A new analysis of two key initiatives from the Wallace Foundation provides insights into the role of state policy in developing strong principal pipelines. Author Paul Manna, Hyman Distinguished University Professor of Government at William and Mary, identified four themes regarding the state role in the ESSA Leadership Learning Community (ELLC) and the University Principal Preparation Initiative (UPPI). Additionally, Manna provides a framework for considering the ELLC and UPPI models for future policy action.
The table below provides an overview of the ELLC and UPPI programs to provide context for understanding the themes and framework for consideration.
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ESSA Leadership Learning Community (ELLC)
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University Principal Preparation Initiative (UPPI)
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| Program Span |
2016-2022 |
2016-2021 |
| Focus |
Use flexibility in ESSA to focus on developing effective school leaders, particularly in high-needs schools. |
Improve university principal preparation programs. |
| Description |
State education agencies, urban school districts, and National Urban League affiliates met in structured professional learning communities to consider how to improve schools using the increased flexibility in ESSA around school leadership. |
University principal preparation programs, school district partners, mentor principal preparation programs, and state government agency partners worked together to enact specific improvements to existing principal preparation programs. |
| Participants |
Maryland, Minnesota, Missouri, Nebraska, New York, Ohio, Oregon, Pennsylvania, Tennessee, Wisconsin, Florida*
*Florida did not participate in all years of the initiative.
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Albany State University (Georgia), Florida Atlantic University (Florida), North Carolina State University (North Carolina), San Diego State University (California), University of Connecticut (Connecticut), Virginia State University (Virginia), Western Kentucky University (Kentucky) |
Adapted from States as Leaders, Followers, and Partners: Lessons from the ESSA Leadership Learning Community and the University Principal Preparation Initiative
Themes
The analysis first sets the stage by highlighting the importance of states in setting the operational environments of schools and in acting as the bridge between federal and local actors. Although ELLC and UPPI were not driven by legislation, the identified themes listed below provide valuable insights into how states can initiate or support such programs.
- Policy environments can enable or constrain initiatives designed to support and develop principals.
- Statute enables initiatives when policy facilitates cooperation between the various state agencies and community organizations involved in implementation and when restrained use of state mandates is coupled with implementation support.
- Initiatives are constrained when requirements are not applied universally and when there is a disconnect between stated goals and policy design.
- Establishing state standards that are used to shape principal preparation, licensing, professional development, and evaluation creates coherence and quality in principal pipelines.
- Consistent and cross-cutting use of state leader standards ensures alignment of initiatives and a clear definition of principal quality.
- State leader standards help to reorient efforts if issues arise in implementation of certain initiatives.
- State promotion of networked partnerships can increase the likelihood of principal initiatives succeeding.
- Networked partnerships leverage local knowledge while providing capacity to act on that knowledge.
- States can promote network partnerships by acting as a convenor.
- Intentional construction of networks to leverage partners’ comparative advantages can enhance the success of principal initiatives.
- State Agencies:
- Have a statewide audience.
- Wield formal authority over regulations.
- Convene discussions and shares information.
- Mobilize budgetary resources.
- Local education agencies:
- Identify implementation problems.
- Flag where current assumptions or requirements in policy hinder practice.
- Reflect on experience and propose plans accordingly.
- Principal preparation programs:
- Develop research-based options for addressing problems of practice.
- Identify patterns that cut across multiple districts.
- Nongovernmental organizations:
- Give voice to groups that lack representation.
- Check assumptions of traditional institutions.
- Provide capacity via ideas, personnel and funding.
Beyond these key themes, Manna also discusses the state role in leveraging federal resources to support principals. Studies of ELLC and UPPI found that using ESSA Title II funding to support principal development led to stronger principal pipelines. Additionally, state laws and regulations that promoted flexible approaches to meeting federal law helped spur innovation at the local level.
Framework for Policy Considerations
Pulling on his earlier work, Manna identifies three key considerations as a framework for future policy action: policy agenda, policy levers, and local context. For each aspect of the framework, Manna explores which model – ELLC or UPPI – might be best suited for different contexts.
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Considerations
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Amenable to ELLC model
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Amenable to UPPI model
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Policy agenda: How does the agenda frame the problem we want to solve?
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• More work is needed to conceptualize the problem.
• Multiple solutions might be viable, so it is important to consider different approaches.
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• There is a specific problem of practice to solve. (e.g., principal preparation).
• The problem is centered in a specific institutional locale. (e.g., preparation programs).
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Policy levers: What is the configuration of the policy levers in play?
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• Multiple policy levers can foster improvement without massive overhauls to multiple policies.
• The levers incorporate ways for stakeholders to provide input to improve them. (e.g., efforts reframed interactions between state and locals over dimensions of state policy).
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• System-level policy levers can support significant changes that will enhance effectiveness. (e.g., state leadership standards and state licensing policies).
• System-level policy levers set expectations but accommodate or support local choices. (e.g., Local universities and districts could craft working agreements about partnerships).
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Local contexts: What constraints and opportunities exist in local contexts?
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• The problem frame and proposed solutions are adaptable and crosscutting, making them relevant to constituencies across variable local contexts. (e.g., state supported principal leadership development academies).
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• Local knowledge, champions, networks and capacities are sufficient to launch efforts such that outside partners can play supporting rather than dominant roles. (e.g., existing appetite for improving principal preparation informed the selection of the UPPI sites).
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Adapted from States as Leaders, Followers, and Partners: Lessons from the ESSA Leadership Learning Community and the University Principal Preparation Initiative
Given the success of the ELLC and UPPI models, the emerging themes and policy considerations can help inform future action to promote effective school principals.