (continued) B.

Desired 1. In immediate work setting

2. In relation to members of the school system

3. In relation to external groups or individuals AND SELECTIONCRITERIA IV.SCREENING A. Aptitudes B.

SkillsandAbilities

C.

Knowledge

D.

Education and Experience

E.

CertificationandEndorsement

Source: Adapted by Frederick C. Wendel.

and use of personnel appraisal processes that contribute to the improvement of the organization, staff members, and students. The initial deployment of staff members may have a significant impact upon :heir morale and job performance. Staff members should be assigned to duties :hat capitalize upon their talents to the utmost. Human resource planning should ncludeexamination of short- and long-term factors that affect theuseand yowth of human resources. RECRUITMENT The quality of human resources isheavily dependent upon the pool from which staff are eventually selected. Reliance fortalentshouldnotrestsolely lpon applicants who respond to vacancy notices. Varied means should be purued in broadening talent pools. Some are relatively inexpensive, like placing lotices in university vacancy bulletins, metropolitan newspapers,and educaional newsletters or journals that are widely distributed. Visiting college and lniversity “teacher job fairs” and conducting on-campus interviews will cost nore dollars. The face-to-face contacts with placement officials and candidates nay show a positive cost-benefit ratio, however, since visitationsmaypermit ecruiters to promote their organizations andthereby attract highlyqualified

Figure 6.2 Sample Job Analysis Questionnaire Name: Date:

Phone:

Department:

I.

Position Title:

ESSENTIAL FUNCTIONS A.

List the daily duties and responsibilities and give an estimate on the amount of time spent each week to complete it. Duty

B.

n.

Hours per week

List those activities that are done weekly, monthly, or annually and hours spent for each. 1. Weekly

Hours per week

2. Monthly

Hours per week

3. Annually

Hours per week

4. Special Assignments

Hours per week

SUPERVISION A.

Number of subordinates supervised by position holder Position ~~~

B.

Number ~~

~

~

Amount of time spent in supervision Hours per day

Daily

Weekly

Hours per week

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Figure 6.2 (continued)

C.Superordinateswhoassignwork

to positionholder:

Name

D.Superordinates

of positionholder:

Purpose

Name 111.

SKILL AND EXPERIENCEREQUIREMENTS A.Minimumbasiceducationrequiredbypositionholder

Minimumpreviousexperienceneeded to fulfill duties

B.

~

C.

IV.

~

Special knowledge or training required for duties

OTHERFACTORSIMPORTANTFOR THE POSITION HOLDER

Source:

Adapted by Frederick C. Wendel.

candidates that might not consider printed vacancy notices. Vyingfor candidates in some fields requires great expenditures of time, effort, and money; the latter expenditure may be the most noticeable but less costly, however, if hiring officials are successful in their recruitment efforts.

Promoting the Community What features of your community and school district appeal to you and to other individuals you know? Many of those features are also likely to appeal to other individuals. For some persons, metropolitan areas offer advantages that are highly preferred; other persons may prefer to live and work in rural areas that offer outdoor activities such as camping, skiing, hiking, and fishing. Recruitmentbrochuresshouldinclude features of a communitythat can attract candidates and should not contain information solely on jobs, working conditions, and job-related factors.

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Designing Recruitment Plans Recruitment programs should be analyzed for their scope for both certified and noncertified staff, emphasis upon attracting a diversified staff, expenditures, how recruitment fits with other personnel processes, and other factors that are critical in recruiting personnel. Recruitment should be thought of as an investment in the future of the school, district, and community. Recruitment, along with selection, is often consideredtobe one ofthemosttime-consuming responsibilities because of its critical relationship with the talent pool.

Developing the Applicant Pool Once position descriptions are developed, recruiters can focus upon the general and specific qualities sought in applicants. In the absence of carefully crafted position or job descriptions, recruiters may rely mainly upon their perceptions of applicants’ abilities in general. The better the design of the recruitment process, thebetterthetalentpoolthatiscreatedandthemorelikelythathighly qualified candidates will be attracted to position vacancies. Each vacancyshouldbetranslated into apositiondescriptionthatincludes descriptors such as position title; kindand extent of skills, knowledge, and abilities required; the location of the position in the chain of supervision; relation of the position to students andtheirgoals;major duties andresponsibilities; terms of employment; and basis of evaluation. If district leaders have engaged in strategic planning andadopted a missionstatement,goals,andbeliefs, a summary of such items should become a part of recruitment materials. Compensation must be competitive, but higher pay than surrounding districts offer may not be sufficient to attract better candidates. Better working conditions, the status of education in a community, and other conditions may outweigh economicfactorsinattractingcandidates. Living inacommunitymaybe made more attractive by pointing out the quality of life and the availability of leisure time activities. Increasingly, opportunities foremployment of spouses is a prime consideration, so information should be provided in that regard.

Upgrading Recruitment Efforts What canbe done tostrengthenrecruitment efforts? Writtenpolicies and budgetsshouldindicate commitment toaggressiverecruitmentefforts and to hiring the most qualified employees. Recruiters should be selected carefully and provided training; even individuals who are thought to be born recruiters can benefit from formal training programs. Recruitment should be thought of as a year-round activity so that administrators can capitalize upon every opportunity to identify potential candidates. Affirmative action plans need to be constructed to encourage members of minority groups and individuals with disabilities to of the apply. Avariety of means shouldbedevelopedtoadvertisetheneeds

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school and community, andthe attractiveness of a schooland community should be publicized. Any special benefits from an area should be highlighted. Publicizing intent to hire the best qualified staff will help attract the best and the brightest candidates. Recruiting visits to campuses can be targeted so that valuable resources are not wasted. Job fairs are offered on some university campuses and afford recruiters an opportunity to meet a large number of candidates. Placement officials can provide informationon the number of available candidates and subject areas that are specialties on their respective campuses, encourage candidatesto apply for vacancies, and give other services, such as helping to arrange for interviews, directly to recruiters. Visitations to college and university campuses should be scheduled well in advance. Identifying open dates and a practical schedule for interviews should be cleared with university placement officials. Arrangements for travel, lodging, transportation, parking, dining, testing,videotaping,and other considerations shouldbe made so that a visitation is efficient and effective and neither disruptive nor an imposition upon university placement officials. Much information can be assembled into marketing packets for distribution to candidates. Information on the school, salary and benefits, the community, application procedures, theselectionprocess, opportunities for professional growth, job descriptions, and individuals to contact regarding real estate, businesses, and the like can be valuable resources to recruiters and candidates alike. Alert recruiters willmakenote of questions candidates raise thatarenot answered in promotional materials, findouttheinformation for candidates, and include the information in next year’s packet. Record Keeping

Because of federal and state laws that pertain to personnel matters, complete records shouldbekept of personnel activities. Copies of advertisements and notices for recruitment, position promotions, trainingprograms,andovertime work and specific documentation that pertains to women and minority groups should be kept for at least one year. Allvacancynoticesshould indicate that the district isanequal opportunity employer. Copies of comminiquCs sent to employment agencies and placement offices should bekept on file. Letters of inquiry, applications, resumes, and other application material should be stored. All records that have information regarding hirings, rejections, promotions, demotions, transfers, and other personnel actions must be kept. In many districts, much of the record keeping will be done at the central office; principals then need to know their specific responsibilities so their efforts meshwith district administrators. SELECTION

The services and programs of schools can be improved through the screening and selection processes that identify highly qualified personnel. Every vacancy,

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whether it be for a certified or noncertified staff member, provides an immediate opportunity to hire highly qualified staff.‘j The selection process bears immediate and long-range benefits. High-quality employees add immeasurably toadistrict’s program. Conversely, the selection of individuals who perform poorly may tarnish a program, restrict the development of others in the work unit, create tension in a unit, and necessitate a new search if the employee does not remain.

Elements in Selection The selection process can be made more objective if administrators view the process as composed of separate but interdependent elements. 1. Administrators should determine the role and function of personnel who will assist in the selection process. Will employees from one or more grade levels, subjects, or work units be asked to assist? If so, what will be their role, function, responsibility,degree of input, and relationship to the final employment decision? 2. The kinds of assistance, if any, that might be sought from other agencies and persons should be specified so that valuable resources are not overlooked. 3. Appropriate techniques for the review of application materials should be developed. Activities such as gross paper screening, fine paper screening, telephone referencechecks, and examination ofwork samples could be implemented. For example, an application form can ask applicants to list teaching experience by grade or subject and by length of experience so that experience levels can be compared among candidates. Another form could be developed to rate selection factors from credentials by converting them into numerical ratings. For example,“Above Average” ratings by cooperating teachers, college supervisors, and other supervisors, might be translated into a “4” on a five-point scale. Several factors such as certification status, degree status, professional or student teaching experience, overall grade point average, grade point average in major, and extracurricular experiences might be rated. A total score might be used to sort applicants into “Most Desirable,” “Desirable,” “Acceptable,” and “NotEmployable”categories. Administrators whowouldbe called uponto complete ratings must be trained in the scoring system so that inter-rater reliability is established. 4. Appropriate skills in interviewing and other assessment procedures and techniques should be identified. Individuals who conduct interviews mustreceive in-service training in proper interviewing techniques and in evaluating candidates’ responses. The development anduseof structured interviews can increase the validity and reliability of personal interviews if questions and responses are keyed to job-related activities. 5. Procedures for making a final selection for a position vacancy should be established at the outset. If several employees from a work unit, for example math teachers or members of a secretarial pool, are asked to participate in in-

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terviewing candidates, the employees should be informed how their input will be used in the final decision. 6. A process for evaluating outcomesof the selection process should be used to measure the effectiveness of rating forms, interviews, and other selection methods. For example, measures of inter-rater reliability could be obtained for ratings and compared with on-the-job performance so that the degree of predictive validity might be obtained from several sources.

Reviewing Current Practices What screening and selection materials are used in your district? Obtain copies of the materials and examine them for their strengths: clarity, comprehensiveness, extent to which desirable factors are included, ease ofuse,andthe like. Is a structured interview used? To what extent do factors from the structured interview correlate with performance on the job? Is such information available?Should such information be gathered? If possible, compare the job performance of outstanding employees with their applications and screening materials. Did the materials elicit information that provided clues to subsequent superior performance? If not, what revisions should be made so that predictive data can be made more observable? What kind of procedures could be developed for analyzing letters of enquiry or application, rtsumbs, transcripts, application forms, informal interviews, team or group interviews, and the overall selection process? Gross paper screening usually categorizes messy letters and rtsumCs with typographical errors into the wastebasket. What kinds of fine paper screening might be applied to application materials, such as transcripts? What topics might be pursued in a telephone reference check?

Linking Selection with Other Processes The selection process should be reviewed in its relationship to the processes of human resource planning, recruitment, induction, staff development, compensation, security, and information systems. Are employees hired who match the needs identified by human resource planning? Do recruitment efforts attract highly qualified candidates? How do induction programs match with the needs of employees in new positions? Do the kinds of staff development programs that must be offered reveal strengths or weaknesses inthe selection process? Are compensation levels sufficient so that new hires are not dissatisfied after a short time with their pay and fringe benefits? Are there elements of security in the district so that employees’ morale is not lowered with rumors of layoffs and reductions? How is the performance appraisal system linked with selection factors? What information is stored and easily retrievable?

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Improving Interviews Personnel who conduct interviewsneedspecialtraining so theylearnwhat characteristics are sought-the“listen fors,” how to record data, and how to report results. In some cases, interviewers decide within the first few minutes whether or not to hire a andi id ate.^ First impressions are important, no doubt, but interviewers should be cautioned to temper their decisions whenlittle information is available. Interviews should not be taken lightly because so much is usually dependent upon them. Consider the investment in recruiting, selecting, inducting,training,and compensating aperson over five,ten, or fortyyears. Student teachingperformanceandcommunication skillsare reasonably good predictors of teaching success, while little or no correlation exists between other factors, such as academic credentials and appearance, with teaching success.8 Errors in interviewing can be minimized by using a job analysis to develop a structured interview that focuses upon behaviors required for a position. Although no commercially packagedstructuredinterviewshavebeen judged as valid by researchers, structured interviews can focus attention upon job-related qualities and behaviors.’ The training of interviewers, validating the interview process for the total organization and for individual interviewers, and developing a record-keeping and monitoring system for the interview process will also improve interviewing. Interviewers should be selected for and trained in alertness to cues, ability to make fine distinctions and perceive accurately, make immediate and accurate records, use criteria established by the organization, and suppress biases.I0 A selection program should be balanced with multiple sources of evidence and assessment. Hiring officials who have few sources of evidence and assessment and make no use of behaviorally anchored assessment methods will often rely heavily upon ritualistic activities, such as group interviews. Maintaining Objectivity The introduction of bias into the selection process should be guarded against; rater bias toward information observed early in the selection process, such as a letter of recommendation, may influence a rater’s attitude toward a candidate throughout the selection process. By giving different weights or values to applicant information, factors that are related to performance expectations and jobrelated criteria will receive appropriate recognition.” Adhering to Deadlines Deadlines that are established for selection activities should be adhered to so that candidates are not victimized by unprofessional actions. For example, if a deadline is set for the receipt of applications, applications from candidates who initiate contacts after the deadline shouldnotbereviewed for thepositionin question. Candidates have professional obligations to fulfill to their current em-

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ployers and to hiring officials. Candidates who accept a position have an obligation to ascertain their qualifications for a position, to be eligible for a release from their contracts, andtosupply correct information in their applications. Hiring officials may need to remind or to inform candidates of their responsibilities. Employment Guidelines The federal and state governments have established numerous preemployment guidelines. The spirit and letter of equal opportunity employment laws should be scrupulouslyfollowed;equalopportunityemployment, however, doesnot imply thatunqualified personnel needbehired. Interviewers should receive training in matters related to the kinds of questions that can be asked, such as questions about name, felony record, relevant skills acquired from U.S.military service, and language skills and to the kinds of questions that cannot be asked, such as questionsabout maidenname, arrest record, typeof discharge from military service, andnational origin. Personal interest in a topic byan interviewer isnot sufficient cause toask questions about matters concerningthe birthplace of the applicant’s parents, number and ages of children, credit rating, memberships in clubsor lodges, state of health, religion, andmarital status. Information on acceptable and nonacceptable behaviorscan be found in Article VI1of the Civil Rights Actof 1964, as amended by theEqualEmployment Opportunity Act of 1972; the Equal Pay Act of 1963, as amended by the Education Amendmentsof 1972; Executive Order 11246, as amended by Executive Order 11375; Title IX of the Education Amendments of 1972; Age Discrimination in Employment Act of 1967, as amended in 1978; Section 504 of Title VI of the Rehabilitation Act of 1973; Pregnancy Benefits in Disability and Medical Insurance Plans in P.L. 95-555; Titles VI1and VI11 of the Public Health Service Act; Americans with Disabilities Act; andnumerousother applicable statues, court decisions, and board policies. The Interview Profile The productivity of interviews can be improved by developing an interview profile. The profile might consist of an introduction in whichthe interviewer and interviewee get acquainted (five minutes in length); outlining of the interview procedures(oneminute);gathering predictive informationon academic background, work experience, special training, career goals and attitudes, and job-related behaviors (twenty minutes); answering questions of the interviewee and “selling” the position to the candidate (two minutes); and concluding by describing what the candidate can expect as follow-up activities (two minutes).’* By dividing interviews into discrete steps and allocating time to each step, interviewers can make efficient use of time. Interviewers need skills and training in listening, probing,reflecting, sum-

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marizing, and evaluating responses. Requirementsfor good interviewing consist of the ability to get candidates to talk, to listen critically, to lead the interview to specific topics based on job-related information, and to interpret what is said about character, personality, and position requirements. For example, an interviewer who after putting a candidate at ease asks a question about an item from the candidate’s placement file shows preparation for and interest in the candidate’s app1i~ation.l~ Hiring officials cannot rely upon innate talent for “getting along with people” as sufficient evidence of ability to conductemployment interviews.

Improving the Selection Process School district officials should designandimplement policies for selection that establish guidelines for fair treatment of candidates, require selection to be based upon position analysis, and encourage validation of procedures. Individuals who participate in selection should beinformedabout the bodyoflaw about hiring and expected to treat candidates with fairness and respect. Further, training should be provided for those who do the selection. Such training would be in position analysis, legal guidelines, multiple assessment techniques, interviewing, rating behaviors, preparing objective reports, and similar topics. The reliability of interviews can be increased by combining the judgments of several individuals or of a selection team. The undue influence of any one individual or selection team can be minimized by having written and independent evaluations completed before seeking consensus on employment decisions. The use of more than one interviewer does not guarantee freedom from bias; selection teams can beinfluenced byan attraction to candidates of similar attitudes or other factors. Principals who chair a decision team should probe for elements of bias, assumptions, and other factors to eliminate subjectivity in hiring.

Using Multiple Sourcesof Data A variety of information about candidates provide the best database for selection. Academic, cognitive, and personal characteristics, in combination, are thebest predictors of success. No single technique or data source shouldbe relied upon. Multiple measures, particularly those that measure job-related behaviors, can provide indicators of qualities needed for S U C C ~ S S . ’Initially ~ principles may screen candidates on ability and achievement measures: grade point average, student teaching performance, scores on basic skills and verbal ability tests, and letters of reference. After initial screening for the most academically qualified, hiring officials can assess personal skills of candidates who remain in the pool through structured interviews, simulations, demonstrations, and observations. Candidates maybeaskedto demonstrate their skills by preparinga lesson plan, teaching the lesson to a class, and submitting other kinds of work records.

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Evaluating the Selection Process An annual examination of the hiring process should be conducted to determine how well new hires-administrators, custodians, secretaries, paraprofessionals, teachers-have performed in the work setting. What are the strengths and weakness of the new hires? How well did the hiring process predict those strengths and weakness? The validity of individual predictors can be measured by rating the teaching of a group of teachers on the basis of the same predictors that were used to hire them. Where actual and predicted ratings disagree, the predictors should beremovedfrom the selection process.15 The resources spent in perfecting selection methods is minimal in comparison to the financial and emotional cost of supervising incompetent employees and recruiting, selecting, and inducting replacements.

INDUCTION Even the best of results from human resource planning, recruitment, and selection willnotnegate the need for induction programs for new hires orfor veteran employees assignedto new duties. Candidates who are new to a position needand expect direct assistance fromtheir administrators and supervisors. First-year teachers, in particular, feel so much frustration, isolation, stress, loneliness, and confusion that one-fourth or more quit teaching within four years.16 First-year teachers get little phase-in of responsibilities and they are often given “left over” or difficult assignments and are isolated from their peers; they face a double barrier to assistance because they are hesitant to ask for help lest they appear incompetent. In September, first-year teachers may feel superhuman. A month or so later, they may be stung sporadically by feelings of mortality. A few months later, some may be subjected to regular pangs of inadequacy. Principals and staff members must aid first-year teachers and other employees to benefit from challenges and to learn from their experiences.

Getting Started Right Principals who hire the best from the talent pool can derive further benefits by helping newly hired employees, especially first-year teachers, adjust to their new environments.Theopportunity for numerous contacts withthosenewly hired also offers a base for gathering information about their performance that canbeuseful in formative evaluations. Inmany cases, principals canbegin induction at the time of recruitment through information provided in packets, brochures, and interviews. From the first contact, principals and new hires have formed impressions of each other. Principals who can establish good rapport at the outset have a head start in workingwithnew personnel. Principals, staff members, and new hires should seek to build positive relationships-the kind that will make every person become a contributing member of the school.

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Induction programs are needed for the continuing developmentof employees so they become increasingly effective and do not drain financialandhuman resources. Induction programs should coverat least the first year of employment and should includeorientation programs at the beginning of employment as well as periodic training through the remainder of the time needed for employees to make the transition fromneophyte to experiencedemployee. Principals bear most of the responsibility for conducting induction programs. They must determine the role and function of each induction program, establish procedures for inducting new employees, develop a source book for induction, and conduct appraisals of outcomes of the induction programs. Although certified and noncertified employees may attend the same sessionon some subjects, such as health benefits and the school calendar, certified employees will have need for information on some topics that are not applicable to noncertified employees. Employees cannot be expected to know what to do on their own but must be providedwaysandmeansof learning about district policies, procedures, and programs.Consequently, an induction programforfirst-year teachers willbe distinct from one for an experienced teacherwhohadmovedfrom another school district. District officials commonly provide information about the community, health care and insurance benefits, educational expectationsof the community, how to create an effective classroom or work environment, learning activities for students with special needs, which office to contact for assistance on various subjects, how to advance in a professional career, and similar topics.

Mentoring Mentors, experienced and competent employees, serve as valuable resources for inducting new employees. Mentors can be useful in improving the performance of new hires, increasing their retention, promoting their well-being, satisfying public pressure for competency, and transmitting the culture of the system and community. In return, mentors should be given training, planning time in common with their mentees, and recognition for their service. Planting and nurturing the idea that teaching is a profession that requires constant growth and development will reap benefits for all concerned. Whether mentors or mentees benefit the most from mentoring programs is often debated by those who participate.

Giving Feedback In general, induction programs that provide direct feedbackabout specific behaviors serve new employees best. Printed materials on employment conditions and school policies, rules, and regulations areweak by themselves. Orientation meetings and visits to the central office can provide basic information to large numbers of employees. Brief newsletters and tip sheets for teachers can convey useful information on topics such as classroom management, motivating

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students, conducting parent conferences, and scoring and grading papers; experienced staff members can help produce tip sheets for noncertified staff as well. Seminars on curriculum and instruction must be sequenced logically and scheduled judiciously; for example, seminars set for Saturdays are likely to be thought of as penalties. A skilled facilitator can make sessions that are composed only of new employees a means of emotional support. Mentors-buddy, helping, or peer teachers-provide valuable assistance that is non-threatening. Mentors who are from the same building and grade or subject level have built-in advantages in relationships with mentees. Consultations and observations with mentors, peers, supervisors, and principals should be conducted so thatthey focus upon the needs of first-year teachers or new hires and are not evaluative in nature. Opportunities to observe other teachers, especially after other approaches are used, can be useful. Released time or load reduction for mentors and their menteesgives necessarytimefor interactions and also signals the importance of mentoring. Team teaching is another method of easing first-year teachers into their responsibilities and duties.I7

Handbooks Handbooks can be a rich source ofinformationfornew employees. They typically contain letters of welcome from the president of the school board and others; information aboutthe district and the members of the board of education and administrators; an organizational chart; a map of the district; a school calendar; demographics of the district and school; information for new teachers or employees about such items as the school philosophy, a list of new teachers and mentors, questions new employees frequently ask and responses, acronyms in use, and how to arrange for a substitute; forms for requesting leave and requisitioning supplies; information on the local education association; information on the building and programs; and articles of interest. Regardless of the role of other staff in induction and the completeness of handbooks, principals should recognize the importance of designing, conducting, monitoring, and evaluating induction programs. Support for New Hires Many types of support can be provided for newhires. Those for first-year teachers include assigning teachers to classes for which they are endorsed, reducing their workload, assigning few nonteaching responsibilities, appointing a mentor, providing released time to visit other teachers or to plan for classes, offering in-service programs for new teachers, and conducting special discussions about topicsof interest to new teachers through computer networks.'* Induction programs that use many forms of assistance should be designed and delivered.

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STAFF DEVELOPMENT In a report of the Rand Corporation on federally supportedprograms for educational change, the authors concluded that if schools are to improve, the emphasis must beuponstaff deve10pment.l~ Innovative projects that make a lasting difference in teachers emphasize staff development programs that are concrete, systematic, teacher-specific, and extended. Programs that allow teachers to identify their needs and to try out new ideas through hands-on activities have a good chance of succeeding. Conversely,staff development programsthat are general in nature, abstract, of brief duration, and intended for everyone help fewer individuals. Staff development programs must bepredicated on the beliefs that (1) a school system delivers quality education through quality staff and (2) teaching is a continuous learning process. The development of staff members’ competencies is essential if school districts are to maintain environments conducive to learning. If educators are to be a part of the improvement of education, they must adopt the principles of continuous improvement, TQM,striving to achieve in all activities attempted, and showing evidence that work is important to personal satisfaction. Desirable Features of Programs Staff development models that have focused on surface issues have seldom succeeded. New plots for staff development are emerging from documentation of the need for a revision of outdated approachesto ones that foster educational development through systematicprocesses promoting positive and sustained changes.*O The ready availability of local resource personnel is another desirable feature as staff members want assistance “now”; assistance from outside consultants is seldom available when needed or desired. Piecemeal, uncoordinated, underfunded, and poorly scheduled staff development programs are more likely to create dissatisfaction among participants than they are to change behaviors in positive ways. Because many teachers view themselves as professionals, extra remuneration for in-service training is an insignificant or negative factor. Programs that help individuals perform better willbesufficientreward for selfmotivated staff members. Principals must adopt a position that all certified and noncertified staff members are expected to participate in professional growth activities to maintain and improve their performance and proficiency. Comprehensive programs provide opportunities for staff to achieve district, school, work unit, and personal goals. In some cases, staff development activities for meeting district goals may be mandated whereas other offerings may be optional. Staff development should continue from the first day on the job-or from the first contact-until retirement or other termination of employment?’ Staff development programs should include teachersand all school personnel who providedirect and indirect support for students. Hirsh and Ponder stressed that school improvement resides ulti-

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mately in people improvement.” Changes in national standards, organizational patterns, compensation levels, daily schedules, assessment methods, report cards, the length of the school year, and similar proposals will not carry the impact that improving the performance of personnelwill. The peoplewhowork in schools must change and improve if national, state, and local goals are to be met. Attainment of goals such as those in America 2000 requires the development of a long-range, comprehensiveplan that focuses upon staff development. Such plans can enable educators, particularly principals, to create their visions, identify their goals, and outline processes for achieving them.23 Staff developers are like gardeners; they plant ideas that grow in people. If staff developers are like gardeners, let’samplify the metaphor.What are the best seeds (ideas) to be planted? How should the seeds be planted? Where? When? What inputs are necessary to produce the highest yield? Who is responsible for sowing the seeds? Do different fields (of study) dictate different methods of tilling and harvesting? What can be done to make the harvest bountiful? Good responses to the above questions will bear fruit. Unfortunately, staff development programs have poor reputations with many teachers. The major complaints about staff development programs are that they are poorly planned, irrelevant to teachers’ work,unconnectedtoeach other, badly aligned with other scheduled commitments, and designed so that teachers must take a passive role.24Too often staff development consists of large-group presentations by outside experts, presentations that are scattered piecemeal throughout a school year on topics that have little relevance to each other. Too few staff development programs have had the sustained, multiyear effort that is required for instructional improvement, and one year’s “hot topics” are replaced by others i n the following year. Additionally, staff development programs are seldom suitably funded in many school districts; many budgets have no category of funds allotted for staff development. No wonder some staff development programs have poor reputations. What, then, constitutes a good staff development program? Good staff development activities are conducted frequently, are spaced to allow for practice between sessions, focus on a few important goals, and include participation by staff members in the gamut of activities. One result of carefully planned and conducted programs is that outcomes are narrowly focused and a few subjects are explored in depth. A solid staff development program must be predicated on an on-going approach instead of consisting of “one-shot’’ presentations by outsiders. Regardless of the skill of a presenter, members of an audience learn best by active participation. Listening toan expert isanefficientmeans of acquiringinformation readily; however, passive listening does nothavethe transfer of learning that other methods offer. Adult learners learn by doing. Teachers and other employees also benefit from regular meetings where they can talk about andworkonproblemsthey face; onewayto organizesuch meetings is by “job alike” or “concern alike.” In the former, third-grade teachers or science teachers, for example, would meet together and discuss the prob-

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lems they have, and in the latter, teachers concerned about classroom management, grading essays, or parent-teacher conferences would shareconcerns and ideas. Further, if staff development programs are to be used to introducenew ideas, then attitudes, motivation, andother complex factors must be considered in the design and delivery of training programs.

The Role of Principals Principals have an essentialrole in theimplementation of innovationsby providing vision,direction,encouragement, support,and resourcesfordevelopmental activities. Teacher participation in decision making, rather than topdown decision making, is imperative for change to occur at the building l e ~ e 1 . 2 ~ Furthermore, trainingmustbe relevant tothe teachers’ work. With shared decision making and using staff members as an integral part of a staff development program, principals can build instructional relevance into the program. Through a collaborative effort on the part of principals and their staff members, training can be aligned with other scheduled commitments, commonly perceived needs, and mutually agreed-upon concepts.

Collegiality Collegiality is an important ingredient in developing a successful staff development program, andmerits its are thoroughly Inventive means should be created so that employees can engage in job-alike talks. Afew minutes at staff meetings can be set aside for teachers to share ideas on student motivation, discipline, sources of enrichment material,and other topics. Announcing a topic or topics in advance of the meeting could encourage teachers to bring their contributions for sharing sessions. Teachers have consistently reported that the attraction and power of staff development lies in the opportunity to be able to discuss ideas with other teachers: “Collegiality was seductive and satisfying to teachers; the more we could make it happen, the more pleased we were with our staff development activities.”*’

Active Learning An exemplary model of staff development for adults is in many ways parallel tothe direct instructionmodel for students. In too manydevelopmentalprograms, teachers and other staff members are expected to assume a passive roleto sit andlistento an expert tell themwhatand why somethingneeds tobe Asaconsequence, personnel fail to done but whoseldomdemonstrateshow. capturethe benefit of a presentation for theirown professional development. Lambert believed that most staff development programs do not challenge teachers to enquire, criticize, participate, or createF8As with children, she submitted that adults can receive stimulation for growth by active participation in activities.

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Furthermore, Lambert contended that teachers should be encouraged to engage in reflective practice, collegiality, and shared leadership in planning, organizing, and conducting developmental programs.Through developmental activities that focus upon reflection, collegiality, and shared leadership, teachers, in particular, will come to understand themselves and their work differently. How participants in developmental programs are treated can create new understandings about their performance that will likely cause a shift in beliefs and norms. A shift in beliefs about performance and norms of work standards in turn creates new opportunities for self-appraisal, newvisionsofwhatcanbe done, new incentives to reach one’s potential, and a freshened outlook on selfimprovement. Lambert pointed out that professional development is a cultural, not a delivery, concept.*’

Perspectives on Staff Development In the past, staff development often consisted of attending workshops. A century ago such practice was necessary, as many teachers had little more formal educational than their students. Many teachers of earlier eras had received normal school training, which consisted of a few weeks of pedagogy after completing high school or the eighth grade. County superintendents of schools at one time performed a valuable service because they had primary responsibility for training teachers. The sophistication of our times requires much more than a workshop hereand there on isolated topics that are sprinkled throughout a school year.

Designing Staff Development Programs The setting in which in-service training, seminars, workshops, and other forms of staff development are heldcanbe a critical element in the success of the program. Too many people crammed into an unventilated room or a handful in a large, drafty room can distract from the quality of the program itself. Programs can be enhanced if they are offered at convenient times for participants, presented by individuals who are knowledgeable about the material and skilled in presentation methods, relevant to the needs of participants, and held in atmospheres that support learning and transfer of learning. Skilled presenters will arrange their programs so that participants havean opportunity to reach a comfort level; they will follow with activities that allow participants to get to know each other and encourage participation in a contentrelated topic. Activities that will place participants in stressful situations should be avoided. Presenters should be informed about the school and staff so that they can design appropriate activities. The initial setting should stimulate a climate that promotes good rapport and productivity, the personal interests of individuals and the value of learning the material at hand, and the mutual benefits of enjoyment and hard work.

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What are the hallmarks oftraining sessions that are of particular benefit? Presenters define their roles and function, state their objectives, indicate how time willbe spent, let participants knowhow questions are to be raised and define the role of participants. Presenters should think of themselves as teachers and should follow instructional principles for the method of the program. An individual who is conducting a seminar for teachers who are interested in early retirement will plan and conduct sessions differently from one who is informing members of a secretarial pool onan updated computer program for tracking absences and tardies. Presenters gain the respect of participants by showing them respect. In many cases, one or more participants will be highly knowledgeable about a topic under consideration and be highly motivated to learn, whereas other participants may beat the “awareness” level. Presenters mustbe alert to the learning styles, interest and knowledge levels, and needs of all participants. Alert presenters can easily find ways to have participants share their expertise with other participants. Principals who conduct in-service programs should examine their preparation for and behaviors during sessions so that they model appropriate behaviors for their staff members. Many routine activities offer opportunity to provide staff development. As an illustration, any item on a faculty agenda that is introduced by a principal should be given due considerationfor its importance to the overall climate of staff development programs.

Extending Staff Development Programs The learning process does not end when a workshop, seminar, or colloquium is concluded. Learning is an ongoing process as a few minutes of observation in classrooms will confirm. For teachers and students alike, personal development occurson a daily basis. Definitions of staff development must consequently be broadened. Teachers must be provided with a variety of ways of increasing their knowledge and professional competence. The development of staff competence is essential if a district is to establish, maintain, and nurture environments that maximize learning opportunities. Staff development can result in changes in knowledge, attitude, and skills frommanykindsof activities, including the following: Self-analysis of teaching and instruction Peer analysis of teaching and instruction Conducting research Collegial support teams Professional reading Faculty, grade-level, and department meetings Graduate school studies

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Conferences, workshops, institutes, and colloquia Curriculum development Observations of peer and master teachers Student teacher supervision Mentoring Coaching Professional and personal writing Travel Staff members can increase their competence and skills through many ways and means: formally and informally, cooperatively and independently, on-site and off-site, and in self- or district-directed activities. The variety of approaches offers opportunities for district personnel to grow both personally and professionally on topics that relate to an individual’s interest and needs or to a program of a department, school, or district. Individuals’ unique needs can best be met through programs at the building level, and the avenues to deliver such development mustbe specific for each individual. Tailoring self-development programs for staff members results in a more responsive, specificallyidentified development plan for staff. Ironically, although educators have longbeen committed in theory to providing individualization of instruction for students, professional growth has been mainly a passive operation for a mass of employees. As better and more ways of providing independent study for students are devised, so should staff begiven opportunity to engage in activities that foster individual growth and development. Should not staff development for adults be devised along principles of adult learning? If not, school systemsthat make substantial investments of money and staff time in developmental activities willhaveminimal results to show for expenditures of resources and time.

Individual Staff Development Think of three people you know well. How are they alike? Are there differences among them?All may share a love of art, but one may prefer the paintings of Impressionists, another classical sculptures in marble,and the thirdstark black-and-white photos of scenes of working-class Americans who have seen hard times. If you are asked to conduct a seminar on art appreciation, where would you begin? Immediately you might recognize that your friends would not enjoy a lockstep learning model because of their diverse interests. Instead you might opt for having your friends share in selecting goals, teaching and learning methods and styles, and activities for the seminar. Because the amount of knowledge on art

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appreciation is so vast, you and your friends would need to devise procedures for individuals to pair or team in discovering what is of interest to them. Some other factors you would need to consider are these: How much time willbe available? How much money can be spent? One wayto conserve resources is, of course, to allow program participants to determine how time and resources are to be used. “Stretching dollars” is evident when interested individuals are given charge of expending them. One goalwouldbetomove as many decisions as possible tothe participants so thattheirneedswouldbe identified and met. In schools, individualizing staff developmentprogramscanfollow similar ideals. When goals are set within a unit, as a school, and cooperative decision making is cultured, individuals within a unit can learn, share whatthey have learned, increased mutual enjoyment of learning, and multiply the benefits of each individual’s growth. Interests can also be steered toward workshops, seminars, and training programs that coincide with school goals through paying individual’s registration fees. Staff members can be given stipends for planning and conductingtraining on topics that are related to school goals. Released time for study and research and sabbaticals are other means for boosting interest in personal development that is related to needs of the organization. Staff members, individually or in groups, canbe encouraged to prepare developmentalprograms that include goals and objectives, rationale, activities, needed resources, timeline, products to be developed, use of mentors or coaches, plans for sharing outcomes with peers, and evaluation procedures. Such programs could be considered as part of formative and summative appraisals also so thatvisible links are forged among needs assessment, self-appraisal, supervision, staff development, and appraisal. How principals view learning will be evident in the kinds of individualized programs that are allowed to develop. If staff members have a shared commitment to school goals, the yield from their individualized growth efforts will pay high dividends. In cooperation with staff members, administrators must take the lead in planning, developing,implementing, and evaluating staff developmentprograms. The inclusion of staff members is necessary so that all staff members can have input and accept programs and features as their own. First, needs must be identified. In many cases a balance must be sought between individuals’ needs and those of the organization. Staff members may need convincing to adopt schoolor district-level needs as personal professional priorities. Once needs are identified, staff members should share in the implementation and evaluation of programs. The stages of planning, developing, implementing, and evaluating staff development programsare in themselves good opportunities for staff development. Principals can provide leadership training and opportunities to exercise leadership skills by encouraging staff members to head up staff development programs.

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SUPERVISION AND EVALUATION In theory, formal evaluation of teachers by principals and other supervisors is apowerfulmeans of promoting professionalFormal evaluations that are generally based upon one or a few classroom observations, however, have a limited influence upon development. Too oftenclassroom observations and evaluations are nothing more than meaningless rituals, or they become recurring occasions to heighten anxietyand distance betweenteachersand principals. Building administrators, who have the greatestresponsibilitytohelpteachers grow, are the same persons requiredto judge, evaluate, and terminate ineffective teachers. Barth noted that such dichotomous duties are akin to having a priest listen to confessions of transgressions but also serve as a policeofficerand judge, charged with apprehending and punishing those who transgress. Filling those roles is difficult and perhaps impossible for principals who cannot conceptualize the relationship between the two. Nevertheless, principals, who hold the power of terminatingemployment of professionals, are also expected to promote professional growth in those same individual^.^'

Conceptual Relationships

Not all persons in the educational communityperceive a negativerelationship between supervision and evaluation. There is strong support for using assessment as a toolto improve instructional practice. Turnbull ofthe Educational Testing Service observed, “The overriding purpose of gathering data is to provide a basis for improving instruction, rather than keeping score or allocating blame.”32 Assessment should not be an end in itself but should be an integral part ofan institutional strategy to improve teaching and learning. Supervision, the art of accomplishing work through the efforts and abilities of others, should be a prime means for staff development by principals. Supervision canbe enhanced throughimproved supervisory skills. That sounds like circuitous reasoning but is intended to imply that supervisors must also improve their skills. Attention can be directed to some common shortcomings of supervisors: poor skill in planning and organizing work, unwillingness to spend the time and energy required to do the job well, inability to adjust to changing conditions, poor interpersonal relations, and misunderstanding of supervision. Principals should show growth in their supervisory skills to no less extent than they expect their staff members to grow in their assignments. Principals can increase their value as supervisors through many actions, such as being consistent and honest with staff, being available to provide assistance, stating expectations clearly, showing appreciation for positive results, seeking opinions from staff, and basing performance on first-hand information. Supervisors must inform employees about their level of performance, point out what actions can be taken to improve performance, and provide direct assistance for

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the improvement of performance. Supervisors who resort to a sink-or-swim notion have little understanding of their role and even less of their responsibility. Personal Problems The personal problems of staff members do not fit neatly into the job description of principals. Nevertheless, principals will often have to work for a resolution of the personal problems of staff members because there is no one else. When personal problems affect employees’ jobs and performance, principals must takeaction. Personal problems can affect productivity, attendance, morale, and the learning climate; principals should address personal problems as soon as they are recognized. A key consideration is: When should principals enquire about personal problems? Principals should approach an individual only when there is observable evidence, not just hearsay, that personal problems are affecting astaff member’s performance. Staff members’ lives are private, and principals must not invade the private lives of employees. What should principals try to do about personal problems of staff members? Principals should spend their energies on providing assistance, support, and solutions. Principals should not play the role of confessor, psychiatrist, psychologist, or mental healer; they should limit their role to encouraging staff members to seek help from experts. Staff members should be advised to consult with personnel in the Employee Assistance Program (EAP) or with public or private consultants who have special training to help with legal problems, financial straits, alcohol or drug abuse, personality disorders, marital problems, or other matters. If, for example, a teacher has shown a decline in performance by failing to turn in grades on time, not preparing for substitutes who are frequently called upon to substitute for the teacher, sending an excessive number of students to the office because of misbehavior, canceling a scheduled observation and performing poorly in a rescheduled one, skipping several committee meetings, and having students and their parents complain about tension in the classroom, a principal would be justified in approaching the teacher. The principal should objectively indicate how the teacher’s performance has dropped; he or she should also indicate that the decline is a concern, the teacher’s privacy will be respected, and the teacher will receive help in finding sources of assistance. If a directory of resources is available, the principal could hand a copy to the teacher, indicate that personnel from one or more agencies on the list might be of help, and inform the teacher that a decision to seek help is up to the teacher. The principal can explain that improvements are expected but can reassure the teacher of support in efforts to improve performance and can note that supervisory assistance is available in job-related duties. District guidelines will offer means of assistance to employees with personal problems, and these should be consulted. The duty and responsibility of principals to act in response to dimin-

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ished performance is clear and cannot be ignored regardless of how dreaded a confrontation with the teacher might be.

Staff Absenteeism What is the rate of absenteeism in your school? What is the rate of teacher absenteeism? What is the dollar cost of teacher absenteeism? Is the total cost, including the hiring of substitutes, of staff time for scheduling substitutes, of in-service training for substitutes, of monitoring substitutes’ performance, and, above all, of the interruption in learning, calculable? Whereas direct costs for substitutes can be calculated, those for some results of teacher absenteeism can only be estimated. Who can set an estimate on the loss in learning by students? What figure can be attached to having three different substitutes in one classroom on three different days of a week? Teacher absenteeism can be reduced if candidates with poor attendance records are noted during selection and counseled about the necessity of good attendance. Effort to publicize expectations for good attendance can be emphasized in recruitment materials and during the selection process. Factors related to absenteeism and working conditions can be studied, attendance and absenteeism rates can be reported and discussed with staff members collectively and individually, and good attendance can be rewarded. General statements at staff meetings or in bulletins mustbebackedup by conferences with individuals whose attendanceis marred by frequent absences. Staff members can be required to report their absences and to justify them directly to their principals. Attendance can be made a part of the appraisal process. Policies adopted by a school board that are executed by school administrators can diminish absenteeism on the part of school employees. Substitute Teachers Substitute teachers play an important role in the delivery of curricula. Teachers who are absent 5 percent of the time have substitutes in their classrooms for nine days-nearly two weeks-during a school year. That amount of time can yield valuable instruction or degenerate into babysitting or behavioral monitoring. Muchof the benefits from substitutes is dependent uponthe quality of supervision that is given them. Substitute teachers can benefit from supervision as much as can regular employees. If substitutes are looked upon and treated as equal partners in the instructional process, they can Fxome valuable resources. Candidates for substitute teaching should be recruited, selected, inducted, and supervised with the same degreeof care as full-time employees. Candidateswho have little or no commitment to teaching should not be selected, for they will likely notwant to do more than babysit. The substitute pool should include teachers with many specialties so that substitutes for all subject areas are in the pool.

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Orientation programs for substitute teachers should be held at the beginning of the year. Teachers on the substitute roll should be given a specially designed set of materials that includes staffmembers’namesand assignments, daily schedules, a floor plan, a street map of the community, a school handbook, and other pertinent materials. Explanations should be given regarding expectations of substitutes, how substitutes are selected, school goals, discipline and attendance, grading and marking practices, laws related to liability, procedures for fire and safety drills, school activities, computer usage, and special features of the school year. Schedule a sufficient amount of time for the preschool orientation of substitutes so that the sessions are thorough in nature. In many cases, several sessions will need to be conducted. Substitute teachers who are added to the list during a school year shouldnot be overlooked, and orientation sessions should be added for them. Substitutes should be greeted by the principal, department chairperson, team leader, or another member of the staff and madeto feel a part of the instructional team. Because much of substitutes’ successes lie in the hands of regular teachers, they should be informed about procedures to prepare for substitutes. Regular teachers will need to supply lesson plans, seating charts, procedures for fire and safety drills, and notes of particular interest regardless upcoming events of import to students. Principals should visit with substitutes during the day and observe their teaching, ask them about the day, answer questions, and provide feedback to them. Substitutes should be given praise and encouragement for their efforts and, if necessary,suggestionsabout howto improve their performance. Inthefinal analysis, substitute teachers will mirror the norms, attitudes, and performance level of regular teachers. Thus, principals should make persistent efforts to obtain high performance from substitutes because of their impact upon students’ learning and enjoyment of school.

Assessment, Evaluation, and Appraisal Assessment, evaluation, and appraisal maybethought of in relationship to real estate or to precious jewels. Assessment is the act of measuring, counting, and gathering basic information, as in determining the number of rooms in a house or carats in a diamond. Evaluationis the act of placing a value by judging the worth of the location of a lot or the quality of a jewel on the basis of its color and clarity. Appraisal is the sum of the assessment and evaluation. For example, a multistory house on a large lotnextto a junkyard in a destitute section of a city will likely sell for much less than a smaller house in a more desirable section of the city. Assessment (measuring) oftwo properties may show much more square footage in one than in the other, whereas evaluation (placing value) shows the location of the second to be qualitatively better. Com-

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pare three diamonds. One is larger thanthe other two combined. Is it worth twice as much? Before one can make an appraisal, one would want to know more about each diamond, such as the quality of each stone, because knowing the size alone is not sufficient to determine its worth. Think of principals’ responsibility to assess, evaluate, and appraise teaching. Some aspects of teaching can be assessed or counted: How many times did the teacher call upon students? According to Bloom’s taxonomy, how many questions were asked of students above the lowest level? How many times did the teacher utter linguistic nonfluencies? How many times did the teacher have to call students to attention? As in many human endeavors, the more simplistic the activity, the easier the measurement. Still, baseline measurements can provide data on one aspect of performance, although the assessment of some actions may seem trivial individually. Let’s proceed to evaluation-the act of determining the value of something. How well did the teacher introduce the lesson? How well didthe teacher respond to questions from students? How well did the teacher link today’s lesson with previous lessons? How good is the rapport of the teacher with students? How clearly did the teacher make the assignment? After recording information concerning these and many more questions, principals should be able to make an appraisal of instruction. Some aspects of teaching may draw high ratings while others might receive low ones. Appraisal is the combining of assessment and evaluation. Not every person who sells real estate or jewelry is qualified to make appraisals. Principals, however, are expected to be qualified to appraise the performance of certified staff, whether they are teachers of primary or of upper elementary grades; foreign languages, physics, choral music, or computer science; of the gifted or of the disabled; in self-contained rooms or in teams; neophytes or veterans; or competent or incompetent. Principals may also be responsible for appraising the performance of noncertified staff, such as secretaries, food service workers, and custodians. Because the relationship between observation and evaluation is often so direct, principals must be skilled in conceptualizing the art of teaching and the skills of instruction and interpersonal skills. If an evaluation is based upon classroom observations, asif often the case, principals must be credible in knowledge about teaching methods and sensitive in discussing the performance of teachers. One of the more important variables is the professional competence of teachers. Competence is based on what teachers do. When teachers’ plans are based on valid content and solid pedagogical theory, implemented with artistry and mixed with fundamental principles of human learning, students will have optimal opportunity to learn. How does one go about measuring or trying to assess good instruction? How does instructional expertise, supervision, assessment, and evaluation triangulate with staff development? Many appraisal models contain the fdlowing purposes:

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1. Improve instruction 2. Assess instructional performance 3. Identify personnel qualifying for continuing employment, promotion, demotion, trans-

fer, reassignment, or dismissal 4. Ensure the legal rights of teachers

and children

The first function, to improve instruction, is an outcome of the belief that increasing learning opportunities is more feasible when teachers possess a diverseand powerful instructional repertoire. Appraisal of instruction mustbe holistic in nature. One model of instruction should not be adopted for appraisal purposes. For example, numerous school district officials have literally institutionalized an instructional model. Some administrators have gone as far as converting teaching characteristics to evaluation checklists. In the minds of some administrators, the identification of uniform behaviors will help the movement toward accountability and decrease the distance between classroom observations and evaluation. Teachers will know what instructional behaviors are expected of them and they will be able to perform accordingly. In Models of Teaching, Joyce and Weil stated their concerns about such an approach. Joyce and Weil have been committed to a pluralistic approach to instructional methods.33 Astepby-step approach is only one tool of many that can be used from the “instructional tool box.” Good teachers use a varietyof instructional approaches and exhibit flexibility and creativity in meeting students’ needs. The Nature of Teaching Are there teaching skills that are essential? What can teachers do to solve the diversity of learning styles and abilities in classrooms? Teachers needtounderstand cognitive and psychosocial development and their relationships to the teaching and learning processes. Making these instructional skills explicit is imperative. Both teachers and administrators mustbe in agreement about instructional skills. Providing opportunities to acquire them is the starting point of the appraisal process. The second function of assessing instructional performance is based on the knowledge that all professionals continually need information about their performance. If fundamental skills of teaching effectiveness are made explicit and information about their use is provided, teachers should grow in their skills and expertise. Continued professional development should be shaped by continuous assessment, evaluation, and feedback to staff by their building principals. The duty of principals to conduct staff appraisals is clear. Cross pointed out that practically all the proposals and practices in assessment today involve summative evaluation, which emphasizes the collection of bottom-line data to “sum up” what happened.34 Formative evaluation, in contrast, collects data with the intention of improving the educational process while it is in the formative stage.

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If the purpose of assessment is to improve education, how can the results of assessment be used to do that? Building principals must recognize the important role of formative evaluation along with its close relationship to the staff development program. The third function of identifying staff who qualify for continued employment or termination lies in summative evaluation. Continued employment or dismissal is an outcome of a teacher’s capacity and willingness to develop a proficiency with the skills or factors identified by the district that are fundamental to good teaching. Both teachers and administrators must be aware of elements in a summative evaluation. The fourth function is to protect the legal rights of students and teachers. Staff membersshould have asense ofsecurity in theirpositions as long as they provide productive and safe learning experiences and fulfill their duties faithfully. Continuing employment is based on the “weight of the evidence” that reveals that children are provided productive learning experiences.

The Search for Excellence Significant development and improvement in educational practice take considerable time and are the result of systematic, long-range staff de~elopment.~’ Educators constantly look for instant success-immediate improvements in professional performance and student achievement. Staff development is effective, however, when short-term workshops, classroom observations, and other staff development activities are viewed as a part of a collective webto achieve a significant change in current practices. Instant changes in professional behavior are unlikely to be significant; seldom are they lasting. Loucks and Zigarmi emphasized that change in schools is a process, not an event. They believed that the careful design and conduct of staff development activities is essential if any improvement is to take place in Such activities must reflect what is known about the change process. In conjunction with the views of Lambert, Loucks andZigarmibelievedthatteachersmust become proactive participants who assume responsibility for improving the profession of teaching. They envisioned thattoupgradestaff development programs, staff developers and principals must become “system facilitators,” with additional skills and functions. Staff developers should assist professionals to enquire into and reflect upon practice, elicit and share craft knowledge, identify and create options for learning, lead and work collaboratively, learn about new developments in the profession, and design school and district systems that open opportunities and encourage participation. Staff Empowerment

Improving the quality of education in a school takes the cooperation of all staff members. Regardless of the abilities of a few, the joint efforts of all staff

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members are required to bring about positive change. Building principals who attempt to operate in a top-down fashion maybelievethattheyget control, consistency, and uniformity, but theypay for their oppressiveness. Their perceived control is often a figment of their wishful thinking, and staff members are likely to have poor moralebecause of the heavyhandedness. Likewise,when administrators fail to provide leadership and discharge their responsibilities, they produce a climatethat is rife with uncertainty, ambiguity, and a lackof direction. Effectiveness can deteriorate from too much and too little control and from too little input from staff members as well as from an overreliance upon staff members to direct operations. Effective administrators make sure that someone is attending to all important areas of school life-themselves or others.37 They are convinced that having many others participate in decision making, while time consuming and tedious on occasion, is in everyone’s best interest. Principals who believe that human resources are the most important ones, make the best use of them. They desire and obtain input from staff members on issues that are of direct import on their jobs through many forms of collegial relationships, including committees and conversations with individuals.

Capitalizing upon Committees Under certain conditions, committees can encourage collegiality and address important issues and problems of a school. Committees functionbest under certain conditions. First, there must be a need or an unsolved problem to generate a committee’s existence, As Barth noted, a committee on school rules is A committee unnecessary when school rules exist and are being wouldbewarranted if, for example, several children wereinjured in bicycle accidents on the playground. Second, committee members should be entrusted with authority for analyzing a problemand determining its solution. The authoritylevelof acommitteeshould be spelled out carefully beforethefirst meeting.Beforemembersagree to serve, theyshouldbeinformed about the authority level of the committee. The third criterion for formulation of a committee is that it should have few members. A small number of members, two or three at most, is sufficient to address most issues. Effectiveness of a committee lies in the selection of persons who know and care about the problems and are willing to translate their concerns into work, If there is little concern aboutan issue, onemust question the needfor a committee’s existence. The fourth criterion lies in the work demands of teachers. Teachers should serve on no more thantwo or three committees so that their workloadiskept at a reasonable level. Limiting the number of memberships on committees is easy if committees are dissolved whentheworkis done andreconstitutedonly if a problem reemerges. have real Effectiveness of committees is enhanced if the members feel they authority to improve conditions. If each member has an opportunity to influence

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deliberations and if the members feel the ultimate decision rests with them and not with outside authorities, a committeewill be effective. When the goals, task, and authority are clearly defined, teachers will work hard to make gooddecisions and assume accountability for their decisions. Issues that are addressed by staff members most concerned with them will be carefully considered.

The Need for Personal Commitment Professional growth requires personalandgroupcommitmenttonewperformance norms. Changes in professional practice start with a desire to behave differently. Adults, to a great extent, make their own decisions about what they willandwillnot learn; they are the gate keepers forwhatwill be learned. Educators are muchmorelikelytobeopento new learningwhentheyhave cooperatively developed a commitment to make changes in their behaviors.

Implications of Staff Development A major challenge for those who plan and conduct staff development programs is having what is learned in a program find its way into the day-to-day work activities of participants. Consequently, in planning an effective staff development model, one must consider three principles that are essential for success. First, administrators must recognize that change is a gradual and difficult process for many staff members. Time and effort are needed if staff members are to be proficient at learning something new.Any change brings a certain amount of stress and anxiety that can be threatening for some. In the initiating stage, participants shouldengage in direct practice so they can try out new behaviors, techniques, and ideas. This direct practice and helpful feedback are critical elements that need to be present for the need for change to take root. Second, teachers must receive regular feedback on student progress in their classrooms. If the use of new practices is to be continued and changes are to be permanently installed, teachers must receive regular feedback on the effects of these changes on student learning. Strategies that are new and unfamiliar will be accepted and retained when teachers perceive them as having a positive effect on their students. Third, teachers must be provided continued supportand follow-up after initial training. Can teacher behaviors be changed with a single in-service program? Hardly, unlessthe training is devoted to a simple concept. Few teachers can move from astaff development program directly into their classrooms and begin implementing a new program or innovation with success. Consequently, behaviors must be monitored, encouraged, and emphasized to promote their continuation. Teachers and administrators share responsibility for maintaining the quality of practices and programs thathavebeenlearnedthrough in-service training and installed through coaching on the job. Inmost cases, timeand experimentation are the primary elements necessary for teachers to fit the new

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ideas into their own classr0oms.3~ Supportduring a period of trial and experimentation is critically important to classroom teachers. Guidance and direction are paramount during this time of implementation. Onlywhen teachers start implementing new approaches dothey have specific concerns and doubts?O Support is also necessary so that teachers can tolerate the anxiety of occasional failures and persist in their implementation efforts?' Support for teachers can be offered in a variety of ways. Joyce and Showers suggested that support for teachers can take the form of Coaching is personal, hands-on classroom assistance. Joyce and Showers believed that providing teachers with technical feedback and guiding them in adapting new practices to the needs of their students will help themto analyze effects on students. Assistance can be provided by administrators, curriculum supervisors, college professors, or fellow teachers. On the basis of extensive interviews and observation, Littleconcluded that teachers are most likely to continue to improve their teaching when they talk frequently, concretely, and precisely about classroom pra~tice.4~ Little found four elements that needed to be present for useful talk: 1. Talk must address a specific practice or issue and not focus upon global matters, as

overall competence in teaching. 2. Talk should include most of the staff, not just a few individuals, groups, or teams. 3. Talk should be the basis for all school-based staff development activities that bear

upon appraisal, promotions, opportunities for released time, and so on. 4. Talk must be viewed by teachers as reciprocally beneficial, including exchanges with

supervisors.

Reciprocity means, for example, that principals work as hard at observing classes as teachers work at teaching them, and both cooperate in their efforts to disentangle what worked from what did not. Principals can play a key role in establishing and sustaining collegial relations, mutual observations, and conversations about teaching." Implicit administrative supportfor mutual observations and cooperative planning is not enough. Teachers have many stated obligations that compete for their time and energy, and principals must explicitly endorse collegialwork and build time for it into the master schedule.

School-based Staff Development A new set of assumptions has become manifest that support school-based staff development. These assumptions have arisen from students of professional attitudes and perceptions of staff development, the change process, organizational development (OD), adult learning,effective training practices in education

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and business, leadership behavior, and effective scho01s.4~These assumptions are as follows: The school, not the district, is the primary unit of change.& Significant change in educational practice takes considerable time and is the result of long-range staff development programs conducted for three to five yea~s.4~ A positive, healthy school climate that includes trust, open communication, and peer support for changes in practice is essential for successful staff development?* Those who are changing their behaviors must make personal and group commitments to the new practices or programsso that they will want to participate in and learn from in-service a~tivities.~’ The principal is the key to facilitating improvement in the school.’0 All school personnel should be involved in staff development throughout their professional lives.s1 Staffdevelopmentshouldfocusonhelpingschoolpersonnelimprove job performance.52 A s adultlearners,educatorsaremotivated to learnwhenindividualdifferencesare recognized and when educators have some control over what and how they learn.s3 Learning by doing is an important component of an adult learning program.54 Leadership in designing and implementing staff development should be shared by administrators and Staff development designed to improve practice should be paidby the school Maidment asked, “Why do we seem to be more successful in educating students than ourselves?” and answered the question in this manner: Perhaps we should apply a reverse Golden Rule-Do unto ourselves what we do to others. Although there are some differences between youth and adult learning patterns, the basic tenets governing how we learn are similar. For adults, however, we often overlook the very principles of learning deemed appropriate for students. Such familiar terms as recall, recognition, spaced practice, negative interference, variety, satisfiers, repetition, and knowledge of results apply to learners of all ages. You might suggest that your faculty members identify and codify a working set of “This I Believe” statements about learning, then collectively promise to honor them in all future staff development efforts. Here’s a starter statement: “Learning is usually enhanced through active practice, seldom by passive reception.”s7

Evaluating the Results of Staff Development Building principals have the responsibility to help establish acceptable methods of evaluating major programs of staff development within their buildings. Without such methods, there are no valid ways of evaluating changes within the

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school nor of measuring growth on the part of the faculty or the effectiveness of different aspects of a staff development program. For the 1990s, accountability demands require that influence on student outcomes be a main focus in evaluating staff development programs.58 Guskey and Sparks submitted that a varietyoffactors-some outside the control of staff developers and some within their control-need to be considered when assessing a program’s results. They believed the relationship between staff development, student outcomes, and the external factors that influence the relationship must be triangulated to determine if change is due to program implications. A multifaceted effort addressing all aspects ofthebuildingsystem is necessary to determine if change is real and how best to facilitate growth. A diverse assessment effort addressing all aspects of the system will result in a more focused improvement effort and more success in student achievement. Studies of staff development have identified factors that contribute to change in teachers’ behaviors and instructional practices.59 Few of these studies demonstrate that changes do, in fact, leadto improvement in student scores. A variety of processes and conditions are necessary for lasting, significant improvement. For example, a clear vision and goals, a multiyear process, strong instructional leadership, appropriate technical assistance, early success, sustained interaction among participants, and involvement of everyone in the model are some of the building blocks for a successful program to be nurtured. Together, these elements are capable of producing significant gains in learning outcomes in a way that no one single element alone can accomplish. Likewise, many teachers incorporate multiteaching strategies knowing no one single approach works the best for all students.60Because of the unique diversity of schools’ climates, the same approach is likelytobetrueof improvement efforts. A multifaceted approach to program evaluation suggests that different types of information shouldbe gathered from a variety of sources.6’Assessment data of a program’simpact on participants, the school, and students should come from many sources. Student learning is unlikely to improve without a change in participants’ knowledge, skills, practices, and eventually, attitudes andbeliefs.62Assessment can be made through pre- and posttests, exit interviews, and self-assessment questionnaires. Observationcanprovide insight into actual growth of skills and practices. Assessment of changes in the building is equally important to address. Change in the roles and responsibilities of school employees, parents, and students can be determined through interviews and questionnaires. Observations, interviews, and minutes of meetings are ways to measure increased decision making and ~ollaboration.6~ Evaluation of students’ learning gainscanbedeterminedthrough various ways.Teacher-developedachievement tests, criterion- or norm-referenced achievement tests, student portfolios, and course grades and marks can illuminate change.Likewise, affective andbehavioral outcomescan be assessed through observation, interviews, self-report questionnaires, and unsolicited tes-

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timonials from students and parents.@ A multifaceted effort addressing all aspects of the system is necessary to determine if change is real and how best to facilitate growth. A diverse assessment effort addressing all aspects of the system will result in a more focused improvement effort and, most importantly, more success in student achievement.

SUMMARY In light of the complexities of changes in society, increases in global interdependence, the vast accumulation of knowledge, andthegrowing insistence for more effective teaching, well-organized staff development programs must be thought out and implemented. Authors of the Rand Corporation Report on federally supported programsfor educational changepointed out that if schools are to grow or even survive, the 1990s must be the decade of staff development. In the most responsible schools of the future, considerable time and effort will be devoted to staff development, affording teachers a variety of alternatives from which they can choose as they pursue their own professional growth needs. The school is the primary unit of change-not the district nor the individual. Given the size of school districts that serves most students in the United States, the implementation of significant changes in practice across an entire system is difficult. The individual teacher, on the other hand, is too isolated a target for change. Effective in-service programs must be based upon research, theory, and the best education practices. Those responsible for planning staff development programs need to use what educators and researchers in other fields have learned that relates to staff development. The time when educators could elusively use personal feelings and conventional wisdom to guide decisions about the development of human resources has passed. Staff development must become more effective. A new vision of staff development is needed, one that challenges and engages staff members in the honoring and creation of their own knowledge. Change in schools is accomplished through finding effective ways to accomplish professional and personal growth in teachers. Continued professional development should be shaped and controlled by the research related to teaching strategies, emotional and social development, learning principles, and new technological developmentsthat may be used in instruction. Staff development practices can change teaching practice, enhance student learning, and reform school culture. Building principals have the responsibility to develop the commitment required for professional growth so thatstaffmembersbecome effective and instrumental in school improvement. Regardless of how schools are structured or restructured, formed or reformed, staff development is essential for anyone directly involved with students andwhose actions influence their learning. Change in schools means finding effective ways to expedite growth in human resources. The elements addressed in this chapter provide a sampler of the un-

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derstandings and strategies that can aid change and improvements in schools. Restructuring staff development will take new knowledge, new attitudes, and new will. But the knowledge base is increasingly compelling. Changes in teaching practices, student learning, and reform of school culture can be manifested in a sound staff development program. Policy makers and practitioners must develop the commitment required for professional growth to become effective and instrumental in the improvement of education. NOTES 1. Neal C. Gross and Robert E. Herriott, Stafs Leadership in Public Schools: A Sociological Inquiry (New York: Wiley, 1965). 2. John I. Goodlad, A Place Called School: Prospects for the Future (New York:

McGraw-Hill,1984). 3. Elliot Eisner, “Why National Performance Standards Won’t Do the Trick,”Wingspan 9 (February 1993): 3-4. 4. Abraham Maslow, Eupsychian Management (Homewood, Illinois: Richard D. Irwin, 1965). 5. Research Action Brief No. 13, Teacher Motivation (Eugene, Oregon: ERIC Clearinghouse on Educational Management, October 1980). 6. L. Dean Webb, John T. Greer, Paul A. Montello, and M.Scott Norton, Personnel

Administration in Education: New Issues

B(

New Needs in Human Resource Management

(Columbus, Ohio: Merrill, 1987), p. 77. 7. W. J. Webster, “Selecting Effective Teachers,” Journal of Educational Research 81(1988):245-253. 8. S. R. Kahl, The Selection of Teachers and School Administrators: A Synthesis of the Literature (Denver, Colorado: Mid-Continent Regional Educational Lab, 1980). 9. M. C. Jensen, How to Recruit, Select, Induct, and Retain the Very Best Teachers (Eugene, Oregon: ERlC Clearinghouse on Educational Management, 1987). 10. Ibid. 11. Paul V. Bredeson,“TheTeacherScreeningandSelectionProcess:ADecision MakingModelforSchoolAdministrators,” Journal of Research and Development in Education 18(Spring1985):8-15. 12. T. L. Moffat, Selection Interviewing for Managers (New York: Harper and Row, 1979). 13. College and University Personnel Association, Interview Guides for Supervisors (Washington,D.C.:Author,1981). 14. FrederickC.WendelandRonald G. Joekel, Restructuring PersonnelSelection: TheAssessment CenterMethod (Bloomington,Indiana:PhiDeltaKappaFoundation, 1991). 15. I. Phillip Young and Dean Ryerson, Teacher Selection: Legal, Practical and Theoretical Aspects (UCEAMonographSeries)(Tempe,Arizona:UniversityCouncilfor Educational Administration, 1986). 16. MaryLynnSchaffer,“InductionofNewEmployees”(unpublishedmanuscript, Department of Educational Administration, University of Nebraska-Lincoln, 1993). 17.L.Huling-Austin,“TeacherInductionProgramsandInternships,” Handbook of Research on Teacher Education, ed. by W. R. Houston (New York: Macmillan, 1990).

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18. Katherine K. Merseth, “First Aid for First-Year Teachers,” Phi Delta Kappan 73 (May1992):678-683;ClaudiaH.Carter,“TypesofSupportProvidedforFirst-Year Teachers as Perceived by the Teachers and by the Principals of Those Teachers” (unpublished doctoral dissertation, University of Nebraska-Lincoln, 1990). 19. PaulBermanandMilbreyW.McLaughlin, FederalProgramsSupportingEducational Clzange. Vol. 8, Implementing and Sustaining Innovations (Santa Monica, California: Rand Corporation, 1978). 20.BruceJoyce (Ed.),ChangingSchoolCulturethroughStaffDevelopment (Alexandria, Virginia: Association for Supervision and Curriculum Development, 1990). 21. Bruce Joyce and Lucy Peck, inservice Teacher Education Project Report U : Interviews (New York: Syracuse University, 1977). 22. Stephanie Hirsh and Gerald Ponder, “New Plots, New Heroes in Staff Development,” Educational Leadership 49 (November 1991): 43-45. 23. S. Hirsh, “Long Range Planning for Staff Development,” The Developer (Oxford, Ohio: National Staff Development Council, 1989). 24.JudithW.Little,“NormsofCollegialityandExperimentation:WorkplaceConditions of School Success,” American Educational Research Journal (Fall 1982): 325340. of PennsylvaniaPublicSchool 25.StevenR.Thompson,“ASurveyandAnalysis Personnel Perceptions of Staff Development Practices and Beliefs with a View to Identifying Some Critical Problems or Needs” (unpublished doctoral dissertation, Pennsylvania State University, 1982). 26. Tom Bird and Judith W. Little, “Finding and Founding Peer Coaching” (paper presented at the Annual Convention of the American Educational Research Association, Montreal,Canada,1993);A.Lieberman,“PracticeMakesPolicy:TheTensionsof School Improvement,” Policy Making in Education, ed. by A. Lieberman and L. Miller (Chicago:UniversityofChicagoPress,1982);JohnA.Zahorik,“Teachers’Collegial Interaction: An Exploratory Study,” The Elementary School Journal 87 (March 1987): 385-396. 27.PamRobbinsandPatWolf,“ReflectionsonaHunter-basedStaffDevelopment Project,” Educational Leadership 44 (February 1987): 56-61. 28. Linda Lambert, “How Adults Learn” (paper presented at the Annual hleeting of the American Educational Research Association, Montrcal, Canada, 1983). 29.Ibid. 30. Roland S. Barth, Run School Run (Cambridge, Massachusetts: Harvard University Press, 1980). 31.Ibid. 32. William Turnbull, “Are They Learning Anything in College?” Change (Novembermecember 1985): 25. 33. Bruce R. Joyce and Marsha Weil, Models of Teaching, 3d ed. (Englewood Cliffs, New Jersey: Prentice-Hall, 1986). 34. Patricia Cross, “The Adventures of Education in Wonderland: Implementing Education Reform,” Phi Delta Kappan 68 (March 1987): 496-502. 35. F. Wood, S. Thompson, and F. Russell, “Designing Effective Staff Development Programs,” Staff Development/OrganizationDevelopment, ed. by Betty Dillon-Peterson (Alexandria, Virginia: Association for Supervision and Curriculum Development, 1981). 36.Susan F. LoucksandPatriciaZigarmi,“EffectiveStaffDevelopment,” Educational Considerations 8 (1981): 4-7.

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37. Barth, RunSchoolRun. 38. Ibid. 39. Paul Berman and Milbrey W. McLaughlin, “Implementation of Educational Innovations,” Educational Forum 40 (1976): 345-370; Bruce R. Joyce and Beverly Showers, “Improving Inservice Training: The Messages of Research,” Educational Leadership 37 (February 1980): 379-385; Bruce R. Joyce and Beverly Showers, “The Coaching of Teaching,” EducationalLeadership 40 (October 1982): 4-10; Louis M. Smith and Pat M. Keith, Anatomy of Educational Innovation: An Organization Analysis ofan Elementary School (New York: Wiley, 1971). 40. Michael G. Fullan and Suzanne Stiegelbauer, The Meaning of Educational Change (New York: Teachers College Press, 1982). 41. Morris L. Cogan, “Current Issues in the Education of Teachers,” Teacher Education, ed. by Kevin Ryan (Seventy-fourth Yearbook of the National Society for the Study of Education) (Chicago: University of Chicago Press, 1975). 42. Joyce and Showers, “The Coaching of Teaching.” 43. Little, “Norms of Collegiality and Experimentation.” 4 4 . Joyce, Changing School Culture through Staff Development. 45. Thompson, “A Survey and Analysis of Pennsylvania Public School Personnel Perceptions”; Wood, Thompson, and Russell, “Designing Effective Staff Development Programs.” 46. Berman and McLaughlin, ImplementingandSustainingInnovation; Goodlad, A Place Called School. 47. David P. Crandall, “The Teacher’s Role in School Improvement,” Educational Leadership 41 (November 1983): 6-9. 48. Leslie J. Chamberlin, EffectiveInstructionthroughDynamicDiscipline (Columbus, Ohio: Charles E. Merrill, 1971). 49. Paul Berman and Edward W. Pauley, FactorsAffectingChangeAgentProjects, Vol. 2 (Santa Monica, California: Rand Corporation, 1978); Glen Sparks, “Synthesis of Research on Staff Development for Effective Teaching,” EducationalLeadership 41 (November 1983): 65-72. 50. Herman E. Behling, Jr., WhatRecent Research Says about Effective Schools and Effective Classrooms (Celmsford, Massachusetts: Update Northeastern Region Exchange, 1981); Edward A. Curran, “If the Object Is Learning,” AmericanEducation 18 (1982): 15-18; Edgar A. Kelley, “Auditing School Climate,” EducationalLeadership 39 (December 1981): 80-83; Stephen K. Miller, “School Learning Climate Improvement,” EducationalLeadership 40 (December 1982): 36-37; J. Shoemaker and M. Fraser, “What Principals Can Do: Some Implications from Studies of Effective Schooling,” Phi DeltaKappan 63 (1981): 178-182. 51. Louis J. Rubin, “In-service Education of Teachers: Trends, Processes, and Prescriptions,” Improving In-Service Education: Proposals and Proceduresfor Change, ed. by Louis J. Rubin (Boston: Allyn and Bacon, 1971). 52. F. Wood and S. Thompson, “Guidelines for Better Staff Development,” EducationalLeadership 37 (February 1981): 374-378. 53. J. Whitall and F. Wood, “Taking the Threat out of Classroom Observation and Feedback,” Journal of Teacher Education 30 (JanuaryWebruary 1979): 55-58. 54. R. Arends, R. Hersh, and J. Turner, Conditions for Promoting Effective Staff Development (Washington, DC.:ERIC Clearinghouse on Teacher Education, 1980); Gordon Lawrence, Patterns of Effective Inservice Education: Review of Research

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(Tallahassee,Florida:FloridaStateDepartmentofEducation,1974);Patricia A. Roy, “Consumer’s Guide to Selecting Staff Development Consultants,” The Developer (Fall 1987):8-9. 55. Sparks, “Synthesis of Research on Staff Development for Effective Teaching.” 56.Wood,Thompson,andRussell,“DesigningEffectiveStaffDevelopmentPrograms.” 57. Robert Maidment, SfafS Enhancernenf(Reston, Virginia: National Association of SecondarySchoolPrincipals,1989). 58.ThomasR.GuskeyandDennisSparks,“ComplexitiesinEvaluatingtheEffects of Staff Development Programs” (paper presented at the Annual Meeting of the American Educational Research Association, Chicago, 1991). 59. Walter Doyle and Gerald A.Ponder, “The Practical Ethic and Teacher Decision Making,” Interchange 8 (1978): 1-12; Thomas R. Guskey, “Staff Development and the Process of Teacher Change,” Educational Researcher 15 (May 1986): 5-12; A.Michael Huberman and Matthew B. Miles, lnnovarion up Close: How School Improvement Works (New York: Plenum Press, 1984); Joyce and Showers, “Improving In-service Training: The Messages of Research.” 60. Thomas R. Guskey, “Integrating Innovations,” Educafional Leadership 47 (February1990): 11-15. 61. Guskey and Sparks, “Complexities in Evaluating the Effects of Staff Development Programs.” 62. Guskey, “Staff Development and the Process of Teacher Change.” 63. Guskey and Sparks, “Complexities in Evaluating the Effects of Staff Development Programs.” 64.Ibid.

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7 Program Development and the Management of Change

INTRODUCTION Information about the role of theprincipal in programplanninghasbeen included in this chapter. There is an underlying philosophy that staff development is a primary responsibility of building principals and program development is a second major responsibility of principals. In the early portion of the chapter, information is presented pertaining to systems theory and how systems theory appliesto programplanning.Inthesecondportion of the chapter, the way systems planning concepts can provide a framework for planning is discussed. Reference is made to planningprogramsforallstudents,regardless of their individual needs. In the final section, suggestions are made about planning for and managing change in order for principals to work effectively in the area of program development.

A PRELUDE TO PROGRAM PLANNING School Reform School reform has beenproposed by numerousindividuals,leaders inprofessional agencies, and legislators at the local, state, and national levels. Some proposed reforms come in the form of legislative mandates or in major “projects” that cover anumber of schools andcommunities.Otherreformshave been supported by federal funds or from private foundations; some have been fostered by professionalgroups,and some havebeenstrictlylocal efforts to change or improve education. In school districts where informed strategic planning has taken place at the district andcommunitylevel,strategicgoalsmay

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have been identified that address districtwide or building concerns with which a building principal may be involved, In districts in which no strategic planning has been undertaken, a principal may be involved in providing leadership at the buildinglevel to leadstaffintoprogramimprovement efforts. The individual building principal is inevitably the focal point of the reformation effort, whether that effort takes on the proportions of a storm or a becalmed sea of complacency. The buildingprincipalshouldconsciouslyaskthequestions, What role do I want to play in school improvement? What skills or expertise do I need to bring about planned change? In order for principals to set personal goals that will be a guide in developing the climate and providing the leadership needed to move a school forward, they should possess the following traits: (1) be an instructional leader, (2) have the values that are congruent txrith making program modifications, (3) have the vision to see what could be improved and a sense of urgency, (4) be willing to taketherisk and paytheprice for program reform in a quest for excellence, and (5) have theleadership skills necessary to initiate, conduct, andmonitor program reform. If principals have the commitment to restructure an educational of other program in a given school building, they will move ahead regardless school district leaders’ opinions on the issue of school improvement. If principals can join a cadre of concerned leaders in the district and the central administrationand school board are in tunewithschool refmnation, principalscan accomplish much more than if there is a lack of vision and commitment on the part of the superintendent and the board. Ideally, school planning for reformation begins with the superintendent of schools and the school board who have imeffort designed to plemented a coordinatedandconsistentstrategicplanning create the future of the local district. Working in conjunction with approximately twenty school and community opinion leaders and the board of education, in a well-orchestratedstrategicplanning effort, thesuperintendentwillbe able to leadkeystakeholders to a consensus regardingthephilosophyandperceived needs of the district and in the design or renewing of the mission statement for the district. Specific and high-priority goals should emerge and be achieved from the mission statement. The principal in a given building then has the mandate to achieve the goals established at the district level. In turn, the district superintendent has the mandate to support the principal in moving toward the accomplishment of district goals. In addition to district goals that may actually come from a strategic planning process, building principals, in conjunction with staff, pupils, and parents, are responsible for the inclusion of goals pertaining to their attendance unit. Thus, a principal may be responsible for developing plans to carry out strategic goals established at the district level, or aprincipal may, acting within the confines of a job description as principal of a given building, becomeinvolved in planningwithstafftomoveintoprogramimprovement efforts.

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SYSTEMS THEORY AND PROGRAM DEVELOPMENT Just as theprincipaliscentrallylocated in terms of organizational components, so the principal is strategically located with respect to program and instructional components. There have been many well-intentioned plans to improve education in whichthe focus hasbeen on some component ofthe program. In too many instances, the component, which has been the focal point of the innovation, has been taken out of context and dealt with in isolation. The results have generally been disappointing; the innovation has often been short lived and has not yieldedtheexpected results. Generallyidentifiableprogram components include the staff, the curriculum (methodology and evaluation), the course materials (written, supplemental, high-tech software and hardware, and various outside resources), the facilities, the community, theparents,andthe culture as a whole. Consequently, the building principal’s work entails a loosely comcoupled entity in whichthere are numerousprogramandorganizational ponents to be considered. Programreform or majorimprovementeffortswill not be achieved if they are considered as singular or isolated projects. Program improvements will occur in a meaningful way when all the program and organizational components are addressed in consort. The idea that all significant components of the program and the organization must be taken into account is derived from systems theory. Systems theory has been used to explain how things fit together and function. Any entity, or system, is made up of parts or subsystems that, when working as a whole, enable the entity to function or achieve what it was intended to do. Not only is every entity or system made of parts, but every system is related to other systems with which it must beinharmonyin order for the largersystem to functioncorrectly. Systems maybefoundinnature;theymaybemechanicalortechnical;they maybebiological; or theymaybe contrived, such asbureaucratic, political, legal, economic, andsocialsystems. Systems havebeencategorizedashard systems (e.g., machines or mathematical formulas that are very predictable) or soft systems (e.g., social systems or a clan or clique), which are predictable but have much less precision than hard systems. Several concepts canbeidentifiedfromsystemstheorythatcanhelp one understand how the educational enterprise functions and why major changes in the system require all significant subsystems, in terms of program and organizational components, to be affected if the total educational enterprise is to be changed. The concepts from systems theory that apply are these: Every system is made up o f parts or subsystems that must work in harmony system to succeed.

for the

Every system is a part of a larger system and must function in harmony with the greater system if it is to survive.

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Every system must serve a purpose or it will be set aside or rejected. All subsystems within a systemmustwork in harmony; any component that isnot synchronized with the whole or total system must becorrected or it will cause the failure of the total system. Systems are dynamic; complex systems have a life cycle that reflects concepts to help understand growth and decline, renewal, and trends and cycles. Systems tend to be self-preserving and self-perpetuating. Systems are logical and rational. Some systems can be contrived and controlledby people, and some systems are beyond human influence.

As building principals apply systems concepts in leading a school to achieve excellence, they can gain insights into what should be included in the process of improving education and at the same time recognize what practices should be avoided. Systems theorybecomesaverypracticalbase for muchofthe actions of building administrators. A simple illustration from a real-life settingcan show howthe lack of involvement of all key segments of a system led to a failure to achieve a meaningful change. In an elementary school, staff members had a growing interest to experiment with structured independent study, which wasto include expanded homework assignments. Detailed plans were developed by the teachers for students in grades 4 through 6. The planning involved the building librarian and the media specialists from the district office who were to assist in identifying instructional resources. The teachers cooperatively worked to integrate the expanded independent study system into the language arts, mathematics, and social studies cumcula. Outcomes were established that focused on independent thinkingand problem solving. The efforttookalmostasemester to planandwas thenenthusiasticallyimplemented.Bythe end of the school year,hopeshad faded, and one teacher summed up the feelings of the involved persons: “It was a good idea and we gave it a try, but it didn’t make any difference. I guess we have to admit it simply didn’t work.” There could have been various reasons why the effort seemingly failed. On the surface, at least, there were three components of the “system” that were not addressed, which created a fatal flaw in theplan. One omission was thefailureto develop aplan for evaluatingthe effort; a second was a lack of attention to process feedback: and another was the lack of a planned effort to involve the parents. Three key components of the total system had not been included in the plan, and this spelled automatic failure. PLANNING FOR PROGRAM DEVELOPMENT (A SYSTEMATIC APPROACH) Planning for program development can involve many different factors. The curriculum and the instructional program are perhaps the two major elements

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most frequently considered for program improvements at the building level. All facets of a school, however, can require planning. Consequently, the principal is responsible for planning for the orderly management of a school, as well as for improving curriculum and instruction. Guidance and counseling, community relations,staff development, facility careandmaintenance, school activities, student services and auxiliary services, ordering supplies and equipment, managing records and data sources, allareareas in which principals can become, and should become, involved. The systematic planning for programs involves a number of components that can provide the conceptual framework. The components that go into systematic planning should be considered as concepts and not as simple steps in a model to be completed sequentially. If a principal can gain an understandingof systems theory and the conceptual framework used for program planning, there will be an enhanced likelihood that the planning will be fruitful. The concepts that go into systems planning are discussed below. Basic Considerations

Contextual considerations need to be examined as a first step in the planning process. This is true in planning for management functions as well as for programmatic functions. Contextual considerations will differ when a planning effortisstarted to instituteanewstudentrecordsystemascontrastedto arts curriculum. The concept of implementing aplan to revisethelanguage beginningwithareviewofbasic,orcontextual,considerations,however,is applicable in either situation. If systemstheoryissound,whichsuggeststhat every entity or subsystem is a part of a larger system, the larger system must be examined to gain insights into how the subsystem that is to be planned will fit into the larger system. There is no set list of contextual elements to be considered when planning for program improvements. As a generalization, although it may seem vague at first glance, the principal, as program planner, should take into consideration all environmental elements that will shape or influence the planned program. For example, if a curricular improvement effort were considered, a principal might ask questions aboutthefollowing: (1) theneeds to beaddressed, (2) theresources and the constraints, (3) the values and expectations of persons involved, (4) the district mission, (5) the district policies, (6) the laws pertaining to the planned program, (7) the composition of the student body, and (8) the status of parent support. Ineveryplanning effort, aprincipalshouldalsoquestionthe knowledge base with respect to the planned program. Only a few years ago, it was often necessary for principals to rediscover the wheel because of the lack of accessible information. Today, however, there is anabundance ofreadily accessible information through electronic networks and retrieval systems, such as Internet, to aid in program planning efforts. When the contextual or basic considerations have been reviewed, the building

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principal and the staff should have a clear understanding of the relevant information involved and an agreement on basic assumptions. All concerned should have reached consensus on a list ofkey factors in the formof a “we agree statement,” or a listing of items under the heading of “belief statements.” The agreed-upon assumptions become an important foundation of agreement upon which the planned program will be built. Without consensus on the belief statement, there is little likelihood that a planning effort can move forward harmoniously and efficiently and possess the internal consistency required for a system to function. Without agreement on basic considerations, often staff members cannot even agree upon what should be done. With a solid base of agreement of basic considerations, the principal and staff members can move forward and define and agree upon the purpose to be achieved in the plan.

Purpose With consensus regarding basic considerations, the principal and staff members can clarify or set forth a precise statement concerning the purpose to be accomplished. If strategic planning has been conducted in the district and a set of strategic goals specifiedthat follow and support the mission statement, a principal may find the “purpose” to be accomplished has been prescribed. In most other planning environments, however, theprincipal does not receive a mandate about the purpose to be accomplished. When no mandate is given, the principal, as the designated leader in a building, must work with staff members, and in many instances with parents andpatrons, to clarify or determine the purpose to be achieved in a program planning effort. A purpose statement should be brief and clear. In addition, the statement of purpose should be congruent with the basic assumptions and the “we agree” statements. As a principal works with staff members to clarify a statement of purpose,there is usuallyan excellent opportunity toprovidean agreed-upon statement of purpose that fosters cohesiveness and an opportunity to generate ownership on the part of the staff. A principal should never take it for granted that involved staff members, or those to be involved, will automatically be in agreement and understand what a purpose statemententails. In fact, not uncommonly staff members who have not been involved in reviewing basic assumptions and arriving at consensus on “we agree” statements require full and clear information about all the thinking that went into a “we agree” statement.

Outcomes When a principal and staff are conceptualizing a plan for school or program improvement, the purpose to be achieved is generally broken down into components or subfunctions referred to as outcomes or measurable outcomes. The complexity of identifying measurable outcomes increases as instructional programs move from lower-level skills to higher-order competencies. There is a

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wide difference between asking a student to demonstrate proficiency on a computer keyboard, which is a psychomotor skill, as contrasted to writing an essay using the word processor in which several concepts are summarized, compared, and analyzed, which would involve higher-order thinking. Being able to perform on a keyboard does not require a student to demonstrate the higher-order skills of analysis, comparison, and synthesis. Once a listing of measurable outcomes has been developed for a program, each outcome should be examined tobe sure it is consistent withthe stated purpose. If a stated outcome is not consistent with the purpose (and such inconsistences are more common that one might suspect), the outcome should be revised or dropped. Much has been written about how outcomes should be worded. Workshops have been conducted on how to write learning objectives. There are also many persons who debate at length about the language tobeusedwhen specifying outcomes. The language, though important, should notbethe dominant focus ofthe debate; the main focus should be to develop methods to communicate intended measurable outcomesso that all concerned can move toward a common understanding.

Criteria for Assessment The most appropriate way to provide assurances that an intended purpose is achieved is through a planned approach for assessing the achievement of specified outcomes. Consequently,there is a clear rationale for specifying assessment criteria immediately following the identification of outcomes. Assessment of educational programs may be the greatest area of weakness in the entire educational enterprise. Not uncommonly, educational programs are initiated in which there are no plans for assessment. If a newly instituted curricular program is implemented that canbe assessed by standardized achievement tests, there is a reasonable chance that some assessment data will become available. Many instructional programs, however, are initiated with no planned assessment. For each outcomethat is identified, certain criteria should be selected to measure what was achieved. Authentic assessment, rather thanthe standardized achievementtest, is emergingasa more viable approach to assessment. For example, if an outcome were established to develop a greater awareness and appreciation for ethnic diversity in students, it is doubtful if administration of a typical subject-based achievement test in the areas of mathematics, science, language arts, or social studies could determine that students reached a goal of demonstrating greater cultural awareness and appreciation. Every outcome should have an accompanying set of appropriate criteria for measuring the progress made toward achieving that outcome. By thinking about and planning assessment criteria immediately following the establishment of outcomes, the attention of staff members and all persons in-

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volved in the program-planning process can be focused on how, to measure progress and be accountable. Second,in cases where pre- and postmeasures will be of benefit, planningevaluation criteria early intheprogram planning sequence provides some assurance that in cases where pre- or postmeasures are neededtheywill be implemented. Notuncommonly, planners who initiate a program say at some point or near the end of an effort, “We should have tested these students before we started the new program. Now what shall we do? We have no pre-data.” Whenever student behavior is involved in an outcome, the administration of pretests and posttests may be appropriate.

Selecting or Developing Options After the purpose hasbeenbrokendownintothe variousoutcomes to be accomplished in aprogram, the means by which outcomes willbe achieved should be considered. If a principal is working with staff members in an effort to help middle school pupils become more able users of the computer to access databases through Internet, there is much more logic to suggest an option that gives pupils a hands-on experiencewith a keyboard rather than having a teacher present the topic in a conventional classroom with no computer access to Internet. The kinds of options to be considered could also be selected so there could be a progression of experiences. If pupils were expected to be able to access databases, conduct searches, and synthesize and interpret information, they could be given a sequence of developmental experiences. First they could learn how to access databasesthrough Internet. Once they had acquired the knowledge and skill to make searches, they could apply their newly acquired skill to conduct a search they had designed. The latter portion of the learning experiences could require students to synthesize the information they had gathered and make interpretations of meanings and implications. The building principal who has a different responsibility, such as planning for a staff development day, would select options to help achieve the desired outcomes from a different array of sources. Consideration could conceivably be given by the principal and staff members to the selection of a local teacher as a resource person to present a staff workshop as one option. A second option might beto set up a teleconference withan expert who could, following the showing of a videotape,respond to questions from the faculty. Still a third option for the in-service day could be to ask an expert resource person from a state department of education or from a nearby university to present on the chosen topic. Having more than one option to consider can enhance the potential of achieving the desired outcomes.If several options are available for consideration, there is a greater likelihood of being able to choose one with “the best fit.” Multiple options also will allow the principal to more appropriately consider constraints and resources. Multiple options will afford the planner better assurances that the

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project outcomes can be reached by staying within the imposed resource parameters.

Sequencing Options After all options have been identified, the principal can work with the staff in fitting the options into a schedule or planning sequence. The sequencing of options can be determined and the plan diagrammed or written to communicate the intended outcome and how the plan is sequenced or scheduled to significant others. All concerned persons shouldknow what is taking place, why, how, and when.

Implementation (Simulation, Pilot or Field Test, Full Implementation) Once the program plan has been put together, it can be implemented. In most program improvement efforts the plan should be given a trial run before it is fully implemented. Various methods can be utilized for a trial run. The nature of the project often determines the type of trial run to make, or if it is even possible to make a trial run. In some instances, a simulation can be run to test a plan. If a plan exists to replace an old computer scheduling program with a new software package that will combine several disparate functions into a new integrated approach, a simulationcould be run to determine how effectively and efficiently the newprogramwouldwork.In other planning efforts, such as conducting a survey with an instrument that was used in a different setting, a small group of persons similar to the group to be surveyed might be selected, and a pilot would be run with the instrument under consideration to see if the data needed in the format desired are gathered. New instructional programs can also be assessed by putting them through a pilot effort or, in some instances, field tested. Experience has shown that simulations, pilot studies, or field tests are valuable investmentsin time and effort. Inevitably, when a simulation, pilot, or field test is run on a newly designed program, the trial effort reveals adjustments or changes that are needed in the plan. Although it is possible to plan a program that neither requires a pilot nor affords the opportunity to run a pilot study, such is the exception. Thus, the general rule is that the time and effort spent on simulation, a pilot, or a field test is a good investment. When all the planning is done and the trial efforts have been completed, the project is readytobeimplemented by the principalandstaffmembers. The principal should show support for the newly planned effort and take responsibility for monitoring the program.

Evaluation The importance of evaluation is paramount in program planning and development. As explained in Chapter 12, evaluation is complex and many faceted.

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When a principal and staff are involved in program development, measurable outcomes should be established and the criteria to be used to determine if outcomes are reached ascertained in order to carry out program evaluation. Databased decisionsaboutprograms canbemadeonly if data are collected and analyzed. Program development is far too important for major decisions to be made based on personal impressions, casual observations, or political pressures.

Decisions Regarding the Future of a Program When data are gathered and analyzed, the principal, working with staff members, can make informed decisions about the direction that should be taken with respect to programs. If a newprogram is field tested, the evaluation process should provide the information about the process and the product; thus, persons responsible for the program can determine if it should be continued, altered, and recontinued, or if it should be discontinued. A definable decision point should be acknowledged in which an involved staff make a formal recommendation.

Feedback During program development efforts theprincipal should also use various forms of information to monitor the progress of the effort. In some instances, the grapevine can be a valuable means of tapping into information as perceived by students and staff. Although evaluation is a formof formal feedback, the principal will be well advised to keep the proverbial ear to the ground so that in-coming signals are acknowledged. The feedback process, involving informal or formally gathered data, can be the means by which information is received and used to make needed adjustments in a planning and implementation effort. The principal who ignores feedback is placing any project in question in jeopardy. Feedback is often the means of monitoring the process, whereas assessment and evaluation may provide insights to process and product.

THE DISCIPLINE OF PLANNING Planning is not something that can be taken for granted. Principals need to be intimately involvedwithandunderstand the educationalprocess and the setting or environment, have a clear vision and sense of purpose, and possess skill and knowledge regarding the planning process itself. In addition, planners and builders should be scholars of human understanding. Planningis not a process done in private using mathematical formulas run through a computer; planning is a process that is highly involved with human beings. Thus, principals need to know how people are motivated, what causes fear, why territorial imperatives emerge, and how politics interfaces with the total process. To be SUCcessful as a planner, a principal must demonstrate many areas of knowledge,

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skill, and leadership and possess the will to stay the course and the discipline to follow proven planning procedures. Planning takes discipline. Creativity is also a key ingredient in the planning process. Creativity need not be a counterforce in opposition to a recognition for the need to adhere to the discipline of planning. In fact, the discipiine of planning, if fully understood, fosters creativity; creative thinking is channeled into a means of achieving the intended purpose.Creativity is not the antithesis of discipline. Leonard Bernstein was perhaps one of the most creative musical talents of the twentieth century. His creativity was,however, enhanced by his knowledge and disciplined approach to music.Bernstein firsthad to practice chords and scales, to study theory, and to “learn” music before he became a renowned conductor and composer. He knew the discipline of music and emerged into a renowned, creative artist.

PROGRAMS FOR ALL STUDENTS As pointed out by numerous observersmany times and many ways, the United States is a pluralistic and many-faceted society. Expectations of the public, legislators, and educators have moved schooling far beyond the point at which only the “educationally talented” were expected to graduate fromhigh school. Many decades were to pass before educators were either expected to or provided the resources to expand the educational programsto meet the needs of all American youth.Society has continued togrowmorecomplex as pluralismseemingly multiples and diversity is accepted. Withthegrowthofpluralism in society, there has been an accompanying set of demands placed upon educators. Socioeconomic

Diversity

Sociologists have a more complex task of categorizing and analyzing different ethnic groups in the United States during the closing of the twentieth century thanthey did in 1900. Early ethnic and socioeconomic classification schemes were defined in terms of a middle-class value system bordered by upper-class and lower-class citizens. The heart of the socioeconomic classification system grew out of the melting pot concept, in which all mainstream Americans were expected to beof European extraction and shaped into middle-class citizens through the crucible of the westward expansion and the Industrial Revolution. The formal curriculum and the extracurricular activities were devised to accommodate the middle-class values of whiteAmericans in schools until the fuller acceptance of constitutional rights was brought into focus by court rulings and a higher level of public awareness. Principals are the guardians of the rights of all American youth; as such, they are responsible for leading staff members and community patrons in the development of school programs that address the needsof students of all levels of capabilities andfromallwalks of life.As individual rights in areas of sex, race, religion, and dealing with students who

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have special needs are placed before a staff when considering curricular issues, obviously the task of developing programs for all students is one that requires the highest level of leadership skill on the part of a building principal. The American educational enterprise has the responsibility to respond to the needs of each individual and to protect and foster the constitutional rights of all. At the same time, in order for a governmentof the people and for the people to survive, school leaders must provide programs that promote a common culture. There is a difference between a “common culture” and the old melting pot concept, in which persons wereexpected to emerge from their developmental years with an indelible imprint of the white, middle-class citizen. If the educational experience, including the curriculum and school activities, does not foster a common culture, the future for Americans may resemble that which has been witnessed in various parts of the world,where ethnic cleansing and warfare between racial and religious factions destroy any hope of progress in what has become known as a modern society. If a common culture cannot be defined and vigorously pursued, in schools as well as society as a whole, the options for individual growth and fulfillment will be a lost portion of the American dream. School principals will play a key role in either achieving a common culture or in the loss of the vision.

Meeting Demands of Students with Unique Needs or Talents Meeting theneeds of students from diverse backgrounds andwith a wide range of abilities and needs would be a very complex and almost overwhelming challenge if all people in a community were of one mind and had one set of values and one clear set of expectations. Such unanimity is, of course, not possible in a complex, pluralistic society. One of the program areas in which principals face divergent thinking is the content thatwillbeviewed as acceptable in textbooks and library references. Principals are frequentlycaught between disputing factions; someargue that selected materials should be a part of the school curriculum, while their opponents contend the content in question should not be included in the curriculum. Laws and court rulings may have answered questions about programs for students with special needs or for different sexes; however, members of a community may react negatively to that which is required by law. The backlash of resentment and demands from special interest groups are all a part of the juggling act with which principals are involved. Principals should arm themselves with a clear set of educational values, an understanding of society, knowledge of the law, a clear view of the school mission and policies, and an understanding of self as they move into program development.

RESOURCES FOR PROGRAM PLANNING Resources for program planning were discussed in Chapter 5 . Principals must learn to deploy all prime resources available when moving into program plan-

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ning. The human resource is, of course, the most significant of all resources with which the principal willworkwhenleading a staff and community into better waysto educate children andyouth. Time, space,andinformation are also resources that must be devoted to curriculum and program development. Equipment and supplies also will appear onthelistofneeded resources for program development. Principals are faced with a problem similar to that with which industrial leaders have been confronted in the global economy, and that is the challenge of doing better with less resources. During the era of the Great Society and the gigantic infusion of federal dollars in K-12 education, the mode of operation involved getting a grant or additional funds and moving into some program improvement or developmentaleffort. As the end of the twentieth century draws near, politicians reiterate that the days of adding more funding to the overall educational budget is a thing of the past. Thus, the search for excellence in American schools will be through means other than additives with federal and state funds. PLANNING FOR AND MANAGING CHANGE Principals need to be change agents. A principal may have an excellent plan to improve the curriculum in a school; however, if that plan cannot be implemented, it is notworththepaperonwhich it is written. To lead a staff into program improvement demands the principal be a leader of change. There is aconsiderable amount of information available regardinghow a knowledge change takes place in a culture or in a schoolthatcanprovide baseand give direction to principals whowould foster change. Principals no longer have to invent a set of tricks that can be used to maneuver a staff and parents into doing something different. To illustrate, in a setting in which there had been an effort to change and expand a portion of the curriculum and to modify an instructional system thathadruninto resistance andrejection in several quarters of the school, the principal noted, “Where we made our mistake was giving this program a name. Had we not named it, people would have never paid any attention to it and we could simply have gone ahead and implemented it with no one being the wiser.” Rediscovering the tricks that would enable a principal to get something past a faculty is hardly a sound approach to leading a staff to school improvement. Various change models have been reported in the literature by persons who have studied the writings from cultural anthropologyand sociology. Change modelshave been proposed for thefield of agriculture and medicine.Such change models have been examined by educational change writers who have ultimately provided models to explain how change takes place in educational settings. Principals shouldbeaware of the information base regarding how change takes place. A review of the background literature and a summary of change models can be found in Planning in School Administration: A Handbook.’

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Motivation is another facet of the information that is needed to understand how change can be fostered, Through the workof Maslow, theresearch by Hertzberg, and more recently the theories presented by Deming, staff members and patrons can understand how change can be fostered by using both intrinsic and extrinsic motivational forces. Site-basedmanagement is not, or at least should not be, a gimmick. Site-based management should be structured in such a way that human motivational factors are harnessed by a building principal to foster change. Principals must also deal with politics as a part of the change process. There may be political forces from within a buildingstaff and the district or community level that will become evident when change is considered. As suggested previously, when a principal analyzes theschooland community to determine where the power structure resides, the principal has taken one step toward understanding the setting inwhich change willbetakingplace. Principals may have to contend withnumeroushidden agendas and individual motivational factors. These agendas and motivational factors are not always easy to identify within a set of political influences that may inhibit proposed changes. The lack of systematic planninghas contributed to the failure of implementing many planning efforts. If done from a systematic perspective, planning can be a positive factor in bringing about change. By contrast, when planning is not done correctly, one can be assured that change will not take place in a school? SUMMARY

Program planningis a group processin which a buildingprincipal has a major responsibility. Program planning cannot be done as a separate process that is totally removed from other major aspects of the principal’s job. As suggested earlier, staff development is perhaps the key area of responsibility of the school principal. Program development can emerge from staff development. Without solid efforts for staff development, it is unlikely that there will be productive program development. Staff development andprogram development are two areas of responsibility of the principal and are irrevocably linked. Program development involves planning skills. Consequently, planning skills possessed by the principal become crucial to program development. Planning skills canbe learned and applied to the process of developingprograms. A systematicapproach, if adhered toandgiven leadership by a principal, can enable a staff to accomplish more in the area of program development than if those involved fail to understand systems theory. Knowledgeabout systems theoryand the concepts that go into a planning process are important areas of understanding for principals. Program planning is “where it all comes together” in many respects. For planning to bemost beneficial, the principal must provide the vision and the leadership for the staff to gain momentum toward the desired mission or purpose to be achieved. The provision of specific tools and prime resources needed to carry out the planning

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process and monitor the implementation effort becomes the responsibility of a building principal. Finally, every principal who would be a leader for the improvement of education will, of necessity, be a manager of the change process. Changes will be necessitated by program development and improvement. To make meaningful change calls for people to do something different or to change. Thus, the building principal must be a change agent.

NOTES 1. Ward Sybouts, Planningin School Administration: A Handbook (Westport, Connecticut: Greenwood Press, 1992), Chapters 12 and 13. 2. Ibid.

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Managing Student Services

INTRODUCTION Principals are responsible for providing many students with services that foster student development. Typically, student services include a rather wide range of duties and responsibilities. Student services haveexpandedtomeetgrowing demands emerging from changes in society. The guidance and counseling functions have been restructured to accept a wider range of responsibilities in response to changing valuesandfamily structures. Persons workingin student services have felt the growing demands generated by pluralism. As growing disruptions in society, such as drugs and gangs, enter the schoolhouse doorwith expandingnumbers of students at risk, school personnelhaveresponded by accepting expanded areas of responsibility. Societal expectations have accompanied pupils into schools as diverse pressure groups have made their wishes known, elected officials have sought to bring about change through legislation, and the judiciary has ruled on controversies covering a range of topics. Principals face an equal range of responsibilities in student services. In many larger communities, a separate student services office may function as a part of the central administration. If so, that office may have some of the responsibilities for organizing and administering services such as student admissions placement of students in special education and gifted programs student records student discipline, including exclusion, suspension, and expulsion reports to agencies of county, state, and federal governments

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liaison with community agencies for student health and welfare needs legal aspects of student attendance, delinquency,and employment student transfers health services This chapter consists of a discussion of the need for student services; it also provides guidelines for building administrators to use when addressing those needs.

VALUES, CULTURE, AND EXTERNAL INFLUENCES Change is at the heart of education and society, and perhaps nothing insociety is changing as rapidly as the American family. Not long ago school administrators could assume that most students came from stable, two-parent families, the families depicted in the populartelevision shows of the 1950s and 1960s--I Love Lucy and Father Knows Best. But that familiar image has gone-American families have a very different look in the 1990s.

Changing Family Structures Perhaps the most significant fact about how families have changed is that in

1960 one child in ten lived with just one parent. In the early 1990s, one child

in four lived with just one parent; 22 percent lived with their mothers only, 3 percent with their fathers only, and 3 percent with neither parent.’ The 1990s numbers are even more striking for minority children. Approximately 55 percent of black children lived with one parent, as did 30 percent of Hispanic children? In 1960, 8.1 million mothers with children under 17 worked; in 1991, the number of working mothers had grown to 22 m i l l i ~ n One . ~ person in seven spoke a language other than English at home as non-English speakers increased 34 percent in the 1980s. The traditional nuclear family is on the wane, and although its passing is regretted, attention must be focused on what can be done to help children from nontraditional families be successful in school. Children with two parents have not necessarily enjoyed the benefits of a stable home environment. In 1985 one in six children was in a stepfamily. By the turn of the century that percentage is expected to rise to about one in four. Federal government officials estimate that 60 percent of the children born in 1987 will spend some time in a single-parent household before they are 18 years old? Handling discipline cases, for example, is a different and often more difficult challenge for single parents and stepparents than it is for traditional, two-parent families, Increasingly, one parent must play the role of both mother and father, and in many cases the strain of single- or stepparentingshows in children’s behaviors. Educators must acknowledge changes infamily structures and de-

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velop strategies that take into account the circumstances children face in their home lives.’ At the other extreme, children suffer from an abundance of material goods and have become what Baldwin called the “Cornucopia Kids.”6 Parents who tryto give their childreneverything need assistance in giving their children fewer material possessions and more training in values that will helpthe children succeed on their own later in life. Baldwin advocated that parents instill Mastery Motivation in children: 1. Give your child regular work responsibilities. 2. Refrain from giving your child so many freebies.

3. Severely limit television viewing time. 4.

Give your child sensitivity training, for example, demand respect.

5. Insist on completion of an activity or project as a personal value.

6. Help your child deal adaptively with failure.

7. Legitimize personal values over conformity. 8. Make your child personally accountable. 9. Engage your child in cooperative projects.

10. Create clear boundaries for work.

Many families are under stress from within and without their homes. Economically, many families are in dire straits. From 20 percent to 25 percent of children live below the poverty line, and on any given night 100,000 children are homeless. The ranks of the homeless are rapidly expanding. According to a study conducted by the International UnionofGospelMissionsofinner-city missions in October 1991, the number of homeless children had increased 33 percent in the previous year. Over 55 percent of the homeless were under age 35; in other words, theywere of parenting age. Accordingto the survey, 60 percent of the more than 20,000 homeless people staying nightly incity missions across the country had been homeless less than a year, and 64 percent had been employed in the past six months.’ Social tensions and troubled economic times have combined to put enormous pressures on families. Together these two factors help account for a number of alarming changes in family structures: The number of single parent families is growing. The number of stepfamilies is also increasing. More and more families are homeless. An increasing number of grandparents are raising their grandchildren in the absence of the children’s parents.”

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Changingconditions andtroubledtimeshave,however,helped foster new coping strategies among family members. Although women are still the primary caretakers of children in our culture, men have become active in ways that their own fathers and grandfathers mightneverhave imagined. Although “stay-athome dads” are rareenoughto be subjects of stories in popular print, more subtle but widespread signs of changes in family roles are evident, such as the Corporate board presence of diaper-changing tables in publicmen’srooms. members have started to recognize that helping employees solve family problems, for example, by providing economical quality child care, can have a positive effect on their productivity and profits as well as on employees’ morale and job satisfaction. Crime Crime has increased along with deteriorating social conditions. In 1980 some 320,000 persons were incarcerated; by 1990 thatnumberhad increased to 736,000. To keep pace with the number of incarcerated persons, 250 new cells need to be built per day at a cost of $4 million per day. The number of blacks in their twenties in prison is one in twenty; that is a higher ratio than students in college for the same group. Although 50 percent of the prisoners are released every year, 26 percent of them will return to prison four more times before age sixty-f~ur.~ The rates of incarceration and recidivism are the result of unparalleled social problems that educators need to consider in program planning. The very least that educators can do is to strive to develop ways for students to bond with peers, staff members, and social groups. Students need to have a sense of identity and feel a connection tothe school anditsprograms. If students are isolated from the mainstream of school activity, have difficulty in coping with conditions at school, and adjust poorly to social settings in schools, their attitudes and behaviors may lead to dysfunctional actions. Gangs The spread of gangs and their resultant threat have invaded schools and communities. Gangs form in a territory, choose their colors and means of identification, carve out their territorial claim and mark it, and protect their turf, often at any cost. Gang members do not restrict their violent behaviors to out-ofschool hours and off school property, nor to members of other gangs. Consequently, the fear of violence induces many persons, not only gang members, to arm themselves with guns, knives, and other weapons for protection. Building administrators must be alert to the formation and activities of gangs, seek to establish their schools as neutral territory, and ban gang apparel, colors, activities, weapons, and violence. Like all students, gang members must be treated firmly, fairly, and consistently; discipline codes must be enforced. Signs, symbols, and graffiti must beprohibitedandremoved immediately lest opposing

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gangs battle over defacement of one gang’s symbol. Alternatives to gang activities must be provided so that students can be dissuaded from joining gangs. Cooperative efforts to curtail gang activity must be maintained with community agenciesLo

National Education Goals In response to concerns about education and the plight of many youth, six National Education Goals were set: 1. Readiness for School. By the year 2000, all children in America will start school

ready to learn. 2. HighSchool Completion. By the year 2000, the high school graduation rate will increase to at least 90 percent. 3 . Student Achievement and Citizenship. By the year 2000, American students will leave grades 4, 8, and 12 having demonstrated competency in challenging subject matter, including English, mathematics, science, history, and geography; every school in America will ensure that all students learn to use their minds well, so they may be prepared for responsible citizenship, further learning, and productive employment in our modem economy. 4. Science and Mathematics. By the year 2000, U.S.students will be first in the world

in science and mathematics achievement. 5 . Adult Literacy and Lifelong Learning. By the year 2000, every adult American will be literate and will possess the knowledge and skills necessary to compete in a global economy and exercise the rights and responsibilities of citizenship. 6 . Safe, Disciplined, and Drug-free Schools. By the year 2000, every school in America will be free of drugs and violence and will offer a disciplined environment conducive to learning.

These goals are expressions of concern, hope for the future, and recognition that schools, too, must deliver improved services. How can schools improve to better serve the needs of students as portrayed in changing American demographics and clamored for in America 2000? The challenge faces administrators in every district, school, and student services program. School officials have, in fact, many tools at their disposal. The academic calendar, for example, which was developed to coincide with the planting and harvesting needs of an agrarian society, can be redesignedtobetter suit the needsofan increasingly urban society. The schooldaycanbelengthenedto accommodate the work schedules of students and parents. The concept of a neighborhoodschool canbe freshly imaginedas a multipurposecommunity center that provides everything from adolescent health care to adult vocational education and enrichment programs for senior citizens. Educational resources may be limited, but imaginative and innovative ways can and must be found to tackle daunting problems society faces.

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Training and Development of Principals

Motivation Motivation of students must not be left to chance, to family circumstances, nor to unknown forces. Building administrators should lead the exploration of ways tomotivatestudentsto succeed in school. Analyses of learning styles, teaching styles, models of teaching, motivational theories, and findings from research on mastery learning and effective schools can lead to steps to motivate students to learn. The literature on self-concept and self-esteem can be examined for principles that relate to motivation. For example, teachers with training in promoting positive self-conceptsreport higher rates of success in motivation. A range of intervention strategies within school, such as personal counseling to staff development for teachers, and outside the school, such as referral to community agencies, can be designed. Reality therapy is one process used to address motivation problems.” Aspiration levels can be raised by structuring activities so that students enjoy success from their efforts. Achievement motivation may be fostered through programs and activities that focus upon excellence for its own sake. Also, achievement motivation maybe enhanced when individuals recognize the need to take responsibility and work toward goals they have set. Students who are permitted to have some influence into what topic is tobe studied and how it is to be studied benefit from the degree of control they have. Some students perceive that their maingoalisto demonstrate their ability andhowthey fare in comparison with their peers. Such students focus upon proving their ability and self-worth to be in keeping with their school’s mission. In the face of difficult tasks, ability-focused students may opt out ofparticipating to avoid failure or their inability to outperform others. Ability-focused students tend to use low-level cognitive strategies, such as memorization. Students who perceive that their main goal is to master tasks, to work hard, to achieve, and to meet challenges are less interested in comparisons with other students and may thus be less susceptible to peer pressure. They tend to use higher-level strategies, such as processing new information into conceptual models, taxonomies, and other forms that hold existing information. Does the perception that students have of their school’s mission influence how they perceive their goal and their level of thinking? An examination ofhow students perceive their school’s mission may prompt careful examination of the effect of a school’s mission and the role of the building administrator in directing that mission.I2 If a school’s mission promotes competition among students, what kind of learning will that foster? What kind of relationships will be formed that are based upon relative ability and comparisons with others? The task of motivating students is an intimidating one; nevertheless, administrators must find ways to increase student motivation to learn. Teachers who are successful in motivating students start the school year by establishing classroom procedures and reasonable expectations and standards. Special efforts are made to create a work-oriented, but relaxed, environment. Teachers explain the reason for rules, regulations, and work standards and subsequently remain con-

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sistent in their procedures, expectations, standards, and rules. Instructional time is planned carefully so that little time is wastedand class time is spent in a varietyof activities. Teachers who recognize unmotivated or underachieving learners have taken the first step to helping them. Students are cued on how to move from one activity to another and are given clear directions to follow. Students’ tasks are often cooperative efforts that reinforce the expectation of showing respect for others and for their ideas. Student input on matters that directly affect them is sought. All students receive frequent feedback and praise about specific accomplishmentsas teachers “catch someone doingsomething right.” Students knowwhattheywant teachers to belike: caring, devoted, patient, and interesting. Isn’t everything in the list what ail of us want in our family members, colleagues, superordinates, and friends? Teachers show enthusiasm for the subjects they teach and personal interest in their students. Teachers who want to motivate students are interested in learning about motivation, tryto improve their motivational efforts, andregularly reflect upon their attention to motivation. Above all, educators who are good motivators “love kids” and their jobs. Enthusiasmis contagious and not harmful to students.

ADMISSION AND ATTENDANCE For the most part, state laws determine which schools students may attend. School boards also play a role in setting admission standards, attendance boundaries, and other requirements. School principals are obligated to be thoroughly familiar with particular laws and policies governing admission to their schools. These considerations mayinclude school attendance areas withinthe district; transfer procedures and policies from other districts, including acceptance of credit from previous schools and placement of students in an appropriate program of study; foreign exchange programs; admission of nonresident students; criteria for entrance into kindergarten; acceptance and placement of children who need special education; and the maximum age at which students must leave the school system. In addition, the process for determining eligibility for admission(namely, evidence of birth date, date of adoption, immunization, and physical examination, must be followed. Because principals of schools are often the parents’ first source of information about admission requirements, they need to be well versed in such standards. Principals must also be familiar with what to do if students fail to meet the criteria for admittance-especially with appeal procedures. Principals’ responsibilities do not end with admission. Principals must continue tomonitor whether students are attendingschool after havingbeenenrolled. Creating a climate where students will want to come to school-a place that is predictable, physically and emotionally safe, socially accepting, and mentally stimulating-will be worth the energy.

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Policies for Absences and Tardiness Merely keeping track of absences and tardiness is a large task. Trying to figure out how to stem absenteeism and tardiness is a monumental one by comparison. Absenteeism and tardiness cannot be traced to one factor. What might work well for a Wednesday or a day in November might not work as well for a Monday or a day in May. Compilation of records may indicate that selective absenteeism and tardiness are greater than believed, as one-fourth or one-third of a student body may miss one or more classes a day. The adoption and enforcement of stringent policies and rules may provide some relief but not elimination of chronic or selective absenteeism and tardiness. People’s views on absenteeism or tardiness change from timeto time. Biology Teacher Awants a day for a field trip but objects when Teacher Bwants students for a day’s music performance. Coaches want students dismissed from classes for the big game but become irate when a student athlete is late to practice. Parents will request from time to time that their children be absent from school; ironically, some parents will object to the closing of school because of storm warnings when their plans are disrupted. Principals must anticipate requests from every source and have carefully reviewed that position to take with regard to a variety of requests. Simple guidelines for approving absences work best. School district personnel may choose to approve absencesfor personal illness, bereavement in the family, medical appointments, court appearances, or religious observances. Parents or guardians often request a student’s absence from school for other causes that seem “reasonable” to the parent or guardian. Principals must determine what is “reasonable” in their best professional judgment and be prepared to explain their decisions to students and their parents or guardians. Because of the large number of absences that may accrue in a school with a large population, a distinction between excused and unexcused absences may be abolished and students be given a number of absences per term. Parents are, of course, notified of each absence andmaybereminded of their dutywith regard to school attendance. Trying to determine whether an absence is excused or unexcused may be too large a task.

Make-up Work Arrangements for handling make-up work should be in place so that uniform practices are followed by all teachers. Often students will be expected to completeworktheywill miss in advance of their absence.Students who missa class because of participation in an approved school activity should not be considered absent butpermittedto substitute oneactivityfor another. Principals should help the teaching staff establish guidelines for make-up work in such cases so that students are not caught in a struggle between teachers. Regardless of the nature of an absence, students have the responsibility to make up school

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work that has been missed. Principals can assist students by outlining what is a reasonable amount of time to make up for an absence.

Truancy Absencesfrom any class or assigned activity withoutschool approval are normally classified astruancyand should behandled in accordance withthe school’s disciplinary procedures.Problems with schooling, home life, and a school’s environmentoften lead to truancy. In some cases, school adtninistrators are not able to address the root of truancy, such as chaos in a student’s life at home. If the school environment is unhealthy, principals can seek to improve conditions; for example, a reductionin racial tension or violence can be sought. Factors concerning the teachers of truant students, school rules, and social relationships may also be studied. Rewarding good attendance, applying consequences for unexcused absences, providing counseling services and cross-age tutoring, offering support services for parents, and engaging community support for attendance may lead to a reduction in truancy. Court personnel have indicated their support for school districts where credit for work missed because of truancies isnot granted.I3 A systemof progressive consequences for truancy could consist of (1) notificationof parents or guardians of first truancy; (2) parent conference and one-day suspension for second truancy; (3) notification of truant officerandthree-daysuspension for thirdtruancy;and (4) informal hearing to discuss expulsion for fourth truancy as well as grade reduction for each class missed.Students need asense of identity, purpose, security, and belonging in a safe environment. Attendance,punctuality, and dependability are expectations that are admired and rewarded by society in general; administrators are expected to do their part in transmitting society’s values to students. Focusingupon the needs of truants shouldleadto a betterunderstanding of these needsandthe programs necessary to matchtheirneeds.Simply put, students with good records of attendance and punctuality do better in school than students with poor records, and school policies and practices have an effect upon absenteeism and tardiness. A district’s policy on tardiness should guide administrators’ actions, particularly in connection with disciplinary procedures. Building principals may, however, have to decide whether tardiness is excused or not. Guidelines should be in place for handling repeated tardiness. Disciplinary procedures could include detention or schoolkommunity service for a specified number of tardies; inappropriate punishment,such as assignment of extra homework,shouldbe so designated. Regardless of the policy and guidelines, however, careful adherence to due process should be followed with each tardy or truancy.

Student Employment Many teenagers work while enrolled in school. Jobs in fast-food restaurants and stores, lawn services, and babysitting are readily available because employ-

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ers need pay only the minimum wage. They need not offer fringe benefits or provide for career development. Students are more likely to work to buy a car or stereo than to supplement family income; thus the large numbers of students working and the amount of time spent working is troublesome to many observers. Time spent working is time that cannot be spent on studying, completing homework assignments, participating in co-curricular activities, enjoying family and community activities, performing community service, or in other events. The roleof the school in providing job placement for students should be carefully examined. Experiencesin working extend students’ views of the world. If the experiences are pleasant ones, students will tend to develop positive work attitudes and may see the relevance of schooling to on-the-job duties. Cooperative education programs, for example, are designed to introduce students to the workplace, and vocational counseling canassist students learn about careers and available jobs in the community. If experiences in the workforce are unpleasant, students may acquire negative views about work, employers, and conditions of employment. People,parents, students, and educators, cooperatively and in partnerships, can seek to merge the best of the schoolhouse and the workplace. At the same time concern is expressed about student employment, adherents of community volunteerism are voicing its benefits. Debates over the number of hours of volunteer worktobe attempted, whether all students must “volunteer” for community service, wherevolunteerwork should be conducted within a community, how a community volunteer program is to be organized and administered, how legal ability is to be determined, and similar issues need to be resolved for a student volunteer program to function effectively. The value of volunteer programs, in common with other programs, is a function of agreement upon purposes, values, operational principles, and community support.

Homework Asking students to do schoolwork at home raises many issues. How much homework should be demanded of students at each grade level? How can homework be controlled so that students are not faced with assignments from four, five, or six teachers an evening? What kinds of assistance are parents expected to provide? What can be considered as parental interference? Should homework assignments be individualized in keeping with home conditions? Should parents be allowed to excuse their children from doing homework? Must homework be done only by each student independently of others? Should students be allowed time during the school day to work on homework? If students miss several days of school, should homework assignments be modified, reduced, or dismissed? Should teachers assign homework only after students have achieved a certain degree of mastery of a subject? Should teachers assign homework only on projects that are begun in school under teacher supervision? Should homework be assigned as punishment? How should homework be scored and graded? Should homework be scored for accuracy, completeness, quality, effort, and the like?

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What part of a term mark, if any, should come from homework? Should “easy” assignments be offered so students can raise theirgradesand marks? Should principals review teachers’ homework assignments? If so, what criteria should be applied? Should extensive homework assignments be given over a weekend or holiday? Should students be expected to go to a public library to complete an assignment? Shouldresources, such as computer labs and instructional media centers, be available to students after school hours?To what extent should teachers fromadepartment or teambe consistent in assigning homework?What homework practices should be required? forbidden?What is theimpact o f homeworkupon student learning? the curriculum? instruction? How is homework perceived by students? teachers? parents? the community? administrators? Lastly, what is the purpose of homework? The topic of homework generates a sufficient number of questions for teachers, administrators, students, and parents to discuss. Perhaps the search for answers to questions about homework calls for principals to obtain input from all segments of the school’s community. Principals can help to increase the effectiveness of homework by having teachers agree upon uniform practices. Teachers can also individualize homework assignments, instruct students on how to complete homework assignments, andprovide supplemental resources so that students are better prepared for the next day’s lesson, have practice in and review of material, and can generate creative responses to ideas and expand upon ideas that are covered in school. Ifthe purpose ofhomeworkisidentifiedand explained to students andifhomework assignments are varied, thenhomework assignments can provide additional learning opportunities for students. Accurate Reporting Faculty and staff members need to understand the importance of reporting studentabsences accurately. Attendance needstoberecordedforeach class period, as a state’s financial aid is often based, in part, on average daily attendance or average daily membership. Parents have a right to be informed about their children’s whereabouts, and school personnel are obligated to inform them about policies, rules, regulations, and guidelines concerning tardiness and attendance. Ultimately, parents are responsible for teaching their children that they need to be in class and to see that they do attend. Sufficient clerical staff should be hired to handleabsentee reporting, recording of attendance data, and parental contacts. In cases of unaccounted-for absences, principals may have a clerk call parents at home or at work to ask why their is generally preferred, children are notin school. Althoughpersonalcontact some principals use a computerizedautocaller that sends a prerecorded message from the principal saying, for example, “This is Mary Smith, principal at Central High School. Your student was reported truant three periods today, March 1. Please call the school attendance office before 8 A.M. tomorrow to clear up the truancy.” In either case, a consistent, dependable systemshould be in operation.

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Autocallers and attendance sheets thatcanbescanned electronically offer administrators an opportunity to take advantage of advanced technology. Electronic attendance sheets can be read by a machine that will report unexcused absences. These absences can thenbefedintoan autocaller thatcanbeprogrammed, for example, to call parents at times they are most likely to be home, such as from 5:OO P.M. to 1O:OO P.M. The autocaller can also record if someone answered the phone, if the message was received by an answering machine, or if the message was undeliverable. Designated personnel must notify parents of elementary and middle school for school. Some students immediately if their children havenotshownup advocate that immediate notification should be given to parents of senior high school students as well. Accurate record keeping is essential for a varietyof reasons beyond the safety of individual students. As more states base their payments ofaiduponthe attendance of students, greater reliance will be placed upon school records. Taking truants to court has proved to be effective for the Tulsa County schools in Oklahoma. Each district in the county received about $3,000 a year in state and local reimbursement because of an increase in average daily attendan~e.’~

Attendance Rewards Some administrators have enlisted the help of business and industry leaders and parents to reward good attendance and promptness with awards. Recognition maybe as simple as placing the student’s nameand picture in the school or neighborhoodnewspaper.Localbusinesses may award students whohave achieved excellent attendance with coupons for free video rentals, discounts on food and movie tickets, t-shirts, and other items of high interest to young people. Such programs seem a positive wayto combine community support for education with improving school attendance. In some instances, the home culture of students is not conducive togood school attendance. A difference between cultures, along with the spotty attendance of students who work or who are themselves parents, may best be handled by guidance counselors and school social workers before being turned over to legal authorities. Some basic principles include the following: MakeSure that attendance and tardy guidelines follow state statutes and board of education policies. Know district boundaries. If a student does not live in the district, direct the parents to the correct school or procedure for requesting a transfer. Evaluate why studentsarenotcomingtoschool.Areschoolprogramsavailablefor meeting their needs? Are staff members aware of students’ unmet needs? What can be SUPPOfl their done to help students who are pregnant, parents themselves, working to family, in need of drug/alcohol intervention, victims of child abuse, or faced with other

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chronicproblems?Whatinterventionservicesdostudentsneedto school and to succeed?

201 be abletoattend

Evaluate the attractions of before- and after-school activities, such as breakfast clubs or intramural activities. Are there a variety of academic and social activities for students to participate in that give the feeling that “school is a good place to be for me?” Analyzethetypes of school activities for parents, guardians, and patrons other than athletic events, for example, support groups or band, math,or debate booster clubs. Know state requirements for keeping attendance records, Follow district policies on releasing student information to students, parents, guardians, and others.

GUIDANCE AND COUNSELING Among the many responsibilities of school counselors, the following are primary: Counseling students-and

at times parents

Consulting with staff members Integrating guidance services into the school’s instructional program Under idealcircumstances,the skills ofthecounselingstaffcanbeused to optimum advantage when all faculty and staff support the guidance program. Counselors should strive to strengthen the guidance role of teachers. In addition, parents and community resource members shouldbekeptinformedand encouraged to participate in the development of students. Building administrators should work with counselors to identify and prioritize where their time, expertise, andenergiesneed to bespent. Onescenario for allocating time and resources is shown in Table 8.1.15

The Guidance Curriculum The guidance curriculum assists the students in a systematic way to enhance their educational, personal, and social development. Provisions for helping students solve the problems they face can be of inestimable help. Students need to learn how to identify the cause, not merely the symptoms, of problems; explore their feelings; consider their responsibility with regard to a problem; weigh the alternatives availableto them; select the “best available” option; prepare a plan to resolve the problem; outline steps tobe taken; and so on through the analysis of actions taken. Counselors can train teachers in problem solving to increase their effectiveness.

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Table 8.1 Allocation of Time and Resources in Elementary, Middle, and Secondary Schools

Elementary School

%

Middle School %

High School

%

I. Curriculum

40.0

30.0

20.0

11. IndividuaVStudent Planning

25.0

30.0

40.0

111. Responsive Services

25 .O

IV. Program Management

10.0 15.0

25.0 25.0 15.0

Student Planning

The student planning component gives counselors an opportunity to assist students in developing educational and behavioral plans and to take appropriate steps towardtheir goals. Career planning andvocational programs should be available to students of all abilities, backgrounds, and interests. School counselors and social workers provide responsive services to assist students considered at risk. Learning problems may stem from attention deficit, poor memory, insufficient skills to interpret and formulate oral and written communications, poorly coordinated fine motor skills required for tasks such as writing or drawing, or lack of ability to sequence information and materials and spatial relationships. Staff members attempt to help students of all ages solve problems that interfere with their educational, personal, and social development. The concerns most frequently presented by students, staff, or parents to counselors include the following: 1. Academicproblems

2. Child abuse

3. Transitionalfamilies 4. Death and dying

5. Grief and loss 6. Suicide

7. Sexuality 8. Tardiness, absences, truancy, and school phobia

9. Behavioralproblems

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10. Peer relationships 11. Chemicalabuse 12. Crisis in family

In responding to these concerns, counselors mayworkwith individuals or small groups. Counselors should also consult with parents, guardians, and staff members and provide information regarding district and community resources. A number of excellent resources are available from professional organizations such as the NASSP and PhiDeltaKappato assist in setting up intervention programs for dealing with crises, transient students, and pregnant or parenting teens.

Advising Because of a high ratio of students to counselors, teacher advisor plans have become commonplace,particularly in middle schools. Teacher advisor programs are intended not to replace the specialized services that are expected of guidance counselors but to provide a practical means of improving school effectiveness and the learning environment. Teacher advisors, administrators, and specialists in guidance and counseling canwork together as a team to help students identify and attain their educational, career, and personal goals. Members of a school’s faculty should be in agreementon the meaningof “advisement,”“counseling,”“guidance,” andrelatedterms.Personal counseling by specially trained professionals (therapy) is often viewed at one end of a continuum with advisement between it and guidance (instruction). Guidance programs on academic, career, or personal issues can be offered to individuals or to groups. These guidance programs are clinical or quasi-administrative in nature and often informational. Guidance services, from therapeutical to instructional, include referral of students, counseling, record maintenance of counseling sessions, testing programs, registering students in courses, job-related placements, developing and delivering units of instruction on guidance-related topics (e.g., college planning), and providing career information. Advisement is an essential function ofthe instructional component of the continuum. If advisement is viewed in this light, teachers are well qualified to serve in a capacity of “instructor” to students about goal setting, career planning, and selecting a postsecondary institution to attend. Teacher advisor programs are also known by other terms: advisor-advisee, advisory base, advisory period, expanded homeroom, homeroom, homebase, and student assistance. In teacher advisor programs, teachers provideinformationabout academic planning, careers, postsecondary institutions, andpersonalandsocial adjustments. In brief, teacheradvisorprograms call for a close relationship betweenone student and one staff member. The worth and dignity of all students are promoted through the contributions of every staff member as teacher advisors pro-

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vide instruction on and counsel how to study, practice self-discipline, use time wisely, get along with others, handle anger and disappointment, and implement plans for self-development and growth. The role of guidance counselors is not diminished by the formation and operation of teacher advisor programs. Counselorswork with teachers and administrators to plan guidance programs, plot the advisement activities throughout the year, compile materials for class sessions, plan and organize meetings with parents, monitor the testing program, and, of course, handle referrals. School counselors have arelationship to teachers much as teachers have to their student advisees. The role of building principals is of great importance to the success of teacher advisor programs.Principals who provide time in the daily schedule for a teacher advisorprogram, allocate resources, disseminate information, arrange for inservice programs, andgive enthusiastic support willhave a visible meansof school improvement. School Climate A school’s guidance and counseling program is a good source for improving a school’s climate. Counselors may well have specialized training in working with individuals and groups who are under stress and engage in dysfunctional behaviors. Working with administrators and other staff members, counselors can identify ways to help individuals reduce stress and tensions, show how organizations can address inhibiting factors within a school, and suggest how to improve learning, teaching, andworking conditions in a school’s environment. Symptoms of dysfunction need to be identified, not covered up, and a plan for improving the school’s environment can follow. According to Herzberg’s twofactor or motivator-hygiene theory, some factors in organizations, such as achievement and recognition, are motivators in themselves and lead to job satisfaction. Other factors, such as interpersonal relations and policy, whenthey are not gratified, lead to job dissatisfaction.’6 Other theories about climate, job satisfaction, productivity, and healthy interpersonal relations can be studied to learnwhathealthy organizations are likeandwhat can be done to improve conditions. An analysis of Herzberg’s theories canlead to a study of school policy to determine what policies are likely to produce dissatisfaction and what can be done to improve the effectiveness of the policy. Counselors, staff members, and administrators who work together can produce a climatethat is healthy and fosters growth in all. Resolving Conflict One source of discomfort within an organization is interpersonal conflict. Inservice training can beprovided by administrators and counselorsabout the inevitability of conflict, the need for actions that might invoke conflict in cases

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where issues mustbe addressed, thenecessity for revealingemotions about issues, the primacy of trust between and among individuals as a condition for resolving conflict, the need for all parties in a conflict to emerge with dignity, and how to engage in conflict-reducing behaviors. Programs in conflict resolution can be designed and delivered to students andstaff members. Such programs can lead to better ways of resolving conflict of individuals within and outside the school.

Grouping Should students behomogeneously grouped?Or isthe question, “When should students be grouped?”The great debate overhomogeneous grouping rages on at fever pitch. At one extreme, some teachers will claim that each student is a group-uniqueness to the ultimate. Opponents of ability grouping claim that such groupings is detrimental to student self-concept. In secondary schools, the selection of elective courses may be perceived as a form of grouping. The inclusion of students with learning disabilities into regular classrooms adds another dimensionto grouping for instructional purposes. Perhaps the great majority of educators favorgrouping to meetstudents’ developmental, academic, emotional, and social needs. Teachers will want to determine how grouping will be conducted in their classrooms, and administrators and counselors can assist teachers in making decisions by providing resources, materials, access to technology, and encouragement for appropriate grouping, and by creating schedules that promote learning. Provisions for large-group instruction, heterogeneous and homogeneousgrouping, interdisciplinary study, shortened periods, a rotating schedule on aday-by-day basis,andother practices enable teacherstoplan creatively for meeting students’ needs. Administrators and counselors can work together to provideinformation on theprosand cons of grouping practices, alternatives to scheduling and grouping, and research findings so that classroom teachers make well-informed decision^.'^

LIMITED ENGLISH PROFICIENCY PROGRAMS If the world’s populationwere represented by a village of 100people, it would consist of 56 21 9 8 6

Asians Europeans Africans SouthAmericans NorthAmericans

Of these people there would be:

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30 Christian 17 Moslem

13 Hindu 10

Buddhist 9 other 21 atheist Of the 100 people: 6 wouldcontrol half of thetotalincome

50 would be hungry 60 would live in shanty towns 70 would be illiterate

Theconcept of the world as a global village isuseful in placing student services in perspective as to its importance. What is known about human interactions and relationships is useful in developing strategies to increase multicultural understandings: Facts alone do not reduce prejudice; social class prejudice may be the strongest form of prejudice; persons with high self-esteem tend to have a low degree of prejudice; cognitive, affective, and behavioral components of prejudice are not necessarily related; visual media can be used to improve attitudes; the amount of time spent learning about a group is directly related to reduction in prejudice; a climatethat fosters open discussion of negative feelings can encourage a changeto more positive attitudes; and understanding the process of prejudice and stereotyping can lead to more accepting attitudes.18 Programs based on the foregoing principles can lead to increased understanding, awareness,and appreciation ofmany cultures. Ultimately, all students willneedto function in a culturally diverse society-in the global village. With so much to teachandto learn, perhaps educators can do best in examiningfundamental questions such as “What does it mean to be a human being?” and in helping each student to “Know thyself,” as the ancient Greek advised. Many students come to school with limited proficiency in English. Bilingual populations have concentrated in urban areas in the Southwest and Northeast but are distributed throughout the United StatesI9 The term “Limited English Proficient” (LEP) is used by the U.S.Departmentof Education to describe nonnative English speakers who lack sufficient English-language skills to participate in regular classroom programs without assistance. Other labels are also used, such as Non-English Proficient, Culturally and Linguistically Diverse, and English as a Second Language. Social and political reforms in the latter half of this century were aimed at increasing educational opportunity for students with diverse needs, including those with language deficiencies. Two types of programs were developed for LEP students: bilingual instruction and English

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only. Unfortunately, in many cases the programs wereviewedas “eitherh” and much energy was dissipated over philosophical differences. Many bilingual programs “immerse” students in a second-language classroom with little or no instruction in students’ first languages. Otherbilingual programs seek to provide early or late transitions to English-only classes. A major consideration regarding instruction is whether to maintain the first-language and culture of students or to assimilate students into the “cultural mainstream” through transition programs. Englishas a Second Language programs are generally of two kinds: ESL plusor stand-aloneESL.Students in ESLplusreceiveinstruction in content areas as well as in English; instruction in content areas may be given in students’ native language as well as in English. In stand-alone ESL programs, students are grouped for instruction in English in pull-out programs. Consideration must be given to numerous factors, such as promoting students’ self-esteem and social-emotionalgrowth,cognitivedevelopment, critical thinkingandproblemsolving skills, and pride in cultural heritage. The extent to which a student has developed native language skills is critical to learning a second language, as a threshold level of linguistic competence must be attained for second-language learners tobenefitfromboth languages. Therefore, use of primary languages should not be discouraged so that competence in both languages is facilitated. Thelanguage skills of teachers, identification of appropriate learningand teaching strategies, and related curriculum and instruction matters are other relevant factors in meeting the needs of students whosenative language isnot English. Cultural variables have a direct bearing on how students react in classrooms. Some variables include role differences by gender, verbal and nonverbal communication norms, eye contact, emphasis on punctuality or on using time efficiently, cooperation versus competition, touching, and body space. In some cultures direct eye contact with a superordinate shows lack of respect whereas in another it shows attentiveness. In another, close physical contact with frequent touching is acceptable; in other cultures, such behaviors are inappropriate. Recognition of a student’s native culture is an important feature of instruction in English.

REGULAR EDUCATION INITIATIVE After the passage of PL 94-142 in 1975, services to exceptional children rapidly expanded. Not all efforts have succeeded because the models of service in resource rooms, special classes, and special schools failed to meet the expectations set for them. Classifying, labeling, andplacing students in service delivery models were often inappropriate and unreliable. The decisions of staffing teams were as often based on teachers’ attitudes, availability of space, and local models, as on “least restrictive environment” requirements in law. Even if students wereproperly diagnosed, labeled,and classified, theywereoften stigmatized by those actions. Overtime educators have favored programs for students with special needs that include them in regular classrooms because of

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fundamental assumptions about learning. To what extent do you believe in the following? All students can learn. All students can learn how to learn. All students can learn from other students. Effective teachers can teach all students. Effective teaching strategies are effective with all students. Setting high expectations is a powerful tool in motivating students to reach their potential. Learning and teaching are active processes that are interactive, not independent.

Students with disabilities can be integrated socially into regular classrooms. Students with disabilities will maintain positive self-concepts in regular classrooms. Students with disabilities will maintain passing grades in regular classrooms. Students with disabilities need not c a y negative stigmas in regular classrooms. What educators believe about students andhowtheylearn is thebasis for their actions. Taking time to reflect upon basic beliefs, values, and philosophy can result in altered waysof thinking, believing, and doing.As a result of intense probing of special education programs, the concept of full inclusion emerged. The full inclusion approach has several components: 1. All students attend the school in their attendance area if they have no disability. 2. A natural proportion of students with disabilities occurs at any school site.

3. A zero-rejection philosophy exists so that no student is excluded because of

the severity of a disability. 4. School placements are age and grade appropriate. 5. Cooperativelearning,peertutoring, and cooperativeteachingareeffectiveinstructional strategies. 6. Special education supports are provided within the context of the general education class.

LEARNING STYLES The store of knowledge about how individuals learn, store, retrieve, and use information is increasing in scope and complexity. “Learning” is far more than “listening” or “listeningintently” or “taking notes.” How people learn touches every aspect of school operations, especially those that deliver services to students-the ones who are expected to learn. Attention to learning styles of students can result in better forms of individualized instruction, more successes in instruction, better diagnosis of learners’ needs, and students’ greater satisfaction with schooling.

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Learning style is composed of several dimensions, such as adaptation to the environment, each of which is complex in itself. Cognitive, affective, and environmental dimensions blend with an individual’s characteristics so that preferences for learning are consistent. For example, one individual prefers to learn by discussing topics, whereas anotherprefers quiet solitude; another likes to see example after example, whereas yet another wants the opportunity to explore a new topic with little orno guidance, from a teacher.In addition, individuals perceivematters differently; some are field dependent or independent,solve problems in unique ways, and use different techniques for remembering information. A topic interests one student but bores another. One student can work intently for long periods of time, whereas a neighbor across the aisle has a need or compulsion to redirect attention at frequent intervals. One student is “freezing” in an air-conditioned classroom,whereas another begins to drowse because ofthe stultifying air. Some are morning persons; others are sharpest in the afternoon or evening. How can the learning styles of students be met when so many differences exist? An initial step, of course, is to ascertain the preferences thatstudents have for learning; this can be done through administration of a learning styles inventory.*O Scores fromsuchaninventorycanrevealprofilesfor individuals and groups. Analysis of the scores can lead to better understanding of how students learn, what kinds of changes in instruction might lead to improved conditions for learning, how to group students, what kinds of expectations to set for particular students, and what methods might be used to capture students’ interests. Emphases upon meeting the learning styles of students and capitalizing upon the teaching styles should result in more productive and pleasing environments. Specialists in learning or teaching styles can stimulate teachers to examine successful ways to improve the learning environment. Thenature of learning styles is ofsuch complexity thatsuperficial attention tothe subject will deter staff members from studying learning styles in sufficient depth. If only casual references are made about the importance of learning styles, teachers are likely to infer that the subject is not really important.

INTENSIVE EDUCATION One pattern seldom addressed is “intensive” study of a subject. In intensive education, students concentrate on one or two subjects throughout the school day for a few weeks. Educators maybe familiar with intensive education in summer school at a university; a common pattern is to study one course during a three-week period. The variation of time with respect to learning could be studied by a faculty interested in seeking new ways to improve student learning. How much time should students be allowed to learn about a topic? How can students be helped to spend more time on task? After given feedback and assistance, how much time should students be given to.learn about a topic? The proponents of intensive education contend that closer relationships be-

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tween students and teachers are developed;concentration onone subject increases motivation; students are required to becomemore active learners; fragmentation of learning is reduced; and teachers are forced to alter their teaching role, styles, and techniques. There are disadvantages of intensive education: The changes required of teachers are greater than some can overcome; students will have the opportunity to interact only with one teacherand one subject; scheduling is difficult; the school community may be fragmented; and not all students will benefit from it.

CAREER COUNSELING Professional counseling regarding the choice of careers, selecting postsecondary institutions, and entering the workforce cannot be neglected. Information about careers, postsecondary institutions, and jobs should be readily available for students and their parents. Counselors, administrators, and staff members are valuable resources for students and can encourage students to set high expectations for themselves. The capacity for development should not be underestimated, and school personnel should encourage all students to view the options available to them after graduating from high school. “College Day” and “Career Day” can provide windows for students to explore their dreams. Mentoring programs offer staff members the opportunity to establish nurturing relationships with students. Mentors can helpstudents improve their self-concept, enrich their life skills, give them a sense of belonging in the school, coach them in appropriate behaviors, serve as role models, and give them hope for a better future.

CRISIS INTERVENTION Tragedies are no strangers to school personnel, who are called upon to face one crisis after another. Tragedies are unexpected events that produce disastrous, debilitating effects. Severe injuries, deaths, suicides, and violent acts place students, school personnel, or parents and friends in emotional modes that disrupt learning, teaching, communications, and interpersonal relationships. Responding to a tragedy can help to ease tensions surrounding the event or can make matters worse. Because a tragic event can be emotionally confusing,plans for respondingto tragedies are essential for reducing tensions.Often crises such as car accidents or suicides require the investigation of law enforcement officers, whose presence may compound the crises and interject an aura of mystery. Law enforcement officers, may, however, have specialized training in coping with crises and provideinvaluable assistance. Forethought between principals and officials from law enforcement agencies, fire departments, medicalunits,and the media can result in coordinated efforts that mitigate emotional and psychological factors. Planscan be developed regardingspecific responsibilities of school personnel and those from external agencies; where the control center is to be located; when to call the police or fire departments, mental health experts,

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or medical emergency teams; howto estimate the level of force that school personnel should attemptin response to violent acts; who is authorized to release information to reporters; how to notify students, staff, and patrons (e.g., in homerooms by teachers rather than over the intercom); how to evacuate or to prevent persons from entering or exiting buildings; where students can go for support; what to tell students about how to act, speak, and grieve; what procedures to follow for attending funerals; where to house groups of people who might assemble at school; which community agencies canlendpersonnelforsupport teams; how to contact members of a support team from internal agencies (e.g., counselors from neighboring schools) as well as external agencies; how to handle telephone calls; what assistance might be provided by parents' groups; how to conduct assemblies; how to conduct briefing and debriefing sessions; how to establish and operate a rumor control center; how to handle compounding factors (e.g., semester tests) that mightoccur at the timeof a tragedy; andhow to evaluate the crisis intervention plan and its execution. Consider the crises thatschool officials facedwhenHurricaneAndrew hit South Florida on August 24, 1992. Andrew caused an estimated $20 billion in damage, left 160,000 homeless, put 86,000 out of work, destroyed 82,000 business, left 52 dead, and caused more destruction than any other hurricane. The schools were not spared: Nine public schools were destroyed and twenty-three schools had heavy damage for an estimated loss of $300 million.21A natural catastrophe can strike any place and stretch the resources of any community to the limit.

Death and Suicide The death of a student is a most severe crisis-perhaps the ultimate-that administrators must handle sensitively yet actively, with empathy and compassion for those saddened by a death and with calm, composed actions that model emotional control. Among fourteen- to twenty-five-year-olds, suicide is the second largest cause of death. Individuals who grieve need ways of expressing and dealing with their grief; personnel who have special training, such as counselors, can provide that kind of support when news reaches school. How to announce deaths is critical to the kind of emotional reactions that follow. For example, the best friend of a student who has died should be informed privately, simply, and compassionatelyby a trusted person and provided consolation and time and support for grief. Evasion of a tragic event will not reduce grief. Information about a deathneeds to be communicated to students, staff members, and parents so that recognition of the tragedy is given, facts are discretely revealed, and the need for a mourning period is openly acknowledged. The availability of a plan for crisis intervention can help assuage a loss of a peer, friend, or loved one and prevent a tragedy from being sensationalized. In far too many cases, administrators and teachers are called upon to be surrogate parents and family for students who are figuratively or literally homeless. Training programs on topics

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such as direct and indirect warning signs of suicide, behavioral and situational clues as the death of a parent, referral procedures, stress management, kinds of assistance that are available from community agencies, grief counseling, and similar subjects can be useful. Student Assistance Teams The organization of a student assistance team (SAT) to meet regularly and discuss students is another means of prevention, education, and intervention?* Team members discuss students who are referred to them by teachers. They are asked to look for disturbing signals, such as aggressive behavior, alienation, depression, withdrawal, decreased achievement, and increased substance abuse. The team meets, draws up a planfor students who are referred, and follows through on the plan. A key to the recognition of warning signals is that training must be provided to staff members to spot signs of alienation, depression, and the like. Teachers are often matched with students to provide emotional support for them. Parents may also be informed through presentations at paredteacher/ studentmeetings,groupdiscussions, newsletters, and other communications. Student handbooks should also contain information about suicide, what to look for as warning signs of unusual behaviors and suicide, how and where to seek help, and what todo if afriend has expressed adesire to commit suicide. Students can also be formed into peer groups to help other students who have problems in school. The training of students as peer helpers and the help they provide their fellow students benefit both groups of students. Launching a SAT can follow general planning stages: Conduct a needs assessment; form an advisory committee with broad representation from the school and community; prepare policy and guidelines; design and deliver staff development programs; outline implementation procedures; and implement, monitor, and evaluate. Information from SAT meetings and program outcomes can benefit students directly, influence changes in a school’s delivery system, and lead to other forms of improved student services. Overcoming Racism and Other Prejudices Latentprejudices and biases toward persons of other races, religions, and cultures brew and bubble within a school and community long before emerging. If unchecked, prejudices and biases can erupt with volcanic force andbe as devastating as a firestorm. Clues of racist and other discriminatory behaviors can be examined to determine the depth and breadth of hostile feelings. Actions can be taken before a buildup of negativism by planning and conducting programs to relieve tensions. The first step in battling bigotry and bias is to let students know that racial incidents will be st0pped.2~Students, community members, staff, and parents can engage in discussions about alleviating feelings of separatism and prejudice and about dismantling other barriers. Programs that

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yield positive results can bebuiltupon principles of cooperation, consensus, negotiation, and compromise as desirable means of resolving differences. Counselors and others skilled in group dynamics can enable individuals to confront stereotypes, racial myths, and other prejudicialviews. In some schools, successful programs have started with student leaders and spread over time to includemoreandmore persons. Courses ofstudycanbe studied in orderto include contributions of members of racial minorities and determine how such contributions are introduced andhow cultural heritages are presented. School policies that reflect the prohibition of discriminatory actions, the support of staff development programs for multicultural understandings, the inclusion of curriculum materials from many cultures, culture-free testing programs, and the benefits of school-community partnerships set a tonefortolerantviewstoward others. If one broad goal of education is good citizenship, perhaps no efforts can be better directed toward producing good citizens than developing tolerance in students, staff, parents, and community members. The question of a school’s responsibility toward developing positive attitudes in communitymembers is one that might be different before and after a race riot or other violent act.

Preventing Substance Abuse Is your school posted with Drug Free Zone signs? What do those signs tell students, staff, parents, and community members? Is there a parallel in history to such declarations, such as churches or other holy places that were sanctuaries in medieval times? Are schools the last bastion for our children? Is thewar against drugs and other harmful substances best waged in schoolhouses? Most school-based programs have focused upon (1) informing students about drugs, (2) changing individuals’ attitudes, (3) providing information, (4) resisting peer pressures, and ( 5 ) encouraging participation in activities to enhance skills and ~ self-esteem so that students.realize better alternatives to substance a b ~ s e . 2Four types of programs are commonly found: (1) prevention (i.e., do not start taking drugs); (2) intervention (i.e., stop taking drugs now); (3) referral (i.e., here is a place to get help); and (4) aftercare (i.e., we want to help you stay away from drugs). Successful drug abuse prevention programs can be based upon realistic goals, focused efforts that go beyond simplistic slogans, searching for and using programs that have documented successes, extending approaches beyond only providing information, targeting individuals at high risk, and careful evaluation of program goals and activities. STUDENT CONDUCT AND DISCIPLINE In addition to the regular curriculum, public schools haveanobligationto teach the principles and practices of good citizenship. Good citizenship includes an appreciation for the rights of others; a tolerance for differences of attitudes, beliefs, and values;and a respect for thedignity of each person. Discipline

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should be viewed as a combination of programs and processes designed to help students develop self-direction and self-discipline and should not be seen as a set of rules to punish wrong-doers. Each school needs an effective and comprehensive discipline code to guide student behavior. No staff can accomplish a school mission if students continually act in an objectionable or disruptive manner or if they disregard rules and regulations that were adopted for the common good. Principals should nurture a school environment that promotes the instructional program and encourages good student conduct and self-discipline. Many of the general rules and procedures regarding student discipline will be established by theboardof education. In addition, however, the boardwillnormally grant principals broad authority to establish specific rules and regulations, provided that the rules and regulations are consistent with those established by the board. Principals should review and interpret rules and regulations regarding disciplinary procedures prior to the opening of each school year and at intervals during the school year. Principals should also meet with students, parents, and faculty members as often as necessarytoreview rules and procedures for theirrelevancy, fairness, and contribution to the school’s climate. A discipline plan that provides consistent consequences for misbehaviors yet allows for meeting individual student needs, that is based on positive consequences and favors less restrictive alternatives than moving unruly students to time-out areas or exclusion from classrooms, and that calls for individual discipline plans for students whosebehaviors are out of theordinary will keep students withbehavioral outcasts. Such a plan problems in the school community andnotmakethem can best be developed through a committee that includes representatives from school personnel, students, and parents. For the committee’s efforts to succeed, the plan must be shared with the school community and training must be provided. Training about the discipline plan must be given as soon as it is initially adopted and on an on-going basis so that elements of the plan are implemented as designed. Monitoringof the discipline plan should be conducted periodically, and feedback should be gathered and reviewed so that the plan is kept up to date. Rules and conditions that hinder a positive learning climate need to be identified and changed-or eliminated. Measures that promote preventionrather than punishment should be adopted. Staff members need in-service training in intervention strategies that reduce episodes fromescalating into major confrontations. Strategies that lead to rehabilitation and treatment should be sought as substitutes for punitive measures. Violence, disrespect for persons and property, and other inappropriate behaviors should be met with reasoned behaviors that can stem irrational acts and ultimately lead to self-discipline on the part of students. A discipline plan begins with a philosophy that spells out the beliefs about human interactions. Guidelines for responses to irresponsible behaviors should be spelled out so that actions are taken consistently with students’ best interests in mind. Information about a school’s discipline planneedstobe distributed to

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students, parents and guardians, and staff members through orientations, newsletters, and other means. Positive statements in handbooks build a platform for understanding and communication among members of a school’s community. Standards of proper conduct that set high expectations for students are a major factor inreaching school goals and producingawarmlearningenvironment. Provisions for informing transferstudents,substituteteachers,andnewstaff should be in place. Staff members-teachers in particular-should be instructed about the school’s guidelines andprocedures for responding to inappropriate behaviors. Preventive discipline can consist of ten building blocks: 1. Establish clear behavior guidelines; 2. Adopt a teamwork approach; 3. Design a complete discipline ladder; 4. Teach self-management and self-discipline;

5. Invite good discipline; that is, provide students with opportunities to make decisions and create guidelines for monitoring their own behaviors; 6. Focus on student success and self-esteem; 7. Implement f i r m , fair, and calm enforcement;

8. Plan lessons thoroughly; stimulate student success;

9. Continuously monitor classroom environment; and 10. Minimizeproblemsearly.25

Not all acts of misconduct can be itemized, of course; however, an enumeration of some of the main areas of conduct that may lead to disciplinary action, including suspension or expulsion, should be in written form. Copies of rules should be available to students, parents, and faculty. Copies of student behavior codes should also be posted in conspicuous places throughout the school building. If students are provided bus service by the school district, behavioral expectations and consequences for riding the busmust also beadopted by the board of education to promote safety, good citizenship, and respectfor the rights of others and for school property.Any conduct thatmaylead to or cause a substantial disruption of any school function, activity, or purpose, or that interferes with the health, safety, well being, or rights of other students should be prohibited.

Taking a Pro-Active Approach Students’ attitudes and behaviors often reflect societal values. Young people drink alcohol, join gangs, or act inappropriately for many reasons, including low self-esteem, peer pressure, and a stressful home life. School personnel can work to immunize students from unnecessary stress while they are in school, exem-

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plify positive attitudes that ease the burdens of daily living, and deliver programs that meet students’ special needs. Every staff member has a vital role to play in the lives of young people-a role that cannot ignorethe family life o f students. When dysfunctional family situations prevent students from achieving success in school, educators must ask themselvessomecriticalquestions: Whatareparentsdoing or notdoingto promote good attendance and study habits? Is there physical, emotional, or psychological neglect in thehome?Haveparents had educationalsupport inhow to be effective parents and motivators?26 Searching for and finding the answers to thesequestions willhelpeducatorsunderstandtheenvironmentsstudents come from and learn in and help them develop plans for success. Many avenues can be explored in handlingdisruptivebehaviors in school, includingaddressingparentsandinvolvingcommunity agencies. Options in school includepreventionprograms, detention,time-outrooms,sanctions and restrictions, student courts, in-school suspensions, referralto counselors and psychologists, intervention programs, behavior modification programs, rap sessions, values clarification, realitytherapy, probation, remedial courses, tutoring,peer counseling and tutoring, guidance sessions, and training programs in discipline methods for staff members. Effective strategies with parents include communications through conferences, letters, telephone calls, and home visits; parenting classes;referral tocommunity agencies;counseling by schoolpersonnel; and providing channelsto information onparenting. Assistance forstudents with severebehaviorproblems maybesoughtfromcommunity agencies,juvenile courts,socialworkers,familycounselors, and privateindividuals and groups. School-business partnershipsand Adopt-a-School programsareotheravenues to explore. The availability of many methods and approaches offers choices for responding to disruptive behaviors.

Theft, Vandalism, and Controlled Substances Schoolpolicies thatprovide specificdirections onhow to handlestudents who damage or steal school property, are in possession of a weapon, or are in possession or under the influence of drugs, tobacco, alcohol, or other controlled substances should beestablished at the districtlevel.Suchpolicies shouldbe widely publicized and followed promptly and consistently.

Documentation Proper conduct and learning to follow school rules should be a part of every student’s educational program. Factual documentation of student misconduct is essential for successful management. Principals shouldbesuretheir staffs receive training in correct documenting procedures to satisfy and follow the legal provisions of due process. Principals are responsible for maintaining all records related to behavioral problems.

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Classroom Discipline Many discipline models are available for school adoption.Educators may from time to time confuse disciplinary procedures with punishment. Punishment is frequently arbitrary and is based on retribution or revenge. Discipline, on the other hand, is based on logical consequences that follow from a list of thoughtfully constructed rules. A good disciplinary program involves an active teaching process with close, sustained personal interactions between students and school personnel. The emphasis is on teaching students appropriate ways to actthat will result in more successful behavior. While punishment is often easy to administer or seems expedient, a good discipline programisdifficultandtime consuming to design, implement, monitor, and evaluate. Generally speaking, students will observe class rules that they help generate. Therefore, experiencedteachers often seek student input when establishing class rules. By the same token, parents will have an increased ownership in the success of discipline procedures if they also have an opportunity to develop the procedures. Teachers can get input from parents in establishing classroom discipline policies during open house meetings, parent conferences, or other kinds of meetings. Copies of expectations for each teacher’s classes should be given to the counselors and principal so they can be used for reference when working out a plan for behavior with a student. Of course, individual teachers will have differing tolerance levels for various behaviors; however, overall, one behavior code should exist for a school. In any situation, due process procedures must be followed carefully so that the school district’s interests are protected and the students and their parents feel they have been treated fairly. Teachers can reduce disruptive behaviors through effective management of their classrooms. Books, materials, and supplies must be ready for the first day of classes, and the room arrangement should be designed to create cooperative behavior; for example, students should be able to see the teacher easily. Bulletin boards, storage space, and equipment should be preparedforthefirst day’s activities. Explicit expectations for beginning and ending aclass, how to conduct oneself during a discussion and during seatwork, how to request permission to move about or to leave the room, how to follow safety procedures, how to use equipment, and about special circumstances should be given at the outset. Grading policies, record keeping, homework,andproceduresfor make-up work should be covered in detail. Reactions to inappropriate behaviors can be considered in advance, such as responding to offenses by making eye contact, calling a student by name, moving close to the student, calling attention to a rule, and redirecting attention to the presentation area. Unobtrusive actions can be used for minor offenses, whereas serious offenses requiremore serious and direct consequences. Consistency,fairness, and appropriate consequences should be applied to all disruptive behaviors. Administratorscan help teachersin several ways. Building principals set the toneforteachers in thepreschool activities they conduct. Principals cangive teachers ideasabouthowto manage their

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classroom, have resources available, askexperienced teachers who are good classroom managers to be resource models, and give teachers time to plan and prepare for the first days of school. Teachers can provide effective classroom management if they plan and conduct stimulating lessons, maintain a positive learning environment, provide explicit expectations, and carry through on their classroom management plans. Several actions can be taken to prevent the escalation of problems. First, all alternatives should be examined before decidingupon a disciplinary action, particularly one as severe as suspension or expulsion. Conferences should be conducted with students and their parents as soon as possible. Parents who are consulted before a suspension or expulsion is issued are morelikely to seek help for their children and, perhaps, for themselves aswellandto cooperate with school officials. Witnesses should put their observations in writing so their observations can be used in case a hearing is held. Students’ statements should also be recorded and signed by them. The administrative steps required in disciplinary actions should be spelled out in detail and followed precisely. The actions taken by administrators willmodel the kinds of behaviorstheywant students to display in their lives. School administrators who behave in a professional manner under trying circumstances and decide issues impartially on fact rather than from personal emotion will convey messages about respect for the rights of others, thelaw,and the profession of education. The basis for proper actions is knowledge of state law, due process, board policy, rules, and regulations, and working with law enforcement and juvenile agencies.

Disciplining Special Education Students Thedevelopment of appropriate discipline strategies for special education students requires extra efforts. Principals are well advised to keep the individual educational programs(IEPs) of such students close at hand. IEPs can help building administrators determine whether a student’s handicapping condition will interfere with that student’s ability to understand and followschool rules. Knowingthat information will enable the principal to decide whether the normal school discipline process is applicable tothe student or whethersome other procedure will be needed.

DUE PROCESS Boards of education-acting as arms of the state-are required to protect the constitutional rights of students. Among these rights are the First Amendment, which guarantees freedom of speech, andthe Fourteenth Amendment,which guarantees that no one should be deprived of life, liberty, or property without due process of law. In the context of public education, due process essentially means that school officials must have an established, orderly procedure to follow in all cases of disciplinary action, suspension, expulsion, or exclusion. Thus,

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principals must understand that since their decisions and actions directly affect students, they must demonstrate a clear understanding of the law. School districts normally retain the services of an attorney; however, most of the time, principals must make on-the-spot decisions regarding an unexcused absence or inappropriate behavior.

Procedural and Substantive Due Process Due process can be divided into procedural and substantive issues. In procedural due process, principals must be sure that 1. Students are given notice of any charges against them and they receive a fair hearing

at an appropriate time and place. 2. At a hearing, students will be presented with the purpose of the hearing, the procedure tobe followed, possible decisions, the right to appeal, andan explanation of the decision. 3. Students are given an opportunity to rebut the charges through the use of personal testimony, documents, and the testimony of witnesses. Conducting a Student Suspension Appeal Hearing. The following steps outline a recommended procedure to be followed by a hearing examiner in conducting a due process hearing: 1. Begin the recording of the hearing as participants enter the hearing room. 2. Read a prepared statement that explains the following: a. Purpose of the hearing b.The procedures that will be followed during the hearing c. Possible decisions d. Right to appeal e. Affirmation (explanation and administration of the decision)

3. Allow the principal or designee to present the recommendation, reasons for the recommendations, and supportive evidence (the nature of witness testimony and/or affidavits must be made available to the family prior to the hearing).

4. Give the family and/or its representative an opportunity to question statements made by the school official.

5. Ask the family and/or its representative to present any information relative to the charge or charges. 6. Give the principal or designee an opportunity to question statements made by the family and/or its representative. 7. Give the principal or designee an opportunity to present sanction evidence and/or make a final statement.

8. Give the family and/or its representative an opportunity to present sanction evidence and/or make a final statement.

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9. Explain the range of decisions:

a. No action b. Counseling c. Suspension and length of suspension d. Reassignment e. Expulsion f. Psychological and/or psychiatric testing 10. Inform the family and/or its representative that the hearing examiner’s report will be reviewed by the superintendent, who may change, revoke, or impose the sanction recommended by the hearing examiner but may not impose a sanction more severe than that recommended by the hearing examiner. Also inform the family and/or its representative that the superintendent’s decision will be mailed to them via registered mail and represents the final decision as a result of the hearing. 11. Inform the family and/or its representative that it may, within fifteen (15) days following the hearing, appeal the superintendent’s decision to the board of education. 12. State the time that the hearing cl0ses.2~ On the other hand, substantive due process serves as the standard ofproof by which a problem may be resolved. Substantive due process relies upon the following questions: 1. Was the charge based on fact? 2. Was the reason for disciplinary action not trivial?

3. Was the punishment not excessive? 4. Was there a rational relationship between the legitimate interest to the school, that is, safety of other students or the duty to maintain order, and the punishment?

Constitutional questions may occur in cases of disciplinary action, in particular, students’ “right of property.” Such a question may arise when students are suspended, expelled, or excluded from school. The school must be cautious not to deny students their “property” (aneducation)withoutprocedural due process. Historically, federal courts have ruled in favor of students if they were denied any part of due process Individual school districts typically have policies that delineate the steps to follow in discipline cases, but general guidelines apply in almost all cases. Principals, for example, are typically responsible for gathering all the facts determining whetherany charges of misconductshould be filed.Part of the information may come from a search of a student’s locker or of personal clothing or possessions. Principals should be familiar with board of education regulations covering how searches of students and their possessions should be conducted. If a student’s conduct is deemed unlawful, the principal should contact the police immediately and the student’s parents as soon as possible. In some cases, police or fire department officialsmaywish to interviewastudent. At those times the principal must serve as the student’s advocate if the student’s parents

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cannot be available. Depending on the district, the superintendent or the administrator of the student servicesoffice should also be contacted in cases of student disciplinary problems. School policies should spell out the circumstances describing when and whether such contacts should be made.

Fundamental Rights If actions threaten to infringe on students’ fundamental constitutional right of expression or privacy, for example, school officials have the burden of showing that the actions in question were necessary 13 serve a compelling school interest. Suppose that a principal decides to search all students’ lockers on the second floor because a teacher reported smelling marijuana smoke in a restroom on that floor. A fundamental right to privacy would probably protect students from this search because the principal’s actions in this case are too broad. A student’s right to free expression canbecome controversial and complicated. Expression, for example, can range from wearing political buttons and potentially obscene or offensiveclothing to printing and distributing underground newspapers or forming political clubs. School administrators in a high school in Nebraska sought to prevent a student-initiated Bible-reading club from meeting at school and using school bulletin boards, reasoning that such a club would violate the separation of church and state. Nevertheless, the U.S.Supreme Court ruled that because the school was already permitting other, noncurricular clubs to meet (a group of scuba enthusiasts, for example), the school could not therefore prohibit other student interest groups from meeting.*’ Studentpublications are often asource of friction between principals and students. Although the Tinker decision in 1969 affirmed the rights of students to express themselves-“Students in school as well as out of school are persons under our Con~titution”~~-recentdecisions have definedthe limits of such expression. School officials can lawfully censor material written by students for studentpublications, for example, whenthe material is obscene, libelous, or likely to incite others to commit illegal or disruptive acts. The Kuhlmeier v. Hazelwood decision3’ indicated that the rights of public school students are not necessarily the same as those of adults. The Court said that when a school’s decision to censor is “reasonably related to legitimate pedagogical concerns,” such a decision is permissible. If the constitutional rights in question is deemed something less than “fundamental,” as in dress codes, the courts have said they will balance the interest of the school and students. In such cases, school administrators will have the burden of showing their action was necessary to accomplish some public purpose. Principals could reasonably ban certain colors or prohibit football jackets that are associated with gang membership, which, in their professional opinion, threaten the safety of students. Principals needtoknowand understand the relevant circuit court decisions in their district, sincethese decisions have varied throughout the country; for example, corporal punishment is outlawed in many,

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but not all, states. If no constitutional right is affected by administrator’s actions, students who feeltheyhavebeenmistreatedmustshowthere is no rational connection between the discipline they received and the school’s purpose.

Equal Protection Clause Similar guidelines must be followed when questions arise pertaining to the Equal Protection Clause of the Fourteenth Amendment. This clause is designed so that every person receives equal justice. To determine whether an action is permitted by the Equal Protection Clause, courts use a three-tiered test: 1. Strict scrutiny test. Any time students are categorized by race, national origin, or citizenship, for example, theyhave almost certainly beenunfairly treated and can seek remedy under the Equal Protection Clause. Similarly, administrators’ actions that impinge onthe exercise of a fundamental right, for example, a policy that states that married or pregnant students may not attend class, are treated as “presumptively invidious.” In those cases, school officials must demonstrate that such a classification has been precisely tailored to serve a compelling school interest. The chances are good, however, that school districts would lose these cases in court. 2. Heightened scrutiny test. Although other classifications are not as obvious, they may be “quasi-suspect” (for example, gender, illegitimate birth, and children of illegal aliens) and give rise to constitutional difficulties. School officials must show in these cases thatsuch a classification may fairly be viewed as furthering a substantial state interest. 3. Rational basis test. Classifications that are neither suspect nor impinge on a fundamental right are presumed to be valid. When students wish to challenge school classifications on other grounds, they must demonstrate that the classification is both arbitrary and irrational. An example mightbe a rule that students must be at least five feet six inches tall and weigh 115 pounds to be a member of the drill team, a rule that would probably not survive judicial scrutiny.

Civil Rights Issues The 1964 Civil Rights Actandthe1988-89 Civil Rights Resurrection Act are federal laws designed toprevent discrimination basedupon religion, sex, and national origin. Whenever a dispute can be addressed by federal law rather than by constitutional interpretation, the courts will administer a verdict based upon the law. This principle is important for administrators to understand, especially since state laws generally follow federal law for a state to be eligible for federal assistance for educational programs.Principals would do well to note Lau v. Nichols, in whichtheSan Francisco schoolsystem failed to provide English language instruction to approximately 1,800 students of Chinese ancestry who did not speak English or to provide them with other adequate instructional procedures. The Court ruled that the non-English-speaking students were

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denied a meaningful opportunity to participate in the public educational program.32 Another notable case in which the courts used federal law to determine the intent of equal opportunity was Hendrick Hudson District Board of Education v. R ~ w l e y . ~In’ this case the courts clarified the Education for All Handicapped Children Act of 1975 by stating that “the intent of the Act was more to open the door of public education to handicapped children on appropriate terms than to guarantee any particular level of education once inside.”

Education for Citizenship The task of educating young people to assume a role in a democratic society is difficult. Young people come to school from a variety of backgrounds that affect their interactions with peers, teachers, and society in general. Civic and ethical values in a democratic society are best taught when parents, community, and schools cooperate. Given the dramatic social changes in the United States, however, thisburdennow falls primarily on school systems.This creates a considerable strain on teachers and administrators. Yetsuch challengesgive principals an opportunity toprovidebold leadership. Schools can be ethical, democratic communities where justice prevails, equity is cherished, integrity is valued, full participation is expected, inclusion is a norm, resources are distributed equitably, and anyone can redress a grievance.34

HEALTH SERVICES AND SAFETY Health and safety policies are usually governed by external authorities. School officials are required to comply with laws for the health and safety of pupils, and principals need to be aware of federal, state, and local regulations. Health issues should be a priority of school administrators despite thehigh costs of identifying and correcting hazards.

Building Safety Attention to health issues is mandated by several federal statutes, such as the 1986 Asbestos Hazard Emergency Response Act (AHERA). The AHERA requires school officials to inspect buildings for asbestos, determine the condition ofthe asbestos, and compilea managementplan for handlingthe hazard. AHERA inspection reports found friable asbestos in about 45,000 schools, plating 1.5 million teachers and 15 million students at risk.3s As a resultofthe warning, millions of Americans have a fear of asbestos. The Environmental Protection Agency (EPA) reports that asbestos poses few problems if it is sealed or in good condition. Sometimes the removal of asbestos makes matters worse. Asbestos-management plans must, by law,be available forreview in every school’s administrative office. The EPA has published materials and a hotline

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to aid in the control and removal of toxic substances.3'j All states have asbestos experts on staff in their departments of education or health. Other health issues may be of concern and should not be overlooked.

Indoor Air Pollution Schools may have faulty ventilation systems that can cause headaches, dizziness, and other illnesses. Help is available from local health agencies or from the EPA.37

Pesticides Some people have severe allergies to pesticides; small children are especially at high risk because most pesticides tend to settle near ground level. Panic use of pesticides because of a few sightings of cockroaches, mice, or insects can cause undue problems.Good sanitation practices, screens on windows, and controlled use of pesticides may be the best remedies for pest control.38

Lead in Drinking Water Concern for the hazards in drinking water has prompted watertesting in many communities. Children's growing bodies absorb lead and can suffer from damage to the nervous system and brain. The Lead Contamination Control Act of 1988 required the EPA to publish guidelines to help school personnel test for leadin drinking water. The tests werenotmandatory,however,and schools were given no funds to conduct them.39

Radon Radon is a gas that can seep into basements and ground-floor rooms through cracks in foundation walls. According to the EPA, radon is the second leading cause oflung cancer after smoking.A variety of publications are available through EPA and local and state environmental agencies?O

Toxic Substances Staff members also needtobe alert to the dangers of toxic substances in supplies used by custodians, builders, and maintenance personnel. Dangerous chemicals may even be found in art supplies, and teachers need to read labels carefully so that young children especially are not exposed to toxic materials?'

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Communicable Diseases and Immunizations State and local laws govern health codes in schools. School administrators are encouraged to work with county and state health departments in developing procedures for control of communicable diseases. For students with communicable diseases, schools shouldhave policies on emergency exclusions from classes. Students might be considered highrisk if they exhibit behaviors such as biting and incontinence or if they have open sores that cannot be concealed or hygienically covered, any of which could result in spreading the condition or disease. School nurses are on duty, at least part time, in most schools in the country; most states have a law that school districts must have access to registered nurses. Their job is the healthful care and education of the school population. The job is a huge responsibility considering the number of students and potential health hazards. Administrators, teachers, and support staff share student health responsibility with school nurses. Increasingly, school personnel have more numerous and severe medical and psychosocial needs to address.“’ Records of immunizations are to be kept on file. Communication should be routine with parents of children with allergies, asthma, and regular medical attention needs. The U.S.surgeon general has expressed concern about health of children in relationship to how they learn. Immunization of all children is the priority of many health officials. The Department of Health and Human Services (HHS) is working with health agenciesthroughout thenationtoofferimmunization against measles. Another concern is nutrition. The HHS and the Department of Agriculture joinedin an effort to work withparents and state officials in a project called Healthy Children Ready To Learn.43 Student’s good health should be one of the priorities for all school officials. The spreadof AIDS is of real concern, as are underage drinking, smoking, drugs, teen pregnancies, child abuse, communicable diseases, and related issues. The surgeon general recommended that “education concerning AIDS must start at the lowest grade possible as part of any health and hygiene program. The appearance of AIDS could bring together diverse groups of parents and educators with opposing views on inclusion of sex education in the curricula.’” Procedural guidelines should be established regarding AIDS and communicable diseases such as hepatitis. Such guidelines might include the following:

1. On a case-by-case basis, decide whether a student suspected of having a communicable disease should be permitted to remain in school. The decision should be made by a team composed of school health personnel, the student’s parents or guardians, the student’s doctor, school personnel, and the student’s teacher(s).

2. Requirethestudenttohave a medicalexamination if a reasonablecauseexiststo believe that the student has a communicable disease.

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3. If an infected student is notpermittedtoattendschool,provide

an alternative edu-

cational program. 4. Keep the identity of the student confidential.

Safe Behaviors Children’s safety is theresponsibility ofallpersonnelinaschool.Policies and guidelines can address keyfactorsregardingsafetyinbuildings and on grounds, on school buses and field trips, and in co-curricular activities. Concern for violence in schools has prompted administrators to consider the vulnerability of their schools. Many factors contribute to violence in schools, so administrators must be in close contact with members of the police and other community agencies for upto-date information and assistance. The fear of violence is so great that some students carry weapons to school for protection. Thus school districts should establish guidelines and procedures regarding weapons at school. In addition, outside intruders can pose problems. Violence from outside the schools is a reality that administrators must face. Allentrances to a school should have a sign posted asking visitors to report to the office. The following is a list of suggestions for administrators to help protect students from intruders: 1. Ask security-conscious questions about the physical plant, for example, “Does landscaping obscure visibility?”

2. Control and monitor access

to the school.

3. Upgrade the quality of supervision when students are outside the school building. 4.

5.

6. 7. 8.

9.

Developsecurityawareness in neighbors;thiscouldbe a project for a parents’ organization. Keepaccurate,factualrecordsofunusualoccurrencesaroundtheschool,such as unfamiliar cars parked nearby or threatening phone calls. Develop a cooperative relationship with local law enforcementagencies.Themere presence of police can deter intruders. Investigate the services of a private security company. Seek professional advice. National organizations for information include the National School Safety Center and the National Association of School Security Directors. Develop a comprehensive school emergency plan.4s

Each school is susceptible to violent intrusions. Principals must ask what they can do to take preventive action. Health and safetyissues are numerous. State and localagencies can help schools develop plans and programs for a safe and healthy educational environment. Administrators are responsible for providingsuchan environment and should enlist assistance from parents and all other community members willing to help.

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STUDENT RECORDS Access to Student Records In 1974 Congress passedtheFamily Educational RightsandPrivacyAct (FERPA), also known as the Buckley Amendment. This act stipulates key matters related to the access and dissemination of student records. Failure to adhere to the guidelines may result in substantial loss of monies. Federal funds may be withdrawn from any educational agency or institution which has a practice of failing to provide parents and eligible students access to their educational records, or whichdisseminatesinformation to unauthorized third parties. In addition, parents and eligible students must begiven a hearing to challenge the contents of records which they believe to be When students reach the age of eighteen and are enrolled in a postsecondary educational institution, they are to be given access to their records. If students are under the age of eighteen and want access to their records, the school may or may not allow such access; however, their parents and guardians have all the rights of access to student records, including the right to grant access to their children or to third parties. A district may assume that both parents have the right to records unless there is a court ruling to the contrary. Parents who are separated or divorced may be in conflict over matters regarding their children, including access to records, so principals may be caught in the middle of battles over custodial rights.

Grading and Marking Procedures School board members have generally adopted policies on how students’ assignments, papers, and tests are to be evaluated. Under the supervision of their principals, teachers have a responsibility to give periodic notification of progress to students and their parents or guardians. A report card given to parents and students every term is the most commonly used method of communication to report grades and marks. Teachers also conduct parent conferences as a means for personal communication aboutprogress. In addition, teachers are encouraged to keep in communication with parents by phone calls or in writing.Parents should be made to feel comfortable about communicating with teachers about their children’s grades. Because the assignment of grades and marks is of critical importance to students, their parents, admission officers, coaches, and others, careful attention should be directed tothe factors and processes of gradingand marking. The preparation, recording, storage, and distribution of grades and marks consume vast amounts of teachers’ time and resources. A districtwide policy should direct matters related to grading, and schoolwide practices should be in accord with

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of Principals

district policy. Idiosyncratic beliefs and practices of teachers that deviate from policy and approved practice can create conflict (for example, the teacher who has “high standards” and fails half the class in an advanced, elective coursein math). Grades seldom reflect one criterion, since they may be a mix of measures and estimates of student achievement, growth in learning, attitude, effort, behavior, neatness, and any combination of these and other factors?’ Teachers’ practices vary widely, and a grading system that permits a grade or mark to be a measure of “attitude” in one class and of “growth in learning” in another willbe counterproductive, confusing,and a sourceof resentment. Principals can provide leadership in the design, implementation, and evaluation of grading and marking systems. Grading and marking systems can follow traditional or nontraditional approaches. The most traditional system incorporates the issuance of a letter grade (A, B, C, etc.) or a number grade (l, 2, 3, etc.). In the dual system, a “Pass” or “Withdrawal” are the only marks. Grades and marks may be weighted, with some courses given greater weight because of their perceived difficulty as compared with others. Another system uses only “Pass” or “Fail” as marks. Competencies,checklists, written evaluations, logs, continuous progress formats, self-evaluations, portfolios, and no grades are nontraditional systems. Administrators and teachers who focus upon individualized instruction often seek grading and marking systems that are in line with measuring each student’s progress against objectives orrequired standards rather than against peers’ scores. A mixand-match system might use letter grades in some courses, “Pass” or “Withdrawal” in exploratory courses, checklists in skills courses, and portfolios in designated subjects. One of the first tasks is to generate principles that undergird sound practices of grading and marking. Among such principles are the following: (1) sound measurement practices should be followed, (2) criteria should be applied uniformly, and (3) local needs should be considered. Terms that are used should be defined so that consistent use is made of academic achievement, appraisal, assessment, grades, marks, scoring, work habits, and so on. “Grading” can be defined as “the attachment of a symbol (usually a letter or number) to a student product based upon comparison of the performance score to some standard.” “Marking” could be distinguished from grading as “the assignment of a composite symbol to represent the cumulative achievement of a student as measured on a variety of products.” Knowledge of measurement, pedagogical, and legal principles ought to be the bases for grading and marking. What is known about validity, reliability, correlation, the purposes of testing, howto test andweight objectives, howto construct tests and test items, how to administer tests, and the rights of students may need to be compiled and reviewed annually. Legal issues over grades and marks have surfaced in many courts. The “property rights” of students need to be protected by establishinga reasonable written process for a grading and

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marking system. Other factors to be considered includethe right of students and their parents to know about academicdeficiencies so that they can be addressed. Reductions in grades and marks for tardiness, absences,“poor attitude,” or “lack of effort“ must be rationally related to requirements. Above all, grading and marking systems shouldbe valid andreliable measures of student achievement. Giving separate marks for achievement, effort, the relationship of achievement to ability, and attendance is one way to clarify the with effort, attendance, apmeaning of grades. The lumpingofachievement pearance of gym clothes, andbehavior obscures the meaningof grades and marks. Otherpractices, such as giving “extra credit for extra work,” may reduce validity and reliability, as different standards will likely be used for the amount, kind, and quality of extra work. In addition, not all students may have the time to do extra work, and decisions must be made if extra work is of poor quality. The awarding of an academic letter for scholastic achievement is a means of emphasizing and rewarding student achievement. Academic letters provide visible recognition of students’ successes in content areas and may stimulate students to engage in such co-curricular activities as language, math,or debate clubs, science fairs, and problem solvingand essay contests. Policies and criteria for the awarding of academic letters need to be adopted. The process of identifying the award ofan academic letter may also lead to increased recognition of the value of academic achievement. By identifying key considerations in gradingandmarkingand addressing those considerations with teachers, principals can influence classroom practices so they are consistent with sound legal, measurement, and pedagogical principles. A review of teachers’ grading practices can result in a better grading and marking system. The ways that students’ progress is measured and reported are in flux. At the national level, broad goals for assessment are advancedas a partofpublic policy. Measurement and evaluation specialists are considering greater use of authentic assessments, such as portfolio assessments, tomeasure students’ achievementsP8 The introduction of portfolio assessments and other authentic assessments is fraught with typical obstacles, such as fear of change, increased time for planning and implementation, and philosophical debate over its merits. School administrators will want to study the basis of portfolio assessment, engage teachers in discussions and training of the topic, identify best practices, and continue to follow sound principles. Officials from postsecondary institutions use grade point average (GPA) and rank in class ( R E ) as screening criteria and rely upon schoolofficials to compile and furnish the information. Business people are not as often interested in the two measuresbut maywantinformationaboutstudents’academic records; agents from governmental agencies may conduct thorough checks for security clearances. Procedures for responding to requests for information should comply with the Family Educational Rightsand Privacy Act; supply concise, dependable information; and be as efficient as possible. The advent of computers and soft-

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ware programs eases the effort in compiling and preparing information for dissemination to admissions officers, prospectiveemployers, andofficials from governmental agencies. The reduction in effort required to gather and report grades and marks should not diminish the importance of such information. Safeguards for accuracy, conciseness, dependability, and thoroughness need to be established, monitored, and improved. If the movement toward authentic assessment spreads, school officials may be called upon to furnish other kinds of information in addition to GPAs and RICs. Admissions officers who ask for portfolios of students applying for admission to their campuses will want more than a GPA or class rank. Pressure from admissions officials may call for continuation of current practices as well as the introduction of a new one. The simplicity of two numbers showing a grade point average and rank in class is deceptive. Many questions are raised about computing GPAs: (1) What coursesshouldorshould notbeincluded in computingGPAs? (2) Should courses be weighted as to their difficulty? (3) If so, how should weightings be determined? (4) How are failing marks to be computed? (5) Is a failing mark averaged with a passing mark for a repeated course? (6) Is a failing mark averaged with a passing mark for a different course thatis substituted for the course that was failed? (7) Are students permitted to repeat a course to obtain a higher mark? ( 8 ) If so, how are the two marks to be treated? (9) Should all students be included in computing class rank? (10) Shouldrank in class be computed and reported only for seniors? (1 1) Should GPAs and RICs be reported in other formats, as deciles, stanines, or quartiles? (12) Should students be given information on the grading and marking practices of teachers SO they can opt out of the classes of teachers who “grade tough?” (1 3) Can GPAs be more accurately reported in one, two, three, four, or more decimal points? (14) Should special reporting formats be used for students in special education programs? (15) Should estimations be supplied if data are not available? Promotion or Retention The relationship of grades and marks to promotion or retention is inextricably linked. Should students with failing marks bepromotedto the next grade or level or retained? Should students with failing marks be given a “social promotion” so they are in classes with their age-level peers? Should students with exceptionally high marks and ability be double-promoted? As long as students are in a graded educational system rather than in an individualized education system, some will fail to meet performance standards. Retention seldom works for students, as students are generally recycled through the same program; however, the debate over retention rages on among ed~cators.4~ “The onlyreal solution appears to be an expansion of the concept of special education so that low-achieving students receive the individualized educationalprograms they need.”“

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Administrators should be aware of the provisions under the Family Educational Rights andPrivacy Act, whichwas enacted toallow parents the same access to their children’s records as some other persons have had. The act protects the privacy rights of students and parents. The following are administrative cautions from court opinions: Be aware of individuals’ rights and consider them before acting. Review policies with constitutional and statutory standards in mind. Anticipate problems or questions as much as possible and work through them before they occur. Be aware of rights and laws, but do not let fear of a lawsuit dictate educational policy.

SCHOOL-FAMILY PARTNERSHIPS Federal Programs Leaders at the local, state, and federal level work to promote programs that involve school personnel and family members. “Family” is often used in place of “parents” because of widespread changes in adult-child relationships. Federally supported programs, such as Chapter 1, specify the importance of family members’ involvement in activities relatedto children. Grants fromtheFund for the Improvement and Reform of Schools and Teaching (FIRST) encourage innovative projects in schools to design, implement,and create programs for school-family-community partnership^.^' FIRST grants have provided funds for special projects since 1988. The grants rangefrom $40,000 to $180,000 and may be for one, two, or three years. The competition for FIRST grants is intense. Many of the projects that have received funding emphasize the role of school and family partnerships in improving student achievement, attendance, behavior, attitudes, and self-esteem. Another federal program that effectively involves the family is Head Start. A new program, Even Start, links education ofunderachieving parents withthe education of their children aged one through seven. The aims of Even Start are to increase the literacy of parents, to improve the preschool activities of children, and to help parents understand their role and influence in their children’s education so more children succeed in school. Important national agencies that are involved in helping parents join in their children’s education are the Office of Educational Research and Improvement, the National Governors’ Association,the Council of Chief State School Officers, the National Association of State Boards of Education, and the Education Commission of the States. Research on ways to include family involvement in education is part of Chapter 1 and Chapter 2, Title VII, the Adult Education Act, the Education of the Handicapped Act, Head Start, Even Start, Learnfare, and other programs that provide resources and guidelines for improving education.

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Training and Development of Principals

State and Local Programs Many states have adopted policies for developing parent involvement. California passed legislation mandating that schools develop school-parent involvement programs. Some states conduct grant programs to increase school-family relationships. Local school districts involve families through business-school-family partnerships and open-house events. A monthly newsletter is an excellent way for schools to communicate with families. An open-door policy can make parents feel comfortable about coming to school, meeting with staff members, and participating in activities. Long-term support from parents and family members is instrumental in the success of students.52 The more that parents know about and become active in their children’s schools, the more likely they are to support the efforts of staff members. School officials use a variety of ways to communicate with parents: (1) faceto-face communication through parent-teacher conferences,establishment of parent resource centers whereparents can participateinworkshops, computer lending programs so families can use computers at home, and parent volunteering atschool; (2) technologicalcommunicationthroughphoneconferencing, homework hotlines, and weekly education programs on radio and televisionin other languages wherenecessary; and (3) writtencommunicationthrough newsletters and notes. Teachers benefit from the contributions of volunteer tutors who can provide assistance in many ways. Parents, adults in the home, grandparents, retired persons, college students, interested citizens, and members of civic groups are valor with uable sources of assistance. Tutors can work with individual students groups by reading stories, telling of their experiences, or helping in the media center, for example. The proportion of elderly people is increasing, and persons from older age groups may find a way to serve. Politically, good relationships between the school and senior citizens are important, especially when their support is essential to the successful passage of school bond elections. The following guidelines may help improve school-home communication.

Communication strategies for individual schools should be adapted to match the needs of families. For example, some materialwill need to be translated into other languages or put in alternative formats (for example, audio- or videocassettes) to meet the needs of parents or family members who do not speak English or who cannot read. Materials must reach the intended audience. Some schools designate the same day each week or each month as “messageday” to help parents know when to ask their children for information from school. Others put important communications on brightly colored paper so that parents can easily spot them among their children’s papers. Meetings and workshops are most successful when they include food, family, andfun. But some family members will be unable to attend even when the times of events are varied, transportation and child care are provided, and family members have input into

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thechoiceoftopic.If a meeting,workshop,presentation,assembly, or otherevent presents information deemed essential for parents, school officialsmust find other ways to send information about that meeting, workshop, and so on to those unable to attend. Don’t wait for a problem to arise before contacting parents. “Good news” telephone calls and notes establish a tone of shared celebrationand help set the stage for ongoing communication. Parents’ involvement in their children’s education is crucial. School officials should be as concerned about reaching parents as they are about reaching their children. Parent involvement is particularly necessary for early childhood learning. The need for children to succeed early is evident, and support from families should continue on through the teenyears.Secondaryschoolofficialsshould always work to keep the communication lines open and learn to share the responsibility of education with the family. Teachers and parents need to share the responsibility for children’s e d ~ c a t i o n . ~ ~

FOLLOW-UP STUDIES Administrators and supervisors of student services programsthat strive to reach their potential will conduct evaluation and follow-up studies annually in addition to formativeevaluations that are conductedduring the schoolyear. Records can be kept of demographic characteristics such as ethnic and racial composition of the student body; information collected over several years can reveal changes in a school system that might escape casual observations. Data can be collected on the activities and status of high school graduates, at least in the first year after graduation, focusing on the number of students (1) entering postsecondary institutions, the workforce, or the military; (2) attending colleges and universities, technical schools, or community or junior colleges; (3) staying in school part time or full time; (4) who have moved out of state; (5)who are in the workforce full time or part time; (6) who are seeking employment; and (7) who are in other circumstances. Graduates can provide useful feedback about their preparation’for life, what features of their schooling were useful to them, what changes they would recommend in programs of studies, and other information of interest. A design for gathering, evaluating, and reporting information on student services can lead to data collection procedures that provide for longterm analysis of the effectiveness of programs. SUMMARY The well-beingof students must be the main priority of schooladministrators. Administrators must value due process and protect the civil rights of all individuals. Within this framework of working with students, schools provide student services tocomplywith local, state, and federal guidelines.Maintaining student services requires constant reviewandrevision because of societal

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changes. For changes in society have an effect on the way schools function and the types of student services offered. The effectiveness of administrators is based on how well they keep up with a changing society and make decisions accordingly.

NOTES 1. “Database,” US.News C? WorldReport 114 (April 26, 1992): 14. 2. L. Kutner, “The New Family,” Wewsweek 118 (November 18, 1991): 18-19. 3. “Database.” 4. Kutner, “The New Family,” pp.18-29. 5. The National Association of Elementary School Principals and the School-Age Child Care Project at Wellesley College have programs aimed at improving child care services for school-age children. 6. Bruce A. Baldwin, TheCornucopiaKids (Reston, Virginia: National Association of Secondary School Principals, 1985). 7. P. Beutler, “More Minorities, Kids among Homeless across US,” TheLincoln Star (February 20, 1992): 9. 8. G. 0. Jensen, T. Warstadt, R. Daly, and J. Schuchardt, CriticalIssuesFacing American Families (Minneapolis, Minnesota: Family Information Services, 1991). 9. Data supplied at the Correctional Education Conference, Minneapolis, Minnesota, 1990. 10. National School Safety Center, Gangs in Schools:Breaking up Is Hard to Do (Malibu, California: National School Safety Center, Pepperdine University, 1988); Cindy Tursman, “Safeguarding Schools against Gang Warfare,” The School Administrator 46 (May 1989): 15-17. 11. William Glasser, Reality Therapy: A NewApproachtoPsychiatry (New York: Perennial Library, 1975). 12. Martin Maehr and Carol Midgley, “Motivating Students: School Leaders Can Make a Difference,” Leadership and Learning 5 (Winter 1993): 1-2. 13. Campbell v. Board of Education of New Milford, 193 Conn. 93 (1984). 14. Kara G. Wilson, “Tough on Truants,” TheAmericanSchoolBoardJournal 180 (April 1993): 43, 46. 15. M. Hargens, “Developing a School Counseling Program,” NASSPBulletin 71, no. 499 (May 1987): 10-13. 16. F. Herzberg, B. Mausner, and B. Snyderman, TheMotivationtoWork (New York: Wiley, 1959). 17. Robert E. Slavin, “Synthesis of Research on Grouping in Elementary and Secondary Schools,” EducationalLeadership 1 (1988): 67-77. 18. SocialEducation 49 (October 1985): 604-609. 19. Leonard M. Baca and Hermes T. Cervantes, “Bilingual Special Education,” Council for Exceptional Children ERIC Digest 496 (May 1991). 20. James W. Keefe, Learning Style Theory and Practice (Reston, Virginia: National Association of Secondary School Principals, 1988); Rita Dunn and Shirley Griggs, Learning Styles: Quiet Revolution in American Secondary Schools (Reston, Virginia: National Association of Secondary School Principals, 1988).

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21. Federal Emergency Management Agency,Andrew One Month Later (Washington, D C : Author, 1992). 22. Van E. Cooley, “Tips for Implementing a Student Assistance Program,” NASSP Bulletin 76 (January 1993): 10-20. 23. DonnaHarrington-Lueker,“TeachingTolerance,” TheExecutiveEducator 15 (May 1993): 14-19. 24. B. E. Pmitt, “Drug Abuse Prevention Programs: Do They Work?” NASSP Bulletin 77 (152) (April 1993): 37-49. 25. Donald R. Grossnickle and Frank P. Sesko, PreventiveDiscipline for Effective TeachingandLearning (Reston, Virginia: National Association of Secondary School Principals, 1990). 26. L. Lopez, “Keeping Kids out of Gangs,” Thrust for Educational Leadership 21 (1991): 28-30. 27. Glenn Pelecky, Personal Communication, June 20, 1986. 28. Goss v. Lopez, 73 F. Supp. 898 (S.D. Ohio, 1975). 29. Board of Education of WestsideCommunitySchoolsv. Mergens, 88 U.S. 1597 (1990). 30. Tinker v. Des MoinesIndependentCommunitySchoolDistrict, 393 U.S. 503 (1969). 31. Kuhlmeier v. HazelwoodSchoolDistrict, 108 S . Ct. 562 (1988). 32. Lau v. Nichols, 414 US. 563 (1974). 33. Hendrick Hudson District Board ofEducation v. Rowley, 458 U S . 176 (1982). 34. Raymond L.Calabrese, “The School as an Ethical and Democratic Community,” NASSPBulletin 74 (October 1990): 10-15. 35. D.Gursky, “Warning: Your School May Be Hazardous to Your Health,” Teacher 2 (March 1991): 34-45. 36. Ibid. 37. Contact the EPA’s Indoor Air Division, Office of Air and Radiation, USEPA, Washington, DC 20460. 38. Information about pest control and pesticides is available from the National Coalition against the Misuse of Pesticides, 701 E. Street, S.E., Suite 200, Washington, DC 20003. The EPA also has information about pesticides (703-557-5076). 39. Information about safe drinking water can be obtained from the EPA Safe Drinking Water Hotline (800-426-4791). Oneuseful set of materials from the EPA is a manual and video entitled Lead in DrinkingWater. 40. For information on radon, the EPA has a hotline (800-767-7236). 41. Pearl Hansen, “Art Hazards in Nebraska Secondary Schools” (unpublished doctoral dissertation, University of Nebraska, Lincoln, 1986). 42. M. Jocelyn Elders. “School-based Clinics to the Rescue,” TheSchoolAdministrator 49 (September 1992): 16-18, 20. 43. D. Dismuke, “Meet the Country’s Doctor,” NEAToday 10 (February 1992): 10. 44. C. Everett Koop, Surgeon General ’S Report on Acquired Immune Dejiciency Syndrome (Washington, DC.: U.S. Department of Health and Human Services, n.d.). 45. George J. Gerl, “Thwarting Intruder Violence in Our Schools,” NASSPBulletin 75 (April 1991): 75-79. 46.JulieUnderwood,“Legal Liabilities of Administrators,” Principles of School Business Management, ed. by R. Craig Wood (Reston, Virginia: Association of School Business Officials International, 1986), p. 483.

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47. James V. Mead, Teachers’ Evaluations of Student Work (East Lansing, Michigan: National Center for Research on Teacher Learning, 1992). 48. Daniel Koretz, Brian Stecher, and Edward Deibert, TheVermont Portfolio Assessment Program: InterimReport on ImplementationandImpact, 1991-92 (Los Angeles, California: University of California at Los Angeles, Center for Research on Evaluation, Standards, and Student Testing, 1993). 49. Gregg B. Jackson, “The Research Evidence on the Effects of Grade Retention,” Review of Educational Research 45 (Fall 1975): 613-635. 50. John Lindelow, The Grade RetentiodSocial Promotion Debate (Alexandria, Virginia: National Association of Elementary Principals, November 1985). 51. Joyce L. Epstein, “Paths to Partnerships: What We Can Learn from Federal, State, District, and School Initiatives,” Phi Delta Kappan 72 (January 1991): 344-349; Christopher T. Cross, Richard T. La Pointe, and Carl Jensen, “The FIRST Grants: Federal Leadership to Advance School and Family Partnerships,” Phi Delta Kappan 72 (January 1991): 383-388. 52. Zelma P. Solomon, “California’s Policy on Parent Involvement: State Leadership for Local Initiatives,” Phi Delta Kappan 72 (January 1991): 359-362. 53. R. D. Strom, “The Home-School Partnership: Learning to Share Accountability,” The Clearing House 57 (4) (1984): 315-317.

Managing School Activities Programs

INTRODUCTION In this chapter, the topic of providing leadership and managing the school activities program is presented. Although school activities absorb a larger proportion of secondary students’ time in particular, they are found in school programs from kindergarten through senior high school. References are made to the underlyingphilosophicalconsiderations for school activities andthe process of setting goals and priorities. Management issues such as staffing and scheduling, evaluation of programs, and budgeting for activities are also discussed. School activities attract aconsiderable amount of attentionfrom students, parents, and patrons. Some people are very supportive of school activities, and others express concerns about school activities taking time away from academic endeavors. School activities, once referredto as extracurricular activities and then later as co-curricular activities, fit into a sequence of school-directed experiences that can have a great deal of value and relevance to students. School activities are a part of every school program. Programs in the primary grades present groups singing, acting, and performing in various ways, as the curriculum is translated and depicted to parents and other interested persons. Elementary students have field days, play days, or school picnics. In some schools, musical programs are presented that involve only one class, or more elaborate musicals may involve all grades. As students move through the grades into middle-level schools, the emphasis on activities expands, the programs become more involved, and a wider range of school activities are made available to the students. The activities for middlelevel students can actually involve most of the same types of activities found

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in senior high schools; however, less intensity, competitiveness, sophistication, and time should be devoted to them. In the senior high school, youthare confronted with twophenomenathey have not previously experienced. Oneis the dominant influence of peer pressure and the other is the expanded and more sophisticated school activity programs. In the senior high school setting various program elements are afforded students. The first program element is required courses, which students must take to meet graduation requirements. Second are the elective courses from which students may choose. Required and elective courses are credit-generating courses and are classified as ( l ) academic; (2) vocational; (3) fineand performing arts, which are entwined with school activities; (4) physical education and health; and (5) “other,” which, for example, may include special education. The third portion of thetotal school program is school activities. A fourth portion consists of student services, which includes guidanceand counseling as well as health services. Finally, there are the auxiliary services, which involve food and transportation services. School officials are responsible for the five dimensions of the total school program, all of which contribute to the growth and development of each student who enters the school. Consequently, school activities constitute a portionofthetotal schoolexperience thatis designed to foster growthand development for children and youth. Charles Dickens writes in A Tule of Two Cities, “It was the best of times and it was the worstof times.” Often quoted, Dickens’s wordscanbe paraphrased and applied to school activities. For in school activities there are exemplary programs that are well-planned and efficiently conducted; there are also many school activities programs that are poorly planned and conducted. Thus, in school activities can be found some of the best of times and some ofthe worst of times.

PHILOSOPHICAL CONSIDERATIONS FOR SCHOOL ACTIVITIES The philosophy of a principal and school staff has a great deal to do with the ultimate quality of activities programs. If professional educators perceive school activities as extracurricular, there is a likelihood school activities willnotbe designed to be integrated into the total program. The mental set of teachers who perceive their only responsibility is to present content in a subject area will be much different from teachers who see the benefitsthat can be derived from school activities and plan and conduct them as a part of the total learning experience for students. School principals will be confronted with persons who feel the school should teach only content, preferably academic content, so U.S.students can best the German and Japanese achievement scores in mathematics and science. By contrast, there are persons who want every child to become an Olympic star or a professional ballplayer. There is a third category of very highly motivated adults

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who want students to be the best in the world in achievement scores while at the same time being involvedin many activities. Such adults feel students should betakenfrom their academic classes to participate in a myriad of activities. Consequently, principals should plan and organize school activities and integrate them into the total school program in such a way that the needs of children and youth are met.

THE PLACE OF SCHOOL ACTIVITIES Elementary School Activities Children in elementary schools are playful and have physical energy that can be patterned into growth and motivational experiences. Since the beginning of education in the United States elementary school teachers have capitalized on the developmental stages of children by providing them with class-related activities and planned diversions such as recess. Education is in large part a socialization process. School activities in elementaryschools afford children socialization experiences that are not as readily available in formal classroom experiences. Elementary school activities can be designed to clearly relate to the specified outcomes that teachers are attempting to achieve, and they can be designed to take advantage of the developmental stages through which elementary children progress. Elementary principals and teachers should plan for student activities just as learning experiences in academic endeavorsare planned and coordinated. Well-planned school activities targetedto contribute to educational outcomes are much more likely to hit their mark than those activities launched by chance, whim, or tradition. Most elementary school activities are more closely related to classroom activities than in middle-level schools or senior high schools. Elementary teachers often “doubleload” activities. Forexample,agroup of elementary students may go to a history museum to observe an exhibit or set of artifacts relating to a unit of study about the Civil War and after the museum tour go to a nearby park for a picnic. The planning that goes into the field trip and into the picnic will determine the quality of the learning experiences. Competitive athletics have not become a part of the typical elementary school program, with the exception of elementary schools containing grades 7 and 8. (The school activities in which grades 7 and 8 elementary students are involved will be discussed under the heading of middle school activities.) Recess affords elementary students with a setting in which competitive athletics are played as informal sports. In the small rural school, boys and girls may use the softball diamond for a game of “work up” before school or at recess. Anurban elementary school mayhavean outdoor basketball court that attracts a constant stream of fantasizing future NationalBasketballAssociation players before school, at recess, and after school. Because elementary students wish to compete,

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elementary principals should work with teachers and parents to extend options that will give children opportunities to play and compete in a constructive atmosphere. Familiesprovide their children with private lessons in music, dance, and sports such as gymnastics or some form of martial arts. Club sports are also available as parents organize and coach soccer, Little League baseball and football, hockey, and YMCA- or church-sponsored basketball. Elementary principals, as well as superintendents and members of boards of education, receive requests for schools to assume the sponsorship of team sports. The arguments for or against school sponsorship of athletic team sports for elementary school children can become heated; many special interest groups push for school sponsorship. School officials, and elementary school principals in particular, should have a clear philosophy regarding the place of school activities in the learning experiences for children. The philosophy regarding school activities, for all grade levels, should bereflected in school policies. Withan established mission,a clearly articulated philosophy, and a carefully crafted set of school policies, an elementary principal can work with staff and parents in arriving at an educationally sound program of school activities. Appropriate school activities for elementary students include (1) class-related functions and experiences that are an outgrowth of formal instructional experiences, (2) physical activities that provide intramural sports or organized play or recreation, (3) performing activities that are most frequently an outgrowth of the fine arts curriculum, (4) social activities, ( 5 ) leisure or undirected recreational activities ranging from recess to planned recreation involving parents, (6) community service activities, (7) assemblies, and (8) leadership activities. The ultimate test of the quality ofan elementary school activities program is its contribution to the growth and development of each child in the school. Because elementary school activities are usually conducted within classroom experiences andnot as separate activities, they are not always easy to categorize. In a secondary school, when a member of a student council leaves a class to attend a student council meeting, the involvement in a leadership activity is clearly distinguishable from involvement in a formal class. There is usually less distinction between classroom activities and school activities in an elementary school. An elementary teacher may teach students the rudiments of parliamentary procedure as a leadership activity in conjunction with a unit on the history of the development of the Constitution, so the school activity could also be considered a class-related activity. Often there is little distinction between learning activities and co-curricular or school activities in elementary schools, which is as it should be. An elementary teacher may have an art project in which third-grade students make Halloween table decorations for a nursing home. Such a project would be class related and could involve the leadership tasks of organization, communication, and community service. The elementary teacher who perceives that an

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activity can contribute to the learning experiences of the pupils will make a positive contribution not only to the cognitive domain of the pupils but to their social skills, planning and leadership skills, and skills in art or crafts as well as to the climate of the school and community. School activities in the hands of a talented elementary school teacher are an extension of good classroom teaching. The list of class-related elementary school activities can be as longasthe imagination of a creative elementary school teacher. The spell down or spelling bee is an example of a class-related activity with a long history. Various types of contests or games that motivate elementary students to learn materials, such as the names and capitals of all the states in the United States, can be defined as class-related activities or as just good teaching. Physical activities that may or may not be a part of the physical education curriculum of an elementary school are conducted by many elementary teachers. Elementary students maybe enthusiastically involved in intramural activities before or after school. Such physical activities are most frequently based on a physical education unit of instruction. Long after the unit of instruction is completed, the students may continue to enjoy the activity as an intramural or recreational activity. Performing activities in an elementaryschool are mostfrequentlymusical functions. Music teachers can use student activities to provide public relations for the school, generate enthusiasm among the pupils, involve parents, and provide students with a performing experience to help them gain confidence and poise. Musical programscan be performed for anentire community. By contrast, a poetry reading and recitation might be held in a single classroom and parents of the class members invited. Social activities for elementary students are also restricted only by the imagination of the teachers involved. The once-a-month birthday party for students is but one example of a social event that serves as an elementary school activity. Social events can be elaborate and involve all pupils and teachers in an attendance unit. There is a growing awarenessof the changing family structure and its impact on elementary school-agechildren. Efforts to bring together parents and students who represent all socioeconomic and ethnic groups of the attendance unit are becoming more frequent. Recreation and leisure activities to bring pupils and parents into school activities can be a strong force and a means of cementing the school-home relationship. School officials should look at the needs of their clientele and the resources that are available and consider what kind of leisure activities would best meet the needs of their pupils and parents. Community service activities can include school patrols at crosswalks by the school to gathering trash alonga park. Teachers and principals with a keen sense of community needs can involve elementary pupils in community service activities that make a worthwhile learning experience for pupils and gain recognition and respect from community leaders and patrons. School assemblies provide the principal and staff an opportunity to bring all

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students in a building together in a wholesome atmosphere. When all members of a student body are brought together, a sense of community can be demonstrated. Not only can entertainment or information be extended to all elementary school students, but school prideand a sense of community can be fostered through assemblies. Assemblies shouldbe well planned and the students guided so they know what to expect and how to act as responsible participants. Older students can gain additional learning experiences by being assigned to serve as master of ceremonies, or ushers, or by being given such tasks as handing out or collecting materials from students attending the assembly. Every assembly should be planned so that the staff can clearly articulate why the assembly was held and what outcomes were being sought. After the assembly, the principal should be able to identify to what degree the desired outcomes of the assembly was reached. Feedback of various kinds can be gathered to help a principal and staff determine if specified goals are met. The different kinds of leadership activities staff members can make available to elementary school students are also almost limitless. Rich opportunities to be involved in various kinds of leadership activities can be designed for pupils within a given class or in schoolwide activities. Leadership training is simply good teaching, and good teaching is good leadership training. There are many opportunities for principals and teachers to enrich the learning experiences for children through elementary school activities and at the same time involve parents and guardians in constructive activities. The elementary principal must be alert to options and have a clear grasp of the contribution of school activities to the total learning experiences for the pupils. Every school activity inan elementaryschoolshould be clearly tiedtospecified learning objectives.

Middle School Activities The movement from the junior high school to the middle school has come about because of the reaffirmation of the developmental needs of early adolescents. The middle-level approachhas changed junior high schools from imitating senior high school programs to implementing a program uniquely designed for early adolescents. As junior high school perspectives and programs have been replaced with a middle-level focus, there has been an accompanying adjustment of school activities for middle-level students. Ninth-grade students have generally been perceived as sufficiently mature to participate in senior high school activities, although the behavior of some ninthgrade students has caused debateamong staff members regarding their readiness for senior high school. In most instances, ninth-grade students do not occupy a position at the forefront of the activity program; however, generally they have matured physically and socially and can become involved in senior high school activities as full participants. Insecondary schools with grades 7 through 12, ninth graders will be a part of the senior high school activities programs, in-

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cluding athletics, whereas seventh and eighth graders are involved in the junior high school activities program. The numerous grade configurations for middlelevel schools cause difficulty in making generalizations. Middle-level schools can involve grade configurations ranging from grade 4 through grade 8. Middle-level students are in the midst of a tumultuous developmentalperiod that causes parents to shake their heads and teachers tobe challenged by the wide range of differences demonstrated by early adolescents. Rather than designing activity programs for the typical middle-level student, principals of middle-level schools should consider the wide range of students their school is to serve and, consequently,the wide range of school activities that may be needed. The types of school activities made available for middle-level students should demonstratea transition between elementary programsand senior highprograms. Middle school activities, like senior high school activities, can be categorized into those that are (1) class-related activities involving various clubs, assemblies, field trips, and tours; (2) performing activities, which include athletics, music, dramatics, forensics, and school publications; (3) student leadership and social development activities, such as student council, school spirit activities, leisure and social activities; and (4) community service activities. Although middle-level school activities can be grouped into the same categories as senior high activities, the focus, emphasis, frequency, andintensity should be much different from what is found in high school activities. Class-related activities in a middleschool are very similar to class-related activities in an elementary school. In like manner, in a class-related activity in a middle-school science class where the students are studying pollution or environmental issues, a teacher may teach factual information about some facet of the environment and provide the students opportunities to become involved in an environmental protection community service activity. Double loading course content and community service activities for middle-level students islimited only by the imagination of the principal and the staff. Performing activities, taken as a broad set of activities ratherthanseveral types of activities as suggested for elementary schools, become a more dominant and demanding part of the school activities program in the middle school. School musical performances, for example, are more sophisticated and frequent in middle schools. Additional activities, such as publishing a schoolnewspaperor making a daily broadcast on a public address system or closed circuit television network, may be more formal in a middle-level school. Intramural and extramural athletics are a part of the performing activities in middle schools. The intramural teams are chosen from within one school. The extramural teams are drawn from several competing schools. Extramurals, in contrast to competitive athletics, should not limit participation to one team from a given school or cutparticipants from an athletic team. In an extramural athletic program, several athletic teams from each participating school come together in an evening for a series of extramural matches. Student participation in intramural and extramural athletics should not be limited but should remain open to all.

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The number of athletic contests playedin a middle school shouldbe fewer than thenumberallowed in senior high school. State athletic or activity associations generally establish thenumber of athletic contests in anygivensport and thestarting andending time for a sportseason for senior high school interscholastic athletics. Middle schools are not typically controlled by state athletic or activity associations. Middle-level activities are generally determined by local district policyand government procedures. Typically the number of athletic contests in a middle schoolwill be less than half thenumberscheduled in a senior high school. That athletic contests are limited in numberand are intramural or extramuralratherthan competitive maybe of concern for many enthusiastic parents. Some parents andpatronswant middle-level pupils to play as many gamesasprofessional teams. Suchenthusiastic supportfrom some parents and patrons becomes a major problem for middle-level principals who attempt to achieve a balance in activity programs. The middle-level principal can best confront the overzealous athletic buff or the aspiring Olympic parent when there is a clearly defined set of objectives for the activities programinthe middle-levelschool andan accompanyingset of guiding policies from the superintendent and board regarding what will and what will not be involved in the middle-level activities or athletic program. Principals must be able to justify any school activity in terms of the developmental stages of the children in the middle-level school. Emphasis on club sports sponsored by groups outside of the school is growing. Gymnastics, competitive football, and the martial arts are but a few of the out-of-school activities competing for thetime of the middle-level pupilsand their families.Someenthusiastic parentsandsponsors of out-of-schoolclub activities will request permission from the middle-school principal for students to be taken out of school to travel to and from contests, practice and participate, or attendawardsbanquetsand ceremonies.Themiddle-level principalshould have a policy and a set of guiding principles to balance and manage the school in a way that is most conducive to the growth and development of children. A s a generalization, students should not be permitted to be taken from school classes to participate in out-of-school athletic clubs or similar activities.

Senior High School Activities Athletic and debate activities came to education through the doors of colleges early in the history of the United States. College presidents reluctantly acknowledgedthatyoungmenpursuingeducationatthe collegiatelevel,because of their age, wouldwant to be involved in contests of various kinds. Thus, it was acknowledged that the best way to deal with the situation was for official recognition and sponsorship by the college. A s high schools emerged on the educational scene, many elements of the college activities program were transplanted into secondary schools. The firstquarter of thetwentiethcenturywas a period of formalization of

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high school athletics and, to a much lesser degree, activities in general. Public educators to recognize school officials in Wisconsin wereapparentlythefirst the need for aformalorganization to deal withthe interscholastic programs emerging in the secondary schools. By 1920, there were reportedly twenty-nine state associations that had been formed to control interscholastic athletics. L. W. Smith, whowas the executive secretary ofthe Illinois HighSchoolAthletic Association, issued an invitation to other association secretaries, including Indiana, Iowa, Michigan, and Wisconsin, to meet and consider forming a national organization. The 1920 meeting called by Smith ultimately resulted in the formation of the National Federation of State High School Associations in 1922, when representatives from eleven states met in Chicago.’ High school principals recognized that they were in the business of managing school activities of many kinds and that activities not only were inevitable but had a major contribution to make to the growthand development of young people. It was further acknowledged by principals that controls and policies were required to provide assurances that activities programs wouldbepositive experiences for young people and that abuses would be avoided to the greatest extent possible. Because of the volatile and emotional impact of the activities, as well as the high level of appeal to students, principals have sought support by allying themselves andthe schools theyrepresentwith state andnational organizations that provide three important ingredients. First, national organizations provide some program direction; second, national organizations provide information valuable to the operation of a program; and third, national organizations provide backing in the process of policing an activity. The process of policing an activity brings about mixed reactions from participants, since the policies developed by representatives from the national organization may be at variance with local interests. School athletics provide a classic example of how national or state guidelines, developed and approved by the representatives from member schools, can causeconcerns and disputes. For example, following guidelines established at the national level through the National Federation of State High School Associations, state activity associations establish rules governing eligibility requirements for athletes. Each year, activity association officials in every state are faced with the necessity of adjudicating cases in which student eligibility is a question. Oftenrulingsperceived as unfavorable with respect to a given student athlete cause interested parties to complain, “They (the activity association) won’t let Jane play.” What is often not acknowledged is that “they” are “we.” The rules governing eligibility, for example, are created by representatives from member schools through a very democratic process. Consequently, every secondary school principal should be involved in the governance process for school activities at the conference level and, ultimately, at the state association level. In conference and state association governance, each school has one vote. The responsibility of the principal is to cast the vote for the governance of school activities in a way that will maximize the educational

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benefits for students and minimize the potential abuses that can emerge from activities programs. For a building principal to cast an educationally justifiable vote on controversial issues in an athletic conference or on a state board of activities directors is easier saidthan done in some instances. Notuncommonly principals feel pressure from local community groups seekingto expand activities or to remove some guideline that the local advocates perceive as a restriction. In other instances, a principal may be asked to vote on establishing a schedule for athletic contests in a conference, and the coaches may have strenuous objections. When confronted with hard decisions regarding activities programs, a principal will be called upon to make decisions based on principle, not expediencies, and to keep in mind that everything done in a school program, which includes activity programs, is done to provide students with the best learning and growing experiences possible. Every state association has a list of officially sponsored activities. The nature of the state association will determine what activities will be on the official list of sponsored activities. State associations that are athletic associations will obviously not have the scope of officially sponsored activities of associations that sponsor forensic, music, drama, and student leadership activities. Schools often sponsor activities that are notonanofficial list of a state association. The National Honor Society, sponsored by the National Association of Secondary School Principals, is a prime example. There are several clubs related to different aspects of vocationaleducation that are typicallynot associated with a state activities association. School officials need to be aware that not all activities can or should be sponsored in a given school. Just as individual students maybe called upon to make choices regarding the activities in which they will engage, so must school principals, workingwith students, staff, parents,and patrons, make choices. Activities Sponsored by Non-School Groups The list of activities available for youth outside the jurisdiction and sponsorship of the school is continually growing. Countless well-meaning groups have called upon school officials and sought entry into the school with every imaginable kind of program. Groupshave attempted to sponsor poster contests, essay contests, educational programs, athletic programs designed to extend sports to younger children and provide additional sports, and service and fraternal organizations in school. During the last quarter of the twentieth century commercial interests, possessing large amounts of financial support, have pressed for nonschool-sponsored activities and have increasingly influenced school athletic activities. The National Federation of State High School Association (NFSHSA) waged a losing battle to prevent commercialization of high school athletics? Each year NASSP publishes a bulletin containing a list of “approved activities,” that is, activities that have gone through a screeningand approval process

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to designate appropriateness for consideration in a secondary school activities program. A building principal can use the list to check onan activity that an interested person or group proposes adding to the school program. The tug of war over expanding or controlling secondary school activities has been in ferment at the national level and at the state level. The U.S.Olympic Committee (USOC), which has control over amateur and Olympic-related professional sports in the nation, came about in its present state by congressional action in 1950. The USOC is responsible forgoverningand coordinating all amateur athletics, and one ofthe organizations affiliated with the USOC, the NFSHSA, has argued tokeep excesses and commercial interests out ofhigh school athletics. However, national pride, the fervor over winning gold medals, and multimillion-dollar commercial interests have been the ruling course of the era. In other segments of the legislative process,billshavebeenintroducedto limit the amount of time devoted to school activities. Consequently, school principals have faced pressure from advocates to expand school activities, such as national basketball tournaments, and at the same time have been confronted by state legislators who propose legislating limits on student involvement in activities. The dilemma is compounded by the fact that opposing interests represent legitimate clientele of the school. It is important to remember, however, that the primary clientele of the school is the pupil and that all other client groups are secondary to pupils. In spite of efforts within local schools, conferences, state association levels, and the national federation level to maintain a balance in programs and avoid exploitation of youth, resolution of the debate for building principals is difficult. Although national and state organizations can be valuable resources and provide assistance in developing and maintaining activities programs, the primary task to maintain quality and balance rests on the shoulders of the building principal.

SETTING GOALS AND PLANNING FOR SCHOOL ACTIVITIES The Value of School Activities As secondary school principals face the responsibility of providing the best possible learning experiences for youth, they should keep clearly in mindthe role of school activities as a part of the total school program. Principals should apply sound planning approaches to school activities just as they would for the mathematics, languagearts, or science portion of the academic program. School activities consume large quantities of valuable human resources, and they may use 2 to 4 percent of the financial resources of a district. School activities play an important part in the total school program and many resources are needed for their operation; therefore, school activity programs merit the same quality planning devoted to other segments of the program.

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Although some people feel school activities should be abolished, the value of school activities is generally accepted by the majority of observers. Indeed, most parents, pupils, teachers, and patrons see value in school activities. Advocates often overstate the benefitsto be derived from school activities, yet there is evidence to support thevalueofparticipation in school activities. From their observations and first-hand involvement with youth, sponsors and coaches are convinced that activities can be a positive factor in the growth and development of a young person. Several of the better-known research efforts to determine the value of school activities date back several years and have since been replicated with various modifications. Personnel from the American College Testing Program wanted to determine to what extent American College Test (ACT)scores could be used to predict success in adult life, defined as self-satisfaction and participation in a variety of community activities two years after college. The factors examined were involvement in school activities, high school GPA, grades in college, and scores on the ACT. No statistical correlation was found between test scores or academic achievement and adult accomplishment. The best predictor of adult success was the amount of time and leadership spent in high school activities programs. Jennings andNathan cited a similar study conducted by personnel associated with the College Entrance Examination Board’s Scholastic Aptitude Test (SAT) in which there was little evidence to link results of the SAT with intellectual or creative contributions in adult life. Researchers found the best predictor of creativity in mature life was adolescent participation in independent, self-sustained ventures, such as hobbies,work experience, and extracurricular activities? Various other studies have been conducted over the years to seek an answer to the question of the value of school activities. Eidsmore found that student athletes who were highly competent in their chosen sport were above the average of their fellow students in academic performance? In a similar study conducted over a four-year period, Edwards reported that athletes had a higher GPA than nonathletes? No data were available in the studies, however, to demonstrate that because students participated in athletics they performed better in academic areas. The early studies regarding participation in activities and grade point averages have been replicated periodically, and the results continue to support the findings of early researchers.6 Other benefits attributed to student participation in activities include a reduction in delinquent behavior, development of social and interpersonal skills, and the enhancement of status,’ Since most participants do not become professional athletes or musicians, there is little question that the skills gained from activities are not the lasting benefit. The more significant benefits are derived from greater self-confidence, the ability to prove one’s worth, an understanding of what is gained by striving for perfection, and the pride achieved by one’s accomplishments. The goals of becoming a worthy individual and the abilityto interact with other people far outweigh the skills gained in athletic or musical activities.

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There is no evidence that irrefutably proves that participation in activity programs accomplishes all the goals of such programs. Through opinions and conventional wisdom, however, conclusions have been reached that school activities provide youth with opportunities to contribute to their quality of life, in turn a factor in developing each individual’s ability to contribute to society.

Goals for School Activities In contrast to those observers who protest the overemphasis of activities are activities advocates who seek to encourage disinterested or reluctant students to take part in school activities. Each school principal can identify students who have “emerged” through their involvement in school activities and gained recognition and self-esteem. There are, however, students who resist involvement in activities and pose a challenge to school personnel. A key time to involve reluctant pupils and provide learning experiences in the activities program that will meet the interests and needs of all students in the school is during student scheduling and preregistrations. When advocates of school activities are askedabout goals or purposesfor school activities, they often make pronouncements about helping youth develop their potential and identify what can be achieved through the various activities available in a school. Usuallythegoals are stated so thatnoteventhemost cynical citizen could speak out against them. The wording of goals for school activities has not been the problem; problems have been evident in other related dimensions. The first problem has been the failure to make school activity goals a part of the goal statement for the school or, conversely, making the school goals include the goals for school activities. The second problem is the failure to evaluate school activities in light of the stated goals for the program. All too often, the win-loss record for an athletic program or the number of ribbons or trophies won in nonathletic competitions becomes the primary source of data used to evaluate a program; a meaningful evaluation is lacking. A third problem can emerge in the management of school activities because of the absence of clear goals. Because goals have not been set, thehidden agendas and accompanying dominance of nonschoolpressure groups seeking to dictate the employment of staff and scheduling of programs may interfere with academic classes. Goals for school activities should be a part of the overall school goals, and they should be as wellthought out as the academic goals. Significant others should be involved in establishing goals for the school activities program, just as client groups are involved in the establishment of goals for education as a whole. Once established, goals should be supported by school policies that are in compliance with state and federal laws. Finally, goalsforschool activities should form the basis for the establishment of evaluation criteria, which ultimately are integrated into and structure the evaluation of programsandthe development of a database for future decision making. A building principal will

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be in a more defensible position if goal-related evaluation is the source of information for accountability. Types of School Activities

School activities have been labeled and classified in various ways. The term “extracurricular activities” is still applied, but its application lacks consistency. Inan actual case in which state legislation was proposed to govern activities programs, school activities were referred to as “athletic activities”; in another portion of the legislative bill, the wording “extracurricular activities” was used. The term “co-curricularactivities” is also used with various connotations. Some decades ago Frederick referred to school activities as “the third curriculum.”* The underlyingphilosophy regarding the place of school activities seems to have an influence on what term is preferred. If an observer perceives that the purpose of school is to transmit knowledge primarily from academic disciplines, then school activities may be viewed as something apart or extra-thus “extracurricular activities.” Those persons who view schooling from the perspective of the whole child and perceive education to consist of more than learning from academic disciplines will generally findthe terms “co-curricular” or “school activities” appropriate. Performing Activities. Performing activities consist of such school activities as athletics, drama, music, forensics, and publications. In each instance coaches and sponsors are involved in developing participants’ knowledge and performance skills. Performing activities typically involve a considerable time commitment for staff and students, are accompanied by sizable budgets in most cases, and are most frequently associated with some form of interscholastic activity. Zntrumurul Activities. Intramural activities, and in some cases extramural activities, though not strictly performing activities in the sense of interscholastic athletics, are closely related to performing activities. Although not all intramural activities are athletic, there is much orientation toward athletic events. Whereas it is not uncommon to have an intramural chess tournament, intramural volleyball tournaments or softball tournaments are much more common. Popular intramural activities include bothteamand individual sports such as archery, bowling, table tennis, volleyball, horseshoes, tennis, badminton, and basketball. Since youth like to play ball and to compete, those without the talent to be on a varsity athletic team should have opportunities to take part in intramural sports. Intramural programs can provide athletic and competitive opportunities for students who are unable to compete at the interscholastic level and students who have handicaps of various kinds. Intramurals provide staff members the means of reaching a large segment of the total student population and involving them in wholesome learning experiences. Once principals have a clear view of what is to be accomplished in an intramural program, their attention should be directed to efficiently staffing and organizingintramuralprograms.Theassignment of a staffmembertohead

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intramural programs will aid in accomplishing the purpose for which they are intended and aid in alleviating friction or problems among students and staff. Since intramural programs are offered to make a wide range of activities available and to attract as many students as possible to the program, care should be taken to not exclude any students. Intramural programs should capitalize on student interests. Whoever the principal assigns to direct intramurals will need sufficient resources and support to assure a viable program. The staff member in charge of coordinating and directing intramurals should give attention to student interests concerning staffing and scheduling, the units of competition, and the eligibility requirements. Each staff member can determine eligibility requirements and structure them to meet the needs in the school. Eligibility requirements should be determined inadvanceto curtail problems that arise for which there is neither a rule nor a precedent. Leadershipand Social Development Activities. Although opportunities for growth in leadership are present in aboutanyschool activity, there are some activities in which there is a particular focus on leadership development. Future Farmers of America (FFA) is actually classified as a class-related activity; however, ITA is designed to involve experiences intended to enhance leadership skills for youth. The student council, among other specific activities, focuses on the development of leadership. Student councils are organized and structured in various ways to fit the local setting. Two sources of information are valuable to school principals whoworkwith a student council:the state student council association and NASSP. Most states have an active student council association that serves as a means of linking student council sponsorsfrom schools throughout the state. Newsletters and area or state conferences are made available to member schools. Inmany states, summer leadership trainingworkshops are conducted for student council members from within the state. Summer leadership workshops can not only be a strong motivation for participants but also supply them with valuable informationand experiences about the conduct of the student council. Every student council state organization is linked to NASSP, which supplies leadership materials and services to the student council movement across the nation. School officials will find membership in the NASSP and the National Association of Student Councils to be a valuable resource. The National Honor Society is the primary recognized honorary society for secondary school students in the United States. The National Honor Society is sponsored at the national level by theNASSP. The National Honor Society Handbook, published by the NASSP, sets forth the basic concepts involved and serves as aguide to sponsors in local schools. Most,butnot all, secondary schools are members of the National Honor Society. Middleor junior high schools are eligible to be members of the National Honor Society; criteria for involvement are tailored to meet the needs of early adolescents. The National Honor Society is intended to “recognize and foster academic achievement while developing other characteristics essential to citizens in a democracy.”g In addition to recognizing outstanding scholarship, the National

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Honor Society is dedicated to supporting youth in the development of “character, service, and leadership.” Principals and sponsors of a local chapter of the NationalHonor Societywillfind a great deal ofneededinformation in the National Honor Society Handbook. The handbook contains information about the history and development of the National Honor Society and what is intended to be accomplished; the structure, the constitution, and the by-laws; how members are tobe selected and inducted; rules and guidelines for sponsors; and information about how to start an honor society in the event a school is not a member of the National Honor Society. Members of the National Honor Society will receive newsletters, special information, and “NationalHonorSociety News,” in a section of the publication Student Advocate, which contains information for students and sponsors on a variety of topics. The selection of students for the National Honor Society can be an emotional process. Parents and students strive for the recognition and the opportunities associated with membership. Principals should follow scrupulously the handbook’s guidelines for the selection of new members. TheNational Honor Society as a school activity is somewhat unique. Recognition is provided and opportunities are available that are not found in manyschool activities; as such, the National Honor Society can make a worthwhile contribution to the total range of school activities in a secondary school. Socializing Activities. In large part, education is a socialization process. Socialization takes place in countless ways in all facets of a school program. School activities, however, afford staffmemberswith opportunities tobecomemore formallyinvolved in the socializing process and actual social events. Social events, like other school activities, should be clearly relatedand designed to contribute to the growth and development of children and youth. School “mixers” and dances are popular social events with a clear relationship to leisure activities that extend into adulthood. Banquets to honor students for their accomplishments in formal classwork or in school activities are a tradition in secondary schools and serve as a culminating activity to mark the end of an accomplishment, foster unity, and serve as a motivation and inspiration to future participants. Graduation is one more example of a school activity that reaches into the community and serves as a culminating, recognition event. Social activities, whether small and informal or large and highly structured, have a legitimate place in the activities program. Class-Related Activities. Class-related activities are an outgrowth of several classes or subject areas. They range from those originated by students or teacher to formal activities of national associations that sponsor regular meetings and conferences at the state, regional, or national level. Some class-related activities take place within the school, and some are interscholastic in nature. Classes generally associated with school activities are most frequently those affiliated with vocational education. Students involved with class-related activities in the various areas of vocational education have opportunities to be involved at their local school, at the state level, and with national-level meetings

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and activities. Similar to the information provided by the National Honor Society, vocational associations provide guidelines and information for local sponsors and student members.Leadership opportunities andthe development of vocational interests are strong areas of emphasis in such organizations. CommunityServiceActivities. Due to changes takingplace in society, a greater degree of emphasis has been placed on school activities that focus on community service. Many of the school activities classified as performing, leadership, or class related provide youth with many opportunities to be involved in community service. Student participants in one activity can provide service for other activities within the school. For example, members of an athletic team, particularly in the off-season, mayprovidetheushersneeded for adramatic production, or members of the school annual staff may help promotional efforts for an athletic tournament. Music groups can provide entertainment for service clubs, nursing homes, and community groups of various kinds. Students from selected classes may help serve dinnersto community groups that meetin school facilities. Members ofthe National HonorSocietycanworkwithelementary students who need a “pal” or who need tutoring. Not all the options or types of school service activities can be listed. There is no limit to the kinds of community service activities the building principal and staff can provide for children and youth. All students should be involved in community service and the experiences should be wholesome, contribute to specified outcomes, and not place inappropriate demands on students. Assemblies and Formal Exercises. Through assemblies, students and staff members are brought together for celebrations, informational sessions, and instructional purposes. For instructional purposes, assemblies can be used to instruct students about large-group behavior, when to applaud, when to speak and listen, howto sit without disturbing others, andhowto show respect for the rights of others. Assemblies can be used for celebrations of importance to the school community. Assemblies are also used to inform students about topics of interest to them or of importance to the organization and administration of the school. Thorough planning and coordination are necessary for assemblies to be successful. Expectations for student behavior must be announced and enforced, and the cooperation of staff members is essential before, during, and after assemblies. Before assemblies, teachers review and discuss with students the reasons for certain expectations. During assemblies, staff members should monitor the behavior of a specified group of students. After assemblies, teachers can add meaning by discussing the purpose and benefits of the assembly with students. Each moment should be considered to be a teaching moment. Teacherswant to know the scheduling of assemblies in advance and the reason why their attendance is or is not required. Disruptive behaviors destroythe enjoyment of assemblies for everyone; such behaviors should receive immediate attentionand appropriate actions. Agree-

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ment should be reached by staff members on appropriate responses to disruptive behaviors so that consistent standards are maintained. What constitutes a good assembly program? Follow the “who,” “what,” and “when” when planning and conducting assemblies. Why should an assembly be held? Who shouldbe expected to attend an assembly? Who should participate in planning the assembly program? What should be the nature of an assembly? What roles may students have in conducting an assembly? What resources are needed and available? How should an assembly begin? When should assemblies be held during the school year, month, day, hour, and period? Reasonable responses to the above questions should be utilized to capitalize upon the opportunities provided by assemblies. Commencement and related activities are among the most important public relations events of the year. Such activities signal the ending and the beginning of important stages in graduates’ lives and are opportunities for students, parents, school personnel, and members of the community to celebrate. The success of graduation exercises is directly related to the quality of planning for them. Although school personnel, particularly principals, are responsible for plans and their execution, participation by students, parents, staff, andcommunity members is essential for planning and conducting well-organized,dignified, and formal graduation ceremonies. Committee members should know the responsibilities and limits of their decision making. Committee memberscan address concerns, such as the costs to be absorbed by the school or students, student dress and decorum, seating, type of speakers, parking, distribution of diplomas and awards, music, parties, photographs, programs, site, length of the ceremony, invocations and benedictions, public relations and news releases, and baccalaureate services. The right of students to participate in graduation and the granting of differentiated diplomas should be given due consideration. In some schools, differentiated diplomas are used to recognize different programs and levels of achievement: regular, college prep, general studies, honors, limited curriculum, special education, and vocational. In addition, certificates of attendance, certification, or competency may be awarded to students who do not meet the requirements for a diploma. Differentiated diplomas raise questions concerning equity and excellence. For some, awarding of the same kind of diploma to all students does not take excellence into account; for others, students are treated equitably if one diploma is awarded all graduates. Students and parents must be notifiedin advance of graduation requirements, standards, activities, andany proposed changes in long-standing traditions. Successful graduation exercises and activities do not “just happen.” The cooperative efforts ofmany groups and individuals must be coordinated over a long span of time for the successful culmination of commencement exercises. Special ceremonies may be held during the school year to recognize students who have achieved commendable recordsin academic achievement,attendance, school activities, community service, volunteer work, youth groups, clubs, honor societies, and sports. Student achievements canbe recognized by assemblies,

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personal notes, reserved seating in lunchrooms, announcements over the intercom, and programs such as fairs and exhibits. Ceremonies that give recognition to achievement build students’ self-esteem and a tradition for schools.

STAFFING SCHOOL ACTIVITIES State department of education guidelines and rules require that teachers be assigned to teach classes for which they are trained and certified. A school may lose accreditation if an excessive number of teachers are teaching out of license. The assignment of staff to coach or sponsor activities is much less structured. Athletic coaches are generally wellprepared, in termsofformal training, for their assignment. Staffmembers in performing activities, such as music, publications, drama, and forensics, have the highest level of formal training to deal with the school activities portion of their assignment. For class-related activities, social activities, and many of the leadership activities, the principal should identify interested staff who have the personal skills for working effectively with youth. Despite the fact that academic preparation requirements for sponsors of activities are not set by state departments of education, the principal should know the staff and identify thosewhopossess the needed skills and interests to most adequately lead or instruct student activities. Principals should carefully study individual employment contracts andnegotiated agreements betweenstaffmembersand a school district in order to know the contractual expectations of staff members concerning school activities. Generally, the district will have a schedule for payment of extra or extended duties associated with school activities.

SCHEDULING SCHOOL ACTIVITIES An area of responsibility withwhichsecondaryprincipalsbecomehighly involved and in which they need to take strong leadership is scheduling school activities. Because of the many demands placed upon the school calendar and the special interests resulting in requests for time and space, the building principal shouldhavea clear definition of whatistobeaccomplishedandthe procedures to be involved. Ideally, all school activities shouldbestaffedand scheduled to provide eachprogram the needed time for practice and participation without any conflicts or interference with scheduled class times. Although every principal knows the ideal is not totally achievable, he or she can make efforts to avoid conflicts and reduce the amount of time school activities interfere with scheduled class time. Conflicts between school activities andscheduled class time can be avoided by a predeterminedphilosophy,governing policies, and specified outcomes. (See Chapter 6 for a more detailed discussion of the use of time for school activities.)

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MANAGING SCHOOL ACTIVITIES BUDGETS Although the school activities budget does not constitute a major portion of the total school district budget, school activities involve sizable sums of money and require the careful attention of the building principal. More than one wellintentioned and careless principal has experienced serious professional difficulty in the management of school activities funds. All money used for school activities, whether derivedfrom state tax dollars, gate receipts, sale of student activity cards, or a donor, comes underthe jurisdiction of the school district. All student activities funds should be audited each year. Every principal is accountable for all student activities funds. Procedures approved by the office of the superintendent and by the auditor of district accounts need to be implemented by principals and followed meticulously. Each school activity should have a budget and standardized proceduresfor receipting money and disbursing funds. All student activities funds should be kept in a centralized account with subsidiary accounts established for each activity.

EVALUATING SCHOOL ACTIVITIES Although student activities are typically not evaluated, principals should give more time and attention to their evaluation. Evaluation efforts can be delegated to coaches and sponsors in large part. Staff members who evaluate school activities should understandthat evaluation is requiredand be given in-service training and provided support services neededtoperformthe evaluation. The basic concepts given in Chapter 13 concerning evaluation apply to the school activities program.

SUMMARY School activities play an important role at all grade levels in a school. Activities are primarily class related in elementary grades and become more sophisticated and have a greater level of intensity for middle and senior high school students. Activities make a contribution to the growth and development of students that cannot be totally duplicated in other segments of the school experience. Youth will become involved in activities whether they are sponsored by the school or by some other group. Therefore,school officials have been charged with the sponsorship of activities, and legal clearance has been given for tax dollars to be used to support school activities. Parents, the general public, and students have been supportive of school activities. In fact, because of the high levels of public and commercial interests, school principals frequently receive demands to extend or add activities to the school program. School activities are deeply engrained in the total school experience. Principals should have a clear set of educational values regarding school activities and a philosophy to guide the process of setting goals and procedures

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necessarytoconductschoolactivities.Schoolactivitiesshouldbecarefully planned,monitored,andevaluated.Schedulingprimeresourcesforschool activitiesrequirescarefulattention bytheschoolprincipal.Activitiesareanimportant part of the total school experience for most youth and constitute a major area of responsibility for building principals.

NOTES 1. Ward Sybouts and Wayne Krepel, Student Activities in the Secondary Schools: A Handbook and Guide (Westport, Connecticut: Greenwood Press, 1985), p. 91; Charles A. Forsythe and Irvin Keller, Administration of High School Athletics, 6th ed. (Englewood Cliffs, New Jersey: Prentice-Hall, 1977), p. 15. 2. Sybouts and Krepel, Student Activities in the Secondary Schools, pp. 90-95. 3. Wayne Jennings and Joe Nathan, “Startling Disturbing Research on School Program Effectiveness,” Phi Delta Kappan 59 (March 1977): 589. 4. Russell M. Eidsmore, “High School Athletes Are Brighter,” Journal of HealthPhysical Education-Recreation 35 (May 1964): 53-54. 5. Thomas L. Edwards, ‘Scholarship and Athletics,” Journal of Health-Physical Education-Recreation 38 (March 1967): 75. 6. Ronald Goodson, “Student Achievement and Co-curricular Activity Participation,” NASSP Bulletin 69 (October 1985): 20; “Time on Task, School Activities and GPA” (unpublished report, University of Nebraska-Lincoln, 1987); Douglas Gil Kettelhut, “An Analysis of Selected Student Characteristics and Student Participation in School Activities in Selected Nebraska High Schools” (unpublished doctoral dissertation, University of Nebraska-Lincoln, 1989). 7. Daniel M.Landers and Donna M. Landers, “Socialization via Interscholastic Athletics,” Sociology of Education 5 1 (1978): 302-303. 8. Robert W. Frederick, The Third Curriculum (New York: Appleton-CenturyCrofts, 1959). 9. National Honor Society Handbook (Reston, Virginia: National Association of Secondary School Principals, 1983).

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10 School Business Services

INTRODUCTION A school exists to serve many purposes, persons, and needs. Meeting the needs of students is often noted as the first priority of successful principals.' At the same time, motivating teachers, maintaining a positive climate, responding to parents' requests, improving curricular offerings, maintaining goodrelations with the community, and other duties and functions are of critical importance. Maintaining a well-organized and smooth functioning office is another dimension of great importance. Principals are typically not in their offices the entire day; usually, they spend approximately half of the day working with staff, students, and community members. Principals engage in many face-to-face conversations throughout the day, going from one end of a school plant to another gathering information, integrating perceptions, coordinating, relaying information, givingfeedback,receiving moreinput,bestowing awards andrewards, issuing challenges, and maintaining personal contacts? Information is presented in this chapter about the many and varied elements of school business services from the perspective of the building principal. The topics discussed include office management, the budget development and management process, managing equipment and supplies, student activities accounts, school bookstores, food services, transportation, and school plant management.

THE SCHOOL OFFICE A school office is the hub for conferences, communications, data collection and records, and services. Administrators of the district, certified and noncertified staff, students, parents, patrons, and members of public and private organ-

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izations benefitfrom services provided by the office staff. How an office is organized and operates conveys an image of a school when a person first contacts a member of an office staff. Because of the visibility and importance of the work in an office, members of an office staff need to be well informedabout their duties, skilled in interpersonal relations, and highly motivated toward the purpose of the school. School secretaries whonever seemtoo busyto helpsomeone, are always courteous, have a ready smile under duress, and work efficiently tell by their actions what the mission of their school is and what is important. How an office ismanagedand operateddoes morethanprovide a goodwindow dressing; competent office staff members increase the efficiency and effectiveness of the entire staff of a ~ c h o o l . ~

Personnel

A smoothly functioning office does not happen by chance. Principals need to monitor the work of their oi‘fice staff members so their job satisfaction is kept high, their work skills improve, and productivity levels are maintained and increased. Office staff members should receive equal consideration given to other groups of employees in the personnel processes of human resource planning, recruitment, selection, staff development, compensation,and security. Thus, orientation activities, induction, in-service training, and developmental programs should be made available for a school’s office staff members. For example, if a new telephone system or computer program is installed, secretaries should be provided training to operate the new system efficiently. If secretaries are unfamiliar with a new system, their unfamiliarity may antagonize outside parties. The selection of secretarial staff provides an opportunity to hire highly skilled people and to launch staff development programs and activities for secretaries. The professional and personal concerns and needs ofoffice staff members should notbe overlooked.Forexample,compensation differences among secretarial positions within a district may have a direct relationship to the degree of job satisfaction and productivity within every office in a district. The role, responsibilities, and duties of secretarial staff should be given prime consideration. Teachers and other personnel need to be informed by their principal-not by the secretaries-what tasks secretaries can be asked to do. Pity the poor secretary who has several teachers before school starts for the day ask, “Would you make twenty-five copiesof this for my first period class? I’d really appreciate the favor. I’ve got some last minute things to do.” As immediate supervisors, principals should set priorities for secretaries, inform other personnelof secretaries’ responsibilities and duties, resist the temptation to use secretaries as assistant principals, and make clear how decisions are made in the principal’s absence. If secretaries are expected to act professionally, they should be treated as such and provided an opportunity to participate in activities and local, state, and

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national associations appropriate for their role. If an association for secretaries is active in a community, secretaries should be permitted to attend meetings of the association during school time. If a community does not have such a group, perhaps school secretaries should be encouraged to start an association for the betterment of the school district and community. The scope of secretaries’ duties go beyond handling papers. Often they are required, of necessity, to clean and keep the office equipment in good order. In the absence of a school nurse, clerical staff are often called upon to offer firstaid, console sick children, and assist in medical emergencies. Training in firstaid procedures maybe offered tocertifiedandnoncertified personnel. The principle of “a reasonably prudent person” dictates proper training for individuals asked to perform first-aid. Facilities The work environment of office staff members should be reviewed periodically. Replacement of equipment that is outdated or in poor working condition may be necessary to maintain efficiency. Temperature, lighting, air flow, placement of desks and other equipment, and other elements of a working environment need periodic attention. Rapid advances in technology may require large expenditures of money for new equipment, software, andtime for in-service training. Policies and Procedures The policies, organizational chart, and procedures for operating aschool office can serve as a basis for studying theworkflowand operations of anoffice. Who does what, when, and for what reason should be clear to all concerned. If job descriptions do not exist, each member might be asked to prepare a list of duties-daily, recurring, bimonthly, quarterly, annually-and other matters related to the position. If more than one person staffs an office, a comparison of duties may indicate that some duties couldbemademore efficient oreven deleted. New principals will want to obtain an understanding of duties and responsibilities of staff members. The preparation of a manual of office procedures is useful in stipulating routine tasks related to standard forms for letters and memos, requisitions and inventory of supplies and equipment, attendance, school lunch count, grades and marks, processing requests for transcripts, student andteacher schedules, the calendar of activities, emergency or medical treatment, accounting for school activities funds, and a myriad of other tasks. If assembled in a looseleaf notebook, a copy of,a form can be inserted next to a listingof procedures tobe followed, and the manual can easily beupdated. For example, a manualcan contain information about proceduresto follow in case of a medical emergency along with the form on which to record particulars of the emergency and pro-

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cedures taken-the actions that a reasonably prudent principal would have taken in anticipation of emergencies.

Organization How an office is organized has great bearing upon its efficiency and effectiveness. Thearrangement of desks and equipment,organization offiles, the assignment of duties and responsibilities, the flow of work coming into and out of the office, status levels of secretarial staff with custodial and food service staff, how teachers’ requests are processed, and other factors need review from time to time. Work loads can be analyzed through data collected and task logs kept by each office worker over a week or so during different periods of a year. Conflicting responsibilities or priorities can be identified and remedied so that the operation of an office is conducted smoothly. The use of telecommunications programs may obviate the need for printed messages stuffed into each school employee’s mailbox. At the same time, the use of telecommunications may increase the need for frequent personal contacts so a more efficient communications system does not create an impersonalized organization. Principals can send more messages faster to everyone in a school but need to rethink results of total reliance upon email. Office personnel may be asked to handle telephonecalls, relay messages, give reminders to other staff, keep track of materials for professional development, settle disputes, and completeother tasks that may not appearin a jobdescription. The scope of secretaries’ duties and requests for their assistance should be monitored occasionally so that their chief duties are not submerged under countless demands that beg “only a minute.”

Supervision and Appraisal Office staff also need supervision and subsequent in-service training and developmentand the whole gamut of appraisal, formaland informal, formative and summative. Office workers should be made to feel they are highly valued members of a school’s team,their work is appreciated, and their individual needs are recognized. The performanceof office staff should be monitored openly and consistently based upon the principle of improving performance. Esprit de corps may be enhanced if all staff of a school are treated professionally. Perhaps one lesson of the Hawthorne effect is overgeneralized; however, demonstrating concern for the needs of “workers” andpaying special attentiontotheirneeds produces a positive change in behavior?

COMMUNICATIONS How messages are received and sent can prevent many problems. The telephone message that is correctly recorded and given to the right person as soon

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as possible or by the most effective means can avoid misunderstandings, save time, and build positive relations. Elements in communication. Several elements need to be considered in preparing a message: (1) the source, (2) the form of the message, (3) the means of conveying the message, (4) the interpretation of the message, and ( 5 ) the receiver or the one who acts upon the message? Any of these five elements bears upon sending a message. For example, the use of highly technical terms, acronyms, or education jargon may confuse receivers who thus fail to understand a message. The advent of new technologies, such as voice mail, fax, and email, are other complicating elements in sending messages. Not all parents may be able to read English or understand American idioms or culturally based clues. Any element in communication creates a potentialproblemfor a message sender. Comparing the elements when sending an on-line, or email, message on changes in the daily schedule to dozens of teachers in a building equipped with computers in the classrooms with sending the same messageviaregularmailto hundreds of parents, some of whom may not understand English and American idioms, reveals some of the complexity of communicating. Other factors in communication include purpose, clarity, conciseness, sensitivity, and frequency. Receivers need to know why a message is sent to them. If the purpose of a message is clearly stated, receivers are more likely to understand and accept it. Messagesshouldbe clear and concise; unclearand lengthy messages may go unread. The wording of messages that show sensitivity to the concerns of receivers adds another dimensionto the effectiveness of messages. Also, some messages needtobe sent morethanonce. A one-line announcement in a September 2 newsletter to parents, “No classes on October 27 and February 22: Parent-teacher conferences,” may need repetition in several forms because of the length of time between the initial message and the conferences in October, the mobility of families, and intervening variables.

External Communications The quality of communications to external groups must meet one standardperfection. Messages from a school official should contain good grammar, correct spelling, and accurate information. The messages should be in proper form and be free of redundancy and jargon. Parents and guardians, members of civic organizations, the media, and individuals from many backgroundsexpect information in varying degrees and forms about diverse topics. Members of a civic organization may show an interest in sponsoring a student on a trip to represent the local organization in a contest; theymaywant to knowhow students canbe attracted to enter their annual contests. Parents want clear, accurate information on their student’s progress. A taxpayer wants to know why $40,000 is being spent on resurfacing the track, whereas typing labs were closed. Although in a principal’s mind the con-

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cerns are unrelated, a sensitively worded response may ease the taxpayer's anxiety. Special attention should be addressed to the release of information. A hiring official may telephone about a student's academic and disciplinary records, and a policy should clearly state what information can be released and under what conditions. Similarly, a district's policies maycontain specific procedures for responding to requests for information from representatives of the media. In the case of a controversial issue or crisis-often set at the district level-the lines of communication should be clearly delineated and followed.

Internal Communications Routineprocedures can enhance the dissemination of information to a school'sstaff. For example, an in-housenewslettercan be distributed each Thursday that provides information regarding the forthcoming week. A format canbe developed that includes informationregarding students, teachers, food service, noncertified staff, calendar events, and changes in district policies and procedures. A response could be included for staff to provide feedback to items in a newsletter. Many forms of communication exist within school buildings, and resourceful principals make the most of daily and weekly bulletins, the intercom, telecommunications, visits to workstations, postings on bulletin boards, and grapevines. A grapevine is not necessarily a network of nefarious individuals whose purpose is to sow seeds of distrust, revolution, and ill will. By knowing who talks to whom, principals can convey messages clearly that may not be accomplished by more formal means? Effective communication with external or internal groups consists of more than receiving or sending oral or written messages. Effective communication is an interactive process between receiver and sender and may consist of sending multiple messages, receiving feedback, modifying one's response, and beginning another cycle. Communication warrants as much consideration as personnel appraisal or program evaluation, and communication can be enhanced only when intensive efforts are made to study and improve upon means and outcomes of communication.' Principals often receive letters or notes that should have been addressed to other staff members. When principals receive communications that are best handled by others, they shoulddelegatea responsetothe proper staff member, make certain that appropriateresponses are prepared,andhavethewording acknowledge that the requests had been made to the principal.

Processing Messages and Mail The processing of incoming and outgoing messages and mail can be made efficient through routine procedures. For example, onemember of an office staff

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could be assigned responsibility for processing mail, opening routine mail, sorting it by priority, stamping each piece of mail with time and date, highlighting key information, and routing mail to the proper persons, for example, tothe head cook, music teacher, or assistant principal. Mail to the principal may require the secretary to note schedule conflicts, attach relevant documents to incoming mail, clip related materials together, draft replies to letters and memos for the principal’s review and approval, and expedite mail in other ways. Written procedures should be established so that substitute or new hires could assume duties with minimal disruption in the work flow. The intercom. The intercom continues tobean important communications device. Public address systems should beusedto contribute to good communications but not interfere with teaching and learning. Announcements can be made over an intercom at set times, for example, at the beginning of the first and last periods of each day, to decrease interruptions. Classes should not be interrupted for a message for one person; student couriers should be available for delivering messages toindividual students and staff members. Intercom systems that permit two-way calls provide a convenient means for teachers in their classrooms to contact a member of the school office staff. Class time should be protected by principals from unnecessary announcements over an intercom. Email. Email procedures should be equally precise. Whether hard copies should be made, messages should be stored on a hard drive or floppy disk, and other considerations needtobe determined. Unusual circumstances should be expected, and secretaries should begiven general advice about what to do. Comparisons of decisions that individuals makeleadto one conclusion: We don’t all think alike. Instantaneouscommunication around the world brings new challenges to information retrieval, storage, and dissemination. Data Collection, Storage, and Retrieval Hundreds, even thousands, of bits of data and information pass through a school office daily. Information on lunch count, absences, scheduling of events, orders of supplies and equipment, and numerous other matters surge in and out of mail boxes, computers, fax machines, and voice recorders. Someone is responsible for recording, storing, and retrieving information. Not all information and data must be recorded permanently. Guidelines should be developed onhow information is tobe recorded and stored so it can be retrieved and used. In some instances, federal or state statutes pertain to the use of information, such as the confidentiality of student or personnel records. The best set of data is up-to-date, is easily retrieved and manipulated, serves several purposes, and is accurate. Information that is required for routine reports is generally available. For example, student attendance records are readily available. If, however, information is requested from the attendance records about such variables as gender, race, language spoken at home, socioeconomic status, educational level attained

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by father and mother or guardians, collection of that information may be difficult. Administrators can examine the types of information collected, the form in which information is collected and stored, the transferability of information from one data set to another to ease data manipulation, and similar concerns to design an information system that meshes storage, retrieval, and analysis of data. Technology The advances in and proliferation of technology have revolutionized office work. A secretary can page an assistant principal over the intercom while a laser printer in an adjoining office quietly prints a multipage document; amail merge program is used to make each document a personal letter from the principal. In the same room, a second document is made and sorted on a photocopier. An incomingmessage is received via email while another incoming messageis recorded via voice mail from the principal calling in over a cellular phone. The secretary can “do” several jobs at once while producing mistake-free documents through a desktop publishing program. Has the advent of technology made the secretary’s job easier or more difficult? What happens to an office worker’s stress tolerance in such an environment of blinking lights, pulsating insertion points, coils of wires, paper jams, and stacks of fist-thick manuals? The proliferation of technology has also created many questions. What are the information needs of the school, principal, teachers, curriculum, and others? What software is bestsuited to meet the informationneeds?What hardware should be installed? Accounting, attendance, establishing databases, keeping trackof at-risk students, recordinggrades andmarks,preparingreportsand newsletters, requisitioning supplies, scheduling, andnearly every routine task can be processed by computers. As the memory in microcomputers continues to increase in power,the storage, manipulation, and retrieval of information grows exponentially; information needs seemingly stay ahead of computers at hand. Computer sojware. Many computer software packages are available to assist principals and office personnel to work efficiently and effectively. Keeping upto-date with advances in hardware and software isincreasingly difficult, but principals need to consider updatingtechnology periodically. Software packages should (1) afford interconnectivity on local area networks and telecommunications systems; (2) contain integrated database, spreadsheet, and word-processing programs; (3) afford a high level of security; (4) be user friendly; (5) have quick access to repairs and support service; (6) contain a securebackup of all programs and data; and (7) be easily upgraded. Basic skills. To meet the information needs of school systems, administrators should understand how computers are used throughout society and in schools, the differences among types of computers and telecommunications equipment, what kind of computers and telecommunicationsto purchase, legal implications

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of purchasing and using software, and information needs of the future. Office workers need to have skills in operatingcomputeis. They should be able to create, access, save, and transfer word-processing, database, and spreadsheet files; use telecommunications systems;care for equipment and software; and use other equipment, such as modems, video systems, hard copy devices, and facsimile machines. Administrators, of course, must have extensive knowledge of what hardware and software can and cannot do as information systems are designed. Who knows what new technology will bring? At the world’s Columbian exposition in Chicago a century ago, one futurist predicted that by the year 2000, each village in the United States would have at least one telephone.8 The surge of inventions seems likely to continue; futurists of the 1990s maybeno less clairvoyant about the omnipresence oftechnologyin schools. Administrators who understand the capabilities of technology can incorporate features of information storage, retrieval, and transmission into all aspects of their schools’ operations and programs. Ergonomics. Because officepersonneloftenworklonghoursatcomputer terminals, special consideration should be given to ergonomic factors, such as glare-free lighting, height of tables that hold computer keyboards and monitors, adjustable chairs, and static-free environments. Office workers should be routinely reminded of how to prevent stress and muscle cramping from prolonged or improper sitting or poor posture. Ergonomics-the study of people’s relationship to their physical environment-can lead to the identification of welldesigned traffic patterns, equipment that is logicallyplacedneartoworkers, secure work areas for handlingcashandconfidential records, isolatedwork areas, and comfortable settings for visitors. THE BUDGETARY PROCESS

A school’s budget should be thought of as a part of a process and not as a host of numbers in columns. Abudget is an expression of revenues, expenditures or disbursements, and the educational program. The superintendent and central administrative staff are responsible for the budget. Theprincipal, working within the process prescribed by the superintendent, is delegated selected budget development and management duties. Consequently, each principal needs to gain a clear perception of what is expected by the superintendent.

Basic Considerations As principals engage in budget preparation, they must consider many factors, weigh multiple alternatives, and select choices that fit best with established and desired inputs, operations and processes, and outcomes. As an illustration, when communities are in an economic downturn,more services for children and youth may become apparent, although some citizens might call for decreased expen-

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ditures to relieve property taxes. Even in the best of times, principals seldom have resources thatcanbeusedwith little thought. Principals can influence outcomes, however, as their leadership is a key factor in effective ~ c h o o l sThe .~ leadership of principals can make a difference, and managing resources is a task that will bring out the best leadership and abilities and administrative skills. Where can resources be allocated? To maintain, repair, or upgrade facilities? To provide social services for children from dysfunctional families? To extend the school calendar and day, hire more special educators to meet IEPs, increase staff development offerings, update course offerings, buy more computers, upgrade salaries, or increase security measures? Short- and long-range planning is affected by decisions made from inputof members of the community and actions of state and federal legislators. The shorter thetimebetweenapprovalof a budget and the opening of school, the fewer the number of options available to principals.

Approaches to Budgeting Comparison. A simplistic approach to budgeting is done by (1) comparing the revenues and expenditures of the previous year to the current year and (2) calculating increases-or decreases-on a fixed percentage of factors such as inflation, student population, and statewide average perpupil expenditure. Such an approach gives little or no consideration to an educational program. Over several years, budget preparation on a year-to-year comparison will likely result in a desultory educational program.In troubled economic times, state legislators have made budgeting an easy task, as legislation has limited districts to a zero or limited percentage increase. Faced with such limitations, school board membersand administrators havealerted citizens to severe financial restrictions placed upon educational programs. PPBS. A second approach was developed by the RAND Corporation for the U.S. government andispopularlyknown as PPBS, or Program-PlanningBudgeting System. This approach, with roots deep in scientific management, is a means of organizing expendituresin relation to program objectives. The value of PPBS lies in its emphasis upon mission, goals, and objectives. The value to administrators is obvious; administrators desire to build programs that are based upon mission, goals, and objectives. After mission, goals, and objectives are identified, matching educationalprograms, organizational structures, and staffing patterns are designed. In PPBS, formative and summative evaluation processes are also prepared at the outset. Often PPBS is referred to as PPBES with the E added to emphasize “evaluation.” A systems approach to budgeting, PPBS is cyclical in nature, and formative evaluation, for example, maybe conducted during any stage, step, or process of budgeting. Cost analysis is another feature of PPBS, although proponents of PPBS advocate that fundamentally, the system should help identify the additional degree of effectiveness to be attained by a specified unit of increase in the allocation

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of resources. Technical expertise is requiredtoapply rigorous approaches to PPBS, although the steps in PPBS are straightforward. A review of expenditures for counseling, for example, may be conducted by asking school counselors to denote the percentage of their time they spend in career counseling and working with college recruiters; these percentages can then be applied to funds for the counseling program. Thus, a better picture of the counseling program may be obtained. An alternative to PPBS is zero-based budgeting, through which justification for each program must be given annually. Competition for dollars or even continued existence may create stressful environments, and variations to zero-based budgeting are often used. One way is to set eachunit’sbudgetas a fixed percentage, for example, 90 percent, of last year’s and open up the remaining 10 percent for reallocation. Zero-based budgeting provides new ways of budget planning. Functional. A third approachcombines thefirst-named approaches andis commonly known as the functional approach.The missionandgoals of the school are the basic elements, and changes in the educational program are projected in expenditures. As greater responsibility is given to principals for prein allocating paringbudgets for their buildings, theyshouldbecomeskilled resources that produce more gains for students. Leadership skills are essential in the development of budgets that link goals to expenditures in pursuit of improved performance; the ability of principals to guide their staffs to work cooperatively in budget preparation should result in increased effectiveness and efficiency. Principles of cooperative decisionmaking and empowerment can be employed as administrators engage staff members in organizational structures as departments, task forces, instructional committees, budget councils, advisory groups, or by othermeans. If principals believe in McGregor’s Theory Y and teamwork, for example, they will get the best from one of the basic inputs-human resources.‘0

Steps in Budgeting Planning. Planning, the first step, consists of a needs assessment; review of the existing mission, goals, and priorities; development of measurable objectives from the mission, goals, and priorities; identification of administrative and organizational structures for operations and processes; and an analysis to produce the most efficient and effective means to meet objectives. The planningstep can be deceptive if careful attention is not paid to any subset. For example, if no priorities are established, everything is high priority; in truth, nothing has priority in such a situation. From the outset in designing and conducting a needs assessment, principals set the tone and circumstancesunder which budget planning and the succeeding steps are followed. The participation of staff in decision making in budget planning is crucial. The scope of planning is too large for one individual to achieve

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satisfactorily;thusprincipalsneed to invoke participatorydecision making. Committees maybe formed from teachers and other staff who represent departments, grade levels, and subject matter specialties. Parents and other community members can provide knowledge, insights, perceptions, and skills that may strengthen the budget planning process. Staff and community members who are empowered to explore student needs, community issuesthatbearuponschooling,and other significantissuesmay invoke new ways of budget planning that break from stereotypical views. Individuals who contributeto budgetplanningwill also think of abudget as “ours” and may provide their informed and influential support to a budget they have helped to develop. Giving staff members increased responsibility for assessing needs should carry over into other steps in budgeting. Opening up the system to many individualsmayresultin some undesirable sideeffects; for example, staff members may tire of the increased work load. Nevertheless, principals should not opt for the easy way out. Generally, principals need not concern themselves with some budget items, such as capital outlay, debt service, and fixed charges. Costs for heating, insurance, and similar items are planned at the district level. Preparing the budget. Careful planning does not prevent serious issues from arising in subsequent steps. In preparing a budget, principals should gather data from many sources provide clear instructions to staff about budget preparation and completion of forms adhere to district guidelines and timelines develop schoolwide guidelines and timelines monitor staff, departmental, and committee members’ activities anticipate emergencies, such as an unexpected increasein student enrollment update inventories of equipment, materials, and supplies assign costs to program review evaluation reports of the budget of the previous year link such information to the budget in preparation be prepared to justify each expenditure The last statement, “be prepared to justify each expenditure,” is more than a last formal step. Oral and persuasive communication skills are of critical importance in supporting efforts spent in analyzing budgetary matters, setting priorities, organizing resources, and acting decisively in the planning process. The art and skill of convincing superordinates of the soundness of fiscal planning may serve as a fulcrum uponwhichplanningandtentativeallocation of resources are accepted. The coming year’s budget is generally planned after review of the previous fiscal year’s budget. A question that is frequently considered is: How well did

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the budget for the fiscal year just completed accurately reflect what happened? Specific items can be considered and reflected in the budget of the upcoming fiscal year. For example, how state reimbursement is related to average daily attendance or membership may call for greater attentionto transfer students, housing starts, and shifts in population and the labor market that will alter fiscal needs. If recommendations and requests for expenditures, guidelines, and priorities are made of individuals and committees, their responses should be duly noted, recorded, and returned with a decision. If a committee composed of staff members, students, parents, and patrons makes a recommendation regarding the establishment of a second computerlab, the committee members should be notified as soon as possible, or byan established date, of action relative to their recommendations. A negative reaction could result if the committee members hear of the decision no sooner than other members of their community. Like the first step of planning, preparing a budget should not be viewed in isolation. Budgeting is bestviewedas a continual process,andan activity or stage in preparing a budget may provide feedback to planning, which may lead to revisions in budget preparation. For example, the activities of a departmental committee in gathering data about science supplies may lead the members to conduct a needs assessment relative to community expectationsand support for expensive laboratory equipment. Getting a match, if not a perfect fit, between factors of the community, inputs, curriculum offerings, and outcomes does not necessarily emerge in any one step. Because of the complexity of budgeting, steps in the process should be spread from budget adoption for one fiscal year to budget adoption for the next fiscal year. Budget planningis made easier by the availability of database and spreadsheet programs that can produce instantaneous projections. Increases in the numbers of students, fuel costs, and expenditures for health programs, for example, can be fed into a computer and produce predictions for further analysis. Many accounting systemsuse “fund accounting.” In fund accounting, money set aside for one fund may be used for another only under specified conditions. Thus, careful planning and management of funds is required so that plans for the educational program are followed. Fund accounting reveals the relationship between budget planning and administering the budget. If budget planning does not include expendituresfor an account, the accounting system reveals the shortage in administration of the budget. Increases in site-based management alter the scope of responsibilities of principals. Astute principals could prepare themselves for increased responsibility in budget planning by initiating within-school budget planning procedures. Principals should knowfiscal matters related to equipment, professional development, salaries and wages of staff, supplies, textbooks, and programs. Principals can anticipate changes in budget development by asking staff members to give their viewson personnel andprogram changes. In some districts thathave a form of site-based management, a fixed number of points that represent a dollar

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amount is allotted to each building. The principal typically engages staff members in deciding how dollars will be spent, as each position is worth so many points. Thus, a staff may have the choice of having a facilitator for education of gifted children or several aides who are conversant in workingwithnonEnglish-speaking students. Opening up a district’s budget-planning process also poses problems. In districts that are underfunded, site-based management may exacerbate feelings of frustration among persons who realize what is needed but will not be funded. Principals and staff members whoparticipate in budget planning will spend more timeand energy in cooperative activities. Individuals who engage in budget planning may expect their plans to be accepted by individuals at higher levels of authority. Individuals who work in systems where site-based management is proclaimed to exist but does not may become frustrated and dissatisfied by such duplicity. Of course, principals should examine themselves to determine how they fare in implementing site-based management, as the concept is perceived to extend beyond principals’ office doors to include certifiedandnoncertified staff. Budget planning can become a schoolwide effort that serves as the focus of in-service training programs and a process for school improvement. Staff members can be asked to develop long-range plans and objectives. Such plans and objectives would include goals and objectives related to the mission of the district and school and indicators of meeting such goals and objectives. In such a way, emphasis could be added to outputs. A common part is to include a status study of the program or activity. Other elements of such plans are (1) resources that are needed to go from the present status to long-range goals and objectives and (2) delineation of actions that can be used to reach the goals and objectives. After a long-range plan, for example, for the next three- or five-year period, an annual plancanbe developed. A one-year planwillspecify the kindand dollar amounts of resources for personnel, facilities, equipment and supplies, and programs. Each unit within a school could be expected to provide appropriate statements and figures. If units also give priority in their one-year plans, decisions about additions or deletions can be made easier. A one-year plan serves many purposes. It shows the results of cooperative decision making; serves as a document of fiscal accountability; relates programs to expenditures; assures community members of thorough, consistent, and responsible planning; and guides administrators in approval of expenditures and requisitions. Principals mayhavetorely on outside sources of income from activities or Civic Clubto raise money sponsored by the PTA, Booster Club, Drama Club, for special projects. The prospect of garnering dollars from private sources is appealing, but drawbacks, such as growing influence by special interest groups, also need to be considered. Principals should also think through other questions.

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How much should I ask for in next year’s budget? Should I keep my sights low and be reasonable or ask for the moon? Should I even bother to think about revenues and other sources of income? Isn’t my job to be the instructional leader and let the superintendent and business manager worry about these financial details? Will I be rewarded for being a team player but let my staff down if I don’t push hard, long, and often for everything I can get? Proposal writing. Principals often have to function as entrepreneurs and locate, if not create, funding sources for special projects or those that can benefit from greater funding. Grants may be obtained from federal and state agencies and private foundations, generallyupon submission of proposals to funding sources. Grants may be targeted for services to individuals, for example, for the hearing impaired, for social purposes, or to increase awareness of ecological issues in middle-level students. Restrictions are frequently placed upon grants; a foundation may bestow grants only to schools that are in a geographic area served by the corporate sponsor. Proposal writing requires creativity of thought, technical writing skills, and motivation to pursue dollars. The writing of proposals can be enhanced by having several individuals contribute to their preparation. Specialists from school districts, state departments of education, colleges and universities, and other agencies can help in the identification of sources of grants. The federal government routinely announces calls for proposals in the Federal Register, and private foundations also publish notices concerning their interests. Other sources of grants are disclosed in Education Week and Grant Alert. Specialized skills are needed in proposal writing in presenting innovativeideas that will catch reviewers’ interest. Even the best of innovative ideas need proper presentation through clear and well-organized materials. Grants are generally awarded on a competitive basis; consequently, proposal writers who pay exacting attention to every detail will fare best.

Auditing Accounts Audits are required by law and usually include each building in the process. Audits are conducted to improve accountingprocedures and to protect personnel whohandle school funds and accounts. Consequently, principals shouldwelcome audits of school accounts and records. Bank statements should be reconciled monthly, and if irregularities are found, an audit should beconducted thereafter. Outside consultants should be hired to conduct annual audits to provide suggestions for the improvement of accounting procedures andtosignal that school accounts are safeguarded. Individuals who accept new administrative positions should insist on an external audit of all accounts that will be under their supervision. If books and

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records were poorly kept and shortfalls never identified, new principals should not be responsible for their predecessors’ fiscal irresponsibility. If a thorough audit of accounts is not made, however, new principals may find that responsibility for any shortfall of funds lies with them.

EQUIPMENT AND SUPPLIES Managing equipment and supplies is one of the necessary duties. Imagine a schoolwithoutadequateequipment for theband, shop, or office or without supplies for the art, science, and testing programs. Establishingand maintaining an accurate inventory of equipment and supplies on hand, consumed, and requisitioned can be accomplished through careful planning and operation of a comprehensive management system. Management systems can be complex, efficient, cumbersome, or simple. A simple approach to keeping track of supplies is to place a completedrequisition slip among supplies along with a note asking the individual who takes anitemtoturn in the requisition for replenishment. The vagaries of human nature may dictate that more than one system of inventory control is required for paper, audiovisual, and lab supplies. Or two different systems may be needed for lab supplies within one department-one for biology and another for chemistry and physics. Depending upon procedures in statutes or board policy, bids may be let according to (1) individual item bids (the most common type of bid), (2) combination bids, in which a bid i s awarded on the price of each individual item or on the combination of two or more items, and (3) lump sum bids, in which a bid is awarded on the basis of a lump sum for several items. In the latter, unit prices are generally requested, although bids are let on a lump sum basis. Intermediate service units or coalitions of school districts may act in concert to purchase supplies in bulk, as greater savings may be made from large orders. Suppliers should be notified about delivery of supplies and equipment so that storage problems are minimized.Shipmentsshould be checkedimmediately upon receipt so that materials are received in full and in good condition. The responsibility for managing equipment and supplies lies with principals, who may delegate duties to assistant principals, department heads, coaches,secretaries, and other appropriate staff. Delegation of duties shouldprovide for regular evaluations of existing procedures and processes. Evaluations may be conducted in a meeting with all present or by a memo that asks for reports on “exceptional occurrences” during a specified time period. Principals may need to have periodic general meetingsand monitor “exceptions” through less timeconsuming methods. Requisitions for equipment and supplies should be encumbered so that expenses are easily tracked. If educational program goals and objectives were specified as part of the budget-planningprocess, principals and others can readily track expenditures. If the science teachers have spent and encumbered 67 percent of their budget within the first sixty days of a school year, that may be no cause

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for alarm because much of the science budget was allocated for the purchase of new equipment. Principals also need to establish means of comparing costs so that vendors keep their prices and discounts competitive. Discounts, “promos,” andother price-saving measures should always accrue to school accountsand not to school employees. Systematic procedures should be used to monitor inventories of equipment and supplies. Periodic inventories of supplies on hand should be conducted to check with requisitions to avoid unnecessary stockpiling. A supply of clay on hand, however, may be insufficient to meet the art teacher’s plans for a unit, and a requisition for more clay should be checked beforetherequisition is arbitrarily cancelled. for The dollar valueof equipment in schools in itselfpointsouttheneed thorough care. Equipment in offices, band and music rooms, instructional media centers, computer labs, shops, art rooms, and other classrooms should be labeled upon purchase and delivery, inventoried, and stored safely. Video and soundrecording equipment that is especially expensive may require special security arrangements. Equipment that is used extensively and centrally located in an instructional media center, office, or some other area may need to be scheduled through a reservation system of “first come, first served.” Inventory control, once set upon a computer, can be easily maintained. A commercial programor a filethat is locally developed on aspreadsheet or database can be used to keep track of equipment and supplies on hand, requisitioned, or in need of repair or replacement. A convenient means of reporting equipment that needs repair, a seemingly low supply of black and orange construction paper at the beginning of October, andunmetneedsthatsuddenly surfaced andwerenotaccounted for inthe current budget should beimplemented. Most principals are responsible for issuing keys to their buildings. Keys are important becausefiguratively and literally they hold the key to building security and may have an impact upon school climate and morale as well. Keys may be issued to a few, for example, administrators and to thehead custodian, or to teachers as well. Issuing keys to teachers informsthemthey are trusted, responsible professionals. New principals may need to set up a key inventory system and procedures for issuing keys. Keys should be stored in a vault, numbered, and inventoried. A s keys are issued, a double recording system should be used to keep track of on hookscan keys. A key storage cabinet orboard on whichkeysarekept provide easy access andvisual control. When a keyisissued, a tagwith the recipient’s name can beplacedonthekeyboardand a written or computer record upgraded with the information. Keys are expensive to make; locks are even more expensive to replace. Access to equipment, facilities, and supplies should be monitored closely.

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STUDENT ACTIVITIES FUNDS School activities funds constitute a major portion of the financial resources for which principals are held accountable. Student activities funds deserve special consideration. In many cases, receipts and expenditures from school organizations are processed through auxiliary accounts, a general activities fund, or another designated fund. Ticket sales from concerts, games, plays, and other school activities and co-curricular programs should be considered public funds; they are generated from public activities held on public property, conducted in pursuit of objectives of the school, and supervised by public school personnel. Regardless of the amount of money collected from activities, stringent procedures should be followed in raising funds, recording receipts, handling deposits, and disbursing funds. Policy should stipulate who should handle receipts and under what conditions; how,where,andwhen deposits should be made; how disbursements may be made; and the bonding of individuals who handle activities funds. The kind of students and their participation in collecting, depositing, and spending funds generated from student activities should be carefully considered; the opportunity to learn how to manage and safeguard funds should be afforded students. Safeguards cannotbeleftto chance nor to the discretion of anyone and everyone. An activity fund includes moneys for grade levels and projects, such as a senior trip, instructional fees from art, shop, and other programs, profits from vending machines, student organizations, and special projectsthat arise from local needs. If members of the Spanish Club want to raise money for a trip to Mexico, likely the fund raising would need to be approved under district policy and conform to stipulations in such policy. The reputation of individuals, school personnel, and the community must be protected. Careful safeguards, such as, the presence and signatures of at least two individuals for handling cashand preparing receipts, comparison of signed receipts with statements of deposit from a bank, and two signatures on checks should be followed. Principles and guidelines for the accounting and auditing of district funds should be followed rigorously. Although a poorly conducted evaluation of the seventh-grade mathprogrammaynotlead to a principal’s dismissal, injudicious practices regarding public funds-including school activities funds or fund-raising groups-may lead to dismissal and criminal charges.

BOOKSTORES Whether to have a bookstore on campus often depends upon several factors. Bookstores within schools provide a convenience for students and staff who have no opportunity to purchase schooland personal supplies off campus during the school day. Many school buildings are located far from stores that sell supplies needed by students. The price of goods in school bookstores maybe

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attractive because merchandise does not have to include overhead for rent or property taxes. Bookstores maybe a mixedblessing for building administrators, certified staff, and noncertified staff who may also purchase items for personal use. Administrators shouldprovidesupervisionand management of personnel and goods. Records of receipts and disbursements should be maintained, inventory kept current, supplies ordered and checked in, and counters stocked. Decisions about prices, operating hours, what items to stock, who is to clerk, and similar questions must be answered. Staff members may enjoy the opportunity to specify educational supplies that students are to use, such as “blue books,” so that uniform quality is available. Also, school-sponsoredprograms may benefit from opportunities to generate interest in and conduct sales and ticket campaigns for projects. The perceptionsof local merchants are important, as some might oppose competition from campus bookstores. If prices are lower in a school bookstore because of lower overhead costs, business owners and operators may voice their complaints about the operation of a school bookstore that competes with their livelihood. FOOD SERVICES Most schools have a lunch program; some 25 million students participate each school day in the National School Lunch Program. In many communities, the school lunch program is the “biggest restaurant” in town. What was served for lunch at school can be a major topic of conversation in many family circles and may dictate what is served for dinner at home. The goalofthefood service program is to provide high-quality, nutritious meals to students. Federallysupported programsmustcomplywiththeU.S. Department of Agriculture’s (USDA) guidelines, which are administered at the state level; local school boards may also have policies they deem appropriate. Schools that participate in the USDA-supported programs are required to meet the needs of students who qualify to receive free and reduced lunches and to maintain their anonymity. For example, all lunch tickets for regular and subsidized lunches should look the same, so students are not stigmatized by the type of lunch ticket they use. Keeping prices affordable for students is a continuing struggle, as labor and food costs rise while federal commodities and reimbursements are reduced. In addition, students and parents want their preferences for foods met at low prices. Students need a balanced diet of the four basic food groups that are nutritious and pleasing to the eye and palate. Growing youngsters have special dietary needs, and school lunches provide an excellent opportunity to instruct students on the kinds of food to be eaten. Students should consume no more than 30 percent of their calories from fat, and lunches should meet this standard. Lunchroom personnel need to understand much about nutrition and students’ attitudes

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toward food and to be sensitive to student food preferences. Lunchroom workers should not be solely responsible for decisions about menus. School board members, administrators, teachers, parents, and students have a joint responsibility for healthful lunches.

Commodities and Meal Costs The USDA allocates commodities to school districts according to the number of meals served to students and to the availability of commodities. Commodities range from meat, such as ground beef, chicken, cheese, grain products, fruits, vegetables, and nuts. The only cost incurred by a district is for storage and transportation.Schools are allotted a set amount of commodities each year, which amounts to about 8 percent of the cost of a meal. School districts receive federal and state funds for every student meal served. This reimbursement makes up the difference between the cost of the lunch and what a student pays. Free meals are available for children from families whose income is at or below 130 percent of the poverty level. Reduced price lunches are available for children from families whose income is between 130 percent and 185 percent of the poverty level. In 1992-93, a little over half (51.5%) of the meals served under federally supported programs were free or at reduced price.ll The amount of federal reimbursement paid per lunch depends on the economic need of students. Adults pay more for school lunches because there is no reimbursement or commodity program for them. Some school lunch programs are self-supportingand operated by school employees, whereas others are contracted to private enterprises that cater lunches. A growing practice in secondary school lunch programs is contracting with vendors to supply lunches. Food courts that offer choices among a salad bar, fast foods, and traditional menus are popular. Changes in menus are in response to students’ wishes and eating habits and parents’ expectations when students are required to stay on campus at noon. Principals are faced with the dilemma when vendors are contracted to supply lunches. Objectives such as reducing cholesterol, reducing sodium, offering foods rich in fiber and increasing the use of fresh fruits maynotbe as easily obtained when outside vendors are used. Nutrition,costs,effects upon eating habits, and the educational value from school lunches must be considered in considering a food court as a replacement for a USDA-supported and -approved lunch program.

Scheduling and Supervision Scheduling lunch times is dependent upon enrollment and room in the cafeteria. Someschools have several lunch periods, whereas in other schools all students may eat lunch at one time. Supervision of halls and cafeteria is usually done by teachers, administrators, and paraprofessionals. Some schools may pay

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staff to supervise, whereas others use the supervision time as partof a daily assignment. Lunch duty assignments are usually made by administrators. Open campus at lunch time provides an alternative for students who want to eat lunch away from school. Some people object to students leaving campus because of the problems that occur, such as neighborhood litter, the potential for car accidents, and rush at businesses during the lunch time. Businesses located close to schools, however, thrive on the food business that students bring during their lunch break, and most owners of those businesses like the opencampus concept. The decision to open or close campus during lunch should be one that is mutually beneficial for membersofthe school, the neighborhood, and the community. Typical considerations that principals should give to the lunch program include the following: Make sure commodity foods are used correctly. For example, a home economics class can use commoditiesforinstructionallabs, but a spirit club cannot use commodity butter or fruit for making cookies for a fund raiser. Paraprofessionals may supervisestudentsduringlunchtime, but certified personnel should be readily available for support and should make any parental contact conceming discipline problems during lunch time. Encourage student groups to initiate neighborhood cleanups and good citizenship programs to create and maintain good relations with neighbors and businesses.

TRANSPORTATION In 1869 the first state law authorizing the use of local tax money for public school transportation was passed in Massachusetts. With the growth of the automobile industry and improved roads inthe1920s,schooltransportation expanded rapidly. By the 1960s the demand for student transportation prompted regulations and uniform rules governing maintenanceand operation of buses. In the 1970s, public school transportation became a federally mandated method of achievingdesegregation. Through SupremeCourt decisions, the changing of student populations in public schools became a desegregation tool.12 Although superintendents, or their designees, are responsible for transportation in school districts, building principals carry a major responsibility for day-to-day operations.

Busing for SocialPurposes Transportation of students to increase racial separation is a constitutional violation. Policies for maintaining neighborhood attendance boundariesmaybe maintained, but administrators and school boards are cautioned about drawing up attendance zones with the purpose of maintaining or promoting racial segregation. Judges have ordered busing to remedy segregation in schools. Busing

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for other purposes, such as relieving overcrowded schools or for consolidating special education programs, must not show differential treatment. As officials plan program changes, they should take care to promote nondiscrimination. School buses are usedtotransport students toandfrom school during the school day, as well as for transporting students and sponsors to athletic events, field trips, and scholastic activities. Federal legislation, such as P.L. 94-142 and the Americans with Disabilities Act, and states’ statutes and rules and regulations prescribe adaptation of buses for the transportation of handicapped students. New laws within the past fewyearshave necessitated a rise in the transportation needsofpublic schools and, alongwith these needs, a rise in costs.

Eligibility for Transportation Some states have eligibility requirements to regulate the disbursement of state aid. Requirements include minimum distance mileage, hazardous walking conditions, and the number of students with disabilities. Population density determines minimum-distance mileage. Students living beyond a specified distance from school are bused. Minimum-distance mileage is larger in a sparsely populated state. Nebraska uses a four-mile minimum, whereas Kansas and South Dakota use a two and one-half mile minimum. Some districts may bus children on a payfor-service basis. For example, consider a town that is divided by a busy highway and railroad that cause hazardouswalking conditions for students who must cross both the highway and tracks. For safety purposes, the school board may give parents the option to pay a fee to have their children bused to school from the neighborhoods onthe other side ofthehighwayand railroad althougha minimum-distance mileage is not met. Rules for the transportation of children differ among the states. Identification of children with disabilities generally determines eligibility for school transportation regardless of travel distance. Categories requiring special transportation are the physically handicapped, severely mentally handicapped, trainable mentally retarded, and moderately or severely emotionally disturbed. The use of seatbelts in school vehicles, especially buses, is controversial, even among transportation experts. Advocates for the use of seat belts believe they protect students and should be required in school buses. Opponents believe belts are too expensive to install and may cause as much injury as protection. School administrators should always be familiar with their school district’s policies and regulations that relate to transportation issues. For example, students who live within a school district’s boundaries and are eligible to ride a bus may have to sign a transportation application. Thus, principals would need to inform students, parents, and guardians of the need to apply for transportation. Admin-

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istrators must work closely with transportation supervisors to comply with local, state, and federal regulations for school transportation. Several key issues need the attention of principals: Provide information on busing to

all families.

Inform students and parents oftheproceduresfortransportingstudents weather. Establish norms for behavior of riders on buses

in inclement

that emphasize student safety.

Follow due process procedures with respect to misbehaviors on district-owned vehicles.

SCHOOL FACILITIES Facilities should be thought of in relation to other aspects of school programs, staff, administration, and operations. Principals are responsible for operating and maintaining facilities that are aesthetically pleasing, cost efficient, easy to maintain, functional, and safe. Skills of leadership and management are required, for example, to convince a staff of the need to rearrange the ways that space is used so that improvements can be made in the delivery of curriculum while at the same time maintaining low costs in space utilization.

The School Plant Planning. Planning a new building or the renovation ofan existing one requires the ideas and labors of many individuals, including school board members, architects, construction managers, suppliers, students, patrons, and educational personnel. Principals who are fortunate to have participated in the planning of school buildings appreciate the complexity of school design. The design of school buildings depends upon the expectations of members of the community, educational programs, available resources, students’ needs, and vision of education in decades to come. Whethera new building or arenovation is under consideration, planners should consider the following: 9

Mission, goals, and educational objectives to be achieved Nature and kinds of services to be offered Quantitative requirements, such as space needs for programs Qualitative requirements, such as functional use of space Educational specifications that guide planners, architects, and builders Architectural plans A systems overview of the planning process, outcomes, and products

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Reflect upon the differences in the considerations between the planning of a middle school and a magnet high school. The middle schoolin Ruralville is proposed as part of areorganization and consolidation of three small K-12 districts. In each K-12 district, a small elementary schoolis maintained although the program offerings for students in the upper elementary grades are limited in scope. The construction of a new middle school would house students from grades 5-8 from the three communities in a middle-level program; each community would maintain an elementary program for K-4. In addition, the construction of the middle-level school would relieve overcrowding in outdated facilities and would be the first step in further reorganization and consolidation, since the construction of a 9-12 high school would follow. In another community-a megalopolis-a magnet school for the performing arts is proposed. The magnet school would enroll students from the vast metropolitan area in grades 10-12 in art, music,andtheaterand, in conjunction with a community college, provide postsecondary education in the same subjects. Instructors at the postsecondary level would concentrate upon vocational offerings; graduates who were interested in continuing study would be encouraged to transfer to conservatories, institutes, colleges and universities, and private study with tutors. Weigh the differences in (1) mission, goals, and educational objectives; (2) natureandkindsof services tobe offered; (3) quantitative requirements; (4) qualitative requirements; (5) educational planners; (6) architectural plans; and (7) a systems overview. Estimate each community’s expectationsrelated to one factor-site selection. In rural areas, the lifespan of a community is often perceived to be directly linked to the operation of a thriving school system. Very likely, the construction of the new middle schoolwouldhaveto be centrally located with respect to existing infrastructures. In the metropolitan community, the magnet school would need to be centrally located, although such location might be determined by a different kind of infrastructure-a rapid transit system of buses, expressways, subways, and trains. Participatory decision making. If ever a need for participatory decision making is essential, the planning of erecting or renovating school facilities is a prime example. Although superintendentshave primary responsibility for construction of facilities, principals play a key role. Principals need to convince patrons to support the facility and use input to shape and sharpen the plans and vision of future use of proposed facilities. Such input can come from school board members, engineers, building suppliers, experts in telecommunication systems, certifiedandnoncertified staff, students, parentsand guardians, taxpayers, senior citizens, members of religious and civic organizations, and business and industry leaders. What kind of input from senior citizens, for example, might be useful in the design of Ruralville’s middle school or the magnet school? In both communities, senior citizens might desire access to rooms for their activities, opportunity to volunteer services to students, or a voice in supporting an emphasis upon educational programs that were not available to them.

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What input canthe cooks providefor the magnet school thatserves 850 young adults? The secretaries inthemagnetschoolwhowillhave responsibility to track the progress of students in the magnet school and for at least ten years after graduation? The custodians in Ruralville who must cope with scorching heat and dusty winds at the opening of school in August, snow, ice, and cold winds in the winter, and rain in the spring? Thesecurity personnel of the magnet school who must safeguard expensive recording equipment? Thebusiness leaders who want graduates to provide a talented labor pool for the localcommunity? Certified personnelshould be expected to provide input in reviews of the mission, goals, and other statements. Theknowledge ofteachers should be drawn upon in determining quantitative requirements for the music programs. Basic differences might exist in communities, as the music teacher for a proposed middle-level school could be asked to work with music teachers in the other districts, with other teachers in the school districts who represent curricular areas or special topics, such as multicultural education, and with specialists from a nearby university and professional associations. The music teachers in a magnet school might be highly qualified and need advice and support from other kinds of experts as well, such as facilitators who could resolve conflicts between individuals and groups. Teachers, guidancecounselors, and other certified staff can fill in critical gaps with information or qualitative needs so that space is as functional as possible and meets educational specifications. Certified and noncertified staff should also be invited to participate in the review of architectural plans, since the translation of educational specifications into line drawings may reveal a need to redraft the educational specifications of architectural plans. Other avenues can be used in the planning of facilities, such as visiting other schools and calling upon experts, including retiredschool administrators who may provideinvaluable insights fromtheir experiences. Administrators who think of “our building” will value input from everyone and by so doing will create an open system that will be reflected in future planning and operations.

Managing the School Plant You are invited to visit a friend’s place of business. On your way, what do you envision about your friend’s site? How often do your expectations match reality? Imagine your friend is visiting your school for the first time. What expectations might your friend have? How well would those expectations match with reality? What would you expect your friend to find? Consider the general appearance of the building from a distance, parking facilities, the entryway into your building, the instructions taped to the doors, the foyer, the waiting area for guests, the reception accorded visitors, and the climate that oozes from every tile and paint chip. What would your friend like or find disappointing? What can you do to improve uponyour friend’s impressions and findings? Can the

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“fortress-look’’ be altered with landscaping? Can comfortable seating be provided for visitors in a quiet area? Can cleaning be improved so that litter and clutter are eliminated? The role of building principals in the operation and maintenance of facilities varies greatly. In some districts where labor organizations are powerful, keys to buildings are available only to custodians. In such districts, principals may have no authority over the duties, responsibilities, and performance of custodians. In highly centralized districts, much of theauthorityand responsibility for recruitment, selection, supervision, appraisal, and other processes of plant personnel are held by central office personnel, although principals must work with custodial staff on aday-to-day basis. Atthe other end, in asmall district a principal and a custodian may be the primary actors in building maintenance. The principalship often includes processes of the personnel function for noncertified staff; developing work procedures, schedules, and standards; managing equipment, resources, and supplies; monitoring health and safety features; and maintaining good rapport among district office personnel, certified personnel, and noncertified staff members.

Directing Routine Operations The size and scope of curricular and co-curricular programs, technical requirements for computers and other electronic hardware, and professional and personal needs of personnel result in diverse and changing needs in school facilities. New developments in instructional approaches and advancements in technology may make plans for the music programs in some schools obsolete even before the drafting of educational specifications is completed. The interplay between maintaining flexibility for unknown uses and unforeseen developments with the necessity of specifying educational specifications is but one indicator of a complex task that principals have to face. Principals maybe required to be direct supervisors of custodial and other noncertified personnel. Noncertified staff also require supervision, attention to their professional and personal concerns, and in-service training that relates to their specific duties. Noncertified staff must be shown how theirjob performance and duties are linked with and support the basic mission, goals, and objectives of the school and community. Wordsof recognition in formal and informal ways help build esprit de corps in individuals and groups of employees, since noncertified staff are as likely to be as proud of their accomplishments as principals are of completing a budget that pleases everybody. Principals who believe in participatory management will solicit suggestions from custodians and engage them and other classified personnel in decision making.

Building Maintenance Keeping a building in top shape requires the hard work of many individuals in addition to custodians; it involves principals, certified staff, and other non-

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certified staff. Principals can work with custodians in setting up daily schedules for care and cleaning of classrooms, hallways, lunchrooms, offices, restrooms, and special use areas. Some areas, suchas lunchrooms or cafeterias, require attention several times during a day-to mop, drop tables, clean up “accidents” duringlunch time, put tables up, and set up chairs for an evening activity. Likewise, hallways and restrooms need attention morethan once daily. Some areas, such as the kitchen and cafeteria, must meet meticulous health standards, and custodians mustbe given propertraining, equipment, and supplies to comply with standards of a departmentof health. Custodians can be relied upon toreport on maintenance needs such as leaks in the roof or in plumbing fixtures, cracked glass, and dangerous wiring. Once-a-month inspections of abuilding and grounds with a head custodian orthe custodial staff can provideinvaluable information to principals. Such inspections are part of the formative evaluation of the budgeting process and an illustration of systems thinking, linking performance responsibilities with planning withbudgeting with shareddecision making.

Staffing Principles of the personnel function should be followed as scrupulously for noncertified staff as for certified staff. Vacancies for noncertified staff should prompt human resourceplanning that might revealthat particular skills are needed. Because of changing conditions in the labor market, finding and hiring individuals with particular skills may call for expanding plans and expenditures for recruitment as well asa larger-than-expected increase in compensation. Shoveling coal into an old-fashioned boiler does not require the skills that are required to keep modern heating and air-conditioning systems operating efficiently. Interpersonal skills, empathy, personal motivation, and other characteristics and traits need to be considered in the recruitment and selection of noncertified staff members becausethey interact with school personnel, students, and communitymembers.The difference between acustodian whowantsto keep a building spotless and one who cannot tolerate the everyday wear and tear of students is significant, and principals need to be thorough in selection of noncertified staff. Position descriptions may include statementsrelating to ability to get alongwith others so that applicants knowwhat is expected of them. Induction and staff development programs willincludeattentiontotechnical, job-related tasks, interpersonal skills, and other aspects of performance. Students’ attitudes can be as easily darkened by a gruff custodian, cook, orbus driver as by a rude teacher or administrator. Who is responsible for staffing? In many cases, the responsibility falls upon building administrators, although they may not have hired individuals or even have direct supervision over them.

Repair of Equipment

A s more and more pieces of high-tech equipment are used in schools, maintenance of CD-ROM devices, computers,modems,monitors, and VCRs be-

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comes increasingly complex. Repair shops may not be available locally, have lengthy turnaround times for repairs, or have to charge top dollar for repairs. An alternative is to train school personnel to repair electronic equipment, musical instruments, and other items and to pay the trained staff members for their service^.'^ School personnel may appreciate supplemental income; in addition, their interest in having equipment, instruments, and machines in good working order may lead to better care of school property on the part of all staff. Preventive maintenance programs may be conducted before school terms, during holiday seasons, in the evenings, and over the weekends. Personnel who are trained to repair equipment may become knowledgeable about special features, cost of repairs, durability, and availability of replacement parts; thus, they may have an enlarged role in suggesting product lines to be purchased. The maintenance and repair of school equipment may result in large savings over the long term.

Safety and Security Schoolbuildings are not sanctuaries thatprovide a haven from harmand danger. All too often assaults, robberies, thefts, vandalism, and other crimes are committed in school buildingsagainst individuals or physical features of a plant. The threat of dangerscauses harm in manyways, for it alters learning and working conditions, absorbs resources, forces expenditures that could and should be spent on educational items, and breeds an unhealthy environment. Learning and teaching are most effective in healthy environments, and principals are often required to spend much time andresources on safety and security issues rather than on educational ones. To reduce vandalism and other harmful actions, volunteers and paid aides can be asked to monitor traffic in buildings; improved lighting and electronic surveillance systems can be installed; student groups can be organized to conduct campaigns to decrease acts of violence by their peers; and graffiti can be promptly removed. As much as possible, opportunities to commit crimes on school properties should be limited by safety and prevention programs.

Safety and Security Safeguards The use of school buildings after normal school hours and by outside groups add to safety and security needs. Lighting of parking lots, security of persons within buildings, removal of snow and ice, and storage of expensive equipment are but a few of the issues that can be increased by opening school buildings after hours to groups from the school and community. But having many individuals use buildings atnight increases trafficand decreasesopportunity for vandals. Schools that are viewed as community centers will have added protection from supportive citizens. Research on effective schools contains evidence that schools can be made clean, safe, and secure-even if much effort is required.I4 The age or design of

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a building is not the overriding factor; what is essential is the effort of building principals to meet safety and security needs. Local officials from law enforcement agencies may be asked to assist administrators in developing, implementing, and evaluating safety and security programs. Records shouldbe kept of incidents; such information can pinpoint areas and times of danger. A system of quick response should be established so that individuals receive prompt assistance, evidence can be gathered immediately, and officials can set other procedures in motion. Complete records of incidents should be kept to identify the nature of an incident or violation, time and location, property loss, personal injury, and recommendations for preventing similar occurrences.Inputfrom students, staff, parents,andpatrons can offer valuable tips on ways and means to upgrade safety and security procedures. Many types of equipment can be installed: audio- and motion-detection systems, electromechanical systems attached to doors and windows, vibration systems, and cameras connectedto television monitors. Other means includehiring security staff, placing guard dogs in buildings, installing windows made of materials that are difficult to break, illuminating potential danger spots, and enlisting the watchfulness of neighbors.Preventive measures should also include efforts to have students and patrons regard school property with respect. When a school is used by nonschool groups, special attention should be directed toward security measures. Principals should know the names of groups, addresses of sponsoring individuals or groups, nature of activities, number expected to attend, and number of chaperons, if needed. Sponsors may also be asked to sign written contracts, show proof of liability insurance, post a bond for damages to facilities, and provide a record of past activities of their groups. Vandalism on school buses poses unique problems, although solutions to them are also based upon obtaining cooperationfrom students, parents, and staff members, including drivers and mechanics. Vandalism on school buses should be reported to transportation officials as soon as possible. Lengthy routes, overcrowded buses, and undependable or poorly designed schedules may contribute topoor student behavior andvandalismonbuses. Adjustments in scheduling should be considered in analyses of problems on buses. Bus drivers need specialized training in establishing and maintaining good relations with their riders. Communications about safety, rules, and problems on buses and meetings with parents, students, teachers, and otherstaffmembers may provideinformation about recurrent problems as well as elicit ideas and suggestions for improving safety on buses. Other means of addressing vandalism may be pursued. Meetings may be held to discuss problems with subgroups, such as students who ride a particular bus and with parents on a bus route. Parents whose children have vandalized a bus may be asked to ride the bus with their children for a period of time before they are permitted to ride without parental supervision on board. School personnel maybeasked to ride buses at random to monitor student behaviorpatterns. Special awards maybe given tobus drivers whohave exemplary records of

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safety and student behavior;inaddition,regularlyscheduled meetings should be held with bus drivers so that they can voice their concerns and suggestions. SUMMARY

Living in the information age increases the necessity for effective and efficient operations in school offices. Principals must rely heavily upon secretaries and other certified staff to serve the needs of students, parents, patrons, and other staff members. A s the population becomes more diverse and multilingual, technology becomes more sophisticated, other factors add to the complexity of services offered in schools, and office personnel become increasingly important in the storage, retrieval, interpretation, and transmission of communications. In districts that have shifted to site-based management, principals are asked to assume additional responsibility for managing resources. Site-based management offers principals many opportunities to integrate the planning and delivery ofinstruction and related services withadministrative services andfunctions. Whereas budgeting, for example, was often done atthe central officelevel, principals under site-based management can incorporate resource allocation into curriculum development with their staff members. Long-range planning and consensus about a vision for a school are enhanced when staff members engage in participatory decision making that affects a broad range of factors. Taking inventory and ordering supplies and equipment, operating a cafeteria, andperformingsimilar functions may seem to be little more than fulfilling mundane tasks. Yet the management of the simplest tasks fits into the organization and administration of the school as a system. Principals who can view how each duty, responsibility,function,role,andtask contributes to the increased quality of education are the ones who can manage and lead. Such principals are the ones who can increase effectiveness of their schools, achievement by students, and job satisfaction and morale of certified and noncertified staff. NOTES 1. FrederickC.Wendel, Fred A. Hoke, and Ronald G. Joekel,“ProjectSuccess: Outstanding Principals Speak Out,” The Clearing House 67 (September/October 1993): 52-54. 2. Van Cleve Moms, Robert L. Crowson, Cynthia Porter-Gehire, and Emanuel Hurwitz, Jr., Principals inAction (Columbus, Ohio: Charles E. Merrill, 1984). 3. NationalAssociationofSecondarySchoolPrincipals, TheSeniorHighSchool Principalship: The Effective Principal, Vol. 2 (Reston, Virginia: The Association, 1978), p. 32. 4.Stephen J. Knezevich, Administration of PublicEducation, 3d ed.(NewYork: Harper and Row, 1975), pp. 76-78. 5. Leslie W. Kindred,DonaldBagin,andD.R.Gallagher, TheSchoolandCommunityRelations, 3d ed. (Englewood Cliffs, New Jersey: Prentice-Hall, 1984), p. 79.

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6. Frederick C. Wendel, “The Communication Grapevine,” Journal of Educational Communication 2 (Winter 1977): 6-8. 7. Frederick C. Wendel, “Improving Interpersonal Communications,” Community EducationJournal 13 (October 1985): 12-13. 8. Frank B. Withrow, “Guest Editorial,” Technological Horizons in Education Journal 21 (September 1993): 10. 9. James M. Lipham, Effective Principal,E’ective School (Reston, Virginia: National Association of Secondary School Principals, 1981). 10. Douglas McGregor, TheHumanSide of Enterprise (New York: McGraw-Hill, 1960), pp. 227-243. 11. Kevin Bushweller, “Noontime Nutrition,” TheAmericanSchoolBoardJournal 180 (July 1993): 31-34. 12. Patricia Anthony and Deborah Inman, “Public School Transportation: State Aid and Current Issues,” Principles of School Business Management, ed. by R. Craig Wood (Reston, Virginia: Association of School Business Officials International, 1986). 13. Terry 0. Wright, “The Moonlight Repair Team,” TheAmericanSchoolBoard Journal 179 (April 1992): 44. 14. J. Gaustad, “Schools Respond to Gangs and Violence,” OSSC Bulletin (Eugene, Oregon: Oregon School Study Council, May 1991).

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11 School-Community Relations

INTRODUCTION The relationship that exists between a school and a community has far-reaching implications. Many influences shape school-communityrelationships, either positively or negatively. The nature of the relationship between the school and the community ultimately has an impact onthe learning thattakes place in the school and the community. In this chapter, information is presented concerning school-community relations, and a philosophy is suggested upon which to base school-community relations. The topics of changing demographicsand their relevance to community relations and determining community needs and expectations are presented. How to capitalize on the potential of “parent power” is discussed, and some ideas for working with the media are given.

A PHILOSOPHY OF COMMUNITY RELATIONS School-community relations transcendpublic relations. Althoughpublic relations have typically been involved with creating a good image, the perceived function of a good community relations program has been seen as possessing a wider scope than simply image building. Wherry has written that the most important task of public relations is “building and maintaining public confidence in education [which] is the most important single task we face.”’ “It serves in many respects as the conscience of theschool district; winningsupportfrom internal and external publics alike by seeing that the right thing is done-by demanding the kind of responsible institutional behavior that commands public support ...[by] doing the right thing and making sure that people know about it.”* As apart of its area of involvement, school-community relations can create

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a positive image; however, much more should be included. School-community relations shouldachieveacooperative andworking relationship between the staff and students of the school with parents and patrons. Such relations should foster the contribution the community can make to the school and correspondingly enhance the contribution the school can maketothe community. Good school-community relations include notonly communications between the school and community but also a working relationship between the school and the community. Through communications and a working relationship between the school and community, members of the community reach a greater awareness of the purposes and achievements of the school. Communication, by definition, is notsimply transmitting a message. Communication involves a transmitter or sender; a vehicle, process, or a mode of sending the message; the message; and a receiver in a two-way process. The greater the interactivity, the greater the possibility the message is transmitted and received accurately. Communications are enhanced when the formal message and the informal accompanying messages are received by the recipient, who may be one individual or a large group of people, as being open, honest, and credible. If a lack of credibility emerges in the communication process, that lack will often present an insurmountable barrier and blockage to the process. Consequently, when a principal works with clients from the community, the open, honest, and genuine manner in which the communication relationship is projected by the principal becomes a paramount issue. School-community relations are also morethan communications.Good school-community relations foster involvement of the school and community in joint ventures for the mutualbenefit for all parties. While school-community relations embody public relations and communications, these relations go further andbecome entwined in such efforts as developing relationships with businesses, working with retired persons, and implementing a close working association with other human services and governmental agencies. School-community relations do, as is the case with public relations, create an image. Image hasbeendefined as “the sum of subjective opinions about the quality of the learning and social environment. It is the collective ‘feeling’ developed by the various publics as a result of their observations and expectations of the school.”3 In public relations the effort is to transmit and create an image from the school to the community; in school-community relations the emphasis is placed more on involvement of community groups and the joint development of the image desired with various publics.

CHANGING DEMOGRAPHICS AND COMMUNITY RELATIONS Changing demographics have had an impact on school-community relations. Within the last two decades, the number of mothers who have sought employ-

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ment outside the home has increased dramatically. With a higher percentage of working mothers, their accessibility to respond to calls for a batch of cookies or for help making elf costumes for the school musical has been reduced. Expectations and socioeconomicfactors have taken young mothers from the homes in large numbers; thus, a different set of circumstances for the school officials and the pupils has become evident. A second demographic changethat has had significant implications for school principals, as well as superintendents, is the graying of America. As the proportion of the population that is of retirement age or older has increased, the proportion of the school-age populationhas declined. As the percentage of families with school-age children and youth declines and the proportion of the total population at or above retirement age increases, there will be fewer natural yes votes on school budgets and bond elections. With fewer parents at home during the school dayand more retired grandparents in many communities,school principals may need to look more to older citizens and less to immediate parents for various forms of support for the school. Another shift in population patterns that has been continuing for several decades, from approximately 1930 to 1990, is the rural to urban shift in the United States. In some ways, the shift from rural to urban settings holds more immediate implications for rural school principals than for urban principals. Principals in small or rural schools have been confronted with declining enrollments accompanied with losses of revenue. One of the side effects of the rural to urban shift is the problems faced in numerous districts in which school buildings are old and in need of replacement. Not uncommonly, however, citizens in small, declining communities are hesitant about replacing school buildings that are old; thus, many principals in small schools with declining populationsare faced with the necessity of doing the best they can with buildings that are less than adequate. Changes in ethnic composition are also being experienced by manyschool principals who previously had no experience with ethnic minorities. The growing proportionof the total population of Asian or Hispanic origin is not restricted to urban centers; the increasing minority population is also spreading into rural areas that were only one short decade ago all white. Because of changes in the age distribution of the citizens, the changing number of women in the workforce outside of the home, the rural to urban movement, and the growingproportion of minorities in all sizes of communities, building principals are facing different school-community needs. Working with varied clients in an attendance area is calling for principals with a wider range of skills and a greater appreciation of diversity than in past generations.

DETERMINING COMMUNITY NEEDS AND EXPECTATIONS There are various ways to determine the pulse of a community or an attendance area. Simply by being a part of a community, aprincipal can learn a great

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deal about the expectations held by parents and patrons. There is often a need for a more formal means oftakingthepulse of a community, which can be done by conductinga survey. Communitysurveyscan be simple, brief,and focused on a single question, or they may be more involved, complex, and ask for answers to several questions. Surveyscan also be conducted by various means, including mailed questionnaires, telephone surveys, or structured interviews. If a principal plans to conduct a survey, the question or questions to be answered should be stated clearly. Once the reason for conducting the survey is clearly specified, the information to be sought and the specified questions to be asked can be determined. Tested and proven survey methodologies should be employed and carefully designed instruments preparedand piloted before the survey is conducted. Information on how to conduct a survey can be found in publications by Bugher;Babbie; Borgand Gall; Fowler; NunneryandKimbrough; and Sybouts.4 Each year the Gallup organization staff conducts its annual poll or survey of American citizens regarding education. The results of the Gallup Poll are not only interesting but of great value at the local building level. The Gallup Poll providesacomparison ofhowpatronsand parents see thelocal schools in contrast to what is perceived at the national level. Typically, local patrons have a more favorable view of their local schools thanthey do of schools atthe national level. Boschee reported information that typified the discrepancy found between citizens’ views of local schools as contrasted to national schools. Fiftyfive percent of the parents gave schools at the national level grades of A or B, whereas 70 percent of the parents gave their local schools grades of A or B.’ In addition to interesting information regardingnational conditions in education, the Gallup Poll can also be a source of sample questions for a principal who is interested in conducting a local survey.

Special Interest Groups A cross-sectional view of district patrons should be elicited by the principal when discussing the elements to be included in a survey; however, there are numerous occasions when a principal is confronted with a strong position statement from a special interest group. Groups, as well as some individuals, often come to the principal’s office with requests to conduct special programs in the school for a cause perceivedby group members as vital to the well-being of the students and in some cases the nation. There are some proven ways of dealing with pressure groups that can be beneficial for the building principal. First, the district should have policies dealing with the parameters to involve pupils in non-school-sponsored activities. The principal should be familiar with such policies and adhere to them. In the event the district does not have such policies, the principal needs to work toward their establishment. Secondary principals also have an annual publication in which a list of “approved contests” is presented! Approval for contests by the NASSP does not in any way subvert

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or overrule district policies; however, the list is screened for agencies that are

acceptable and appropriate for school involvement if local officials so wish. Principals often find the approved list helpful when dealing with an agency that is not one the principal wants to be involved in the school. Various special interest groups that are morecloselyrelatedto schools through school activity programs can demonstrate theneed for a principalto exert some controls and even impose some limitations. When booster clubs or local service clubs become involved, theycanbeseen as valuable allies and provide much wanted support. Such club members, however, may at times attempt to deviate from school policies. In addition to following school policies and basic legal parameters, Kudlacek has suggested several things a principal can do in dealing with special interest groups. Her first suggestion to the principal: “Take a good, hard look at yourself, your biases and prejudices ....An honest self-evaluation can prevent you from allowing. ..hidden influences from closing your mind to what may be some very good, very well-meaning advice from a source that doesn’t fit your mold.”7 Second, develop active listening skills when working with special interest groups. Just as individuals want to be heard, so do representatives from special interest groups. Next, Kudlacek suggested establishing a “key communication system including the informal grapevine.” Finally, she suggested that key leaders in special interest groupsbeinvolved in the planning processes. Principals should keep in mindthatspecialinterestgroupscanbe a strong, positive force for fostering a better school, but their energies need to be channeled into positive and constructive endeavors.

Community Service Programs There is a need and the potential for pupils to be involved in service activities. Youth can be involved in service activities withintheschooland in service efforts that are community based. Middle school and secondary school students who have documented efforts of providing service may have met one criterion for eligibility in the National Honor Society, for which service is a requirement for membership. Service ispart of the accepted American wayof life. The giving of one’s timeand talents is not only goodfor the recipient but deemed invaluable for the giver. Evidence can be found to support the contention that one of the most important parts of growing up and maturing is the ability to prove one’s self-worth. Children and youth who have opportunities to demonstrate they are competent, capable, andtrustworthy-orthey are persons of worth-aregenerallybetter able to cope with adolescence in a more productive and constructive way than young persons who are unable to find wholesome opportunities to prove their self-worth. Service activities provide one way in which a school staff can foster experiences for children and youth to prove their self-worth. School-based service projects that are directed to meeting needs within the

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school or in the community shouldbe an integral part of the total school program andnotviewedor structured asan ‘‘add-on.”8 For middle school and senior high school students, service projects need to be “real” and meaningful, with a clear and measurable contribution that can be attributed to their efforts. Projects that are not perceived by young people as justified or meaningful will cause the effort to be denigrated and fail to provide stature for those pupils involved. Service activities should be a means of teaching positive values to young people; if service activities are not genuine, such activities will be teaching the wrong values and thus be counterproductive. There isno singular way in which aschool-community service program should be organized. There is a great deal of latitude in what can be undertaken and how efforts will be conducted in service activities. The needs of the students can be taken into full account, as can the needs of a community or the needs of a school. A school should not be overlooked as a live and fertile setting for finding opportunities to perform service in a similar manner in which the total community can be a laboratory for service activities. The advantages seen in school-community service activities, as perceived by in Silcox, are that service activities “permit the development of‘niches’ school^."^ He described a nicheas a small specialty area in which a student can excel. The niche allows a high level of individualization. The school is also established as a talent pool or base for the community. Both the staff and the students can fit into the talent base of human resources for the school and for the community. Service has proven to permit the “school access to the financial and service resources of the community ...as those engaging in school-based community service soon realize thatallprogramsbetween schools and community are based on reciprocal partnerships which support a mutualneed.”1° The benefitsof service activities seeminglymultiply as communications are enhanced, and schoolprograms draw greater support frompeoplewho have been involved with, or the beneficiaries of, school service projects. Senior citizens who have worked with children and youth in the school are supportive of the school as a general rule. A service club that meets with students at lunch is more likely to have members who become advocates ofthe children and the programs in the school. Performing groups are valuable emissaries of good will in acommunity, andallsuch efforts enhancecommunications that result in positive reinforcement.l’ Community service actives can generate a situation in which all contributing parties emerge as winners.

CAPITALIZING ON THE POTENTIAL OF “PARENT POWER” No group of people in a school district knows the pupil population better than the parents. There will be exceptions to such a generalization, but parents, regardless of the conditions of their socioeconomic status, are typically going to know their children better than other adults. As mentioned previously, the home

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still occupies the position of being the most influential force in the development of infants and children. Although the traditional family structure has been replaced with a wider array of family types, it still remains the most influential force in a small child’s development. In the total realm of community relations, the parents of pupils in a school constitute a highly important client group with which school principals will be involved. The challenge facing school principals is to discover ways of forging stronger linkages between the school and the home. Thus, school-parenting efforts become an important dimension of the total school-community effort. Communications linkages betweentheschoolandthehome should be developed, monitoredin an ongoing process, and constantly nurtured. As described earlier, the communication with members of a family must provide a two-way flow of information and reactions. Sending home slips of paper on which notes have been duplicated may suffice for some types of messages, but members of the home need to be much more highly involved in planning to meet the priorities of a school; providing support in terms of ideas, resources, and time; and reacting to feedback and evaluation data that may be gathered in an effort to improve a school. If parents are to be participants in the planning and development of school improvement efforts, they should be formally structured into the planning process. Care should be taken to provide a clear definition of what is expected of parental involvement, and specified limits should be placed on what parents are expected to do and what they are not to do. When parents do that which has been asked of them, the principal must listen. Since a large proportion of the mothers are gainfully employed outside the home, muchof the work involving either fathers ormotherswillhavetobe accomplished during the evening or early morning hours. Just as with students, when parents are introduced to service activities, theymust possess meaning and relevance. Parents need to feel that they are viewed as worthy individuals andthat the workwithwhichthey are involved is meaningful.Parentsmay often feel there are numerous ways in which they can more appropriately use their time to help the school than, for instance, baking cupcakes. The principal should develop a list of parents and what they can contribute, whether performing such menial chores as stuffing envelopes or using specialized and unique talents they are willing to share with a school.

WORKING WITH THE MEDIA Principals typically do not work with the members of the media as frequently as do staff members from central administration. Principals are, however,involved with members of the press, radio, and television. There is good or positive press, and there are individuals who represent the media in the worst sense of the word; however, the principal must work with all members of the media. Fortunately, most representatives ofthemedia are intelligent and supportive

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individuals. No matter how the media are seen from a professional educator's perspective, they do provide a means of communication to the constituents of the school. The first step a principal should takewhen dealing with the media is to become familiar with school district policies related to the media and understand the philosophy that prevails in the district with respect to the media. Second, a principal should know about the law as it relates to the right to privacy, open meetings, and freedom of speech. Third, any administrator who faces the media should learn tact and poise. It may be better to show restraint and good judgment rather than overstating a position. Once a principal has given consideration to understanding the requisites of dealing with the media, it is advisable to get acquainted with the members of the media.'* It is even suggested that to accommodate the time constraints and pressures experiencedby members of the media, a principal should solicit ideas from them that will facilitate their work. After all, it does not hurt to have good public relations with the media. Several rules of thumb for meeting the press have been provided: (1) return calls; (2) do not go off the record; (3) do not tell members of the media how to report news; (4) avoid educational jargon: (5) provide adequate documentation; (6) never try to hide or cover up facts (ifyou cannot comment or answer a given question, simply explain that you cannot); (7) be sure you have your facts correct; (8) do not ask to review materials before they are aired or printed; (9) do not be afraid to give compliment^;'^ (10) be honest and not secretive; (11) provide a list of administrators' names, job titles, and phone numbers; and (12) alert media representatives when schedule changes or cancellations O C C U ~ . ' ~ Unfortunately, it is not uncommon for a building principal to have to face the members of the media in times of crises. Principals, especially those who are seen as highly effective, are often sought out during a traumatic event to provide assistance to pupils, staff, community members, and family members of a victim. When such unfortunate situations arise, and they typically occur at an unexpected time, the principal and the central administration staff should be able to respond based on preplanned procedures following district policies. Once the crisis occurs, it is too late to plan crisis procedures. Preplanning for handling crisis situations should be accomplished to be able to implement the following procedures: (1) a person will be designated to be spokesperson; (2) a point of contact or headquarters will be established; (3) how information will be transmitted to and from the designated spokesperson will be specified; (4) how the district will arrange for meeting the needs of the media will be established in as much detail as possible, even covering such things as restroom facilities and providing coffee if extended periods of time are anticipated; and (5) staff members in the district who will constitute the crisis communications team will be de~ignated.'~ A board-approved packet of information for the media should be prepared in advance so that it can be given to members of the media to inform them of district policies and procedures and make avail-

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able selected information items about the district, such as names of buildings, administrative personnel, and the school events calendar.16

DEVELOPING SCHOOL-BUSINESS PARTNERSHIPS In a growing number of communities, principals have been working successfully to involve representatives from local business establishments in partnerships with a school. It is not uncommon for patrons of a restaurant to find the nameofan elementary school prominently displayed and walls adorned with the art work from a given classroom. The scope and nature of partnership activities with which business personnel may be involved will vary considerably from one setting to another. The grade levels of a school, the needs identified in a school, and the district policy and legal considerations can all influence the nature of the partnership from the school’s perspective. At the same time, the nature of the business, the interests and expertise of the business personnel, and the resources that business leaders feel they can devote to the partnership will shape the school-business relationship. Official sanctioning from the board of education andthe superintendent is needed. Policies should be in placethat set forth theintended outcomes, and parameters governing the school-business partnership should be publicized. A clear commitment from top-level officials of a school district is needed if the partnership program is to be ~uccessfu1.~~ Through the commitment of the office of the superintendent, the needed organization can emerge and school and business representatives can be placed on an advisory committee to provide direction to the effort. Even small school systems need to have a staff member designated as coordinator of the partnership effort if it is expected to flourish. Getting multiple agencies to work productively does not happen out of a vacuum. Planning becomes imperative, and evaluation, often overlooked, should be given a high priority. Business leaders have generally beenfoundtobe supportive of schoolbusiness partnerships. The suggestion has been made to principals to “put your school up for adoption” and you will soon have a partner.I8

SUMMARY There are numerous avenues principals canfollowtobuild strong relationships withthe citizens. Effective school principals will inevitablyhavegood by the school. Schoolrelationships with citizens in thecommunityserved community relations go well beyond the limits often considered appropriate for a public relations program. The emphasison public relations is focused on sending a message to the community in order to enhance the image of the school. School-community relations constitute a broader scope of involvement than is typically found in a public relations program, and they embody a two-way interaction between the school and the community. One of the outcomes of a good

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school-community program will be a positive image expressed by citizens of a community.Fromthispositiveimage,publicrelationsobjectivescan be achieved as a part of a good school-community program.

NOTES 1. School Public Relations: The Cotnplete Book (Arlington, Virginia: National School Public Relations Association, 1986), p. 14. 2. Ibid. 3. Frederick I. Renihan and Patrick J. Renihan, “Institutional Image: The Concept and Implications for Administrative Action,” NASSP Bulletin 73 (March 1989): 80-90. 4. Wilmer Bugher, Polling Attitudes of Community of Education Manual (Bloomington, Indiana: Phi Delta Kappa, 1980); Earl R. Babbie, Survey Research Methods (Belmont, California: Wadsworth, 1973); Walter R. Borg and Meredith Damien Gall, Educational Research, 5th ed. (New York: Longman, 1989); Floyd J. Fowler, Survey Research Methods, rev. ed. (Newbury Park, California: Sage, 1988); Michael Y. Nunnery and Ralph B. Kimbrough, Politics, Power, Polls, and School Elections (Berkeley, California: McCutchan, 1971), Ward Sybouts, Planning in School Administration: A Handbook (Westport, Connecticut: Greenwood Press, 1992). 5. Floyd Boschee, “Public Attitudes toward Public Schools: Local vs. National,” NASSP Bulletin 71 (December 1989):117. 6. NASSP National Advisory List of Contests C? Activities, 1993-94. Prepared by the National Committee on Contests & Activities, NASSP, Association Drive, Reston, Virginia 2209 1, 1993. 7. Barbara Kudlacek, “Special Interest Groups: Friends or Foes?” NASSP Bulletin 73 (January 1989): 29. 8. Harry Silcox, “School-based Community Service Programs-An Imperative for Effective Schools,” NASSP Bulletin 77 (February 1993): 59. 9. Ibid., p. 60. IO. Ibid., p. 61. 11. Neal Nickerson and Amy Mook, “School and Community Relations: Another Aspect of Instructional Leadership,” NASSP Bulletin 72 (October 1988): 45. 12. David Siegel, “No News Isn’t Good News: Effective Media Relations,” NASSP Bulletin 73 (January 1989): 1. 13. Ibid., p. 3. 14. School Public Relations, p. 121. 15. Siegel, “No News Isn’t Good News,” p. 3. 16. School Public Relations, p. 35. 17. Paula Blake and Scott Pfeifer, “School-Business Partnerships: A Win-Win Proposition,” NASSP Bulletin 77 (September 1993): 32. 18. School Public Relations, p. 68.

12 Student, Program,and Personnel Evaluation

INTRODUCTION A number of areas in which a principal can become involved with evaluation efforts are presented in this chapter. Topics include the evaluation of students, program evaluation, personnel evaluation, how evaluation can be individualized, and the differentiated systems of evaluation. Because typically there hasbeen more talk than action with regard to evaluation, the topic of evaluation is especially significant.

STUDENT EVALUATION “What did you learn at school today?” In how many homes is that question asked when schools are in session? Everyone expects students to learn something and to know what they learned. Educators are expected to identify what students needtoknow, provide instruction, measure learning, and report the results. Numerous types of assessment are used: norm-referenced tests, criterionreferenced tests, inventories, scales, interviews, and teacher-made tests. Normreferenced and standardized tests are attractive because of therelativelylow expenditures of time and money required; however, little may be revealed about local curricula. Other forms of testing may consume more time and money, but offer advantages related to broader performance standards in that performance on open-ended, problem-solving tasks is assessed.’

Performance Standards Performance standardsare keyed to what students have learned rather than to the amount of time spent in classes. Standards and guidelines have been adopted

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by professional associations for the arts, English, geography, history and social studies, mathematics, and science? Authentic tasks are characterized by (1) the production, not reproduction, of ideas; (2) the use of background knowledge; (3) in-depth understanding; (4) the integration of ideas; (5) aesthetic and utilitarian purposes; (6) the need for large blocks of time; (7) collaborative work; and (8) the use of equipment, materials, and tools, including technology.

Authentic Assessment In the field of assessment in the 1990s, two forces seem at odds. Some reformers call for a national testing program, whereas others advocate different forms of assessment-‘‘authentic’’ ones-that match what is being taught and learned in classrooms. In addition, educators are concerned about processlearning, self-esteem, and other factors, as well as academic achievement? Principals may need a balanced interest in traditional and innovative forms of testing. In authentic assessment, rubrics, sets of criteria that describe levels of performance or understanding, standards, or expectations, are used. A rubric systemmay include a range of demonstrated competence. Exemplary Response (rating = 6): Gives a completeresponse with a clear,coherent, unambiguous, and elegant explanation; includes a clearandsimplified diagram; communicates effectively to the identified audience; shows understanding of the open-ended problem’s mathematical ideas and processes; identifies all the important elements of the problem; may include examples and counterexamples; presents strong supporting arguments. Inadequate Response (no attempt, rating = 0).

Also, portfolios, or collections of real accomplishments, are used to show performance in key areas. Opponents to a national testing program have cited the lack of agreement about national goals and objectives, although others have claimed a national curriculum is extant through the textbook marketplace? As assessment broadens in importance on the nation’s agenda, educators are asked to measure and compare student performance against common standards? No single score or test can reveal the range of performance of students in different programs. Consequently, multiple sources of evidence must be used; for example, students’ performance on a number of easy-to-administer standardized tests can be compared. Many measures can be used, including results of standardized tests of student achievement, proficiency tests of curriculum content, noncognitive attributes, ratings of parents and students of schooling, attrition and dropout rates, efficiency indicators (cost-per-student, student grade-level gain in achievement tests), and analysis of high or low performance levels?

Testing Programs Also, in order that performance can be compared on a school-to-school or district-to-district basis, tests can be tailored to specific curricula. Tests should

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not be allowed to drive curricula nor should teachers teach toward tests. More important, assessment-not just tests-should be viewed as an integral part of learning and teaching. Performance assessment requires significant changes in curriculum and instruction as well as different uses of time and personnel. For example, fifty-minute periods may not allow sufficient time for assessment of learning in science or social studies. Testing may be made more cost efficient by testing only students in selected grades, such as 4, 8, and 12. Significant efforts must be made in development and training so teachers are prepared to conduct performance assessments, designauthentic tasks, check validityand reliability of locally developed tests, match assessment needswith appropriate tests, measurehigher-order thinking, score artifacts with rubrics, motivate students to accept responsibility fortheirwork,and interpret test scores. A delineation must be made among testing programs for measuring basic skills, diagnosing learning difficulties, assessing general outcomes, and evaluating educational programs.

Student Motivation The impact of testing on students should be examined; students who persistently score low on tests can become inured to tests and quit trying. Assessment practices that are collaborative and authentic, however, can promote learning and motivation. Multiple pieces of evidence collected over long periods of time can reveal patterns of progress. In addition, authentic assessments can tap multidimensional kinds of learning.’ Testingprogramsshould notbedeveloped in isolationfrom learning and teaching. Teachers need to provide interesting lessons, convey their enthusiasm, diagnose learners’ styles, reinforce good behaviors, offer extrinsic and intrinsic motivators, attend to the hierarchy of needs of learners, hold high expectations and limit failure, and understand students’ attitudes about their abilities, efforts, difficultyof tasks, and success. Principals shouldkeep a broadandbalanced perspective so that cohesive relationships are builtamong cumcula, context, processes, programs, and personnel. Regardless of improvements in testing, success in school is built upon environments that encourage learning, high expectations for student performance, and rich curriculum experiences. Principals are expected to establish and maintain a climate that is conducive to learning and achievement.

PROGRAM EVALUATION Principals do not always meet their role expectations. In a comprehensive survey, many principals identified program and personnel development as their highest priorities but spent more time on management tasks. A subset of highly effective principals, however, reported spending agreater percentage of time on program and personnel development.8 A recurring theme of researchers on ef-

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fective schools is that principals are a key element in successful schools. When program and personnel development are high priorities for principals, they can improve programs and personnel through evaluation? Evaluation is an interactive process of describing program components and processes and judgments about their effectiveness. Principals whowanttoimprovelearningandteachingmustconductprogramevaluationtoprovidedescriptions of components and to reach judgments. One view o f the purpose of evaluation is to gather and provide the right information to the right people in the right ways so they can reach the right decisions.10Another view is that the purpose of evaluation is to determine the degree to which a program is meeting itsgoals." Evaluation is also conducted tomeeta fundingagency's requirements, provide rational responses to controversy or fads, inform citizens about howwell school programs and personnel are functioning, provideinformation in decision making, and provide bases of comparison.

Goals Manyevaluations arebased upon the goals of a program.Often goals are subdivided into objectives andotherdesired outcomes, processes, and features of programs. Theefforts of theNationalEducation Goals panelhavedrawn much attention. The following are the six national education goals: 1. All children in America will start school ready to learn. 2. The high schoolgraduationrate will increaseto at least 90 percent.

3. Americanstudents will leavegrades 4, 8, and 12 having demonstratedcompetency in challengingsubjectmatter,includingEnglish,mathematics,science,history, and geography;everyschool in America will ensure that all studentslearntousetheir minds well, so they may be prepared for responsible citizenship, further learning, and

productive employment in ourmoderneconomy.

4. U.S. students will be first in the world in science and mathematicsachievement. 5. Every adult American will be literate and will possesstheknowledge

and skills necessary to compete in a global economy and exercise the rights and responsibilities of citizenship.

6. Every school in America will be free of drugs and violence and will offer a disciplined

environment conducive to learning.

Objectives Objectives are developed from goals. Objectives are more specific and measurable outcomes. Objectives have subsequently been set for each national goal, as for goal 3:

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The academic performance of elementary and secondary students will increase significantly in every quartile, and the distribution of minority students in each level will more closely reflect the student population as a whole. The percentage of students who demonstrate the ability to reason, solve problems, apply knowledge, and write and communicate effectively will increase substantially. All students will be involved in activities that promote and demonstrate good citizenship, community service, and personal responsibility. Thepercentageofstudentswhoarecompetent in more than one language will substantially increase. All students will be knowledgeable about the diverse cultural heritage of this nation and about the world community. Business leaders have become outspoken proponents of changing schools and have formed the Business Roundtable, the National Alliance of Business, the Council for Aid to Education, andothergroups. Corporate leaders are often frustrated by resistance to measuring the success of school programs and reform efforts and seek quantitative measures of comparisons, for example, between school districts. One approach advocated is auditing educational effectiveness through means matching. In means matching, schools that are demographically and financially similarare compared throughsearching for answers to such questions as these: (1) Are program goals clear and measurable? (2) Are the goals attainable? (3) Does the organizational structure of the program contribute to goal attainment? If not,why not? (4) Do programoutcomesreflectstated goals?12 Exit Outcomes

One public school district in Nebraska adopted exit outcomes for its graduates to master: Collaborativeparticipantswhouseeffectiveleadershipandgroupskillstoachieve common goals in a variety of settings. Health-conscious individuals who use positive physicaland mental health principles to function responsibly in a diverse community. Quality products who use intellectual, artistic, practical and physical abilities to contribute to the economic well-being of society. Self-directed learners who use complex thinking and effective communicationin order to set priorities and achieve responsible goals. Positive contributors to interpersonal relationships who function ethically and appropriately in diverse settings. Involved citizens who contribute responsibly to the quality of life and to the welfare of others in an interdependent w0r1d.I~

Training Development 306 and

of Principals

An assessment plan for measuring exit outcomes incorporates content, teaching strategies, enablers, course and level outcomes, and process outcomes that are directed toward the mission of the schools. In measuring success, many administrators have incorporated principles of transformation and TQM and used the Vision-Action-Results-Knowledge or Plan-Do-Study-Act to improve a quantifiable system.I4 The Path to Program Evaluation Several factors have led to greater emphasis upon program evaluation: requirements set by federal and state agencies in grants and contracts; the public’s general concern for accountability;changes in gathering and reporting data from the National Assessment of Educational Progress; findings from the effective schools research; advancesin program evaluation; effortsto respond to the calls for reform in the publication A Nation at Risk; and the setting of national education goals, standards, and tests in America 2000. Critics and reformers have noted declines in test scores, low scores ofU.S. students in subjects such as math and science in comparison with those of students from foreign countries, low achievement scores of minority students, and other “failings” that have allegedly put the United States at risk. For example, one finding from The Writing Report Card, 1948-1988 is that more than half of the high school students were unable to write an adequate response tofiveof six tasks.I5 Overall, no progress has been made in any subject or grade since the early 1970s.I6 Researchers from the Sandia National Laboratories have reached different conclusions: They found youth were achieving levels of education at least as high as any previous generation.” While other researchers refuted the charge that America’s schools put the nation at risk (e.g., the decline in SAT scores over twentyfive years was only 3.3 percent of the raw score total), charges continue to be unleashed upon schools and educators.18The cumulative effect of bashing educational practices and educators in a period that Peter Drucker has called “wrenching change”19 for educators has led to neutralization or stymieing of change and progress.*O Through program evaluation efforts, principalscan amass information about the effectiveness of their school’s programs. Principals cannot afford to wait for an improved image of the nation’s schools to satisfy their board members and constituents’ concerns about the quality of schooling?’ Evaluation programs must be conducted at the local level to satisfy local concerns and needs.22Principals need not think that the task is theirs alone; shared planning and decision making will result in teachers’ ownership and commitment to impr0vement.2~ Information from the research on school effectiveness points toward the benefits of making systemic changes throughout a district or state. At the national level, President Clinton’s school 1993 reform plan H.R. 1804 is a challenge to every state and community to develop comprehensive action plans to overhaul their schools. At the same time, in the absence of state- or districtwide reforms,

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principals can introduce practices from the effective schools research and stimulate improvements in learning and teaching in their respective Focus on the assessment of student outcomes is a predictable outcome of the effective schools movement. An accompanying emphasis is upon disaggregating data for comparisons of gender and racial/ethnic differences to identify learning problems. Other variables may also be examined, for example, the effects of transferringfrom an elementary school withself-contained classrooms to middle schools andhigh schools that have differentorganizational str~ctures.2~ The relationship of middle-level curriculum to students’needs and assessment of learning is another fruitful field of study.26 Approaches to Evaluation Evaluators should choose an approach from their knowledge of major evaluation approaches and models that best fit a given program. Several approaches can be 1. Adversary:Thebestcaseforcompetingalternativeinterpretationsof value is presented, with both sides having access to the same data.

a program’s

2. Decision-oriented: Focus is upon context, input, and process in addition to outcomes

3. 4.

5. 6. 7.

to facilitate intelligent judgments by decision makers. Eclectic: Selections are made from a cross-section of evaluation strategies. Unanticipated goals are also viewed as important and considered. Evaluation Research: Focusis upon explaining effects and devising instructional strategies. Goal-free: Assessment of program effectsis based on criteria apart from the program’s conceptual framework in actual measured outcomes. Goal-oriented:Assessment of student program and theeffectivenessofeducational innovations is done according to prespecified goals. Transactional: Program processes and the value perspectives of key people are depicted.

How good is the reading program in your school? your activities program? your guidance program? Would student learningincreaseifyouadopted PQRST? What effect does the amount of homework have on students’ achievement in math? Whatisthe difference,if any, of the impact of information technology among primary, elementary, middle, and secondary school students? To what extent can achievement in physics be credited to a software and textbook bundle?” With the passage of the Elementary and Secondary Act in 1965, questions such as the above needed to be answered through program evaluation, as congressional representatives wanted accountability for the moneys allocated for educational Similar demands for accountability must be answered today and The answers can be found by following six general steps.

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Major Steps in Program Evaluation The major steps in program evaluation consist of 1. Clarifying the purpose of a program evaluation 2. Designing the scope and sequence of an evaluation

3. Collecting relevant information and implementing the design 4. Categorizing and analyzing the information collected 5 . Reporting, summarizing, and interpreting the findings

6. Evaluating the purpose, scope, design,and implementation of the program evaluation3’

The steps in program evaluation are similar to those in many administrative tasks. Perhaps much trepidation exists about program evaluation because of its importance and the scope of activities, time, and resources that must be applied for successful completion of a program evaluation. Think of several problems that youhadto solve within the lastfew days. Some of them were of a minor nature; others were more serious. You needed to give little attention to some, butmuchmore to serious ones. Perhaps you quickly thought through what you wanted to do for minor problems but for the “real” problems sat down, perhaps with others, and outlined a detailed plan of action. Program evaluation also requires deliberate and thoughtful planning so that efforts are fruitful and lead to program improvement. Clarifying the purpose of program evaluation. The purpose of a program evaluation must be clearly stated. The origin of a program evaluation may have come from concerns raised at a meeting of a board of education by parents, by teachers who want to compare the effects of two teaching methods, or by requirements set by an external group, such as a regional accreditation association. Thepurpose is affected by the audience,conditions underwhich a program evaluation is to be conducted, and expected outcomes. For example, parents in one district may express their concerns about planned cutbacks in home economics classes at a meeting of a school board. Subsequently, the board wants a report for its next meeting concerning the reduction of the home economics staff from two full-time teachers to one. In a school in another district, the home economics teachers want to compare traditional forms of instruction with cooperative learning. In yet another district, a comprehensive program evaluation needs to be conducted for a forthcoming accreditation visitation in conjunction with the seven-year accreditation cycle by the state department of education. In this district, home economics will be a subset of the self-study for accreditation, and comparisons of teaching methods in any subject may be of little interest. In the first step, questions such as the following are considered. 1. Why must a program evaluation be conducted? 2. Who are the recipients of the report?

Student, Program, Personnel Evaluation 3. What

309

is to be evaluated?

4. What are the constraints, for example, time, resources, and limitations?

The answers to questions 3 and 4 are more complex than those tothefin ;t two questions. In the district with an upcoming accreditation visit, the purpose for accreditation is much broader and the needs of the accreditation association and state department of education are extensive. In a district with planned cutbacks in home economics classes, which of the following will be evaluated? 1. Content of electives in home economics 2. All courses in home economics 3. Enrollment patterns 4. The quality of teaching 5. The relevance of course offerings

6. Scheduling of classes in home economics 7 . The perceptions of students and parents regarding home economics classes

8. The influence of counselors or homeroom teachers

Answers to such questions serve as the base for all subsequent steps. In the absence of goals, objectives, and intended outcomes, program evaluators have different and difficult choices to make. In the initial step, consideration must also be given to evaluation of the program evaluation itself. Guidelines, procedures, and other factors should be developed as soon as possible so a comprehensive evaluation can be conducted. In a school district in which home economics teachers want to compare traditional forms of instruction with cooperative learning, an evaluation of the design and conduct of the action research will add to the validity of the comparison of teaching methods. Planning an evaluation component may lead to better design of a program evaluation; for example, a focus on evaluating the study of comparing teaching methods in home economics may trigger thoughts about having a control group or using time series measures. Program evaluation is generally linked with the completion of a project or with a summative evaluation. Formative evaluation. Principles of program evaluation should also be followed in formative evaluation, as it is used to improve programs in operation by providing feedback to persons working in programs. Often responsibility for formative evaluation is given to persons internal to the organization and who know intricate details and can readily provide immediate feedback. Summative evaluation. Summative evaluation follows the completion of projects or at the end of a lengthy period; long-termresults are identifiedand recommendations are provided for adoption, continuation, or termination of projects. Summative evaluationis based on measurements of achievement,attitudes, performance, and program implementation through controlled studies, valid and

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reliableinstruments, and other design elements. Outside evaluatorsare often used in summative evaluations. One form of summative evaluation is conducted through expostfacto designs. In a longitudinal design, evaluators track one population over given intervals of time. In a cross-sectional design, evaluators compare several consecutive groups as they reach a certain plateau, such as a grade level. By combining longitudinal and cross-sectional designs, evaluators can compare data. The advantages and disadvantages of ex post facto designs should be studied with respect to purpose and other aspects of design. For example, in longitudinal studies, controls for student differencesare maintained because students are compared to themselves; however, determining whether the program is responsible for outcomes is difficult. Because different classes are compared in cross-sectional studies, control for student differences cannot be established. Data collection instruments and devices should be chosen on the basis of 1. Validity-the

2. Reliability-the

extent to which an instrument measures what it purports to measure extent to which measurement is consistent over time and items

3. Appropriateness-the 4. Interpretability-the

extent to which an instrument matches the purpose extent to which an instrument provides useful information

Designing the scope and sequence of a program evaluation. Questions about the scope and sequence related to the purpose must be prepared. In a high school with planned cutbacks in home economics classes, the principal may have much of the information about enrollments in home economics classes over the past six years but may uncover gaps of data that are needed for the purpose. For an accreditation visitation, the regional association and state department of education may have many standards spelled out; nevertheless, conditions in a district require adaptations to those standards in line with its mission statement, goals, and objectives. Careful planning will note (1) what needs to be done, (2) who is to complete each task, (3) when each task is tobe completed, and (4) what resources are available. Educational variables can be categorized into input, process, and output, particularly in describing the performance effects of programs. Inputs. Inputs are the constraints within which a program must operate. Class size, available resources, organizational patterns, and other characteristics are inputs. This category may also be divided into (1) context, existing environmental conditions, and (2) input, the plans to use resources. Inputs are measured by pretests,readiness tests, interviews, observations, opinionnaires, questionnaires, records, and scales. Students can provide honest assessments of what is happening in their classrooms through interviews as well as through pre- and readiness tests and from other paper-and-pencil measures?* Although results of standardized tests are often used to provide data forprogram evaluation, the tests are often not relevant

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tolocal goals and objectives. Criterion-referenced approaches can beusedto obtain high-quality diagnostic data.33Multiple sources of information from students are useful in assessing school programs, as data from one form of collection can be compared with others. Process. Process consists of the performance characteristics of the program, for example, the teaching behaviors of teachers. Process includes the behaviors of people in achieving a program’s goals. Information about process, or transactions, can be focused upon teaching strategies, administrative style, and features of program implementation. Outputs oroutcomes. Outputs or outcomes have traditionally been used as the chiefmeasures of aprogram’s effectiveness. Achievement, attitude, and motor scores are common measures of outputs, as educators and citizens are concerned with the cognitive, affective, and psychomotor domains. Outputsmay also be thought of as intrinsic, transfer, and payoff. The latter is most difficult to measure because the influence of a program on people’s day-to-daybehavior may require more resources than evaluators have. Homeeconomics teachers whowantto conduct anin-depth analysis and compare teaching methods will need to determine who will be measured, observed, or tested; when the measurements, observations, or tests will be administered; and which groups will comprise the study. The teachers will want to set up a control group andan experimental group. To increase the credibility of their study, the teachers willwanttoassign students randomlyto classes. A study would be biased, for example, if seniors in elective courses were chosen as the experimental group, whereas the control group consisted of students in an introductory course required of all students. Other measures might be employed, such as a third teaching method, for example, independent study, with randomly assigned students to compare effectiveness of teaching methods in the subject. Pretests may also be employed to randomly assigned students to provide a basis for comparison of achievement gain and similar purposes. Pretests may notbegiven because of costs associated withthem, in cases where students were beginning a course of study, or if a program is underway. Other kinds of tests maybe administered: (1) mid-term tests duringacourse ofstudythat extends over several months; (2) retention tests after time has elapsed, for example, summer months; and (3) time series that are givenat equal intervals, perhaps before and after the program to measure outcomes.34 A designmay be built around (1) questions to be answered, (2) information required, (3) sources of information, and (4) methods of collecting information. Program evaluation may be organized around other concepts. For example, Fitch and Malcom identified fourteen conditions for successful schools:35 1. High attendance

2. Social success

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3. High self-esteem

4. Learning to learn skills 5 . Learningclimate

6 . Parent and community involvement 7. Curriculum and instruction 8. High expectations for students and staff 9. Instructional leadership 10. Academic learning time 11. Monitoring of student progress 12. Staff empowerment and professionalism 13. Competency and self-renewal 14. Vision

12, Principals might launchprogram evaluation by focusing firstuponitem “Staff empowerment and professionalism,” to obtain a measure of this factor. Data from an analysis of conditions of empowerment and professionalism could serve as the basis for pursuing additional efforts. Collecting relevant information and implementing the design. In the preceding steps, determinations need to be made about the purpose, scope, and sequence ofprogram evaluation efforts. In essence, a plan for program evaluation was drawn up, although alternations may be necessary during the remaining stages. In a school with planned cutbacks in home economics classes, for example, the principal may have at hand information about the decline in home economics classes over the last six years. That decline may be related to new requirements in core subjects for high school graduation that have reduced opportunities for students to take elective courses in home economics. Actionsmustbetaken about the kind of information to be collected, the sources of information, the cost of collecting information, andhowinformation is to be collected. Some constraints include the availability of information, the ease of retrieving information as desired, and the costs of retrieving and manipulating information. In a school with a forthcomingaccreditation visit, much interest may exist in knowing the numbers of females and minority students in advanced math and science classes and how they fared over the last six years. The design of the district’s student information system will be a critical factor in retrieving such information. If the information is stored electronically, retrieval may be a matter of a few keystrokes. If not, the best source of data may be in teachers’ grade books; reliability of information becomes a function of the thoroughness of teachers’ combining their grade books and supplying the data. Factors in program evaluation. Program evaluation typically includes information on factors such as (1) clarity, relevance, and other attributes of goals; (2) scope and sequence of learning objectives; (3) quality of written course guides; (4) specificity of time to be allocated to subjects; (5) relationship of the

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taught curriculum to district guidelines and priorities; (6) relationship ofthe tested curriculum to district course guides; (7) relevance of the taught and tested curriculum to learners’ needs, interests, and abilities; and (8) usefulness of instructional materials. These factors can be subdivided and used as organizers in the collection of information. Information may be collected through analysis of existing records, interviews, questionnaires, opinionnaires, panel and group discussions, and ratings. When an accreditation visit will take place in a district, multiple means of gathering information must be used, and coordination of activities is necessary to limit duplication and omission of data collection procedures. How many individuals from what backgrounds should be invited to a panel discussion regarding offerings in the arts? How many patrons should be contacted through a telephone survey and how is the sample to be determined? Whowill develop the questions for the telephone survey? Who will conduct the telephone survey? What kind of training will be necessary for telephone interviewers? Data can be collected through instruments developedcommercially or locally. Commercially developed instruments may have information on validity, reliability, norms, population, or correlation with similar instruments. Whether instruments are purchased or developed locally, program evaluators needto establish their validity and reliability. Information is presented in Table 12.1 on common types of measures, data-gathering instruments, item structure typically found, and kinds of scores that are obtained.36 Procedures for disseminating informationand requesting assistance for the collection of information shouldbe operational during this step. Periodic reports maybenecessary in a comprehensive program evaluation so participants are kept informed of others’ activities, needs, and progress. Individuals engaged in program evaluation may note at this step the accuracy, availability, and depth of information available as well as the suitability of the data collection procedures used. Feedbackfrom membersofan evaluation teamcouldprovide a relatively objective critique of progress to date. Categorizing and analyzing the information collected. Information must generally be aggregated, disaggregated, or placed into categories for study. During an accreditation visit, information about the success of females and minorities must be disaggregated from a data set on students enrolled in advanced math and science courses. Knowing that 12 percent and 11 percent of the students in the district take advanced math and science coursesrespectively reveals nothing about the enrollment of females and minority students in those electives. During program evaluation activities, distinctions should be made among (1) assessment, the collecting of information from multiple sources (e.g., numbers of students in advanced math classes); (2) evaluation, placing a value on the information (e.g., determining the value of knowing the number of students in advanced math classes last spring); and (3) appraisal, determining the overall worth of the information that is collected (e.g., last spring the number of students in advanced math classes dropped 18 percent from the previous spring).

ogs:

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Table 12.1 Data Collection Instruments Types Data Gathering of Measures Instruments Scores Structure Item of Kinds Achievement Norm-referenced Objective: Matching Tests

Stanines Attitude

Equivalent Grade Percentages Multiple Choice Percentiles Raw Scores True-False Subjective: Standard Scores Essay Short Answer

Interviews Inventories

Categories Open-ended Frequencies Objective: MultipleChoicePercentages Ratings YesINo Ratings

Open-ended Studies Interactions Categories Case Frequencies Incidents Ratings Critical Percentages Surveys Observations Ratingdtime Other Frequencies Objective Referrals Subjective Attendance Diaries Documents: Grades & Marks Lesson Plans Curriculum Materials

Consideration must be given to (1) how information is to be analyzed (e.g., through descriptive statistics only or through advanced statistical methods) and (2) howthe value of information is determined (e.g., decisions made about expending scarce resources on comprehensive, exhaustive data gathering). During data collection, restrictions onthe availability or retrieval of information may limit the amount andkind of information thatmaybe gathered. Changes may need to be made in the allocation of resources if assistance from one or more experts maybe neededto provide direction for organizing and categorizing information. A well-designed plan will include feedback loops so

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that adjustments can be implemented as program evaluation and evaluation efforts proceed. Reporting, summarizing, andinterpreting the jndings. How is the information to be presented? The nature of reports is often dictated by the content itself, the audience receiving the report, the amount of time for preparation, expertise of the preparers, and resources for printing, duplicating, and dissemination. Data on the number of students per year in math and science classes can readily be put into a table. Reports that include responses from participants in group meetings will need to be summarized in another format. The amount of information providedto a regional accrediting associationwill differ markedlyfromthat provided to representatives of the media. An “executive summary” at the front of a lengthy report may be sufficient for a decision-making body. How a report looks is important. A report that has a cover page with the title of the program, name of the group to which the report is submitted, names of contributors, and pertinent date(s) appropriately formatted presents a positive first impression and adds credibility to the report. An executive summary may follow the cover page and succinctly provide information on the purpose, rationale, data-gathering procedures, major findings, and recomrnendations.3’ The remainder and bulk of the report will include details of the program evaluation. Writing of the report should flow easily if good records were kept of the design, instruments used, data collection procedures, methods of analyses, and summaries that were prepared periodically. A well-designed overall plan for program evaluation should anticipate needs at advanced stages and incorporate ways to meet suchneeds along theway.For example, program evaluation for an accreditation visit might extendover many months, and provisions should be made for keeping records thatwillbeuseful in planningdata collection, analyzing information, and preparing the self-study. If records are not kept, reliance upon individuals’ recollections of what happened fifteen months ago will be of little value in the preparation of a final report. The value of a report ultimately lies in acceptance and use. Poorly formatted, disorganized, and bulky reports may go unread and unheeded. A principle that journalists and experts in other professions use is to put the most information first; hence, the preparation of an executive summary is of critical importance. Members of a board of education may not have the time to read through several pages of fine detail but will appreciate a concise summary upon which they can base questions. Word-processing programs provide avariety of features to improve readability: multiple fonts, points, bullets, bold, italic, underlining, borders, frames, pictures, charts and tables, and grammar and spelling checks. Desktop publishing programs and laser printers offer even more options. Text should be edited for accuracy, clarity, conciseness, jargon, organization of thought, redundancy, and elements of form and style. In tables and graphs, information can be visually represented so comparisons and trends are readily apparent. Tables and graphs require careful formatting; many readers may only

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glance at them without reading the accompanying text. A complex set of data may best be displayed in more than one table or chart. Evaluating the purpose, scope, design, and implementation of the program evaluation. An assessment of the purpose, scope and design, data-gathering procedures, usefulnessof the report, and outcomes linked to the process and product of program evaluation must be conducted. Areport on the decline of enrollment in home economicsclasses may lead to nothing more thana grumbled consensus among board members that the reduction in staff was justified. Or if students and their parents andpatrons expressed interest in subject matter commonly taught in home economics, such as parenting skills and managing a household budget, a report could lead to changes in scheduling to allow more electives for students or for modifications of the curriculum to include such subjects matter in health and general math courses. Procedures for formative and summativeevaluationshould be established when designing the scope and sequence of an evaluation, so evaluation criteria are addressed during the process aswell as at the conclusion. An evaluation team may be composed of persons from internal or external groups or a combination. Individuals in a district may be highly interested in determining the effectiveness of the program evaluation of home economics so the general public is satisfiedwith the integrity of the report. Duringan accreditation visit, the scope oftheprogram evaluation is so large that school personnel, students, parents, patrons, and evaluation experts from intermediate units, universities, or other agencies maybeneeded to determine the effectiveness of the program evaluation process. Evaluator bias must be guarded against so that results of an evaluation are worthwhile. Continual evaluation and constant attention to instruction by principals provide the impetus for program School Accreditation

Principals of secondary schools, in particular, are required to engage in accreditation through a regional association. In some states, the accreditation process is conducted in conjunction with accreditation by the respective state department of education. Because certain standards and criteria must be met by local districts, accreditation by a regional association is viewed as a valuable form of accountability. A s the large-scale self-study pinpoints possibilities for change, efforts for improvement canbe implemented.Theemphasis is upon meeting program standards and criteria; thus, accreditation is generally viewed as nonthreatening to any one individual or group of persons. The process of completing a self-study is itself a stimulus for change and improvement. A s school personnel and patrons participate on teams, they can reach better understandings of student, community, district, school, and personnel needs. For personnel, participating in study teams is a form of staff development; for example, by comparing the status of a district or school with the standards and criteria of a regional association or state department of education,

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teachers can deepentheir understanding of others’ views of goals and objectives. In some regions, accreditation sparks continuous review,not just once every seven or ten years. By focusing more upon student outcomes and other issues, regional accrediting associations provide some direction for educators to probe questions raised by advocates of school reform. Principals can use an accreditation process to tie local efforts in program evaluation together.39 PERSONNEL EVALUATION School administrators face a myriad of tasks to reach their ultimate goalthe best quality education for students.4O In addition to needing skills in curriculum development, student evaluation, and program evaluation, principals must also be skilled in clinical supervision, staff development, and the evaluation of personnel effectiveness:’ Every function, process, and task in which principals engage contributes to that ultimate goal. A key to reaching that goal is improving the performance of all staff members who deliver programs and services directly to students. Purposes of Teacher Appraisal Principals evaluate teachers for a variety of purposes. Two main ones are (1) growth-oriented assessment, leading to professional development, and (2) summative evaluation, leading to career decisions, such as dismissal or promotion.42 Often these purposes are viewed to be in conflict and pose a dilemma for teachers and administrators. To some, the use of summative evaluation compromises the process as one for fostering teacher gr0wth.4~ With the help of teacher leaders, administrators must develop and implement an evaluation system that improves performance, provides soundinformation for personnel decisions, and maintains a climate of trust in administrators, employees and their unions, andthe evaluation system.44 Professional teachers may be frustrated with and resent any outcomes of evaluation they view as punitive. Building administrators mayhave similar distasteful feelings toward evaluation because of the difficulty and complexity of evaluation and negative reactions they receive in fulfillment of their duties. Superintendents may also have their efforts to demonstrate accountability thwartedthrough ineffective evaluation procedures. Board members, parents, students, and patrons may also be frustrated with no apparent or ineffective efforts to reward superior teaching or to “get rid of the dead wood.” If little or no attention is given to growthoriented activities, teachers, in particular, will conclude that evaluation has a single, nefarious purpose, and that administrators are “out to get the goods on us.” Merit pay. The results of personnel appraisal are often advocated as a means of determining recommendations to the superintendent for merit pay to reward

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greater productivity, good teaching, and superior performance. Merit pay plans have appeared for much ofthe twentieth century, but few have remained for long. Several reasons account for the lack of viability of merit pay plans: (1) assessment and evaluation methods produce inconclusive evidence to distinguish between and among personnel performance; (2) too few dollars are set aside for merit pay to make it attractive; (3) employees, appraisees, and appraisers are dissatisfied with the plan, its implementation, and the outcomes; and (4) overall, there has been resistance to the concept and the inability to measure performance objectively. Some of Deming’s principles also seem in opposition to such kind of measuresP’ Merit pay is a “good” idea whose time should never come. Teacher motivation should be emphasized as apurpose of evaluation. Through supervision, staff development, and evaluation, teachers can be nurtured to a greater degree of professionalism, commitment to a school’s mission, and support for programs and services.4‘j In addition, personnel should be led to understand the relationships among supervision, staff development, and appraisal and the full spectrum of purposes for personnel appraisal. Principals can mistakenly emphasize only the growth aspect of evaluation and minimize summative evaluation because of teacher resentment. Teachers, of course, understand the existence of the second major purpose andmay distrust administrators who downplay the summative aspectof evaluation. Teachers need to know that evaluation is conducted for many reasons: Evaluation is omnipresent in private and public institutions. The public expects it in schools becauseof its universality and as evidence of accountability efforts. Evaluation can lead to improved performance

of individuals.

Evaluation can lead to improved overall performance

of an organization.

The board of education requires evaluation and has made it a conditionof employment. Principals and other supervisors have a duty to conduct evaluation. Principalsandothersupervisorsarerequiredtoconductevaluations in accordwith standards of professional practice and the law. Principals can trace the growth and career development of personnel from recruitment through the last formal, summative evaluation. Evaluation is to be conducted objectively. Teachers are accorded protection through positive reports. Informationisusedforformalreportsonperformance support requests for increases in pay.

of personnel,forexample,to

Information is used for recommendations for transfer, promotion, and other personnel decisions within a school and district, graduate study, and honors and awards. Information is usedfornewsreleases,support and appreciation of achievement.

in competitive applications for grants,

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Evaluation protects students and the profession through the dismissal of incompetent individuals4’ What would school environments be like without the presence of formal systems of evaluation that purport to collect data objectively on a range of performance areas? Even in the absence of a formal system, evaluation is inevitably conducted-often arbitrarily and capriciously and with disastrous consequences. Instead of resenting and attempting to thwart evaluation, administratorsand teachers alike should work together to design and implement an evaluation system that contributes to the best-quality education for students.

THE DEVELOPMENT OF INDIVIDUALIZED EVALUATION Although administrators must develop their own skills to conduct observations, monitor and record performance, conference, coach teachers in new skills, and document inadequate performance, they have the benefits of research, theory, and the best practices of thousands of educators over decades. The most logical, detailed, and up-to-date evaluation program is useless unless principals can apply the concepts in performance appraisals. All principals face one challenge, that of adapting performance standards and processes to individuals in their schools. Research inthe 1970s and 1980s on effective schools led to agrowing realization that evaluation systems didnot contribute significantly to the development of good instruction. In one survey, more than 80 percent of the teachers reported they had not been observed during the year. When made, observations were seldom preceded or followed by principal-teacher conferences.48The scope of evaluation is severely limited if the majority of teachers are not observed, since classroom observations provide the bulk of information about the performance of teachers.

Weaknesses in Personnel Appraisal Systems Evaluation systems share several major weaknesses: 1.

Administrators place a low priority on supervision and monitoring of performance but a high one on summative evaluation. 2. Administrators lack skill in motivating, teaching, and coachingteacherstoimprove performance. 3. Evaluation is too often perceived as something done to teachers with too little assistance in growth.Frequentlyteachersareexpectedtoprovidemuchofthematerial that is used by administrators to evaluate them. 4. Evaluation is too often used merely to make subjective judgments about teachers. 5. Evaluation is too often perfunctorily conducted to comply with formal requirements.

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TOOmany teachers can recount that an administrator made a last-minute observation to comply with formal requirements. Teacherswant principals to show concern, understanding, and interest; discuss concerns openly; treat them collegially; and have realistic expectations of them. They also want principals to visit their classrooms frequently, support their new ideas, and give them freedom to teach as they choose.49 Performanceevaluationsystems shouldbelinkedto supervision andstaff development activities; that is evaluation should be the culmination of supervision and development activities. Performance evaluation should be developmental and formative in nature,and a performance evaluation system should consist of multiple vital characteristics: clearly stated purposes and outcomes; a design for conducting evaluation; training of administrators and teachers in the evaluation system; implementation procedures, such as timelines for remediation; suggested guidelines for helping marginal personnel; and evaluation of the appraisal process, as beneficial effects should be demonstrable. In 1978, Redfern noted several criticisms of conventionalevaluation programs. He indicated that such programs (1) measured performance through the use of rating scales and checklists, (2) were “report card” types of assessments with limited information for improvement, (3) were loaded with rater biases, (4) gave little emphasis to performance objectives, (5) overemphasized the identification of “deadwood,” (6) generated little or no enthusiasm among administrators and teacbers, and (7) contributed little to measures of What can be done to improve evaluation systems? Administratorshave asked for better definitions of effective teaching, trust in the process, proof of the link between evaluation and instructional improvement, specifics on evaluation techniques, and sensitivity to the needs of evaluators.”’ Much of the principal’s work calls for skills needed in personnel appraisal. Thus, principals canhone their appraisal skills by tying generic skills to evaluation. The personnel appraisal process is much the same as the evaluation of any program or operation. First, basic job content must be understood, identified, and disseminated.Administrators and teachers shouldwork cooperatively to develop the core of an evaluation system. For example, achecklist that calls for an A, B, C rating of “enthusiasm and rapport” should include aclear definition of standards for each grade and for the mix of two characteristics. If an administrator completing the checklist gives a rating of A for enthusiasm and a C for rapport, is the overall gradea B? Objectivemeans to measure the status of performance must bedeveloped.”*Baseduponmeasures of current levels of performance, relevant performance objectives should be established and an action plan for achieving each objective developed. In action plans, appraisers and appraisees should reach mutual agreement about several factors, including performance objectives to be achieved, actions to be taken by both appraiser and appraisee, timeline, means of gathering data, and responsibility of appraiser and appraisee. After an action plan is cooperatively developed, appraisees and appraisers have separate but linking roles. Appraisees follow the design of action

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plans to improve the performance objectives. Some teachers may need to learn to writebetter objectives for theirlesson plans, improvequestioning skills, or write better tests. Appraisers’ activities parallel those of appraisees. When pursuing the goal of improvement of instruction, appraisers provide help in writing better objectives, improving questioning skills, writing better tests, and achieving other performance objectives that were mutually set. Appraisers must be able to provide help, that is link their supervisionwithindividualized staff development, in writing better objectives by ( l ) reviewing lesson plans and offeringsuggestions from their analyses of objectives written byan appraisee; (2) locating and recommending books, articles, and other material on writing objectives; (3) requesting aspecialist toprovide one-on-oneassistance; (4) providing release time for teachers to observe peers andwork with mentors;53(5) teamingonthepreparation and delivery of lessons; (6) modeling and giving direct coaching in simulations; and (7) offering staff development programs and in-service training.54 Concurrently, formative evaluation measures will be employed to track the progress of appraisees whoarelearningtowritebetter objectives, framemore challenging questions and use a variety of questioning skills, or prepare better test items.55

Monitoring Performance Monitoring performance focuses uponthe ( 1 ) stated performance objectives; (2) collection o f datathrough observations, examination of relevant materials, (3) assessand other means such as feedback fromstudentsandtheirparents; ment of performance; and (4) determination of the level of performance attained over time. The period of data collection should be separated, theoretically and practically, from summative evaluation, the final report of personnel appraisal. with student The performance appraisal of personnelshouldbecompared evaluation. A teacher(appraiser) diagnoses a student’s (appraisee’s) current level of performance and prescribes treatment and implementsthatprescriptionby havingtheappraisee-studentperformcertain actions. Attheend of reporting periods, the teacher-appraiser, upon the basis of all available evidence, provides a summative evaluation. Perhaps that summative evaluation is a rating of B. To the teacherappraiser, the B is meaningful; however,totheparentswhoare summoned for a parent-teacher conference, the B maybe less informative. To what extentdoes thegradingandmarking of students’workparallelthat of personnel evaluation systems?

Examples of Individualized Models Clinical supervision. One model that lends viduals is clinical supervision that

itself well to working with indi-

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1. is a technology for improving instruction; 2. is a deliberate intervention into the instructional process;

oriented, combining school and personal growth needs; assumes a working relationship between teacher and supervisor; requires mutual trust,asreflected in understanding,support, and commitmentfor growth; is systematic, yet requires a flexible and continuously changing methodology; creates productive tension for bridging the real-ideal gap; assumes a supervisor knows more about instruction and learning than a teacher; and requires training for

3. is goal

4.

5.

6.

7. 8.

9.

The focus in the clinical model is on supervision as it relates to the teacher’s performance whileinstructing in the classroom. Thismodel includes five stages: (1) preobservationconference, (2) observation, (3) analysis and strategy, (4) supervision conference, and ( 5 ) postconference analysis. The preobservation conferencestage is intended to provide a mental and procedural framework for the supervisory sequence to follow; this stage serves the purpose of confirming and nurturing the teacher-supervisor relationship, outlining the purposes of the evaluation and the roles of the teacher and supervisor, establishing both persons’ fluency with the teacher’s instructional plan, and providing for rehearsal and revision. During a classroom observation, the supervisor gathers data about a teacher’s instructional performance. After data are gathered, they are analyzed in a separate, follow-up session to minimize the “halo” effect, the last act that occurred in the observation, or a hastily drawn conclusion. Following an analysis of data, a strategy for change is developed, and the teacher and supervisor meet in a postobservation conference. The postobservation conference is held to (1) provide a time to plan future teaching in collaboration with another professional educator, (2) provide a time to redefine the supervisory contract, (3) provide a source of adult awards, (4) review the supervision to date and deliver a formative evaluation, (5) define treatable issues in teaching, (6) offer didactic assistance to the teacher, (7) train the teacher in techniques for self-supervision and develop incentives for professional self-analysis, and (8) deal with an array of factors that may affect the teacher’s vocational satisfaction and technical competency. Finally, supervisors conduct a postconferenceanalysis, examining their skills as supervisors in general and in the observationsequence in particular. The principle of reflective practice should enable supervisors to measure their level of performance in appraisal skills, set goals for themselves, establish means to monitor their performance, and set up formative and summative procedures of their evaluation. Judgment-based teacher evaluations. Popham has suggested another alternative to clinical supervision-judgment-based teacher evaluations (J-BTE). The

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J - B E isbasedontwo tenets: (1) educators must be trained and certified to pool their judgments ofteachers’ instructional competence; and (2) multiple sources of evidencemust beused in judging teachers’ instructional competen~e.~’ J-BTEevaluation team membersreceive rigorous training in the program and members are are required to pass an examination. At least three trained team called upon to evaluate a teacher’s instructional competence. Five data sources are used: (1) observation of classroom performance, (2) administrative rating of the teacher’s instructional skill, (3) student evaluations of the teacher’s instructional skills, (4) review of teacher-prepared materials, and ( 5 ) evidence of studentWeights are assigned to the evidence based on the credibility and quality of each type of data and the context of the teacher’s instructional setting. The team reviews the evidence and reaches a pooled judgment regarding the teacher’s instructional competence. At the same time, an evaluation of the teacher’s noninstructional performance is provided by a building administrator. The instructional and noninstructional performance reports are then reviewed by a district personnel administrator. The judgment-based teacher evaluation system improves upon clinical supervision through (1) using additional trained evaluators, (2) requiring the examination of more data sources, and (3) examining teacher duties otherthan instruction. Performance by objectives. Advocates of the performance by objectives approach contend that it is a more individualized system that takes into consideration both the growth needs of specific teachers and other principles of adult learning. Redfern proposed that this type of personnel appraisal system will 1. engender cooperative effort among persons being appraised and appraisers;

2. foster good communication among the parties; 3. put priorityonidentifying what needsimproving, planning how to achieve needed improvements, and determining how results will be evaluated; 4. promote professional growth and development of appraisees; 5. stress the importance of appraisers becoming insightful and skilled in appraisal; and 6. make a commitment for greater effectiveness in the teaching and supervision proc-

essesS9 Meeting mutually defined objectives is emphasized in appraisal systems based on performance by objectives. The six steps in this system include analysis of performance,mutual setting of objectives, monitoring of progress, formative review of progress, summative evaluation, and follow-up.6oThe duties and responsibilities of employees should serve as the basis for appraisal, and a fivestep process can be used: identify needs, set objectives and action plans, carry out action plans, assess results, and discuss results.6’ In a performance-by-objectivessystem, teachersplay a more active part in the appraisal process. The principal’s role as a supervisor and monitor is em-

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phasized. After an analysis of school goals, job duties and responsibilities, and the teacher’s prior performance, a principal and teacher confer and establish up to six objectives to improve the teacher’s performance. An agreement is made on how and what data will be collected to show progress toward those objectives. As the evaluation period progresses, the teacher engages in self-evaluation. Informal, interim progress reviews are conducted with the principal. At the end of the period, the collected data are shared and interpreted, and both persons compose a written evaluation of the teacher’s progress toward mastery of the performance objectives. Follow-up activities and conferences are planned, and the cycle is repeated based on these new goals. Features of performance by objectives are drawn from (1) Herzberg’s motivation-hygine theory, (2) Hersey and Blanchard’s life cycle theory of leadership, and (3) Maslow’s hierarchy of needs. From Herzberg’s theory, evaluation systems should be designed around motivators, whichinclude achievement, recognition, participation, and growth, rather than on maintenance factors. Opportunities for professional and personal growth, participation in setting goals for their own improvement, a feeling of accomplishment, and recognition for one’s work and efforts are viewed as essential motivators.6’ The life cycle theory providesa model for teacher-principal relationships. According toHerseyand Blanchard’s theory, teachersvary in the amount of supervision, direction, and support they need. The variation in need depends on an individual teacher’s maturity level and task orientation. Principals who are aware of these variations can adjust the amount and type of supervision according to the needs of a tea~her.6~ Maslow’s theory relates to the amount of supervision teachers require from principals in establishing performance objectives. As appraisees move toward self-actualization, they take more initiative in setting their objectives, monitoring their performance, and preparing self-appraisals.@ Performance by objectives provides for greater teacher determination of objectives and greater participation in the appraisal process itself.

DIFFERENTIATED SYSTEMS OF EVALUATION The proliferation of models for teacher evaluation provides many options for administrators. With more options, however, administrators must determine what fits their needs most appropriately and develop a system that differentiates according totheneeds of the district, school, and appraisee. The strength of a differentiated system lies in its ability to provide for different growth needs and learning styles of appraisees and treat them as self-actualizing adults.

Matching Supervisory Behavior to Teacher Style Based on considerations from humanistic, cognitive, and behavorist views of learning, a principal’s supervisory behaviors can be matched toa teacher’s learn-

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ing styles.65 In each orientation to supervision, a supervisor employs clinical supervision. Variation comes in the behaviors of supervisors. For instance, if an appraisee takes little responsibility for improvementof performance, anappraiser must assume a high degree of responsibility for supervisionby clarifying expectations, demonstrating appropriateskills, and directing actions to be taken by the appraisee. In a collaborative orientation, supervisors listen, problem solve, and negotiate for a contract that would delineate the structure, process, and criteria for instructional improvement. The nondirective orientation assumes that appraisees have the ability to analyze and solve their instructional problems. A supervisor serves as a facilitator, and a plan for improvement is left to an appraisee. To match supervisory orientation with individual teachers, supervisors should examine the appraisees’ levels of commitment and levels of abstract conceptualization regarding their role and responsibilities. Appraisees who give little or no evidence of accepting responsibility for their own actions signal a need for direct supervision, whereas those who exhibit a high degree of professionalism would benefit from nondirective supervision.

Integrating Staff Development with Teacher Evaluation The validityofan appraisal depends uponwhattakesplacebefore a summative evaluation. Activities that occur prior to summative evaluation include monitoring of performance by observations and other data collection methods, in-service training, peer coaching, assistance in many forms by supervisors, and other forms of staff development. Many assumptions and findings underlie what educators believe about teaching and affect how they perform their roles and interact with subordinates and superordinates. The following are commonassumptions and findings of educators’ beliefs about teaching: 1. Teaching is a profession that can be learned; many principles of effective teaching exist. These principles canbe described, taught, observed, recorded, and judged. The responsibilities of others, for example, bus drivers and cooks, can also be learned. 2. Teachers increase student learning through instructional behaviors of diagnosis, prescription, presentation, monitoring, and feedback.Other variables include time on task, clarity of instruction, task orientation, and explanation and enthusiasm during instruction. 3. Teaching is an art, a craft, and a science, although the art of teaching is seldom enhanced through direct instruction. Teaching styles should also be considered as an element of the art, craft, and science of teaching. 4. All employeesshouldcontinue to growin effectiveness. Organizations should help employeesgrow in effectiveness and create working conditions that lead to high morale. 5 . Supervisors have the responsibility to help all employees grow in effectiveness through group and individualized plans for staff development. In work-

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ingwith teachers, supervisors mustbe able to assess classroom environment accurately and make recommendations that improve instruction. 6. A critical component of any staff development plan is a clear set of goals regarding desired changes in teachers or other groups. 7 . First-year teachers are still learning the craft of teaching and need a skilled supervisor during their first years. 8. Experienced teachers who have just begun to teach at a particular school are unknown quantities and shouldengage in clinical supervision until their competence is assured. 9. Experienced teachers who encounter serious problems need intensive help from clinical supervision. 10. Competent, experienced teachers who believe they can profit from intensive supervisioncan learn from effective supervision. But for them, clinical supervision should be an option they choose. 11. Some mature, competent teachers may prefer an evaluation system that allows for autonomy and independence. They may work best independently on a program of professional growth. 12. Cooperative professional development-sometimes called peer or collegial supervision-is a means for competent and experienced teachers to work together for their own professional growth. A moderately formalized process, its major features include observing each other’s classes at least twice, giving each other nonevaluative feedbackabout an observation, and discussing professional concerns. 13. Staff development implies changes in knowledge, behaviors, understandings, skills, or attitudes of groups of people that will alter on-the-job performance in a constructive way. 14. The potential for motivation is greatly enhanced when appraisees are in work settings that correspond to their underlying motives. Matching evaluation to the motives of appraisees enhances performance. 15. Staff development programs should provideopportunities to practice new skills. 16. Constructive feedback shouldbe provided relative to growth, change,and progress. Peer coaching is a promising vehicle for guided practice and followup activities. 17. Changes and growth will be evident during an appraisal process through observation of behaviors. 18. Data from formative and summative evaluations should be used to improve performance. 19. Thesystem for evaluating newandprobationary appraisees shouldbe distinct from the system for monitoring the performance of competent, experienced ones. 20. Multiple incentives and career opportunities should be an outgrowth of evaluations. 21. Principals canimprove their school’s effectiveness by developinga

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school culture that fosters teacher commitment, high standards for achievement, a safe and orderly environment, and optimism regarding teaching and learning. 22. Supervisors must use many methods and instruments in monitoring performance, such as coding verbal and nonverbal interactions and recording students’ behaviors of time on task. Readers may wish to weigh each statement with their own educational values and modify, add, or subtract statements to determine what drives their supervisory behaviors. Personnel appraisal consists of diverse approaches ranging from inspectorial evaluation to developmental and differentiated appraisal. Principals must be knowledgeable and flexible aboutpersonnel appraisal. Limiting evaluation to single strategies such as classroom observations, rating scales, paper-and-pencil tests, target setting, clinical supervision, or portfolio development does not accountfor the complexities in providing acomprehensive but individualized system of evaluation. In the final analysis, appraisees should be able to report that the process and product of personnel appraisal promotes professional growth learning. and job satisfaction that in turn lead to improved teaching and

SUMMARY Evaluation of students, programs, and personnel is an essential function of administrators. Principals must make a personal commitment to devote resources and time to the planning, implementation, and evaluation of appraisal systems. Three terms are commonly used interchangeably: assessment, evaluation, and appraisal. The terms may be defined to denote separate concepts and to clarify relationships among the stages of appraisal: (1) assessment, the act of counting, measuring, and gathering information; (2) evaluation, the act of placing a judgment upon the information collected; and (3) appraisal, the act of combining assessment and evaluation to reach overall conclusions. Attempting to combine all three at one time, for example, in a classroom observation, is a risky practice and may lead to unwarranted conclusions. Evaluation programs thrive best in districts in which the necessary resources have been set aside, a high priority placed on evaluation, and a well-designed program adopted. Appraisersmust be competent in conducting assessments, determining the value of data collected, and reaching objective appraisals. Effective appraisers must be skilled in interpersonal relations, technical competence, and managerial ability. Collaborative efforts of appraisers and appraisees are needed to develop, adopt, implement, and cultivate a respect for an appraisal program for students, programs, or personnel. Appraisals systemsmust be linked to the mission, goals, and objectives of a district and school and to the context of learning, teaching, and working so thatgeneral principles of appraisal are operative in any evaluation program.

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NOTES 1. D.A. Archbald, AuthenticAssessment: What It MeansandHowItCanHelp Schools (Madison: University of Wisconsin-Madison, National Center for Effective Schools Research and Development, 1991). 2. Council for Basic Education, “Standards: A Vision for Learning,” Perspective 4 (Winter 1991): 1-5. 3. J. A. Aseltine, “Performance Assessment: Looking at the ‘Real’ Achievement of Middle Level Students,” Schools in theMiddle 3 (September 1993): 27-30. 4. J. K. Zaharis, J. S . DeGracie, and J. M. O’Reilly, “A Proposal for a Comprehensive National Assessment Plan,” InternationalJournal of EducationalReform 2 (July 1993): 292-295. 5. Center for the Assessment of Educational Progress, “Twenty Nations Collaborate on an International Assessment of Student Achievement in Mathematics and Science,” ETS Developments 36 (3) (1991): 4-6. 6. “Measuring School Performance,” The Urban Institute: Policy and Research Report 20 (WintedSpring 1990): 19. 7. S. G. Paris, T.A. Lawton, J. C. Turner, and J. L. Roth, “A Developmental Perspective on Standardized Achievement Testing,” Educational Researcher 20 (June-July 1991): 12-19. 8. R. A. Gorton and K.E. McIntyre, The Senior High School Principalship. Vol. 2, TheEfSectivePrincipal (Reston, Virginia: National Association of Secondary School Principals, 1978), pp.10-12. 9. R. Edmonds, “Some Schools Work and More Can,” Social Policy 7 (MarcMApril and StudentAchievement: 1979): 32; W. B. Brookover et al., SchoolSocialSystems SchoolsCanMakea Dzrerence (New York: Praeger Publishers, 1979), pp. 34-41; M. Rutter et al., FifteenThousandHours (Cambridge, Massachusetts: Harvard University Press, 1979); K.A., Sirotnik and J. Oakes, “A Contextual Appraisal System for Schools: Medicine or Madness?” Educational Leadership 39 (December 1981): 165-166. 10. D. G. Bonnet, “Five Phases of Purposeful Inquiry,” Applied Strategies for Curriculum Evaluation, ed. by R. S. Brandt (Alexandria, Virginia: Association for Supervision and Curriculum Development, 1981), p. 11. 11. B. W. Tuckman, EvaluatingInstructionalPrograms (Boston: Allyn and Bacon, 1979), p. 3. 12. C. D.Raisch, “Auditing School Performance to Create a New Workforce,” School Match 109 (Summer 1992): 1-4. 13. Millard Public Schools, ExitOutcomes (Millard, Nebraska: Author, 1993), p. 3. 14. L. Nyland, “One District’s Journey to Success with Outcome-based Education,” TheSchoolAdministrator 48 (November 1991): 29, 31-32, 34-35; R. H. Bender, “If You Can Count It, You Can Improve It,” TheSchoolAdministrator 48 (November 1991): 24-26. 15. W. M. Nardi (Ed.), “A Decade of Educational Reform Results in Only Minor Progress in Our Nation’s Schools,” ETS Developments 36 (Summer 1990): 4-7. 16. L. Mullis, E. Owen, and G. Phillips, Accelerating Academic Achievement: A Goal for the 90’s (Princeton, New Jersey: Educational Testing Service, 1990). 17. C. C. Carson, R. M. Huelskamp, and T. D. Woddall, “Perspectives on Education in America,” The Journal of Educational Research 86 (MaylJune 1993): 259-310.

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18. N. Bell, “Good News about American Schools,” Enhance (Fall 1993):19,31. 19. M. C. Rist,“Leadingfor Results,” TheExecutiveEducator 14 (March 1992): A2-A3. 20. G. A. Goens and S.I.R.Clover, “The Dark Side of School Reform,” The School Administrator 50 (September 1993): 34-35. 21. L. G. Bolman and T. E. Deal, “Images of Leadership,” TheAmericanSchool BoardJournal 179 (April 1992: 3639; L. Dlugosh, “School District Planning Implementation: The Strategic Difference,” The Nebraska School Leader 10 (Fall 1992): 1014. 22. R. R. Huelskamp, “Perceptions on Education in America,” PhiDeltaKappan 75 (May 1993):718-721. 23. R. N. Claus and G. H. Girrbach, “How Evaluators Can Help Foster More Effective Schools” (paper presented at the Joint Meeting of the Canadian Evaluation Society,

Evaluation Network, and the Evaluation Research Society, Toronto, Ontario, October

1985). 24. D. U. Levine and A. A. Ornstein, “Reforms That Can Work,” TheAmerican School Board Journal 180 (June 1993): 31-34. 25. G. W. Bracey, “From Normal to Nerd-and Back Again,” PhiDeltaKappan 74 (May 1992):731-732. 26. A. A. Arth, S. K. Bergmann, J. A. Brough, D. C. Clark, J. H. Johnston, C. F. Toepfer, and L. M. Kanthak, Achieving Excellence through the Middle Level Curriculum(Res-

ton, Virginia: National Association of Secondary School Principals, Council on Middle Level Education, 1992). 27. B. B.Spomer, “Guidelines for Program Evaluation: The Role of the Building Administrator” (unpublished paper, Department of Educational Administration, University of Nebraska-Lincoln, 1982), p. 13. 28. E. Greenfield, “Evolution of the Textbook: From Print to Multimedia,” TechnologicalHorizonsinEducation (THE) Journal 20 (May 1993): 12, 14, 16, 19. 29. A. E. Combs, Evaluation as Feedback and Guide (Washington, D.C.: Association for Supervision and Curriculum Development, 1967), p. 7. 30. P. F. Drucker, “Performance, Accountability, and Results,” TheExecutive Educator 14 (March 1992): A4-All. 31. R. 0. Brinkerhoff, D. M. Brethower, T. Hluchyj, and J. R. Nowakowski, Program Evaluation: A Practitioner’s Guide for Trainers and Educators (Boston: Kluwer-Nijhoff Publishing, 1983), pp. 4-5. 32. J. M. Farley, “Student Interviews as an Evaluation Tool,” Educational Leadership 39 (December 1981):184-186. 33. T. Haladyna, “Two Approaches to Criterion-referenced Assessment,” Educational Leadership 39 (March 1982): 467470. 34. C. T. Fitz-Gibbon and L. L. Moms, Howto Design a Program Evaluation (Beverly Hills, California: Sage Publications, 1978), pp. 43-45. 35. M. E. Fitch and P. J. Malcom, Successful School Planning and Restructuring (Fort Worth, Texas: Instructional Systems Development, 1992). 36. Spomer, “Guidelines for Program Evaluation,” p. 24. (Bev37. L. L. Moms and C. T. Fitz-Gibbon, HowtoPresentanEvaluationReport erly Hills, California: Sage Publications, 1978):15-26. 38. K. Wilson, “An Effective School Principal,” EducationalLeadership 39 (February 1982):360.

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39. G. Asayesh, “Assessing the School Accreditors,” The School Administrator 50 (September 1993): 8-15;P. J. Leathem, “A Survival Guide to Accreditation,” The School Administrator 50 (September 1983): 18-22;H. S. Moyer, “One District’s Path to Full Accreditation,” The School Administrator 50 (September 1993): 24-27. 40. J. W. Valentine, Principles and Practicesfor Effective Teacher Evaluation (Needham Heights, Massachusetts: Allyn and Bacon, 1992), pp. 1-3. 41. G.Cawelti, “Effective Instructional Leadership Produces Greater Learning,” Thrust for Educational Leadership 9 (January 1980): 8-9. 42. R. J. Stiggins and D. L. Duke, The Case for Commitment to Teacher Growth: Research on Teacher Evaluation (Albany: State University of New York Press, 1988), pp. 1-7. 43. B. Allen, L.Lyons, and J. Reynolds, Effective Teacher Evaluation (Amherst, Maine: Mandela, 1976), p. 2. 44. L. B. Amspaugh, “Does Anybody Care?” Phi Delta Kappan74 (May 1993): 714717. 45. C. A. Melvin 111, “Translating Deming’s 14 Points for Education,” The School Administrator 48 (November 1991): 19-20, 23. 46. T. J. Sergiovanni, ThePrincipalship: A ReflectivePracticePerspective, 2d ed. (Boston: Allyn and Bacon, 1991), p. 284. 47. S. R. Staples and G. I. Earthman, “Ready, Document, Fire,” The Executive Educator 14 (February 1992): 40-41. 48. A. A. Glatthom, Diferentiated Supervision (Arlington, Virginia: Association for Supervision and Curriculum Development, 1984), pp. 35-40. 49. W. E. Danley, Sr., and B. G. Burch, “Teacher Perceptions of the Effective Instructional Leader,” The Clearing House 52 (October 1978): 78-79. 50. G. B. Redfem, Evaluating Teachers and Administrators: Putting the Pieces Together (Westerville, Ohio: School Management Institute, 1978), p. 1. 51. R. J. Stiffins and D. L. Duke, The Case for Commitment to Teacher Growth: Research on Teacher Evaluation (Albany: State University of New York Press, 1988), pp. 4-5. 52. D. Peterson, “Developing Teacher Evaluation Systems with Potential for Increasing Student Performance,” Educational Research Quarterly 10 (2) (1985-86): 3 9 4 6 . 53. C. R. Ashbaugh and K.L. Kasten, “Should Teachers Be Involved in Teacher Appraisal?” NASSP Bulletin 71 (September 1987): 50-53. 54. B. Joyce and B. Showers, “The Coaching of Teaching,” Educational Leadership 40 (October 1982): 4-8. 55. J. R. Weber, Teacher Evaluation as a Strategyfor Improving Instruction: Synthesis of Literature (Eugene, Oregon: ERIC Clearinghouse on Educational Management, 1987). 56. R. Goldhammer, R.H. Anderson, and R. J. Krajewski, Clinical Supervision: Special Methods f o r the Supervision of Teachers (New York: Holt, Rinehart, and Winston 1980), pp. 26-27. 57. W. J. Popham, “Judgment-based Teacher Evaluation,” Teacher Evaluation: Six Prescriptions for Success, ed. by S. J. Stanley and W. J. Popham (Alexandria, Virginia: Association for Supervision and Curriculum Development, 1988), p. 67. 58. Ibid., p. 70. 59. G. B. Redfem, Evaluating Teachers and Administrators: A Peformance Objectives Approach (Boulder, Colorado: Westview, 1980).

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60. Allen, Lyons, and Reynolds, Effective Teacher Evaluation. 61. Redfem, Evaluating Teachers and Administrators (Boulder, Colorado: Westview Press, 1980). 62. F.Herzberg, B. Mausner, and B. Snyderman, The Motivation to Work (New York: Wiley, 1959). 63. P. Hersey and K.H. Blanchard, Management of Organizational Behavior (Englewood Cliffs, New Jersey: Prentice-Hall, 1972). 64. A. H.Maslow, Motivation and Personality (New York: Harper and Row, 1954). 65. C. D. Glickman, DevelopmentalSupervision:AlternativePractices for Helping Teachers ImproveInstruction (Alexandria, Virginia: Association for Supervision and Curriculum Development, 1981), p. 5;Glatthom, Differentiated Supervision.

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13 The Future of the Principalship

INTRODUCTION The outlook for building principals in the future of U.S.education will be dependent upon many influences. In this chapter, several topics are reviewed that have a relationship towhatmayhappentobuilding principals of the future. Some observers have suggested public schools in the later portion of the twentieth century will become extinct.' For several decades, futurists have claimed schools are no longer keepingabreast of societal expectations or needs? Various considerations are summarized in this chapter to provide some insights into the future of the building principalship. MEETING THE CHALLENGE OF THE PRESENT WHILE MOVING TO THE FUTURE With changing values, the alteration of basic institutions such as the home, increasing communicationscapabilities, the contradictions of affluence with poverty, the recognition of the global economy, exploding technology, and numerous changes educators face in order to stay abreast with the present constitute an overwhelming task. The prospects for the future reside within the challenges of the present. Leaders inmanywalksoflifehavebeen struggling withthe reality that major problems exist in our society for which solutions mustbe found. Problems havenotbeentotally or clearly defined; therefore, solutions are even more elusive. Consequently, legislators and others seeking solutions have directed their efforts at treating the symptoms and avoiding the causes. Educational leaders, including building principals, are confronted with the immediate task of coping with the present; at the sametimethey are charged

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with educating future leaders who will be confronted with a yet unknown set of problems. In synthesizing some of the literature pertaining to planning in local schools, Keefe reiterated and underscored the needed process in planning prescribed by the NASSP.3 Principals who develop schools of excellence in the future will have to be informed planners. The immensity of the task of developing the needed leadership and expertise to enable principals to direct educational institutions into the future inan appropriate manner was addressed by a task force working with the staff of the National Association of Secondary School Principals. The members of the task force perceived five crucial principles for the development of school leaders. “Principals,” they wrote, “must be the central actors in their own professional development; responsible participation in professional growth leads to professional self-determination.” Self-determination was not, however, seen as a luxury afforded to principals working behind closed doors in isolation. The second principle set forth by task force members contained the statement, “Stakeholders, including practitioners, must work collaboratively to identify the elements of quality and the standards and means for achieving quality in the development of school leaders.” The third principle submitted by thetask force members was, “Stakeholders, including principals, must engage in continuous and joint inquiry to ensure that professional development meets the actual demands of the workplace and influences the actual performance of school leaders and their schools.” Fourth, thetask force acknowledged the importance of support throughout the career of each principal. Finally, the task force members wrote, “A more effective professional development system for the 1990s and beyond requires economy of effort and much greater collaborative implementation by stakeholders to ensure that the principal, the profession, and the entire educational enterprise are best served.’14

Meeting the Needs of All Students If schools exist to serve the nation’s children and youth, and if the environment of those children and youth continues to be a culture of disruption and conflicting values, school principals in public, parochial, and private schools will be influenced by the disorder that is manifest in society. Based on trends that have been clearly evidenced, principals will continue to be faced with growing numbers of pupils who carry the marks of a disruptive society. Thus,greater diversity can be expected to be a continuing pattern in schools. Principals will be called upon to develop staff and plan programs to meet the needs of children and youth; the manner in which school personnel face diversity will dictate what happens inmany school settings. The dimensions of diversity that principals will face will emerge in growing proportions as students of different nationalities, cultures, religions,physical and mental capabilities, emotional maturity, and self-images enter the schoolhouse at all grade levels. In light of the linkages between the school and society, principals can be

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expected to have greater responsibility thrust upon them as they search for ways of bringing the home and the school into a closer and different working relationship. The various and diverse social agencies that serve the needs of people will, like the home, constitute an expanding arenaof responsibility for principals as they strive to find more effective ways to work with families. The history of education in the United States has contained some interesting conditions that carry poignant implications for school principals. Our kids spend 900 hours a year in school [the ones who go to school] and from 1,200 to 1,800 hours a year in front of the television set. From which are they likely to learn more? Critics. ..want to find out what ourseventeen-year-oldsknow, but it’sreally pretty simple; they knowexactly what our forty-seven-year-olds know and teach them by example-on television, in the boardroom, around Washington, on Madison Avenue,

in Holly~ood.~

Barber reached a pessimistic conclusion: “We are not serious. We have given up on public schools because we have given up on our kids, and we have given up on the kids because wehavegivenup on the future.”6 Principals cannot accept such conclusions. The Principal and Technology

Principals will be more involved with technology in the future. Principals will be using new and expanded technologiesfor school management and instruction andwillbe dealing with a clientele that comes from a technological society with different needs and expectations. Principals will be faced with the necessity of leading staff and community members to a different level of program development to achieve new goals. As is the case in all education and human development, the use of technology in school programs will of necessity involve the human touch. Modifications in learning theory or adaptations of learning theory, with technologicalimplications in mind, will be demanded if school personnel are to meet the needs of students and the public. As teachers work in an information-rich environmentand pupils come to school from that information-rich environment, a call will be made to move away from tradition. For example, television has been in the majority of American homes since the mid-1950s. There have been many debates and observations about the impact of television upon children and youth; however, the most definitive researchonthe subject hasrevealedthatchildrenandyouth watch television for greater portions of their lives than they spend in their classfully examinedor unrooms. The impact of television viewing has not been derstood. As future technologies continue to intrude upon society, what impact will they have on children and youth? Principals will have to work with persons who are affected by old and new forms of technology that have not been fathomed in terms of their implications.

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Because of the complexity of multimedia and sophisticated forms of educational and communications technology, such technology cannot be integrated into the educational process, or even the management of schools, by the simple purchase and installation of equipment. Principals will be called upon to provide a much more enlightened approach to the integration of multiple forms of technology into their schools than in the past. Long-range and strategic planning will be called for to provide a clear focus and direction. Principals will need to develop various approaches for self-developmentand staff development in order to keep abreast of “societal, political, and technological trends.” In light of the impact of the changing environment, principals should lead in the process of reassessing “all aspects of the curriculum based on the educational needs of the future.” Each principal should also provide leadership in evaluating hardware and software and confirm that appropriate items are acquired and implemented. Above all,principals willbe called upon to place a higher priority on staff development in the use of technology in schools? Finally, principalsmust evaluate the process and the results achieved by the use of various forms of technology. Technology will not render the schoolhouse ofthe past and present totally obsolete. Proponentsof hyper learning and the placement of keyboards in homes may suggest that schools, or at least school buildings, are no longer needed. Such proponents, however, overlook the fact that people, including children and youth, are gregarious and that education is influenced in a major wayby the need for socialization. Although interactive multimedia enables learners to respond to and receive feedback from instructional materials, technological learning materials or systems have not yet been developed to help a child interact positively with others. Human interaction is desirable and essential.

The Question of Child Custodial Care and Parenting The custodial aspectof education is often perceived to be beneath the dignity of professionally trained educators. Actually, custodial child care programs can afford persons in local schools more opportunities for teaching and nurturing children and youth, as well as constructively working with parents. As long as U.S.society is dominated by specialization and work outside of the home, work that involves, among others, mothers of school-age children,school officials will not likely be able to turn their backs on the custodial care issue. In fact, with expanded programs, includingbreakfasts and after-school custodialand activity programs for children, undoubtedly custodial care programs and home-school parenting efforts will actually be extended in the future.

The School as a Community Center Principals will also continue to serve a community service function in most schools. School-community programs that involve adults aswell as school pupils

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have been in existence for many years. These programs attest to the fact that the school exists, in part, to serve the needs and interests of adults in a community just as that school educates and nurtures the children and youth in the community. If schools are to fill the gaps that have been growing in the home, school principals will become more involved in community projects that have little or nothing to do with teaching subject content to children and youth. Many patrons have displayed the value they place on their schools when a proposal has been made to close a building. When such proposals are placed on a board of education’s agenda, the community clientele typically protest to closingtheir beloved school. Theschool was cherished not only because it housed pupils; it served as focal a point for community interests or for providing a source of identity. Schools have been a major point of community identity, and the future principals of America will continue to be called upon to provide leadership in schools that serve the community.

Dealing with the Political Context of Education As cultures become more complex, an accompanying complexity emerges with respect to politics. The politics of special interest groups intheUnited States have expanded in the last half of the twentieth century and will undoubtedly continue in the foreseeable future. Gone is the day when education was considered to occupy a place in a society void of politics. Education has been politicized in many respects; as forces that compete for political support, and ultimately for financial resources, vie for position and advantages, education will continue to be a political as well as an educational endeavor. Those principals who wishto remain apart from or aloof to politics willnot enjoy this luxury. Consequently, productive school principals of the future will know how to work effectively in the political arena. Houston has proposed borrowing selected suggestions from “spinmeisters” who have worked successfully in politics and business, in order to achieve the mission of education.* To work effectively in the political arena of a community, not only should principals be familiar with the power brokers of a community, but they should also be able to communicate with and involve those patrons of the community that may be seen by some as coming from “the wrong side of the tracks.” Principals need to know how to work effectively with all segments of the community.

Responding to Critics A s public servants in a pluralistic society, principals will continue to be caught between competing and conflicting factions. By the very nature of their role, building principals will continue to be placed in the position of responding to critics. If one faction wants to ban a given book from the school and another faction is insistent on keeping the same book as a matter of principle andan inalienable right of freedom of speech, the principal is forced to respond to the

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controversial factions. As conflicting sets of expectations, which often grow out of conflicting sets of values, emerge, principals will be forced to respond to critics from one side or the other. Critics of schools come from numerous places, from the national media to the local media. Although many have contended that the news media do not influence citizens’ views, it can also be argued that such is not the case. Respondents to the annual Gallup Poll have suggested that schools in the United States are not as good as desired; however, those same respondents consistently refer to their own community schools as being better than the national average. The public’s view of the national educational enterprise comes in large part from the criticisms of the news media, whereas their view of their own community school is more often shaped by first-hand observations. Not only are there criticisms by the public media, but individual parents or patrons may also engage in some forms of censure. School principals serve a diverse clientele and will continue to be called upon to respond to critics and to resolve conflicts. Conflict resolution at both an individual level and where the school as an agency isviewed in conflict with society will exact a price from future principals. Responding to critics and resolving conflict is not a new or added dimension to the principalship, but it is one that will continue to grow in complexity as society becomes more diverse and complicated. The Quest for Excellence The quest for excellence is an unending process for building principals. Not only is there a call for excellence, but the expectations are that excellence can and will be achieved with limited or no additional resources. Those who would liken schools to industry sometimes conclude that since industry has cut back on management and achieved higher levels of perfection in product quality control with fewer dollars, schools should be able to accomplish the same thing. Education, however, is not an industrial production process. One reason for the difference is that there can be strict quality controls on inputs in industry, which in turn means a better quality control on outputs. In education, the inputs often come into the school bearing the marks of broken homes and a violent neighborhood, and principals do not have the luxury of sorting out the defective inputs and moving them into the discard pile or returning them for a refund. Industry deals with a physical product that is susceptible to tight measures and controls that are not possible with a human product. In American society, individuality is stressed, whereas in the manufacturing of acar or television set uniform products are more predictable. The industrial analogy has only limited application to the educational enterprise. Principals will continue, however, to be involved with a quest for excellence. The factthat much more complex processes will be needed toachieve excellence in education than in industry does not remove the responsibility faced by principals. The principals at the approach of the twenty-first century will be called

Future The

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upon for more sophisticated leadership to attain excellence. Principals who accept the challenge of achieving excellence in their schools will be those who can work with diverse groups and employ the knowledge, the human relation skills, and theanalyticalandplanning skills needed to devise newandbetter ways of educating children and youth without increased resources.

BEING A PART OF THE EDUCATIONAL VISION The Need for Visionary Leadership Vision is a rare quality possessed only by some leaders. Actually, some administrators lack vision and manage or direct the organization in their designated role in a pattern of maintenance-keeping the status quo. In a rapidly changing environment, to remain static is equivalent to moving backward. If schools are to progress, principals will have to demonstrate visionary leadership. To assume a position of visionary leadership can seem presumptuous and at the same time somewhat frightening. If thefuture is unknown, or at bestunclear,how do people in leadership roles move forward into the unknown? Principals who are able to harness the collective intelligence of their staff, as well as that of the opinion leaders in the district and the community, will be in a better position to address the future than those who would work in isolation. Principals who are competent, visionary planners will be able to better posture their school in a way that will more effectively meet the future. Principals who are expert at managing change will be able to implement needed innovations in schools much more effectively than principals who are uninformed or lacking in knowledge regarding managing change? Principals who canadjust tothe unexpected and provide leadership in responding to the changing tides and currents in their environment will serve their clientele better than those who simply resist or try to ignore change.

Communicating the Vision The United States has so many resources for providing the “good life”: Wealth. No nation in the world has demonstrated the continued level of consumption that has been witnessed in the United States. Wealth is displayed in the amount spent on national defense, the accumulated savings of retired persons, the development of our public parks, and government spending, for example. Vast natural resources. The vastness of America and the wealth of its natural resources have enabled individuals and institutions to draw upon and harness vast quantities of resources. Technology. U.S. citizens enjoy the fruits of technology more than any population in the world.

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A high standard of living. Individual consumption of goods has reached levels exceeding those of other nations. Expert scholars are found in all academic disciplines in America, as is evidenced by the number of Nobel prizes awarded and numerous achievements. The contribution to society derived from scientists and scholars is a rich legacy. Communications are abundant in many forms, in the United States, and as technology expands, so does the communications infrastructure and capabilities enjoyed by the populace. Medical resources are in abundance in the United States and of a quality envied in most parts of the world. Although debate may rage about how to deliver medical care to all citizens, clearly the most advanced medical know-how is available. Basic freedoms. The citizens of the United States have watched with horror and concern the abuse of basic human rights experienced by people in various nations around the world while we enjoy the freedom granted us by the Constitution of the United States. Strong institutions, including education. The economic base of the United States continues to attract foreign investors and to provide a high standard of living and investment options for Americans. Social, political, economic, religious, and educational institutions, though tarnished from time to time, have persisted and continue to serve people well. A strong infrastructure remains intact. Although portions of the American infrastructure are worn and defective, the system remains strong. People of quality who have access to education are our greatest resource. A sophisticated legal structure remains consistently intact and improves with each decade and has related to and improved with the expectations of the citizens. Unlimited recreational options exist. A middle-class values base and religious heritage constitute the foundation for many institutions in our nation and have contributed to the education of children and youth in many direct and indirect ways. Stable government. The United States of America has enjoyed more stability of government than perhaps any nation. Political, economic, and international conflicts ebb and flow, but America has persisted and remained stable. Vast data resources and knowledge base. There is no society in the history of the world with access to the amount of information and research data available in the United States. Not only are the data available, but they are becoming more and more accessible. Opportunities for individual involvement in the democratic process exist for all persons willing to accept the challenge. No person is denied the opportunity to be involved in the political process. Housing is more available and of a higher quality in the United States than in any other nation in the world.

The above list is not in any order of importance, nor is it intended to be allfor inclusive. The United States has great potential and the needed ingredients providing people with the good life.

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Results, however,in some respects seem to contradict or denythepotential o f our resources, for the following conditions exist in the United States: Violence.Therearefewareas of Americansocietywhereviolencedoesnotexist at unacceptablelevels.Excessiveviolenceisfound in homes,inthestreets,and in the workplace; it exists inbothruralandurbansettings.Theviolencefound in society is alsofound in schools. Studentsuicide.Teenagesuicidesgrewatanastronomicalrate of approximately 350 percent from 1960 through the next twenty years.l0 Overflowing prisons are a manifestation of violence in society. The United States has a higher percentage of incarcerated persons than any other industrial nation. High poverty and homeless rates continue to bring devastation to an increasing number of individuals and families. Ignorance and indifference is reflected in the illiteracy rates that exist among adults. Prejudice andbigotryremain in spite of continuedeffortstoeradicatethem.Perhaps one of the most insidious forms of prejudice is found in the subtle and often devious ways in which equity is denied minorities while purporting to follow affirmative action guidelines. Brokenhomeshavereachedproportionsthatsuggestthetraditionalhomemaybe rendered obsolete. Corruptionand excesses amongindividuals,nationalbusinesses,government, and religion is evidenced in themediaon a regular basis. Thegrowingrate of HIVcontinues,andthoseconcernedcallformoreresearchto uncover a solution. Pollution of natural resources is but one more of the abuses found in society. Druguseandtraffickingcontinuesat a phenomenalrate.Seemingly,atidalwave of druguseacceptancesmothersthewaragainstdrugs.Although“schooldrugabuse ... educationandpreventioneffortsarenotapanaceathatwillcurethisepidemic, Schools mustplay a significant role.”” The rise of out-of-wedlock teenage pregnancies continues at an unprecedented rate. The questionhasbeenasked, “If we as anationhavesuchvastand rich resourcesand capabilities, why do suchproblems persist inour society?” We have the ingredients for building the “good life,” and yet we have fallen short in several respects. The question that follows is, “What role should the school principal play in capitalizing on our strengths and overcoming our deficits?” Principalsarecalled upon to take the highroad o f schoolreformand be informed about research that can help point the way to quality schools. Principals are expectedto contribute to educational excellence by applying the existing knowledge base. Thesynthesis of thousands of studiesdemonstratesthatsomeinstructionalprocedures andtechniquesare far more effective than others. We have shown. ..how school time

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can be increased and optimized. Wehaveindicated parental involvement can increase learning.’*

how the quality of instruction and

Researchconcerning the knowledge baseregardinghow principals foster change to provide greater insights for building leaders to achieve the high road has also been ~ynthesized.’~ At the same time, building principals are reminded of the many tasks and expectations demanded of them by an expectant public. Examples of such demands include (1) teaching nutrition, (2) offering cardiopulmonary resuscitation, (3) giving special instruction to students with special needs, (4) administering tests for the emotionally disturbed, (5) testing eyesight, (6) keeping health records, (7) placing a high priority on lost gym shoes, (8) teaching pupils first aid, (9) providingpregnancy counseling, (10) giving instruction about condoms and AIDS, (1 1) influencing students’ morals, ethics, and values, (12) developing teams to deal with trauma and suicide counseling, (13) teaching driver education, (14) preventing theuseof drugs, (15) developing civic responsibility, (16) providing sex education, (17) assuring civil rights, (18) fostering integration, (19) assisting in career planning, (20) eradicating head lice, (21) providing for vocational training, (22) counseling delinquents, (23) providing due process, (24) promoting physical fitness, (25) teaching about the metric system, and (26) protecting students’ p r i ~ a c y .All ’ ~ of the above and much more must be attended to by principals who are at the same time expected to seek the high road of reform. Principals who would strive for excellence will be called upon to help citizens see what is needed, to understand where we are and where we could be, and to demonstrate skillful planning that enables schools to affect society in a positive way. Principals who would dare to clarify the vision for education will also be asked to display confidence in other people as they strive to build the mission for schools that willreach each individual pupilandwill foster maximum growth. For several decades, there have been calls for modifying the structure of local schools and their governance. These calls have pointed to decentralization or site-based management and a much higher orderof involvement from client groups who have been identified as stake holder^.'^ There have also been calls for “increased cultural orientation for success, collaboration, and two-way communication.”16At the same time there hasbeen a growing awareness of the need for a systematic approachthat involves all key segments of the total system related to education. As principals work in an institution that is being altered in various ways, they will find they are competing for resources and power as different groups strive to assume control and exert influence. Federal legislators and state-elected officials will continue to work to influence the direction of education through the power of legislation. Local special interest groups will exert pressure on school boards, school administrators, and community groups in order to gain an advantage in the control of education. In the mix of schools and society, principals

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will find they are often in the eye of the storm for control of education. Being at the center of the educational debate has the advantage of placing principals where the action is-in a placewheretheycan exert leadership and provide direction. Thus principals are challenged tobecome “leaders of leaders, .., [who] have a great sense of purpose, ...[as they] establish clear definitions of priorities ...[and assume the responsibility] to be leaders for change.”I7 The future of the principalship is filled with challenges. Building principals are in a pivotal, strategic position to bring about school improvements and reshape education to meet the needs of clients who will live in a future that is unknown. Only a century in the past, educators had the responsibility to school pupils to live andwork in the same society or culture oftheirparents,their grandparents,and untold preceding generations. Societywas stable inmany major dimensions, and transmitting the culture was a repetitive process. As suggested by the reflections o f more than one observer, if a ghost from the colonial periodwere to donmodern attire and return tovisit ourhomes,farms, and various social agencies, including the schools, the ghost would be most at home and demonstrate the greatest familiarity in the classroom. The suggestion has been made that the ghost from the past could fill in as a substitute teacher with relative ease. Coping with the present is a major challenge, but preparing for the future is an awesome responsibility for principals to assume; however, it is a responsibility they have no choice but to accept.

NOTES 1. Lewis J. Perelman, School’s Out (New York: Avon Books, 1992). 2. Alvin Toffler, Future Shock (New York: Random House, 1970); Alvin Toffler, Powershift: Knowledge, Wealth, and Violence at the End of the 21st Century (New York: Bantam Books, 1990). 3. James W. Keefe, “Redesigning Your School,” TheHighSchoolPrincipalMagazine 1 (December 1993): 4-9. 4. NASSP University Consortium, DevelopingSchool Leaders: A Call for Collaboration (Reston, Virginia: National Association of Secondary School Principals, 1992), pp. 26-29. 5. Benjamin R. Barber, “America SkipsSchool,” Harper’s Magazine (November 1993): 41. 6. Ibid., p. 46. 7. National Association of Secondary School Principals, High TechSchools:The Principal’s Perspective (Reston, Virginia: The Association, 1984), pp. 2 6 4 7 . 8. Paul Houston, “Be Your Own Spin Doctor,” TheExecutiveEducator 15 (June 1993): 14-17. 9. James W. Keefe, John M. Jenkins, and Paul W. Hersey, A Leader’s Guide to School Restructuring (Reston, Virginia: National Association of Secondary School Principals, 1992). 10. Fred C . Shipman, “Student Stress and Suicide,” ThePractitioner 14 (December 1987).

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11. Bud Mayo, “Striving for Drug-free Schools,” The Practitioner 16 (March 1990): p. 6. 12.HerbertJ.WalbergandJamesW.Keefe, RethinkingReform:The Principal’s Dilemma (Reston, Virginia: National Association of Secondary School Principals, 1986), p. 73. 13. Keefe, Jenkins, and Hersey, A Leader’s Guide. 14. “Editorial,” NASSPNewsletter 40 (October 1992). 15. Terry Barraclough, Community Control of Schools (Eugene, Oregon: ERIC Clearinghouse on Educational Management, December 1973). 16. Ken Bennett et al., “Coaching for Leadership: Moving Toward Site-based Management,” TheBulletin 77 (April 1993): 87. 17. Donald D. Gainey, Education for theNewCentury:Views from the Principal’s UfJice (Reston,Virginia:NationalAssociationofSecondarySchoolPrincipals,1993), pp. 47-57.

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Index Absences, 196 Academic freedom, 87-88 Accreditation, 3 16-1 7 Activities sponsored by non-school groups, 246-47 Admissionandattendance, 195-96 Advising, 2 0 3 4 AIDS, 90-91 Assemblies andformalschool activities, 253 Assessment, evaluation, and appraisal of staff, 158-60 Attendance rewards, 200 Attendance units, types of, 45-52 Auditing accounts, 273 Basic freedoms, 79-83 Block-intensive schedule, 113-16 Blockschedule, 101 Bookstores, 276-77 Budgetary process, 267-73 Building maintenance, 284-85; safetyand security of, 286-87 Career counseling, 210 Career development, 12-13 Changeagents, 185-86 Child custodial care, 336

Civil rights, 222-23 Classification of schools, 52-55 Class-Related school activities, 252 Class schedule. See Master class schedule Climate. See School climate CO-curricular activities. See School activities Collaborative schools, 18 Commercial tutoringfleaming centers, 54 Committees, 162-63 Communicable diseases, 225-26 Communications in office management, 262-66 Communityanalysis, 57-61 Communityinvolvement, 8-12, 56-57, 336-37 Community relations, 291-300; philosophy Of, 291-92 Community service programs, 295-96 Community service school activities, 253 Compulsory attendance, 76 Conflict resolution, 204-5 Constitutional provisions and education, 66-67 Contemporary issues, 90; AIDS, 90-91; discrimination, equity, andeducational opportunity, 91

362

In(Jex

Correspondence schools, 54-55 Crime,192 Crisis intervention, 210-1 1 Critics, 338-39 Culture, 57; affluence and poverty, 60; crime and violence, 60; use of drugs, 61 Death and suicide of students, 21 1-12 Decision theory. See Theory Demand schedule, 101-9 Discipline, 213-18 Discrimination, 91 Dismissal of certified staff, 89-90 Distance learning, 56 Dress codes, 83 Due process, 78, 84-85, 218-21; documentation of, 216 Effective schools, 19-22 Elementary school activities, 239-42 Elementary schools, defined by grade levels, 48 Empowerment,161-62 Equal protection rights, 222 Ethical responsibilities of principals, 9293 Evaluation: of differentiated systems, 324-27; of personnel appraisal systems, 319-24; of programs, 179-80, 181-82; of school activities, 256, 30317; and staff development, 165-67 Extra-curricular activities. See School activities Feedback in program planning process, 182 Flexible schedule, 113-16 Floating block schedule, 109-10 Followership, 4 Follow-up studies, 233 Food service, 277-79 Freedom from search and seizure, 81-83 Freedom of expression, 79-81 Gangs, 192 Global economy, 61

Goals: national education, 193; for school activities, 247-50; setting by principals,18 Grouping of students, 205 Guidance and counseling, 201-5 Handbook for staff, 147 Health services and building safety, 22326 Historical perspective, 1-2 Home schooling, 53-54 Homework,198-99 Human resources, 129-86; planning, 132-35 Immunizations, 225 Information theory. See Theory In loco parentis, 76-79 Instructional leadership, 17-19 Intensive education, 209 Intensive schedule, 113-16 Interviewing applicants, 142 Interview profile, 143 Intramural activities, 250 Junior high schools, defined by grade levels, 48, 49 Junior-senior high schools, 49 Knowledge explosion, 61 Leaders as managers, 15-16, 22-23 Leadership, 3-7; visionary leadership, 339 Leadership and social development activities, 251 Leadership theory. See Theory Learning styles, 208-9 Legal basis for school districts, 67-69 Lifelong learning, 55-56 Limited English proficiency programs, 205-7 Make-upwork,196-97 Maslow and motivation, 130 Master class schedule, 97-98; elemen-

Index tary school schedule, 98-99; secondary school schedule, 99-1 18 Media, 59, 297-99 Mentoring staff, 146 Middle school activities, 242-44 Middle schools, defined by grade levels, 49 Modular schedule, 110-13 Motivation, 130-32; and values, 131, 194-95 National Association of Secondary School Principals (NASSP) assessment center, 23-27 National Commission for the Principalship, principals’ characteristics, 2729 Office management, 259-60; equipment and supplies, 274-76 Office personnel, 260 Organizational theory. See Theory Parent power, 296-97 Parochial schools, 53 Performing activities, 250 Personnel evaluation, 3 17-19 Planning, the discipline of, 182-83 Planning programs. See Program development Policies of office management, 261 Political context of education, 337 Population trends, 57 Powershifts, 61 Prejudices, 212 Prime resources: human, 121-24; information, 120-21 ;and reforming schools, 124-25 Private schools, 53 Procedures of office management, 26162 Program development, 8, 176-82; basic considerations, 177-78; criteria for assessment, 179-80; evaluating, 181-82; implementing programs, 181; outcomes, 178-79; purpose, 178; selecting and developing options, 180-81 ;se-

363

quencing options, 181. See also Evaluation; Feedback in program planning process. Promotion and retention of students, 23031 Proprietary schools, 53 Public schools, 52 Racism, 212 Records. See Student records Recruitment, 135-39 Reforming schools, 124-25, 173-74 Regular education initiative, 207-8 Role theory. See Theory Safety. See Health services and building safety Schedule: by appointment, 117-18; assigning staff to rooms, 119-20; block, 101; block-intensive, 113-16; demand, 101; flexible, 113-16; floating block, 109-10; modular, 110-13 Scheduling school activities, 256 School activities, 237-57; philosophy of, 238-39; types of, 250-55; value of, 247-49 School-based staff development, 164-65 School calendar, 95-97 School climate, 7, 122-24, 204 School-community relations, 8-9 School facilities, 281-88 School-family partnership, 231-33 Selection of staff, 139-45 Senior high school activities, 24446 Senior high schools, defined by grade levels, 51 Sexual harassment, 91-92 Sexual misconduct of teachers, 88-89 Six-year high schools, 51 Social development and school activities, 25 I Socializing school activities, 252 Social systems theory. See Theory Special education students, 92, 183-84; discipline of, 218 Special interest groups, 294-95

364

Staff development, 7, 148-54; schoolbased, 164-65 Staff empowerment, 161-62 Staff induction, 145-46 Staffing school activities, 256 Staff supervision, 155-67 Student activities funds, 276 Student assistance teams, 212 Studentemployment, 197-98 Student evaluation, 301-3 Student planning, 202 Student privacy, and records, 83-84 Student records, access to, 227 Student rights, 76-86 Studentservices, 189-234 Substance abuse, 213 Suspensionandexpulsion, 85-86 Systems theory, and program development, 175-76. See also Theory

Index Tardiness, 196 Teacher rights, 86-90; and freedom of speech, 88 Technology, 59; in office management, 266-67, 335-36

Theory: decision, 32-33; information, 40; leadership, 33-36; organizational, 2931; role, 31-32; social systems, 36-37; systems, 37-39 Timemanagement, 118-19 TotalQualityManagement (TQM), 16 Tort liability, 70; negligence, 70-74; defamation, 74-75 Transportation, 279-8 1 Truancy, 197 Values, 58; andstudentservices, 19092

Vision, 33943

About the Authors WARD SYBOUTS is Professor of Education Administration and Curriculum & Instruction at the University of Nebraska, Lincoln. In addition to his work as a professor and university administrator, he has been a public school teacher and superintendent. His previous publications include Planning in School Administration (1992) and The Management of School Activities (1984), both published by Greenwood Press. FREDERICK C. W N D E L is a Professor in the Department of Education Administration at the University of Nebraska, Lincoln. In addition to his varied positions in higher education, he has been a principal and a teacher.