Ontario Principals' Council · PDF fileThe Role of the Principal Ontario Principals’...

The Role of the Principal Ontario Principals’ Council

Ontario Principals' Council

The Role of the Principal A Discussion Document

November 2004

11/01/2004 Discussion Document


Table of Contents A. Introduction 2 B. Background 3 C. Principalship as Currently Understood in Ontario 8 D. The Role of the Principal – What should it be? 10

1. Building a Common Vision and Mission for the School 11 2. Ensuring a Positive and Supportive School Climate 12 3. Building Learning Communities 12 4. Improving School Capacity 14 5. Facilitating Student Access to Community Services 16 6. Establishing an Evidence-Based School Performance System 17 7. Effectively Managing School Resources 17 8. Aligning with Policy and Regulatory Environment 18

E. Implications 19 F. Moving Forward 22 References 23

Table 1- Queen’s Study I – All Respondents 5

Appendix A - Statutory References to the Principal’s Role 25



A. Introduction This document is a discussion paper presented by the Ontario Principals’ Council (OPC) to outline our views on what the role of the principal, supported by vice- principals where appropriate, should be in Ontario’s public education system today and in the future. The Ontario Principals' Council is an ISO 9001 registered non-profit organization that serves as the voluntary professional association representing the interests of principals and vice-principals in Ontario's publicly funded school system. Currently, the OPC represents 5,000 practising school leaders in elementary and secondary schools as well as 500 associate members from within the education community. A number of services are provided to OPC members including professional development, counselling and legal supports. Our professional development products and services are gaining an international reputation as high quality products from an organization focused primarily on the needs of principals and vice-principals. We are increasingly involved in the delivery of programs to school leaders within Ontario and beyond. Through fostering excellence in the principalship, the OPC contributes to ensuring Ontario’s world-class education system. There are three principals’ organizations in the province: the OPC, the Catholic Principals’ Council of Ontario (CPCO) representing principals and vice-principals in the Catholic school system and a French-Language Principals’ Council (ADFO) whose members are employed by the two French-language systems. At time of writing, the OPC and ADFO have entered into a strategic partnership that, while keeping governance, linguistic and policy influence functions separate, will see an integration of supports, programs and professional development in many areas between the two organizations. This document is based on a variety of sources including several research studies sponsored by the OPC and a variety of research reports and position papers from jurisdictions around the world. It is presented as a discussion piece. As such, it does not offer specific recommendations. It is intended to foster dialogue among the partners in education in the process of building a consensus among stakeholders about what the role of the principal, along with the school’s administrative team, should be, and how it should be supported now and in the future. The view of the principalship adopted in this document is built in large part on the work of Michael Fullan in his OPC-commissioned works The Moral Imperative of School Leadership and Leadership and Sustainability: System Thinkers in Action.



B. Background

There is a broad consensus in the education community around the world that the principal is key to improving learning for all students. School reform has been a common theme for governments worldwide with the principal, or head teacher in some countries, viewed as critical to the achievement of necessary change. In the words of Fullan (2003), we need to “… acknowledge the extreme importance of the principalship, to clarify the power and nature of the principal’s role and to invest in developing the capacity of principals to act as chief operating officers.” His message on the strategic importance of the principalship has found its way into much of his writing. In The Moral Imperative of School Leadership, Michael Fullan makes impassioned arguments about the moral purpose of public education and “how very substantial and deep the moral imperative of the principalship is – one that calls for dramatically enhancing the role and importance of the principal.” There are numerous studies, academic papers, government reports and reports by principals’ organizations that examine the role of the principal and identify the challenges faced as reform-minded governments seek accountability for results in an agenda of educational improvement. Larry Lezotte confirms in his work on Creating the Total Quality Effective School, “the effective schools framework has always recognized the centrality of the principal as the instructional leader of the school. Principals should not be expected to be simply managers of process. They must see themselves as being accountable for producing student learning results.” Effective principals know that it is people more than programs that determine the quality of a school. Todd Whitaker, in his book, What Great Principals Do Differently: 15 things that matter most says, “School improvement is actually a very simple concept. There are really two ways to improve schools significantly:

1. Get better teachers. 2. Improve the teachers you have.”

In her work, Principals and Student Achievement, Kathleen Cotton delves into much more detail and summarizes decades of research on the principal, describing 26 behaviours that contribute to student achievement:



• Safe and orderly school environment • Vision and goals focused on high levels of student learning • High expectations for student achievement • Self-confidence, responsibility and perseverance • Visibility and accessibility • Positive and supportive school climate • Communication and interaction • Emotional/interpersonal support • Parent/community outreach and involvement • Rituals, ceremonies and other symbolic actions • Shared leadership/decision making and staff empowerment • Collaboration • Instructional leadership

rning nt

ck to teachers

g ent opportunities and resources

progress and sharing findings

m g ours that are critical are those that emphasize a

rio Principals' Council is presently representing Canada in an

• High levels of student lea• Norm of continuous improveme• Discussion of instructional issues • Classroom observation and feedba• Teacher autonomy • Support of risk takin• Professional developm• Instructional time • Monitoring student• Use of student data for program improvement • Recognition of student and staff achievement • Role modeling

don’t do. • What principals

A on the categories of behaviclear focus on student learning, interactions and relationships within and beyond the school and establishing a positive school culture, all of which speak to the importance of principal leadership in establishing the climate that supports learning.

he OntaTinternational research study to shed further light on what role principals play in improving student achievement. The study is being conducted by the European School Heads Association (ESHA). In addition to Canada, eight other countries will be conducting in-depth interviews with secondary school principals related to school leadership and student achievement. The results of the study will be presented at a conference in the Netherlands in November 2004, and should shed further light on the significance of the principal’s role.



While so many studies point to the importance of the principal in school improvement, there is also disturbing evidence that the principalship is becoming increasingly less attractive to the very type of leaders needed to develop and sustain excellent schools. In a study commissioned by the Ontario Principals’ Council and conducted by Queen’s University, researchers found that principals, vice-principals and prospective principals identified many dissatisfactions and disincentives to the job (Table 1) as it is currently being experienced or perceived (Williams, 2001). Table 1

Queen’s Study I - All Respondents

RANK FACTOR Hi Negative Somewhat Negative

Total

1 Adequacy of time to plan for provincially mandated changes

65% 27% 92%

2 Number of curriculum changes mandated by the province

56% 30% 86%

3 Adequacy of time to work with students 44% 40% 83% 4 Amount of in-school staff support for the principal given

workload requirements 32% 47% 79%

5 Amount of time the job requires 37% 42% 78% 6 Resources made available to meet your assessment of

the school's educational needs 28% 49% 77%

7 Non-student reporting requirements 36% 38% 73% 8 Financial resources available to meet your assessment

of the school's educational needs 31% 42% 73%

9 Parent demands 26% 43% 68% 10 Accountability expectations for in-school administrators 25% 40% 65% 11 Need to balance demands from competing

constituencies 21% 44% 64%

12 Adequacy of salary 30% 32% 62% 13 Changes in principal's legal status 23% 39% 61% 14 Amount of discretionary financial resources available to

you 22% 35% 56%

15 New requirements for increased parental involvement through school councils

17% 38% 54%

16 Employee relations climate with boards’ teachers 15% 33% 48% 17 Support accorded to administrators by school board 13% 33% 46% 18 Support for principals and/or vice-principals from senior

management 10% 27% 37%

19 Amount of decision-making authority for principal/VPs 7% 28% 35% 20 Respect for principals/vice-principals from the community 7% 17% 24% 21 Threats that your school may be a candidate for closure 13% 9% 22% 22 Respect for principals/vice-principals from teaching staff 2% 13% 15%



A similar study conducted by the Educational Research Service (ERS) in the United States found that the changing role of the principal and the demands of the job are discouraging applicants from seeking the principal position (Kennedy, 2002). To quote Meyer & MacMillan (2001), “principals seem to consider themselves as reactive facilitators to externally driven mandates and not as pro-active leaders creating curricula and working closely with teachers in the classroom.” To obtain further information on principals’ day-to-day activities, a second study by the Queen’s University School of Policy Studies to obtain empirical data on the nature of the principals’ job has been commissioned by the OPC. This extensive study will report its findings later this year. When the job that good principals know they need to do to maximize student achievement is compared to the realities of their day-to-day activities, it is clear that they do not align very well. In an OPC-funded study by Castle & Mitchell (2001), several ambiguities and dilemmas were identified in what principals do:

• Role Ambiguity occurs over the primary function of the principal, with different emphases at different times on managerial, instructional, transformational or other leadership domains.

• Decision Ambiguity is evident when different principals approach similar

decision situations differently. • Authority Ambiguity occurs when principals are faced with the challenge of

sharing power with other stakeholder groups such as school councils or teacher groups.

• A Complexity Dilemma occurs when diverse conditions, role expectations,

and role tasks make it difficult for principals to establish priorities or to complete all the necessary work.

• Principals face a Direction Dilemma when rapid changes and many

innovations present them with different but equally compelling options. • An Accountability Dilemma emerges when principals must balance the

needs and interests of different stakeholder groups in the education community.



Jurisdictions are beginning to pay attention to the need to rethink the role of the principal or head teacher in the context of the demands placed upon them and to be clear about the expectations and standards for the principalship of today. Whether it be in the context of national educational reforms in Britain (National College for School Leadership, 2003) or the reform efforts of a Canadian province like Saskatchewan (Saskatchewan Learning, 2003), jurisdictions large and small are recognizing the need to articulate the new role of principals and provide the necessary supports to help them be successful. In its November 20, 2003 Speech from the Throne, the Government of Ontario made clear its first and most important priority would be excellence for all in public education (Government of Ontario, 2003). If principals and vice principals are to be effectively engaged in helping to achieve this very important goal, it is time to respond to calls for the clarification of the role and the powers of the school administrators, and to find ways to support principals in the important work that they do in the context of what Fullan (2003) describes as “the moral imperative of school leadership.”



C. The Principalship as it is Currently Understood In Ontario

Principals in the public education system in Ontario currently take their understanding of their role from a variety of sources. • First and foremost, the role of principals and vice-principals is defined in detail

by statute. The OPC has compiled the statutory references to the principal in the Education Act and associated regulations and the duties articulated by other pieces of provincial legislation. It is included in this document as Appendix A. The statutes define responsibilities in pupil discipline, pupil safety, pupil instruction, pupil supervision, staff supervision, staff evaluation, staff co-operation, school administration, access to the school, reports to the Ministry of Education and government agencies such as the Education Quality and Accountability Office (EQAO), building maintenance, community responsibilities and responsibilities with respect to the School Council. In all, 135 statutory references were identified, in what the OPC considers an overview, rather than comprehensive document.

• Secondly, the role of principals and vice-principals is defined through the

Terms and Conditions of employment contracts with District School Boards. The Terms and Conditions documents generally refer to responsibilities to enforce and abide by board policies that tend to vary among Boards and are enhancements of, or additions to, their statutory duties.

• Other collective agreements (teachers, support staff, etc.) also set out

expectations for the principal’s role. • As certified teachers, which they are required to be, principals are bound by

the Standards of Practice for the Teaching Profession and the Ethical Standards as published by the Ontario College of Teachers. In addition, principals may face disciplinary action for conduct described in the professional misconduct regulations.

• Through their professional training in preparing to become principals and

through ongoing professional development, principals learn important skills and knowledge that help them develop their own understanding of the role and define how they will play out that role on a day-to-day basis.

• Principals communicate among themselves and through their professional

associations as they respond to challenges in their daily work environment and share experiences and best practices as leaders and professionals.



All of these various sources shape what an individual principal does in his or her own work environment. They give the principal explicit responsibilities and expectations together with implicit understandings of what they must do to carry out their role effectively. There is, however, no clear, publicly available statement on just what the role and powers of the principal should be now and how that role should be supported. This means that while experienced principals may have come to an understanding of their role, its powers and limitations, there is no widely held consensus in the public about what the expectations of a principal should be – in fact, there is confusion in the role with competing and conflicting priorities. Nor is there a clear vision of why practising teachers should aspire to be principals, given the nature of the challenges and the sense that it is difficult in the current climate to be effective in the role (Williams, 2001). Given the central nature of the principal’s role in improving schools, it is critical that the role of the principal be clarified so that it is consistent, understood and well supported across the education community in Ontario.



D. The Role of the Principal – What should it be? The mission of the OPC is “exemplary leadership in public education.” Since our inception in 1998, as well as providing a menu of member services, the OPC has been sponsoring research into the nature of principal leadership and effectiveness for improved student achievement. The Moral Imperative of School Leadership and Leadership and Sustainability examine leadership to enable continuous improvement in the very human endeavour of education. Several other OPC-sponsored studies have focused on more detailed aspects of the role (these are available on the OPC website www.principals.ca - OPC Funded Research Studies). At our February 2004 meeting, the Provincial Council of the OPC, a 70-member board of principals and vice-principals representing all regions of the province, held round table discussions on the role of the principal. The Provincial Council felt that the work of Fullan, in particular, was consistent with the direction we need to go in clarifying the principal’s role and purpose. The group concluded that there is a need to articulate and support a new vision of the role of the principal, guided by the work of Fullan in his examination of the evolution of the principals’ role over the past three decades. First and foremost in considering the role, the OPC agrees with the overall view that the role of the principal should be to build an agreement within and beyond the school on the moral purpose of the school to “raise the bar” on student achievement and “close the gap” between the highest and lowest performing students while ensuring an education that produces successful citizens in a morally-based knowledge society. To quote Fullan (2003),

“The role strategically placed to best accomplish this is the principalship.”

We believe that accomplishment of this moral purpose, the driving force of the principal’s role, requires leadership action on the part of the principal in the following areas, which in turn define the role of the principal as it should be:


http://www.principals.ca/


1. Building a Common Vision and Mission for the School People generally know what they want from education. The discipline of shared vision is the set of tools and techniques for bringing all of the disparate aspirations into alignment around things people have in common – in this case, their connection to the school. In building shared vision, a group of people build a sense of commitment together. They develop images of “the future we want to create together,” along with the values that will be important in getting there and the goals they hope to achieve along the way. Without a sustained process for building shared vision, there is no way for a school to articulate its sense of purpose (Senge, 2000). Principals must work with teachers, parents, students, school board staff and officials and the broader community to create the sense of moral purpose for the school, together with the vision for how it will be achieved. While the common moral imperative unites all those in the educational system, the individual school needs to express this moral purpose in its own vision and mission of what can and will be achieved. Not every community is alike. As such, not every school will be alike in reflecting its communities’ needs and values. Some schools may have high immigrant populations, requiring a focus on English as a second language skills, together with community building based on a diverse set of cultural and linguistic backgrounds. Some schools may serve populations with high expectations in developing skills in the arts or in environmental education. Within the general curriculum expectations, schools may choose to follow a path of excellence based on parental influences and community needs. It is within this context that the principal will work with the professional community and the broader community to define what is “unique about our school” and what that means about structuring its program and resources to meet its unique challenges within the broader moral purpose.



2. Ensuring a Positive and Supportive School Climate Student learning is enhanced when a school’s climate is open and supportive. The principal is key in the creation of a positive climate and the way students, teachers and others work and feel within the school environment. Key factors necessary for a positive climate include:

• Healthy and pleasant surroundings • Maintenance of a safe and orderly school where staff and students

demonstrate respect for each other and are free of fear • A student-centred focus in the school • Active promotion of the expectation that all students can succeed • Identification and development of every student's potential through

individualized assessments, appropriate placements and ongoing encouragement from school staff

• A collaborative culture within the school • Support for diversity and commitment to equity • Appropriate mechanisms for conflict resolution to maintain the positive

atmosphere. In general, attention to the many, often-small things that foster a positive learning environment is an important part of the principal’s role. When the work of teachers and students is supported and is not distracted by things unrelated to teaching and learning, student achievement is enhanced. 3. Building Learning Communities Building professional learning communities requires bringing the professionals in the school and the broader school district together in the common mission of continuous improvement. The principal is the catalyst to the efforts of the professional community within the school to improve and share their expertise, mentor one another and focus on methods for teaching excellence and improved student achievement. In this view, the measure of an effective principal is how many leaders they have developed and left behind when they move on to new schools or new assignments. The principal must therefore be a builder of learning communities, both within and beyond the school. The most promising strategy for sustained substantive school improvement is building the capacity of individuals and groups of school personnel to function as a professional learning community. It is the path to change in the classroom. What is a professional learning community? What does it look like? Rick and Rebecca DuFour and Bob Eaker (2002) identify the following qualities:



• Shared mission, vision and values • Collaborative teams • Collective inquiry • Action orientation/experimentation • Commitment to continuous improvement • Results orientation.

A learning community is one in which community members take responsibility for their own learning toward a purpose that they define, in this case raising the bar on student achievement and closing the gap between highest and lowest performers and ensuring productive members of a civil society. A learning community shares its expertise among community members, develops new practices and discards what isn’t working, seeks out new community members to add to its collective learning, reflects on action and seeks to continuously improve. Within the school, the principal focuses on building professional learning communities among the staff. Through such learning communities, leadership is developed and shared and the overall capacity of the school is enhanced. In earlier thinking on the role of the principal, much was written and discussed concerning the principal as instructional leader. While there seem to be different definitions of this in theory, and manifestations of this in practice, Michael Fullan sees the principal as instructional leader as perhaps too limited a description of the role. The principal will also participate in learning communities with other principals within his or her own board and beyond. The principal will work with other principals to mentor one another and share ideas and knowledge among principals in the district and across the province. They will work through the OPC and local and regional networks to build learning communities of principals focused on “raising the bar” on principal leadership, “closing the gap” between exemplary leaders and those who are struggling and maintaining the focus on the moral imperative of school leadership. Through principal learning communities, they will reach out to the potential new principals of the future. The principal must also look outside of the professional learning communities toward building ones beyond the school and the profession. This means reaching out to parents, community agencies, business leaders and other stakeholders in education. Parental engagement in their children’s education has proven a powerful force in improved student achievement. Involving parents is a critical aspect of the principal’s role.



The principal is also responsible for engaging the community in the moral imperative of public education and finding meaningful ways for community members to participate. The school exists within the context of its broader community. The resources of the community can be used to enrich the educational experience and can be involved as a force for positive change. In addition, building learning communities means working with other levels within the education system, at the school district level and at the ministry level, in a broad community focused on continuous educational improvement within Ontario. 4. Improving School Capacity Michael Fullan describes school capacity as the collective power of the full staff to improve student achievement. This capacity is further described as including and requiring: • knowledge, skill and dispositions of individuals • a sense of professional community, focused on the moral purpose of the

school • coherence in the educational program of the school, including curriculum and

learning resources aimed at supporting teaching and learning • principal leadership capacity, including the skill sets and emotional

intelligence of the principal as a leader • the technical resources, which in the 21st century school, include access to

appropriate information and communications technologies (ICT). The principal must engage the staff, community and board officials in efforts towards continuously improving school capacity. “Principals build trust, focus the school, convene and sustain the conversation and insist on the implementation of policy and practice,” says Linda Lambert (2003). Capacity-building principals align their actions to the belief that everyone has the right, responsibility and capability to work as a leader. She also articulates 15 Leadership Capacity Action Steps for Principals: • Know yourself – clarify your values • Extend your understanding to school and staff • Assess the leadership capacity of your school • Vow to work from the school’s current condition and walk side-by-side with

other staff • Build trust through honesty, respect, and follow-through • Develop community norms • Establish decision-making rules • Create a shared vision • Develop leadership capacity in others, including theories about leadership



• Establish a leadership team as a design team • Convene and sustain regular in-depth conversations • Establish a cycle of inquiry • Develop goals and plans for action • Engage in communication processes designed to develop trust, relationships

and leadership; provoke quality performance; and implement community decisions

• Develop a reciprocal relationship with district personnel. Knowledge, skills and dispositions of individuals can be impacted by professional development for teachers and building of professional learning communities. The principal works with staff, board and community to create a positive climate focused on teaching and learning, removing barriers and resolving problems as they arise. In addition, this means that principals must work with teachers on individual teacher performance assessment and professional development, providing the necessary supports to help teachers improve their performance as necessary. “Teacher evaluation systems are the only systems a school or district has to ensure [publicly] that every student is taught by a competent professional; the system must be able to make that guarantee. But because the vast majority of teachers are competent – and most are excellent – the evaluation system should help improve as well as assess teacher practice. Carefully designed evaluation systems can offer teachers [and other staff] valuable opportunities to reflect on their practice and enhance their skills. [It] is an important aspect of its professional culture and must convey both respect for teacher and high expectations for performance” (Danielson, 2002). This requires an effective Teacher Performance Appraisal System. Working with the staff and board officials, the principal ensures that the school has the teaching capacity and the necessary support resources to enable students to achieve curriculum expectations. Where there are issues with the curriculum, or access to resources, the principal can provide the appropriate input to the board or to broader policy forums on curriculum matters. Technical resources within the school need to be available to support the teaching and learning requirements. In the 21st century knowledge economy, use of information and communications technology (ICT) for teaching and learning is an important educational issue. ICT skills and knowledge are critical to success in the modern economy and society, and appropriate use and integration of ICT into the instructional program of the school is an important leadership role for the principal.



Principals must also focus in an ongoing way on their own leadership skills and capacities. This includes exercising the emotional intelligence necessary to motivate themselves and others toward the moral imperative of education and build the necessary relationships with all the stakeholders in the educational system. 5. Facilitating Student Access to Community Services The basic social and health needs of children must be met before there can be effective education. In Ontario, there is an increasing emphasis on integrating services for children within the context of the school. Rather than having parents and children face a confusing array of social services and supports in a variety of locations in the community, the emphasis is to integrate services and provide them in a way that enables better access. The intent is to integrate some social services and supports within the school to ensure the focus remains on supporting students in their learning in a safe and secure environment, while addressing the other issues in the child’s health and development. The principal provides the necessary leadership to facilitate the delivery of social services and supports so that they are effectively accessed within the school environment to serve the needs of the child and involve the parents appropriately. Engaging the social service agencies as part of a learning community focused on integrated services for children at the local level is increasingly part of the principal’s role. Also, there is now ample research showing the critical importance of the early years to long-term human success. In particular, overall readiness for school learning at age five has been identified as a key, leading indicator of overall student achievement (Mustard, 2002). The principal therefore has a role in fostering and supporting community-based early childhood development programs to help ensure that students maximize their potential when they get to school.



6. Establishing an Evidence-Based School Performance System The principal must work with staff and school board officials to gather the kind of information on school and student performance to enable ongoing monitoring and continuous improvement. Some of the information gathered will be mandated by the Ministry of Education or local school board policy. Other information may be unique to a school and achievement of its particular vision and mission. The key is to build in systems to use the information in a cycle of continuous improvement. Learning communities adapt and change what they are doing based on feedback and assessment. Self-evaluation and adaptation to changing conditions are key elements to effective learning communities. School improvement planning and external assessment agencies such as the EQAO must support the various learning communities within and beyond the school. This means providing parents and the broader community with the kind of information they need to become involved with, and participate in, the school’s efforts toward raising the bar and closing the gap on student achievement. 7. Effectively Managing School Resources While the role of the principal is driven by the moral purpose of education, the principal is also charged with the responsible leadership for the management of the human, financial and physical resources of the school. Adequate administrative resources must be available to accomplish this properly. The principal must work with school and board staff to streamline administrative processes to enable the principal to focus on the moral imperative and to reduce the amount of time spent on administrative tasks. This issue takes on more importance when greater school autonomy and flexibility with resources are necessary for the development of effective learning communities.



8. Aligning with the Policy and Regulatory Environment It is the principal who must keep the collective focus on the moral imperative of public education, while at the same time keeping practices in the school aligned with the education policy and regulatory environment within which the school operates. Education is a highly regulated activity in Ontario. While the policy and regulatory environment should not define what the principalship is, it does define certain requirements and responsibilities concerning what the principal and the school must do. While existing policies and regulations may change or even disappear, there will continue to be a policy and regulatory regime within which public education is delivered. It is incumbent on the principal to know the policies and regulations to ensure that school practices are aligned with requirements. It is also important that the principal see beyond the policies and regulations to the moral purpose of education, and have the flexibility to build school capacity and support the learning communities necessary to focus on that purpose.



E. Implications The role of the principal is being reconceived as that of a developmental leader, a capacity builder and builder of learning communities dedicated to the moral purpose of public education. The leadership of the principal is key to infusing this moral purpose throughout the school and into the broader community it serves. However, for sustainable widespread education reform to occur, leadership is required at both the individual and system levels. The type of leadership required in schools is the same type of leadership required in school boards and in the government. Whether at the school, board or government level, leadership must be developmental, collaborative and driven by moral purpose. While this is the principal’s role as it should be, it is not as it is generally experienced. To support and develop the principalship toward such a leadership role, the Ontario Principals’ Council believes there are a number of changes required at the school, board and ministry levels. • There is a need for broad agreement on a reconceived role of school

leadership, which involves agreement on the moral purpose of public education. This also means formally redefining the principal’s, and other’s roles and authorities in policy and legislation.

• Principals need greater authority at the school level, together with adequate

discretionary spending, to achieve the school’s vision and mission. • The administrative burden and/or classroom teaching responsibilities must be

eased for school administrators. There needs to be a rebalancing of management and leadership to free them up for the leadership roles that are essential for them in accomplishing their moral purpose.

• Systems for efficient data management need to be developed so that

informed decisions around student achievement can be made at the school level.

• Investment in leadership development is required, focused on leaders

developing leaders at all levels through participation in learning communities. • There is a need to consider how we can attract good teachers to the

principalship and retain exemplary ones in the role. • Learning communities must be encouraged and supported, including tools

and processes for collaboration within and among schools and among boards.



• Resources, particularly in-school time resources, are needed for school capacity building, in-school collaboration on student progress, induction, mentorship and professional and staff development.

• The provincial government will need to simplify legislation, regulations and

policies while still ensuring appropriate controls. • A mechanism for the coordination of community services needs to be

developed. Such a view of the role of the principal, if generally accepted within the education and broader communities, would clearly necessitate significant changes throughout the education system. Such changes from the status quo would require broad-based discussion with all education stakeholders to determine how the principal’s role can be accommodated and supported in a sustainable way and for the system to achieve its purpose of excellence in student achievement. In particular, broad-based discussions need to take place to address the following questions: Government • What are the impacts of present provincial legislation, regulations, funding

mechanisms and policy in fostering or frustrating the role? • How should new policies and programs be reviewed before implementation to

ensure consistency with the role? • What time, human and dollar resources will be required to allow for the

development of the role? School Boards • What are the impacts of present school board policies and practices (e.g.

principal relocation policies) in fostering or frustrating the role? • What implications are there for the role of the supervisory officer, the board

itself or school councils?



Teacher Unions • How do teacher unions support their members while allowing for the

workplace flexibility required within the renewed role of the principal? • What does teacher leadership and capacity building look like within the new

role? Broader Community • How and to what extent are broader community services coordinated for

students within the school? • How can we ensure broad access to early childhood development programs

for pre-school children to maximize the potential of their future school experiences?

Professional Development • What professional development is required at all levels and how should it be

delivered? • What pre-service training implications are there at all levels?



F. Moving Forward Such broad based changes would obviously require considerable dialogue and time to find agreement. The change may be simply too large to happen at one time and could collapse under its own complexity. However, should there be general agreement that enhanced student achievement and sustained progress requires a shift in the role of the principal more in line with the one proposed in this document, significant progress can be made using a specific program or project as a pilot. Fortunately, such an opportunity exists. The Government of Ontario has announced enhanced literacy and numeracy initiatives. Such initiatives are at the heart of the moral purpose of public education and of the principal’s role. If the implementation strategies tied to the literacy and numeracy initiatives included components and resources specifically related to the renewed role of the principal, (including the shared development of school literacy and numeracy plans, ensuring shared and collaborative opportunities within and beyond the school, focusing on the professional development needs of all staff, establishing systems to monitor progress in literacy and numeracy in the school, etc.), then a province-wide shift to a renewed role would be facilitated. This could result in enhanced short-term improvements in the literacy and numeracy initiatives and the start of a longer-term general shift to the role in all aspects of the school. There is no question that such a move to reshape the role of the principal will be difficult. The energy required to shift the institutional and personal equilibrium will be significant. But if a critical mass of developmental leaders can be established, then they will “…surround themselves with other leaders across the system as they spread the new leadership capacities to others…People find meaning by connecting to others; they find well-being by making progress on problems important to their peers and of benefit beyond themselves” (Fullan, 2004a). The Ontario Principals’ Council thanks the Minister of Education for the opportunity to provide input into this important debate. We look forward to working with our education partners in further delineating the role of the principal, in an effort to improve student achievement for all students in Ontario.



References Castle, J. & Mitchell, C., Roles of Elementary School Principals: Tasks and Tensions, OPC-funded research, Ontario Principals’ Council, Internal Document, 2001. Cotton, Kathleen, Principals and Student Achievement: What the Research Says, Northwest Regional Educational Laboratory, Association for Supervision and Curriculum Development, Alexandria, Virginia, 2003. Danielson, Charlotte, Enhancing School Achievement, Association for Supervision and Curriculum Development, Alexandria, Virginia, 2002. DuFour, R., Burnette, R. and Eaker, R., Getting Started: Reculturing Schools to Become Professional Learning Communities, National Education Service, Bloomington, Indiana, 2002. Fullan, Michael, The Moral Imperative of School Leadership, Ontario Principals’ Council and Corwin Press, 2003. Fullan, Michael, Leadership and Sustainability: System Thinkers in Action, Ontario Principals’ Council and Corwin Press, 2004a. Fullan, Michael, “Symposium Report: Fundamentals and Renewal,” Professionally Speaking, Ontario College of Teachers, March 2004b. Government of Ontario, “Strengthening the Foundation for Change,” Speech from the Throne, November 20, 2003. Kennedy, Carole, “The Principalship: Too Much for One Person?” Principal, Volume 82, Number 1, September/October, 2002. Lambert, Linda, Leadership Capacity for Lasting School Improvement, ASCD, Alexandria, Virginia, 2003. Lezotte, Lawrence W., Creating the Total Quality Effective School, Effective Schools Products Ltd, Michigan, 1992. Meyer, M. J. & MacMillan, R. B., “The Principal’s Role in Transition,” International Electronic Journal for Leadership in Learning, Volume 5, Number 13, September, 2001. Mustard, J. F., “Early Childhood Development and the Brain – The Base for Learning and Behaviour Throughout Life.” in M. E. Young, From Early Child Development to Human Development, The World Bank, Washington, D. C., 2002.



National College for School Leadership, National Standards for Headteachers: Draft Consultation Document on Proposals for Revised Standards, prepared at the request of the Department for Education and Skills, Government of the U.K., September 2003. Ontario Principals’ Council, The Role of the Principal as defined by Statute and Contract, Internal Document, Toronto, 2002. Ontario Principals’ Council, Proceedings from the OPC International Symposium on School Leadership, Internal Document, Toronto, 2003. Saskatchewan Learning, A Significant Journey: A Saskatchewan Resource for the Principalship, Regina, 2003. Senge, Peter, Schools that Learn, A Fifth Discipline Resource, Doubleday, New York, 2000. Whitaker, Todd, What Great Principals Do Differently, Eye on Education, Larchmont, NY, 2003. Williams, Thomas R., Unrecognized Exodus, Unaccepted Accountability: The looming Shortage of Principals and Vice-Principals in Ontario Public School Boards, Ontario Principals’ Council and Queen’s University, 2001.



Appendix A

THE ROLE OF THE PRINCIPAL Defined by Statute and Contract

As at September 2004 The role of principals and vice-principals is defined largely by statute and by the terms and conditions of their employment with District School Boards. While the relevant statutes and regulations are reasonably precise in their imposition of duties and responsibilities, the terms and conditions documents tend to refer vaguely to a principal’s responsibility to enforce and abide by “Board policy”. Board policies vary from board to board and cover a range of topics. These have not been canvassed here. Set out below are various “categories” of principal/vice-principal responsibility, including the duties they continue to be obligated to perform as “teachers” under the Education Act and associated regulations. Some duties relate to more than one category, and so are reproduced in more than one section. This document is intended to provide an overview, only, and does not purport to be all-encompassing. Pupil Discipline

Statutory Reference Description of Responsibility Reg. 298, s. 11(1)(a) Responsible for the instruction and the discipline of pupils in the

school Reg. 298, s. 11(3)(n) Report promptly any neglect of duty or infraction of school rules by

pupil to parent Reg. 298, s. 20(h) Co-operate with the principal and other teachers to establish and

maintain consistent disciplinary practices in the school Ed. Act, s. 265(a) Maintain order and discipline in the school

Ed. Act, s. 303 May be required to establish local code of conduct

Ed. Act, s. 303 (1) A board may direct the principal of a school to establish a local code of conduct governing the behaviour of all persons in the school, and the local code must be consistent with the provincial code established under subsection 301 (1) and must address such matters and include such requirements as the board may specify.

Ed. Act, s. 303(2) A board shall direct a principal to establish a local code of conduct if the board is required to do so by the Minister, and the local code must address such matters and include such requirements as the Minister may specify.

Ed. Act, s. 303(3) When establishing or reviewing a local code of conduct, the principal shall consider the views of the school council with respect to its contents.



Ed. Act, s. 306 (4) Duty to suspend, principal The principal has a duty to suspend a pupil who commits an infraction requiring a mandatory suspension, unless a teacher has already suspended the pupil for the infraction.

Ed. Act, s. 306 (7) Referral to principal If a teacher who suspends a pupil under this section is of the opinion that a longer suspension of the pupil is warranted, the teacher shall recommend to the principal that the suspension be extended.

Ed. Act, s. 306 (8) Extension by principal Upon receiving a recommendation from a teacher to extend the suspension imposed on a pupil by the teacher, the principal may extend the suspension up to the maximum duration permitted by subsection (2)

Ed. Act, s. 306 (9) Factors affecting duration of suspension In order to determine the duration of a mandatory suspension, the principal shall consider the pupil’s history and such other factors as may be prescribed by regulation and the principal may consider such other matters as he or she considers appropriate.

Ed. Act, s. 307 (4) Authority to suspend, principal The principal may suspend a pupil who engages in an activity for which suspension is discretionary.

Ed. Act, s. 309 (2) Duty to suspend pending expulsion, principal The principal shall suspend a pupil who the principal believes may have committed an infraction for which expulsion is mandatory.

Ed. Act, s. 309 (3) Mitigating factors Despite subsection (1), expulsion of a pupil is not mandatory in such circumstances as may be prescribed by regulation.

Ed. Act, s. 309 (4) Action following suspension If the principal suspends a pupil under subsection (2), the principal shall promptly refer the matter to the board or conduct an inquiry to determine whether the pupil has committed an infraction for which expulsion is mandatory.

Ed. Act, s. 309 (5) Notice of suspension The principal shall ensure that written notice of the suspension under subsection (2) is given promptly to the pupil and, if the pupil is a minor, to the pupil’s parent or guardian.

Ed. Act, s. 309 (6) Conduct of inquiry The principal’s inquiry shall be conducted in accordance with the requirements established by a policy of the board and the powers and duties of the principal are as specified by board policy.

Ed. Act, s. 309 (7) Action following inquiry If, after the inquiry, the principal is satisfied that the pupil committed an infraction for which expulsion is mandatory, the principal shall, a) impose a limited expulsion as described in subsection (14) on the pupil; b) refer the matter to the board for its determination.



Ed. Act, s. 309 (8) Restriction on expulsion by principal The principal cannot expel a pupil if more than 20 school hays have expired since the principal suspended the student under subsection (2), unless the parties to the inquiry agree upon a later deadline.

Ed. Act, s. 309 (20) Notice The principal or board that expels a pupil under this section shall ensure that written notice of the mandatory expulsion is given promptly to the pupil and, if the pupil is a minor, to the pupil’s parent or guardian.

Ed. Act, s. 310 (2) Suspension pending expulsion, principal If the principal believes a pupil may have engaged in an activity for which expulsion is discretionary, the principal may suspend the pupil.

Ed. Act, s. 310 (3) Other matters If the principal suspends a pupil under subsection (2), subsections 309 (4) to (20) and 309 (22) apply, with necessary modification, with respect to an expulsion authorized by this section.

Pupil Safety

Reg. 298, s. 6 Emergency procedures

Reg. 298, s. 20(g) Ensure that all reasonable safety procedures are carried out in courses and activities for which the teacher is responsible

C.F.S.A., s. 72(1) Report to CAS when have reasonable grounds to suspect child abuse

Ed. Act, s. 265(a) Maintain order and discipline in the school

Ed. Act, s. 265(j) Care of pupils and property

Ed. Act, s. 265(k) Report to Ministry of Health

Ed. Act, s. 265(l) Refuse admission to infected persons

Pupil Instruction

Reg. 298, s. 11(1)(a) Instruction and the discipline of pupils in the school

Reg. 298, s. 11(3)(a) Supervise the instruction in the school

Reg. 298, s. 11 (3)(k) Instruction of pupils in the care of the school premises



Reg. 298, s. 11(3)(m) Obtain permission to administer a test of intelligence

Reg. 298, s. 11(11) Arrange for home instruction for pupils in appropriate circumstances

Reg. 298, s. 20(a) Be responsible for effective instruction, training and evaluation of the progress of pupils in the subjects assigned to the teacher and for the management of the class or classes, and report to the principal on the progress of pupils on request

Reg. 298, s. 20(d) Unless otherwise assigned by the principal, be present in the classroom or teaching area and ensure that the classroom or teaching area is ready for the reception of pupils at least fifteen minutes before the commencement of classes in the school in the morning and, where applicable, five minutes before the commencement of classes in the school in the afternoon

Reg. 298, s. 20(f) Prepare for use in the teacher’s class or classes such teaching plans and outlines as are required by the principal and the appropriate supervisory officer and submit the plans and outlines to the principal or the appropriate supervisory officer, as the case may be, on request

Reg. 143/04 Recommending Grade 7-10 pupils take a remedial program in literacy/numeracy Recommending additional course work for Gr. 9 students

R.R.O. 1990, Reg. 285

Be the principal of the continuing education courses and classes in the school

Ed. Act, s. 28 Report names, ages, residence of pupils to attendance counsellor and S.O. and report in writing to school attendance counsellor or in every case of expulsion and readmission

Ed. Act, s. 40 Admissions to students from other districts or zones

Ed. Act, s. 41 Admission to secondary school, alternative programs and continuing education

Ed. Act, s. 264(1) Encourage pupils in the pursuit of learning

Ed. Act, s. 265(2) Provide for co-instructional activities

Ed. Act, s. 287.1(1) A principal or vice-principal may perform the duties of a teacher despite any collective agreement

Ed. Act, s. 264(1) (for teaching principals)

Teach diligently and faithfully the classes or subjects assigned

Ed. Act, s. 264(1) (for teaching principals)

Conduct his or her class(es) (if applicable) in accordance with a timetable to participate in board P.D. days

Special Education

Reg. 181/98, s. 6(2) Develop an IEP for pupil in consultation with parent for whom special education program is to be provided



Reg. 181/98, s. 6(4) Develop a transition plan to appropriate post-secondary activities

Reg. 181/98, s. 7 Review IEPs upon direction from board

Reg. 181/98, s. 11(2) Serve on identification and placement of exceptional pupils committees (IPRC)

Reg. 181/98, s. 14(21)

Refer pupils to IPRC

Pupil Supervision

Reg. 298, s. 11(3)(e) Supervision of pupils when the school buildings and playgrounds are open

Reg. 298, s. 11(3)(f) Supervision of and the conducting of any school activity

Reg. 298, s. 23(2) &(3)

Responsible for monitoring student attendance

Reg. 298, s. 23(4) Every pupil responsible for his/her conduct to the principal

Reg. 665/91 Supervised Alternative Learning for Excused Pupils

Reg. 665/91, s. 3 Receive applications and forward to committee

Reg. 665/91, s. 7(2) Make achievement reports to the parent

Reg. 298, s. 20(b) (for teaching administrators)

Carry out the supervisory duties and instructional program assigned to the teacher by the principal and supply such information related thereto as the principal may require

Staff Supervision

Reg. 274/01, s. 10(1)(d)

Receive reports from teachers responsible for instruction of a course on the progress of the pupils in the course

Reg. 298, s. 11(1)(a) Instruction and the discipline of pupils in the school

Reg. 298, s. 11(3)(a) Supervise the instruction in the school

Reg. 298, s. 11(3)(b)

Assign duties to vice-principals and teachers in charge

Reg. 298, s. 12(2) A vice-principal shall perform such duties as are assigned to the vice-principal by the principal.

Reg. 298, s. 12(3) In the absence of the principal of a school, a vice-principal, where a vice-principal has been appointed for the school, shall be in charge of the school and shall perform the duties of the principal.

Reg. 298, s. 26(2) Administratively supervise psychiatrists, psychologists, social workers and other professional support staff where such persons are performing their duties in the school



Ed. Act, s. 171(1) Assign volunteers such duties as are approved by the board and terminate such assignments

Ed. Act, s. 171(3) Determine work to be done by teachers in the 5 days preceding the start of the school year, subject to the authority of the S.O.

Ed. Act, s. 264(1) Assign classes or subjects to teachers

Ed. Act, s. 277(17) Delegate duties to vice-principal

Staff Evaluation

Reg. 98/02, s. 2 Consult with teachers on their annual learning plan

Reg. 99/02 Notify every teacher for whom the year is an evaluation year within 20 school days after a teacher commences teaching Evaluate the teacher’s competencies and assign a rating Conduct a pre-observation meeting and complete a pre-observation profile, conduct a classroom observation to evaluate the teacher’s competencies, conduct a post-observation meeting and complete the post-observation report, finalize the teacher’s learning plan, consider the teacher’s response to any parent and/or pupil input, prepare a summative report and provide to teacher within 20 school days after the classroom observation, meet with teacher upon request

Reg. 298, s. 11(3)(g) Conduct performance appraisals

Reg. 298, s. 11(3)(h) Report on performance appraisals to board and give copy to teacher

Reg. 298, s. 11(3)(i) Report on request on effectiveness of members of teaching staff and give teachers named a copy of the report

Reg. 298, s. 11(3)(j) Make recommendations to the board with respect to (i) appointment and promotion of teachers; (ii) demotion or dismissal of teachers

Ed. Act, s. 277.30 May conduct additional TPAs he/she considers appropriate Must give notice of rating for each TPA May refuse additional TPA requested by teachers



Ed. Act, s. 277.36(2) Following an unsatisfactory teacher performance appraisal the principal must, within 15 school days,:

(a) give teacher written notice with reasons for unsatisfactory rating;

(b) explain what is lacking in teacher’s performance (c) explain what is expected of teacher (d) with teacher input, recommend steps/actions for improvement (e) copy teacher and supervisory officer with performance

appraisal document (f) provide teacher and supervisory officer with summary of (a) –

(c) (g) provide teacher and supervisory officer with improvement plan

setting out steps/actions in (d) Ed. Act, s. 277.36(3) Within 60 days of giving notice of a first unsatisfactory rating,

conduct a second performance appraisal Ed. Act, s. 277.36(1) and (2)

Within 15 school days of conducting a second unsatisfactory teacher performance appraisal, the principal must repeat steps (a) through (g) above

Ed. Act, s. 277.38(1) During any period while a teacher is on review, the principal must: (a) monitor the teacher’s performance; (b) consult regularly with the supervisory officer regarding the

teacher’s performance and steps that may be taken to improve it; and

(c) provide feedback and recommendations to the teacher to help improve his/her performance

Ed. Act, s. 277.38(3) and (5)

Except where the protection of pupils’ best interests is at issue, the principal must conduct a third performance appraisal within 120 days of the teacher being placed on review

Ed. Act, s. 277.38(9) If a third performance appraisal is unsatisfactory, a principal must promptly recommend to the board, in writing, that the teacher’s employment be terminated

Staff Co-operation

Reg. 298, s. 20(c) Where the board has appointed teachers under section 14 or 17, co-operate fully with such teachers and with the principal in all matters related to the instruction of pupils.

Ed. Act s. 265(b) Develop co-operation among members of the staff

Staff Safety

Occ. Health and Safety Act, ss. 25-27

Duties of Employer/Supervisor relating to protection of workers (extensive list of duties)

Occ. Health and Safety Act, Reg. 856, s. 3(1)

A principal, vice-principal or….is a person who has charge of a school or authority over a teacher and exercises managerial functions



School Administration

Reg. 298, s. 3(6) Provide for recess or intervals for pupils between periods

Reg. 298, s. 11(1)(b) Organization and management of the school

Reg. 298, s. 11(3)(b) Assign duties to vice-principals and teachers in charge of organizational units or programs

Reg. 298, s. 11(3)(c) Retain on file up-to-date copies of outlines of courses of students that are taught in the school

Reg. 298, s.7 Select textbooks for use of pupils

Reg. 298, s. 11(3)(c) Retain on file up-to-date copies of outlines of all courses

Reg. 298, s. 11(3)(d) Make outlines of courses of study available

Reg. 302 Supervise the distribution of free milk to pupils

Ed. Act, s. 265(h) Ensure textbooks are those approved by the Board or Minister

Ed. Act, s. 266 (2.1) Give MOH personal information in respect of pupils at the school

Ed. Act, s. 266(5) Consider requests for changes to pupil records by parents

Ed. Act, s. 3(q) Assign suitable quarters for lunch

Access to School

Reg. 474, s. 5.3(1) Judge whether a person’s presence on school premises is detrimental to the safety or well-being of a person on the premises

Ed. Act, s. 265(l) Refuse Admission of Persons with communicable diseases

Ed. Act, s. 265(m) Access to School or Class - Right to Refuse

Ed. Act, s. 265(n) Visitor’s Book

Ed. Act, s. 305 (4) The principal of a school may direct a person to leave the school premises if the principal believes that the person is prohibited by regulation or under a board policy from being there.

Reports to Ministry

Reg. 298, s. 11(3)(p) Provide information to Ministry upon request concerning instructional program, operation or administration of school

Reg. 298, s. 11(12) Distribute Ministry reports to members of school council and post in school

Ed. Act, s. 265(k) Report to M.O.H. re: communicable diseases

Building Maintenance



Reg. 298, s. 11(3)(l) Inspect the school premises and make reports to board

Reg. 298, s. 11(3)(q) Assign suitable quarters for pupils to eat lunch

Ed. Act, s. 265(j) Care of pupils and property

Community

Reg. 298, s. 11(3)(o) Promote and maintain close co-operation with residents, industry, business

Reg. 298, s. 20(e) Assist the principal in maintaining close co-operation with the community

School Council

Reg. 435/00, s.2(3) Before principal decides whether opening or closing exercises will include recitation of the pledge of citizenship, shall consult with school council (must be reviewed annually 2(4))

Reg. 298, s. 11(12) Provide Ministry materials to school council

Reg. 298, s. 11(12.1) Post Ministry materials distributed to school council in the school

Reg. 298, s. 11(13) & (14)

Make names of school council members known to parents within 30 days of election

Reg. 298, s. 11(16) Attend every meeting of school council, unless ill or reason beyond control

Reg. 298, s. 11(17) Act as resource person to school council and assist school council in obtaining information

Reg. 612/00, s.3 Principal a member of school council

Reg. 612/00, s. 4(6) Principal shall give written notice of school council election to parents

Reg. 612/00, s. 12(7) Principal shall give written notice of school council meetings to parents

Reg. 612/00, s. 12(27)

Fix a date for the first school council meeting within the first 35 days of the school year

Reg. 612/00 s.18 Principal may delegate powers to a vice-principal

Reg. 612/00, s. 20 Receive recommendations from school council

Reg. 612/00, s. 24 Receive school council’s annual report and distribute to parents of every pupil in school

Reg. 298, s. 11(19) & s. 303 (3)

Solicit views of school council in respect of: • local code of conduct • school policies respecting appropriate dress • school action plans for improvement based on EQAO reports



Ed. Act, s. 303 (3) When establishing or reviewing a local code of conduct, the principal shall consider the views of the school council with respect to its contents.

Ed. Act, s. 265(3) Consult school council at least once each school year re: school plan for co-instructional activities

Reports to Board

Reg. 298, s. 11(9) Inform Board if a pupil has inadequate supplies

Reg. 298, s. 11(10) Transmit reports and recommendations to the Board through the appropriate supervisory officer

Ed. Act, s. 265(i) Reports to Ministry and S.O. as required

Standards for Conduct by Principals

O. Reg. 437/97 Professional Misconduct

Ed. Act, s. 264(1)(c) Inculcate by precept and example respect for religion and the principles of Judeo Christian morality and the highest regard for truth, justice, loyalty, love of country, humanity, benevolence, sobriety, industry, frugality, purity, temperance and all other virtues.


Ontario Principals' Council · PDF fileThe Role of the Principal Ontario Principals’...

Documents

Transcript of Ontario Principals' Council · PDF fileThe Role of the Principal Ontario Principals’...