Discussion with USDoED on prioritizing leadership in ESSA regulations and guidance January 19, 2016

Agenda for today’s discussion Brief background on The Wallace Foundation Implications of the evidence for ESSA regulations on leadership A view from the field Discussion 2

About The Wallace Foundation The mission of The Wallace Foundation is to foster improvements in learning and enrichment for disadvantaged children and the vitality of the arts for everyone. 3

The Wallace Approach Understand the Context (Engage with the external environment to identify knowledge gaps*, field interest, and time lines) Catalyze Broad Impact (Improve practice and policy nationwide) Generate Improvements and Insights (Build promising new approaches and new evidence/knowledge) 4 *Wallace seeks to identify a gap in knowledge that if filled, would help propel progress in a field. This requires both an unanswered question and field interest in the answer.

A range of knowledge products CategoryWhat function they serve Implementation studiesDraw operational lessons based on field experience – including barriers and enablers. Literature reviewsSummarize what’s known in a field, often referencing findings in related fields whose relevance may have been overlooked. Effects studiesAssess outcomes; typically on topics that have received less attention, such as support for new principals. Cost studiesProvide evidence on the cost of an innovative approach, identifying factors that drive costs. Wallace PerspectivesOffer Wallace’s own view of the synthesis of the evidence and the experience of grantees. Practitioner toolsHelp organizations apply research findings. Journalistic accounts and video interviews of leaders Report on field experiences based on interviews. Less formal than other studies. 5

Our quality assurance process Competitive process for selecting research partners. Recent partners have included: RAND Policy Studies Associates University of Washington University of Chicago University of Texas, Austin Quality review by Wallace experts in research, program and communications (and outside reviewers, as needed). Products assessed for: Objectivity Credibility Accuracy Organization Clarity Publication on Wallace website only if a product meets those standards. 6

Broad use of knowledge products All are posted on wallacefoundation.org – total downloads exceed 670,000 per year Aimed mainly at practitioners and policymakers and their influencers Since 2007, a total of 5,500 citations of research by scholars 7

Wide array of research on education leadership 8

Agenda for today’s discussion Brief background on The Wallace Foundation Implications of the evidence for ESSA regulations on leadership A view from the field Discussion 9

Improving leadership is essential for school improvement Findings Principals are uniquely positioned to have an impact on school-wide improvement Especially in high-needs schools Evidence Leadership is second only to quality of teaching in improving student achievement. (Leithwood et al., Review of Research: How Leadership Influences Student Learning, Univ. of Minnesota and Univ. of Toronto, 2004, and Seashore Louis et al. Learning from Leadership: Investigating the Links to Improved Student Learning, Univ. of Minnesota and Univ. of Toronto, 2010) “Principals are multipliers of effective teaching.” (Paul Manna, Developing Excellent School Principals to Advance Teaching and Learning: Considerations for State Policy, The Wallace Foundation, 2015) No evidence of school turnaround without effective leader. (Seashore Louis et al., 2004) 10 IMPLICATION: Regulations and guidance for addressing school leadership under ESSA should be a top priority.

A lack of policy focus on leaders compared to teachers Findings The largest factors driving improvements for students are teachers and principals Principals and other school leaders engage teachers in continuous improvement of their practice Policies have historically emphasized addressing teacher improvement; efforts to improve principals have been a neglected strategy, even though the job is becoming more complex Evidence Among school-related factors that explain the variation in students’ achievement, school leadership explains about one-quarter, and teachers explain more than one-third. (Seashore Louis et al., Learning from Leadership: Investigating the Links to Improved Student Learning, Univ. of Minnesota and Univ. of Toronto, 2010) Professional Standards for Education Leaders 2015 Standard 6 states, “Effective education leaders develop the professional capacity and practice of school personnel to promote each student’s academic success and well-being.” (National Policy Board for Educational Administration, 2015) Typically less than 5 percent of Title II funds support professional development of principals. (Paul Manna, Developing Excellent School Principals to Advance Teaching and Learning: Considerations for State Policy, The Wallace Foundation, 2015) 11 IMPLICATION: For the new regulations to maximize the improvement in student achievement, they should make clear the express authority to use funds for principal leadership through both formula (e.g. Title II) and competitive programs (e.g. TSLIF, SEED, EIR).

Effective ways to improve school leader performance: Larger-cost strategies Findings Training focused on instructional leadership, including through leadership academies Preparing leaders is a highly cost-effective approach to improvement On-the-job support, including mentoring Evidence Students who attended schools led by New Leaders principals experienced slightly higher gains on average than similar students in schools led by non-New Leaders principals. (Gates et al., Preparing Principals to Raise Student Achievement: Implementation and Effects of the New Leaders Program in Ten Districts, RAND, 2014) Graduates of effective training programs are better prepared, perform better in high-needs schools and are twice as likely to become principals – 60-% vs. 30%. (Linda Darling-Hammond, Education Leadership: A Bridge to School Reform, The Wallace Foundation, 2007) 76% of 352 first, second or third-year principals surveyed in the six districts in the Wallace “Principal Pipeline Initiative” agreed or strongly agreed that support from a mentor or coach led them to make changes in their work. (Turnbull et al., Cultivating Talent Through a Principal Pipeline, Building a Stronger Principalship: Volume 2, Policy Studies Associates, 2014) 12 IMPLICATION: In Title I, the Department’s regulations should ask that SEA and LEA plans incorporate a focus on these policies (e.g. school improvement plans, consolidated state plans). In Title II, these should be listed explicitly as permissible uses.

Effective ways to improve school leader performance: Lower-cost strategies Findings Defining the job aligned with research-based standards and focused on improving instruction Establishing hiring procedures that identify the most promising leaders Assessing candidates using standards-based processes Evidence “The standards … articulated for school leaders proved to be a more powerful policy instrument than many (including the authors of this report) had expected… [They] were put to work in job descriptions, in the curricula of preparation programs, and, crucially, in assessment and support systems.” (Turnbull et al., Districts Taking Charge of the Principal Pipeline Initiative, Building a Stronger Principalship: Volume 3, Policy Studies Associates, 2015) “Another key to building a sufficient corps of well-qualified school leaders is establishing more selective and systematic hiring procedures.” (The Wallace Foundation, Districts Matter: Cultivating the Principals Urban Schools Need, 2013) Standards-based rubrics, interview protocols, and performance tasks offered more systematic ways to assess candidate skills. (Turnbull et al, Volume 3, 2015) 13 IMPLICATION: In Title I, the Department’s regulations should ask that SEA and LEA plans incorporate a focus on these policies (e.g. school improvement plans, consolidated state plans). In Title II, these should be listed explicitly as permissible uses.

Principal supervisors play an important role in supporting ‘school building leaders’ Findings Principals need support from principal supervisors, including relevant evaluation in order to maximize their impact Focus on strengthening teaching and learning is crucial Evidence 82% of 522 surveyed principals in the six districts in Wallace’s “Principal Pipeline Initiative” said supervisors led them to make changes in their work; 86% of principals who were advised to improve received support; large majorities of principals agreed that their supervisors provided important support. (Turnbull et al., Districts Taking Charge of the Principal Pipeline Initiative, Building a Stronger Principalship: Volume 3, Policy Studies Associates, 2015 and Evaluating and Supporting Principals, Building a Stronger Principalship: Volume 4, Policy Studies Associates,, 2016) Districts surveyed responded that evaluating principals was one of the top 5 tasks of principal supervisors. (Corcoran et al., Rethinking Leadership: The Changing Role of Principal Supervisors, Council of the Great City Schools, 2013) Model Principal Supervisor Professional Standards, CCSSO, IMPLICATIONS: Regulations and guidance should make it clear: (1) principal’s direct supervisors are included in the definition of “school leader”; (2) principal supervisors and their development should be an allowable expense under Title II; (3) the principal supervisor role should be highlighted in SEA and LEA plans; and (4) support for principal supervisors should be allowable in competitive grants and state formula set- asides focused on principal leadership, including school improvement activities.

States play a critical role in improving educational outcomes through strong principal leadership policies Finding There are six main state policy levers Setting principal standards Recruiting aspiring principals Overseeing principal preparation Licensing principals Supporting professional development Evaluating principals Evidence The following studies describe these levers: Paul Manna, Developing Excellent School Principals to Advance Teaching and Learning: Considerations for State Policy, The Wallace Foundation, 2015 American Association of School Administrators, Superintendent Perceptions of Principal Preparation Programs, forthcoming American Association of Colleges of Teacher Education, AACTE University Educational Leadership Preparation Program Landscape Analysis, forthcoming RAND, Improving School Leadership: The Promise of Cohesive Leadership Systems, 2009 University Council for Educational Administration and New Leaders, Improving State Evaluation of Principal Preparation Programs, forthcoming 15 IMPLICATION: Because of the flexibility given to states in ESSA, guidance should clearly illustrate and encourage adoption of these evidence-based policy levers through Title II and other funds for educational leadership, including school improvement.

Districts are where the rubber meets the road Finding Effective districts emphasize Principal standards, Effective pre-service training, Selective hiring, Effective in-service training, Evaluation, and On-the-job support Evidence Orr et al., Districts Developing Leaders: Lessons on Consumer Decisions and Program Approaches from Eight Urban Districts, Education Development Center, 2010 Turnbull et al., Districts Taking Charge of the Pipeline, Building a Stronger Principalship: Volume 3, Policy Studies Associates, 2015 The Wallace Foundation, Districts Matter: Cultivating the Principals Urban Schools Need, 2013 The Wallace Foundation, Building Principal Pipelines: A Strategy to Strengthen Education Leadership, IMPLICATION: In Title I, the Department’s regulations and guidance should ask that SEA and LEA plans include a focus on these practices (e.g. under school improvement). In Title II, the Department’s regulations and guidance should include these as permissible uses. These elements should also be encouraged through competitive funds allowing activities around principals and other school leaders (e.g. TSLIF, School Leader Recruitment and Support fund).

Districts can promote equity through effective leadership Findings There is an inequitable distribution of highly- qualified principals, with fewer in disadvantaged schools A good principal is the single most important determinant of whether a school can attract and keep the high- quality teachers necessary to turn around schools. Education leaders promote equity of educational opportunities for students. Evidence No shortage of certified principals but a shortage of qualified principals – especially in high-needs schools. (The Wallace Foundation, Beyond the Pipeline, 2003; and Susanna Loeb, Demetra Kalogrides, and Eileen Lai Horng, “Principal Preferences and the Uneven Distribution of Principals Across Schools,” Educational Evaluation and Policy Analysis 32, June 2010) “It is the leader who both recruits and retains high-quality staff. Indeed, the number one reason for teachers’ decisions about whether to stay in a school is the quality of administrative support – and it is the leader who must develop this organization.” (Linda Darling-Hammond, Education Leadership: A Bridge to School Reform, The Wallace Foundation, 2007) 50% of superintendents around the country report difficulty finding qualified principals. 61% of superintendents in urban areas can’t find the leaders they need. (Linda Darling-Hammond, et al., Preparing School Leaders for a Changing World, Lessons from Exemplary Leadership Development Programs, Stanford Educational Leadership Institute, 2007) “Over and over again, our highest-performing teachers told us that a highly-effective principal would be the determining factor in a decision to transfer to a low-performing school.” (Ann B. Clark, “Strategic Staffing,” School Administrator, American Association of School Administrators, August 2012) Standard 3 in the Professional Standards for Educational Leaders. (National Policy Board for Educational Administration, 2015) 17 IMPLICATION: The LEA plans and data reporting in Title I should include the equitable distribution of principals as well as teachers. ESSA uses of funds related to principal quality should include an expectation or priority on equitable distribution of effective school leaders, and states should have guidance on incorporating this goal into SEA and LEA plans across ESSA.

Summary of implications Addressing school leadership should be a top priority. Regulations and guidance should make clear the express authority to use funds for principal leadership separate from teachers through both formula and competitive programs. In Titles I, II, and beyond, the Department’s regulations and guidance should: SEA and LEA plans: Incorporate a focus on school leaders and the evidence-based policies and practices to support them, including for school improvement. This should include encouraging the equitable distribution of highly-qualified principals to be incorporated in the LEA plans. Principal supervisors: Make it clear: (1) principal’s direct supervisors are included in the definition of “school leader”; (2) principal supervisors and their development should be an allowable expense under Title II; (3) the principal supervisor role should be highlighted in SEA and LEA plans; and (4) support for principal supervisors should be allowable in competitive grants and state formula set-asides focused on principal leadership, including school improvement activities. Encourage use for school leaders: In support of Title I and Title II SEA and LEA plans, encourage school leaders (including principal supervisors) as permissible uses of formula and competitive funds and set-asides including for school improvement. Set-asides: In support of Title I and Title II state plans, encourage states to use their 3% and 5% Title II set-asides for principal quality activities, including a focus or priority on the evidence-based policies and practices to support them. 18

Agenda for today’s discussion Brief background on The Wallace Foundation Implications of the evidence for ESSA regulations on leadership A view from the field Discussion 19

Agenda for today’s discussion Brief background on The Wallace Foundation Implications of the evidence for ESSA regulations on leadership A view from the field Discussion 20