The Principal Leadership For A Global Society - I1009

The Principal: Leadership for a Global Society
Managing Schools
Contributors: By: Bruce M. Whitehead, Floyd Boschee & Robert H. Decker

Book Title: The Principal: Leadership for a Global Society
Chapter Title: "Managing Schools"
Pub. Date: 2013
Access Date: January 27, 2020
Publishing Company: SAGE Publications, Inc.
City: 55 City Road
Print ISBN: 9781412987103
Online ISBN: 9781544308609
DOI: http://dx.doi.org/10.4135/9781544308609.n9
Print pages: 203-232
© 2013 SAGE Publications, Inc. All Rights Reserved.
This PDF has been generated from SAGE Knowledge. Please note that the pagination of the online
version will vary from the pagination of the print book.
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© 2013 by SAGE Publications, Inc.
Managing Schools
One of the most hotly contested topics in the field of education is whether principals can be school managers
as well as instructional leaders. The question looms: Is the principalship too much work for just one per-
son? Research shows that fewer principals are employed due to retirements and a lack of new leaders in the
pipeline, as well as a lack of plans relating to leader success. It is for this reason that the state of Kentucky
prompted the Kentucky Department of Education to introduce the School Administration Manager Project
(SAM). Whether or not this particular measure “catches on,” research demonstrates a continuation of major
problems with school leadership and impending shortages of new leaders (Kentucky Department of Educa-
tion, 2009). Further exacerbating this already complex problem are the evolving issues relating to charter,
private, and home schools, as well as educational challenges occurring globally at an accelerating rate.
All of this leads to the burdensome conundrum of whether one principal can, in fact, serve as both a school
manager and an instructional leader. This question continues to be a weighty issue today. Moreover, this is
a question highly successful principals ask themselves daily—primarily because, in reality, building-level ad-
ministrators wear both hats. So the answer, for the time being, seems to be both. Thus, it is a “left hand ver-
sus right hand” issue, and for most principals, whether young or old, novice or experienced, a learning curve
persists in how to deal with both management and instruction. Additionally, secondary school principals are
responsible for many of the after-school activities, which occupies much of their time.
For the most part, successful principals believe that it takes an effective manager to keep schools instruc-
tionally sound. This follows closely with the premise of ELCC Standard #3, which emphasizes the promotion
of organization, operations, and resources. Basically, principals feel that without proper management—espe-
cially during these times of high-stakes expectations and budget-cutting mania—things will go awry faster in
their school than someone can say, “Johnny can't read.”
So who are these principals as school managers and what do they do? Perhaps Vermont Principal David
Cobb (Chester et al., 2010) says it best when he wisely states, “We (as principals) manage many highly
charged situations on a daily basis, and are called upon to build or be the conduit through which learning
flows” (p. 41). Another administrator might wryly add that a building manager keeps the money flowing; keeps
the lights on; recruits, selects, trains, and compensates staff; gets the classrooms ready for instruction; pro-
vides technological equipment and other resources needed; takes care of unruly and belligerent parents;
keeps the building clean and in good operation; handles public relations in the community; keeps the kids and
staff safe; puts the kids on the bus to go home; and then makes sure the whole process starts over the next
school day. After reciting this litany, the same principal will proudly tell you this is only a partial list.
Basically, the power of the principal as an effective manager is part of the foundation of the position—and
when used well, it has no boundaries. So it is easy to miss the entire significance of the principal as a school
manager, but in the end, high-quality school instruction and student academic success are hugely aided by
good management.
Questions Addressed in this Chapter Include the following

1. What is the role of a principal as a school manager?
2. What are the different management models used by school principals and how are they
different?
3. Why is it critical to meld management and instructional leadership together as part of the
school process?
4. Why are budgeting and resource procurement important aspects of the leadership
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process?
5. Why are both selection and recruitment crucial in maintaining quality schools?
6. How can effective school managers impact global education?
Key to Leadership
Behind every great school is a great school manager.
Management Models
As managers, school principals need to embrace a variety of creative management tools. This involves finding
novel ways to procure, organize, and coordinate both physical and human resources. This is how seasoned
as well as well-mentored novice principals make things happen for kids. As such, effective leaders are finding
ways to develop and implement policies and procedures that formulate positive, effective, and safe climates
in schools.
A major point made is that skilled leaders understand how to use a variety of management-related questions
and strategies to be successful. For example, whether solving a problem or implementing response to inter-
vention (RTI), a good manager asks the following questions (Butler, 2009).
1. What is the problem?

2. Why is this happening?
3. What are we going to do about it?
4. Did the plan work?
By asking hot-button questions and determining the focus of management issues, principals can now con-
centrate on what is occurring. Once hard-to-square problems have been identified, it is equally important for
school leaders to note what is happening and identify the specific details. The next step involves asking ques-
tions relating to planning. As noted previously in Chapter 5, developing a plan formalizes what building-level
leaders are going to do next and how they are going to address upcoming thorny issues. Finally, principals as
managers will need to ask the tough questions relating to evaluation and determine if their plan really worked.
Focusing on the nitty-gritty and asking the right questions can assist in getting the right fit for solving just
about any type of problem. And solving problems is the key to management.
Although it is vital to ask probing questions, it is also important for principals, as managers, to have the larger
picture of things and understand the political, social, economic, legal, and cultural ramifications of each situa-
tion, as noted in ELCC Standard #6. In order to best do this, principals need to formulate strategies for effec-
tive planning and implementation. Along this line, a sampling of management strategies might include Sys-
tem 4 Design, site-based management, transformation leadership, synergistic leadership theory, total quality
management (TQM), and management by objectives (MBO).
More different than alike, each management style allows principals to try a variety of implementation ap-
proaches. This helps with a tacit overview of the process. Clearing the way toward an even better understand-

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ing, Lunenburg and Irby (2006) provide a short description of each model as noted below.
System 4 Design
This is an organizational approach proving highly beneficial for principals who manage large schools. This
design is based on the concept of supportive relationships. For the System 4 Design to work, school faculty
must perceive that they are highly supported by the administration and that each is respected for what he or
she brings to teaching and learning. This unique approach works well for principals believing in developing a
good rapport with staff and who want to achieve the best outcomes for students.
Site-Based Management
A site-based management model shifts the initiative from centralized school boards, superintendents, and
district office staff to individual school sites. This type of design helps principals and teachers feel empowered
in the decision-making process and helps avoid multiple layers of central office bureaucracy. Unfortunately,
this approach has not done well during times of top-down state and federal regulations.
Transformational Leadership
A transformational leadership model is unique. It focuses more on exceptional principals than on just one
school. Transformational leaders, for the most part, are known for their ability to maintain a collaborative cul-
ture, foster teacher development, and improve group problem solving. Although rarely used, this manage-
ment model acknowledges that some building-level managers can and do have a tremendous impact on the
success of their schools.
Synergistic Leadership Theory Model (SLT)

An SLT model differs from the others by focusing on the diversity of leadership and follows four factors: (1)
attitudes, beliefs, and values; (2) leadership behavior; (3) external forces; and (4) organizational structure to
demonstrate not only aspects of leadership but also its effects on various institutions and positions. A major
strength of the SLT is that it has historically provided a voice for women who aspired to be school principals
at a time when most school administrators were male.
Total Quality Management (TQM)

TQM is a versatile system developed by W. Edwards Deming (1986). This model was used primarily in the
business world before finding its way into educational settings. TQM promotes team teaching and cooperative
learning as well as outcomes-based education. Basically, TQM rests on the basic assumption that employees
want to do their best and that it is the leader's job to enable them to do so.
Management by Objectives (MBO)

An MBO model provides administrators with a way to focus on individual employee skills and specific tasks.
According to Roe and Drake (1974), MBO can be used to create performance checklists that are then used
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by faculty and staff to plan and complete daily routines. From a leadership standpoint, an MBO model en-
courages employees to be involved in determining specific work objectives and helps develop ownership and
commitment toward school and community. Just as importantly, from a time management perspective, MBO
helps free up principals to spend more hours of the day focusing on other issues such as instruction and stu-
dent achievement.
Predictably, each of these models provides a school principal with a spectrum of ideas, tools, and approaches
to better manage schools. They also help in developing dynamic leadership, efficient systems, and creative
resources that build a long-term capacity for inducing global educational change—an important NAESP goal
(Connelly, 2008).
Marshaling Resources
According to author Richard Gorton (1976), the term budget is defined as the blueprint of what the educational
program will be and what it will cost. As a facilitator and resource specialist, a major part of the principal's job
falls into three distinct tasks: (1) developing the budget; (2) administrating the budget; and (3) evaluating the
budget.
The size of the school district and the philosophy of the superintendent of schools will, obviously, affect the
manner in which school principals are involved in the preparation of the annual budget. Some school districts
assume that the needs of all schools are similar, and the schools' needs are handled through allotments. Oth-
er districts assume that each school is unique, and they build their budgets from the ground up, with major
input generated from teachers and principals.
Regardless of the procedures used, the principal is the leader of the school and needs to be involved inti-
mately in the budget process. The principal has a great deal of information that is essential to area and central
office administrators to enable them to build a realistic budget that contains the necessary funds for a school's
programs, materials of instruction, and equipment. The principal also needs to be familiar with the general
format of the district budget and thoroughly knowledgeable with the specific sections of the budget that affect
the individual school. The principal's involvement with the district budget should include:
• familiarity with each section of the budget, having items for which he/she is accountable
• a review of all line items from the district budget for which he/she is responsible, to determine how
well these categories meet his/her current needs
• a projection of the student population for the next school year
• completion of student course registration and selection and projection of staffing needs for next year
• meeting with staff to determine grade-level or department needs
• studying the school's current inventory of supplies, equipment, and materials of instruction to deter-
mine actual needs
• reviewing all requests and organizing them in priority ranking
• an inspection of the school and school grounds to determine needs for repair and replacement
• proposing new programs to improve student achievement
• proposing deletion of programs that are nonproductive
Budget Items and the Principal's Responsibility

A review of the school district budget will show that the principal is responsible for numerous budget items
in connection with the administration of the school. The items in Exhibit 9.1 are representative of those that
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apply to the individual schools.
The business manager/office should send periodic computer printouts listing each of the accounts for which
the principal is responsible, the total amount that has been allocated to his/her school, the amount spent dur-
ing the past month, and the current balance for the school. A principal's familiarity with each of these accounts
will provide a background for involvement in the district budget.
How Well Did Last Year's Budget Meet the School's Needs?
Exhibit 9.1 Budget Items for Which the Principal Is Accountable
Function Code Object Code Item
2600 421 Natural gas
2600 422 Electricity
2600 430 Repairs and maintenance services
2380 580 Travel
2390 610 General supplies
1100 611 Computer supplies
2250 640 Library books and periodicals
1100 641 Textbooks
1100 750 Equipment—original and replacement
1100 751 Computers—original and replacement
1100 760 Equipment—replacement
1100 761 Computers—replacement
2380 820 Administrative fund
1100 910 Substitute teachers
1100 920 Professional development
SOURCE: From School administrator's budget handbook (p. 209), by G. E Ridler and R. J. Shockley, (1987),
Englewood Cliffs, NJ: Prentice Hall Business & Professional Division.
The superintendent needs hard data to present to the board of education and the public concerning just how
well the budget is meeting the actual needs of students and teachers. Moreover, having hard data is espe-
cially helpful when using a value-laden funding system to assist in the redistribution of resources to support
weaker parts of the system. Regardless, however, of what system is used, during budget preparation time,
it is a good idea to make an analysis of how well the current budget is meeting the needs of the principal's
school. For example:
• Was the textbook allotment sufficient to supply students with appropriate up-to-date books in all sub-
ject areas?
• Did the students have to share books?
• Was the administrative allotment sufficient to pay for all of the administrative costs of the office, in-

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cluding stamps, telephone, and office supplies?

• Was the budget for repair and replacement of equipment sufficient to keep computers and audio-vi-
sual equipment in service?
• Did the professional development budget allow all new teachers to visit other classrooms as part of
the orientation process?
The answers to these types of questions will enable the superintendent and central office staff to make wiser
decisions concerning the total amounts that are placed in the budget for each of the accounts the principal
has to administer.
Projecting Student Population

Most school districts have an individual or an office charged with the responsibility of forecasting the student
population for 3 to 5 years. These forecasts are usually made through the study of census data; state and
local data concerning live births; data on the percentage of enrollment in public and private schools; recorded
data on the number of students who transfer in and out of specific schools; dropout records; the number of
graduates; information on student mobility; and new development.
The projected enrollment is the baseline for many of the budget allotments for a school, including the number
of teachers assigned to the faculty. These data also provide essential information to the pupil accounting de-
partment for the preparation of the district projection of student population.
It is also important to keep the central office informed regarding new housing, shifts of population, factory
closings or expansion, major transfers of military personnel, or other factors that will affect the number of stu-
dents who attend a school. The principal should make certain that the local school projection is as accurate
as possible and take into account the other factors listed above, which are used in arriving at the district pro-
jection.
Student Registration, Course Selection, and Projected Staffing

Although the student population of a school will largely determine the number of staff members assigned,
specific information concerning the number of students to be scheduled in each secondary school course is
needed to finalize staff allotments and teacher assignments.
Special education, upper-level courses in foreign language, math, and science, vocational education, and
technical education courses call for different student–teacher ratios. When registration and course selection
procedures are completed, along with the projected staffing needs, this information needs to be transmitted
to the central office.
Grade-Level and Department Needs

Teacher input pertaining to the specific material of instruction, supplies, and equipment needed for the in-
structional program normally originates through grade-level and departmental meetings. When these needs
have been finalized by the teachers, it is important that the principal meet with staff to review their requests.
Although their supplies and equipment do not involve instruction directly, clerical, custodial, and cafeteria staff
should not be overlooked.

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A good starting point is the budget for the current year. Compare the current amount that was approved for
the school with staff requests for next year. Other items to review include requests for new and replacement
equipment and for items that were damaged, lost, or stolen. To determine whether the total for the request is
within the guidelines established by the superintendent of schools, calculate what percentage that portion of
the budget would increase if all of the requested items were approved.
Studying the Current Inventory

It is a rare principal who would not admit that, at some time or other, quantities of supplies or materials for
the school were ordered, only to find out that a large quantity of a particular item was already available in
unopened cartoons. Principals should also learn from experience that certain teachers like to squirrel away
their supplies and still order more, whether or not the items are really needed. Most school staffs also have
a few teachers who are like bumblebees, letting their preferences for textbooks flit from one favorite book to
another before the textbooks have fulfilled their useful life.
These are only samples of ways in which tax dollars can be wasted, and much of this type of waste can be
prevented by keeping a careful inventory of materials of instruction, supplies, and equipment. It is important
to make certain that the inventory is kept current and that it is accurate. Even though the principal has met
with staff to review their requests for next year, it is important to make certain that a sufficient quantity is not
already in the current inventory before the final requests are sent to the central office.
Inspection of the School Building and Grounds

A school building and grounds constitute a valuable investment in real estate, and it is important that staff
members utilize preventive maintenance in taking care of this property. In addition to monthly inspections, it
is most important to make a thorough inspection of the building and grounds during budget preparation time
to determine which equipment or other items are in need of repair, replacement, or painting. A school district
should have regulations concerning a dollar value that would be classified as current budget, as opposed to
capital improvement. Some typical items that might turn out to be budget requests include:
• repaint interior walls and exterior doors

• replace automatic clock-bell system
• repair section of ceiling in the auditorium
• repair small section of gymnasium floor
• repair north section of football stadium bleachers
Prioritizing School Budget Requests

After all the budget requests have been submitted, reviewed for accuracy and correct format, and checked
for total, it will be helpful for the principal to organize the requests made in a priority ranking (see Exhibit 9.2).
Those items that the school must have would receive a top priority, while those classified as “nice to have”
would receive a low priority.
Assuming that a school district has a board of education policy that all students must have their own textbooks
to take home, textbook requests would receive a high priority. However, if one of the school goals is to im-
plement a new science program that requires the major portion of the textbook budget, a lower priority to

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requests for social studies textbooks could be assigned, and the department could keep the current series for
another year.
New Program Proposal

Generally, a principal has developed the skill of both short- and long-range planning to improve the education-
al offerings for students in the school. Some of the plans can be carried out with minimal funds, while others
will call for extra materials, supplies, equipment, and staff.
Exhibit 9.2 Budget Worksheet—Priority Ranking

Rank Budget Item
Science textbooks for grades 9 and 10 (Phase 1 of 2-year implementation program. Books for
1
grades 11 and 12 will be ordered next year.)
2 Replacement of math books for algebra, geometry, trigonometry, computer math, and calculus
3 Fifteen computers for computer lab
4 Printer paper
5 Materials for reading lab
6 Phase 3 of program to supply color television sets to each classroom
7 Materials for new English composition program (Phase 1 of 4-year experimental program)
8 Replacement of foreign language labs
9 New photocopy machine for office
New computer to implement revised office practices, including computerized phone calls for absen-
10
tees
SOURCE: From School administrator's budget handbook (p. 212), by G. E Ridler and R. J. Shockley, (1987),
Englewood Cliffs, NJ: Prentice Hall Business & Professional Division. Reprinted with permission.
The principal's graduate study, reading professional journals, committee participation, visits to other schools,
and conference attendance are constant sources of new ideas. If a new program is needed to improve some
phase of instruction or administrative procedures for the school, the idea should be developed into a written
proposal and sent to the central office along with a request for budgeted funds. Additionally, the principal must
do the homework so that the request can be documented with valid reasons. The proposal should include:
• other locations where the program has been utilized

• the results achieved in that school system
• the cost factors
• the hoped-for improvements
• the methods to be utilized to evaluate the new program
The following are examples of proposals that might be expanded in written form and submitted for considera-
tion as part of the new budget:

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• New mathematics laboratory for the middle school

• Objective-based summer school (to allow students to complete the summer school course when they
have demonstrated proficiency with all of the objectives for the course)
• Peer tutoring program
• An additional foreign language to course offerings (with China's rapidly growing economy and in-
creasing international exchanges, value of the Chinese language is rising constantly)
• Adding a child-care program
• Adding a foreign language to the elementary school program
• Adding swimming to the physical education department's offering
• Adding a science technology program to the high school curriculum
• Adding a violin program for all third graders
Proposing Deletion of Nonproductive Program

During the budget preparation cycle, it is quite common to hear the term unneeded fat in connection with cer-
tain positions, salaries that seem too high to the public, and programs that were not available back when the
students' parent were in school. As the educational leader of the school, the principal is in a favored position
to have firsthand information concerning a program that does not work or a position not really needed.
Eliminating a program or a position is not easy! It is far easier not to rock the boat, continue the program as
is, and excuse it on the grounds that “we did it that way last year.” During the era of school closing due to de-
creasing enrollments, a popular saying among top school officials is, “The fastest and surest way of improving
the quality of a school overnight is to announce to parents that the school will be closed next year.”
It is the principal's job to take the necessary steps, including risks, to improve the program of his/her school.
If one of those steps is to suggest the elimination of a nonproductive program, the proposal should be sent to
the central office in writing. The proposal should include all of the reasons why the elimination of the program
would not decrease the effectiveness of the educational program in the school.
Many successful principals use the trade-off technique, suggesting an alternative program in place of the pro-
gram to be eliminated or a request to utilize the savings for another program or staff position. In essence, the
more the principal knows about the total school district budget and his/her school's budget items, the more
that principal will be able to assist with the reparation of a realistic budget that will serve the needs of the
community, the staff, and the students.
Assisting Central Administration with Budget Leadership

Each principal is in a unique position to assist the central administration during the new budget cycle. In addi-
tion to having intimate knowledge of the educational program, the principal possesses the following strengths
that can be translated into budget assistance:
• High visibility with the public

• Knows the community
• Is the educational leader in charge of the educational lives of the children of the community leaders
• Has a great deal of credibility
In simple terms, these strengths enable the principal to gather important data and transmit this information
to the central office. In addition, like the popular television commercial concerning a financial management
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company, when the principal speaks, people listen.
The following techniques have proven to be successful for many principals during the new budget cycle:
• Accept membership on districtwide committees charged with recommending policies that will affect
the budget.
• Do some groundwork with local business and industry officials in the community.
• Make application for foundation grants where appropriate.
• Attend all orientation meetings with the superintendent of schools.
• Review the proposed budget in depth to form a “speaking acquaintance” with it.
• Present the highlights of the budget to your staff and the PTA.
• Answer questions, to both groups and individuals, concerning the budget.
• Be prepared to explain or defend specific sections of the budget that will affect the principal's school
directly.
Budget Leadership
Gorton (1976) defines the term budget as “the blueprint of what the educational program will be and what it
will cost” (p. 123). As a facilitator and resource specialist, a major part of the principal's job falls into three
distinct tasks: (1) developing the budget; (2) administering the budget; and (3) evaluating the budget. Hence,
a building leader's budgetary role may be severely limited depending on the size and scope of the school
district. For example, in a large-scale school system, a principal could very well be restricted to requisitioning
books, supplies, and other resources from the central office.
The artful trick is for principals to find enough money for their schools. When feasible and as forces converge,
despite how resources are garnered, a major task for principals is to administer budgeted resources wisely.
Regardless of how hard each building-level leader works or how good each is, certain aspects of problems
will always be present (Hoerr, 2010). Each principal, then, despite the size of the school, must make sure al-
locations are applied objectively and evenly distributed. It is through this clarity of procedures that the budget
process proceeds efficiently.
As for budget evaluation, it is important for individual building leaders to monitor materials ordered, received,
and inventoried. This provides a good up-to-date check of expenditures. Such a move provides a critical way
for principals to always link budget back to previous goals, materials, and/or measurable indicators—whenev-
er possible. This assures central office staff that resources are being utilized appropriately and there is good
justification to renew funding in the future. Being able to keep a school within budget and keeping the opera-
tion running smoothly is a sign not only of an efficient principal but also of good management.
Expenditures and Revenue

Money, like a magnet, has a tendency to draw notice—from everyone. As a result, Lunenburg and Irby (2006)
believe principals need to contemplate their skills when delving into the world of expenditures and revenues.
For the sake of discussion, the following is a thumbnail sketch of expenditures and revenues as they relate to
basic school budgeting.
Expenditures: primarily involve current expenses, capital improvement, long-term and short-term
debt payment, and interest payment.

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Current expenses: encompasses all monies disbursed for daily operations.
This is a category that can become the greatest concern to building-level leaders. Current expenses may in-
clude:
Operating expenses: items such as textbooks, supplies, and salaries.
Instructional expenses: all programs—regular, special, adult.
Support services: transportation, food service, student services, and student activities.
Nonprogrammed charges: payments to other governmental agencies for services, including rentals.
Community services: recreation programs and nonpublic school services.
Capital outlay: includes equipment and all permanent additions to buildings and school site. Maintenance is
not part of this account.
Debt service: includes payments for short- and long-term loans and revenue payments.
Revenues: monies that are largely dependent on general property tax, varied in each state. State and federal
allocations are additional sources of revenue.
Demystifying the budgetary process continues to be an ardent goal for principals. With this in mind, zero-
based budgeting mandates that administrators submit a new budget—each and every year. This requires of-
ficials to start a budget at zero—and then substantiate all expenditures, either new or continuing.
Zero-based budgeting requires individual decision packages (activities) to be identified as per the nature of
responsibility. A “decision package” is a document that describes each activity and ranks it against other ac-
tivities. What is clear is that each budgeted activity is evaluated as to whether it makes a connection with
school goals. This results in a ranking system providing an ongoing evaluation of the overall budget. Although
such a system accounts for occasional “inflated benefits” and sometimes more paperwork, it is a very effec-
tive budgetary process for building principals.
Planning-Programming-Budgeting Systems
Directing a substantial array of budgetary items is a huge undertaking and at times can be a bit unwieldy. To
bring some order to this endeavor, planning-programming-budgeting systems (PPBS) was designed by Rand
Corporation to create a consistent base, such as perpupil allotment (Ubben & Hughes, 1997). An important
benefit of the program is it allows for an operational baseline and can turn budgetary trouble into leadership
by providing principals with objective and usable information. But it does require the establishment of specific
program targets as a way to achieve goals. Traditionally, there are five basic steps of PPBS that include the
following:
• general goals,
• identification of specific objectives,
• developing a program and process believed to achieve objectives, • formative and summative evalu-
ation practices, and
• implementation of a review and recycle procedure to help determine alternative processes and pro-

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grams.
Operationally, the implementation of PPBS requires both a 5-year plan and a 1-year plan.
Five-Year Plan
This planning process begins with a 5-year plan that is well in advance of any specific budget proposal. This
aspect of the PPBS is highly popular with principals who realize the importance of professional development.
As Guskey and Suk Yoon (2009) point out, no improvement effort has ever been successful in the absence
of a thoughtfully planned and well-implemented professional development program.
One-Year Plan
In contrast, the 1-year plan is more specific in nature and provides the necessary information to build a bud-
get. It is very specific and lays out what equipment, supplies, supplementary materials, training, and other
aspects are needed by principals to transform challenges into opportunities. Luckily for some administrators,
it often details with what is to happen in the next fiscal year and follows in line with the 5-year plan.
Initially, the PPBS appears to address most budget concerns—but there are moments of intense frustration.
Drawbacks to PPBS often include vagueness and lack of measurability of goals as well as school leaders be-
ing reluctant to change from annual budgets to long-range program budgets. In addition, school board mem-
bers have a tendency to prefer a more line-item budget process (Lunenburg & Irby, 2006).
Financial Control
Regardless of what budgetary strategy comes into play, it is imperative for school leaders to have financial
controls in place. Experience shows financial controls are techniques used by seasoned principals and other
administrators to monitor acquisition, allocation, and evaluation of financial resources. For the sake of discus-
sion here, financial controls include the following: cash, accounts receivable, accounts payable, inventories,
purchases, and long-term debt. It should be noted as well that there are two specific methods of financial
control implementation—internal control and financial audits (Lunenburg & Irby, 2006).
Internal Control
This type of control is a tried-and-true accounting function whereby policies and procedures are adopted to
safeguard assets and verify accuracy of all expenditures. Using well-advised controls helps principals line up
budgetary puzzle pieces and increases the overall flow of operations. Such controls often include
• definitions of job responsibilities along with an organizing function,

• accounts set up for each unit of administration and income and/or expenditures that are readily trace-
able to specific administrators,
• specific employees assigned to handle record keeping and verify receipts,
• rules stating no one person has complete control, and
• regulations making sure the flow of work is not duplicative and that all checks are cosigned by a sec-
ond employee.

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Financial Audits
There is a history of proven results of financial audits. Such a history reveals that an independent appraisal of
a school district's accounting system should be made through both external and internal means. An external
audit occurs through the district office and should be made by an outside source such as an independent
audit expert (certified public accountant, or CPA).
An internal audit is made by an employee within the organization. Such audits are valuable because they
protect those individuals responsible for handling funds. On the face of it, there is no small amount of magical
thinking when it comes to spending money and developing a smooth operation. When a district has its act
together, the degree of collective efficacy increases and the district as a whole does better (Fullan, 2009).
Unquestionably, Fullan is absolutely correct. In reviewing a mix of budgetary processes, it is vitally important
for principals to understand how budgets are developed, administered, and evaluated. In addition, a cursory
knowledge of budgets helps teacher leaders and department heads as well as other instructional staff be-
cause it provides a basis and a need to re-evaluate all programs for their effectiveness.
Inventory Controls
When dealing with budgets, an influx of perpetual change, maintaining inventory control can be considered
both a good thing and a bad thing. For example, knowing one's inventory can be enormously helpful to a prin-
cipal. But keeping track of a large inventory, as well as distributing items fairly or efficiently, can also be time
consuming. Nonetheless, in the end, it is a major benefit for principals to have supplies and other materials
available upon demand—so much so that the morale of the staff may depend on it.
Against this backdrop of complexity, an up-to-date inventory is usually kept at a central location such as a
warehouse. Needless to say, there is a certain amount of equipment and supplies that should be kept on site.
Maintaining an on-site inventory, recycling items, keeping it current, and knowing what is available does help
in the overall operation of the school. It is for this reason that principals need a quick checklist of inventory
at all times. One such inventory checklist originally developed by Stoops and Johnson (1967) is still in use
today.
Inventory Checklist
1. Educational equipment, materials and supplies related to objectives ______
2. Budget provides educational equipment, materials, and supplies ______
3. Personnel are delegated to supervise equipment, materials, and supplies ______
4. Record keeping is efficient, complete, and accurate ______
5. Selection of equipment, etc., is accomplished through staff ______
6. A supply catalog or Internet site is used for requisitioning ______
7. Provision is made for emergency requisitioning ______
8. Equipment and supplies based on room enrollments and needs ______
9. Standards for requisitioning are in place ______

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10. Provision is in place for buy-out orders ______

11. Provision is made for prompt delivery ______
12. Adequate storage is provided ______
13. Procedures are in place for distribution ______
14. Equipment, materials, and supplies are readily available ______
15. Open stockroom has proper controls ______
16. New staff have access to equipment, materials, and supplies ______
17. Equipment, materials, and supplies are efficiently used ______
18. Staff receives instructions on equipment, material, and supply use ______
19. System used for inventory is efficient ______
20. Equipment is kept in usable and good condition ______
21. Equipment, materials, and supplies meet the needs of students ______
22. Staff and students are trained in the proper use of equipment ______
23. Staff responsible for keeping storage areas clean and organized ______
24. Procedure for the disposal of outdated materials ______
Although Stoops and Johnson's list has been modified over the years, it does provide an excellent picture of
the inventory process. What is particularly gratifying is that it does not take long to complete and, once it is
done, the principal now has a pretty good idea of the inventory in the building.
Selection Process/Recruitment/Personnel
A highly critical aspect of any principal's job is recruitment and the selection of quality staff. As part of this
process, principals occasionally have to compete over the same high-quality candidates. This can create
an aspect of hypocrisy in school leadership. For example, according to Hargreaves, Shirley, Harris, & Boyle
(2010), “Teachers collaborate, and principals compete.” Regardless of how paradoxical this sounds, it can be
a huge concern. Nevertheless, it is vital for principals to learn how to find and retain the very best people for
their schools.
Recruitment
Finding good people and getting them to come on board can be a tough sell. Additionally, with an increasing
latticework of state and federal regulations, attracting the best and the brightest at all levels is making things
even tougher. To complicate matters further, recruitment policies and procedures greatly vary among schools
and school districts. All of this can lead to a hodgepodge of problems. Nonetheless, if done correctly, good
recruitment and selection yield immense rewards.

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Tip for Principals: 9.1

Good principals attract good people—and that is the secret to developing an outstanding school.
The Administrator's Role

Because we live in an educationally rule-laden environment, central offices select and recruit staff—but the
role of the principal is still an important one. In a nutshell, good principals seem to attract good people. This
seems to be a major secret to developing an outstanding school. For example, the objective of effective lead-
ers is to find and select the most qualified individuals they can. Consider the fact that successful principals
are continually on the prowl, looking for top-notch student teachers and top-notch applicants to fill positions.
Rather than sitting around waiting for folks to show up, these same principals are out there constantly encour-
aging good prospects to apply for a job.
Job Analysis
Administrators of turnaround schools have come to realize that job analysis is a big-ticket item. Indeed, it is
certainly true that capturing the essence of job skills is becoming an important element of good hiring proce-
dures. From a standpoint of best practices, it is critical for principals, as managers, to have a thorough knowl-
edge of school operations and of job skills. According to Gorton (1976), as part of that process, it is important
for building-level leaders to know the following:
1. Increased or decreased enrollment creates a need for more staff or a reduction in staff.
2. Changes in the educational program necessitate additional or differently trained staff.
3. Staff resignations, transfers, or retirements may create a need for new personnel.
Clearly, job analysis is a crucial part of being an administrator. Keenly focused on this issue, principals will
readily argue they must have access to all district data relating to a position and what it entails. Most building-
level leaders would agree that only through the sharing of data can data be truly useful. Certainly, estimating
the need for personnel can be difficult; but if a principal has access to the right information, his or her task as
a recruiter is a lot more manageable—and a whole lot easier.
Selection
Recruiting and selecting quality teachers may be the single most important job a principal, as a manager, can
do (Ubben & Hughes, 1997). And indeed it is. But, it is the actual selection as well as the permanent retention
of an individual that is fundamentally critical. Ubben best expresses this by noting a beginning high school
teacher who stays in the classroom for 35 years, very well could have 5,000 students under her or his direc-
tion. That in itself is hugely significant.

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So, selecting staff is super critical for the success of any school—as well as for the school principal. In short,
fostering a dynamic of change and keeping one's job can be as simple as selecting the right people for po-
sitions. This realization can be a career changer. Having developed a deep appreciation for this problem,
Lunenburg and Irby (2006) provide some important steps in the selection process:
1. Preliminary screening of credentials

2. Screening of credentials
3. Preliminary interview
4. Testing (optional)
5. Reference checks
6. In-depth interview
7. Physical examination (optional)
8. Hiring decision
Making good choices as well as good selections in staff does not have to be linear. It is common for adminis-
trators to have their own individual style of recruitment and selection—unless transfers are involved.
Transfers
One of the most common and yet most nerve-wracking problems for any school principal involves school em-
ployee transfers. This occurs when the central office (in large districts) places transfers first before hiring new
individuals. Transfers are generally employees with tenure who must be moved, for whatever reason, to an-
other assignment. These individuals must be placed before anyone else. This process is sometimes referred
to as “passing the trash” and can create unsettled levels of controversy within a school setting.
Screening
Screening is another prescriptive element of the selection process. To ensure fidelity, screening focuses on
variability and dictates the need in making sure all applicants have the proper background as required for the
position. As part of the process, school leaders perform a discrepancy analysis of each applicant's materials.
This involves checking for health or legal issues as well as gaps in the job candidate's employment record.
For principals, tweaking out possible weak points as well as strengths in an applicant's work history helps
solve a lot of problems that might surface down the road.
Reference Checks
The centrality of reference checks is found in most schools. Before a final selection is made, it is just good
business for a principal or personnel officer to do a reference check. Although email can be used, a telephone
call to a former supervisor or someone acquainted with the candidate can be quite informative.
To be sure, care must be taken when making a reference check. For example, it is important to phrase ques-
tions correctly, without bias or malicious intent, in order to avoid any legal ramifications. Similarly, principals,
with minds in motion, have to use care in how they answer reference questions. Even when recommending
stellar candidates, it is important for school leaders to be fully cognizant of all legal ramifications relating to
reference checks—that employees and applicants do have certain rights. Additionally, it important for princi-
pals to know that various court cases in the past have penalized employers for diminishing an employee's

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chance of obtaining gainful employment elsewhere. The key is for principals to stick to the facts when making
or answering reference checks or inquiries.
Interviews
Clearly, interviews are a staple of hiring good people. They provide a principal with an unparalleled opportunity
to learn more about the candidate—certainly more than what is available in written applications. They also
provide insight into the personality of the job seeker. This can be most revealing. On the other side, interviews
can help clarify any apparent discrepancies or questions that might come up. The key is to allow candidates
to share their strengths. Once given an opportunity, applicants can now put their best foot forward and be
able to shine.
While developing questions to ask for the interview process, principals must try to avoid any hidden agendas
or premature decisions. In doing so, it is prudent to gather as much information as possible before the in-
terview process begins. Additionally, while interviewing, it is also important to be aware of any bias, such as
minority status or previous school, that might sway the decision toward one candidate or the other.
So there are clear-cut times when one needs to alter the interview process to make a deeper connection. It
is important for principals to metaphorically connect the dots. School leaders wanting to improve the process
should consider the following:
1. Use a structured interview format.

2. Train interviewers.
3. Use interview as only one part of the selection process.
Structured interviews are by far the most popular technique, so much so that these types of interviews are
found in almost all schools. This is probably due to questions being written out in advance, rated, and asked
of all the applicants. Such a process brings consistency to any interview and is generally more defensible in
court.
When making dramatic changes in the interview process, re-educating and retraining interviewers is one of
the best ways to produce widespread reform. This only makes good sense. Good interviews require good
probing questions, listening, observing, and record keeping. As any successful principal will tell you, well-
trained interviewers bring a level of professionalism to the process.
Using a diverse but logical set of methods in an interview process rather than just asking basic questions is
wise. For example, biographical information, data, test results, and written references, as well as personal
phone calls, can be additional ways school leaders can choose the best candidates.
Personnel Management
Selecting a person for the job is one thing; giving him or her tenure is another. Once an individual is selected,
the building principal's job really begins. For instance, not all candidates are successful, even with a great
deal of help from their colleagues and building administrators. Following months of training and in-service, as
well as months of actual classroom work, some staff members just do not make it—and they need to be dis-
missed. It is for this reason that tenure is considered serious business by principals and should not be taken
lightly.

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Strange as it may seem, some principals in certain states have tenure, similar to teachers. Even so, the whole
argument about tenure may become moot if the courts decide to expand due-process guarantees. Maybe
that is a good thing—maybe not. Regardless of the courts' intentions, it is decidedly prudent for building-level
leaders to be absolutely certain they want to retain an individual before giving that person tenure.
Dismissing a nontenured teacher is generally not a difficult process (depending on laws and regulations). In
many states, for example, a school district only needs to show the need for a more qualified person. However,
dismissing or terminating a tenured teacher is another matter. To the chagrin of many principals, involuntary
termination can be costly if it backfires. For example, tenured teachers have the right to a hearing, the right
to be treated fairly, and the right to show just cause. But if the teacher is judged to be incompetent, insubordi-
nate, and/or if there are compelling moral concerns such as sexual abuse, an individual can be dismissed.
And then there are voluntary terminations. Voluntary terminations sometimes involve an employee retiring, a
spouse transferring jobs, going back to school, starting a family, or a host of other reasons. When dealing
with voluntary terminations, it often helps for a principal to provide support. This can be done by visiting with
an employee and offering assistance prior to the person's leaving. Such assistance might involve writing a
letter of recommendation or helping the individual gain part-time employment. Whatever the reason for the
involuntary termination, principals need to do what they can to ease the transition process.
Labor/Management Relations
Tellingly, the concept of labor/management relations is one of the most fascinating and yet complex parts
of school management. This intriguing process is considered the formal interaction between unions and a
school district management team. Clearly, there are rather stark differences between management guidelines
and policies in union versus nonunion states. Furthermore, state laws vary somewhat with regard to probation
and termination of employees. To add to the spark, some principals are even part of the labor/management
negotiations team while others are not.

The negotiations process is a potential minefield for practicing principals.
Regardless as to whether a principal, as a school manager, is involved in negotiations, he or she should be

aware of the process and certainly what it entails. If principals are forced to participate, it can be a roller
coaster of a ride. Although there are times when the process is a win/win for everyone, more often than not, it
falls into a battle between two mammoth behemoths. If the district wins, union members are unhappy with the
principal. If the union wins, superintendents and board members are unhappy with the principal. It is a dicey
proposition for any building manager.

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With that in mind, it should be noted that knotty labor issues tend to center around salaries, employee bene-
fits, hours and workloads, transfers, reductions in force, and just about everything else that can be placed on
the platter of collective bargaining. As a result, it is paramount for principals to keep abreast of what is going
on and remain alert. The key element here is to realize negotiations can be a minefield of major proportions.
Hence, remaining above the fray of labor relations and negotiations has, for some principals, become an art
form.
Collective Bargaining Process

The “jigsaw” process of collective bargaining generally involves the phases of negotiations as well as the
interpretation of a contract. For a principal, getting up to speed means understanding the various stages,
including forming teams, assessing needs and potential problems, setting goals, presenting proposals and
counterproposals, defining terms and the overall process, solving impasses, reaching agreement, and finaliz-
ing the contract. Although generally accomplished at the central office level, the collective bargaining process
can and sometimes does impact a principal's relationship with her or his staff.
Using a collective bargaining approach, negotiations often take the form of a tête à tête between district and
union representatives. Discussions involving setting meeting dates, terms, and procedures are usually first
priority. Through a process of proposals and counterproposals and numerous rounds of lengthy meetings, a
contract is eventually hashed out and presented to both the board of trustees and union members for a ratifi-
cation vote.
In a sea of developing metrics, if no agreement or resolution is made, an impasse is generally called. Fortu-
nately, most states have a process in place to address the problem of impasse. Current arrangements of the
impasse process (depending on individual states) usually consist of three steps: mediation, fact finding, and
finally arbitration. Once a decision is made, it is basically the principal's responsibility to carry out the agree-
ment. For this reason, building-level administrators need to have a very good understanding of the collective
bargaining process and contract. More importantly, it is crucial for principals to maintain their integrity, to be
fair, and to remain ethical beyond reproach throughout the entire process (ELCC Standard #5).
Facilities
The Planning Process

If principals are considering labor relations to be a bit of a problem, they can turn their sights to facility plan-
ning. Even though a number of superintendents handle a bulk of facility work, principals often share in the
planning process. Such opportunities provide building-level leaders with a great chance to impact and change
the face of education. It should be noted, however, that the process of planning facilities does take an exor-
bitant amount of time and can be very complicated. In this particular case, a complete discussion of facility
planning is not within the scope of this book, and principals interested in this topic are encouraged to do more
research. With that being said, it is still important for building-level leaders to be somewhat knowledgeable
and conversant in this area for future reference. As a result, a brief description of the process of facility plan-
ning does follow below.

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Churchill said, “We shape our dwellings and then our dwellings shape us.”
Gorton, 1976
Long-Range Planning
With accountability abounding, the niche of long-range planning cannot be overstated. For practicing princi-
pals, such planning means continuous appraisals of existing facilities as they relate to educational and in-
structional changes. Lately, with more state and federal guidelines and regulations on the horizon, there is
an even greater chance for change. In addition, population shifts, housing, area boundaries, attendance, and
possible enrollment are some things to keep in the forefront. Even technology is a huge factor to consider. All
of these aspects of planning can impact how a school operates and how a principal manages.
Planning a New Facility

In the book School Bond Success: A Strategy for Building America's Schools, Boschee and Holt (1999) have
assembled a step-by-step practical school facilities textbook for students in educational administration, as
well as a valuable resource for practitioners and boards of education. They discuss many of the key elements
of the preplanning phase for a new facility and the impact they have on the project as whole.
Any building project within a school district should be viewed as merely one part of an overall edu-
cational plan. Therefore, the school superintendent and school board should have a clear picture of
what they want to offer within their educational program and should develop a facilities plan based on
how school buildings can help educators meet the goals of that program. For example, new teaching
methods brought about by the introduction of computers and other electric equipment require differ-
ent sizes and shapes of classroom and other facilities (a good library now includes several student
carrels with computers); mainstreaming disabled students necessitates careful thought as to class-
room size, hallway placement, and bathroom arrangements; and new safety requirements require
special ventilation and toxic substance control equipment in science labs. New educational methods
(e.g., open classrooms, lab inquiry methodologies, and integrated units developed by teams) have
spatial and arrangement requirements that may differ significantly from the traditional classroom.
(pp. 31–32)
To be successful, school administrators cannot do facilities planning in a vacuum. School officials

must constantly seek input from building administrators [especially principals], teachers, parents,
and members of the community as to their needs, the problems they see in implementing programs
in present facilities, expectations they have of their school's educational programs, and their ideas
about the relationship between the school and the community. (p. 32)

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Creative Use of Current Facilities

It is not too much of a stretch to say that, as a school manager, the principal receives many inputs and con-
cerns regarding the use of facilities. Inputs and concerns might come in the way of internal communications
from staff and/or from outside concerns and requests from the community. Either way, smart administrators
put these suggestions in writing for future reference. Suggestions are documented because these same in-
puts come with a dangerous expectation that a principal will do something about them—even if that something
is eventually routed up to higher levels of administration. When taking stock of this dilemma, it is imperative
for principals to be even more creative in how they meet new challenges and address new facility concerns
and requests. It is here where the highly effective principals, as managers, can be at their best game.
Maintenance of Facilities
Lest it be forgotten, maintenance is a huge part of any principal's managerial job. Many times, the community
unfairly judges school administrators solely on how they maintain their buildings and how well their school
looks. For example, if bathrooms are dirty and unkempt, it is the principal who is most often blamed and not
the custodial staff. This may sound odd or appear to be illogical, but remember, it is the building principal who
is in charge—not the custodian.
Trying to maintain a building is a relentless push. For most principals, the nature and extent of responsibilities
for supervising custodians and monitoring the maintenance of a school is a daily part of the job. Even though
the facility and grounds may vary from school to school, the following general responsibilities for building-level
leaders still apply. They are
1. Keeping abreast of work schedules and specific responsibilities of each member of the
custodial staff as well as any parent concerns
2. Building a working relationship between teachers and custodial staff
3. Monitoring school building, bathrooms, locker rooms, and grounds for the purposes of
cleanliness and repair. All safety concerns need to be reported and addressed.
4. Reporting maintenance and safety concerns relating to both the inside and outside of the
buildings. Custodial and maintenance work orders need to be sent through the office and
approved by the principal.
5. Formulating a good working relationship with both maintenance and custodial staff. Good
communications can save a principal a lot of time, hardship, and heartache.
Maintaining appropriate care of facilities, as noted above, can make a major difference for teachers, students,
and the community. When examining the big picture, a good stance for principals is to take full responsibility
for all maintenance and general care of buildings. In addition, it is important for school leaders to keep an
open and positive communication line with custodial staff. From a management perspective, a little communi-
cation can go a long way.
Facilities Evaluation
In the end, what is measured is often what gets done. Most assuredly, a continuous evaluation of facilities
should be at the top of the list of every building principal. Safety concerns, such as a broken chain on a swing,
can lead to a bad accident severely injuring a child. No principal wants to this happen. Nor does a principal
want to open the door to potential school liability and/or a large lawsuit. For these reasons if no others, build-
ing-level managers need to continually monitor their facilities from an evaluation standpoint. Simple checklists

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and forms can be created and used throughout the year to help survey safety as well as general educational
concerns.
Alternative Uses
In addition to maintaining schools, principals, as managers, need to develop fresh eyes as to alternative uses
of facilities. Perhaps a closet or a room can be used differently or a playground might be expanded in some
creative fashion. The benefits of creative planning and a little know-how can radically change how facilities
are used—especially from an instructional point of view.
Community Use
Opening schools to the community as well as developing an open communication policy can be a public rela-
tions coup for local administrators. So organizing and managing parent volunteer groups can be a major part
of a principal's job. Successful principals, as parent leaders, learn to set up written guidelines and are quick
to take full advantage of community resources to move their agenda forward. This follows closely with ELCC
Standard #4, which advocates that school leaders collaborate with families and other community members
as well as respond to diverse community interests.
For principals, getting parents and community members into schools is just smart. Such a simple strategy
can have a huge impact on how the public perceives the school and, more often than not, can translate into
increased funding for building bonds and mill levies. More dollars means more resources for teaching and
instruction. Better teaching and instruction often leads to higher student achievement.
In sum, extraordinarily positive school managers use facilities to help shape a pedagogy of long-term commu-
nity benefits. It is just a better approach. It is an approach that keeps on giving. To be sure, tailoring commu-
nity use of all facilities is effective at both elementary as well as at secondary levels—it is just good business.
Good business is good management.
Scheduling
Working out a well-organized schedule is a major part of being a great leader. Admittedly, scheduling activities
and making up a calendar have become critical components of any principal's job. It is for these reasons
that the principal, as building manager, should be the one responsible for scheduling in a way that promotes
maximum and appropriate use of all facilities. As such, it is important that all requests be scheduled to ac-
commodate three major areas: (1) the regular school program; (2) school activities; and (3) community use.

Scheduling facilities wisely is a major part of being an effective manager.

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It becomes clearer each day how scheduling affects school operation. A key to effective scheduling is to as-
sign one individual (generally the school secretary or administrative assistant) to the task of keeping a master
schedule. In some schools, the building principal takes on this responsibility. But, regardless of who does the
scheduling, the master schedule should be a part of the school's calendar. Such a schedule should be avail-
able to all potential users—from teachers to custodians and maintenance workers, as well as to community
members wanting to use facilities after school or on the weekend.
To aid in this sometimes freewheeling circle of scheduling, many principals frequently check teacher and
building schedules. In addition, successful administrators require a building use permit to be completed prior
to any use. A building use permit or application notes which part of the facility is to be used, when the activity
will occur, what materials or equipment are needed, and who will be in charge. Completing and submitting a
written request helps keep everyone in the loop, especially custodial staff—thus eliminating a lot of confusion
and a lot of hard feelings.
Creating Safe Schools

Safe schools are not just about getting rid of guns and knives—and creating them is not just about bullying,
harassment, and substance abuse. What it truly involves is creating a new environment in which students can
feel safe, valued, and respected.
If students feel safe and valued, they feel empowered. And with a new feeling of empowerment comes a
sense of well-being. Empowerment can give a student the gift of information and a voice to handle most bad-
day situations, whether they are physical or emotional.
During this time of unprecedented alarm, school leaders are now realizing the importance of making schools
truly safe. They are giving students a clear sense of taking ownership as well as teaching students how to be-
come more grounded. In addition, building-level leaders are providing counseling programs and helping both
students and staff to develop an emotional net for those who are experiencing challenging times. Regardless
of the situation, it is the principal, creating and establishing a climate in which collaboration is both encour-
aged and expected, who has the best chance of success (Doerr, 2009). Rest assured, it is the principal, as a
manager, who is always leading the charge.
Force of Leadership
In retrospect, it should not come as a surprise to anyone that it is the principal who is not only making schools
safe and building cooperation among staff but also handling budgets, schedules, and facilities. It is the prin-
cipal who is marshaling resources for instruction, recruiting, and selecting the very best people for the job, as
well as reducing conflicts and building alliances with parents and stakeholders in the community. More impor-
tantly, all of these links are accomplished under the guise of the principal as a manager. This is the force of
leadership—and this is what being a school leader represents.
Summary
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As we have seen throughout this chapter, reform-minded and wizened principals, as strong management
leaders, put students first. Yet elementary, middle school, and secondary school principals are continually be-
ing dragged into a tug of war of management versus instruction. So how can they do both? It is certainly a
dilemma—one that is not going away any time too soon.
Perhaps the key is for everyone to take a step back and fully understand what a principal really does, not only
as an effective instructional leader but also as an effective school manager. From what has been noted here,
the role of a principal as a manager is so vital to school operation that it has become a force of leadership—so
much so that improving instruction and increasing student achievement seems to depend on it.
Applications
1. Why is it important for principals to be considered managers as well as instructional lead-
ers?
2. List three areas of management with which principals are involved on a daily basis. Dis-
cuss how a principal is involved in each and what contributions each makes to improving
instruction and increasing student achievement scores.
3. How might you as a principal (in a 1-hour meeting) address your faculty on the first day
to set the tone of your philosophy from a managerial perspective? What items should you
have on your agenda?
4. As a principal, how might you implement a budget in your school? What practical appli-
cations and strategies might you use?
5. Why are recruitment and selection so vitally important to the success of a school?
6. How are today's principals balancing both management and instructional roles within their
schools? Give several examples.
Case Study: Advice
Players
Bass Sutton, principal, Claremont High School
Bob Randall, history teacher, coach, and aspiring principal, Claremont High School
Setting
High school principal's office
Scenario
After a long basketball practice, Coach Bob Randall finds Claremont High School Principal Bass Sutton in his
office. Both are putting in some late hours. Coach Randall is all smiles as he raps lightly on a slightly opened
office door, interrupting his friend, an older, graying man who has been Claremont High School's principal for
years. Sutton is pleased to see the coach, who is getting his master's degree in school administration at the
university and wants to become a principal.

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“Hey, I got a call from Meridian High School,” notes the coach, sounding excited and looking upbeat as he
leans against the door frame. “I guess I'm going to interview for the Meridian principal job tomorrow and need
some quick advice.”
Sutton forms his traditional trademark grin and pushes back his creaking wooden chair from a desk full of
papers. “Well now, that's great,” he says with a twinkle in his eye, continuing to tip further back in the office
chair. “You know what they say—advice is something you already know, but don't want to hear it.” Both men
break out in laughter.
“Well—actually, I do want to hear your advice,” quips Randall. “I'm really going to need it.”
Sutton gives him the look of an experienced manager—a look of someone who has gone through a lot of
interviews over the past 40 years. “Well then, I ‘spect I can give you a few tips that'll help—but there's one tip
that should give you an edge over all the others.”
Randall's eyes widen as he moves closer and pulls up a chair. He doesn't want to miss this. The old man's
face, lined with time, becomes serious.
“Well—when interviewing for a job—some candidates are so involved, they often forget about some very im-
portant little details,” murmurs the principal with a sly grin.
Randall asks him a quizzical look. “I'm not sure what you mean.”
Sutton's eyes begin to narrow and focus, “Okay—here's an example,” he says, still formulating his thoughts.
“Let's say an applicant is not being very respectful and talks down to a school secretary when picking up an
application form. Are you catching my drift here?”
Randall nods his head. “Are you saying we shouldn't overlook people?”
“Right on!” Bass declares, waving his arms emphatically, lunging up and out of his chair and patting Randall
on the back. “You see—if secretaries don't feel respected, they often times walk into my office and tell me
how they feel. As a result, a job applicant just might be dead in the water before he or she even starts.”
The coach is stunned. He'd never thought about this.
Sutton then heads to the door. His voice drops a notch. “Now, just because a secretary likes or dislikes a
person doesn't necessarily determine who gets the job,” he quips with a wink. “But it doesn't hurt to respect
everyone on staff. In fact, a smile and a little kindness go a long way.”
“I get it—I see what you mean,” Coach says, now realizing the value of the tip.
“Good. Let's hope it helps,” shares the long-time principal. “Remember—the more we respect others, regard-
less of their position, the greater chance we have of getting respect ourselves.” While walking out the door
with the coach, Sutton adds with a bit of a smirk, “Who knows—a smile and little kindness to a secretary—just
might give a certain person just the edge they need. And that's my advice.”
The Challenge
Analyze the nature of Principal Bass Sutton's advice. What is being suggested here? Why is the principal's

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tip so important?
Key Issues/Questions
1. Why is it important not to overlook others, regardless of status?
2. Why is it important for us to treat all school workers with respect? Why is this especially
important when applying for a job? What about the clerical staff? What about the custodi-
al staff?
3. Should Principal Sutton be concerned about giving job advice to Bob Randall? Why or
why not?
4. Why are school office workers taken for granted? Is this a problem for school principals?
Why or why not?
5. List several changes that could be made by school managers to increase respect given
to clerical staff by faculty and the community. Defend your answer.
Webliography
Association for Supervision and Curriculum Development
• www.ascd.org
Education Week's Research Center
• www.edweek.org
Education World Article on Multiple Intelligences
• http://www.education-world.com/a_curr/curr054.shtml
National Association of Elementary School Principals
• http://www.naesp.org/
• http://www.vision2021.org/
National Association of Secondary School Principals
• http://www.principals.org
University of Maryland: Department of Education: Educational Policy and Leadership
• http://www.education.umd.edu/EDPL/areas/curriculum.html
Note: Web resources are time and date sensitive. Websites listed above may become inactive at any time.
References
Boschee F., & Holt C. R. (1999). School bond success: A strategy for building America's schools. Lanham,
MD: Rowman & Littlefield. Originally published by Technomic Publishing Co., Inc., Lancaster, PA.
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Butler L. (2009). A step-by-step guide to response to intervention. Principal, 89(1), 46–52.

Chester B., Terry M., Liddiard D., Cargile D., Cobb D., & Sturdivant F. (2010). Leadership matters. Principal,
89(4), 41.
Connelly G. (2008). Preparing for tomorrow … today. Principal, 88(1), 72.
Deming W.E. (1986). Out of crisis. Cambridge, MA: Center for Advanced Educational Services.
Doerr H. (2009). PLCs demystified. Principal, 89(1), 26–30.
Fullan M. (2009). Leadership development: The larger context. Educational Leadership, 67(2), 45–49.
Gorton R.A. (1976). School administration: Challenge and opportunity for leadership. Dubuque, IA: Wm. C.
Brown.
Guskey T. R., & Suk Yoon K. (2009). What works in professional development. Phi Delta Kappan, 90(7),
495–500.
Hargreaves A., Shirley D., Harris A., & Boyle A. (2010). Collaborative edge: How helping others helps you.
Principal, 89(4), 16–20.
Hoerr T.R. (2010). A refreshing conversation. Educational Leadership, 67(6), 89–90.
Kentucky Department of Education. (2009). School administration manager (SAM) project. Retrieved from
http://www.education.ky.gov/kde/administrative+resources/school+improvement/leadership+and+evaluation/
kentucky+cohesive+leadership+system+(kycls)/school+administration+manager+project.htm
Lunenburg F. C., & Irby B. J. (2006). The principalship: Vision to action. Belmont, CA: Wadsworth.
Ridler G. E., & Shockley R. J. (1987). School administrator's budget handbook. Englewood Cliffs, NJ: Prentice
Hall Business & Professional Division.
Roe W. H., and Drake T. L. (1974). The principalship. New York: Macmillan.
Stoops E., & Johnson R. E. (1967). Elementary school administration. New York: McGraw-Hill.
Ubben G. C., & Hughes L. W. (1997). The principal: Creative leadership for effective schools. Boston: Allyn &
Bacon.
• budgeting
• schools
• facility planning
• staff
• inventory
• equipment
• districting
http://dx.doi.org/10.4135/9781544308609.n9

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The Principal: Leadership for a Global Society

Contributors: By: Bruce M. Whitehead, Floyd Boschee & Robert H. Decker

Questions Addressed in this Chapter Include the following

SAGE Books - Managing Schools

1. What is the problem?

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Synergistic Leadership Theory Model (SLT)

Total Quality Management (TQM)

Management by Objectives (MBO)

Budget Items and the Principal's Responsibility

apply to the individual schools.

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cluding stamps, telephone, and office supplies?

Projecting Student Population

Student Registration, Course Selection, and Projected Staffing

Grade-Level and Department Needs

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Studying the Current Inventory

Inspection of the School Building and Grounds

• repaint interior walls and exterior doors

Prioritizing School Budget Requests

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New Program Proposal

Exhibit 9.2 Budget Worksheet—Priority Ranking

• other locations where the program has been utilized

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• New mathematics laboratory for the middle school

Proposing Deletion of Nonproductive Program

Assisting Central Administration with Budget Leadership

• High visibility with the public

company, when the principal speaks, people listen.

Expenditures and Revenue

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Current expenses: encompasses all monies disbursed for daily operations.

Operating expenses: items such as textbooks, supplies, and salaries.

Instructional expenses: all programs—regular, special, adult.

Community services: recreation programs and nonpublic school services.

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• definitions of job responsibilities along with an organizing function,

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10. Provision is in place for buy-out orders ______

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Tip for Principals: 9.1

The Administrator's Role

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1. Preliminary screening of credentials

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1. Use a structured interview format.

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Tip for Principals: 9.2

Regardless as to whether a principal, as a school manager, is involved in negotiations, he or she should be

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Collective Bargaining Process

The Planning Process

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Tip for Principals: 9.3

Planning a New Facility

To be successful, school administrators cannot do facilities planning in a vacuum. School officials

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Creative Use of Current Facilities

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Tip for Principals: 9.4