Study of Weighted Student Funding and School-Based Systems ( Study Instruments )

Appendix H:
Principal Survey
for the Study of
Weighted Student Funding (WSF) and
School-Based Budgeting (SBB) Systems

Study of

Weighted Student Funding (WSF)
and
School-Based Budgeting (SBB) Systems

Principal Survey

2017-18 School Year

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB number. The valid OMB control number of this information collection is ###-####. The time required to complete this information collection is estimated to average 30 minutes per survey, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate or suggestion for improving this form, please write to: U.S. Department of Education, Washington, 20202-4651. If you have comments or concerns regarding the status of your individual submission of this form, write directly to:

Policy and Program Studies Service, Office of the Deputy Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, Washington, DC 20202.

Thank you for agreeing to participate in the Study of Weighted Student Funding (WSF) and School-Based Budgeting (SBB) Systems Principal Survey.

• Purpose of Study: To better understand different systems for allocating resources to schools including school-based budgeting practices and weighted student formulas.

• Sponsor: The study is sponsored by the U.S. Department of Education and is being conducted under contract by the American Institutes for Research (AIR).

• Participation Requirement: Participation is voluntary. You may choose not to respond to certain questions or discontinue the survey at any time.

• Reporting and Confidentiality: Responses to this survey will be used to summarize findings in an aggregate manner (across groups or sites) or will be used to provide examples of program implementation in a manner that does not associate responses with a specific site or individual. Your responses will not be shared with staff from your school district. The study team will use only the survey responses you provide in its analysis and neither the name of any school site nor your name will be used in any reporting. The study team will make sure that access to all data with identifiable information is limited to members of the study team. Except for that which is already public, every effort will be made to maintain the confidentiality for all information collected and we will not provide information that identifies you or your district to anyone outside the study team, except as required by law.

• Response Burden: This survey should require approximately 20-30 minutes of your time.

• Benefits: Your participation will help inform policymakers, educators and researchers at the local, state, and national level about how weighted student funding and school-based budgeting systems are implemented.

• More Information: For questions or more information about this study, you may contact the AIR study team at FundingStudy@air.org or call the study toll-free-number at, 1-8xx-xxx-xxxx and select option X.

Thank you for your cooperation in this very important effort!

PAPER VERSION ONLY

Please write your answers directly on the questionnaire by checking the appropriate box, or writing your answer in the space provided.

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Please select only one answer and click the “Next” button.

• Yes, I agree to participate in this survey.

• No, I do not wish to participate in this survey.

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Thank you for your time. If you do not wish to participate, click the “Next” button to end your survey. If you wish to participate, please click the “Previous” button to change your response. Thank you.

[IF THE “NEXT” BUTTON SELECTED, THEN DISPLAY]This concludes the survey, please click the “Submit” button to finalize your responses.]

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1. Which of the following best describes your school?

Please select only one answer.

• Regular elementary and/or secondary school (a public elementary or secondary school that does not focus primarily on vocational, special, or alternative education)

  

  Thank you for responding to the survey.

  This is the only question we have for adult day, alternative, or preschools (that do not serve upper grades) at this time.

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  {[IF PAPER] Please return this survey using the return envelope.}

• Innovation school (or other public school with more flexibility given)

  

• Charter school

  

• Magnet school

  

• Special education school

  

• Vocational/technical school (public elementary or secondary school that focuses primarily on vocational education and provides education in one or more semiskilled technical operations.)

• Adult day school

• Other alternative school

• Preschool or early childhood education center that does not serve upper grades

  

• Other; please specify below.

2. Of all the students enrolled in grades Pre K–12 and ungraded levels in your school around the first of October, how many were…

Please provide a number for each row. If “0,” select the box “None.” Students can be counted in more than one category.

		Number of Students
a.	Eligible for free or reduced-price lunch?		 None
		 Check here if this school is implementing the Community Eligibility Provision (CEP).
b.	Students with individualized education plans (IEPs)?		 None
c.	English learners (ELs)?		 None

3. Around the first of October in the previous school year (2016-17), how many students were enrolled in your school?

Please provide a number in the box below.

Total number of students enrolled in school year 2016-17

4. Does your school enroll any students from outside the school’s neighborhood (i.e., students who applied or chose to attend)?

• Yes GO TO QUESTION 5

• No GO TO QUESTION 6

5. In the previous school year (2016-17), how many students enrolled from outside the school’s neighborhood (who applied or chose to attend)?

Your best estimate is fine.

Please provide a number in in the box below.

Total number of students that choose to attend your school in school year 2016-17

6. Does your district allocate any funding to schools on a per-pupil basis?

• Yes GO TO QUESTION 7

• No GO TO QUESTION 12

7. For the current school year (2017-18), what percentage of your school budget was provided to schools on a per-pupil basis?

Your best estimate is fine. Please enter a percentage in the box below.

%	Percentage of funds provided to your school on a per-pupil basis

8. Which of the following best describes the discretionary per-pupil funding your school receives?

Discretionary funds are those over which school leaders have authority to make spending decisions.

• Discretionary per-pupil funding covers the majority of the school-level operational budget, including core staff. [SBB District] GO TO QUESTION 9

• Discretionary dollars are largely for purchasing supplies and materials or supplemental staff positions. Core staff positions are determined by staffing formulas maintained by the district GO TO QUESTION 12

9. How are per-pupil funds distributed to schools in your district adjusted to account for student needs or demographics? 

• A base per-pupil amount is weighted according to student needs. For example, economically disadvantaged students count as an additional 0.5 students for funding allocations. [WSF District]
  GO TO QUESTION 10

  

• An additional flat per-pupil allocation is provided for certain types of students. For example,
  $1,000 of additional funding is provided for each economically disadvantaged student. [WSF District]
  GO TO QUESTION 10

• They are not adjusted. The per-pupil allocation is the same regardless of student needs. [SBB District]
  GO TO QUESTION 12

10. Which of the following expenditure types, if any, is your school permitted to purchase from external (non-district) vendors?

Please select all that apply. If none, please select none.

• Professional Development Providers

• Facilities/janitorial services

• Food services

• Computer hardware/equipment

• Instructional materials

• Security services

• Other supplies and materials

• Other; please specify below.

  
  

• None

11. [WSF District] In which school year did your district begin distributing funds to your school based on student needs?

For example, school year 2012-13. If you do not know the answer or are unsure, please write “Don’t Know”.

School year district began distributing funds based on student needs

12. In the current school year (2017-18), how much influence does the district have with respect to hiring the following staff compared to your school (including principals, teachers, other school staff, and committees including parents and/or community members)?

Please select one answer in each row. If decisions are made at a level above the district
(e.g., by the state), please select “Decision mostly made by district-level staff.”

		Decision mostly made by district-level staff	Decision evenly shared between district and school-level staff or stakeholders	Decision mostly made by school-level staff and stakeholders	Unsure
	Regular classroom teachers (core grades/subjects)	1	2	3	4
	Special area or resource teachers (e.g., music, art, technology, English learner resource teacher)	1	2	3	4
	Special education teachers	1	2	3	4
	Instructional aides	1	2	3	4
	Instructional coaches	1	2	3	4
	Pupil support staff (e.g. counselors)	1	2	3	4
	Teachers or instructional aides paid through restricted federal funds (e.g., Title I or Title III)	1	2	3	4
	Assistant principals	1	2	3	4

13. In the current school year (2017-18), how much influence does the district have with respect to selecting materials or services compared to your school (principals, teachers, other school staff, and committees including parents and/or community members)?

Please select one answer in each row. If decisions are made at a level above the district
(e.g., by the state), please select “Decision mostly made by district-level staff.”

		Decision mostly made by district-level staff	Decision evenly shared between district and school-level staff or stakeholders	Decision mostly made by school-level staff and stakeholders	Unsure
	Textbooks	1	2	3	4
	Curricular materials	1	2	3	4
	Instructional software	1	2	3	4
	Office supplies	1	2	3	4
	External (non-district) service providers (contracted services)	1	2	3	4
	Food services	1	2	3	4

14. To what extent do you disagree or agree with the following statements?

Please select one answer in each row.

		Strongly Disagree	Disagree	Agree	Strongly Agree
a.	I have discretion over how the dollars in my school budget are spent.	1	2	3	4
b.	I have discretion over how centralized district dollars are spent at my school (e.g., dollars for centrally managed services such as instructional support, professional development and food services).	1	2	3	4
c.	I have sufficient autonomy to implement instructional programming that meets the needs of the students in my school.	1	2	3	4

15. Thinking about the schools in your district that serve the highest proportion of economically disadvantaged students, please indicate whether those schools receive less or more resources than other schools in the following areas?

Please select one answer in each row.

		Substantially less	Somewhat less	About the same amount	Somewhat more	Substantially more
a.	School operational budget per pupil	1	2	3	4	5
b.	Access to high-quality, rigorous courses	1	2	3	4	5
c.	Access to experienced teachers	1	2	3	4	5
d.	Smaller class sizes	1	2	3	4	5
e.	Timely and aligned professional development opportunities for staff	1	2	3	4	5
f.	Up-to-date curricular and instructional materials	1	2	3	4	5
g.	Educational technology	1	2	3	4	5
h.	Safe and adequate facilities	1	2	3	4	5
i.	Access to teachers with advanced degrees	1	2	3	4	5
j.	Access to classes with low student to teacher ratios	1	2	3	4	5

16. Does your school have a council of parents, teachers, and/or other community members that helps you make budget or programming decisions for the school (“parent/school site council”)?

• Yes GO TO QUESTION 17

• No GO TO QUESTION 18

17. Which of the following decisions does this council help to make?

Please select all that apply.

• Budget allocations

• Curriculum

• School scheduling

• Other key decisions; please specify below.

18. How much influence do each of the following stakeholders have in making budget decisions at your school?

Please select one answer in each row.

		No Influence	Limited Influence	Moderate Influence	Significant Influence
a.	District staff	1	2	3	4
b.	Yourself as principal	1	2	3	4
c.	Other school administrative staff	1	2	3	4
d.	Teachers	1	2	3	4
e.	Other school support staff	1	2	3	4
f.	Parents	1	2	3	4
g	Students	1	2	3	4
h.	Other community stakeholders	1	2	3	4

19. To what extent do you disagree or agree with each of the following statements?

Please select one answer in each row.

		Strongly Disagree	Disagree	Agree	Strongly Agree
a.	I know how the amount of funding distributed to my school is determined by the central district office.	1	2	3	4
b.	I know how the number of staff allocated to my school is determined by the central district office.	1	2	3	4
c.	I can predict how much funding my school will receive next year.	1	2	3	4
d.	I know where to obtain details about how my school’s budget allocation was calculated this year.	1	2	3	4
e.	I know who I can ask for more information about how my school’s budget allocation was determined.	1	2	3	4

20. How clear to you is the method the district uses for determining…

Please select one answer in each row.

		Not at all clear	Somewhat clear	Moderately clear	Extremely clear
a.	The levels of funding for each school?	1	2	3	4
b.	The number of staff in each school?	1	2	3	4
c.	Staff assigned to each school?	1	2	3	4

21. Which of the following types of information do you receive from the district regarding your school-level budget?

Please select all that apply.

• The amount of discretionary funding provided to the school from general unrestricted funding.

• The amount of discretionary funding provided to the school from restricted funding sources, such as Title I or funding earmarked for special education.

• The amount of staffing positions provided to the school from general unrestricted funding.

• The amount of staffing positions provided to the school from restricted funding sources, such as Title I or funding earmarked for special education.

• The cost of district-provided services received by the school.

• The total school-level operational budget consisting of all discretionary and non-discretionary resources from all funds.

• A description of how funding or staffing levels are determined.

• The calculation of how funding or staffing levels were determined (e.g. a spreadsheet showing how the calculations were made).

• None of the above.

22. How does your district communicate information on your school’s budget to you?

Please select all that apply.

• One-time principal meeting

• Ongoing principal meetings

• E-mails or other written notices

• Training for principals

• Training for other school staff

• Posting information on internal district website

• Posting information publicly on district website

• Other; please specify below.

23. For the current school year (2017-18), how many hours did you spend developing the school’s budget?

Please select only one answer. Your best estimate is fine.

• I did not develop the school’s budget. GO TO QUESTION 25

  

• Less than 5 hours

• 5 - 10 hours

  

• 11 - 15 hours

• 16 - 30 hours

• More than 30 hours

24. How many hours did you spend working with anyone from the central district office to develop your current school year (2017-18) budget?

Please select only one answer.

• I did not develop the school’s budget.

• Less than 5 hours

• 5 - 10 hours

• 11 - 15 hours

• 16 - 30 hours

• More than 30 hours

25. Is the primary responsibility for managing the budget handled by schools, the district, or is this responsibility shared equally between schools and the district?

• Schools GO TO QUESTION 26

• District GO TO QUESTION 27

  

• Shared equally between schools and the district GO TO QUESTION 26

26. Which staff member in your school assumes primary responsibility for managing the school’s budget?

Please select only one answer.

• Principal

• Assistant Principal

• School Budget Officer, Bookkeeper, or Secretary

• Another staff member, please specify below.

27. How many hours do you expect you and your staff to spend monitoring your school’s 2017-18 budget during this school year?

Please select only one answer. Your best estimate is fine.

• I do not monitor my budget.

• Less than 5 hours

• 5 - 10 hours

• 11 - 15 hours

• 16 - 30 hours

• More than 30 hours

28. During the previous school year (2016-17, including summer 2017), did you receive any hours of professional development in school management or governance?

Only include workshops, coursework, and conferences offered or paid for by your district or state.

• Yes GO TO QUESTION 29

• No GO TO QUESTION 30

29. How many hours of professional development in school management or governance did you receive during the previous school year (2016-17, including summer 2017)?

Only include workshops, coursework, and conferences sponsored by your district or state.

• I did not participate in such professional development.

• Less than 5 hours

• 5 - 10 hours

• 11 - 15 hours

• 16 - 30 hours

• More than 30 hours

30. During the previous school year (2016-17, including summer 2017), did you receive any hours of professional development on planning and budgeting?

Only include workshops, coursework, and conferences offered or paid for by your district or state.

• Yes GO TO QUESTION 31

• No GO TO QUESTION 32

31. How many hours of professional development in planning and budgeting did you receive during the previous school year (2016-17, including summer 2017)?

Only include workshops, coursework, and conferences sponsored by your district or state.

• I did not participate in such professional development.

• Less than 5 hours

• 5 - 10 hours

• 11 - 15 hours

• 16 - 30 hours

• More than 30 hours

32. What additional training or support is available from the district on planning and budgeting outside of formal professional development?

Please select all that apply.

• There is a district staff person assigned to our school to assist with the school plan and budget.

• District-level staff are available for in-person technical assistance as needed.

• District-level staff are available to provide technical assistance by phone as needed.

• Online resources are available, including documents, videos, and/or training modules.

• Other; please specify below.

33. On which of the following topics would you like to receive additional training or information?

Please select all that apply.

• Technical aspects of planning and budgeting

• Rules and regulations surrounding use of categorical funds

• Conducting a needs assessment

• Using resources more efficiently

• Selecting programs/resources for special education students

• Selecting programs/resources for English learners

• Selecting programs/resources for other at-risk students

34. How long have you been a principal in this district?

Please count the current school year as one full year.

• 1 year or less

• 2 - 3 years

• 4 - 6 years

• 7 - 10 years

• More than 10 years

35. For the current school year (2017-18), how much of a challenge is each of the following with respect to the system of school-level funding in your district and school?

Please select one answer in each row.

		Not a challenge	Minor challenge	Moderate challenge	Major challenge
	Insufficient training for principals (e.g., none available; poor quality training)	1	2	3	4
	Inadequate data to help inform principal decisions	1	2	3	4
	Inadequate communication from the district	1	2	3	4
	Difficulty predicting school resources from year to year	1	2	3	4
	Difficulty coordinating with district staff regarding resource allocation decisions due to changes in principal and district roles	1	2	3	4
	Difficulty obtaining community buy-in	1	2	3	4
	Difficulty obtaining buy-in from school staff	1	2	3	4
	Unsteady commitment to the system from district-level staff	1	2	3	4

[Paper Version Only, Web Version Will Autoskip]

35a. Please refer back to Question 6. Which option did you select?

• Yes [My district allocates funding to schools on a per-pupil basis.] GO TO QUESTION 35b

• No [My district does not allocate funding to schools on a per-pupil basis.] GO TO QUESTION 40

35b. Please refer back to Question 8. Which option did you select?

• Discretionary per-pupil funding covers the majority of the school-level operational budget, including core staff. [SBB District] GO TO QUESTION 36

• Discretionary dollars are largely for purchasing supplies and materials or supplemental staffing positions. Core staff positions are determined by staffing formulas maintained by the district.
  GO TO QUESTION 40

36. For the current school year (2017–18), what could happen if your end-of-year spending is more than your school's discretionary per-pupil budget?

Please select all that apply.

• As a penalty, the amount overspent could be deducted from the budget for next year.

• I could receive additional training on budget development.

• I could receive additional training on budget monitoring.

• I could be given discretion over a smaller part of my school’s budget.

• I am not able to spend more than my discretionary budget; systems will block overspending.

• None of the above

• Other; please specify below.

37. For the current school year (2017-18), what could happen if your end-of-year spending is less than your school's discretionary per-pupil budget?

Please select all that apply.

• Funds will roll over to the next year.

• I will lose the funds not spent.

• I could receive additional training on budget development

• I could receive additional training on budget monitoring.

• I could be given discretion over a smaller part of my school’s budget.

• None of the above

• Other; please specify below.

38. Please indicate what will happen if your school does not meet performance targets in the current (2017-18) school year.

Please select yes or no for each item.

		Yes	No
	I will have less autonomy over hiring and personnel decisions.	1	2
	I will have control over a smaller portion of my school’s total budget.	1	2
	The district will more closely evaluate next year’s budget and site plans.	1	2
	The district will more closely monitor the implementation of next year’s budgets and site plans.	1	2

39. [SBB District] Comparing the current school year (2017-18) to the school year before your system of school-level per-pupil funding was implemented, to what extent…

Please select one answer in each row.

			Decreased substantially	Decreased slightly	Stayed about the same	Increased slightly	Increased substantially	Unsure
	Has funding changed in schools in your district with higher needs students relative to schools with lower needs students?		1	2	3	4	5	6
	Has funding changed in small schools in your district relative to larger schools?		1	2	3	4	5	6
H	Has funding to charter schools changed relative to traditional schools?		1	2	3	4	5	6
	Has the quality of the instructional program changed in schools with higher needs students relative to schools with lower needs students?		1	2	3	4	5	6
	Has the share of the principals’ control over the budget changed?		1	2	3	4	5	6
	Has the ability of principals to use their schools’ discretionary resources to address the needs of their students changed?		1	2	3	4	5	6
	Has the ability of principals to implement new and/or innovative approaches to educating their students changed?		1	2	3	4	5	6
	Has teacher involvement in decisions about how to use staff and funding at schools in my district changed?		1	2	3	4	5	6
	Has parental involvement in decisions about how to use staff and funding at schools in my district changed?		1	2	3	4	5	6

40. Please select title that best represents your primary position within your district.

Please select only one. If you have more than one job title, please select the title on the job that you spend a majority of your time.

• Assistant Principal/Vice Principal

• Assistant Superintendent

• Federal Program Administrator/Manager

• Finance Director

• Non-Federal Program Administrator/Manager

• Principal

• Research Administrator

• Superintendent

• Other, please specify below:

41. Please select the titles of all of the staff that assisted you in completing this survey.

Please select all that apply. If no one provided assistance please select “None of the above.”

• Administrative Assistant/Secretary

• Assistant Principal/Vice Principal

• Assistant Superintendent

• Budget Director

• Chief Academic Officer

• Chief Budget Officer/Chief Financial Officer

• Communications of Public Information Director

• Federal Program Administrator/Manager

• Finance Director

• Non-Federal Program Administrator/Manager

• Principal

• Research Administrator

• School Board President/Member

• Superintendent

• Other, please specify below:

  
  

• Other, please specify below:

  
  

• None of the above.

Thank you for completing this survey. Your participation is greatly appreciated.

[PAPER VERSION ONLY

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