Background Principal Preparation Innovation Grant Program Ohio Department of Education and Ohio Department of Higher Education November 2017 Principal leadership is second only to teaching among school-related influences on student success. Researchers (Manna, 2015) have reported three findings about the role of the principal in public PK-12 education across states, and school and student demographics: Principals impact is greatest in schools with the greatest needs; Principals strongly shape the conditions for high-quality teaching; and Principals are influential in determining whether teachers stay in high-needs schools. Additionally, policymakers and district leaders alike have reported that the effectiveness of principals is correlated to the effectiveness of public schools, especially those serving children with few advantages in life (Manna, 2015). Principals who are prepared as resilient, effective, and responsive leaders help to inspire teachers and other school staff to excellence (Manna, 2015). Such principals also tend to retain great teachers and create opportunities for them to take on education related leadership roles; principals, through their planning and actions, can be powerful multipliers of effective teaching and leadership in schools which in turn drive the practices that contribute to the success of students (Manna, 2015). Principals are guided and supported by their local district s board policies which include state and federal mandates; therefore, in the context of this project, the question has been asked: What can state policymakers do to help ensure that P-12 schools have excellent principals who advance teaching and learning for all students? 1 The traditional college-based principal preparation program is the pathway for most aspiring principals to develop the knowledge, skills and dispositions they will need to be effective school leaders. Over a decade of research findings have reported that some college-based preparation programs are not remaining current with educational and societal changes and can lack rigor and relevance. 2 These studies have suggested that some college-based principal preparation programs are not as effective as they need to be to produce the 21 st century leaders our nation s schools and students require. 1 Manna, P. (2015). Developing excellent school principals to advance teaching and learning: Considerations for state policy. New York, NY: The Wallace Foundation. 2 Elmore, R. F. (2000). Building a new structure for school leadership. Washington, DC: The Albert Shanker Institute; Peterson, K. (2002). The professional development of principals: Innovations and opportunities. Educational Administration Quarterly, 38(2), 213-232; Levine, A. (2005). Educating School Leaders. Princeton, NJ: The Education Schools Project; Darling- Hammond, L., LaPointe, M., Meyerson, D., Orr, M.T. & Cohen, C. (2007). Preparing school leaders for a changing world: Lessons from exemplary leadership development programs. Stanford, CA: Stanford University, Stanford Educational Leadership Institute. 1
The American Association of School Administrators (AASA) surveyed superintendents and received responses from 408 of these officials in 42 states. Four out of five (80 percent) responded that improvement of principal preparation is necessary 32 percent to a large extent and 48 percent to a moderate extent. Only two respondents said that improvement was not at all needed. When asked to rate how their principals were prepared to address 15 common school-leader responsibilities such as managing change, recruiting and selecting teachers, and using data the superintendents rated the preparedness of their principals below the effective level for all 15 responsibilities. Further findings reported that, Preparation for four responsibilities thought to be critical for school improvement instructional leadership, team building, problem solving/decision making, and relationships/ collaboration [were] among the five lowest ranked areas. For additional insights related to recommendations from Ohio s principals regarding potential changes to principal preparation programs please see the document entitled Strengthening Educational Leader Supports found here. Program Purpose The Ohio Department Education, in collaboration with the Ohio Department of Higher Education, will support Ohio colleges that have principal preparation program faculty who are prepared to make the necessary changes to current programs or to begin new programs that will include curricular and experiential changes to prepare 21 st century principals. The Department will use the Principal Preparation Innovation Grant program to promote innovation in principal preparation. The goal of this grant program is to facilitate change in the Ohio principal preparation programs within the context of national and state principal standards and the university/college accreditation guidelines. Funds will be allocated for the processes of revising, rethinking, and redesigning or designing principal preparation programs to meet the complex needs of Ohio s Pk-12 education system and address the evolving role of the principal as school leader. Proposed changes and innovations to principal preparation program curriculum should consider incorporating some of the following topics: instructional leadership, building teacher leadership, human capital management, cultural competency, social/emotional supports and community engagement. Innovation should focus on new preparation models and approaches that include partnerships with local school districts, community schools, non-profit organizations, and industry while aligning to the new Professional Standards for Educational Leaders (PSEL) and Ohio Principal Standards (OPS). Assessments of principal candidates throughout the program should also be included. The scope of the work could include a complete revision of a principal preparation program, focus on revising a component of an existing program to address the continuum of principal preparation or the proposal of a new or pilot program. Evidence of changes to syllabi, coursework, field experiences, internships, candidate assessments, etc., must be presented and aligned with the requirements of graduate level programming in Educational Leadership as outlined by the Chancellor of the Ohio Department of Higher Education. (An additional alignment with the CAEP special professional association of 2
Ed Leadership standards is optional. Current principal standards are being realigned with PSEL.) Eligible Applicants Eligible grant applicants are institutions of higher education that are approved by the Chancellor of Higher Education for educator preparation and located within the state of Ohio. Funds may not be used for activities outside of the geographic boundaries of Ohio. Institutions do not have to have an existing principal preparation program to apply. Institutions may collaborate to submit a proposal. Anticipated Awards The total number of awards under the Principal Preparation Innovation Grant Program will depend on the amount of each award; however, the total amount of funds awarded may not exceed the total funding available. The Ohio Department of Education may request revisions to proposed budgets. Total Funding available: $800,000 Maximum funding per applicant or consortium: $100,000 Eligible Expenses and Project Term Each application must include a proposed budget. Awards under the program are to be expended on eligible costs. Eligible costs (allowable uses of funds) must be expenses directly tied to the development of and/or implementation of the project and may include personnel or equipment where appropriate. Indirect costs in support of the project may not exceed 8%. Program funds must be fully expended no later than September 30, 2018. A final program and expense report will be due to the Department no later than December 1, 2018. No funds may be carried over past September 30, 2018. Any funds remaining with the grantee on September 30, 2018, must be returned to the Ohio Department of Education upon request. Proposal Review Process and Timeline Request for Proposal Released November 22, 2017 Submit Questions from Interested Parties November 23-December 8, 2017 Proposal Due by 12 p.m. ET (noon) December 22, 2017 Proposal Review Period December 26, 2017 January 12, 2018 Notification of Awarded Proposals January 29, 2018 Proposal Requirements 1. Format: Proposals must be submitted in Arial Font, 12 points or larger and doublespaced. Tables and images contained within the proposal may be single spaced. Please see below for page allocations and directions for each section of the proposal. 3
2. Cover letter (one page): Title of project; identify the primary contact by name, title, address, phone and email address. Note: The primary contact must be a college dean or equivalent. 3. Executive summary (two-page maximum): Describe the following: a) the proposed program and innovations; b) how the innovations will impact the professional field of P-12 principals and their preparation; c) how the proposal incorporates new models such as: instructional leadership, building teacher leadership, human capital management, and community engagement; d) partners from local school districts, community schools, non-profit organizations, and industry. 4. Project Narrative (50 pages maximum): Description of proposal s criteria. Do not include syllabi in the narrative. (Organize the narrative as outlined in number 7 below Project Narrative) 5. Budget & Budget Narrative (5 pages maximum): In a separate narrative and summarized in an excel spreadsheet, the budget and budget narrative will document: i. Itemized costs ii. The underlying assumption and rationale for each cost. a) The amounts for each budget line activity requested must be described and justified in the budget narrative and summarized within the excel workbook. b) Describe the timing of expenditures in relation to the GANNT schedule included in the proposal. c) Submit all Department Financial Reporting Forms as requested. 6. Attachments (20 pages maximum): Evidence of commitment from all parties responsible for the implementation of this project is required, including letters of support and any signed agreements or MOUs (or proposed agreements or MOUs to be signed). 7. Project Narrative: i) Rationale or Theory of Action: This section will explain why this project is innovative and how it forwards the professional field of P-12 principals and their preparation. Include information about the kinds of new models the program will include, research-based evidence tiers, or reflect on how local school district, non-profit, and industry partners will be involved. ii) Project Plan: This section should provide a clear description of project staffing and a timeline for activities to be undertaken: a. Outline the roles and responsibilities of key staff members, including a brief biography of each. b. Provide a timeline with proposed activities and estimated completion milestone for each activity. Include a Gantt chart showing milestones and key terminal elements of the project along with corresponding dependency. 4
Assurances: iii) Project Deliverables: This section will explain how this project is different from the current principal preparation program and may include materials such as: (1) Plan of Study (or Course of Study). (2) Principal Candidate Handbook. (3) Course syllabi. (4) Outlines and expectations of field experiences. (5) Candidate assessments. (6) Creation of a unique partnership stakeholder advising group for the principal program that must include district leadership (community school leadership) - cannot be the same group used for the teacher stakeholder group. iv) Project Evaluation: Explain how project success will be measured. The evaluation plan should include both formative and summative measurement and may (but is not required to) utilize the support of an external evaluator. 1) Describe the evaluation design. 2) Describe ongoing evaluation process, including collecting and analyzing data, responding to data, and reporting data to ODHE. 3) Provide a timeline for the evaluation process, including formative and summative evaluations completing the project GANTT chart. 4) Identify the individuals who will lead the evaluation process and describe their credentials. (1) The grantee will present findings and share all documents, research, etc. with stakeholder groups such as the Department, state principal and other associations, ODHE, Ohio Confederation of Teacher Education Organizations, etc. (2) If requested, all documents and materials created and used in the implementation of this grant shall be shared with the Department for possible distribution to other educator preparation programs within the state. (3) Indirect costs associated with the grant proposal may not exceed 8% of the proposed budget. (4) The grantee must complete the project outlined within its grant submission. (5) The grantee must complete all budget requirements (PCRs and FERs) Send budget updates quarterly (6) The grantee will provide a one-page narrative summary upon completion of the project (7) The grantee will provide input to the Department on an as needed basis regarding the project (8) The grantee will submit all related date to the Department upon request 5
Application Scoring/Evaluation Criteria All evaluated areas will use a five-point quality scale for each rubric item of question: Score Description 0 Inadequate No evidence or information not provided 1 Weak Minimal evidence; limited potential; vague; weak concepts; limited likelihood of success; limited in innovative thinking; lacks sufficient information 2 Marginal Some evidence, partially developed concepts; some potential for effectiveness and success; some inconsistencies; needs work; some innovation present; requires additional information/clarification 3 Good Convincing concepts with enough examples of evidence to indicate a good chance for success; clear and complete; innovative 4 Strong Very convincing concepts with strong examples of evidence throughout potential; well-conceived and thoroughly developed with a high likelihood for success; very innovative 5 Exemplary Excellent concepts; exceptional evidence; well-thought out with an extremely high likelihood of success; highly innovative 1. The proposal provides evidence and/or potential that the project will be successful; gaps in planning and information are absent. 2. The proposal provides evidence as to the likelihood of success of the project. 3. The proposal and narrative are thorough and contain all required components therein. 4. The proposal offers a high-level of evidence to substantiate the educational needs for the project; data strongly suggests project success. 5. The proposal s budget narrative is complete and explicit in terms of funding usage. 6. The proposal includes verifiable and credible information on the total project cost. 7. The proposal provides a brief description of the team or individual responsible for the implementation of the proposal and corresponding duties. 8. The proposal describes the substantial value and lasting impact the project hopes to achieve. Incomplete applications will not be reviewed or scored. Award Notification Grant award recipients will be contacted through email notification. Questions may be directed to program contact: Cheryl Krohn, Center Strategic Administrator, Center for the Teaching Profession: cheryl.krohn@education.ohio.gov (614)466-0216 6
Legal Terms 1. Unresolved Findings Grantee represents and warrants that it is not subject to an unresolved finding for recovery under section 9.24 of the Ohio Revised Code. 2. Outstanding Judgments Grantee represents and warrants that it has no outstanding final judgments against it by the State of Ohio, including tax liabilities, and agrees that any payments incurred by the State in this Agreement may be applied against such liabilities currently owing or incurred in the future. 3. Unfair Labor Practice Grantee represents and warrants that it is not listed with the Ohio Secretary of State for unfair labor practices, pursuant to section 121.23 of the Ohio Revised Code. 4. Suspension and Debarment Grantee represents and warrants that it is not subject to any state or federal suspension or debarment. 5. Boycott Pursuant to section 9.76(B) of the Ohio Revised Code, Grantee represents and warrants that Grantee is not boycotting any jurisdiction with whom the State of Ohio can enjoy open trade, including Israel, and will not do so during the term of this Agreement. 6. Acknowledgment Grantee agrees that if any of the representations and warranties set forth within this Article is deemed to be false, this Agreement shall be void ab initio, and funds paid by ODE hereunder shall be immediately repaid to the Department. Adherence to State and Federal Laws, Regulations 1. General Grantee agrees to comply with all applicable federal, state, and local laws related to Grantee s performance and obligations under this Agreement. Grantee accepts full responsibility for payments of all unemployment compensation, insurance premiums, workers compensation premiums, all income tax deductions, social security deductions, and any and all other taxes or payroll deductions required for all employees engaged by Grantee in the performance of the requirements of this Agreement. 2. Governing Law This Agreement shall be governed by the laws of the State of Ohio as to all matters, including but not limited to matters of validity, construction, effect and performance. 3. Forum and Venue All actions regarding this Agreement shall be forumed and venued in a court of competent subject matter jurisdiction in Franklin County, Ohio. 4. Ohio Ethics Laws No personnel of Grantee or member of the governing body of any locality or other public official or employee of any such locality in which, or relating to which, the work under this Agreement is being carried out, and who exercises any functions or responsibilities in connection with the review or approval of the understanding or carrying out of any such work, shall, prior to the completion of said work, voluntarily acquire any personal interest, direct or indirect, which is incompatible or in conflict with the discharge and fulfillment of his or her functions and responsibilities with respect to the carrying out of said work. 5. Ohio Elections Law Grantee affirms that, as applicable to the Department, no party listed in Division (I) or (J) of section 3517.13 of the Ohio Revised Code or spouse of such party has made, as an individual, within the two previous calendar years, one or more contributions totaling in excess of $1,000.00 to the Governor or to his campaign committees. 7
6. Equal Employment Opportunity Pursuant to section 125.111 of the Ohio Revised Code, Grantee agrees that Grantee, any subgrantee, and any person acting on behalf of Grantee or subgrantee, shall not discriminate, based upon the race, color, religion, sex, age, disability, military status, national origin, or ancestry against any citizen of this state in the employment of any person qualified and available to perform the work under this Agreement. Grantee further agrees that Grantee, any subgrantee, and any person acting on behalf of Grantee or subgrantee shall not, in any manner, discriminate against, intimidate, or retaliate against any employee hired for the performance of work under this Agreement because of race, color, religion, sex, age, disability, military status, national origin or ancestry. 7. Drug-Free Workplace Compliance Grantee agrees to comply with all applicable state and federal laws regarding drug-free and smoke-free workplace laws. The applicant understands that if its application is accepted by the State, the applicant shall enter an agreement with the State governing the use of the awarded funds prior to the disbursement of said awarded funds. The applicant agrees to comply with all applicable federal, state and local laws and regulations in the conduct of the work hereunder. The applicant understands that funding is contingent on receiving or continuing to receive state or federal dollars, and if those funds are not received or continued the grant would not continue to be funded. The State reserves the right to fund any application in full or in part, to request additional information to assist in the review process, to require new applications from interested parties, to reject any or all applications responding to this announcement, or to reissue the announcement if it is determined that it is in the best interest of the State of Ohio. Issuing this announcement does not bind the State to making any awards. The State reserves the right to adjust the dates for this announcement for whatever reasons are deemed appropriate. The State reserves the right to waive any non-substantive infractions made by an applicant, provided that the applicant cures such infractions upon request. All costs incurred in preparation of an application shall be borne by the applicant. Application preparation costs are not recoverable under an award. The State of Ohio shall not contribute in any way to recovering the cost of application preparation. The funding decisions are final. Applicants will be notified of the outcome of their application(s) at the conclusion of the review process. The applicant understands that the information provided herein is intended solely to assist the applicant in submittal preparation. To the best of the State s knowledge, the information provided is accurate. However, the State does not warrant such accuracy, and any errors or omissions subsequently determined will not be construed as a basis for invalidating the solicitation. Interested parties bear the sole responsibility of obtaining the necessary information to submit a qualifying application. The State retains the right to modify or withdraw this solicitation at any time. By submitting an application, applicants expressly agree to these terms. 8