STATE OF FLORIDA

DIVISION OF ADMINISTRATIVE HEARINGS

LONNIE SMITH, )

)

Petitioner, )

)

vs. ) Case No. 98-2425

)

POLK COUNTY SCHOOL BOARD, )

)

Respondent. )

)

RECOMMENDED ORDER

Upon due notice, William R. Cave, an Administrative Law Judge for the Division of Administrative Hearings, held a formal hearing in this matter on January 13-15, 1999, in Bartow, Florida.

APPEARANCES

For Petitioner: Robert H. Grizzard, II, Esquire

Post Office Box 992

115 Trader's Alley

Lakeland, Florida 33802-0992

For Respondent: Donald H. Wilson, Jr., Esquire

Boswell and Dunlap LLP Post Office Drawer 30 Bartow, Florida 33831

STATEMENT OF THE ISSUES

Did Petitioner successfully complete the necessary requirements for the Polk County School Board's (Board) Interim Principal Program as mandated in the Program for Preparing New Principals, promulgated under Section 231.087(5), Florida Statutes, by the Board and if so, should Petitioner be granted

certification as a school principal in the Polk County School District?

PRELIMINARY STATEMENT

By Memorandum dated March 16, 1998, W. P. Strouse, Coordinator, Human Resource Development, Polk County Schools and a member of Petitioner's supervisory team (Team) associated with Petitioner's Interim Principal Program, advised Gene Reynolds, Superintendent of Polk County School District, that the supervisory team did not recommend School Principal Certification for Petitioner. On March 20, 1998, Superintendent Reynolds met with Petitioner and advised him that he was accepting the Team's recommendation and that Petitioner would not receive certification as a principal under the Interim Principal Program in Polk County, Florida. By letter dated April 2, 1998, addressed to the Board, Petitioner requested a hearing on Superintendent Reynolds' refusal to certify Petitioner under the Interim Principal Program. Buy letter dated May 5, 1999, this matter was referred to the Division of Administrative Hearings (Division) by the Board for the assignment of an Administrative Law Judge and for the conduct of a hearing.

At the hearing, Petitioner testified on his own behalf and presented the testimonies of Farrell (Bunky) Hill, Horace Lee West, Thomas Broadaway, Andrew F. Poor, Emma W. Threatt, Ken Friddle, Sharon Friddle, Neriah Roberts, Waymon Meadows, Kenneth Hancock, Herman L. "Roy" Tyler, and Larry Albright. Petitioner's

Exhibits numbered 7, 9, 10, 12, 15, 18, 20-22, 26 (Exhibit number

26 was incorrectly numbered as Exhibit number 13 in the Transcript), 27, 29, 34, 35, and 37-39 were admitted in evidence. Respondent presented the testimonies of Wilson P. Strouse, Carolyn Baldwin, Sharon Knowles, David Lewis, and Glen Reynolds. Respondent's Exhibits numbered 1-3 and 3A-7 were admitted in evidence. The post-hearing testimonies of Dr. John Stewart and Richard Thomas Wheeler were presented by Petitioner and were admitted in evidence in lieu of their live testimonies at the hearing. The post-hearing rebuttal testimonies of Carolyn Baldwin, Wilson P. Strouse, and David Lewis were presented by Respondent and were admitted in evidence in lieu of their live rebuttal testimonies at the hearing.

A five-volume Transcript of the hearing was filed with the Division on February 19, 1999. A Transcript of Dr. John Stewart's testimony was filed with the Division on

February 24, 1999. A Transcript of the rebuttal testimonies of Carolyn Baldwin, Wilson P. Strouse, and David Lewis was filed with the Division on March 5, 1999. A Transcript of Richard Thomas Wheeler's testimony was filed with the Division on May 3, 1999. The parties requested additional time to file their proposed recommended orders; the request was granted with the understanding that any time constraint imposed under Rule 28- 106.216(1), Florida Administrative Code, was waived in accordance with Rule 28-106.216(2), Florida Administrative Code. The

parties filed their Proposed Recommended Orders under the extended time frame.

FINDINGS OF FACT

Upon consideration of the oral and documentary evidence adduced at the hearing, the following relevant findings of fact are made:

1. In accordance with Section 231.087(5), Florida Statutes, the Board adopted a certification program for new principals in Polk County titled Program for Preparing New Principals (Program). All new principals in the Polk County School System are required to successfully complete and be certified under the Program.

2. The Program is composed of several different programs. One of the programs is the Interim Principal Program which provides as follows:

   1. Introduction

      
      

      The Interim Principal Program provides a year-long experience which is designed to assist the Interim Principal in enhancing his/her administrative competencies. The Interim Principal Training Program is designed as a support program rather than performance appraisal mechanism.

      
      

      Goals

      
      

      The goal of the Polk County Interim Principal Program is to enable the Interim Principal to:

      
      

      1. Practice the skills of administration with the support and coaching of a supervisory team.

      2. Determine needs, set goals, establish priorities and seek avenues for achieving positive results.

      3. Adapt to stressful situations.

      4. Effectively and clearly express information orally and through written means, in both formal and informal situations.

      5. Develop self-confidence in a work setting and work role.

      6. Develop the expertise to manage a school site.

      7. Meet the requirements of Section 231.0861 (3), Florida Statutes.

      8. Be creative, maintain a positive climate and encourage teamwork within the school organization.

      9. Assume responsibilities at the school site with the guidance and support of peer principals.

      10. Participate in additional learning experiences to enhance the on-the-job experiences.

   2. Program

      
      

      1. Goals/Strategies

         
         

         Documentation will consist of the Interim Principal's goals expressed in a way which identifies the objective, lists the activities leading to the attainment of the objective, and the expected results in specific, measurable terms when possible.

         
         

         Two types of goals are to be formulated by the Interim Principal. They are:

         
         

         1. Organizational Goals

         2. Professional Growth Goals (developmental)

            
            

            The Interim Principal will formulate a minimum of two (2) goals within each of the categories.

            
            

      2. Formative Checklists

         
         

         These instruments are based on the Florida Principal Competencies and Job Function/Task Analyses. They are used as resources for identifying developmental needs of the

         Interim Principal and may provide a basis for the goals and related strategies and/or the off-site experiences and other training activities.

         
         

      3. Developmental Activities Program

         
         

         This is a calendar of events/activities which lists the specific activities in which the Interim Principal participates during the school year. These activities may be related to district, regional and state-wide training workshops or any off-site experiences in which the Interim Principal participates.

         
         

      4. Handbook of Helpful Hints for the First Year Principal Summative Checklist

      
      

      The handbook contains a "list of things to do" for the first year principal and is used by the Interim Principal to document areas of focus related to job expectations. Items are checked-off as they are handled.

      
      

   3. Supervisory Team

      
      

      The supervisory team for an Interim Principal consists of:

      
      

      1. The appropriate area superintendent

      2. Two peer principals

      3. Human Resource Development representative

      
      

      The two peer principals are selected by the area superintendent in consultation with the Human Resource Development representative and Interim Principal. They will also serve as members of his/her support team.

      
      

      The supervisory team's function is to review the Interim Principal's program and to provide input regarding the progress of the Interim Principal to insure the completion of his/her goals and developmental activities program.

      
      

      Each member of the supervisory team will interact with the Interim Principal at the school at varying times during the year. At least three (3) team conferences will be held

      with the Interim Principal, one meeting by the end of month three, one by the end of month eight and one by the end of month eleven. These meetings are in addition to the regular meetings with the area superintendent as a part of the district's performance appraisal system.

      
      

   4. Support Team

      
      

      Support team consists of:

      
      

      1. Two peer principals

      
      

      The support team provides guidance and aid to the Interim Principal in the development of the goals and assists the Interim Principal as needed. Support team members serve as professional resource persons with whom the Interim Principal may consult during the year.

      
      

   5. Portfolio

      
      

      A portfolio for each Interim Principal will be housed in the Area Superintendent's office. The portfolio will include the names of the support staff, the written development goals, the formative checklists, Developmental Activities Program, "Handbook For The First Year Principal" checklist and a copy of the annual performance appraisal forms.

   6. Performance Appraisal

      
      

      The evaluation process for Interim Principals will be the same as that for experienced principals, and the same performance appraisal instruments will be used.

      
      

   7. Procedures

Procedure Dates/Time Parameters

Step No. 1 First/Month

The Human Resource Development representative will provide an orientation concerning the Interim Principal Program, with emphasis on

documentation methods. The Interim Principal and previous supervisor complete formative checklists related to Florida Principal Competencies and Job Function/Task Analyses. Interim Principal plans potential goals.

Step No. 2 End of First Month The Interim Principal schedules a meeting

with area superintendent and Human Resource

Development representative to discuss possible goal statements, discuss formative checklists, select members of peer support team, and schedule supervisory team meetings.

Step No. 3 Second Month

The Interim Principal and Human Resource Development representative meet to establish Developmental Activities Program and to devise an action plan for the attainment of the potential developmental goals.

Step No. 4 End of Second Month

The Interim Principal prepares annual goals to include at least two developmental (professional growth) goals and two organizational goals. He/she submits copy to Area Superintendent and Human Resource Development representative. These goals will be a part of the district performance appraisal procedure.

The Interim Principal meets with the peer principals to provide them with an orientation to the school, its programs, etc.

Step No. 5 Third Month

The Interim Principal experiences a two hour "shadowing activity" by each peer principal on separate dates. Peer principals record observations which will be shared at the initial meeting of the supervisory team to be scheduled by the end of the third month. The Interim Principal also may schedule time to

shadow each of the peer principals prior to their shadowing visit. Shadowing experiences may occur throughout the interim principal program.

Step No. 6 End of Third Month

The Interim Principal schedules the initial meeting of supervisory team and provides agenda. First half of the meeting should include a status report of activities/progress made on each of the organizational and developmental goals.

Second half of agenda will involve support team and Interim Principal in any additional planning that might be appropriate. The peer principals also discuss observations from their "shadowing" experience.

**Additional meetings of the supervisory/support team may be scheduled on a group or individual member basis as needed.

Step No. 7 End of Fifth Month The Interim Principal meets with the peer

principals to review goals and strategies and to seek their input concerning goal/strategy adjustment and/or revision.

Step No. 8 End of Eighth Month

The Interim Principal schedules a second team meeting. The purpose is to prepare for major activities in function/task areas as are appropriate to the calendar. Plans and concerns are shared. Team members provide input and assistance.

Step No. 9 Eleventh Month

The Interim Principal schedules the final meeting of supervisory team and provides agenda. The purpose of the meeting is to review the results obtained by the Interim Principal in reference to his/her goals and participation in DAP activities and to reach a consensus among team members concerning a recommendation for Level II certification.

Step No. 10 Eleventh Month

The Area Superintendent and Human Resource Development representative verify portfolio. The Area Superintendent completes summary appraisal forms (if necessary) and makes the appropriate recommendation to the superintendent related to Level II certification.

1. In 1996, Petitioner was appointed by Dr. John Stewart, who was then Superintendent of the Polk County Schools, to participate in the Interim Principal Program. Petitioner was assigned to the Haines City High School as principal for the 1996-97 school year, and remained there as principal through the 1997-98 school year. Petitioner had not participated in the Principal Intern Program.

2. Shortly after being appointed as Interim Principal, Petitioner, in consultation with his area superintendent, Carolyn Baldwin, selected Sharon Knowles and David Lewis as his peer principals, who together with Carolyn Baldwin and the Human Resource Development representative, William P. Strouse, was the Team for the Petitioner's Interim Principal Program.

3. As required by the Interim Principal Program, William Spouse conducted the orientation program for all new interim principals for the Polk County School District on September 30, 1996.

4. The Interim Principal Program is driven by the interim principal who has the obligation of organizing the activities and scheduling of the activities and meetings.

5. Petitioner did not schedule any activities or meetings in his Interim Principal Program during the Fall of 1996.

6. In December 1996, Carolyn Baldwin directed David Lewis to set up an appointment with Petitioner for an orientation with Petitioner at Haines City High School The orientation occurred in January 1997. The orientation consisted of a walk around the campus of Haines City High School and a discussion that focused on the concern for the number of uncertified personnel on the staff at that time and the need for improving student achievement.

7. On April 3, 1997, prior to any Team meeting, Petitioner was provided a copy of the Administrative Performance Appraisal (Appraisal) completed by Carolyn Baldwin, Area Superintendent. The categories provided in the Appraisal only provided for "Above Expectations," "At Expectations," and "Below Expectations." Although Ms. Baldwin had some reservations, she, in fairness to Petitioner, rated him "at expectation" in all 19 of the Performance Expectations listed in the Appraisal. To the Performance Expectation "Commitment to School Mission" Ms. Baldwin added the comment "real sense of commitment to Haines City High School." To the Performance Expectation "Managing Interaction" Ms. Baldwin added the comment "develop a system for prompt attention to parents with problems." The Appraisal also included three individual or unit goals stated by Petitioner as goals to be accomplished. Ms. Baldwin rated Petitioner "at

   expectations" on all of Petitioner's stated goals. After Petitioner's stated goal, "Enhance and improve the overall appearance and function of the school - this 1st impression for the community, parents, staff and students should be one to be proud of, appealing, and reflective of the academic attitude of the school," Ms. Baldwin added the comment "school climate enhanced significantly in this area, good public relations."

8. After the meeting with David Lewis, there was no further formal activity in Petitioner's Interim Principal Program until April 1997. On April 16, 1997, the Team met with Petitioner. During this meeting, the Team reviewed Petitioner's program and found that there were no interim program professional development goals, no development activities, no complete developmental monthly activities plans, and no peer shadowing had taken place.

9. Also at the April 16, 1997, meeting, Petitioner was advised that it was unlikely that Team would recommend him for certification under the Interim Principal Program.

10. Petitioner proceeded to work on the deficiencies expressed by the Team at the April 16, 1997, meeting.

11. After the April 16, 1997, meeting, the Team expressed concern related to Petitioner's complacency with respect to the Interim Principal Program and Petitioner's level of completion up to that point. It was suggested, and agreed to by the Team, that Knowles, Lewis, and Baldwin would complete an analysis of their

    interactions with Petitioner related to the Florida Principals Competencies.

12. During April and May 1997, Petitioner conducted shadowing activities and peer principal visits with Lewis and Knowles.

13. On June 11, 1997, Carolyn Baldwin met with Petitioner and discussed her concerns as well as Petitioner's concerns regarding Petitioner's activities, job performance as Principal of Haines City High School, and his progress in the Program. The meeting apparently ended on a positive note.

14. On June 13, 1997, Petitioner conducted another shadowing at the Haines City High School.

15. In June 1997, the Team met to determine Petitioner's areas of need and development. Petitioner was neither invited nor did he attend this meeting.

16. In June 1997, Strouse circulated a list of the 19 Florida School Principal Competencies among the Team members and requested that each Team member identify those areas in which Petitioner had developmental needs.

17. Strouse took the areas in which all members of the Team specified that Petitioner had developmental needs and developed a program for Petitioner to address those needs. This program was titled Florida Principal Competencies -- Analysis of Developmental Needs for Lonnie Smith, Interim Principal Haines City High School (Plan).

18. There was no team meeting with Petitioner or with the team as a whole to discuss the outcome of the survey, the compilation of the results, or to jointly draft the Plan. Petitioner was not aware of, nor did he have knowledge of, the Plan prior to the August 14, 1997, meeting with Superintendent Reynolds.

19. The Plan was presented to Petitioner at the August 14, 1997, meeting with Superintendent Reynolds, Area Superintendent Baldwin, William Strouse, and Assistant Superintendent of Personnel Denny Dunn. Petitioner was advised at this meeting that his Interim Principal Program would be extended a year.

20. The Plan dated August 1997, provides as follows:

    CLUSTER CONSTANCY OF PURPOSE COMPETENCIES

    COMMITMENT TO VISION AND MISSION CONCERN FOR THE SCHOOL'S REPUTATION ORGANIZATIONAL SENSITIVITY

    
    

    COMMITMENT TO VISION AND MISSION is a pledge

    to develop and act in accordance with the shared vision, mission and values of the school.

    
    

    The principal needs to exhibit COMMITMENT TO VISION AND MISSION in which he:

    *personally holds a set of values which are in harmony with the vision and mission of the school; e.g., respect and caring for each individual, belief that everyone can succeed, etc.

    *is purposeful about linking the school's mission to expected behavior

    *identifies, models and reinforces behavior which is congruent with the mission and goals of the schools

    
    

    CONCERN FOR THE SCHOOL'S REPUTATION is caring

    about the impressions created by self, the students, the faculty, the staff, and parents, and how these are communicated both inside and outside the school.

    
    

    The principal needs to demonstrate a greater CONCERN FOR THE SCHOOL'S REPUTATION in

    which he:

    *Maintains a safe, orderly and clean school and expects everyone to assume their responsibility for doing so

    *builds a school culture that provides the best possible teaching/learning environment

    *controls the flow of negative information.

    
    

    ORGANIZATIONAL SENSITIVITY is an awareness of the effects of one's behavior and decisions on all stakeholders both inside and outside the organization.

    
    

    The principal needs to demonstrate ORGANIZATIONAL SENSITIVITY by documenting that he:

    *considers the overall consequences to the school's culture before initiating changes

    *keeps individuals, both inside and outside the school, informed when data are relevant to them

    *considers the position, feelings and/or perspectives of other parts of the organization when planning, deciding and organizing

    *develops and maintains a school climate conductive to learning

    *is open to discussion and change

    *builds coalitions and seeks, secures and recognizes allies

    CLUSTER: PROACTIVE ORIENTATION COMPETENCIES

    PROACTIVE ORIENTATION

    
    

    PROACTIVE ORIENTATION is the inclination and readiness to initiate activity and take responsibility for leading and enabling others to improve the circumstances being faced or anticipated.

    
    

    The principal must demonstrate a more PROACTIVE ORIENTATION in which he:

    *provides support for teachers, staff and parents as they take initiative for school improvement

    
    

    CLUSTER: CONTINUOUS IMPROVEMENT COMPETENCIES

    ACHIEVEMENT ORIENTATION DEVELOPMENTAL ORIENTATION

    
    

    ACHIEVEMENT ORIENTATION is having to do things better than before by setting goals that encourage self and others to reach higher standards.

    
    

    The principal give more attention to ACHIEVEMENT ORIENTATION in which he:

    *shows appreciation for individual and group efforts and accomplishments

    *identifies discrepancies between goals and the current status in order to stimulate achievement

    *uses criteria for effective schools to assess the status of the school as one basis for school improvement.

    
    

    DEVELOPMENTAL ORIENTATION is holding high and positive expectations for the growth and development of all stakeholders through modeling self-development coaching and providing learning opportunities.

    
    

    A principal needs to enhance his DEVELOPMENTAL ORIENTATION in which he:

    *builds a school, community and culture that supports learning and growth for everyone including self

    *participates in professional developmental activities as a learner.

    
    

    CLUSTER: COMMUNICATION COMPETENCIES

    IMPACT/PERSUASIVENESS SELF PRESENTATION

    
    

    IMPACT/PERSUASIVENESS is influencing and having an effect upon the school stakeholders by a variety of means...e.g., persuasive arguments, setting an example or using expertise.

    
    

    The principal needs to demonstrate IMPACT/PERSUASIVENESS in which he:

    *persists until ideas, beliefs and goals are clear to all stakeholders

    *uses personal presence to influence others, maintains visibility and accessibility.

    
    

    SELF PRESENTATION is the ability to clearly present one's ideas to others in an open, informative and non-evaluative manner

    
    

    The principal must enhance his skills of SELF PRESENTATION in which he:

    *checks to see that messages are received, and persist until ideas, beliefs and goals seem to be understood

    *models effective interpersonal communication skills

    *uses effective listening skills before responding to questions by others.

    CLUSTER: FACILITATION COMPETENCIES

    MANAGING INTERACTION TACTICAL ADAPTABILITY INTERPERSONAL SENSITIVITY

    
    

    MANAGING INTERACTION is getting others to work together effectively though the use of group process and facilitator skills.

    
    

    A principal needs to improve his skills of MANAGING INTERACTION when in which he:

    *facilitates team and group membership

    *moderates group discussions and encourages consensus

    *facilitates interpersonal and intergroup communication

    *creates a non judgmental atmosphere in order to stimulate open communication personally

    *promotes collegial behavior.

    
    

    TACTICAL ADAPTABILITY is the ability to adapt one's interaction and behavior to meet the situation.

    
    

    The principal needs to develop skills of TACTICAL ADAPTABILITY in which he:

    *adopts various roles of listener, facilitator, and confronter as needed

    *understands how own behavior affects others and makes appropriate adjustments.

    
    

    INTERPERSONAL SENSITIVITY is the ability to discover, understand, verbalize accurately and respond empathetically to the perspectives, thoughts, ideas and feelings of others.

    
    

    The principal must demonstrate greater INTERPERSONAL SENSITIVITY in which he:

    *encourages others to describe their perceptions, thoughts, feelings and perspectives

    *listens attentively and accurately describe others' behavior, expressed ideas, feelings, and perspectives

    CLUSTER: CRITICAL THINKING COMPETENCIES

    INFORMATION SEARCH AND ANALYSIS CONCEPT FORMATION

    CONCEPTUAL FLEXIBILITY

    
    

    INFORMATION SEARCH AND ANALYSIS is the

    gathering and analysis of data from multiple sources before arriving at an understanding of an event or problem.

    
    

    The principal needs to display an enhanced competence in INFORMATION SEARCH AND ANALYSIS in which he:

    *creates and manages a systemic informational gathering process among the various stakeholders of the school community

    *keeps up-to-date, striving to gather new information from research and other sources which can then be used by the school

    
    

    CONCEPT FORMATION is the ability to see patterns and relationships and form concepts, hypotheses and ideas from the information.

    
    

    The principal must evidence CONCEPT FORMATION when he:

    *processes data logically and intuitively to discover and/or create meaning

    *presses self and others to define and understand issues so that problem solving techniques can be applied

    *practices reflective thinking

    
    

    CONCEPTUAL FLEXIBILITY is the ability to use alternative or multiple concepts or perspectives when solving a problem or making a decision.

    
    

    The principal must demonstrate CONCEPTUAL FLEXIBILITY in which he:

    *views the situation being faced and the events leading up to it from multiple perspectives

    *values divergent thinking and considers conflicting or differing views in the process of identifying options for actions

    *appreciates different perspectives, and ensures that alternative courses of action and their consequences are considered before decisions are made

    *makes decisions based upon an analysis of options

    *demonstrates contingency planning skills.

    CLUSTER: DECISION-MAKING COMPETENCIES DECISIVENESS

    DECISIVENESS is the readiness and confidence to make or share decisions in a timely manner, using appropriate levels of involvement so that actions may be taken and commitments made by self and others.

    
    

    The principal needs to exhibit greater DECISIVENESS in which he:

    *recognizes the importance of sharing decisions and decision-making with stakeholders as integral part of organizational learning and development

    *recognizes that decisions are made at several levels by different people

    *faces personnel problems as they occur, provides feedback on performance, and makes difficult personnel decisions when necessary

    *acts quickly to stop possible breaches of safety and/or interruption in operations in discipline situations

    *decides to let others decide.

    
    

    CLUSTER: MANAGERIAL COMPETENCIES

    ORGANIZATIONAL ABILITY DELEGATION

    MANAGEMENT CONTROL

    
    

    ORGANIZATIONAL ABILITY is the "know-how" (knowledge and skill) to design, plan and organize activities to achieve goals.

    
    

    The principal must improve his ORGANIZATIONAL ABILITY in which he:

    *develops action plans for goal achievement in collaboration with the school improvement team

    *recruits teachers whose goals align with the mission and goals of the school community

    
    

    DELEGATION is entrusting of jobs to be done, beyond routine assignments, to others, giving them authority and responsibility for accomplishment.

    
    

    The principal must improve his DELEGATION COMPETENCE in which he:

    *assesses the expertise of self and others and, whenever possible considers the developmental needs and aspirations of others in relation to the jobs and tasks to be assigned

    *seeks outside help and assistance for tasks or jobs for which time and talents are not available within the school

    *gains understanding and acceptance for delegated tasks

    *specifies responsibility and authority for delegated tasks

    
    

    MANAGEMENT CONTROL is the establishment of systematic processes to receive and provide feedback about the progress of work being done.

    
    

    The principal must improve his skills of MANAGEMENT CONTROL in which he:

    *walks around campus purposefully to check the status of events

    *holds frequent conferences with staff about student progress

    *asks for feedback to see how well self is doing

    *reconsiders, at least annually, the shared vision of the school, its mission and the stated goals

    *schedules follow-up for all delegated and assigned activities.

    
    

    RECOMMENDED ACTION PLAN FOR THE NEEDS RELATED TO THE FLORIDA PRINCIPAL COMPETENCIES

    AS IDENTIFIED BY THE SUPPORT TEAM

    
    

    Lonnie Smith, Interim Principal, Haines City Senior High, will implement the following activities as a way to document successful achievement of the Florida Principal Competency criteria for certification as a School Principal:

    
    

    1. Develop and maintain a portfolio which contains artifacts related to each of the indicators (as appropriate) for the Florida Principal Competencies as identified by the support team in July of 1997.

       
       

    2. Provide written behavioral examples for specific competency indicators for which artifact documentation is inappropriate.

       
       

    3. Provide oral behavioral examples in an interview setting to his supervisor related to specific competency indicators as identified in the summary of developmental needs.

       
       

    4. Read the Polk County School Board Policy Book and consult with his supervisor and/or other appropriate district level resource people when specific policy questions arise.

       
       

    5. Participate in Leadership Academy training activities as follows:

       
       

       Facilitative Leadership Leadership Self-Assessment

       Seven Habits Of Highly Effective People

    6. Schedule, plan, and facilitate at least four (4) meetings of the Interim Principal Support Team to provide status reports concerning the developmental needs as identified and action plan accomplishments. One meeting should be scheduled in each of the following months: October, 1997; January, 1998; March, 1998; June 1998.

       
       

    7. Meet all expectations/processes as outlined in the performance appraisal procedures for school-based administrators.

       
       

    8. Participate in other training as might be suggested by the Assistant Area Superintendent and where time and content are appropriate.

       
       

    9. Secure and administer the "School Climate Quality Survey" from Anchin Center, USF (813- 974-5959). Develop an action plan to address any areas of need as identified by the survey results.

       
       

    10. Participate in additional shadowing experiences with each peer principal at least twice during the 1997-1998 school year.

        
        

    11. Limit military leave time to a minimum so as to concentrate on successful demonstration of all duties comprehensive of the principalship.

    
    

21. Despite several objections to the Plan, including the requirement to reduce his military obligation, Petitioner accepted the Plan and proceeded to work on the 11-point recommended action set out in the Plan. Petitioner did not at this time, or at any previous time, advise the Team that he was of the opinion that he had successfully completed the Program.

22. In accordance with the recommended action set out in the Plan Petitioner:

    1. developed and maintained a portfolio;

       
       

    2. provided written behavioral examples for specific competency indicators for which artifact documentation is inappropriate;

    3. provided his Team and supervisor with oral behavioral examples;

    4. read the Polk County School Board Policy Book and consulted with his supervisor or other appropriate district level resource personnel when specific policy questions would arise;

    5. participated in the leadership academy training activities and completed the three courses outlined in the recommended action set out in the Plan; d

    6. scheduled, planned, and facilitated at least three meetings of the Interim Principal Support Team. A fourth meeting of the Interim Principal Support was scheduled and planned by Petitioner but did not occur due to the Program being terminated prematurely in March 1998;

    7. participated in other training that was suggested by Area Superintendent Carolyn Baldwin, went to training titled Building a Team, and also went to training provided by the Board and Ms. Baldwin in particular.

    8. secured and administered the "School Climate Quality Survey" and,

    9. pursued furthering shadowing with the two peer principals.

23. On January 26, 1998, the Team met to review Petitioner's progress, The Team member expressed concern regarding Petitioner's leadership in the instructional/academic programs at Haines City High School, and the need for an academic plan for the school was discussed.

24. On March 5, 1998, the Team met to review Petitioner's progress on the Plan and the Program. The Team's concern regarding the school's academic plan was again discussed. Petitioner was requested to prepare a written description of a plan for improving the school's academic and instructional performance. Petitioner subsequently submitted such a plan to the Team members. Each of the Team members found shortcomings in Petitioner's academic plan. Petitioner's plan: (a) did not address what Petitioner had been asked to address by the Team;

    (b) lacked substance; (c) lacked quality; and (c) was difficult to understand.

25. On March 16, 1998, the Team met without Petitioner to discuss his progress with the Plan and Program. Petitioner was not present at this meeting due some minor surgery. Petitioner was offered the opportunity to postpone the meeting but decided to let the Team meet without him. However, Petitioner had submitted material to the Team regarding the Plan. After reviewing the material submitted by Petitioner (which apparently included Petitioner's portfolio), the Team, individually and collectively, concluded that Petitioner had not successfully

    completed the Program in that he had failed to demonstrate satisfactory performance of the 19 Florida Principal Competencies. At this meeting the Team reached a consensus that the Team could not recommend Petitioner for certification as a principal. A memorandum was prepared advising Superintendent Reynolds that the Team was recommending that Petitioner should not receive certification as a principal. Additionally, the memorandum advised Superintendent Reynolds that although Petitioner had made some improvements there had not been a demonstration of performance whereby the Team could recommend School Principal Certification for Petitioner.

26. The Team also agreed at the March 16, 1998, meeting that since Petitioner's evaluation was an integral part of the certification program that Ms. Baldwin, as Petitioner's supervisor, would complete Petitioner's evaluation.

27. On March 17, 1998, Ms. Baldwin prepared Petitioner's Principal Performance Summary Assessment and rated Petitioner "Ineffective" in the following Clusters of Florida Principal Competencies:

1. Proactive Orientation with the following comments:

   
   

   1. has been proactive in relationship to the physical facility and grounds needs of Haines City High School.

   2. lacks proactive orientation in relationship to school's academic performance.

   3. discipline issues often become complaint status. Parents express concern about the accessibility of the principal for problem resolution and frequently report referral to the staff persons when the [sic] specifically request to speak with the school principal. Some parents say they do not know who the principal is.

   4. lack of participation in decision making regarding emergency plans for school double session (December 1997).

   5. decisiveness in relation to safety issues questionable, i.e. bomb threat incident and delay of school evacuation as documented by investigation of Mr. Fred Murphy, Director of Disaster Preparedness; also lack of a clear plan even after numerous bomb threats (which staff members were to search which parts of the building)

   6. staff report hesitancy in interaction in planning meetings (guidance staff, specifically)

   7. difficulty in simple decision making and follow through (i.e., FBLA supplements, principal awarded 2 available supplements at 100% and 2 more at 33 1/3% with conflicting paperwork on file at the county level.)

   8. complaints re: cheerleaders coaching and advertisement of supplemental positions as per collective bargaining agreement affecting basic program start up timeliness and county requirements

      
      

2. Sensitivity

   
   

   1. does not seem to have recognition of consequences of his actions in the larger organization (i.e., letting teachers go home during duty day perceived as abdication of responsibility)

   2. development of team approach weak considering 2 years to accomplish (relationships with other administrators disjointed and awkward)

   3. tends to isolate himself and participate in peripheral ways only (observed in East Area principal's meetings as well as reported by school staff)

   4. lack of networking with peer principal's [sic]; evidences reluctance to use peer principals as resources

3. Analysis

   
   

   1. weakness in interpreting school's academic data. Uses large minority population and high mobility rate as reasons for school underachievement

   2. no observation in concept through conversation or practice of elements of concept formation or conceptual flexibility at a proficient level

      
      

4. Leadership

   
   

   1. Managing interaction weak in group problem solving

   2. high number of parent complaints about interaction with school personnel (principal and others) as compared to other

      area high schools. Four times the number of complaints requiring intervention compared to the next highest number from another high school (48:12 ratio). One other area high school has only 3 complaint calls

      
      

5. Work Standards

   
   

   1. have not observed level of developmental orientation expected of a principal performing effectively

      
      

6. Written Communication

   
   

   1. some ambiguity in written communication, some ideas not clearly communicated (i.e., materials provided to team for interim principal program)

1. Sharon Knowles concluded that Petitioner had failed to adequately perform in the competency of proactive orientation which includes decision-making, improving the school, and decisiveness. Knowles cited specific examples such as Petitioner's decision to delay evacuating the school upon being advised of a bomb threat and his decision to attend a scholarship competition at another school during the time that a law enforcement officer had been killed in the community and his school was in a lock-down. To Knowles this indicated a lack of decisiveness. Also, Knowles concluded that Petitioner's failure to move the Program along in the beginning indicated a lack of responsibility on the part of Petitioner.

2. David Lewis concluded that Petitioner had failed to adequately perform in the competency of proactive orientation. Lewis cited specific examples such as Petitioner's delay in responding to a bomb threat and his lack of involvement in taking the leadership role in diffusing the situation. Lewis cited

   Petitioner's lack of leadership in responding to a tornado disaster. Lewis cited Petitioner's failure to return to his school during a lock-down of the school after the shooting death of a law enforcement officer in the neighborhood.

3. Lewis also concluded that Petitioner had failed to perform in the cluster of Critical Thinking (Information Search and Analysis, Concept Formation, and Conceptual Flexibility). As a specific example, Lewis cited Petitioner's inability to properly prepare and present an academic and instructional plan for Haines City High School.

   
   

   CONCLUSIONS OF LAW

   
   

4. The Division of Administrative Hearings has jurisdiction over the parties and the subject matter of this proceeding pursuant to Sections 120.57(1), Florida Statutes.

5. The burden of proof is on the party asserting the affirmative of an issue before an administrative tribunal. Florida Department of Transportation v. J.W.C. Company, Inc.,

   396 So. 2d 778 (Fla. 1st DCA 1981). To meet this burden, the Petitioner must establish facts upon which his allegations for entitlement to principal certification is based by a preponderance of the evidence. See Department of Banking and Finance, Division of Securities and Investor Protection vs. Osborne Stern and Company, 670 So. 2d 932 (Fla. 1996) and Section 120.57(1)(h), Florida Statutes.

6. It was Petitioner's responsibility to move the Program forward and to document his successful completion of the necessary requirements of the Program. The initiative was always on the Petitioner. It is clear that Petitioner did not always take the initiative to move the Program forward. Petitioner contends that Ms. Baldwin for some reason had a "bone to pick" with him which he alleges influenced her "to give him a hard time" and that this eventually influenced her decision to recommend that Petitioner not receive certification under the Program. While there appeared to be some dissension between Petitioner and Ms. Baldwin, there is no evidence that Ms. Baldwin allowed that dissension to influence her judgment or decision not to recommended Petitioner for principal certification under the Program. Likewise, there is no evidence that Ms. Baldwin attempted to influence the other members of the Team to Petitioner's detriment. There has been no showing that

Ms. Baldwin or any other member of the Team did not testify truthfully and I find their testimony to be credible.

36, Petitioner, after a slow start, did attempt to move the Program along and, did successfully complete a portion of the requirements for principal certification under the Program.

However, Petitioner's efforts were "too little - to late." Petitioner has failed to establish facts by a preponderance of the evidence to show his entitlement to principal certification under the Program.

RECOMMENDATION

Based on the foregoing Findings of Fact and Conclusions of Law, it is recommended that the Board enter a final order finding that Petitioner did not successfully complete the necessary requirements for the principal certification under the Interim Principal Program and, is further recommended that Petitioner be denied principal certification under that program.

DONE AND ENTERED this 26th day of July, 1999, in Tallahassee, Leon County, Florida.

WILLIAM R. CAVE

Administrative Law Judge

Division of Administrative Hearings The DeSoto Building

1230 Apalachee Parkway

Tallahassee, Florida 32399-3060

(850) 488-9675 SUNCOM 278-9675

Fax Filing (850) 921-6947 www.doah.state.fl.us

Filed with the Clerk of the Division of Administrative Hearings this 26th day of July, 1999.

COPIES FURNISHED:

Robert H. Grizzard, II, Esquire Post Office Box 992

115 Trader's Alley

Lakeland, Florida 33802-0992

Donald H. Wilson, Jr., Esquire Boswell and Dunlap LLP

Post Office Drawer 30 Bartow, Florida 33831

Mr. Glenn Reynolds Superintendent of Schools Polk County School Board 1915 South Floral Avenue Bartow, Florida 33830-0391

Tom Gallagher Commissioner of Education

The Capitol, Plaza Level 08 Tallahassee, Florida 32399-0400

Michael H. Olenick, General Counsel The Capitol, Suite 1701 Tallahassee, Florida 32399-0400

NOTICE OF RIGHT TO SUBMIT EXCEPTIONS

All parties have the right to submit written exceptions within 15 days from the date of this Recommended Order. Any exceptions to this Recommended Order should be filed with the agency that will issue the Final Order in this case.

Docket for Case No: 98-002425

Orders for Case No: 98-002425