Funding

A Guide to Implementing Student-Based Budgeting (SBB)

Transforming School Funding

Foreword by Karen Hawley Miles

Standards

Teaching

School Design

Leadership

School Support

Partners

IMPLEMENTING STUDENT-BASED BUDGETING (SBB)

Adjust Core Processes

Rethink Principal and District Office Roles

Design Training and Support

Build and Sustain Investment

Implementing SBB

Define the Eligible Pool of Resources

Build the Funding Formula

Unlock Resources

Make Policy Decisions

Project the Size of the SBB Pool

Choose Weight Values and Test

Scenarios

Designing the System

Is SBB Right for My District?

What Kind of Team do We Need?

When and How Should We Roll out SBB?

Taking the Plunge

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CONTENTS

Foreword and Introduction ................................................................. 4

Student-Based Budgeting, Defined ..................................................... 6

Taking the Plunge ................................................................................ 8 •IsSBBRightforMyDistrict? •WhatKindofTeamdoWeNeed? •WhenandHowShouldWeRolloutSBB?

Designing the System ........................................................................... 13 •DefinetheEligiblePoolofResources •UnlockResources •ProjecttheSizeoftheSBBPool •BuildtheFundingFormula •MakePolicyDecisions •ChooseWeightValuesandTestScenarios

Implementing SBB ............................................................................... 24 •AdjustCoreProcesses •RethinkPrincipalandDistrictOfficeRoles •DesignTrainingandSupport •BuildandSustainInvestment

In Closing: Keys to Success ..................................................................33

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Foreword and Introduction by Karen Hawley Miles

Schooldistrictleadersfaceanarrayofchallengesthataffecthowtheyallocatescarceresourcestoschools—stubbornachievementgaps,changingandcomplexdemographics,andshrinkingfederalandstatesupport.Astherangeofneedgrowsmorecomplex,schoolsaregrowingasdiverseasthestudentstheyserve.Inthiscontext,manyleadersareactivelyseekingwaystoensurethatallschoolshaveflexibilitytoorganizeresourcestomatchstudentandschoolneeds,whilealsoensuringequityacrossschooltypes.

EducationResourceStrategies(ERS)leveragesmorethan15yearsofexperiencehelpingdistrictleadersstrategicallyreallocatetheirresourcestoimprovestudentperformance.Aspartofthiswork,we’vecollaboratedwithsomeoftheleadingdistrictsthathavemadeboldchangestotheirfundingsystemsandworkedthroughtheresultsofthesechanges.OurworkonfundingispartofourbroaderSchoolSystem20/20vision—anaction-orientedframeworkforurbanschooldistrictstoensurethateveryschoolsucceedsforeverychild.

Ourworkonschoolfundingisbasedonsevenprinciplesforeffectiveschoolbudgeting.Webelievethatallschoolfundingsystemsneedtorestonthisfoundation:

ERS Principles for Effective School Budgeting

Principle Description

Student-Focused Provides resources based on students, not on buildings, adults, or programs

Equitable Allocates similar funding levels to students with similar characteristics, regardless of which school they attend

Transparent Easily understood by all stakeholders

Differentiated Allocates resources through a comprehensive framework that is based on student needs

Predictable School allocation process is predictable and is structured to minimize school-level disruption

Empowering Empowers school-based decision-making to effectively use resources

Aligned with district strategy

Supports the district’s multiyear strategic plan

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Anincreasinglypopularapproachtoachievetheseendsistoexplicitlytiedollarstospecificstudentneeds.Thesemodelsgobymanynames:WeightedStudentFunding,FairStudentFunding,and (ourpreference)Student-BasedBudgeting,orSBB.1Inourworksupportingdistrictsaroundthedesignandimplementationofthesemodels,ERShasidentifiedaseriesofcrucialdesigndecisions,implementationtools,andchangemanagementstrategiesthatarehallmarksofthemostsuccessfulSBBefforts.

ThispapercodifiesthosepracticesintoaprocessthatcanbeadaptedbydistrictleaderswhobelieveSBBiscrucialtotheirbroaderdistrict-improvementplan.Weaimtoempowertheseleadersandtheirteamswiththecontext,knowledge,andstrategiesthey’llneedtodesignandimplementanSBBapproachthatdistributesresourcesmoreequitablyandeffectivelyacrossthedistrict.

Wehopethispapercatalyzesdialogueandcollaborationamongdistrictleadersandotherswho wanttoimprovetheirapproachtoresourceallocationtobenefitthemostimportantpeopleinoureducationsystem—ourstudents.

Acknowledgements

This work resulted from the efforts of numerous ERS team members over time. We would like to particularly recognize lead authors David Rosenberg, Jeff Gordon, and Betty Hsu, as well as our School Funding Practice Area, led by Stephen Frank and including Chris Lewis and Laura Schick. In addition, we are indebted to leaders from several ERS partner districts, including Baltimore, Boston, Denver, Rochester, Prince George’s County, and Cleveland, who helped us develop and test these ideas through their own efforts to implement new funding systems. We are grateful to Carnegie Corporation of New York for providing funding for this report. ERS is solely responsible for any ideas presented in this paper, as well as any errors.

1Manydistrictsnametheprogramtoreflectitsprimarygoals.Forexample,leadersinRochester(NY)determinedthattheirmainobjec-tivewithSBBwastocreatemoreequitablefundingacrossthedistrict;therefore,theycalledtheirprogramEquitableStudentFunding.Engagingmultipleplayers,includingadministrators,principals,andteachers,intheearlydecisiononwhattocallyourprogramisacommonapproachtoensureyourefforttobuildconsensusaroundthestrategygetsoffontherightfoot.

Education Resource Strategies|480PleasantStreet,SuiteC–200|Watertown,MA02472|Phone:617.607.8000

ERSisanon-profitorganizationdedicatedtotransforminghowurbanschoolsystemsorganizeresources—people,time,technology,andmoney—sothateveryschoolsucceedsforeverystudent.For more information, see ERStrategies.org

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Student-Based Budgeting, Defined

“Student-BasedBudgeting”describesanydistrictfundingmodelthat:

•Allocatesdollars(i.e.,insteadofstaff);

•Isbasedonthenumberofstudents;

•Isweightedusingobjective,measurablefactsabouteachindividualstudent.

Inshort,withSBB,dollarsfollowthestudentsbasedonstudentneed.

SBBdiffersfundamentallyfromthetraditionalfundingmodelstillemployedbymostAmericanschooldistricts,whichdistributesresourcestoschoolsintheformofstaffanddollarsdesignated forspecificpurposes.

Comparing Funding Systems

Traditional System Student-Based Budgeting Systems

Schools receive funds based on…

Districtwide staffing and resourcing ratios

A formula that provides a base amount to each school, supplemented by student need–based funding

School budgets include… Specific staff positions and a targeted set of prescribed resources

Funds to be spent on staff and other resourc-es based on the school’s instructional model, plus resources for categorical and centrally controlled funds

School leaders actively control…

As little as 1–5% of school budgets

40–80% of school budgets

ManydistrictsthatpursueStudent-BasedBudgetingseekthethreefoundationsofhigh-performingfundingsystems—equity,flexibility,andtransparency.

•Equity.Thestrongestfundingmodelsensurethatresourcesaredistributedequitablybasedonstudentneed.However,indistrictswehavestudied,it’snotuncommonforsomeschoolswiththehighest-needstudentstoreceiveaslittleashalfasmanyresourcescomparedtoschoolswiththelowest-needstudents.SBBrepresentsonewaytoremedythisinequity.

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•Flexibility.Mostallocationdecisions—whetherofpeopleordollars—aremadeatthedistrictlevel.InfocusgroupsthatERShasconductedacrossthecountry,principalscommonlysaytheirbudgetdiscretionorauthoritycoverslessthan5%oftheirschool’stotalbudget.Theyrarelyhaveaformalsayin,forexample,howmanyteachers,aides,ornoninstructionalstafftheyreceive,letalonewhothosepeoplewillbe.Ideally,leadersineachschoolbuildinghavetheopportunitytodefineoradjusttheresourcestheyneedtodrivestudentachievement,givenstudents’specificneeds.

•Transparency.Commonly,theaverageprincipaldoesn’tknow—andcan’ttell—howhisorheroverallresourceallocationcameabout.Theprocessisfragmentedandasaresult,exceedinglydifficulttounderstandatabroadlevel.Theoptimalfundingsystemhasclearandeasilyunderstoodrulesforwhere,how,andwhydollarsflow.

Itispossibleforatraditionalmodeltobeequitable,flexible,andtransparent;it’salsopossiblethataStudent-BasedBudgetingmodelcouldbeinequitable,inflexible,andopaque.Thisiswhywebelieve,firstandforemost,thatadistrictmustbeclearonitsoverallimprovementstrategy,including implicationsforresourceuseandallocation,beforesettlingonSBBasameanstoachieveitsgoals.

Key Takeaways•WithStudent-BasedBudgeting,dollarsfollowstudentsbasedonstudentneed.

•Student-BasedBudgetinggivesschoolsdollars,notfixedstafforprograms.

•Student-BasedBudgetingisalmostnevertheonlysourceofresourceallocationina district;categoricalfundswith“strings-attached”requirementstypicallysupplement themoreflexibleSBBallocation.

•DistrictsthatpursueSBBarecommonlyseekingtomaximizeequity,flexibility andtransparencyintheirfundingsystems.

Questions for Reflection•Howdoesyourdistrictcurrentlyallocateresourcesanddollarstoschools?

– Isitequitable?Howdoyouknow?

– Isitflexible?Howdoyouknow?

– Isittransparent?Howdoyouknow?

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Taking the Plunge

BeforeyoujumpintoStudent-BasedBudgeting,werecommendsteppingbacktodothreethings.First,makesureSBBisrightforyourdistrict.Second,ifitis,organizeyourteamforsuccess.Third,determinewhenandhowtorolloutSBB.

Is SBB Right For My District?Tofigurethisout,startbyaskingsomebig-picturequestions:

•What role does SBB play in my broader strategy for improving student outcomes? ManydistrictleadersthinkofSBBasthestrategy.Inreality,SBBisbestthoughtofaspart ofabroaderapproachtobetterutilizingresources,oftenbyimprovingschooldesign,givingmoreautonomytoprincipals,andintensifyingleadershipdevelopmentatalllevels.IfyouarethinkingofSBBinthecontextoftheseorsimilarmoves,great;ifnot,youmaywanttostopandputSBBinabiggercontext.ERS’SchoolSystem20/20providesaframeworkforaligningresourcesacrossalllevels—district,school,andclassroom.

•How do I expect resources to shift as a result of SBB? Which schools may gain resources, and which lose resources? Ifyou’reconsideringSBB,youprobablythinksomeschoolsarecurrentlyoverfundedrelativetoneed,whileothersareunderfunded.Playingoutapotentialscenarioofwhichschoolswilllikely“win”and“lose”willhelpyouquicklyassesstheimplicationsofSBBsoyoucangetaheadofanyunexpectedconsequences.

•When I imagine what my district will look like after SBB is implemented, what other changes are implicitly included in that vision? What does that imply for the magnitude of the effort? SBBchangesthedollarsschoolsreceiveandtherulesforspendingthem,butitdoesNOTbyitselfleadtomoreeffectiveresourceuseandimprovedstudentperformance.It’scrucialtodetermineupfrontwhatelsemayneedtochange,andlaythegroundworkformakingithappen.Forexample,ifSBBispairedwithnewautonomiesforprincipals(asitcommonlyis),howpreparedareyourprincipalstomanagetheirownbudgetsandexerciseautonomyoverresourceuse?Whatothersupportisneededtorealizethefullpotentialofyourstrategy?

Onceyou’veconsideredthebroaderstrategicissues,you’rereadytoevaluateseveralconcretedecisionfactors.Ofcourse,conditionscanchangeovertime.AfteradecadeasapioneeroftheSBBmove-ment,SeattlePublicSchoolselectedtoreturntoamoretraditional,centralizedapproach.Districtleadersfeltthatduetolowoverallfundinglevels,aswellasconstraintsassociatedwithitscollectivebargainingagreementsandstatefunding,theproportionoffundsoverwhichschoolshadtruediscretionwithSBBwasn’tlargeenoughtomateriallyimpactschooldesign.Asaresult,Seattle movedtoahybridapproachcalledWeightedStudentStaffing,whichtakestheconceptofSBBweightsandappliesthemtothetraditionalratio-basedapproach.

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Key Factors in the SBB Decision Process

Decision Factor SBB may be right for you if: SBB may be wrong for you if:

Per-pupil funding levels

Are at or above national average for your set of peer districts

Are below average vs. peer districts and/or falling to the point where even with added school-level flexibility, resources are so scarce that SBB is unlikely to be a transformational lever

Potential resource flexibility

Is significant, even if principals do not yet have access to it

Is constrained by collective bargaining agreements, state-level oversight, or other factors not addressed by SBB

School leadership capacity

Principals are motivated by and capable of making wise, fact-based decisions about resource use and school design

Principals and district leaders are cautious about change (e.g., committed to “doing things the way we’ve always done them”)

Central office capacity

Leadership and managers have appetite and capacity for re-thinking their role in supporting schools and shifting mind-sets among school leaders

Leadership and managers are cautious about change, or focused solely on “putting out fires,” and lack capacity or willingness to change compliance mind-set

Data infrastructure

Systems run smoothly and de-liver accurate, timely data about students, teachers, and funds

Systems are fragmented, with teams pursuing “workarounds” to get and act on critical information

District leadership capacity

The district’s leadership team has the vision, passion, and appetite to overcome any challenges identified in the issues above

The district’s leadership team requires some “wind at their back” to facilitate the level of change SBB requires

AmidallthefactorsnecessaryforSBB,thecapacityofdistrictleaderstodrivechangehasthe potentialtooutweightheothers.Astrong-willedvisionaryleaderwiththeenergy,knowledge,passion,andteamtobreakdownbarrierswhilebuildingastrongculturecouldconceivably overcomesomeofthefactsintheright-handcolumn.

Case Study Driving a Change in Mind-set from the Top

Baltimore’s SBB system is called Fair Student Funding due to its initial focus on improving funding equity, but another appropriate name for it would be the “Principal-as-CEO Funding System.” Superintendent Andrés Alonso was clear about his vision of a successful principal, and his standards were high. Arriving in 2007, Alonso offered principals new flexibility in exchange for heightened accountability for results. According to his theory of action, principals could not disclaim responsibility for student outcomes if they controlled the majority of school budgets. The market, he believed, would deliver the most capable school leaders. As a result, though there were challenges along the way, the mind-sets of district and school leaders were necessarily and meaningfully shifted.

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IfSBBmakessenseinthecontextofyourvision,aswellasyourdistrict’sportfolio,capacity,andinfrastructure,you’rereadytofocusonyourteamandprogramtiming.

What Kind of Team Do We Need? SBBisnotjustaboutchangingfinancialformulas;itrequirespolicyandoperationalchangesacrossmanydepartmentsthatmustbecoordinatedandintegrateddistrictwide.Therefore,a dedicated project managerwiththeabilitytomarshalsupportandinspireactionacrossthedistrictiscrucial.

Innearlyallofthedistrictswherewe’veworked,eveniftheSBBprocessdidn’tstartwithaprojectmanager,itendedupwithone.SBBprojectmanagerscommonlyreportdirectlytothesuperintendentwithregular,directinteractiontoensurethesuperintendenthastheopportunitytohelpguidetheprocess.SBBprojectmanagementisatminimumahalf-timerole,andpossiblymore,dependingonyourdistrict’scontextandimplementationtimeline.

The ideal project manager:

•Isarelationship-builder,bothwithinthedistrictofficeandwithschoolleaders;

•Hastheabilitytomarshalresourcesfromvariousdepartmentsinthedistrictoffice;

• IsfamiliarwiththecurrentbudgetingandstaffingprocessesandthelikelyimplicationsofSBB;

•Hasexcellentskillsaroundorganizingandmanagingwork;doesnotletballsdrop;

•Hasstronganalyticskillsorpassionfordevelopinghisorheranalyticskillset;

•Istrustedbythesuperintendentandhisorherleadershipteam.

Becausethefinanceteamwillbearmostoftheresponsibilityforgatheringdataandmodelingscenarios,wealsorecommenddesignatinga finance team liaisontocoordinateandensurethese needsaremetinatimelyandaccuratefashion.

The ideal finance team liaison:

•Isdeeplyfamiliarwiththedistrict’sbudgetacrossallfundsanddepartments;

•Understandsthevisionandstrategybehindthedistrict’smovetoSBBandcanprovidecontextuallyappropriatedata;

•Hasverystronganalyticskillsandafamiliaritywithbuildingandusingdatabasemodels.

Finally,themosteffectiveSBBdevelopmentprocessesincludea cross-functional design and implementation task forcethatmeetsregularlythroughouttheproject.Thistaskforcemightincluderepresentativesfromacademics,finance,operations,andHR,aswellasprincipalsfromarangeofschoolsinthedistrict’sportfolio;specificassignmentswillvarybasedonthedistrict’sstructureandcapacity.Eachteammembershouldbepositionedasatrueleader,withtheauthorityandknowledgetorepresenthisorherdepartmenteffectivelythroughoutdesignandimplementationwork.Ideally,you’llsetupthisteamtomakeorreviewkeydecisionsthatwillshapeyourSBBsystem,aswellasshareprogressupdateswithpeersandothersacrossthedistrict.

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When and How Should We Roll Out SBB? EvenbeforeyoubegindesigningyourSBBsystem,werecommendthatyouconsideryourgeneralapproachforrollingoutSBB.ThesimplestandmostdirectapproachistorolloutSBBtoallschoolswiththosefundingcategoriesthedistrictisabletounlock.2However,somedistrictspreferalternativesthatlimitthescopeofSBBinyearonetopilotthestrategyandunderstanditspotentialimpactinacontrolledenvironment.

ThemostcommonalternativefocusesSBBonasubsetofschools.Thisapproachoftenenablesthedistricttooffermoreintensivesupporttoprincipalswhowillhave,forthefirsttime,newflexibilityaroundhowtheyallocateresourceswithintheirschoolbuildings.AchallengetothisapproachisthattheschoolscommonlymostinterestedinspearheadingSBBarethosethatareunderfunded,whichmakesthisapproachinherentlymoreexpensiveforthedistrict.Focusingonasubsetofschoolsthereforerequirescarefulselection,aswellasaholdingbackoffundsinadvancetoprepareforanetincreaseinfundingtopilotschools.

AsecondalternativefocusesSBBonasubsetofresourcebucketsinyearone.Ontheplusside, thisenablesthedistrictandprincipalstodeploythoseresourceswherethereiscurrentlythemostflexibilityandpotentialforimpact.However,thisapproachreducestotalfundsavailableforSBB.

Thesimplestalternativephasedmethodistogiveapilotcohortflexibilityoveritsresourceswithoutintroducingweightedfundsuntilallschoolsjoininsubsequentyears.

Case Studies Variations on Rollout Strategy

Cleveland: Pilot for High-Performing SchoolsFor Cleveland, as a district operating under a portfolio mind-set, the most exciting aspect of Student-Based Budgeting was the opportunity to put schools in control of their dollars and designs. This was also the biggest challenge for a central office accustomed to control. Because school resource autonomy was such a radical change, Cleveland chose to ease in via a pilot year in which nine high-performing schools controlled their budgets. These schools did not receive dollars through a weighted formula, but rather the monetary equivalent of the same staff and programs they had traditionally received. The success of this pilot proved a valuable example for hesitant principals and administrators in the subsequent year.

Denver: Expanding the System Over TimeThe rollout strategy in Denver Public Schools was balanced: The simple fundamentals came “all at once,” while additional layers grew over time. Denver introduced SBB to all schools in 2007–08, but a transition adjustment ensured that no school saw less money than it had under the old budgeting sys-tem. Over each of the next three years, pieces of this adjustment were removed. Over each of the first six years, new weights were added and new resources unlocked. The gradual nature of this implementation allowed all schools to enter SBB at the same time and slowly grow accustomed to its newest features.

2Moreonthisinthenextsection,DesigningtheSystem.

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Key Takeaways•SBBworksbestasonetoolamidabroaderkitofstrategiescoordinatedfordistrict

transformation.

•SBBworksbestwhenschoolleaders,centralofficeadministrators,anddatasystems areallequippedwithakeysetofcapacities.

•AcommonmistakeistoboxinSBBasa“financeteaminitiative.”Successful implementationrequiresadedicatedprojectmanagerwhocoordinatesacross-functional groupofstakeholders(includingschoolleaders)fromthroughoutthedistrict.

•WhilemanydistrictsrolloutSBBinonestep,otherschoosetophaseinSBBby limitingthenumberofschools,resourcesaffected,and/ortheswinginfundingequityexperiencedinthefirstyear(s)ofimplementation.

Questions for Reflection•WhatroledoesSBBplayinmybroaderstrategyforimprovingstudentoutcomes?

•HowdoIexpectresourcestoshiftasaresultofSBB?Whichschoolsmaygainresources, andwhichmayloseresources?

•WhenIimaginewhatmydistrictwilllooklikeafterSBBisimplemented,whatotherchangesareimplicitlyincludedinthatvision?Whatdoesthatimplyforthemagnitudeofthiseffort?

•WhatconditionsbestpositionusforsuccesswithSBB?Whatconditionswillbe mostchallenging?

“This is the first time in my 30 years in the district that we can really get what we need.”

—Teacher in an SBB “Transformation Schools Pilot” Cleveland Metropolitan School District

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Designing the System

BuildinganeffectiveStudent-BasedBudgetingsystemtypicallyincludessixsteps—definetheeligiblepoolofresources;unlockresources:projectthesizeoftheSBBpool;buildthefundingformula; makepolicydecisions;andchooseweightvaluesandtestscenarios.Belowwerevieweachofthesestepsindetail.

Define the Eligible Pool of ResourcesFundsthatareeligibleforinclusioninyourSBBmodelhavetwocommoncharacteristics.First,theyareschool-based,thatis,usedforservicesdeliveredintheschoolbuilding.Thesearenotjustresourcesthatappearonschoolbudgets—insomedistricts,aslittleas1%ofallfundsisincludedinschoolbudgets.Rather,resourcesthatareschool-basedareusedtopayforallservicesthatactuallyaredeliveredinschools,regardlessofwheretheyappearondepartmentbudgets.

Forexample,insomedistricts,custodialservicesmaybebudgetedcentrallyintheCustodialServicesDepartment,eventhoughmostcustodiansworkatschools.Theportionofcustodiansactuallyworkingatschoolsshouldbeconsideredintheuniverseofschool-basedresources—andthereforeeligibletobeconsideredforSBB.OtherexamplesofresourcescommonlybudgetedcentrallybututilizedatschoolsincludespecialeducationorELLitinerantservices,maintenancestaff,instructionalmaterials,andtextbooks.

Second,SBB-eligiblefundsaregeneral, unrestricted funds.BecausecategoricalfundslikeTitleIorIDEAtypicallyhavetheirownrulesondistributionandeligibility,theymaynotbeeligibleforyourSBBmodel,evenifthosefundsaredistributedtoschoolsonadollar-per-pupilbasisand/orweightedbystudentneed.

Unlock ResourcesNotallSBB-eligibleresourceswillbeincludedintheactualSBBformula.Wecalltheprocessofdefiningwhichresourcesareincluded“unlockingresources.”

UnlockingaresourcesimplymeansthatfundscurrentlyallottedforthatresourceareputintothepooloffundstobedistributedthroughtheSBBformula.Conversely,lockedresourcesarenot includedinthepooloffundsavailableforSBB;instead,theseresourcescontinuetobeallocated withspecificdirectionsfromthedistrict.

Thedecisiontolockorunlockhappensthroughasetoffilteringquestions.Aresourcethatpassesthroughmostofthesefilters(explainedbelow)isastrongcandidateforbeingunlocked.

Thefirstfilteristheextenttowhichschool-basedcontrolofaresourcefitsyourdistrict’svision for the principal’s role.Forexample,ifyourvisionincludesgivingprincipalsgreaterautonomyasinstructionalleaders,thenyou’lllikelywanttounlockinstructionalstaffandresources.Ifyourvisionisthat

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principalsserveasbuildingleaders,operationalresourcesareprimecandidatesforunlocking.Ifyourvisionfortheprincipal’sroleincludesboth,thenbothinstructionalandoperationalresourceswill beconsideredforunlocking.

Second,doesdevolvingcontrolofagivenresourcetotheschoollevelpotentiallyputstudent health and safetyatrisk?Forexample,adistrictmightjudgethateveryschoolneedsasecurityofficerandanurse,withnoexceptions.Thedistrictcouldchoosetokeeptheseresourceslockedandavoidpotentialrisksinremovingtheseresources,evenifcertainschoolsostensiblyhavegoodreasonstodoso.

Third,doesthedistricthaveexternal accountabilityfortheresourcethatmakesitdifficulttogiveschoolscontroland/orcreateslegalrisksindoingso?Specialeducationresourcestypicallydeservescrutinyonthispoint,asstateandfederalrequirementsaccompanytheiruse.Onlyifadistrictbelievesthatprincipalscanstaffthespecialeducationteachersandprovidetheservicesnecessary toservetheirstudents’IEPscanthoseteacherssafelybeunlocked.

Fourth,istheresourcemorecritical to district-level strategythanitisforindividualschools?Ifso, theresourceshouldprobablybelocked.Somedistrictschoosetoensureaccesstopreferredcurricularmaterialsoracademicinterventionsatallschoolsinordertoguaranteesimilarlearningexperiencesacrossthedistrict.

Fifth,doestheresourcerequire specialized skillstowhichaprincipalisunlikelytohaveaccess? Somedistrictswouldprefernottoburdenprincipalswithmanagingspecializedmaintenanceandcustodialoperations,andthereforekeepthesestaffpositionslocked.

Sixth,arethereeconomies of scaleinspendingresourcesatadistrictlevel?Districtstypically usemasspurchasingpowertogetbetterpriceswithtextbookvendors;thiscouldbeareasontolocktheresource,ortounlockitbutofferamenuofpreferredvendorsaccompaniedbybetter pricesfromwhichschoolscouldchoose.

Last,istheneedfortheresourcepredictableenoughforprincipalstoplanforitsuse?For example,large,occasionalinvestmentssuchasmajorfacilitiesrepairsaretypicallybestleft underdistrictmanagement.

“ My school’s schedule is now centered on what students need instead of adults.”

—Principal in an SBB “Transformation Schools Pilot” Cleveland Metropolitan School District

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Unlocking Filters

Fits vision for the principal’s role

No risk to student health and safety

No external compliance needed

Not critical to district strategy

Specialized experi-ence not required

No economies of scale

Predictable costs

NO

Lock, keep in district control

NOLock, keep in

district controlNO

Unlock for SBB model

YES YESEligible Resources

General unrestricted funds spent in schools

NO: Resources often locked for this reason

YES: Resources often unlocked

• School utilities

• Nurses

• Special education staff

• District achievement gap initiative

• Security officers

• Summer school, if shared among multiple school sites

• Substitutes for long-term absences

• General education teachers

• Textbooks

• English language- learner staff

• Instructional supplies and materials

• Secretaries and school office staff

• Guidance counselors

• Daily substitute teachers

To Lock or Unlock Eligible Resources?

Unlocking Filters

Fits vision for the principal’s role

No risk to student health and safety

No external compliance needed

Not critical to district strategy

Specialized experi-ence not required

No economies of scale

Predictable costs

NO

NO: Lock, keep in district controlLock, keep in

district control

YES: Unlock for SBB model

YES

IF...

Eligible ResourcesGeneral unrestricted

funds spent in schools

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Whenconsideringwhetheraprogramorserviceshouldbeunlocked,it’salsoimportanttoconsidertheimplicationsforotherresources.Forexample,let’ssayyourdistrictemploysareadingprogramwidelyconsideredtobeacornerstoneofhigh-impactreadingeducationinthedistrict.Youmaydecidetolockthatprogramtoensureitscontinueduseinthedistrict.Thereadingprogrammayrequireaspecifictextbook.Therefore,evenifyouunlocktextbookspendingingeneral,you’llwant tolocktheportiondedicatedtopurchasingtextbooksforthelockedhigh-valuereadingprogram.

Project the Size of the SBB PoolAswenotedabove,unlockedresourcesareputintothepooloffundstobedistributedaccordingtotheSBBformula.Onceyou’vedeterminedwhichservicesandprogramsyou’llunlock,you’reabletodeterminehowmuchfundingisavailablefordistributiontoschoolsaccordingtotheSBBformula.

Inourexperience,mostdistrictsendupunlockingmorethan50%ofschool-basedfundsforSBB.Thistypicallyequatesto40%ormoreofPreK-12operatingfunds,whichincludeexpensessuchastransporation,foodservices,anddistrictleadership.Thereisnomagicnumberortargetforhowmuchyoushouldunlock;however,onceyou’vedeterminedwhichresourcestounlock,it’sworthwhiletocheckifyourdecisionslinesupwithyourvisionforSBB.

Forexample,youmayhaveenteredtheSBBprocesswithabiastowardunlockingasmanyresourcesaspossibletomaximizetheflexibilityandautonomyofschoolprincipals.Ifyouthenfindthatyouhaveunlockedonly20%ofeligibleresources,youmaywanttorevisityourinitialassumptionsandensureyou’reontheSBBpaththatisrightforyourdistrict.

Percent of Eligible Resources Distributed through SBB Formula

Dollars unlocked for SBB as a % of…

District All PreK-12 operating funds School-based funds

Denver 55% 65%

Baltimore 43% 64%

Cleveland 40% 51%

Prince George’s County 26% 28%

Note: All PreK-12 operating funds includes all general and categorical funds used for operations.

School-based funds include only those dollars spent on school-based services, whether budgeted at the school level or centrally. (i.e. excluding leadership and management, and shared services)

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Build the Funding Formula

Components of the SBB Funding Formula

Outside the formula Inside the formula

Categorical funds are district-based and distributed to schools based on preestablished requirements. A common example is Title I funding.

Locked funds for services and programs that remain controlled at the district level, based on your previous lock/unlock decisions.

A foundation amount for each school, or for the smallest schools, representing the minimum funding required to “keep the lights on.” Some districts define this as the amount it takes to hire a principal and a secretary.3

A base weight per student, representing the lowest common denominator of per-student funding in the simplest possible scenario.

A student- based adjustment, allocated according to student need.

WithSBB,youcanthinkofeachschool’sallocationinfiveportions.Astherightsideofthetableindicates,yourSBBformulawillincludethreecomponents—afoundationamount,abaseweight,andastudent-basedadjustment.Asoneofthosecomponentsincreases,theothersnecessarilydecrease.Sothemoreyousetasideforafoundationamount,thelesswillbeavailableforallocationbasedonstudentneed.Nomatterhowmuchyou’veunlocked,thepoolofresourcesforSBBisfixed.Inotherwords,withSBB,“thepieisthepie.”

Thisconceptiscrucialasyoudeterminewhichstudent-basedfactorstoweight.Formostdistricts, theinitialurgeistoweighteverything.However,weightingtoomanyfactorscreatesaformulathatisoverlycomplicatedtomanageandexplaintoothers.Also,everytimeyouchoosetoaddanadditionalstudentcharacteristicweight,youreducethebaseweightforall.

Forexample,let’simagineadistrictwith30,000students,$200millioninunlockedfundsandaformulathatincludesabaseweightof$5,000perpupil,withadjustmentsforstudentsreceivingspecialeducationorELLservices.Let’salsoimaginethatthedistrict’sleadershipisconsideringaproposaltoprovideanadditional$1,000perpupilforthe12,000studentsinGradesK-3—criticalgrades,whereanincreasedinvestmenthasthepotentialtopayoffinbothshort-andlong-termstudentgains.

Byincludinganotherstudentcharacteristicweight,thedistrictisaddingan“additionalsliceofthepie.”Since“thepieisthepie,”anincreaseinfundingforstudentsintargetedgradelevelsreducesthebaseweightsignificantly,from$5,000to$4,600perpupil.Thismaybeaworthwhiletrade-offforthedistrict;thekeyistoensurethatthesetrade-offsanddecisionsaremadetransparently,andwithconsiderationoftheconsequences,givenafinitepoolofresources.

3Somedistrictschoosenottoofferfoundationamountsasadeliberatedecisionnottoprovideapremiumforsmallschools.Foundationamountsaremostconsistentwithfundingequitywhensmallschoolshavetheopportunitytoaddstudentsand“outgrow”their foundationovertime.

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No Grade Weight Grade Weight of $1,000/pp for K-3

Here’sanotherwaytorepresentthisgraphically.Wheneveryouchoosetoofferastudentcharacteristicweight,you’reimplicitlydecidingthatthestudentswithoutthatcharacteristicwillreceiveless.

Inlimitingthenumberofweightsyouchoose,you’llalsowanttoensurethatyouchooseweightingcriteriathathaveseveralimportantcharacteristics.Eachweightshouldbe:

• Relevant:tiedtoarealstudentneedthattypicallyrequiresadditionalresourcestobeaddressedeffectively.Forinstance,manyformulasusesomemeasureofpovertystatusasaproxyforacademicneed.Whilethetwoarehighlycorrelated,especiallyintheprimarygrades,therelationshipweakensasstudentsreachhighschool.Therefore,apovertyweightforhighschoolstudentsmaybelessrelevantthanotherpotentialweights.

• Measurable:objectivelyandquantifiably.

• Independent:toavoidperverseincentivesorpunishingschoolsforachievingdesiredoutcomes,schoolsshouldnothavedirectcontroloragencyoverthemetric.Forexample,aweightforacademicperformanceatahighschoolshouldbebasedontheacademicperformanceofthestudentswhen they were in 8th grade,ratherthantheirperformanceattheschooltheycurrentlyattend.

• Significant:presentinatleast3-5%ofthestudentpopulationwithoutapplyingto allstudents.

• Diversified:existatmorethanoneschoolandwithsignificantvariationacrossschools.

SPED $40m

ELL $10m

Base Weight $150m = > $5,000/pp

No Grade Weight K 1 2 3 4 5 6 7 8 9 10 11 12

Everyone gets the same $5,000 pp

4 5 6 7 8 9 10 11 12

These grades now get $4,600 pp

K 1 2 3

These grades now get $5,600

SPED $40m

ELL $10m

Grade $12mBase Weight $138m = > $4,600/pp

Grade Weight of $1,000/pp for K-3

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Finally,afteragroupofweightshasmetthesecriteriaindividually,ask:Isthecompletesetofweightsconcise?Fewerweightsmaybebetter,andredundantweightsshouldbeavoided.

Student Weights Used in National Array of SBB Districts

Baltimore Cincinnati Denver Hartford Houston New York City Oakland San

Francisco Cleveland

Foundation

Amount 3 3 3 3

Grade 3 3 3 3 3 3 3

Academic

Performance:

High3 3 3 3 3

Academic

Performance:

Low3 3 3 3 3

Poverty 3 3 3 3 3 3 3

SPED 3 3 3 3 3 3 3 3

ELL 3 3 3 3 3 3 3

Other 3 3 3 3

Make Policy DecisionsBythispoint,you’veidentifiedthestudentcharacteristicsyouwanttoincludeinyourSBBformula,whichhasallowedyoutodetermineabaseweightandtoprojectestimatedper-pupilfundinglevels.Beforebeginningtotestscenariosforyourfundingmodel,werecommendmakingthreeimportantpolicydecisions:

1. Enrollment projections and adjustments.BecauseSBBallocationsareinitiallydeliveredtoschoolsbeforetheschoolyearbegins,theyarenecessarilybasedonprojectedstudentenrollment.Actualenrollment,usuallydeterminedbyOctober,typicallydiffersfromtheseprojections.Thedistrictmustdecideifandhowitwilladjustthedollaramountthatschoolsreceiveduringtheschoolyearbasedonupdatedenrollmentfigures.

Almostalldistrictsmakeadjustments;thequestionis,howsignificantwillthoseadjustmentsbe?Thisisessentiallyatrade-offbetweenequityacrossschools(howequitablewillfundingbeonceadjustmentsaremade?)andstabilityforschools(howmuchchangeinfundingcanoccuraftertheschoolyearstarts?).

Districtstypicallypursueoneoftwooptions.Somedistrictsadjustbudgetsupwardonly,incaseswhereactualschoolenrollmentexceedsprojections.ThisapproachrequiresthedistricttoholdbackasmallportionoftheSBBpool(typically2-4%)asareservetofunnelintoover-enrolledschoolsonceactualenrollmentfiguresareavailable.Schoolswhereactualenrollmentfallsshortofprojec-tionsdonotexperiencearesultingchangeinfunding.

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Otherdistrictsadjustschoolbudgetsbothupanddown.Toprotectagainstunsustainable swingsinfunding,thesedistrictscommonlycap,orlimit,changesinfundingineitherdirection(e.g.,nomorethana3%change).Withthisapproach,there’snoneedtoholdbackmoney;however,schoolsthatareunder-enrolledareforcedtogivebacksomeoftheirinitialallocationofresourcesmidyear.

NearlyalldistrictsthatsuccessfullyimplementSBBinvestinimprovingthequalityofenroll-mentprojections.Thiscanbechallengingindistrictswithhighmobilityandschool-choicepolicies,whereenrollmentsaremorelikelytofluctuateaftertheschoolyearbegins.Still,even amodestimprovementintheaccuracyofspringprojectionshasthepotentialtotrumpthebest-designedfalladjustmentpolicy,sothisisaninvestmentworthmaking.

2. Actual or average salary.Whenaschoolelectstoaddanewteacher,howmuchshoulditsbudgetbecharged?Shouldtheschoolhavetopaytheteacher’sactualsalary(say,$70,000foramoreexperiencedteacher)orthedistrictaverageforateacher(say,$55,000)?

Thisdecision,knownas“actualvs.averagesalary,”hassignificantimpactonthewayschoolsgoaboutbuildingbudgets.Averagesalaryissimplerforprincipals,whoarelikelyaccustomedtoallteacherscountingequallytowardthebottomline.However,averagesalarymasksinequitiesinstaffcompensationacrossschools;aschoolwithahighlytenured(andmoreexpensive)teachingforcewouldbetreatedjustlikeaschoolwithalesstenured(andlessexpensive)teachingforceunderthismodel.

Incontrast,usingtheactualsalaryholdsprincipalsaccountableforthesalarydistributionoftheirstaff.Italsoencouragesthemtocreatestrategicstaffingarrangementsthat,forexample,balancemoreexpensivemasterteacherswithdeveloping,noviceteachers.Budgetingbasedonactualsalarymakesthemostsensewhencompensationistightlylinkedtoperformanceandcontribution.Inamoretraditionalcompensationsystemthatscalespaywithseniority,budgetingbyactualsalarymay“penalize”schoolswithmoreexperiencedstaff.

3. Year-to-year rollover.Doschoolbudgetsrolloversurplusesanddeficitsfromoneyeartothenext?SBBprovidestheopportunitytomakeschoolplanningamultiyearactivityandschoolbudgetsamultiyearinstrument.

InDenver,schoolleadersmaycarryasurplusacrossmultipleyearstosaveforalargeexpense,suchasacomputerlab.Itislesscommonfordistrictstopermityear-enddeficits,butDenverschoolsmayruntemporarydeficitsbytakingoutaloanfromthebudgetofficeinanticipation ofreceivinganupwardbudgetadjustmentforthefallstudentcount.

Themostcommonsourceofapotentialbudgetsurplusisthefundingallocatedforschoolpositionsthatendupremainingvacant.Districtsmustsetaclearpolicyonwhetherschoolscanreallocatesalarydollarsafteritbecomesclearthatapositionwillnotbefilled,orwhethersalaries“lock”onacertaindateandthedistrictrecoversthosefundsassavings.

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Choose Weight Values and Test ScenariosWiththosekeypolicydecisionsresolved,you’rereadytomoveintothequantitativelyrigorousphaseofscenario-testingtobuildyourSBBformula.Thistypicallyrequiresrobustmodelingtoolsandappropriateexpertisetotesteachelementoftheformula.Youcanthinkofthisphaseinsixparts:

1. Define baseline services.Districtstypicallyidentifyasetofbaselineservicesthataretheminimumrequiredtorunanyschool,regardlessofstudentpopulation.Ultimately,thecostofthesebaselineservicesshouldbecoveredbythecombinationofafoundationamountforeachschool,abaseweightperstudentregardlessofneed,andanygrade-levelweightsbuiltintotheSBBformula.Notethatonlyresourcesinthe“unlocked”SBBpoolshouldbeaccountedforinidentifyingbaselineservices.

2. Decide whether to set a foundation amount for some or all schools.Smallschoolsfacemanyofthesamefixedcostsaslargeschools—possiblyaslittleasaprincipalandsecretary,butpotentiallyalsoincludinganassistantprincipal,custodian,etc.Whenfundedonaper-pupilbasis,smallschoolsfacethedangerofnotbeingabletoaffordenoughteachersandstafftokeepthedoorsopen.Forthisreason,districtsoftendecidetogivesmallschoolsa“foundationamount”toremainviable,regardlessofhowmanystudentsenroll.Thekeydecisionshereare:(a)howmuchthefoundationamountwillbe,and(b)thesizethresholdbelowwhichschoolswouldreceivethatamount.Keepinmindthatanyfoundationamountwillnecessarilyreduceequityacrossschools,becauseatasmallschoolthesamefoundationamountwillbesplitamongfewerstudents.SomedistrictschoosetoofferafoundationamountonlytemporarilywiththeexpectationthatsmallschoolsshouldgainenrollmenttoprovetheirfinancialviabilityinthefirstfewyearsofSBB.

3. Choose values for grade weights and need weights.Earlier,youidentifiedanidealsetofstudentcharacteristicstoweight.Nowit’stimetocalculateanidealvalueforeach.Forgrade-based(e.g.,highschool)andneed-based(e.g.,specialeducationinclusion)weights, thistypicallyinvolvesthedistrictresearchinghowmuchitcurrentlyspendstoserveeachstudentwithagivenattribute,andhowmuchitwouldideallyliketospend.Tosetthelatterbenchmark,theacademicsdepartmentmightdesignitsidealprogrammaticmodelforservingstudentswiththisneed.Thesetwoyardsticks—currentspendingandidealspending—arethebenchmarksaroundwhichSBBweightsaredetermined.Ofcourse,eventheidealspendingprojectionisnotmeanttodefinehowschoolsmustusetheirresources;rather,itisasample ofwhatittakestoserveparticularstudentswell.

4. Back into the base weight.Calculatingthebaseweightthatallstudentsreceivetakesverylittlework:it’sjusttheper-pupilamountremainingaftertherestoftheSBBpoolhasbeenspentonfoundationamounts,gradeweights,andneedweights.Becauseapoolofresources isfixed,adesigntaskforceusuallydiscoversitsproposedbaseweightaftersettingproposalsfortheotherelements.

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5. Test SBB scenarios.Thisisahighlyiterativeprocessthatwillleadtoadjustmentstothe base,grade-based,andneed-basedweightsestablishedabove.Mostdistrictschoosetouseafinancialmodeltoanalyzemultiplescenarios.Whenusingamodel,districtspayparticularattentiontotwoissues:underfundedschoolsandequitygains/losses.

Underfundedschoolsarethoseforwhichthecombinationofafoundationamount,grade-levelweights,andbaseweightswouldbeinsufficienttopayfortheirbaselineservices.AviableSBBformulashouldnotleaveanyschoolsunderfundedunlessthedistrictisintentionallysettingaviabilitythresholdtoforcesmallschoolstogainenrollment,consolidate,orclose.

Equitygainsandlossesarethechangestofundingthatschoolswouldexperiencebetweenthedistrict’straditionalfundingsystemandSBB.RadicalshiftsinfundingassociatedwiththetransitiontoSBBmightleadadistricttoestablishmechanismsforsmoothingthetransition.

6. Set “hold harmless” and other soft landings.DuringthetransitiontoSBB,mostschools’staffandresourceallocationswillchangefromprioryears.Thegeneralpatternofequityissuchthatpreviously“underfunded”schoolswillreceivemoreresources,andpreviously“overfunded”schoolswillreceivefewer.Tosoftentheimpactonschoolsthatwerepreviouslyoverfunded,manydistrictsdevisea“holdharmless”or“softlanding”policythatlimitstheamountanyschoolcanloseorgainbetweenthepre-transitionyearandthefirstyearofSBB.

Forexample,aschoolsettolose10%ofitsbudgetmightexperiencethatlossas5%peryear,phasedovertwoseparateschoolyears.Variationsonthisstrategyincludesettingequallimitsonlossesandgains;settingatighterlimitonlossesthanongains,whichrequiresholdingsomemoneyinreserve;orsettingatighterlimitongainsthanonlosses,whichresultsinsavingsthatthedistrictcouldfunnelbackintothebaseweight.

“ Now I don’t have to call Central Office to beg for money; I can just make decisions.”

—Principal in an SBB “Transformation Schools Pilot” Cleveland Metropolitan School District

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Key Takeaways•TodefinewhichresourceswillcometoschoolsthroughtheSBBformula,thedistrictmust

gothroughaprocessof“unlocking”todecidewhichresourcesareappropriateandpracticalforschoolcontrol.

•Thereisnomagicnumberfordetermininghowmuchtounlock;however,mostdistrictsunlockmorethan50%ofschool-basedresources.

•“Thepieisthepie,”i.e.,themoredifferentfactorsyouusetoslice“thepie,”thelessmoneyremainsforotherstudents.Therefore,chooseaselectfewweightsthataresimple,measurable,anddirectlysupportinvestmentinkeydistrictpriorities.

•Projectingenrollmentisfundamentaltoallocatingmoneytoyourschools.ImplementingSBBoftenleadsdistrictstoinvestinimprovingenrollmentprojections,whilealsobuildingamechanismtomovemoneywhenenrollmentchangesareidentifiedinthefall.

•Budgetingon“actualsalary”candramaticallyenhanceequity,whileintroducingawholehostofnewincentivestoschoolleaders.Thinkcarefullyaboutwhethertheseincentivesmakesensegivenyourcompensationlandscape.

•CreatinganSBBformulaisnot“formulaic.”Finalizingtheformularequiresiterationandcarefuldeliberation.

Questions for Reflection•Inyourvisionoftheprincipal’srole,whatresourcesdoesheorshemanage?Whatresources

wouldyoubelikelytounlock?

•Whattypesofstudentsdoesyourstrategysuggestyoushouldbeinvestingin?Dothesestudentcharacteristicstranslateneatlyintopotentialweights,giventhecriteriafor weightselection?

•Howwelldoyoucurrentlyprojectenrollment?Towhatextentdoesstudentmobility affecttheaccuracyoftheseprojections?Howmightyouimproveprojections?

•Whatwouldbetheimpactofusingactualsalaryinyourschoolbudgets?Which schoolswould“gain?”

•Movingtowardequitycanentailadramaticshiftforsomeschools.Howlargeaswing (upordown)areyoucomfortablewithschoolsexperiencinginyearone?Whatdoesthis implyforapossible“holdharmless”policy?

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Implementing SBB

Intheprevioussection,wedescribedtheprocessofdefiningthemechanicsofresourceallocation.Thatisabig,butnottheonly,partofsuccessfullyimplementingyourSBBsystem.Inaddition,districtsmust:

•Adjustcoreannualplanningprocesses,includingbudgeting,staffing,andschool improvementplanning;

•Re-thinktheroleofprincipalsandkeydistrictofficestaff,aswellashowtheseteamsinteract;

•Trainandsupportprincipalsanddistrictofficestaffinthecontextofnewprocessesandexpectations;and

•Engageabroadgroupofstakeholderstodevelopandmaintaininvestmentinyourstrategy.

Adjust Core ProcessesBudgeting,staffing,andschool-improvementplanningarethreeofthemostcrucialprocessesthatprepareadistrictfortheupcomingschoolyear.SBBimpactseachone.

Inatraditionalfundingmodel,theseprocesseshappenintandembutdon’talwayslink.SBBrequiresthatthedistrictcoordinateeachstep,sothatschoolplansflowintohiringandfiringdecisionsforstaffingschools,thenintoanaggregatebudgetproposal.Whilepreexistingtimelinesvarybydistrict,thissequenceoftenmeansthatbudgetandstaffingcyclesneedtobepushedlaterthantheytraditionallyoccur,whiletheplanningprocessmusthappenearlier.

Inmanytraditionaldistricts,thebudgetteamfirstsetsadistrictbudget,thenthehumanresourcesteamstaffsschools,andonlythendoprincipalscreateacademicplans.InanSBBdistrict,schoolacademicplanscomefirst,creatingasetofrequeststoguideHRinstaffingschools,andthenfinallyrollingupintoanaggregatedistrictbudgetbasedontheresourcesschoolshavechosen.

The budgeting, staffing, and planning timeline in traditional and SBB districts

TRADITIONAL BUDGETING: 1. Budget 2. Staffing 3. Planning

STUDENT-BASED BUDGETING: 1. Planning 3. Budget2. Staffing

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ManydistrictssubmittentativebudgetstotheirboardsinFebruaryoftheprecedingschoolyear,whichrequiresthatindividualschoolscreatetheirownbudgetsasearlyasDecember.Thispresentstwoproblemsforplanning:First,enrollmentprojectionsarelikelynotyetaccurateenoughtoestimateresourceneedsbyschool,andsecond,thecurrentschoolyearhasnotprogressedfarenoughforprincipalstoincorporatelessonslearnedfromtheircurrentresourceuse.Thisdynamicarguesforstrategicplanningtooccuraslateasmid-spring.

Butthecandleburnsatbothends.InanSBBsystem,theannualhiringtimelinemustrespondtothespecificpositionsandqualificationsthatschoolsarerequestingintheirstrategicplans.Iftheplanningprocessoccurstoolate,theHRdepartmentcan’tincorporateschools’plansintoahiringandfiringstrategythatcustomizestheworkforcetoschools’needs.

ThemostdistinctivefeatureofthetimelineinanSBBdistrictisthatschoolplanningcomesfirst:Itsetsthegoalstowhichbudgetingandstaffingrespond.Inadditiontoshiftingbackitsbudgetingandhiringtimelinestomeetthispriority,thetransitioningdistrictshouldmapoutallelementsoftheschoolplanningprocess—suchasplansforrestrictedgrantfunds,contractualwaiverapplications,etc.—andalignthemwiththeat-largebudget-planningprocess.

Rethink Principal and District Office RolesAtthecenterofaneffectiveSBBsystemisafundamentalshiftintherelationshipbetweenschoolsandthedistrict.Traditionally,thedistrictofficeexertssignificanttop-downcontrolovernotonlyhowmanyresourcesareallocatedtoschools,butwhichandwhatkindofresourcesaredelivered.Principalsmustworkwithwhatthey’regiven.

SBBshiftsthefocustoamodelthatbeginswitheachprincipal(andhisorherteam)settingavisionfortheschoolthatheorshebelieveswillgivestudentsthebestopportunitiestosucceed.Thisvisionthenshapestheprincipal’sdecisionsabouthowtousetheresourcesallocatedtotheschool,basedonstudentneed.Thedistrictoffice’sprimaryfunctionbecomesaservicefunction:Howcanwehelpeachprincipalrealizehisorhervisionfortheschool?Specifically,effectivedistrictofficeteamsask:Whatdoeseachschoolneed?Howcanweprovideit?Whatelsecanwedotostreamlinedecisionprocesseswithinthedistrictoffice?Putanotherway,thedistrictofficemustshiftfroma“yes/no”compliancemind-settoasolutions-orientedoneof“yes,if…”

Additionally,inatraditionalmodel,principalsmustoftennavigateaseriesofparallelbureaucraciesresponsibleforvariousdecisionsaboutwhatresourceseachschoolgetsandhowthoseresourcesare tobeused.Inreimaginingtheroleofthedistrictofficevis-à-visprincipals,manydistrictscreateadistrict-level“singlepointofcontact”foreachprincipalwhoisresponsibleforcoordinatingdistrictresponsestoprincipalneedsandrequests.Thisisapivotalrolethatcanhaveanoutsizedimpactonthedistrict’sabilitytomakeasmoothtransitiontoSBB.

Overall,theseshiftsimplysignificantchangesinmind-setandexpectationsforprincipalsandtheirteamsaswellasdistrictofficeteams,especially(butnotsolely)HRandfinance.DistrictsthatsucceedatthisculturechangearefarmorelikelytohavesuccesswithSBB;thosethatdon’tmayleavealotofvalueonthetable.

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How Principals’ Roles Change

WithSBB,principalsarechargedwithmanagingabudgetthatismanytimeslargerthananytheymanagedbefore,withaviewintoabroaderrangeofservicesthantheytypicallythinkabout.What’smore,becauseSBBisusuallypairedwithincreasedschool-basedautonomyoveruseofresources,schoolleadersmaybeempoweredtomakearangeofnewstaffingandresourcingdecisions.Eventhemostsuccessfulprincipalsareunlikelytohavehadtheopportunitytodevelopskillsforthesecrucialstrategictasks.

The Principal’s Role in SBB

FROM… TO…

Complying with district requirements Articulating a clear vision for the school

Implementing a standard instruction and delivery model

Adjusting program, time, and staffing for student mastery

Executing system processes Becoming an effective human capital manager/strategist

Managing and protecting physical assets Managing complex systems

Running a tight ship Setting ambitious goals and holding teams accountable

Representing the district to local community Developing and managing partnerships to extend time and instruction based on student need

PrincipalsinanSBBdistrictmayalsofindthemselveswithgreateraccountabilityforhowresourcesareused,aswellasforstudentresults.Inatraditionalfundingmodel,weoftenfindacorrelationbetweenper-pupilfundingandstudentperformance—higher-performingschoolsreceivemorefunding.(Notethatthisdoesnotmeanmorefundinggeneratesgreatergains,onlythata correlationexists.)WithSBB,strategicresourceuseandstudentgainsbecomepartoftheprincipal’sjob-performanceevaluationand/orbroaderschool-performanceframework.

Case Study Creative School Design in Denver

Denver, through its SBB system and tiered accountability structure, has been at the forefront of pushing for innovative school designs. In addition to giving schools the ability to decide how much to spend on various resources, the district’s SBB system also pushes conventional boundaries to allow schools to decide on whom and what to spend their budgets: for example, allowing schools to contract out to nursing clinics instead of hiring a full-time nurse or piloting the option for schools to purchase social workers by the hour. The district says that SBB has put the entire district in a place where leaders can have truly meaningful conversations around the importance of the strategic use and management of resources.

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How District Office Roles Change

Academic Superintendents and Other Principal Support.Inatraditionalsystem,thepeoplewhosupportandmanageprincipalscommonlyfocusonhelpingprincipalscomplywithstate,district, andprogrampolicies,andnavigatebureaucraticchallengeswiththedistrictoffice.SBBgeneratesagreaterneedforcoachingandsupportaroundbudgetmanagement,resourceallocation,andotherbuilding-leveldecisions.Complianceisnecessary,butnotsufficienttotakefulladvantageofSBB.

AfoundationalquestionhereishowtheacademicsdepartmentwantstoofferguidanceandsupporttoschoolsaroundnewinstructionaldecisionstheymaybefreedtomakewithSBB.Forexample,consideradistrictthathasunlockedtextbookspending.Inasystemwithlittletonoschool-levelautonomy,theacademicsdepartmentdecideswhatandhowmanytextbookseachschoolgets.InasystemwhereSBBispairedwithincreasedschoolautonomy,thegroupmightinsteaddevelopan“approvedlist”oftextbooksfromwhichaschoolleadercouldchoose;offerschoolswiderfreedomtochoose,whilerequiringperiodicreportingontitles,age,andnumberoftextbooks;orsimplyadviseprincipalsandofferrecommendationsonwhichtextbookstopurchase,withnospecificrequirements.

Thedistrictmustalsodecidehowitwantstohandlesituationswhenaschoolleaderandhisorhermanagerdisagreeonthebestuseofresources.Sayaprincipalwantstocutacoachingpositionsoheorshecanfundtwoparaprofessionalstopushintotheclassroomforreadingintervention,buttheschoolchiefoverseeingtheprincipaldisagrees.It’sworthestablishinggroundrulesanddecisionrightsearlyontoavoidprotractedandultimatelyunproductivebattlesdowntheroad.

Basedonyourvisionforhowtheroleoftheacademicsteamintersectswiththeprincipal’srole,youmaywanttorevisitthesupportstructurethatexistsforprincipals.Onedistrictcreatedfull-time,cross-functionalschool-supportteams,organizedbygeographyandmadeupoffourtofivedistrictofficestaffsolelydedicatedtoon-callsupportoftheirzone’sprincipals.OtherdistrictscreatedtemporarySBBsupportteamsdedicatedtoasmallgroupofprincipalsduringbudgetseason;atothertimes,principalswouldcalladesignatedSBBliaisonineachdepartmentforsupport.Ultimately,theprincipal-supportsystemyoucreatedependsonyourdistrict’sneeds,capabilities,andvision.

Human Resources. Becausethemajorityofschool-basedresourcesaretypicallydevotedtopayingtheadultswhosejobitistoeducateandcreateapositivelearningenvironmentforchildren,anyshiftinhowresourcesareallocatedandspentwillnecessarilyhaveabigimpactonyourHRteam.

Inatraditionalmodel,theHRgroupistypicallyshapinghowFull-TimeEquivalentsareassigned—towhichschools,inwhichgradesandsubjects,andinwhatnonacademicfunctions.However,inanSBBmodelthatincludesschool-baseddecision-makingaboutresourceuse,HR’sroleshiftstofacilitatingthehumanresourcestrategydevelopedbyeachschoolleader.Tactically,thisimpliesseveralbigshiftsfortheHRteam:

•Asoutlinedabove,HRislikelytoreceiveinformationaboutstaffingrequirementslater intheyearthanhastypicallybeenthecase,necessitatingareconsiderationofhowstaffing needsarefulfilled.

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•Theteamalsomaybeaskedtostaffrolesthatdidn’texistinthedistrictpreviously.Forexample,inoneSBBdistrict,halftheprincipalsoptedtobudgetforanew“businessmanager”positionthathadrarelybeenemployedinschools.

•HRmaybeaskedtoidentifycandidateswhomeetanewsetofhiringcriteriabased oneachschool’sevolvinginstructionalmodel.

•Inadistrictwithmanysmallschools,whichtypicallyreceivelessfundinginanSBBsystem,HRwillbetaskedwithidentifyingmorepart-timeanddual-certifiedteachers.Thishelpsschoolsandtheoveralldistrictmaintainmaximumflexibilityaroundstaffingtoensurethemostefficientuseofavailableresources.

Inlightoftheseandotherpotentialchanges,thedistrict’sHumanResourcesteamshouldbeinvolvedwithallaspectsoftheSBBplanningprocessfromtheearliestdays,withaparticularmandatetoidentifyhowSBBwillaffectexistingsystemsandhowtheHRgroupplanstoevolvetomeettheneedsofthenewstrategy.InthefirstyearwithSBB,HRmayalsowanttosetguidelinesaroundstaffingchangestoensurethatthegroupcaneffectivelyadapttochangingrequestsfromschoolleaders.ThiscouldgivetheteammoretimetounderstandschoolstaffingbehaviorunderSBBandreviseprocessesandpoliciesaccordingly.

Case Study School-Support Teams in Baltimore

In Baltimore, school-support teams operate full time for the entire school year. These teams are organized by zone and made up of four to five district office staff across a variety of disciplines that include academics, finance, operations, and special education. A “team lead” is responsible for supervising, coordinating, and managing the work of the team. This structure was introduced after the first year of “Fair Student Funding,” when central office staff realized that principals needed more support to be successful. Team members are solely dedicated to the on-call support of their zone’s principals—they have no responsibility to direct or evaluate the principals, though they naturally act as a conduit of information to and from central office about what’s working.

Finance. Ofcourse,muchoftheworkwehavediscussedthusfarinvolvesthefinanceteamleadingtheway.WithSBB,thefinanceteamshiftsfromfocusingonhow mucheachschoolgetstohow welleachschoolisusingavailableresources.Thisspeakstothebroaderissueofmind-setandculturechangewithinthedistrictoffice.Thefinanceteammustaligntheschool-budgetingprocesswiththeschool-improvementandannualplanningprocesses,asdescribedabove.Manybudgetingsoftwareprogramsenableschoolstomaketheselinks.

Finally,thefinanceteamisresponsibleformaintainingandadaptingtheSBBmodeltoensureitcontinuestoenablethelevelsofequity,transparency,andflexibilityitwasdesignedtoenable.Thisinvolvesdevelopingandmanagingasetofresource-allocationandbudget-developmenttoolsthatofferawindowintotheSBBprocessfordistrictleadership,districtofficestaff,andschoolleaders, andadjustingtheSBBmodelovertime.

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Design Training and SupportRollingoutSBBrequiresaninvestmentintrainingandsupportforprincipalsanddistrict-levelstaffwhowillbeaskedtoadjusthowtheyplanandmanageresources.Thisinvestmentcommonlytakesthreeforms—anintroductorytraining,astaffsupportstructure,andtoolsanddocumentation.

Introductory Training

BuildingcapacityaroundfinancialmanagementandstrategicresourceuseisthelinchpinofanysuccessfulSBBimplementation.Youcanhavetheperfectsystemdesignedandinplace,butifschoolsdon’tknowhowtousetheadditionalflexibilitygiventothem—andifdistrict-levelstaffcontinuetooperateasdecisionarbitersratherthandecisionenablers—muchofthevalueoflocalizeddecision-makinghasbeenlost.InordertodrivehomethemessagethatSBBshouldrepresentasignificantshiftinthemodeofdoingbusinessandnotjustanewbudgetingformula,wesuggestthatacademicsstaff,notonlyfinancestaff,shouldleadtrainingsonSBB.

DistrictsthathavehadsuccessfulSBBimplementationshaveallinvestedinhigh-qualityandrelevanttrainingsforprincipalsanddistrict-levelstafftosetexpectations,buildcapabilities,andintroducenewprocesses.Buildingthiscapacitytakestime.InthefirstyearofSBB,themajorityofschoolswillsubmitschoolbudgetsthataremoreorlessthesameastheywereinpreviousyears.Asschoolsbecomemorecomfortablewiththenewsystem,theywillbemorecreativeandadjustschooldesignstotakeadvantageoftheflexibilityandautonomySBBoffers.

Forthisreason,itoftenmakessensetostartbytrainingprincipalsandkeydistrictstaffaroundstrategicschooldesign,whichwedefineasthedeliberateorganizationofaschool’speople,time,technology,andmoneytooptimizestudentoutcomes.ThenSBBbecomesatooltohelpthemrealizetheirvision.Forinstance,whenERSleadstraining,wetypicallystructurethematerialthroughthreestages.First,weintroduceprincipalsanddistrictstafftotheprocessofusingdatatopinpointstudentneedandteachercapacityatschools.Second,wehelpthemnarrowinontheprioritiesforchange.Finally,weintroducethemtothetechnicaltoolsthroughwhichtheywillmanagetheirbudgets,andhelpthempracticereallocatingresourcesinanticipationoftheirfinalplans.Forschoolsthataffordprincipalswideautonomyoverhiringandfiring,thedistrictmaywanttoinvestinfurthersupportstohelpthem—andthedistrictstaffthatsupportthem—inmakingwisehiringandstaff-developmentdecisions.

Support Tools and Guidance Documents

Inordertoefficientlyandclearlyconveyschooldesignplanstothedistrictoffice,schoolleaderstypicallyneedabudgetinginterfacethroughwhichtheycantrackdollarsthathavebeenallocated,aswellasstaffingandresourcerequeststheyhavemade.Likeanydata-drivensystem,SBBreliesonaccurate,timelydatatoinformdecision-makingattheschoolanddistrictofficelevels.Thisincludesup-to-dateinformationonstudentperformance,pastfinancialdecisions,teachereffectiveness,classsizeandotherschooldesignfactors,andcurrentfinancials.Totheextentpossible,thesedatashouldflowintothebudgetinginterface.

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Manydistrictshavefoundittremendouslyhelpfultocreatewrittenandonlinesupportmaterials—fromguidancedocumentsforschool-controlledresourcestoschooldesigntemplatestospurcreativeideasforprincipals,toclarificationofkeySBBfactsandmyths—andmakethemavailabletoprinci-palsinonecentrallocation.We’veseendistrictsofferaninternalSharePointsite,createawikipagethatcanberevisedandeditedbyprincipals,orevenprintSBBinformationbindersforeveryschool.Inmanycases,thesematerialshavebeencreated,buttheyneedtobeorganizedandcompiledintoausableandsearchableformat.

Build and Sustain InvestmentStudent-BasedBudgetingaffectseveryoneinyourdistrict,fromthemostsenioradministratorto thenewestteacher,andfromthestaffmemberdeeplyembeddedinthedistrictofficetothechildenteringkindergarten.TotrulygaintractionwithSBB,it’scrucialthatyoudevelopaclearandproactivestrategyforsharingwhatSBBisaboutandhowitwillaffectthelivesofpeoplewhoaredeeplyinvestedinyourschools.

Creating a Common Language

Especiallyintimesofdecliningbudgets—andinsomedistricts,layoffsandschoolclosures—anyreformthatadjustshowscarceresourcesaredistributedmaybeseenasathreatbysomestakeholders.Forthatreason,it’sworthcreatingacommonlanguagearoundwhichyoucanbuildyourSBBcommunicationsstrategy.Thismightinclude:

•Clarityaboutyourobjectives:

– “Wewantasystemwhereresourcesgowheretheyareneededmost,nottothe personwhoknowswheretolookforthem.”

– “Wewanttodistributeresourcesequitablyacrossschoolstocreatealevelplaying fieldforallstudents.”

– “Wewanttoensurethateveryonecanseeclearlyhowandwhereresourcesarebeingspent.”

– “Webelievethatprincipalsandtheirteamsshouldbeempoweredtomakedecisions abouthowtouseresourcesintheirschools.”

•OutliningthebasicconceptsassociatedwithSBB:

– “Moneyfollowsstudentsbasedonneed.”

– “WeidentifiedXstudentcharacteristicsthatdefinehowwedistributefundstoschools.”

•DescribingtheexpectedimpactofSBB:

– “Overthenextthreeyears,weexpectthatsomeofourmostunderfundedschools willseeincreasesinresources,whilesomeschoolsthathavebeenartificially advantagedintheoldsystemmaybeaskedtooperatewithabitless.”

– “Schoolswillbeabletomoreeffectivelyadjusttheirstrategytobestmeettheneedsoftheirstudents.”

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Considering Your Stakeholders

ThebestpublicspokespeopleforSBBarefrequentlyschoolprincipals.Theyarewellknownand oftenbelovedintheircommunitiesandamongparents,andarerightfullyatthecenterofSBB.

Inconjunctionwithtrainingonschooldesignandbudgeting,somedistrictsofferprincipals communicationstrainingandsupporttohelpthemshareimportantinformationwiththeirstaff andcommunity.Withdistrictwideinitiatives,principalsareoftentheunofficialspokespeople,so itiscriticaltopreparethemassoonaspossible.

Schoolleadershipdoesn’tjustcomefromtheprincipal’soffice.Itcanalsobehelpfulforprincipals todevelopanSBBteam—madeupofteachersandotherstaffattheirschool—toreachconsensusaroundschooldesignandbudgetdecisions.Inonedistrictwhereweworked,principalswere specificallyaskedtoincludetheirschool’sunionreponthedesignteamaswell.

Manyunionshavealong-helddistrustofSBB,groundedinaconcernthatwithlocalizeddecision-making,unioncontractsandrequirementswillnolongerbeupheld.It’simportanttonotethatSBBitselfdoesnotchangetheparametersaroundwhichschoolsaredesignedorhowbudgetsandstaffingdecisionsaremade.Opencommunicationandinclusionofunionrepsonschool-baseddesignteamscanhelpcleartheaironthisandotherpotentiallycontentioustopics.

Asdiscussedabove,SBBhasadirectandsignificantimpactonhowthedistrictofficeoperates.Therefore,effectivetransitionstoSBBtypicallyinvolveclearinternalcommunicationanda change-managementstrategyfordistrictstaff.

Finally,it’sworthconsideringtheimpactofSBBonstudents,parents,andthebroadercommunity,andtodevelopacommunicationsstrategy—potentiallyincludingdirectparentcommunications,discussionswithlocalpartners,andlocalmediaoutlets—thathelpsallpartiesdevelopacommonunderstandingoftherationalebehindthenewSBBsystem,howitwillwork,howitfitsintothebroaderdistrictcontext,andanticipatedoutcomes.

Case Study Engaging the Community in Boston

Boston Public Schools focused on two core messages as it rolled out a new budgeting system. First, after years of budget cuts, the district emphasized that “weighted student funding is about spending limited dollars much more wisely.” Second, anticipating the questions and concern from parents and staff in schools that were “losing” money through the new formula, BPS reiterated that “Dollars Follow Students,” not buildings or programs. The district also used soft landings to cushion these losses, a strategy that succeeded in calming public concern because it was applied consistently and fairly across all schools. In the second year of implementation, families and schools still argued that they should receive more resources, but they did so within the language of weights and equity.4

4BostonPublicSchools,“WeightedStudentFunding,”NationalSchoolBoardsAssociation,April20,2012.

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Key Takeaways•MovingtoSBBcanupendadistrict’straditionaltimeline(oratleastitssequence)of

allocatingstaffandbuildingabudget.Schoolplanningmusttypicallyoccurmuchsoonerthanbefore.

•SBBisanopportunitytoexpandanddeepentheprincipal’srole.Ifitjustseemslike “morework”forprincipals,somethinghasgonewrong.

•SBBrequiresanew“service-provider”mind-setfrommanycentralfunctions.Centralemployeesneedtrainingandsupportsotheycanbecomestrategicadvisorstoschool leaders.Somedistrictschoosetorevamptheirstructureofschoolsupporttofittheneeds ofaprincipalunderSBB.

•Significanttrainingforschoolleadersisessential,notonlyonthetechnicaldetailsofhow tobudget,butalsoonthebroaderquestionofhowtoallocateresourcesforstudentsuccess.

•Whenresourcesarescarce,it’seasytoblamethenewsystem.It’sessentialfordistrict leaderstoclearlycommunicatetheobjectivesandguidingprinciplesofSBB,considering theperspectivesofallwhohaveaninterestinthesystem.

Questions for Reflection•Whendoschoolplanning,staffing,anddistrictbudgetingcurrentlyoccur?Wouldthat

sequenceworkinanSBBworld?

•WhatwillSBBaddtoyourprincipals’plates?Shouldanythingbetakenofftocompensate?

•Whatstructureofsupportwouldyourprincipalsneedtomakestrategicresourcedecisions inadditiontotheirotherresponsibilities?

•Towhatextentdoyourcentralfunctionscurrentlyoperatewithaserviceprovidermind-set?WhatwouldbemostdifficultfortheminatransitiontoSBB?

•ImaginethefirstSBBtrainingforyourprincipals:Whatarethetopthreethingsyouwouldwantthemtoemergebelieving,understanding,orknowinghowtodo?

•HowwouldyoucommunicatethepurposeofyourmovetoSBB?Ifaparentoremployeeaskedwhythenewsystemwastakingresourcesawayfromtheirschool,whatwouldyousay?

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In Closing: Keys to Success

Throughoutthisdocument,we’veidentifiedkeytakeawaystohelpyoumosteffectivelydevelopandpursueyourvisionforSBB.Inclosing,wewanttohighlightfivethemesthatcarryacrosstheentireprocess,and,atamacrolevel,oftenmakethedifferencebetweensuccessandstruggleinimple-mentingStudent-BasedBudgeting.

•Have a clear vision, bothaboutthedistrict’sstrategyoverallandtheroleofStudent-BasedBudgetingwithinit.AnunclearvisionisthesurestwaytoengenderfundamentalconcernsaboutyourdirectionwithSBB,butaclearandcompellingvisionwillmotivateothersto “getonthebus”astheprocessunfolds.

•Understand the district’s capacity for change.Asmuchasanyotherpotentiallytrans- formativeinitiative,SBBrequiressignificantchangetomind-setsandbehaviorsatalllevels oftheorganization,fromtopdistrictleaderstothenewestprincipalsandteachers.Make aclear-eyedassessmentupfrontofwhereyourteamis—andisnot—readytotakeonthe changesyouenvision,anddevelopastrategythatleveragestheirstrengthsinembracing anddrivingchange,whileacknowledgingandprovidingadditionalsupportwherechange isgoingtobehardest.

•Run a transparent process.Justasaneffectivefinancialsystemistransparentaswellasequitableandflexible,soshouldtheprocessthroughwhichyoudevelopandimplement SBBbetransparenttoallstakeholders.Atitsbest,SBBcreatesclarityinanotherwise murkyprocess,helpingeveryoneunderstandandembraceasystemwheredollarsfollowstudentneed.

•Engage key players in a true collaboration.Likemanynewsystems,ifSBBisdesigned inasilo,itsimpactislikelytoremaininasilo.Activelyengagedprincipals,teachers,anddistrictstaffhavetheknowledgeandexperiencetomakeyourSBBsystemstronger,while alsoservingascrucialchampionsforthenewsystemacrossthedistrict.

•Adjust course.ItshouldbeclearbynowthatdevelopingandrunningSBBisnotaone-stepprocess.Ineachphase,therewillbeadjustments—fromwhichresourcestounlocktohow tosupportprincipals,tohowtheformulamightneedtoshiftovertime.EmbracetheseadjustmentsinpursuitofthemosteffectiveStudent-BasedBudgetingsystemtosupport yourdistrict’sgoals.

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