Principal Leadership Institute
Field Supervision Handbook

The Principal Leadership Institute at the University of California, Berkeley, is a program to prepare leaders for urban schools. To prepare highly qualified and leaders, we enlist the collaboration of districts and sites, principals and superintendents, field supervisors and faculty, who together try, once again, as the poem above suggests, to “start because we care” about urban schools and the students in them.

The PLI is responding to a California Governor's Initiative to increase the number of principals who are better prepared to lead urban schools. PLI graduates are knowledgeable about curricular and instructional alternatives and are able to work collegially with teachers, parents and community to improve the quality of teaching and learning, and thereby improved achievement, for students in urban schools. PLI candidates become familiar with the broadest possible range of reforms and develop a greater understanding of their roles as leaders in the change processes that will be required to implement these reforms. Candidates are chosen, in consultation with districts, on the basis of their commitment to urban students and schools and on their prior experience as strong teachers.

The curriculum of the PLI is organized around four thematic areas:

1. Teaching and Learning
2. Educational Organizational Leadership and Management
3. Education Change and Reform
4. Issues in Urban Education

The primary goal of the program is to engage future urban educational leaders in translating theory and research into effective practice. The program is rigorous and competitive, and it is both university- and field-based. PLI candidates are asked to make connections between courses and between theory and practice. They are charged with becoming thoughtful practitioners who value and apply research to the practical world of schools.

The principles of the program are detailed on the website: http://principals.berkeley.edu.

A summary of those program principles that particularly apply to field supervision are:

1. Principals are collaborators and distributed leadership is a productive way to organize schools.
2. The main responsibility of the administrator is to be an instructional leader, and the main work of the principal is organizing a professional development climate at the school in which observation of classrooms is a norm and the purpose of teacher work is improving the achievement outcomes for students.
3. A solid knowledge base of learning theory and models of teaching best prepares future principals to talk to teachers about teaching and learning.
4. Supporting teachers requires principals to observe classes, plan carefully for professional development with staff input, and not back away from having the difficult conversations.
5. Operations and management decisions are made in the service of teaching and learning.
6. The cycle of inquiry for school improvement requires data analysis and an investigation and analysis of student and teacher work.
7. Poverty is the largest risk factor for students and families, thereby placing students placed at risk for educational failure; yet urban students, families, and communities have assets that are often overlooked. It is the responsibility of the principal to form effective relationships with parents and the community.
8. Diversity is a strength of urban schools and effective leaders are able to talk openly about race, ethnicity, culture, class and gender differences, assets and issues.
9. Schools should be places of continuous inquiry and improvement, and aspiring principals should be engaged in site-based inquiry and research as a way of preparing to be administrators who can lead teachers to do the same.

There are two ways in which PLI students can engage in field work: (1) a Practicum or (2) an Administrative Internship. At the time of application, candidates are required to submit an approval form with signatures from a proposed site supervisor and a district official indicating the willingness of the supervisor and the district to support the candidate. (Appendix H).

One form of assessment of field work and class work is the Professional Development Plan and Documentation (PD2). The PD2 is a working document that the candidate prepares at the outset of the PLI and amends or adds on to as s/he gains experience through the practica or internship experiences. This form is organized around the four thematic areas of the PLI and the California Professional Standards for Educational Leaders (CPSELs). The field work, during the academic year and summer, is critical for gaining the hands-on experiences in leadership that are represented by the competencies.

The PD2 is used in these ways:

1. Each candidate is asked to assess prior experience in leadership that is deep and sustained for inclusion on the PD2.
2. All coursework is viewed as a part of fulfilling the standards. The coursework often includes site-based requirements.
3. Each candidate, in collaboration with the Program Coordinators, the Field Supervisor, and the Site Supervisor, identify specific field-based objectives and experiences under each competency.
4. Each candidate addresses six objectives in the PD2: interpersonal, public speaking, race and diversity, technology, data, and personal health/motivation.

The final PD2 is submitted in August of the second summer of the program as evidence that the candidate has gained novice level administrative experience and is prepared for a role as a school leader. The Candidate is then recommended for the Preliminary ASC credential after he or she completes the Masters Project, a requirement of the M.A. However, performance of standards in a credential program is not the only criteria in obtaining a position. Sufficient experience, as determined by the district, is an important determinant in which position is appropriate for the candidate. Should the candidate have a position prior to completion of the Masters Project, the program is authorized to obtain an Administrative Intern credential for the candidate. Upon completion of the MA, the candidate is then recommended for the Preliminary ASC.

One important way in which candidates develop leadership capacity is taking on leadership roles in the schools. With the assistance of the Field Supervisors, who are UC Berkeley employees, candidates are better able to make the theory-practice connections. The FS is the candidate's mentor and advocate. The responsibility of the Field Supervisor is to negotiate with the Site Supervisor to design leadership experiences that will meet the competencies need to become a site leader and troubleshoot any issues that arise.

PLI Students in Practicum Leadership Experiences

Most students in the PLI program are eligible for and select the Practicum option. They are typically employed in a school, or on occasion a district office, in one of several capacities: Teacher, Curriculum or Literacy Coach, Teacher on Special Assignment, or Coordinator of a Special Program. The work they are engaged in requires a teaching credential.

To adequately prepare to be a leader, however, each of these candidates must be involved in substantial leadership experiences and projects at a school site. The more sustained the experiences are, the better prepared the candidate will be for administrative positions. Yet, the practicum experience is not “one size fits all.” It is the belief of the PLI program that it is our responsibility to (1) work with individual districts and schools to design practica experiences that represent the individual needs of each student; (2) carefully monitor those experiences onsite; and (3) make certain that the candidate has sufficient experience that s/he will qualify for leadership positions in the district.

The minimum number of required leadership hours during the program is 225 hours over the course of the program (fall, spring, summer 2), but more importantly the candidate must demonstrate their abilities in the multiple areas detailed in the PD2 and the CPSELs.

The minimum hour requirement is matched with the course requirements: Practicum in School Site Management 460A (Fall), Practicum in School Site Management 460B (spring) and Practicum in School Site Management 460D (Summer 2). In the fall and spring, candidates engage in leadership experience and leadership projects at the school site. In summer 2, the candidate and the program, in conjunction with the PLI staff and Field Supervisor, develop a summer practicum or internship that best meets each candidate's needs to complete novice standards for principals as indicated on PD2. They are typically in the summer practicum from 8:30-12:30 for six weeks. In all cases, the candidates should work with strong administrators. PLI candidates engage in leadership experiences throughout the course of the 14 month program.

Therefore, the candidate must have an opportunity at the school site to engage in leadership projects and experiences. These experiences include, but are not limited to: facilitating meetings, observing classes and having conversations about practice with teachers, shadowing the principal, acting as Principal for a Day, attending meetings at the district level, taking responsibility for a special project, becoming an active member of School Site Council (including preparation of school plan and budget), organizing and presenting professional development for colleagues, and organizing parent workshops. They should have an opportunity to have substantive experiences in all aspects of teaching and learning and in management (budget, scheduling, discipline, school planning).

If the candidate is a fulltime classroom teacher, accommodations need to be made at the school site in terms of the schedule so that the prospective administrator can engage in and gain competence in administrative responsibilities.

Those in the practica option are assigned a UCB Field Supervisor who has served as a fulltime principal. The Field Supervisor is expected to make a minimum of three observations/consultations at the school site per semester and provide feedback to the candidate. A fourth consultation can occur by phone or email. These observations are documented by the FS and observation forms or narratives are on file with PLI program.

PLI Students in Administrative Internship Option

As a result of UC Berkeley's involvement in collaborative relationships with public school districts in our region, the PLI has approved for offering the Administrative Internship. The internship option is a response to the district need for qualified administrators and is designed to serve local school districts, which hire people into administrative positions simultaneously with their enrollment in the Preliminary Administrative Services Credential Program. In all cases, these PLI candidates are full time employees of the hiring school district and the school district requests an Administrative Intern Credential for its employee. The district must provide a letter of employment.

Typically, the intern will be a certificated staff member within a district and is recruited by the district for an administrative opening in the district. The university trusts that the Superintendent and the School Board of that district have made a wise decision in choosing that person as an Administrative Intern. The university sees its role as collaborative support for the Administrative Intern who is also a PLI candidate. At no time do we recruit interested persons to be interns and then place them in school districts.

For those candidates who are in this situation, the PLI at UC, Berkeley offers an Administrative Internship option. For these students, who will be acting as full time administrators, the objective is to gain a variety of experiences that prepare them to fulfill the competencies of novice administrators, with a particular concentration on setting them on the right course in their first role as an administrator. The PLI Program emphasizes their development as instructional leaders and works with the school site administrator to make certain there is sufficient time and attention given to observing classes and conferencing with and guiding teachers.

Depending on the kind of experiences that candidates have during the school year, the summer experience for the person in an Administrative Intern role will be designed individually to meet the needs of the candidate. Again, the task of the PLI Practicum Coordinator and Field Supervisors is to work closely with districts and schools to design summer school experiences that assist candidates in completing standards in individual areas of need.

Those in Administrative Intern roles are assigned a UCB Field Supervisor who has served as a fulltime principal, preferably in the district in which the candidate is working. The Field Supervisor is expected to make a minimum of 6 visits per semester or 3 visits in the summer to consult with Administrative Intern.

During Summer 2 or the fall following the PLI, the candidate can also obtain an Administrative Intern credential if the candidate is hired for an administrative position in the school.

Course of Study

Course List 2007-2008 - MA/ASC I - (38 UNITS)

Documentation: Types and Responsibilities

Entry level or novice competency as a site administrator, ASC 1 Credential is documented in these ways:

• Professional Development Plan and Documentation (PD2)
• Leadership Experience Documentation ( 460A, B, D; Appendix C,D,E)
• Portfolio (260D; Appendix E)
• Performance in Graduate Work (See PLI Student Handbook; Graduate Student Handbook)
• Leadership Action Research Project (See PLI Student Handbook)
• Observations by Field Supervisors (Handbook Appendix G)

Because the leadership experience varies from site to site and person to person, based on a variety of situations, including the candidate's prior experience, current professional responsibilities, and particular situation at the site, the PLI has developed a documentation system. The candidate, the Field Supervisor, and the Site Supervisor can work together to make certain that the candidate is competent in all areas of administrative standards by:

• reviewing the standards
• indicating on PD2 the courses and experiences that reflect growing competency in the content areas/standards
• documenting the leadership experience hours (minimum of 225 hours done in Fall, Spring, Summer); documentation of ALL leadership hours
• collecting artifacts that substantiate the leadership experience
• meeting regularly to update the PD2and refine the leadership experience
• completing a portfolio that addresses the four content areas of the PLI (as organized on the PD2) and the CPSELs

Responsibilities: Field Supervision

Program Responsibilities

• Work with the district Office personnel and the liaison designated by the superintendent to ensure that the program requirements are clear and that district procedures are in place.
• Communicate regularly with school sites and respond to issues that may occur.
• Work closely with districts to identify strong administrators for shadowing purposes and summer school practicum sites.
• Engage district and site administrators in providing feedback to the PLI.
• Provide oversight for all practicum experiences, including courses (460A, 460B)
• Assess effectiveness of field supervisors and practicum component of program

Responsibilities of the Field Supervisor (FS)

• Provide contact information to the Site Supervisor and Candidate.
• Review responsibilities in a three-way conference with principal or other site-based supervisor to make certain that procedures are clear, questions are answered, and that the leadership experiences of the candidate are substantial and varied.
• Debrief about the leadership experience for the candidate in a three-way conference at the conclusion of each term (fall, spring, summer).
• Review the Professional Development Plan and Documentation (PD2) with the candidate and assist student in developing an action plan to meet requirements, including the schedule for the “unpacking conversations” with the Site Supervisor/Principal and shadowing other administrators.
• Periodically review the vision statement with student and see how vision of leadership has developed.
• Conduct a minimum of 3 observations and conferences with candidates in the practicum option during fall and spring and provide a written observation to the intern. Conduct at least one more consultation each semester. Conduct at least 2 observations in Summer practica; 3 if Administrative Intern. Conduct a minimum of 6 observations for those in Administrative Internships. (Note: the observations may take the form of consultation).
• Confer with Site Supervisor and candidate as needed.
• Consult in final grade for Leadership Practicum with Program Coordinator and Site Supervisor.
• Troubleshoot any issues that arise at the school site; alert PLI contact about issues.

Responsibilities of Site Supervisor/Mentor

• Become acquainted with the candidate’s personal and professional development and use the information to help the candidate grow as a professional.
• Work collaboratively with candidate to make certain that the schedule can accommodate the candidate’s requirement to be involved in multiple aspects of leadership development.
• Assist candidate in scheduling teaching observations, a requirement of School Supervision course.
• Attend conferences as needed with candidate and/or Field Supervisor, including three way conference at beginning and end of practicum.
• Be attentive to opportunities to provide the candidate with (1) leadership opportunities; (2) informal feedback or analysis about leadership situations at the school site; and (3) “unpacking” the role and thinking of an administrator.
• Schedule 3-4 formal conversations with the candidate to “unpack” the role of leadership.
  Informally and formally observe the candidate in a leadership role and provide an opportunity for debriefing about the observation.
• Make any arrangements necessary (permission to interview or survey, access to student records) to assist the candidate in being able to complete the Master’s Project and other course assignments.
• Verify leadership documentation and sign documentation form.
• Communicate any difficulties to program coordinator or field supervisor.
• As the district permits and is necessary for the individual, facilitate a substitute when candidates make observations at other sites.
• Provide a yearly evaluation of the program to the university.

Responsibilities of Graduate Candidate

• Maintain regular contact with Field Supervisor via phone or email; make certain FS knows when you are involved in leadership work that s/he may observe; document contact.
• Design leadership experience and project with input from Site Supervisor and Field Supervisor and approval for leadership experience by site administrator.
• Document hours and collect evidence/artifacts to support leadership work.
• Actively participate in online 460A course on a weekly basis.
• Schedule “unpacking conversations” with the principal.
• Complete a Portfolio that includes substantial reflection on the role of a leader.
• Regularly update and complete PD2 at end of program.
• Communicate any issues to program coordinator or field supervisor.
• Review with site administrator the student's responsibilities regarding the Leadership Action project and other assignments.
• Complete Leadership Action Research Project, which often involves interviews, surveys and data collection at the school site (this may require obtaining permission from parents or teachers for use of data).
• Conduct periodic observations and interviews with teachers and administrators for the purposes of class assignments.
• Collect data at school site for purposes of analysis, including observations of teaching and learning.
• Negotiate with principal to meet requirements of the program.
• Shadow administrators at other sites.

Supervision/Observation

The supervision/observation process is one of the most important elements of the program because the supervision/observation process of administrators and teachers is a key element in improving teaching and learning in any school. Therefore, the model and the strategies for observation are central to the work of schools and the program.

The term supervision is used in its clinical definition in the professional literature. It implies a process and a supportive relationship between the candidate and the supervisor (field supervisor, site supervisor/mentor, or practicum coordinator or program coordinator). It is based on the notion that this is a collaborative, collegial professional relationship in which a person who has more experience can mentor and guide another who is learning. We realize this may be taken in its more generic meaning and imply hierarchy, but it is not necessarily hierarchical. We view the supervision process as collegial and use Dewey's notion of the supervisor as guide as the metaphor.

The supervision process is the recursive dialogue that occurs as a part of this relationship and includes the formal and informal conferences and conversations that professionals have. The goal is to engage the candidate in self-reflection through the coaching and to build the candidate's ability to solve problems and develop in an administrative role.

We expect that this process will continue into the entry year of the candidate as a novice administrator in order to provide the kind of onsite supervision/observation and conversation that will be key to the success of the novice administrator.

Supervision and Observations of Candidates

Onsite supervision and consultation of and with candidates by Field Supervisors involved in both teaching and in leadership experience provides the opportunity to observe growing competencies in the core content areas of the program. While the program philosophy values the rigor of the research and the ability of candidates to perform well in graduate work, it is a truism to say that the real test of a novice administrator is at the school site, “on the ground” using the growing knowledge and skills in a leadership capacity.

Supervision is typically described as a formal process: pre-conference, observation, and post-conference. However, supervision can be informal or formal and takes many forms. In the case of the university supervisor visits to the school, it is usually a formal observation with written feedback.

Observations and Consultations by Field Supervisors (FS)

Field Supervisors (FS) hired by the university to serve in that capacity will fulfill the university responsibility for supervision. The latter are preferably former principals who are familiar with the district in which they supervise.

The content of the observations is negotiated between the candidate and the FS. Typically, if the candidate is a fulltime teacher, the FS will observe teaching as a model for how to conduct observations of classroom teachers. Other typical observations include: facilitating a meeting or a professional development session, acting as a coach, co-observing a class, The FS may also shadow a candidate as s/he is in various leadership roles in the practica or internship.

Every attempt is made to model best practice using the supervisory model, but at times, the pre and post conferences will be conducted via phone or email. The forms for observation and supervision are in Appendix G.

Observations and Consultations by Site Supervisor

The program expects that most of these will fall under the “informal learning from mentors” category. Research indicates that this type of learning is often the most valuable. It is at these times that the site supervisor can share with the candidate the situation, “think aloud” about options of how to handle situations, and offer “insider” advice to the novice leader.  The program believes that the more the candidate is “let in” on the thinking and decision-making processes of the Site Supervisor, the more valuable the field experience will be for the candidate.

However, it is anticipated that the Site Supervisor conduct formal observations of candidates fulfilling a leadership role at least twice during a semester, providing an opportunity for both pre and post conferencing about the observation. In addition, the Site Supervisor/Principal is expected to have 3-4 “unpacking conversations” with the candidate during the year in order to examine differing aspects of leadership at the school site.

Course Requirements for Observation of Teachers by Candidates

The candidates take a class entitled School Supervision in which they are introduced to a variety of strategies for conducting observations. They are required to conduct observations of teachers in order to practice the supervision process. This is to be done with the permission of the teacher. Some techniques for observation that candidates are practicing are: scripting, selected verbatim, time on task, Pathwise, and BTSA. They are encouraged to pay careful attention to effective questioning in observations. In this course, they also gather data on the teaching staff at a school and analyze the data. All data are anonymously reported.

Observations by Program Coordinator and/or Practicum Coordinator

Program staff is responsible for the oversight of the observation and supervision. In addition, they are interested in what the program and the candidates are experiencing in the real situations of urban schooling. For these reasons, they make periodic informal observations of candidates and schools, both to see the candidate “in action” and to maintain strong relationships with site administrators.

Observations by Program Documenters

The PLI Program is concerned with ongoing documentation and improvement of the program and is interested in the growth and development of the aspiring and novice administrators. The PLI will obtain permission from the district to observe and interview current and prior candidates to conduct research as well as document the effectiveness of the program.  Candidates will, of course, sign consent forms for the research and documentation undertaken by the program.

Special Considerations

Professional Preparation for Field Supervisors

The Field Supervisors will need to be “in synch” with the program expectations, coursework and procedures so that they can be effective in providing supervision. The best programs offer Field Supervisors an opportunity to discuss and reflect upon the experiences they are having with candidates. In order to make certain that these two goals are met, the program conducts monthly meetings for these purposes: (1) to discuss current coursework topics and share current research with supervisors and (2) to discuss issues in supervision that are of concern to the Field Supervisors..

Leadership Action Research/Master's Project

One of the central program tenets is that data should be used to direct school change and improvement. Therefore all M.A. students have to be engaged in inquiry at the school site. Every student is required to complete a master’s project that entails inquiry, data collection and analysis. The most common methodology is qualitative and often based on the principles of teacher action research; the most common form of data are classroom observations, field notes, surveys, and interviews. At times, the candidate may require access to student records. The projects will typically not be published, and therefore, a formal process of “human subjects review” is not necessary. Candidates will maintain confidentiality requirements.

However, permission is necessary. We suggest that candidates get permission from parents and other teachers for collecting data through use of the consent forms that they obtain in the Thesis Seminar. The candidate must get approval for all consent forms and method of distribution and collection from the Principal.

The candidate should share with the Site Supervisor/administrator the nature of the project and inquiry, the data collection needs and gain approval for the work. If necessary, the Field Supervisor or Program Staff can assist in facilitating the requests of the candidate.

All data are confidential and the candidates are directed to report such data so as to maintain the anonymity of respondents (i.e., pseudonyms or Teacher A, Student 1).

Data Collection, Surveys and Interviews

In addition to the Master's project, there are often assignments in classes that require students to collect data at the school site, which may include the need to interview teachers, parents, or students. The results of these will be confidential and reported as indicated previously.

Community Mapping

As a requirement of the program, candidates have to develop a comprehensive portrait of the school and community and are required to collect and organize data from several sources. It is the contention of the program that site leaders should have demographic information about a school “on the tip of their tongue” or “at their fingertips”. In addition, this promotes the belief that urban school communities have untapped assets, and that by looking at a community deeply, the prospective administrator can uncover those assets for collaboration and support.

Release Time

Arrangements are made with districts on a yearly basis to grant release time for candidates who are fulltime teachers so that they have varied experiences in leadership. The current request is 3 days per year of release time to visit other school sites to observe.

Appendix A

click on image to download printer-friendly PDF

Appendix B

click on image to download printer-friendly PDF

Appendix C

click on image to download printer-friendly PDF

Appendix D

click on image to download printer-friendly PDF