Your role as a Principal
Governance and management
A sound and supportive working relationship between the board and principal is essential for good governance and management of a school. For the relationship to work effectively the areas of responsibility must be well defined, mutually understood and agreed upon. This is done through well-defined job descriptions and performance agreements.
In its governance role the board is primarily responsible, through its charter, for establishing school strategic learning and achievement goals. This requires the board to develop policies after consultation with the principal, staff, and school community, to monitor and evaluate their results and to review the policies regularly. The board supports the principal's management role by providing the delegated authorities in curriculum, administration, personnel and finance matters to allow the principal to manage effectively.
Delegations should be formally recorded in school policies and/or board meeting minute items and in a letter from the BoT to the Principal (note legislation). These delegations should be reviewed annually.
In carrying out management duties the principal needs to ensure that appropriate legal requirements and school policy directions are complied with. The principal needs to ensure that the way policies and programmes are implemented enables the school to achieve its educational objectives.
Reporting to the board on a regular basis about day-to-day educational, personnel and administrative affairs is a very important part of successful governance and management.
Clarifying roles
Goodwill, mutual respect and support are the main elements of the school management partnership.
Successful schools are collaborative enterprises. Partnership in primary school management is the commitment of professionals and the community to work together to provide the best education for children.
The questions principals ask most often about governance and management are specific and often relate to actual situations of role conflict: 'Should a board of trustees be involved in handling complaints against teachers?'; 'Has the board chairperson the right of free access to the school office?'; 'Should trustees discuss school performance with teachers?'.
Many of the problems principals encounter in the governance-management circle often appear to have their origins in inadequate policy guidance for principals, and in communication problems between people.
Clarity and agreement on roles and responsibilities are necessary for the successful management of schools. Once agreements and understandings are in place, the parties in the partnership must trust one another to get on with the job.
The law
The Education Act 1989 (s.75) states that the board of trustees "has complete discretion to control the management of the school as it thinks fit."
S.76 states that the principal "has complete discretion to manage the day-to-day administration within the general policy direction of the board."
Legislation sets the parameters for school management but the practical application of law is best worked out among the people responsible for managing the school: the principal and the board of trustees.
School policy
Policies are the key instruments in day-to-day school management.
Initiating and advising the board on policy development is a major part of the principal's responsibilities and role. In policy areas that concern staff, particularly curriculum and personnel, it is wise to ensure they are fully informed and have the opportunity to be directly involved in the process of development.
Without a sound policy base and a process of ongoing review and development, school management is reactive and ad hoc. Difficulties in communication are compounded.
Communication And Relationships
Principals need to have a high level of interpersonal and communication skills. The job demands the ability to handle complex human relationships effectively and positively. Professional reading and training, particularly in communication, are recommended.
In a very real sense principals are community educators. This can involve translating ideas and information into a language and concepts that can be understood and accepted by everyone.
The principal has a leadership role in facilitating educational goal setting and leading learning in the school. Training and teaching experience equip principals with the skills and techniques to generate ideas and discussion. Professional commitment helps to shape the community's vision for its children. Practical experience of schools and educational agencies enables principals to provide feedback on how decisions might work.
The manner in which new information and ideas is presented strongly influences their acceptance.
Vision and ideas need to be articulated clearly. It's also important that principals actively listen to the ideas of others whose experience of life and work may be different.
The best primary schools need principals and boards of trustees who have the courage to propose and try new directions, and the wisdom to abandon positions that are unproductive and unworkable. Principals need to have a vision for primary education they can share with staff and the community. They need to be flexible thinkers and creative designers, encouraging and supporting all those involved in the complexities of managing a school.
Consultation
Making a school work requires a partnership between the principal, the staff, the board of trustees and the community. Teaching is a collegial process. Classroom teachers learn from each other, sharing ideas and strategies, experience and enthusiasm. Teachers work alongside support staff who in turn give and receive advice as well as providing invaluable support. It is important to take this model into the role of principal. Consultation will help to ensure all involved make a useful contribution to the partnership.
What is consulting?
- listening rather than telling
- talking with others to increase one's understanding of an issue
- seeking to understand another's point of view
- giving others sufficient information and time to form a view
- being prepared to modify one's own view.
Consulting with staff and the community will create ownership on a range of issues.
Consulting is a legal requirement on certain matters
The Primary Teachers, Deputy Principals and Assistant Principals and other Unit Holders Collective Agreement has requirements to consult in particular with staff on the allocation of units, the implementation of Classroom Release Time and during the surplus staffing process. The Support Staff in Schools Collective Agreement also has requirements to consult support staff on the setting and varying of hours and weeks of work.
Principals should always consider whether they should consult and whether they are required to consult, when making important decisions.
A useful consultation checklist
Has the principal:
- presented a proposal not yet fully decided on and/or asked for views and used these to formulate the proposal?
- listened to what the parties have to say?
- considered their responses?
- kept an open mind, been ready to change or even make a fresh start?
- made a genuine effort to accommodate the parties' views?
- provided access to all relevant information?
- provided a realistic timeframe in which to state views orally or in writing?
Although consultation does not mean one has to negotiate towards an agreement or give anyone the right to demand assurances, there is a tendency in consultation to seek consensus. The implications of ignoring the information and views gathered during the consultation process must be considered.
People feel disenfranchised if their contribution is ignored.
Managing Staff
Principals as good employers
The good employer principle is stated in law. Section 77A of the State Sector Act requires boards of trustees to act as good employers, treating employees fairly, recognising the special needs of Māori, women and minorities in employment.
State Sector Amendment Act 1989. Section 77A.
General principles:
(1) Every employer in the Education service shall operate a personnel policy that complies with the principle of being a good employer.
(2) For the purposes of this section, a 'good employer' is an employer who operates a personnel policy containing provisions generally accepted as necessary for the fair and proper treatment of employees in all aspects of their employment, including provisions requiring -
a) Good and safe working conditions; and
b) An equal employment opportunities programme; and
c) The impartial selection of suitably qualified persons for appointment; and
d) Recognition of
(i)The aims and aspirations of the Māori people;
(ii)The employment requirements of the Māori people;
(iii)The need for greater involvement of the Māori people in the Education service;
e) Opportunities for the enhancement of the abilities of individual employees;
f) Recognition of the aims and aspirations, and the cultural differences, of ethnic minority groups;
g) Recognition of the employment requirements of women;
h) Recognition of the employment requirements of persons with disabilities.
(3) In addition to the requirements specified in sub sections (1) and (2) of this section, each employer shall ensure that all employees maintain proper standards of integrity, conduct and concern for
(a) The public interest;
(b) The wellbeing of students attending the institution.
School policies and guidelines
The good employer principle is restated in the school charter personnel goals and objectives. The personnel policies and guidelines will state how those principles will be applied in practice: how staff will be treated fairly, impartially selected for appointment, given opportunities to enhance their abilities, provided with a safe and healthy working environment and have their needs recognised in employment.
Since January 2005 boards of trustees have no longer been required to develop, publish and implement an EEO programme each year.
However, the State Sector Act still requires a board of trustees, as employers in the education service, to:
- operate a personnel policy that complies with the principle of being a good employer
- make that policy (including the equal employment opportunities programme) available to its employees
- ensure its compliance with that policy (including its equal employment opportunities programme) and report in its annual report on the extent of its compliance.
On a day-to-day basis principals need to adopt a good employer attitude of mind. The principal's job is to administer employment policies in a variety of situations: in planning for teacher development, appraisal of staff, approving leave applications, dealing with complaints, recommending appointments, dealing with retirements.
Staff confidence
Fairness is a quality of action that people admire and trust. Even unpopular management decisions will be accepted if they are understood and seen to be fair and reasonable. Staff who are regularly consulted know that their needs and aspirations have been taken into account.
Principals have a good employer responsibility to ensure good and safe working conditions. In addition to the physical environment, staff need to feel confident that they are protected in their work from public criticism.
A good employer principal will find there are times when a professional leader must exercise a protective and defending role. Community interest in schools is intense. Many teachers say there needs to be a safety zone between the classroom and community. That safety zone is created by the principal. Staff confidence is highest when they trust the leadership.
Advice and Support
The collaborative management model depends on a team approach to organising work. As the professional leader of the team, the principal must make decisions and manage resources. There will be times when you need information or want to talk through a strategy or a problem with someone outside the situation or the school. Seeking advice and opinions is wise if you are not sure of your thinking or your facts. Test ideas by inviting comment on them.
Staff, particularly the senior management team, the chairperson of the board and other principals are the people principals will generally want to take into their confidence. Be clear about issues that are to be kept confidential.
NZEI Te Riu Roa support for principals
NZEI field staff can provide information on all aspects of educational policy and management.
Principals act under delegated authority from their boards. Any formal challenge to principals' actions or decisions must be taken against the board of trustees. The board is responsible for arranging any legal response.
A principal's professional good name is important. Boards have a responsibility to protect principals from frivolous and vexatious complaints. Failure to support a principal in this situation is an industrial matter. Action can be taken by NZEI to ensure the employer's obligation is discharged.
Member principals in conflict with their board, community or parents will receive support from NZEI through the Member Support Personnel service and field staff.
NZEI Te Riu Roa Legal Assistance Fund
The Rules of NZEI provide for legal advice through the legal assistance fund. Access to this fund is restricted to legal proceedings arising from the member's employment.
Application must be made to the National Executive through the field staff/Regional Secretary and is at the discretion of the National Executive.
NZEI field staff can give further information on the operation of the legal assistance fund. This NZEI service operates quickly to meet emergency needs.
NZEI Te Riu Roa support networks
NZEI provides a comprehensive professional, industrial and personal support network for all members including principals. Teams of Member Support Personnel (MSP) and field staff are available across New Zealand to provide assistance.
Member Support Personnel (MSP) offer confidential professional and personal support and provide individual industrial support.
Advice and information on all aspects of educational policy and management are available from the field officer service, the regional offices and NZEI national office.
Remember your NZEI Te Riu Roa worksite representative and your local branch - these people are important in the NZEI communications network.
NZEI Te Riu Roa Principals' Council
The NZEI Principals' Council is your direct link with NZEI National Executive, giving you a voice in making policies. The Principals' Council considers all policy matters relating to principals. Its chairperson represents principals at a national level. Your regional representative is your voice to the Principals’ Council. Click here for contact details.
Personnel problems
Principals considering a personnel problem may want to seek industrial advice or discuss the actions proposed. Principals need to be clear about which ‘hat’ they are wearing in this situation. In this role principals are acting as employer representatives and NZEI cannot represent them – however, NZEI field staff and industrial advocates can give information and advice on employment agreement provisions, and other generic, non-personalised advice.
Principals are advised to seek support from the employer association to which the board belongs, e.g. New Zealand School Trustees Association or the Employers' Federation.
Principals' Liability and Legal Action
State sector legislation exempts principals from personal liability for any act done in good faith in pursuance of the functions of the school. Some principals worry about their vulnerability to legal action from parents and members of the community. The State Sector Act liability provision provides protection for principals in the course of their work.
Insurance
Boards take out insurance policies to cover legal action against the board and its employees. Experience has shown that insurance companies may not pay on claims if there has been fault on the part of the board or the principal as the board's chief executive, or if the insurance company has not been advised prior to any action being taken. Fault can mean failure to seek appropriate advice. As an adviser to the board, the principal must be absolutely sure of the facts.
The principal may not be personally liable for mistakes or omissions made in good faith that result in un-budgeted expenditure, but the personal consequences and the consequences for the school can be serious.
Employment conditions for principals
Principals are employed under the terms and conditions of the Primary Principals Collective Agreement (PPCA) provided that they are a member of NZEI Te Riu Roa.
However, acting Principals are employed on the terms and conditions of the Primary Teachers Collective Agreement with the higher duties allowance used to determine the appropriate salary for the position.
NZEI will support members whose employment conditions as set out in the PPCA are breached.
Professional Standards for Principals
Principals are required in their collective agreement to meet the relevant professional standards for that year as part of their performance agreements. The details of the professional standards are set out in the current Primary Principals Collective Agreement.
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Primary Principals Collective Agreement |
