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LEADERSHIP PROFICIENCIES FOR EFFECTIVE ELEMENTARY
SCHOOL PRINCIPALS: PERCEPTIONS OF PRINCIPALS AND
TEACHERS IN ST. LOUIS COUNTY SCHOOLS
Mary Ellen Buribrd, B.S., M.Ed.
A Dissertation Presented to the Faculty ofthe Graduate
School ofSaint Louis University in Partial
Fulfillment ofthe Requirements for the
Degree ofDoctor ofPhilosophy
2001

UMI Number. 3014237
Copyright 2001 by
Burford, Mary Ellen
All rights reserved.
_ ___ ®
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c Copyright by
Mary E. Burford
ALL RIGHTS RESERVED
2001
i

LEADERSHIP PROFICIENCIES FOR EFFECTIVE ELEMENTARY
SCHOOL PRINCIPALS: PERCEPTIONS OF PRINCIPALS AND
TEACHERS IN ST. LOUIS COUNTY SCHOOLS
Mary Ellen Burford, B.S., M.Ed.
A Digest Presented to the Faculty ofthe Graduate
School ofSaint Louis University in Partial
Fulfillment ofthe Requirements for the
Degree ofDoctor ofPhilosophy
2001

DIGEST
The purpose ofthis study was to examine the perceptions ofelementary
school principals and elementary school teachers regarding proficiencies for
effective elementary school principals and the level ofagreement between
principals and teachers regarding those proficiencies among five independent
variables: position, gender, years ofexperience, highest degree earned, and year
highest degree was earned. This study was limited to elementary school
principals and teachers, in three St. Louis County School districts. The random
sample for the study was 300 teachers and 60 administrators. The rate ofreturn
was 39% for teachers and 66% for administrators.
The survey questionnaire measured 68 competencies extracted from the
revised document, Proficiencies for Principals, published by the National
Association ofElementary School Principals. The instrument used was a modified
version ofPerceptions ofthe Essential Skills ofEffective Elementary Principals.
The respondents were teachers (74.4%), female (66.2%), with more than
10 years of experience in their district (54.2%). Respondents’ highest degree
earned was a master’s degree (65.6 %) earned between 1996 to 2001 (30.6%).
Hypothesis one suggested a difference based onjob position and was
accepted. Hypothesis two, three, four and five suggested differences based on the
gender, years ofexperience, highest degree earned, and year highest degree was
earned and were rejected.
1

The conclusions ofthe study were that elementary school administrators
and teachers have different perceptions ofthe proficiencies of an effective
elementary school principal, and the differences in the perceptions were not based
on gender, years ofexperience in the district, highest degree earned, or the year
the highest degree was earned.
Elementary school principals should be informed ofproficiencies for
principals establish by the National Association ofElementary School Principals
and given training in each ofthe proficient areas as part ofa mentor program for
principal’s leadership program.

COMMITTEE IN CHARGE OF CANDIDACY:
Associate Professor Ronald Rebore,
Chairperson and Advisor
Professor Michael Grady
Associate Professor William Rebore

ACKNOWLEDGEMENTS
All ofmy life I have loved learning. Mydream has been to earn a Doctoral
Degree. I am grateful to many people who guided me as I worked to accomplish
this goal. I would like to acknowledge the support and guidance ofDr. Earl Hobbs
who was my advisor until his retirement and Dr. Ronald Rebore whose advice
was essential to the research and writing ofthis dissertation.
Appreciation is also extended to the other members ofmy committee Dr.
W. Rebore, Dr. M. Grady, Dr. L. Scott, Dr. C. Mccowen and Dr. C. Eakin, whose
advice and comments assisted me in completing this dissertation. There are many
people I would like to thank who supported me when the task seemed
unobtainable:
Dr. L.L. Mosley, Dr. P. Doener, Ms. L. Buchanan. Dr. J.Oldani, Dr. J.
Scatizzi, Ms. D. Luckett, Dr. S. Scheer, Dr. J.Williams, Dr. W. Campbell, Mr. J.
Bartlett, and Ms. S. Bryant.
Thanks to my loving husband, Lawson, who was so patient, supportive
and understanding. I could not have completed this dissertation without the help
ofmy husband. He continued telling me I could do it and helped me to believe in
myselfThanks also to my wonderful son, Todd, who continued to inspire me
through his wit, his encouragement, and his wonderful sense ofhumor.
My family has helped me to experience greatjoy and happiness. I would
like to thank the members ofmy family for their support
ill

Finally I would like to thank my parents, who were the foundation for my
growth, independence and endurance. They taught me to work hard, to be humble,
and appreciative. We miss them but we will always have the gifts they left within
us. I dedicate this dissertation to their memory.

TABLE OF CONTENTS
List ofTables ................................................................................... vii
Chapter L THE NATURE AND SCOPE OF THE STUDY... 1
Introduction......................................................... 1
Statement ofthe Problem..................................... 3
Purpose ofResearch.............................................. 3
Significance ofthe Study........................................ 5
Hypotheses.............................................................. 9
Limitation ofthe Study.......................................... 12
Definition ofTerms.............................................. 12
Summary................................................................ 13
Chapter II. REVIEW OF RELATED LITERATURE............. 15
Introduction............................................................ 15
Historical Review................................................... 15
Principals and Effective School Leadership 18
Effective Schools................................................... 23
Characteristics for Effective Elementary
School Principals............................................ 34
Summary................................................................ 44
Chapter HI. PROCEDURES.................................................... 45
Introduction............................................................. 45
Description ofthe Population................................. 45
v

Data Collection Procedure........................................... 46
Description ofQuestionnaire....................................... 46
Hypotheses.................................................................. 48
Description ofData Analysis....................................... SO
Validity and Reliability................................................ 53
Characteristics ofthe Sample....................................... 54
Summary..................................................................... 56
Chapter IV. FINDINGS.................................................................. 59
Introduction................................................................. 59
Analysis ofHypotheses........................................ 109
Summary.................................................................... 121
Chapter V. SUMMARY, CONCLUSIONS,
RECOMMENDATIONS........................................... 124
Introduction.......................................................... 124
Summary.................................................................... 124
Conclusions................................................................ 128
Recommendations....................................................... 128
APPENDICES
Appendix A................................................................. 130
Appendix B................................................................ 132
BIBLIOGRAPHY................................................................................. 136
VTTAAUCTORIS................................................................................ 150
vi

LIST OF TABLES
Table Name ofTable Page
Number Number
1 Analysis Plan for Hypotheses............................... 53
2 Elementary Status................................................. 54
3 Gender.................................................................. 54
4 Experience............................................................. 55
5 Highest degree earned........................................ 55
6 Year highest degree was earned............................ 56
7 Exercise vision in defining and accomplishing the
mission ofthe school............................................. 60
8 Demonstrate a genuine interest in
children................................................................. 60
9 Inspire all concerned to join in accomplishing the
school’s mission...................................................... 61
10 Be highly visible throughout the school................... 61
11 Apply effective human relation’s skills.................... 62
12 Encourage the leadership ofothers......................... 63
13 Analyze information relative to problems, make
decisions, and delegate responsibility as appropriate 63
14 Create a strong sense oftogetherness.................... 64
15 Apply established principles and strategies of
effective leadership................................................ 65
16 Participate as a member oflocal, state, and national
professional groups................................................. 65
17 Model the expected behavior ofothers.................... 66
18 Persuasively articulate his or her beliefs and
effectively defend his or her decisions..................... 67
19 Be trustworthy, conscientious, enthusiastic, and
sensitive................................................................... 67
vii

20 Write clearly and concisely so that the intended
audience understands the message........................ 68
21 Apply facts and datato determine priorities 69
22 Be an active listener so as to truly hear others 69
23 Know his or her verbal and nonverbal
communications strengths and weaknesses and their
implications....................................................... 70
24 Understand the philosophy, functioning, and
practices ofmass media......................................... 71
25 Understand the impact ofhis or her personal image
and practices ofmass media.................................. 71
26 Identify— with staff- the decision-making
procedures the school will follow...................... 72
27 Involve others in setting short and long-term goals.. 73
28 Be aware ofvarious decision-making techniques
and be able to match the appropriate technique to
the particular situation..................................... 73
29 Apply validated principles ofgroup dynamics and
facilitation skills..................................................... 74
30 Understand the process ofconsensus building and
apply that process both as a leader and as a member
ofa group.............................................................. 75
31 Achieve intended outcomes through the use of
principles ofmotivation.......................................... 75
32 Maintain disciplinary stability throughoutthe
school..................................................................... 76
33 Understand the communities values and goals and
what it wants the curriculum to achieve.................. 77
34 Seek appropriate resources oftime, money, and
materials to support the curriculum...................... 78
35 Set forth, as a continuum, the skills and concepts
the curriculum is designed to provide................. 79
36 Be familiarwith curriculum materials and their
relationship to program goals and objectives 80

37 Monitorthe curriculum to ensure that the
appropriate content and sequence are followed— 81
38 Demonstrate multicultural and ethnic understanding 82
39 Establish an environment conducive to learning 82
40 Analyze standardized test scores and other student
performance indicators to identify general strengths
and weaknesses in the educational program 83
41 Understand and apply effective observation and
conferencing skills.............................................. 84
42 Understand and apply principles of child growth
and development................................................ 84
43 Apply grouping practices that most effectively meet-
student needs....................................................... 85
44 Regularly assess the teaching methods and
strategies being used at the school to ensure that
they are appropriate and varied........................... 86
45 Design effective staffand professional development
programs that match the goals ofboth the school
and ofthe participating individuals....................... 87
46 Set high expectations for students, staff, parents,
and self................................................................. 87
47 Recognize and show concern for personal goals of
students and staff................................................... 88
48 Enhance student and staffstrengths and remediate
weaknesses........................................................ 89
49 Appropriately match specific learning styles with
specific teaching styles...................................... 89
50 Engage in a program ofcontinuing professional
development............................................................ 90
51 Inspire oven the most excellent teachers to acquire
new competencies and experiences..................... 91
52 Bring about the kind ofrapportamong students,
teachers, staff, parents, and the community that
fosters constructive suggestions for making the
school program even stronger............................. 92
be

53 Use a variety oftechniques and strategies to assess
student performance, individual teacher and staff
performance, the achievement ofcurriculum goals,
and the effectiveness ofthe total instructional
program............................................................. 93
54 Assess progress toward achieving goals
established for students, teachers, the
principalship, and the involvement ofparents and
the community at large....................................... 94
55 Seek and encourage input from a variety ofsources
to improve the school’s program........................... 95
56 Demonstrate a level ofhuman relations skills that
make the evaluation process helpful rather then
destructive......................................................... 95
57 Develop assistance plans and remediation efforts to
improve teaching performance............................ 96
58 Develop and implement equitable and effective
schedules.......................................................... 97
59 Use strategic planning to implement long-range
goals............................................................... 97
60 Attract volunteers and be adept in training them 98
61 Manage the operation and maintenance ofthe
physical plant................................................. 99
62 Allocate and organize staffin such a way as to
assure accomplishmentofthe school’s mission... 99
63 Know education law, including the implication of
liability, and keep current with developments 100
64 Develop and implement administrative procedures
consistent with board policy and contractual
agreements........................................................... 101
65 Manage the school within the allocated resources... 101
66 Understand the school district budget and its
specific implications for his & her school................ 102
67 Plan, prepare,justify, and defend the school
budget......................................................... 103
68 Use cost control procedures and institute cost-
effective practices................................................ 103
x

69 Interpretbudgetpriorities and constraints to the
staffand the community................................. 1 0 4
70 Participate in local, state, and federal legislative
action programs................................................ 105
71 Understand the dynamics oflocal, state and
national politics.......................................... 105
72 Be accessible to teachers, students, parents and
other members ofthe community.................... 106
73 Develop plans and strategies for helping attract
appropriate financial support ofeducation. 107
74 Involve the community leaders in the development
and support ofthe school’s program................... 108
75 Identify and apply effective strategies for dealing
with political issues and political forces that 109
impinge on the school’s operation.......................
76 Differences between elementary school
administrators and elementary school teachers 110
77 Differences between gender.................................... 113
78 Differences based on years ofexperience in the
district............................................................... 114
79 Differences based on highest degree
earned.............................................................. 117
80 Differences based on year highest degree was
earned.................................................................... 118
81 Summary ofAnalysis ofHypotheses......................... 122
xi

CHAPTER 1
THE NATURE AND SCOPE OF THE STUDY
Introduction
As the role and responsibilities ofschools become more complex,
educators are constantly searching for ways to meet the educational needs of
students (Dietrich, 1996). Researchers have identified effective leadership as the
single most important determinant of student success.
The success of schools is an issue that continues to generate concern.
Demand for excellence in education and concern for quality ofeducation has led
to issues of school effectiveness, leadership styles and instructional management
(Madaus & Kellaghan, 1980). The role ofthe principal has been determined as
essential in the development and growth ofeffective schools (A Nation at Risk,
1983).
Research associated with successful assessment and development
programs for school administrators revealed significant differences between
successful schools and less successful schools and their principals. Principals in
the most successful schools motivated the entire community and were willing to
share leadership. Their success could be traced to specific attitudes and skills that
made them effective (Bradshaw & Buckner, 1994).
With the release in 1984 of Standards for Quality Elementary Schools:
Kindergarten Through Eighth Grade, the National Association ofElementary
l

2
School Principals sought to identify the basic characteristics offirst-rate
elementary schools. At the core ofthat analysis were two fundamental
propositions that research has repeatedly demonstrated: first, that children’s early
years are crucial to their long-term success in education and in life and second,
that as the leader within the school, the building principal is the key figure in
determining the effectiveness ofthose years (NAESP, 1997).
The NAESP (1997) has stated that given those facts, it is essential that K-8
principals be among the most able and effective ofAmerica’s education leaders.
Principals must possess appropriate personal characteristics and aptitudes and
receive professional preparation that is relevant and effective.
Stover (1989) identified specific traits that were important for effective
principals: vision for the school, dedication to learning, good knowledge ofthe
school, active leadership style and lack ofconcern for obstacles. Effective
principals are leaders who are sensitive to problems and changing conditions in
their schools. Effective leadership will indicate readiness by the principal to take
on responsibilities that result in changing conditions (Shuster & Stewart, 1973).
Leadership makes the school philosophy; mission and vision come alive.
The principal is expected to be the initiator, the energizer, the facilitator, the
visionary, and the leader ofthe school. Leadership means building strength in
others to achieve growth for all (Krajewski, 1996). The emphasis principal’s give
to motivation of students is important These same concepts are importantto the
faculty working with the students. An effective environment must be provided for

3
students as well as teachers to increase motivation and effectiveness ((Krajewski,
1996).
Few studies have identified specific differences or similarities in
perceptions among administrators and teachers regarding leadership proficiencies
characteristic ofan effective elementary school principal. This study broadens the
research base by contributing to the existing body ofknowledge concerning
leadership proficiencies skills, which characterize an effective principal as
perceived by elementary school administrators and elementary school teachers.
Statement ofthe Problem
effective elementary school principals. The study examined the level ofagreement
between principals and teachers regarding those proficiencies characteristic of
effective elementary school principals. The study provided data that was used to
analyze the perceptions ofthese two groups and the level ofagreement among the
five variables: position, gender, years ofexperience, highest degree earned, and
year highest degree was earned.
Purpose ofthe Research
The purpose ofthis study was to examine the perception ofelementary
school principals and elementary school teachers regarding proficiencies that are
essential to being an effective elementary school principal. The study examined

4
the level ofagreement ofprincipals and teachers regarding proficiencies that are
characteristic for effective elementary school principals.
There is general agreement among educators that the principal is important
in school success. The principal will need to fulfill the role ofbeing the leader for
successful schools. Expectations will need to be clearly stated for the principal to
be effective in making the necessary changes. What will make the difference will
be the leadership ofthe principal (Hechinger, 1981).
Principals must be dedicated in their willingness to lead and to implement
change when necessary. The elementary school is the most flexible level offormal
learning. The focus must be on the success ofthe children. The school principals
must help to improve the nation’s schools (Boyer, 1995).
Research indicates that education and school success depends upon the
effectiveness ofthe principal and his or her knowledge ofskills that are essential
for school success. Effective leadership is a major contributor to the school
environment and to the overall success ofthe school (Austin, 1981).
The responsibility for establishing a positive school environment begins
with the principal, who provides leadership in developing and maintaining a
climate conducive for learning, hi recent years, as the traditional role ofprincipals
has changed, it has expanded to include counseling, advising, modeling desired
behaviors, relinquishing control and establishing supportive climates (Bredeson,
1995).

5
Significance ofthe Study
The early school years for children are crucial to long- term success in
education. The building principal is the key figure in determining the effectiveness
ofthose years. Most principal preparation programs are designed to provide a
sound base ofknowledge about school administration, but often fall short in
translating such knowledge into action in the school (NAESP, 1997). Most
research has focused on leadership, effective principals and effective schools.
Little research has focused on proficiencies for principals as perceived by teachers
and principals. Ifthe principal is to fulfill the role ofeffective leader, he or she
will need clearly defined expectations for the role and adequate training and
support to meet such expectations (Riggs, 1992). This study contributed to the
existing body ofknowledge that continues to explore proficiencies characteristic
to outstanding elementary school principals. The study will provide knowledge,
information and professional experiences for aspiring administrator, professors
and others involved in education management Findings in the study will be a
guide for those who specialize in the preparation ofelementary school principals.
Education is the instruction and development ofknowledge
through formal teaching or training (Granowsky & Weber, 1987). The education
system as we know it today was created in the mid-20th century to serve all pupils
fortwelve years. This system ofeducation must meet unprecedented challenges.
We are at the time when assessment ofstrengths and weaknesses ofthe schools in

6
public education is necessary. We need to build on the strengths ofour system and
evaluate the weaknesses (Kirst, 1993).
The most important current problem facing educators is the inability ofour
instructional programs to adapt successfully to the educational needs ofthe
students who are not achieving or, are not being fulfilled in programs as they are
operating today. The emphasis principals give to motivation of students is
important These same concepts are important to the faculty working with the
students. An effective environment must be provided for students as well as
teachers to increase motivation and effectiveness. Quality education and effective
elementary schools are primarily a function ofcompetent elementary school
principals who are committed to effective leadership, and encourage their teachers
to become committed to the growth, development and education ofthe children
they work with (Sergiovanni, 1987).
Ginty (1995) stated that researchers have identified effective leadership as
the single most important determinant ofsuccess. Based on the data gathered
through interviews with beginning school administrators several suggestions were
made to assist new principals and assistantprincipals. It presents
recommendations in three areas ofprofessional development: academic
preparation, field-based learning, and personal and professional formation.
Formany years, school administrators have voiced concern with training
and preparation for administrators. Many administrators wanted programs that

7
presented knowledge that developed skills which translated into practice (Ginty,
1993).
The effective elementary school principal gives first priority to
educational leadership responsibilities. The principal knows and understands
elementary school programs and children and possesses high standards and a
sense ofmission with respect to the elementary school. Implementation of
standards and building the quality of life in the school as an organization is a
quality ofan effective principal. (Sergiovanni, 1987).
Effective principals are leaders who are sensitive to human problems and
to changing conditions in their schools. They are flexible in adapting their
behavior to the new changes. What leadership ought to be and what it should
produce is still controversial, howevertrue leadership will indicate readiness by
the principal to take on or to give up responsibilities that result in changing
conditions (Shuster & Stewart, 1973).
Strong educational leadership is emphasized with leaders being
knowledgeable and visionary. There must be respect to educational programs and
competent principals with respect to organizational systems such as staffgrowth
and development and building commitmentto the school. It is educational and
organizational leadership together which characterize the effective principal in
schools today (Sergiovanni, 1979).
The effectiveness ofschools is a concern ofparents, communities and the
nation as a whole. Coleman (1966) was one ofthe first researbhers to use pupil

8
cognitive gain as a measure of school effectiveness. In his report, Coleman
indicated that family and social background ofchildren were factorsjust as
important as schools in the educational achievement ofchildren. Coleman’s
findings were different from what people previously thought about schools. Other
researchers (Edmonds 1979; Young 1975) came to the conclusion that some
schools were more effective than others and that school effectiveness must be a
major factor in the achievement of students. They concluded that school
effectiveness and student achievement was related.
Research associated with successful assessment and development
programs for school administrators revealed significant differences between more
and less successful schools and their principals. Principals in the most successful
schools motivated the entire school community and were willing to share
leadership. Some principals seemed to intuitively know how to create the kind of
environment that facilitated change. Their success could be traced to specific
attitudes and skills that made them effective (Bradshaw & Buckner, 1994).
National commissions and studies have been created to report on the status
ofeducation in America. One study revealed by educators and researchers that
leadership is key to excellence in schools (The Role ofthe Principal in Effective
Schools, 1989). Research has indicated thatthe most important element in
affecting change in schools is the principal (Rutherford, 1985; Hall, 1984;
Manasse, 1992; Fullan, 1988).

9
The concern for the quality ofeducation in the country is evident in the
report issued by the National Commission on Excellence in Education (1983). The
report indicated on-going concern regarding the effectiveness ofpublic education
and possible solutions to increase the quality ofschools. The public concern
regarding the quality ofeducation and confidence by the people is stated in the
National Commission on Excellence in Education report (1983). This report stated
a concern for the decline in educational excellence. This report was concerned
with one ofthe many causes and dimensions ofeducation. There is pride in what
schools and colleges have historically accomplished and contributed. The report
related the concept ofhow the educational system has eroded and how the future
ofthe Nation and the people may be affected in the future (National Commission
on Excellence in Education 1983).
Educators and citizens expressed determination to bring schools to a level
where integrity, respect and purpose are foremost for educational excellence. In a
Nation at Risk (1983) the leadership role ofthe principal was stated as essential in
the development of effective schools. The report revealed that the leadership of
the principal was important in the growth and development of schools, and that
school reform had to be supported by the community. (Nation at Risk, 1983)
Hypotheses
Five hypotheses were tested in the study. The hypotheses ofthe study
were:

10
1. There will be significant difference in the perceptions ofelementary
school administrators and elementary school teachers regarding the proficiency of
elementary school principals as measured by leadership skills, communication
skills, management ofgroup processes, supervising the development and
implementation ofthe curriculum, supervising instruction, supervising
performance, the evaluation process, organizing the day-to-day functions, fiscal
management, and political issues.
school administrators and elementary school teachers based on gender regarding
the proficiency ofan effective elementary school principal as measured by
leadership skills, communication skills, management of group processes,
supervising the development ofthe curriculum, supervising instruction,
supervising performance, the evaluation process, organizing the school’s day-to-
day functions, fiscal management and political issues.
school administrators and elementary school teachers based on years of
experience in the district regarding the proficiency ofan effective elementary
school principal as measured by leadership skills, communication skills,
management of group processes, supervising the developmentof the curriculum,
supervising instruction, supervising performance, the evaluation process,
organising the school’s day-to-day functions, fiscal management and political
issues.

11
school administrators and elementary school teachers based on highest degree
earned regarding the proficiency ofan effective elementary school principal as
measured by leadership skills, communication skills, management ofgroup
processes, supervising the development ofthe curriculum, supervising instruction,
supervising performance, the evaluation process, organizing the school’s day-to-
day functions, fiscal management and political issues.
school administrators and elementary school teachers based on year highest
degree was earned regarding the proficiency ofan effective elementary school
principal as measured by leadership skills, communication skills, management of
group processes, supervising the development ofthe curriculum, supervising
instruction, supervising performance, the evaluation process, organizing the
school’s day-to-day functions, fiscal management and political issues.
The dependent variables were perceptions ofelementary school principals
and elementary school teachers regarding proficiencies characteristic ofeffective
elementary school principals. The independent variables were: position
(elementary principals and elementary teachers grades K-6), gender (male or
female), years ofexperience (1 to 10 years - 11 to 20 years) highest degree earned
(bachelors, masters, doctoral) and year highest degree was earned (6 choices
ranging from before 1976 to 2001).

12
Limitations ofthe Study
This study was limited to elementary school principals and teachers, in
three S t Louis County School districts. The districts were chosen because of
geographic location and size. The study can not necessarily be generalized to
larger populations, but to the principals and teachers in the three elementary
school districts in S t Louis County. Only elementary school principals and
teachers listed in the three school directories were invited to participate in the
study. The study was designed to provide information regarding proficiencies
characteristic of effective elementary school principals as perceived by elementary
school principals and elementary school teachers. The findings will apply only to
the elementary schools used in the study.
Definitions ofTerms
To provide understanding and clarification in this study the following
terms were defined:
Competencies: necessary areas ofqualifications
Elementary Principal: one employed as a supervisor and administrator ofan
elementary school who is responsible for developing and implementing policies,
curriculum, budgets, and programs that help students and staffto grow and
progress academically and socially.
Elementary School: a school for students grades kindergarten through sixth grade.
Essential Skills: knowledgeable areas needed
Grade Level: the level ofinstruction attained by a student

13
Instructional Leadership: a kind ofaction related to teachers and students and the
encouragement ofproductivity.
Leadership: the ability ofone to encourage others to advance toward specific
criteria.
Performance: the demonstration ofa skill, or use ofknowledge in attainment of
educational tasks in working with teachers.
Proficiencies: the skills, behaviors, and capabilities shared by principals who lead
schools of exceptional quality (NAESP, 1997).
School Success: academic achievement and accomplishment of students, teachers
and principals relating to educational growth within a specified time span.
St. Louis County Schools: Elementary schools located in North St Louis County,
South S t Louis County and Mid S t Louis County.
Summary
effective elementary school principals and the level ofagreement between
principals and teachers regarding those proficiencies. The study provided data that
was used to analyze the perceptions ofthese two groups and the level of
agreement among the five variables: position, gender, years ofexperience, highest
degree earned, and year highest degree was earned. This study was limited to
elementary school principals and teachers, in three S t Louis County School
districts.

14
Chapter 1includes the introduction, a statement of the problem, the
purposes of the study, the significance of the study, the hypotheses, the limitations
of the study, and the definition of terms used in the study. Chapter 2 contains the
review ofrelated literature.
The procedures used in the study and selected characteristics of the
principals and teachers are presented in Chapter 3. The perceptions of the
principals and teachers and a statistical analysis of the data are presented in
Chapter4. Chapter S includes a summary, the conclusions, and the
recommendations ofthe study.

CHAPTERn
REVIEW OF RELATED LITERATURE
Introduction
This study was designed to examine the perception ofelementary school
administrators and teachers regarding proficiencies that are essential to being an
effective elementary school principal. The study examined the level ofagreement
ofprincipals and teachers regarding proficiencies that are characteristic for
effective elementary school principals. A review ofthe literature provided
important information about proficiencies essential to being an effective
elementary school principal and the characteristics for effective elementary school
principals. This review was divided into three sections: historic review, principals
and effective school leadership, and characteristics for effective elementary school
principals.
Historical Review
The role ofthe principalship began to change with major changes in
society where technology, industrialization and immigration began to effect
schools. Population increased as a result ofindustrialization; student population,
faculty and staffand the need for school size began to change also. Teachers had
minimum preparation (Coleman, 1966). The role ofthe principal began to be
defined precisely in an effort to respond to a changing society (Coleman, 1966).
The early nineteen hundreds gave rise to the “principal” as manager. As
manager, the principal was responsible for the organization ofthe school, the
15

16
clerical duties and the general control ofthe building. Aspects ofschool
administration and studies of educational processes were interests that surfaced
with the principal as manager of school and the daily operation offacilities.
Specific studies concerning theories ofleadership did not arise until the 1950’s
(Coleman, 1966).
In education today the principalship has become known as manager and as
instructional leader (Coleman, 1966; Smith & Andrews, 1989). Coleman’s
reference to principal as manager indicated manager as major disciplinarian,
overall school planner, school advisor for guidance and counseling, school
budgeter, promoter ofpositive student-teacher relationships and influencer of
students, teachers, and parents in assisting and guiding them to finding solutions
to problems that may hinder progress (Coleman, 1966).
Instructional leadership was defined by Smith & Andrews (1989) as
provider ofresources to assist in student/teacher/parent relations, encourager of
effective communication, promoter offrelevant curriculum and assessable helper
for problems and solutions during daily school activities throughout the year.
The concept ofinstructional leadership was a new expectation ofthe
principal supported by the research and public opinion, which became relevant in
the last twenty years (Bird & Little, 1985). Engelking (1990) reported that
effective principals are committed to instructional leadership. He found that in
high achieving schools the principal demonstrated and concentrated effort in

17
curriculum, instruction, supervision and evaluation. High expectations for student
achievement and effectiveness ofstaffwere prevalent with effective principals.
The trend in recent times is forprincipals to balance management and
leadership. Thejob ofthe principal includes leadership ofthe entire building,
inclusive ofpeople progress, programs and physical plant (Blumberg, 1980). The
principal sets the tone for the building. The principal leams thejob by doing it,
never sure that the job is being done well. The principal works - through trial and
error, intuition and experience- to make sense ofthe role and to lead others
through a precarious institution (Lieberman & Miller, 1984).
The imperative For Educational Reform (1983) a statement from a Nation
at Risk, represented concern during the 1980’s. Confusion and disagreement was
apparent and raised several potential solutions to the perceived crisis. Orlich
(1989) stated that studies concerning the status ofschools were being done rapidly
in the 1980’s. In 1992 William Chance reported that two hundred seventy five
task forces on education were organized in the United States to study the status of
schools. Books and reports were published with information intended to address
the needs ofthe schools (Orlich, 1989).
Effort to improve education was made by state legislators and governors
(Futrell, 1989). “Time for Results,” a report by the National Governor’s
Association indicated an effort was being made to address the crisis in education.
This prompted the education reform movement where rules about education were

18
established and state statues addressing teaching and practices were enacted
(Timar&Kirp, 1989).
Principals and Effective School Leadership
The major thrust for elementary leaders in recent years has been on
instructional leader rather than school manager (Snyder and Johnson, 1984). This
trend resulted in three major types ofleadership styles in principals:
1. The principal as manager of the school performed daily tasks with little interest
in instructional leadership.
2. The principal lacked training as instructional leadership and was unsure of the
role of instructional leadership.
3. The principal who understood the importance ofthe instructional leadership
role and used this style in building an effective school McLeary and Thompson,
1979).
4. The building principal is the source ofeffective leadership and facilitates the
restructuring of the educational institution (Rutherford, 1985).
In the early 1950s, supporters and reformers ofpublic education
concentrated on the central administration of local school systems. School boards
and superintendents were seen as the most effective agents ofchange
(Barth, 1990). The place ofthe principal was as “middle manager,” responsible for
taking the plans of those outside the school and making sure there was compliance
(Barth, 1990).

19
Today, the individual school is increasingly recognized as the unit for
analysis and the critical force for change and improvement ofpupil performance.
One finding that consistently emerges from recent studies is the importance within
the school ofthe principal (Barth, 1990). Barth listed key concepts that
demonstrated the importance ofthe principal:
1. The principal is the key to a good school and the quality ofthe educational
program depends on the school principal.
2. The principal is the most important factor in determining school climate which
helps create good schools
There is agreement that with strong leadership by the principal, a school is
likely to be effective. Boyer (1995) found that in schools where achievement was
high and where there was a clear sense ofcommunity, invariably, the principal
made the difference.
Attention in recent years has shifted to the school principal because ofthe
capability ofan effective principal to elicit the best from most students, teachers,
and parents most ofthe time. Principals have the capacity to stimulate both
learning and community (Barth, 1990).
Boyer (1995), in The Basic Schools A Community For Learning stated
concerns society was not making sufficientprogress in the effort to improve the
nation’s schools. He stated his concern aboutthe loss ofconfidence in public
education and a failed educational system. Barth stated that for America’s future
to be secure every child must have a quality education.

20
Madaus (1980) related that education has been looked on as a great
equalizer ofopportunity that helped to fulfill the democratic and equalitarian
ideals ofthis country. Madaus (1980) stated that schooling now appeared to be
incapable ofproviding equal opportunity for all children.
The effectiveness ofschools concerns people. Pupil cognitive gain has
been a measure ofschool effectiveness (Coleman 1966). The Coleman Report has
been interpreted to indicate that the educational attainment ofchildren involves
not only school significance but also such factors as family and social
background.
The issue of school effectiveness as researched by Coleman was
controversial to many researchers (Edmonds 1979). This researcher concluded
that some schools were more effective than others. These conclusions resulted in
researchers agreeing that school effectiveness must be a factor in student
achievement. Much ofthe research dealing with school effectiveness identified
specific characteristics that resulted in high student achievement and effective
teacher performance.
The role ofthe principal has continued to change throughout the years
(American Association of School Administrators, 1989). The modem principal
had been thought ofas an instructional leader who demonstrated concern about
professional development activities and student relationships. The role of
management had been minimized. Sergiovanni (1992) & Rogus (1988) listed
major actions the modem principal was responsible for.

21
The principal as school leader is looked to for school effectiveness, school
climate, relationships among members ofthe staff, student achievement and
curriculum. Morris (1987) stated that the legacy ofthe effective school was the
beliefthat the building principal was the key provider ofinstructional leadership.
Research conducted in New York, California and Michigan revealed that
schools with the strongest leadership allowed students to believe that they had a
greater value in their futures. It was also concluded that firm leadership in schools
with strong principals provided a great sense ofdirection for the students and for
the school. Students also held themselves to higher academic expectations
(Austin, 1981).
It is important to assess perceived effectiveness of leaders in our schools to
build on the strengths ofthe public education system. It is also necessary to
improve the adaptation of instructional programs successfully to meet the
educational needs ofstudents.
The Carnegie Commission (1986) released its report on the state of
education in America. Educators were asked to make changes that would increase
effective leadership for school improvement As the leader ofthe school, the
principal was expected to initiate these changes effectively and productively.
Effective school leaders are important in the motivation ofteachers and
students. The principal is the one to lead the movementtoward educational
growth and achievement as may be attainable by the studentpopulation in which
education is most lacking. The literature on effective schools indicated that one of

22
the most often identified characteristics ofeffective schools is effective leadership
by the principal. In orderto provide this leadership, principals must have
knowledge ofwhat is perceived, as essential skills needed for school leadership.
The principal must have clearly defined expectations, needs and
explanations to be adequately prepared to meet such expectations. It is the hope of
this researcherthat this research report will be used by beginning principals as one
source ofinformation in examining skills necessary for effective leaders and
successful schools. Ifeffective schools are dependent upon effective leaders
(Lipham, 1981) those who select school leaders need to know what skills are
perceived by principals and teachers as essential to effective leaders in elementary
school.
There is general agreement among educators that the principal is important
in school success. The principal will need to fulfill the role ofbeing the leader for
successful schools. Expectations will need to be clearly stated for the principal to
be effective in making the necessary changes, which may cause a great deal of
adjustment, by teachers and pupils. What will ultimately make the difference will
be the leadership ofthe principal (Hechinger, 1981).
Principals must be dedicated in their willingness to lead and to implement
change when necessary. The elementary school is the most flexible level offormal
learning. The focus must be on the success ofthe children and the school.
Principals must help to improve the nation’s schools (Boyer, 1995).

23
Past history gave us hope for future American schools. Educators, citizens
and branches ofgovernment have all responded with determination to bring
schools to a level where integrity, respect and purpose are foremost In a Nation a
Risk (1983), the leadership role ofthe principal was stated as essential in the
development ofeffective schools.
Research findings differ on the activities and descriptions ofthe
principalship. The role ofthe principal has continued to change throughout the
years (AASA, 1989). The modem principal has been thought ofas an instructional
leader who demonstrated concerns about professional development activities and
student relationships. (Sergiovanni, 1992).
Rogus, (1988) stated three major actions the modem principal was
responsible for First, the principal needed to establish instructional leadership as
a priority. Second, daily activities needed be stated that helped to encourage
instructional leadership and third, the principal needed to demonstrate actions
daily that strengthen the quality of instruction for students.
Effective Schools
The “Effective Schools” movement has given some light on why some
schools are more effective than others in educating the same types ofchildren.
Ronald Edmonds (1989) believed effective schools were those that brought the
achievement level ofchildren from disadvantaged homes closer to the
achievement level ofchildren from middle class homes. Research on effective
schools indicates effective principals are most important for successful schools

24
(Gibbs, 1989; Hall, 1984). These researchers believed principal style and
personalities were another important factor in effective schools.
The effective schools movement assumes that schools are unusually
effective in teaching disadvantaged and minority students basic skills as measured
by standardized tests, that successful schools display characteristics that
characterize their success and may be adjusted by educators, and that successful
schools may be used as a model for improving other schools (Bickel, 1983).
According to Jwaideh (1984) most educators believe the role ofthe
principal is to supervise and evaluate teachers and operate the school
constructively, productively and smoothly. He believed a principal could become
a better leader by: (1) requiring staffto work together to establish clear goals for
the school and for themselves; (2) encouraging teachers to experiment and try out
new approaches and techniques; (3) gathering information about relationships
within the school through discussions and surveys; (4) improving communication
through sharing and (5) managing motivational processes to increase productivity.
The research indicated that effective principals love working with people and
exhibit this feeling throughoutthe day.
Ferrandino and Tirozzi (2000) state that recruitment, preparation,
development, and financial support ofour school leaders must be a national
priority. The role ofthe principal has expanded so fully; it is time to redefine and
update it There has been some discussion of a two-leader approach as suggested
by the center for principals at Harvard.

25
Principal leadership today involves tackling tough curriculum standards,
with the task of educating an increasingly diverse student population. Principals
are shouldering responsibilities that were once taken care ofat home or in the
community (Ferrandino & Tirozzi, 2000).
Jacobson (2000) supported the standards concept, finding states are
moving rapidly to implement policies built around higher standards and increased
accountability. Policymakers are learning it is important not to leave the public
out ofthe process.
In several places around the country, education leaders are making greater
efforts to involve members ofthe public in the drive to improve student
achievement New academic standards are being written and states are beginning
to hold schools accountable for student performance (Jacobson, 2000).
Jewideh (1984) states that in order for there to be success among students,
the educational leader must be able to:
1. Establish clear goals and priorities.
2. Achieve a balance between task considerations and interpersonal
relationship.
3. Serve as role models.
4. Communicate high expectations to teachers.
5. Provide support and direction for change and.
6. Gain support ofthe community and higher education. (Jewideh, 1984).
As stated in the revised Proficiencies for Principals (NAESP, 1987) the
principal must have a vision for the school and manage the day-to-day activities
effectively to be an effective leader.

26
In 1982, Clark and Lotto reviewed ten years ofliterature on effective
schools research. They developed a list ofskills and characteristics ofeffective
principals. A panel ofexperts who had been active in effective schools research
listed fifty-three variables in eight categories from this research as essential skills
ofeffective principals. The skills included:
Program Leadership and Direction:
1. Devotes time to the tasks ofcoordinating and controlling instruction
2. Understand their classrooms
3. Does not accept the difficulty ofa teacher’s work as an explanation for
failure
4. Visits classrooms frequently and for the purpose ofinteraction
5. Emphasizes student achievement as primary out-come ofschooling
6. Emphasizes student achievement in basic skills as primary program
outcome
7. Evaluates the teaching process
8. Monitors and evaluates student progress
9. Provides coherence to the school’s instructional program
10. Coordinates content, sequence and materials ofinstruction
11. Participates in the selection ofinstructional materials
12. Provides structured learning environment (p.5)
Goals and Standards ofPerformance:
1. Frames specific curriculargoals and objectives
2. Establishes high standards ofperformance for students and teachers
3. Emphasizes student acquisition ofbasic skills
4. Emphasizes instruction in basic skills
5. Communicates organization goals clearly (p. 8)
Characteristics ofschool leaders:
1. Are more powerful than their less effective colleagues
2. Are oriented toward achievementrather than human relations
3. Are enablers ratherthen directors ofactivity
4. Are interveners and problem solvers
5. Are role models for teachers, students, and parents
6. Are warm and caring (p. 10)

27
Technical Tasks ofAdministration:
1. Are good business managers
2. Are good instructional managers
3. Communicate office information and policies to teachers
4. Are fair disciplinarians who run a tight ship
5. Buffer classroom from disruptions (p. 14)
School climate and Expectations:
1. Holds high expectations for student behavior and achievement
2. Expects teachers to be successful in the classroom and communicates
this expectation to teachers
3. Emphasizes performance in communicating with teachers and students
4. Projects a feeling ofoptimism that teachers and students can meet their
instructional goals
5. Provides a sense ofidentification and engagement with school {p. 15)
Funds and Resources:
1. Able to use external political and organizational structures in support of
school programs and policies
2. Identifies and attracts special project funding
3. Allocates resources more efficiently and effectively in support of
teachers and the instructional program (p. 17)
Staffand Personal Development:
1. Consistently supportive ofteachers
2. Discusses classroom work problems with teachers
3. Spends more time observing classroom teachers
4. Initiates. Promotes, and maintains continuous in service programs
5. Supports teachers’ ideas and projects
6. Recognizes unique styles and needs ofteachers
7. Encourages and acknowledges good work
8. Increases teacher morale and satisfaction
9. Conducts regular reviews ofteacher’ instructional practices
10. Holds their staffaccountable for successful performances
11. Structures teacherrewards to reinforce working with children
12. Are accessible to their staff
13. Takes a personal interest in the welfare oftheir staff(p. 19)

28
School Community Relations:
1. Maintains positive relationships with parents
2. Solicits the active involvementofparents and com m unity leaders in
school functions
3. Provides opportunities for parents to work with their children in
learning settings (p. 21)
Bennis (1985) found that compelling vision is the key ingredient of
leadership among highly successful organizations he studied. Vision refers to the
capacity to create and communicate a view ofthe desired state ofaffairs that
induces commitment among those working in the organization. Bennis (1985)
viewed leadership as a form ofpowerthat represents one’s capacity to translate
intention into reality and sustain it.
Lunenburg (1996) defines leadership as:
1. “The process ofinfluencing group activities toward the achievement of
goals.”
2. “Influencing, guiding in direction, course, action, and opinion.”
3. “Effective influence.”
4. “Building cohesive and goal oriented teams.”
5. “Persuading others to sublimate their own selfinterests and adopt the
goals ofa group oftheir own.”
6. “Persuading otherpeople to set aside their individual concerns and to
pursue a common goal that is important for the welfare ofthe group.”
(P. 113)
Effective leaders, according to Drucker (1993) do not make many
decisions. They focus on important ones and ones that have impact on the later
aspects ofthe organization. They try to think through what is generic and what is
strategic, ratherthan solve daily problems or “put out fires.” They try to make few
important decisions on the highest level ofconceptual understanding Effective

29
leaders in organizations engage in decentralized decision-making. Responsibility
and authority are given to middle management Shared decision making is made
by a committee or by a group, giving effective leaders the opportunity to bring in
people from inside and outside the organization as part ofthe team (Drucker,
1993).
Lunenburg (1996) states that efforts to discover the best set of leader traits
and the one best set ofleader behaviors in all situations have failed. Contemporary
researchers and school administrators are more likely to believe that the practice
of leadership is too complex to be represented by a single set oftraits or
behaviors. The idea that effective leadership behavior is “contingent” on the
situation is more prevalent today (Lunenburg, 1996).
Fiedler and his associates have spent two decades developing and refining
a contingency theory ofleadership (Fiedler, 1984). According to the theory, the
effectiveness ofa leader in achieving high group performance is contingent on the
leader’s motivational system and the degree to which the leader controls and
influences the situation.
Fiedler stated thatthe favorableness ofthe situation with the leadership
style determines effectiveness. In his review of 800 groups investigated he found
that task-motivated leaders were most effective in extreme situations where the
leader either had a great deal ofinfluence or very little power and influence
(Fiedler, 1967).

30
Austin (1981) found in his research that the greatest asset of an exemplary
school is its firm leadership; because of that leadership, student in exemplary
schools believes that they have a great deal ofcontrol over their future. Austin
noted that two characteristics of firm leadership by the principals were their ability
to establish a strong sense of direction in the school and their ability to establish
or create opportunities for greater academic expectations.
If the building principal is to be the source of leadership that will facilitate
the needs of the educational system, he or she must possess the necessary skills
and personal traits to provide effective leadership. According to Rutherford (1985)
effective principals:
(1) have clear, informed visions of what they want their schools to
become-visions that focus on students and their needs;
(2) translate these visions into goals for their schools and expectations for
their teachers, students and administrators;
(3) continuously monitor progress; and intervene in a supportive or
corrective mannerwhen this is necessary, (p. 32)
In Missouri, the state Board of Education adopted a model for evaluating
principals (Mallory, 1987). A list of twenty- three suggested criteria was listed for
evaluating principals. These criteria formed the basis for the state’s model
evaluation plan. The plan included:
L Instructional leadership:
The principal:
1. Provides direction for the school.
2. Provides for management ofinstruction.

31
3. Demonstrates effective skill in the recruitment, selection and
assignment of school personnel.
4. Promotes ongoing staffdevelopment
5. Communicates standards ofexpected performance.
6. Provides leadership for appropriate curriculum and organization of
personnel to staff the curriculum.
7. Effectively implements evaluation strategies oriented toward
improvement ofinstruction.
n. School Management
The principal:
1. Provides for effective and efficient day-by-day operation of the school.
2. Ensures that school plant and facilities are conducive to a positive
learning environment.
3. Ensures efficient management of building-level fiscal resources.
4. Promotes and maintains a positive school climate
5. Establishes and maintains effective discipline in the school.
6. Demonstrates effective communication skills.
7. Demonstrates effective problem-solving skills and decision-making
skills.
8. Demonstrates positive interpersonal relationships with parents and the
community.
HL Interpersonal Relationships
The principal:
1. Demonstrates positive interpersonal relationships with students.
2. Demonstrates positive interpersonal relationships with staff.
3. Demonstrates positive interpersonal relationships with other
administrators.
4. Demonstrates positive interpersonal relationships with parents/
community.
IV. Professional Responsibilities
The principal:
1. Implements the policies and procedures of the district
2. Participates in professional growth activities.
3. Demonstrates a sense ofprofessional responsibility, (p. 9)

32
Kimbrough and Burkett (1990) suggested that ifthe principal is so
important to the school why do we not give more attention to the training of the
leader. The Southern Regional Educational Board produced a publication focusing
on training for principals (1984).
The Danforth Foundation (1987) introduced a preparation program which
identifies prospective principals and emphasizes effective leadership. The program
lists eight skills for effective leadership: (1) creating and enhancing a school-wide
environment that promotes learning and student achievement; (2) evaluating the
school curriculum in order to assess and improve its effectiveness in meeting
academic and other goals; (3) analyzing, evaluating, and improving instruction and
teacher performance; (4) appraising and assessing student performance and other
indicators ofoverall school performance; (S) understanding and applying the
findings of research to school leadership and improvement; (6) organizing and
managing school resources; (7) ensuring student discipline and a climate of order;
and (8) developing human relations skills (p.l).
After extensive research regarding the qualities ofeffective leadership
Drucker (1966) concluded that the most important thing to report was that
effectiveness can be learned and most important it must be learned.
Members ofthe commission of A Nation At Risk (1983) appeared to agree with
Drucker by stating that the distinction between leadership skills involved

33
persuasion, setting goals and developing communityconsensus behind them,
contrasted to managerial and supervisory skills.
The United States Department ofEducation’s (1987) publication, Principal
Selection Guide, contained some ofwhat has been learned about effective
principals, selection processes, and reliable methods of assessment. The personal
characteristics of an effective principal included: (1) commands attention;
(2) inspires respect (3) sets high goals; (4) integrity; (5) knowledge; (6) coDegiality;
(7) cooperation; (8) teamwork; (9) radiates enthusiasm for excellence; (10) creative
(11) risk taker; (12) clear compelling vision; (13) inspirational; (14) able to
encourage and reward achievement (p.3,4).
The list ofinstructional and managerial skills for principals included:
1. Supervising teaching and curriculum development
2. Establishing an atmosphere conducive to learning
staffing
3. Communicating effectively inside the school
4. Directing school support services
5. Setting high expectations for faculty, staff, and students
6. Setting school goals
7. Building parent and community support
8. Maintaining the school building
9. Maintaining financial resources
10. Coordinating school activities
11. Building sound relations with the central office
12. Monitoring organizational information
Stover (1989) identified five specific traits that potential employers should
look for in a principal:
1. A vision for the school
2. A dedication to learning
3. A good knowledge of the school
4. An active leadership style

34
5. A lack ofconcern for obstacles (p. 26)
According to Olson (2000) leadership is effective as a result ofteachers
having ownership in decision-making. She reports there is a significant pattern
among principals who are effective at leading instruction. Academic standards and
achievement has placed extraordinary demands on principals. They are expected
to fundamentally revise instruction in their schools, (p.l).
Andrews and Smith (1989) reported on the importance ofthe building
principal to the overall effectiveness ofthe school. They indicated that studies on
effective schools reflect the views that the direct responsibility of improving
instruction and learning is the responsibility ofthe school principal. Smith and
Andrews wrote:
Ifwe want principals to be instructional leaders, we must develop
descriptions that are compatible with fulfilling such a role, evaluate the
performance ofthe principal on thesejob dimensions, educate teachers
and parents on the value ofsuch roles, and buffer the school
environmental or community forces that would press for a different kind of
principal behavior. There are numerous characteristics, associated
behaviors and activities that must be planned for and implemented if
principals are to be instructional leaders, (p. 6)
Characteristics forEffective Elementary School Principals
The revised Proficiencies document reflects the critical importance ofthe
principal in establishing and maintaining a quality school. Special emphasis is
given to the principal’s role in leading and other leaders and to school-based
management This is a practice that provides opportunities for the principal and
staffto participate directly in decisions that affect them (NAESP, 1997).

35
According to the revised Proficiencies for Principals (NAESP, 1997)
document there are at least four prerequisites for success as a school leader.
1. Advanced understanding ofthe teaching and learning processes. School
leaders must be solidly grounded in both contemporary and traditional
instructional techniques. They must be able to recognize effective teaching,
evaluate progress in learning, and demonstrate commitmentto enhancing learning
for all students, regardless ofbackground or ability.
2. A thorough understanding ofchild growth and development, and of
adult learning. School leaders must have expert knowledge in the field ofchild
growth and development as well as experience in teaching children. They must be
capable ofassuring that the curriculum is both challenging and developmental^
appropriate. To work effectively in the area ofstaffdevelopment, school leaders
must understand adult learning, their readiness to change, their interpersonal
styles, and their receptiveness to make choices about learning.
3. A broad base ofknowledge, including a solid background in liberal arts.
School leaders must have a liberal arts foundation that provides a firm grasp of
basic curriculum content and an understanding ofthe relationship between that
body ofknowledge and the elementary level ofcurriculum.
4. A sincere commitment to educational equity and excellence at all levels
for all children. School leaders must be caring people who know how to create a
learning climate that is based on mutual trust and respect, produces high morale,
and places strong emphasis on the fact that all students can succeed. Effective
leaders consistently act on the beliefthat all children can leam. They harbor no
doubts in this regard. They are engaged in sustaining an environment in the school
that produces excitement about learning among students and staffalike, (p. 3).
As stated in the document Proficiencies for Principals, elementary schools
are extremely complex organizations that require a wide range ofleadership
proficiencies in achieving and sustaining high quality. A principal in an
elementary school models these proficiencies in every aspect ofthe school’s
operation (NAESP, 1997).

36
According to the revised Proficiencies for principals document
(NAEST.1997) in the exercise ofleadership, the proficient principal:
1. Demonstrates vision and provides leadership that appropriately involves
the school community in the creation ofshared beliefs and values.
2. Demonstrates moral and ethicaljudgment
3. Demonstrates creativity and innovative thinking
4. Involves the school community in identifying and accomplishing the
school’s mission.
5. Recognizes the individual needs and contributions ofall staffand students.
6. Facilitates the leadership ofothers.
7. Conducts needs assessments and uses data to make decisions and to plan
school improvement
8. Identifies, pursues, and creatively coordinates the use ofavailable human,
material, and financial resources to achieve the school’s mission and goals.
9. Explores, assesses, and implements educational concepts that enhance
teaching and learning.
10. Understands the dynamics ofchange and the change process.
11. Advances the profession through participation as a memberof local, state
and national professional groups.
12. Initiates and effectively coordinates collaborative endeavors with local and
state agencies.
13. Participates in professional development to enhance personal leadership
skills, (p. 6)
One ofthe most important proficiency that distinguishes outstanding
elementary principals is the ability to communicate effectively. There is likely to
be more support for a school ifthe mission goals and accomplishments are
understood.
The images effective principals project, through verbal, nonverbal, and
written communication, create an important perception ofthe school in the minds
ofthe students, staff parents, community members, and the media. The proficient
principal keeps the community informed about what the school and its staffare
striving to accomplish, and conveys a positive image ofall aspects of school life.

37
Principals interact with diverse groups ofpeople in a variety of settings.
Consequently they must be sensitive to issues ofcultural differences, gender, race,
and ethnicity. Proficient principals capitalize on opportunities to highlight student
achievement, underscore the school’s mission, and honestly and openly address
questions and problems.
According to the revised Proficiencies for Principals document (NAESP,
1997), in using communication skills, the proficient principal:
1. Articulates beliefs persuasively, effectively explains decisions, checks for
understanding, and behaves in ways that reflect these beliefs and
decisions.
2. Writes and speaks clearly and concisely so the message is understood by
the intended audience.
3. Conveys opinions succinctly and distinguishes between facts and opinions
when communicating priorities.
4. Understands the impact that his or her nonverbal communication has on
others.
5. Uses appropriate communication modes to communicate the school’s
philosophy, needs, mission, and accomplishments.
6. Accurately interprets others’ written communications.
7. Makes effective use ofthe media.
8. Uses active listening skills.
9. Expresses disagreement without being disagreeable.
10. Demonstrates skill in giving and receiving feedback.
11. Models the behavior expected ofothers.
12. Exhibits multicultural awareness, gender sensitivity, and racial and ethnic
appreciation, (p.8)
A school has many committed and energetic people, some whose talents
and expertise may exceed those ofthe principal. The proficient principal
capitalizes on the talents and expertise ofothers and gives them appropriate credit
for their contributions.

38
Proficientprincipals recognize that there are powerful cultural norms
within the school communitythat could inhibit change. Proficientprincipals
understand the dynamics ofchange and the effective application ofgroup process
skills. They gain staffand community commitmentto the school’s goals and stay
informed about currentthinking in the field oforganizational development as part
oftheir continuing professional growth.
1997), in facilitating group processes, the proficient principal:
1. Understands group dynamics and applies effective group process skills.
2. Establishes a framework for collaborative action and involves the school
community in developing and supporting shared beliefs, values, mission,
and goals for the school.
3. Uses appropriate team- building skills.
4. Implements appropriate decision-making and conflict resolution
techniques.
5. Identifies, in collaboration with the school community, the decision
making procedures the school will follow.
6. Works to build consensus, both as a leader and as a member ofa group.
7. Recognizes when direction and intervention are necessary, (p. 9)
The proficient principal assures that the school’s curriculum specifies what
students should learn, what concepts and skills students should acquire and what
values, attitudes, and habits they should assimilate. These concepts have been
determined through the cooperative effort of school staffand community
members. Theyreflect the school’s mission as well as the requirements ofstate
laws, regulations, and local board ofeducation policies.
The proficient principal continually seeks adequate resources-time, money,
personnel, and materials-to supportthe instructional program. He or she makes

39
certain that instruction is based on purposeful planning, is appropriate to the
departmental level ofeach child, and incorporates a variety ofteaching strategies.
1997), in supervising the development and implementation ofcurriculum and
instruction, the proficient principal:
1. Maintains a visible presence in the classroom.
2. Works with staffand community representatives to identify a curriculum
framework and common core oflearning that support the mission and goals
ofthe school.
3. Demonstrates to all concerned knowledge ofthe school’s curriculum
framework and common core oflearning.
4. Convenes staffto review and modifythe curriculum framework and
common core of learning on a regular basis.
5. Seeks financial resources sufficient to meetthe needs generated by the
common core oflearning.
6. Facilitates the allocation offinancial and instructional resources within the
school.
7. Ensures that a diverse, gender-sensitive, and developmentally appropriate
program is provided for each child.
8. Encourages students and staffto participate in a co-curricular activities,
such as community service, that enhance and complement what is learned
in the classroom.
To enlist the expertise ofstafffor improving instruction, the
proficient principal:
1. Engages staffin the study ofeffective teaching practices.
2. Provides varied support strategies such as mentors, research, and support
team.
3. Seeks information and advice from a variety of sources, (p. 10)
The proficient principal monitors the daily operation ofthe school to
determine whether established program and service goals are being m et The
proficient principal gathers information that helps determine which programs and

40
services should be maintained, which should be modified, and which be
abandoned.
The proficient principal gives high priority to assessing student and staff
performance, reinforcing strengths, and developing appropriate assistance plans
and remediation. The proficient principal is sensitive to the sometimes delicate
issues associated with staffevaluations and possesses the range ofhuman-
relations skills needed to cany out the evaluation process constructively.
Proficient principals also benefit from assessment They make appropriate
self-assessments, look for feedback from others, and participate in professional
development activities focused on reinforcing their strengths and improving areas
ofneed.
document, in assessing programs and services, student achievement, or staff
performance, the proficient principal:
1. Ensures that all parties understand the assessment criteria and procedures.
2. Seeks and encourages input from a variety ofsources.
3. Seeks constructive suggestions from all parties.
4. Models observation, conferencing, and collaboration, skills.
5. Uses both formative and summative evaluation procedures.
6. Ensures that the assessment process is both positive and constructive.
7. Develops, plans, and offers resources for growth and improvement
8. Uses due process procedures and legal assistance in dealing with non-
compliance, disciplinary, anddismissal issues.
9. Involves others in analyzing assessmentdata to help design instructional
programs that ensure the mission and goals ofthe school are being met
10. Encourages parents in discussions on ways to improve student learning.
11. Ensures that staffmembers communicate regularly with parents regarding
studentprogress, (p. 12)

41
In supervising performance, the proficientprincipal:
1. Maintains high expectations for students, staff, parents, and self.
2. Works with staffto create an effective professional development plan.
3. Expects staffparticipation in professional development activities.
4. Cooperates with staffto develop a comprehensive counseling, advisory,
and support program for students.
5. Ensures instruction is appropriate to the developmental level ofthe child.
6. Ensures teaching strategies is used to help students succeed.
7. Stresses the importance ofpurposeful planning.
8. Engages parents in discussions on ways to improve student learning.
9. Ensures that staffmembers communicate regularly with parents regarding
student progress, (p. 12)
Schools differ according to the needs and nature of students and to the and
to the skills oftheir staffs, and the priorities oftheir communities. The proficient
principal works with these various groups in setting the school’s unique
organizational goals and priorities.
Proficient principals are skilled in managing many tasks and
responsibilities. They manage the school plan, student services and record,
personnel, and the various programs that support instruction. They develop and
implement policies and procedures that establish routine practices. They are adept
managers oftheir own time and are protective ofthe time ofothers.
Proficient principals participate in professional development programs.
They are open to new technology, and analyze research findings carefully.
Proficient principals are aware oforganizational adjustments that will improve
efficiency and enhance student learning.

42
document, in managing and organizing the school’s day-to-day functions, the
proficient principal:
1. Possesses a clearview ofthe past, present, and future ofthe school.
2. Uses collaborative planning to help identify objectives that accomplish the
school’s mission and goals.
3. Selects, assigns, and organizes staffin a way that ensures the greatest
potential for clarifying and accomplishing the school’s mission.
4. Considers research findings in making program decisions.
5. Analyzes problems effectively and reaches logical decisions.
6. Develops and implements administrative procedures consistent with local
policies, state and federal rules and regulations, and contractual
agreements.
7. Ensures that students are offered programs that are relevant to their unique
needs.
8. Attracts volunteers and provides them with effective training and
meaningful assignments.
9. Works with staffand community to create and maintain a safe and orderly
learning environment
10. Coordinates services ofcommunity agencies so that appropriate resources
are directed to all children.
11. Develops and implements equitable and effective schedules.
12. Employs time management principles.
13. Identifies staffstrengths in orderto appropriately delegate tasks.
14. Develops and facilitates a process for the review ofcurriculum and
instructional issues raised by individuals or groups outside the school.
15. Creates and implements policies that assure appropriate and confidential
collection and use ofschool and student data.
16. Keeps abreast ofdevelopments in education law.
17. Manages the operation and maintenance ofthe physical plant
18. Develops plans for applying technologies to instruction and management
19. Promotes the placement ofteaching practicum students, student teachers,
and teacher and administrative interns in the school, (p. 15)
Proficientprincipals understand the relationship between the goals of
school programs and the budgeting process. They clearly articulate school needs
and create ways to find new resources to support school programs. They are able

43
to project future needs, and identify new opportunities. The proficient principal
develops grantproposals and establishes productive school business partnerships.
They engage diverse groups and individuals to provide support for school
programs.
document in fiscal management, the proficient principal:
1. Understands the school district budget and its implications for the school.
2. Involves members ofthe school community in developing budget priorities
based on the mission and goals ofthe school.
3. Prepares the school budget in accordance with school district budgeting
procedures.
4. Employs and monitors acceptable accounting procedures in the maintenance of
all fiscal records.
5. Uses cost control procedures and institutes cost-effective practices in the
management ofall school funds.
6. Exercises creativity in finding new resources to support school programs, (p.
17)
A principal’s responsibility extends far beyond the boundaries ofan
individual school or community. Proficient principals leam to work with people
outside the school environment They generate public support for school programs
and for education in general.
To keep abreast ofcommunity desires and needs the proficient principal is
involved in a variety ofcivic activities. The involvement assists in understanding
the community and gaining public support ofinstructional programs. There is a
practical understanding ofthe dynamics and interrelationships oflocal, state, and
national political decision-making processes and their implications forthe school.

44
document, in political management, the proficient principal:
1. Develops strategies to attract appropriate financial support for public
education.
2. Involves community leaders in the development and support ofthe school’s
program.
3. Uses effective strategies to deal with the political issues and forces that
affect the school’s operation.
4. Understands the dynamics ofschool district decision making.
3. Works effectively with diverse elements ofthe school community.
6. Positions the school as a community resource.
7. Participates in local, state, and federal legislative activities. ( p.18)
Summary
The review ofthe literature provided important information about
proficiencies essential to being an effective elementary school principal and the
characteristics for effective elementary school principals. This chapter presented
information in three sections: historic review, principals and effective school
leadership, and characteristics for effective elementary school principals.

CHAPTER THREE
PROCEDURES
Introduction
This study examined the perceptions ofelementary school principals and
elementary school teachers regarding proficiencies characteristic ofeffective
elementary school principals. The study examined the level ofagreement of
elementary school principals and elementary school teachers regarding
proficiencies characteristic to effective elementary school principals. A
quantitative study was conducted for the research.
Description ofthe Population
The population for this research study was three public school Districts
located in St Louis County. The sample for the study was randomly selected from
a population of 1200 elementary school teachers and 76 administrators. Schools
districts were selected for geographic location, size and economic level. Three
hundred teachers and 60 administrators were selected by means ofa random
sample reference table. Completed returns were received from 116 teachers and
40 administrators. The rate ofreturn for the teachers was 39% and the rate of
return for administrators was 66%. School district staffdirectories were used to
randomly select the sample. Only elementary school administrators and
elementary school teachers were selected to participate in the study. No other
groups participated in this study.
45

46
Data Collection Procedure
The first step in collecting data was to obtain permission from the
superintendent ofeach school district for elementary school principals and
elementary school teachers to participate in the study. A letter was sent to the
superintendent ofeach school district asking permission to distribute the
instrumentto each elementary principal and elementary teacher selected to
participate in the study. A random sample ofprincipals and teachers were
selected from the school directories. The questionnaire was sent to principals and
teachers. They were asked to complete the questionnaire and return it in a self-
addressed envelope provided. A cover letter was provided with an explanation and
instructions for completing the questionnaire.
Confidentiality was assured to participants in this study. A coded
questionnaire was used to send a second questionnaire ifthe first one was not
returned within two weeks. Questionnaires were sealed in individual envelopes
and sentto each subject A cover letter assured the participants that results ofthe
questionnaire would not include names ofparticipants, schools, ortheir identity in
anyway.
Description ofthe Questionnaire
The instrument used to gather data from the sample group was a survey
(Babbie,1990; Borg,1989;Creswell,1994) questionnaire designed using
proficiencies for principals from the research findings ofthe National Association
ofElementary School Principals (NAESP,1997). The questionnaire was divided

47
into ten sections. Each ofthese sections represented an area ofessential
competency as listed by NAESP (1997). Each competency area included a listing
ofthe specific skills considered to be descriptive ofthe competency. Items on the
questionnaire represented skills commonly considered essential for effective
instructional leadership. The instrument was constructed to obtain data from
teachers and principals concerning their perceptions on proficiencies regarding
effective instructional leadership.
A Likert Scale (Likert, 1932) was used for individuals to respond to a
series ofstatements by indicating a level ofagreement, from strongly agree to
strongly disagree: (5 Strongly agree, 4 agree, 3 undecided, 2 disagree and 1
strongly disagree (Gay, 1996). Each response was associated with a point value.
Individual scores were determined by summing the point values for each
statement A total score for each respondentwas calculated and used in the
subsequent analysis.
Each participant was asked to provide demographic information in the first
section ofthe questionnaire. This information provided information on the
variables ofconcern in the study. Independent variables were position, gender,
years ofexperience within the school district, highest degree earned and yearthe
highest degree was earned. Dependent variables were leadership skills,
communication skills, management of group processes, supervising the
development and implementation ofthe curriculum, supervising instruction,

48
supervising performance, evaluation process, organizing the school’s day-to-day
functions, fiscal management, and political issues.
The survey questionnaire measured 68 competencies extracted from the
revised document, Proficiencies for Principals, published by the National
Association ofElementary School Principals (1997). The instrument used was a
modified version ofPerceptions ofthe Essential Skills ofEffective Elementary
Principals (Riggs, 1992). A group offormer superintendents principals and
teachers tested the validity and reliability ofthe instrument to establish
consistency ofthe questions in relations to the research problem. This effort
established the consistency ofthe items with the findings ofthe National
Association ofElementary School Principals and the value ofthe items as
measures ofcompetency and skills needed by elementary school principals
(Riggs, 1992).
Hypotheses
The study tested five hypotheses related to the perceptions ofelementary
school administrators and teachers regarding the leadership proficiency of
principals. The hypotheses tested were:
school administrators and elementary school teachers regarding the proficiency of
elementary school principals as measured by leadership skills, communication
skills, management of group processes, supervising the development and
implementation ofthe curriculum, supervising instruction, supervising

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