Principalship

Frederick C. Lunenburg is Jimmy N. Merchant Professor of Education at Sam Houston State University. Previously, he was on the faculty of educational administration at the University of Louisville, Loyola University Chicago, and Southern Utah University, where he also served as Dean of the College of Education. In addition, he has held public school positions as high school English teacher and reading specialist, high school principal, and superintendent of schools. Dr. Lunenburg’s scholarship includes forty-eight books, twenty-three book chapters, and more than two hundred articles published in both practitioner and academic/research journals.Beverly J. Irby is Associate Dean for Academic Affairs, Regents Professor, and Marilyn Kent Byrne Endowed Chair for Student Success at Texas A & M University, College Station, Texas. In addition, she serves as Director of the Educational Leadership Research Center at Texas A & M University. She is editor of the following research journals: Mentoring and Tutoring, Advancing Women in Leadership, Dual Language and Practice, and Education Policy Briefs. She is Principal Investigator: SEED Grant (APLUS) and OELA Grants (PAL and MOOPIL). Dr. Irby has written numerous books, research reports, and articles, many of which have been presented at regional, national, and international meetings.

Lunenburg and Irby have produced a major work that first lays out the fundamental dimensions a principal faces in his/her practice and then carefully develops the theoretical constructs that underpin the potential actions the administrator may take to deal with those dimensions. This work has the power to transform the practice and education of practitioners of educational leadership as fundamentally as Abraham Flexner transformed medical education and practice.

• Preface Acknowledgments PART I: IMPROVING INSTRUCTION AND LEARNING1 Cultivating Community, Culture, and Learning FOCUSING QUESTIONS REFRAMING THE ROLE OF THE PRINCIPAL Why the Principal’s Role Must Change PROFESSIONAL LEARNING COMMUNITY The First Pillar: Mission The Second Pillar: Vision The Third Pillar: Values The Fourth Pillar: Goals A SCHOOL CULTURE: LEARNING FOR ALL Definition and Characteristics CREATING SCHOOL CULTURE Values Heroes and Heroines Rites and Rituals Communication Networks MAINTAINING SCHOOL CULTURE Step 1: Hiring Staff Step 2: Orientation Step 3: Job Mastery Step 4: Reward and Control Systems Step 5: Adherence to Values Step 6: Reinforcing Folklore Step 7: Consistent Role Models CHANGING SCHOOL CULTURE External Enabling Conditions Internal Permitting Conditions Precipitating Pressures Triggering Events Cultural Visioning Culture Change Strategy Culture Change Action Plans Implementation of Interventions and Reformulation of Culture THE PRINCIPAL AS INSTRUCTIONAL LEADER Focusing on Learning Encouraging Collaboration Providing Support Aligning Curriculum, Instruction, and Assessment Analyzing Results SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 2 Creating a Vision for Learning FOCUSING QUESTIONS GAINING A PERSPECTIVE ON THE VISION The Global Society The Principal’s Challenges for Learning Bringing the Vision Home to the School Culture THE SYSTEMIC VISION CREATING A VISION The Principal’s Vision Beliefs, Values, and Attitudes The Leadership Framework Benefits of Articulating the Vision SHEPHERDING THE VISION Vision Detractors Vision Maintainers MISSION STATEMENTS GOAL STATEMENTS Hierarchy of Goals Criteria for Effective Goals The Goal-Setting Process Problems with Goal Setting Making Goal Setting Effective DEVELOPING PLANS FOR ATTAINING GOALS Strategic Plans Tactical Plans Operational Plans Standing Plans Single-Use Plans USING GOAL SETTING TO IMPROVE STUDENT ACHIEVEMENT SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 3 Curriculum Development and Implementation FOCUSING QUESTIONS COMPONENTS OF CURRICULUM Content or Subject Matter Learning Experiences Behavioral Objectives FRAMEWORK FOR STRUCTURING KNOWLEDGE Knowledge as Facts Explosion of Knowledge Essential Knowledge Knowledge as a Return to the Liberal Arts Computer Knowledge and Technology Using Technology to Enhance Learning Moral Knowledge CURRICULUM DEVELOPMENT Tyler: Behavioral Model Beauchamp: Systems Model Taba: Applicative Model Saylor et al.: Managerial Model Eisner: Systemic-Dimensional Model Ornstein: Curriculum Overview Model Irby and Lunenburg: Systemic-Integrated Model THE CURRICULUM-INSTRUCTIONAL ROLE OF THE PRINCIPAL Research Evidence SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 4 Teaching and Learning FOCUSING QUESTIONS TEACHER EFFECTS Teaching Methods and Student Achievement Principles of Teaching and Student Learning Teaching Principles and Student Achievement The Master Teacher RESEARCH-BASED PRACTICES FOR INCREASING STUDENT ACHIEVEMENT Anticipatory Set Stimulus Variation Reinforcement Recognizing Attending Behavior Questioning Lecturing Planned Repetition Establishing Appropriate Frames of Reference Race, Class, and Gender Equity ACADEMIC PRESS AND SOCIAL SUPPORT: EFFECTS ON STUDENT ACHIEVEMENT Research Evidence THE HUMANISTIC APPROACH TO TEACHING Examples of the Humanistic Approach PSYCHOSOCIAL AND COGNITIVE DEVELOPMENT Guilford: Structure of Intellect Piaget: Cognitive Development Kohlberg: Moral Development Gilligan: View of Moral Development Noddings: Care Theory Dunn and Dunn: Learning Styles Gardner: Multiple Intelligences ACCOUNTABILITY IN EDUCATION: HIGH-STAKES TESTING Every Student Succeeds Act SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 5 Professional Development FOCUSING QUESTIONS THE PRINCIPAL’S MISSION RELATED TO PROFESSIONAL DEVELOPMENT THE PRINCIPAL’S MISSION FOR TEACHERS’ PROFESSIONAL DEVELOPMENT HIGH-QUALITY PROFESSIONAL DEVELOPMENT Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7 Principle 8 Principle 9 Principle 10 DIRECT ASSISTANCE TO TEACHERS Supervision and Evaluation Clinical Supervision Peer Coaching Walk-Through Observations Goal Setting Improving Teacher Evaluations Orientation and Induction of the Beginning Teacher THE PRINCIPAL’S MISSION FOR PERSONAL PROFESSIONAL DEVELOPMENT The Professional Development Portfolio Using the Professional Development Portfolio ETHICS OF PROFESSIONAL DEVELOPMENT SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS NOTE 6 Student Services and Special Programs FOCUSING QUESTIONS GUIDANCE AND COUNSELING SERVICES Aims of Guidance and Counseling Programs The Role of the Counselor Major Guidance and Counseling Services Methods of Counseling Evaluation of Guidance and Counseling Programs ATTENDANCE AND STUDENT RECORDS The Cumulative Record The Use of Assessment Data to Improve Learning EVALUATING STUDENT PROGRESSPurposes of AssessmentEstablishing Information CriteriaCreating Effective TestsComponents of a Testing ProgramREPORTING TO PARENTS AND FAMILIESDifficulties in GradingMethods of Reporting Student ProgressEXTRACURRICULAR ACTIVITIESGoals of EducationFunctions of Extracurricular ActivitiesSPECIAL EDUCATION SERVICESSection 504 of the Rehabilitation ActEducation for All Handicap Children Act (EAHCA)IDEAGIFTED EDUCATIONAdministrative Arrangements for Gifted EducationDefinitions of GiftednessWhat Principals Can Do for Gifted EducationCurriculum Models for Gifted EducationBILINGUAL EDUCATIONProgram DescriptionsAdministrative Arrangements for Bilingual EducationBilingual Education ModelsEnglish as a Second Language ModelsSUMMARYKEY TERMSFIELD-BASED ACTIVITIESSUGGESTED READINGSOverview of Context for Case StudiesPart I: Case Study: A New RolePART II: LEADERSHIP PROCESSES7 Organizational Structure and Design FOCUSING QUESTIONS ELEMENTS OF ORGANIZATIONAL STRUCTURE Job Specialization Departmentalization Chain of Command Span of ControlCentralization and DecentralizationLine and Staff PositionsAN OPEN-SYSTEMS PERSPECTIVEInputsTransformation ProcessOutputsFeedbackEnvironmentTHE LEARNING ORGANIZATIONLEADERSHIP FUNCTIONSPlanningOrganizingLeadingMonitoring LEADERSHIP ROLESHeavy Workload at a Fast PaceVariety, Fragmentation, and BrevityOral CommunicationLEADERSHIP SKILLSConceptual SkillsHuman SkillsTechnical SkillsEFFECTIVE PRINCIPALSTask DimensionsHuman Resource ActivitiesEffective and Successful ProfilesWEBER’S BUREAUCRATIC STRUCTUREBureaucratic CharacteristicsBureaucratic DysfunctionsEMERGENT MODELS OF ORGANIZATIONAL STRUCTUREMechanistic-Organic StructuresFive Structural ConfigurationsSystem 4 DesignFour-Frame ModelSynergistic Leadership TheorySUMMARYKEY TERMSFIELD-BASED ACTIVITIESSUGGESTED READINGS8 Decision Making FOCUSING QUESTIONS WHAT IS DECISION MAKING? THE RATIONAL DECISION-MAKING MODEL Step 1: Identifying the Problem Step 2: Generating Alternatives Step 3: Evaluating Alternatives Step 4: Choosing an Alternative Step 5: Implementing the Decision Step 6: Evaluating Decision Effectiveness THE BOUNDED RATIONALITY MODEL Satisficing Contextual and Procedural Rationality Heuristics Primacy/Recency Effect Bolstering the Alternative Incrementalizing The Garbage Can Model INDIVIDUAL INFLUENCES ON DECISION MAKING Decision-Making Styles Intuition Creativity GROUP DECISION MAKING Advantages of Group Decisions Disadvantages of Group Decisions GROUP DYNAMICS Stages of Group Development Characteristics of Mature Groups THE DECISION TREE MODEL Characteristics of a Given Problem Situation Decision-Making Styles Choosing the Appropriate Style DECISION-MAKING STYLE CONTINUUM Forces in the Leader Forces in the Group Members Forces in the Situation Long-Run Goals and Strategy THE SYNERGISTIC DECISION-MAKING MODEL Listening Responding Reinforcing Clarifying SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 9 Communication FOCUSING QUESTIONS THE IMPORTANCE OF COMMUNICATION FUNCTIONS OF COMMUNICATION Directing Action Linking and Coordinating Building Relationships Learning Organizational Culture Presenting a School’s Image Generating Ideas Promoting Ideals and Values Fostering Motivation Providing Information THE COMMUNICATION PROCESS Elements of the Communication Process NONVERBAL COMMUNICATION Kinesics Proxemics Paralanguage Chronemics Practical Tips DIRECTION OF COMMUNICATION Downward Communication Upward Communication Horizontal Communication The Grapevine Rumor Network Patterns Network Analysis ELECTRONIC COMMUNICATION E-Mail Instant Messaging Social Networking Voice Mail Personal Digital Assistants and Smartphones Blogs (Web Logs) Videoconferencing Presentation Technology Choosing an Appropriate Communication Medium BARRIERS TO COMMUNICATION Process Barriers Physical Barriers Semantic Barriers Psychosocial Barriers IMPROVING COMMUNICATION EFFECTIVENESS Senders’ Responsibilities Receivers’ Responsibilities Active Listening The Art of Giving Feedback PERSUASIVE COMMUNICATION SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 10 Organizational Change and Stress Management FOCUSING QUESTIONS FORCES FOR CHANGE Accountability Changing Demographics Staffing Shortages Technological Changes and Knowledge Explosion Process and Behavioral Problems Indicators of Declining Effectiveness RESISTANCE TO CHANGE Uncertainty Concern over Personal Loss Group Resistance Dependence Trust Organic and Mechanistic Structures Awareness of Weaknesses in the Proposed Change Collective Bargaining Agreements OVERCOMING RESISTANCE TO CHANGE Education and Communication Participation and Involvement Facilitation and SupportNegotiation and AgreementManipulation and Co-optationAction LearningExplicit and Implicit CoercionMANAGING CHANGELewin: Force-Field AnalysisKotter: Eight-Step PlanHarris: Five-Phase ModelGreiner: Six-Phase ProcessORGANIZATIONAL DEVELOPMENTSurvey FeedbackSensitivity TrainingBehavioral Performance ManagementQuality of Work LifeGoal SettingStrategic PlanningJob RedesignTotal Quality Management (TQM)JOB STRESS AND ITS MANAGEMENTSources of StressStress and PerformanceEffects of StressCoping with StressSUMMARYKEY TERMSFIELD-BASED ACTIVITIESSUGGESTED READINGSPart II Case StudyThe New Math ProgramQuestions PART III: MANAGING THE ORGANIZATION11 Budgeting and School Facilities FOCUSING QUESTIONS SCHOOL BUDGETING Expenditures Revenue Challenges to State Finance Schemes THE BUDGETING PROCESS Zero-Based Budgeting Planning-Programming-Budgeting Systems FINANCIAL CONTROLS Internal Control Financial Audits SCHOOL FACILITIES MANAGEMENT School Infrastructure Costs Financing School Construction Environmental Hazards SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 12 Creating Safe Schools FOCUSING QUESTIONS SCHOOL SAFETY AND VIOLENCE Understanding School Violence Research on School Crime and Violence CAUSES OF SCHOOL VIOLENCE Access to Weapons Media Violence Cyber Abuse Environmental Impact IMPROVING SCHOOL SAFETY Physical Surveillance School Policies Instructional Programs Profiling Potentially Violent Students Counseling and Mediation ADOLESCENT DRUG USE Vaping Marijuana Any Illicit Drug Any Illicit Drug Other Than Marijuana Any Illicit Drug Including Inhalants Illicit Drugs Showing Declines in Use in 2019 Illicit Drugs Holding Steady in Use in 2019 Psychotherapeutic Drugs Tobacco Alcohol APPLYING RESEARCH TO PRACTICE: DEVELOPING AN ACTION PLAN Strategy 1: Predict School Violence Strategy 2: Prevent School Violence Strategy 3: Focus Resources on Schools Strategy 4: Strengthen the System Strategy 5: Develop a Crisis Management Plan Strategy 6: Create an Orderly Climate for Learning Strategy 7: Implement Instructional Techniques that Engage Students SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 13 Human Resource Management FOCUSING QUESTIONS RECRUITMENT Job Analysis Legal Constraints Personnel Sources Teacher Recruitment Consortium SELECTION Interviews Components of a Good Interview Process Interview Questions: Potential Problem Areas Testing Performance Simulations PROFESSIONAL DEVELOPMENT Assessing Professional Development Needs Setting Professional Development Objectives Selecting Professional Development Methods Evaluating the Professional Development Program PERFORMANCE APPRAISAL Appraisal Techniques Common Rating Errors COLLECTIVE BARGAINING The Collective Bargaining Process Bargaining Issues Bargaining Tactics New Bargaining Strategies SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 14 Community Relations FOCUSING QUESTIONS PRINCIPALS AS “BOUNDARY SPANNERS” SCHOOL, FAMILY, AND COMMUNITY INVOLVEMENT Principals Leading Community Efforts During Catastrophes Principals Leading School, Family, and Community Involvement Family Involvement and Student Achievement SCHOOL-COMMUNITY RELATIONS AND PUBLIC RELATIONS The Politics of Internal and External Publics Media and Community Relations NSPRA Standards for Public Relations Programs A School District’s Plan PUBLIC RELATIONS PLAN Four-Step Public Relations Process Public Relations Planning Process SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS Part III Case Study: Tough Decisions PART IV: ETHICS, POLICY, AND LEGAL ISSUES15 The Principal and Ethics FOCUSING QUESTIONS THE ETHICAL PRINCIPAL PRINCIPALS AND PHILOSOPHICAL CONCEPTS OF ETHICS Rights Freedom Responsibility and Authority Duty Justice Equity Caring Character, Commitment, and Formality Conflict of Interest Loyalty Prudence Critique Profession Moral Imperative PRINCIPALS AND ETHICAL BEHAVIOR IN SCHOOLS Principals Promoting Ethical Behavior in Athletic Programs Principals Promoting Ethical Behavior through Character Education Policies and Procedures That Promote Ethical Behavior in Schools NATIONAL CODES OF ETHICS FOR PRINCIPALS American Association of School Administrators National Association of Elementary School Principals and National Association of Secondary School Principals National Education Association STATE CODES OF ETHICS FOR PRINCIPALS New York State Code of Ethics for Educators North Carolina Code of Ethics for Educators Texas Educator Code of Ethics PCEL AND NELP STANDARDS SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 16 Political and Policy Context FOCUSING QUESTIONS SOCIETY, POLICY, AND POLITICS Policy, Politics, and the Principal WHAT IS POLICY? Orientation Degree Resources Activity Autonomy Societal Values Institutional Values Rationale Power Relationship THE EXAMINATION OF POLICY Systems Theory Neopluralist Advocacy Coalition and Interest Group Theories Neoinstitutional Theory Critical Theory Feminist Theory Postmodernism Ideological Theories of Policymaking CONCEPTUAL FRAMEWORK FOR UNDERSTANDING POLICY Normative Dimension Structural Dimension Constituentive Dimension Technical Dimension WHAT IS MEANT BY POLITICS? Schools and Politics Politics or Policy? TYPES OF EDUCATIONAL POLITICS Pluralist Maintenance Politics Adversarial Politics Democratic Politics Consolidated Principal Power Unitary Politics POLITICS IN THE DISTRICT: WORKING WITH THE SUPERINTENDENT AND OTHER EXTERNAL FORCES SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS 17 Legal Issues FOCUSING QUESTIONS LEGAL FRAMEWORK FOR PUBLIC EDUCATION SOURCES OF LAW Federal Level State Level Local Level AMERICAN JUDICIAL SYSTEM Federal Courts State Courts SCHOOLS AND THE STATE Compulsory School Attendance Church-State Relations State Aid to Private Schools School Fees The School Curriculum State-Mandated Performance Testing STUDENTS AND THE LAW Freedom of Expression Student Appearance Extracurricular Activities Student Discipline Students with Disabilities TEACHERS AND THE LAW Licensure and Certification Contracts Termination of Employment Discrimination in Employment Tort Liability SUMMARY KEY TERMS FIELD-BASED ACTIVITIES SUGGESTED READINGS Part IV: Case Study: A Case for the Attorney References Name Index Subject Index Case Index About the Authors