© Richard DuFour and Mike Mattos | DuFour, R., & Mattos, M. (2013). How do principals really improve schools? Educational Leadership 70(7), 34-40.
“Instead of micromanaging teachers, principals should lead efforts to collectively monitor student achievement through professional learning communities.”
—Richard DuFour and Mike Mattos, How Do Principals Really Improve Schools?
How Do Principals Really Improve Schools?
Richard DuFour Mike Mattos
© Richard DuFour and Mike Mattos | DuFour, R., & Mattos, M. (2013). How do principals really improve schools? Educational Leadership 70(7), 34-40.
How Do Principals Really Improve Schools?
Principals are in a paradoxical position. No Child Left
%HKLQG�DGPRQLVKHG�HGXFDWRUV�WR�XVH�ȊVFLHQWLȴF��UHVHDUFK�EDVHG�VWUDWHJLHVȋ�WR�HQVXUH�WKDW�DOO�VWXGHQWV�OHDUQ��/LNHZLVH��5DFH�WR�WKH�7RS�UHTXLUHV�HGXFDWRUV�WR�XVH�ȊUHVHDUFK�EDVHGȋ�VFKRRO�LPSURYHPHQW�PRGHOV��8QIRUWXQDWHO\��WKH�FRUH�strategies of both of these reform initiatives largely ignore
this call for practices grounded in research. Principals are
being asked to improve student learning by implementing
mandated reforms that have consistently proven ineffective
in raising student achievement.
The current emphasis on using more intensive
supervision and evaluation of teachers to improve school
performance illustrates this irony. According to Race to
WKH�7RS�JXLGHOLQHV��WKLV�PRUH�ULJRURXV�VXSHUYLVLRQ�SURFHVV�VKRXOG�LQȵXHQFH�D�WHDFKHUȇV�SURIHVVLRQDO�GHYHORSPHQW��FRPSHQVDWLRQ��SURPRWLRQ��UHWHQWLRQ��WHQXUH��DQG�FHUWLȴFDWLRQ��8OWLPDWHO\��WKH�HYDOXDWLRQV�VKRXOG�UHZDUG�highly effective educators with merit pay and remove those
deemed ineffective.
Faulty Logic$W�ȴUVW�JODQFH��WKLV�DSSURDFK�WR�LPSURYLQJ�VFKRROV�VHHPV�WR�PDNH�VHQVH��$IWHU�DOO��UHVHDUFK�GRHV�VD\�WKDW�WHDFKHU�TXDOLW\�LV�RQH�RI�WKH�PRVW�VLJQLȴFDQW�IDFWRUV�LQ�VWXGHQW�OHDUQLQJ��)XUWKHU��WKHUHȇV�DOPRVW�XQLYHUVDO�DJUHHPHQW�that the current system of teacher evaluation in the
United States is ineffective. Three of four teachers report
that their evaluation process has virtually no impact on
WKHLU�FODVVURRP�SUDFWLFH��'XIIHWW��)DUNDV��5RWKHUKDP���6LOYD���������/LNH�WKH�FKLOGUHQ�RI�/DNH�:REHJRQ��DOPRVW�DOO�WHDFKHUV�DUH�GHHPHG�WR�EH�DERYH�DYHUDJH��LI�QRW�superior. Tenured teachers are almost never found to be
XQVDWLVIDFWRU\��$V�D�FRPSUHKHQVLYH�VWXG\��:HLVEHUJ��6H[WRQ��0XOKHUQ���.HHOLQJ��������RI�WKH�FXUUHQW�V\VWHP�FRQFOXGHG��Ȋ7HDFKHU�HYDOXDWLRQ�GRHV�QRW�UHFRJQL]H�JRRG�WHDFKLQJ��OHDYHV�SRRU�WHDFKLQJ�XQDGGUHVVHG��DQG�GRHV�QRW�LQIRUP�GHFLVLRQ�PDNLQJ�LQ�DQ\�PHDQLQJIXO�ZD\ȋ��S����� So why not make tougher evaluation of teachers a
FRUQHUVWRQH�RI�VFKRRO�LPSURYHPHQW"�:K\�QRW�UHTXLUH�principals to spend more time in classrooms supervising
and evaluating teachers into better performance?
The premise that more frequent and intensive evaluation
of teachers by their principals will lead to higher levels
of student learning is only valid if two conditions exist.
7KH�ȴUVW�LV�WKDW�HGXFDWRUV�NQRZ�KRZ�WR�LPSURYH�VWXGHQW�OHDUQLQJ�EXW�KDYH�QRW�EHHQ�VXɟFLHQWO\�PRWLYDWHG�WR�GR�VR��The second is that principals have the time and expertise to
LPSURYH�HDFK�WHDFKHUȇV�SURIHVVLRQDO�SUDFWLFH�E\�REVHUYLQJ�that teacher in the classroom. Neither of these conditions
exists.
Do Carrots and Sticks Motivate Teachers?:H�FDQ�ȴQG�QR�UHVHDUFK�WR�VXSSRUW�WKH�DVVXPSWLRQ�WKDW�educators choose to use mediocre instructional strategies
and withhold effective practices until they receive increased
ȴQDQFLDO�LQFHQWLYHV��$V�IRUPHU�SULQFLSDOV�ZLWK�DOPRVW�VL[�GHFDGHV�RI�H[SHULHQFH�ZRUNLQJ�ZLWK�WHDFKHUV��ZH�IRXQG�WKDW�WKH�PHPEHUV�RI�RXU�IDFXOW\��DOPRVW�ZLWKRXW�H[FHSWLRQ��VWDUWHG�HDFK�GD\�ZLWK�KRQRUDEOH�LQWHQWLRQV��ZRUNHG�WLUHOHVVO\�RQ�EHKDOI�RI�WKHLU�VWXGHQWV��DQG�XVHG�WKH�best strategies they possessed to promote student success.
)XUWKHU��WKHUHȇV�OLWWOH�HYLGHQFH�WR�VXSSRUW�WKH�LGHD�WKDW�offering stronger rewards when educators move in the right
direction and applying more dire consequences when they
GRQȇWȃGDQJOLQJ�FUXQFKLHU�FDUURWV�DQG�ZLHOGLQJ�VKDUSHU�VWLFNVȃVSXUV�WHDFKHUV�WR�EHWWHU�SHUIRUPDQFH� Research has consistently established that merit pay does
not improve student outcomes or change teacher behavior
LQ�D�SRVLWLYH�ZD\��WKDW�LW�PD\�DFWXDOO\�FRQWULEXWH�WR�GHFOLQHV�LQ�VWXGHQW�OHDUQLQJ��DQG�WKDW�LWȇV�W\SLFDOO\�DEDQGRQHG�ZLWKLQ�D�IHZ�\HDUV�RI�LPSOHPHQWDWLRQ��)U\HU��������3IHIIHU��6XWWRQ��������6SULQJHU�HW�DO����������$�UHVHDUFK�EDVHG�SURJUDP�IRU�improving schools would not be tied to merit pay.
� $V�IRU�ZLHOGLQJ�VKDUSHU�VWLFNV��LQ�KLV�ERRN�Drive: The Surprising Truth About What Motivates Us��'DQLHO�3LQN��������SUHVHQWV�FRPSHOOLQJ�HYLGHQFH�WKDW�WKLV�DSSURDFK�has a decidedly negative effect on the performance
of knowledge workers like educators. This is not new
LQIRUPDWLRQ��,Q�������:��(GZDUGV�'HPLQJ�DUJXHG�WKDW�leaders must “drive out fear” from their organizations
EHFDXVH�DSSHDOV�WR�IHDU�UHVXOWHG�LQ�VKRUW�WHUP�WKLQNLQJ��IRVWHUHG�FRPSHWLWLRQ�UDWKHU�WKDQ�FROODERUDWLRQ��DQG�VHUYHG�DV�D�EDUULHU�WR�FRQWLQXDO�LPSURYHPHQW��$�UHVHDUFK�EDVHG�program for improving schools would not be tied to
By Richard DuFour and Mike Mattos
© Richard DuFour and Mike Mattos | DuFour, R., & Mattos, M. (2013). How do principals really improve schools? Educational Leadership 70(7), 34-40.
sanctions and punishments intended to generate fear.
� 7KH�1DWLRQDO�&HQWHU�IRU�(GXFDWLRQ�DQG�WKH�(FRQRP\��7XFNHU��������FRXOGQȇW�ȴQG�DQ\�HYLGHQFH�WKDW�WKH�FDUURWV�DQG�VWLFNV�VWUDWHJ\�OHDGV�WR�LPSURYHG�VWXGHQW�DFKLHYHPHQW�LQ�WKH�8QLWHG�6WDWHV�RU�WKDW�DQ\�RI�WKH�ZRUOGȇV�KLJK�SHUIRUPLQJ�school systems use such strategies. The American
(GXFDWLRQDO�5HVHDUFK�$VVRFLDWLRQ�GHFODUHG�WKDW�ȊQHLWKHU�research evidence related to growth models nor best practice
related to assessment supports the proposed requirement
that assessment of teachers and principals be based centrally
RQ�VWXGHQW�DFKLHYHPHQWȋ��9LDGHUR���������$�UHVHDUFK�EDVHG�DSSURDFK�WR�VFKRRO�UHIRUP�ZRXOG�QRW�GHȴQH�LPSURYHPHQW�solely as higher scores on an annual standardized
achievement test.
Do Principal Observations Improve Teaching Practices?But even if we set the research
DVLGH��TXHVWLRQV�UHPDLQ��'R�principals have the time and
expertise to enhance student
learning through classroom
observations? Is this the best
way to improve a school?
� 7R�DQVZHU�WKHVH�TXHVWLRQV��FRQVLGHU�7HQQHVVHH��RQH�RI�WKH�ȴUVW�VWDWHV�WR�UHFHLYH�D�5DFH�WR�the Top grant. The Tennessee
PRGHO�FDOOV�IRU����SHUFHQW�RI�D�WHDFKHUȇV�HYDOXDWLRQ�WR�EH�EDVHG�RQ�SULQFLSDO�REVHUYDWLRQV�����SHUFHQW�RQ�VWXGHQW�JURZWK��DQG����SHUFHQW�RQ�VWXGHQW�DFKLHYHPHQW�data. Principals or evaluators must observe new teachers
six times each year and licensed teachers four times each
\HDU��FRQVLGHULQJ�RQH�RU�PRUH�RI�IRXU�DUHDVȃLQVWUXFWLRQ��SURIHVVLRQDOLVP��FODVVURRP�HQYLURQPHQW��DQG�SODQQLQJ��7KHVH�IRXU�DUHDV�DUH�IXUWKHU�GLYLGHG�LQWR�����VXEFDWHJRULHV��2EVHUYDWLRQV�DUH�WR�EH�SUHFHGHG�E\�D�SUH�FRQIHUHQFH��LQ�ZKLFK�WKH�SULQFLSDO�DQG�WKH�WHDFKHU�GLVFXVV�WKH�OHVVRQ��DQG�IROORZHG�E\�D�SRVW�FRQIHUHQFH��LQ�ZKLFK�WKH�SULQFLSDO�VKDUHV�KLV�RU�KHU�LPSUHVVLRQV�RI�WKH�WHDFKHUȇV�SHUIRUPDQFH��Principals must then input data on the observation using the
state rubric for assessing teachers. Principals report that the
process requires four to six hours for each observation.
� 1R�GRXEW�WKHVH�UHTXLUHPHQWV�DUH�ZHOO�LQWHQWLRQHG��EXW�ZHȇUH�FRQYLQFHG�WKDW�DGYRFDWHV�RI�WKLV�DSSURDFK�IDLO�WR�recognize the crushing demands on the contemporary
SULQFLSDO��$�V\QWKHVLV�RI�UHVHDUFK�KDV�LGHQWLȴHG����different responsibilities that principals must address in an
environment where any or all of those responsibilities may
suddenly be put on the back burner by crises over which
WKH�SULQFLSDO�KDV�OLWWOH�FRQWURO��0DU]DQR��:DWHUV���0F1XOW\��������
What We Learned as Principals%XW�EH\RQG�WKH�WLPH�GHPDQGV��WKH�SUHPLVH�EHKLQG�WKH�policy of having principals observe teachers and help them
LPSURYH�LV�IXQGDPHQWDOO\�ȵDZHG��:H�ZHUH�ERWK�DZDUG�winning principals who devoted massive amounts of time
and energy to trying to improve teaching through our
GLIIHUHQW�V\VWHPVȇ�VXSHUYLVLRQ�DQG�HYDOXDWLRQ�SURFHVVHV��:H�W\SLFDOO\�IRXQG�WKDW�WHDFKHUV�ZHUH�XQSHUVXDGHG�E\�RXU�UHFRPPHQGDWLRQV��$IWHU�DOO��SUHYLRXV�SULQFLSDOV�KDG�IRXQG�
WKHP�VDWLVIDFWRU\��LI�QRW�H[HPSODU\�� )XUWKHU��DV�PLGGOH�DQG�KLJK�VFKRRO�SULQFLSDOV��ZH�RIWHQ�REVHUYHG�teachers in content areas in which
we were clueless. As former social
VWXGLHV�WHDFKHUV��ZH�ZHUH�QRW�SUHSDUHG�to help a Spanish teacher improve
ZKHQ�ZH�FRXOGQȇW�XQGHUVWDQG�ZKDW�KH�RU�VKH�ZDV�VD\LQJ��:H�ZHUH�LOO�equipped to enhance the pedagogy of
an industrial arts teacher when we
were mechanically inept. Because we
frequently were unable to determine
the appropriateness of either the
FRQWHQW�RU�WKH�OHYHO�RI�LWV�ULJRU��ZH�KDG�to resort to generic observations about
teaching and apply what we knew
DERXW�HIIHFWLYH�TXHVWLRQLQJ�VWUDWHJLHV��VWXGHQW�HQJDJHPHQW��FODVVURRP�PDQDJHPHQW��DQG�VR�RQ�� :H�GRQȇW�PHDQ�WR�LPSO\�WKDW�WKH�SURFHVV�ZDV�ZLWKRXW�EHQHȴWV��$V�D�QHZ�SDLU�RI�H\HV�LQ�WKH�FODVVURRP��ZH�were sometimes able to help a teacher become aware
of unintended instructional or classroom management
SDWWHUQV��:H�FRXOG�H[SUHVV�DSSUHFLDWLRQ�IRU�WKH�ZRQGHUIXO�work a teacher was doing because we had witnessed it
ȴUVWKDQG��:H�REVHUYHG�SRZHUIXO�LQVWUXFWLRQDO�VWUDWHJLHV�WKDW�ZH�ZHUH�DEOH�WR�VKDUH�ZLWK�RWKHU�WHDFKHUV��:H�LQFUHDVHG�RXU�own knowledge about what constitutes effective teaching.
So classroom observations can be meaningful and
EHQHȴFLDO�WR�VRPH�H[WHQW��EXW�SULQFLSDOV�VKRXOG�QRW�XVH�WKHP�as their key strategy for improving their schools. Perhaps
intensive supervision of teaching would be a viable strategy
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The most powerful strategy for improving both teaching and learning is to create the collaborative culture and collective responsibility of a PLC.
© Richard DuFour and Mike Mattos | DuFour, R., & Mattos, M. (2013). How do principals really improve schools? Educational Leadership 70(7), 34-40.
XQLYHUVDOO\�HIIHFWLYH�WHDFKLQJ�VWUDWHJ\��WKH�HIIHFWLYHQHVV�RI�DQ\�given strategy can only be determined by evidence of its effect
RQ�VWXGHQW�OHDUQLQJ��'X)RXU��0DU]DQR���������7KH�FKHFNOLVW�DSSURDFK�WR�SURYLGLQJ�IHHGEDFN�WR�WHDFKHUV�GRHVQȇW�HQKDQFH�WKHLU�SHGDJRJLFDO�H[SHUWLVH��$V�0DU]DQR��������QRWHV��LWȇV�ȊDQWLWKHWLFDO�WR�WUXH�UHȵHFWLYH�SUDFWLFH�������>DQG@�LV�SURIRXQGO\�DQWL�SURIHVVLRQDOȋ��S������
The Case for the PLC ProcessIf principals want to improve student achievement in their
VFKRRO��UDWKHU�WKDQ�IRFXV�RQ�WKH�LQGLYLGXDO�LQVSHFWLRQ�RI�teaching��WKH\�PXVW�IRFXV�RQ�WKH�FROOHFWLYH�DQDO\VLV�RI�HYLGHQFH�of student learning.
� 2I�FRXUVH��WHDFKLQJ�DQG�OHDUQLQJ�DUH�QRW�GLYRUFHG�IURP�HDFK�other. The key to improved student learning is to ensure more
good teaching in more classrooms more of the time. The most
SRZHUIXO�VWUDWHJ\�IRU�LPSURYLQJ�ERWK�WHDFKLQJ�DQG�OHDUQLQJ��KRZHYHU��LV�QRW�E\�PLFURPDQDJLQJ�LQVWUXFWLRQ�EXW�E\�FUHDWLQJ�the collaborative culture and collective responsibility of a
SURIHVVLRQDO�OHDUQLQJ�FRPPXQLW\��3/&�� Studies conducted by the Center on Organization and
5HVWUXFWXULQJ�RI�6FKRROV��1HZPDQQ��:HKODJH���������WKH�1DWLRQDO�&RPPLVVLRQ�RQ�7HDFKLQJ�DQG�$PHULFDȇV�)XWXUH��&DUUROO��)XOWRQ���'RHUU���������WKH�$QQHQEHUJ�,QVWLWXWH�IRU�6FKRRO�5HIRUP���������WKH�:DOODFH�)RXQGDWLRQ��/RXLV��/HLWKZRRG��:DKOVWURP���$QGHUVRQ���������DQG�WKH�$PHULFDQ�(GXFDWLRQDO�5HVHDUFK�$VVRFLDWLRQ��+ROODQG��������SURYLGH�MXVW�D�VPDOO�VDPSOLQJ�RI�WKH�UHVHDUFK�EDVH�WKDW�FRQȴUPV�WKH�positive effect of the PLC process on both student and adult
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The collective results of these studies offer
an unequivocal answer to the question about
whether the literature supports the assumption
that student learning increases when teachers
participate in professional learning communities.
The answer is a resounding and encouraging yes.
�9HVFLR��5RVV���$GDPV��������S�����
� 7KLV�ȴQGLQJ�LV�QRW�OLPLWHG�WR�WKH�8QLWHG�6WDWHV��,Q�D�VWXG\�RI�KLJK�SHUIRUPLQJ�VFKRRO�V\VWHPV�WKURXJKRXW�WKH�ZRUOG��researchers concluded that successful systems structured
their schools to function as PLCs to provide the teacher
collaboration vital to powerful professional development
�%DUEHU��0RXUVKHG���������$�UHSRUW�IURP�WKH�,QWHUQDWLRQDO�$FDGHP\�RI�(GXFDWLRQ��7LPSHUOH\��������FRQFOXGHG�WKDW�the key to improving teaching was ensuring that educators
“participate in a professional learning community that is
focused on becoming responsive to students.”
Research shows that educators in schools that have
embraced PLCs are more likely to
ȏ� 7DNH�FROOHFWLYH�UHVSRQVLELOLW\�IRU�VWXGHQW�OHDUQLQJ��KHOS�VWXGHQWV�DFKLHYH�DW�KLJKHU�OHYHOV��DQG�H[SUHVV�KLJKHU�OHYHOV�RI�SURIHVVLRQDO�VDWLVIDFWLRQ��/RXLV��:DKOVWURP��������
ȏ� 6KDUH�WHDFKLQJ�SUDFWLFHV��PDNH�UHVXOWV�WUDQVSDUHQW��engage in critical conversations about improving
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� ȏ� ,PSURYH�VWXGHQW�DFKLHYHPHQW�DQG�WKHLU�SURIHVVLRQDO�practice at the same time that they promote shared
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Research has also established that simply providing time
for educators to meet will have no effect on student learning
XQOHVV�WKHLU�PHHWLQJV�IRFXV�RQ�WKH�ULJKW�ZRUN��6DXQGHUV��*ROGHQEHUJ���*DOOLPRUH���������,Q�WUDGLWLRQDO�VFKRROV��WKH�question of who will determine what constitutes the right
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happen at team meetings?
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� ȏ� :KDW�NQRZOHGJH��VNLOOV��DQG�GLVSRVLWLRQV�VKRXOG�DOO�VWXGHQWV�DFTXLUH�DV�D�UHVXOW�RI�WKH�XQLW�ZHȇUH�DERXW�WR�teach?
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throughout the unit in our classrooms and at its
conclusion as a team?
� ȏ� +RZ�FDQ�ZH�XVH�WKLV�HYLGHQFH�RI�OHDUQLQJ�WR�LPSURYH�RXU�LQGLYLGXDO�SUDFWLFH�DQG�RXU�WHDPȇV�FROOHFWLYH�FDSDFLW\�WR�KHOS�VWXGHQWV�OHDUQ��WR�LQWHUYHQH�IRU�VWXGHQWV�XQDEOH�WR�GHPRQVWUDWH�SURȴFLHQF\��DQG�WR�HQULFK�WKH�OHDUQLQJ�IRU�VWXGHQWV�ZKR�KDYH�GHPRQVWUDWHG�SURȴFLHQF\"
� 7R�IRVWHU�VFKRRO�FXOWXUHV�LQ�ZKLFK�3/&V�ȵRXULVK��SULQFLSDOV�QHHG�WR�IRFXV�RQ�ȴYH�NH\�VWHSV��VHH�Ȋ)LYH�6WHSV�WR�6XFFHVV�RQ�WKH�3/&�-RXUQH\ȋ���7KH\�FDQ�VWDUW�E\�IRUPLQJ�WHDPV�LQ�which members share responsibility to help all students
OHDUQ�HVVHQWLDO�FRQWHQW�DQG�VNLOOV��SURYLGLQJ�WHDPV�ZLWK�WLPH�WR�FROODERUDWH��KHOSLQJ�WR�FODULI\�WKH�ZRUN�WKDW�WHDPV�QHHG�WR�GR��DQG�HQVXULQJ�WKDW�WHDPV�KDYH�DFFHVV�WR�WKH�UHVRXUFHV�DQG�support they need to accomplish their objectives.
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� )RU�H[DPSOH��D�WHDP�WKDW�DWWHPSWV�WR�FUHDWH�D�XQLW�DVVHVVPHQW�ZRXOG�EHQHȴW�IURP�DQ�RYHUYLHZ�RI�WKH�UHVHDUFK�on the power of common formative assessments to improve
ERWK�WHDFKLQJ�DQG�OHDUQLQJ��D�EULHI�DUWLFOH�RQ�NH\V�WR�ZULWLQJ�JRRG�DVVHVVPHQWV��DFFHVV�WR�UHOHDVHG�VHWV�RI�DVVHVVPHQW�LWHPV�IRU�WKH�VNLOO�WKH\ȇUH�WHDFKLQJ��DQG�H[DPSOHV�RI�WKH�
assessment frameworks used by their state or province to
ensure they become familiar with the format and rigor of
WKRVH�DVVHVVPHQWV��)RU�SHUIRUPDQFH�EDVHG�DVVHVVPHQWV��WHDP�members might need recommendations from content experts
on the criteria they should use in assessing the quality of
student work as well as time to practice applying those criteria
XQWLO�WKH\ȇUH�DEOH�WR�SURYLGH�VWXGHQWV�ZLWK�FRQVLVWHQW�IHHGEDFN� But the most vital support a principal can give these
collaborative teams is helping them use evidence of student
OHDUQLQJ�WR�LPSURYH�WKHLU�WHDFKLQJ��:KHQ�PHPEHUV�RI�D�WHDP�PDNH�WKH�UHVXOWV�IURP�WKHLU�FRPPRQ�DVVHVVPHQWV�WUDQVSDUHQW��DQDO\]H�WKRVH�UHVXOWV�FROOHFWLYHO\��DQG�GLVFXVV�ZKLFK�instructional strategies seem most effective based on actual
HYLGHQFH�RI�VWXGHQW�OHDUQLQJ��WKH\ȇUH�XVLQJ�WKH�PRVW�SRZHUIXO�FDWDO\VWV�IRU�LPSURYLQJ�LQVWUXFWLRQ��(OPRUH��������)XOODQ��������+DWWLH���������7KLV�RQJRLQJ��FROOHFWLYH�DQDO\VLV�RI�OHDUQLQJ�LV�far more likely to improve teaching practice than a principal
stopping by a classroom a few times each year to see whether
the teacher is making the right moves.
The PLC process also promotes shared leadership by
empowering teams to make important decisions. Teachers
KDYH�D�YRLFH�LQ�GHWHUPLQLQJ�WKH�FRQWHQW�WKH\ȇOO�WHDFK��KRZ�WKH\ȇOO�VHTXHQFH�WKH�FRQWHQW��ZKLFK�LQVWUXFWLRQDO�VWUDWHJLHV�WKH\ȇOO�XVH��DQG�KRZ�WKH\ȇOO�DVVHVV�VWXGHQW�OHDUQLQJ��$W�WKH�VDPH�WLPH��SULQFLSDOV�DVN�WKHLU�WHDPV�WR�EH�DFFRXQWDEOH�IRU�UHVXOWV��DQG�WKH\�SXEOLFO\�UHFRJQL]H�DQG�FHOHEUDWH�LQFUHPHQWDO�progress. Principal acknowledgement and appreciation are
YLWDO�WR�VXVWDLQLQJ�D�FRQWLQXDO�LPSURYHPHQW�HIIRUW��+HDWK��+HDWK��������� )LQDOO\��HIIHFWLYH�SULQFLSDOV�DUH�ZLOOLQJ�WR�FRQIURQW�WKRVH�who fail to honor the commitments to their team and their
obligations to their students. These principals make it clear
WKDW�DQ�LQGLYLGXDO�WHDFKHU�FDQQRW�GLVUHJDUG�WKH�WHDP�GHYHORSHG�FXUULFXOXP��GLVPLVV�WKH�VHTXHQFLQJ�RI�FRQWHQW��UHIXVH�WR�DGPLQLVWHU�WKH�WHDPȇV�FRPPRQ�DVVHVVPHQWV��RU�opt out of the collaborative team process in any way. They
are willing to use their authority to break down the walls of
educator isolation and create new norms of collaboration and
FROOHFWLYH�UHVSRQVLELOLW\�IRU�VWXGHQW�OHDUQLQJ��%U\N��6HEULQJ��$OOHQVZRUWK��/XSSHVFX���(DVWRQ��������
A Culture of Collective ResponsibilityBoth research and our own experience as principals have
convinced us that this PLC process is more likely to improve
instruction than classroom observations. An algebra teacher
has a better chance of becoming more effective when he or
she works with other algebra teachers weekly to improve
student learning than when he or she is observed by a former
social studies teacher four times a year.
Five Steps to Success on the PLC Journey
1. Embrace the premise that the fundamental purpose of the school is to ensure that all students learn at high levels and enlist the staff in examining every existing practice, program, and procedure to ensure it aligns with that purpose.
2. Organize staff into meaningful collaborative teams that take collective responsibility for student learning and work interdependently to achieve shared goals for which members hold themselves mutually accountable.
3. Call on teams to establish a guaranteed and viable curriculum for each unit that clari!es the essential learning for all students, agree on pacing guidelines, and develop and administer common formative assessments to monitor each student’s learning at the end of each unit.
4. Use the evidence of student learning to identify
become pro!cient.
learning because they’re already highly pro!cient.
team members can examine those teachers’ practices.
pro!cient so team members can assist in addressing the
problem.
help students achieve at the intended level so the team
can expand its learning beyond its members to become
team can seek help from members of other teams in the
building with expertise in that area, specialists from the
central of!ce, other teachers of the same content in the
district, or networks of teachers throughout the United
5. Create a coordinated intervention plan that ensures that students who struggle receive additional time and support for learning in a way that is timely, directive, diagnostic, precise, and most important, systematic.
© Richard DuFour and Mike Mattos | DuFour, R., & Mattos, M. (2013). How do principals really improve schools? Educational Leadership 70(7), 34-40.
� )XUWKHU��WKH�3/&�SURFHVV�KDV�WZR�SRZHUIXO�OHYHUV�IRU�FKDQJLQJ�DGXOW�EHKDYLRU��LUUHIXWDEOH�HYLGHQFH�RI�EHWWHU�UHVXOWV�DQG�SRVLWLYH�SHHU�SUHVVXUH��(OPRUH��������)XOODQ��������+DWWLH���������:KHQ�WHDP�PHPEHUV�VHH�WKDW�VWXGHQWV�LQ�D�FROOHDJXHȇV�FODVVURRP�FRQVLVWHQWO\�SHUIRUP�DW�KLJKHU�OHYHOV�RQ�WHDP�GHYHORSHG�DVVHVVPHQWV��WKH\�EHFRPH�FXULRXV�DERXW�the conditions and practices that led to those better results.
)XUWKHU��LI�D�WHDP�LV�FRQVLVWHQWO\�unable to achieve its goals because
WKH�VWXGHQWV�LQ�D�WHDP�PHPEHUȇV�classroom are repeatedly unable
WR�GHPRQVWUDWH�SURȴFLHQF\��WKHUHȇV�more pressure on the teacher in that
classroom to try new practices.
� 6R�ZKDWȇV�D�SULQFLSDO�WR�GR�ZKHQ�confronted with state or district
policies that mandate a more
stringent approach to evaluation?
Although principals may be stuck
ZLWK�SXQLWLYH�DFFRXQWDELOLW\�SROLFLHV��WKH\�GRQȇW�KDYH�WR�EH�VWXFN�ZLWK�D�SXQLWLYH�PLQG�VHW��'X)RXU��)XOODQ���������$�KLJKO\�HIIHFWLYH�SULQFLSDO�ZLOO�ORRN�IRU�ZD\V�WR�DOLJQ�WKH�SURFHVV�WR�D�FXOWXUH�RI�FROOHFWLYH�UHVSRQVLELOLW\�IRU�OHDUQHU�focused outcomes.
� )RU�H[DPSOH��WKH�SULQFLSDO�FDQ�UHSXUSRVH�WKH�LQGLYLGXDO�WHDFKHU�JRDO�VHWWLQJ�SURFHVV�WR�IRFXV�RQ�WHDP�JRDOV��5DWKHU�than establishing goals for individual teachers that focus
on teacher activities (“I will improve my ability to use
GLIIHUHQWLDWHG�LQVWUXFWLRQȋ���WKH\�KHOS�WHDPV�HVWDEOLVK�FROOHFWLYH�JRDOV�WKDW�IRFXV�RQ�VWXGHQW�OHDUQLQJ��Ȋ/DVW�\HDU�����SHUFHQW�RI�RXU�VWXGHQWV�GHPRQVWUDWHG�SURȴFLHQF\�RQ�WKH�VWDWH�DVVHVVPHQW��7KLV�\HDU��ZH�ZLOO�KHOS�DW�OHDVW����SHUFHQW�GHPRQVWUDWH�SURȴFLHQF\ȋ���7KHVH�UHVXOWV�RULHQWHG�JRDOV�KHOS�create the interdependence and mutual accountability vital to
effective teams.
Principal observations can provide feedback to team
members who implement new strategies as part of their
DFWLRQ�UHVHDUFK��)RU�H[DPSOH��D�WHDP�PD\�GHFLGH�WKDW�members need to focus on checking for student understanding
more frequently and effectively to improve achievement in
D�XQLW�WKDW�KDV�WUDGLWLRQDOO\�SURYHQ�GLɟFXOW�IRU�WKH�VWXGHQWV��The principal could focus on that aspect of instruction
during observations and work with teachers to expand their
VWUDWHJLHV�LQ�WKDW�DUHD��)LQDOO\��PDQ\�QHZ�HYDOXDWLRQ�WRROV�have components related to teacher collaboration. An effective
principal will use that aspect of evaluation as a catalyst to
strengthen the team process.
Asking the Right QuestionIf current efforts to supervise teachers into better
SHUIRUPDQFH�KDYH�SURYHQ�LQHIIHFWLYH��DQG�WKH\�KDYH���WKH�solution is not to double down on a bad strategy and demand
PRUH�FODVVURRP�REVHUYDWLRQV��WLJKWHU�VXSHUYLVLRQ��DQG�PRUH�punitive evaluations. The effort to improve schools through
tougher supervision and evaluation is doomed to fail because
it asks the wrong question. The question
LVQȇW��+RZ�FDQ�,�GR�D�EHWWHU�MRE�RI�PRQLWRULQJ�WHDFKLQJ"�EXW�+RZ�FDQ�ZH�FROOHFWLYHO\�GR�D�better job of monitoring student learning?
� 7RGD\ȇV�VFKRROV�GRQȇW�QHHG�ȊLQVWUXFWLRQDO�leaders” who attempt to ensure that teachers
XVH�WKH�ULJKW�PRYHV��,QVWHDG��VFKRROV�QHHG�learning leaders who create a schoolwide
focus on learning both for students and the
adults who serve them.
ReferencesAnnenberg Institute for School Reform.
��������Professional learning communities: Professional development strategies that improve instruction. 3URYLGHQFH��5,��$XWKRU��5HWULHYHG�IURP�KWWS���DQQHQEHUJLQVWLWXWH�RUJ�SGI�SURȵHDUQLQJ�SGI
%DUEHU��0����0RXUVKHG��0����������Shaping the future: How good education systems can become great in the decade ahead. 0F.LQVH\�DQG�&RPSDQ\��5HWULHYHG�IURP�ZZZ�PFNLQVH\�FRP�ORFDWLRQV�VRXWKHDVWDVLD�NQRZOHGJH�(GXFDWLRQB5RXQGWDEOH�SGI
%U\N��$���6HEULQJ��3���$OOHQVZRUWK��(���/XSSHVFX��6����(DVWRQ��-����������Organizing schools for improvement: Lessons from Chicago.�&KLFDJR��8QLYHUVLW\�RI�&KLFDJR�3UHVV�
&DUUROO��7���)XOWRQ��.����'RHUU��+��������� Team up for 21st century teaching and learning: What research and practice reveal about professional learning.�:DVKLQJWRQ��'&��1DWLRQDO�&RPPLVVLRQ�RQ�7HDFKLQJ�DQG�$PHULFDȇV�)XWXUH�
'HPLQJ��:��(����������Out of the crisis��&DPEULGJH��0$��0,7�Press.
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'X)RXU��5����)XOODQ��0����������Cultures built to last: Systemic PLCs at Work™.�%ORRPLQJWRQ��,1��6ROXWLRQ�7UHH�3UHVV�
The PLC process is more likely to improve instruction than classroom observations.
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'X)RXU��5����0DU]DQR��5����������Leaders of learning: How district, school, and classroom leaders improve student achievement.�%ORRPLQJWRQ��,1��6ROXWLRQ�7UHH�3UHVV�
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)XOODQ��0����������7he moral imperative realized. Thousand
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+ROODQG��+����������7HDFKLQJ�WHDFKHUV��3URIHVVLRQDO�development to improve student achievement. Research Points: Essential Information for Educational Policy��3������Ȃ���:DVKLQJWRQ��'&��$PHULFDQ�(GXFDWLRQDO�5HVHDUFK�Association.
-RKQVRQ��6��0����.DUGRV��6����������3URIHVVLRQDO�FXOWXUH�DQG�WKH�SURPLVH�RI�FROOHDJXHV��,Q�6��0��-RKQVRQ��Finders and keepers: Helping new teachers survive and thrive in our schools �SS�����Ȃ������6DQ�)UDQFLVFR��-RVVH\�%DVV�
/LWWOH��-��:����������Professional community and professional development in the learning-centered school. :DVKLQJWRQ��'&��1DWLRQDO�(GXFDWLRQ�$VVRFLDWLRQ��5HWULHYHG�IURP�ZZZ�QHD�RUJ�DVVHWV�GRFV�+(�PIBSGUHSRUW�SGI
/RXLV��.���/HLWKZRRG��.���:DKOVWURP��.����$QGHUVRQ��6����������Learning from leadership: Investigating the links to improved student learning.�1HZ�<RUN��:DOODFH�Foundation.
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0DU]DQR��5����������SHWWLQJ�WKH�UHFRUG�VWUDLJKW�RQ�ȊKLJK�yield” strategies. Phi Delta Kappan��91�������Ȃ���
0DU]DQR��5���:DWHUV��7����0F1XOW\��%����������School leadership that works: From research to results. $OH[DQGULD��9$��$6&'�
1HZPDQQ��)����:HKODJH��*����������Successful school restructuring: A report to the public and educators by the Center on Organization and Restructuring of Schools. 0DGLVRQ��8QLYHUVLW\�RI�:LVFRQVLQ�
3IHIIHU��-����6XWWRQ��5����������Hard facts, dangerous half-WUXWKV�DQG�WRWDO�QRQVHQVH��3URȴWLQJ�IURP�HYLGHQFH�based management. %RVWRQ��+DUYDUG�%XVLQHVV�6FKRRO�Press.
3LQN��'����������Drive: The surprising truth about what motivates us.�1HZ�<RUN��5LYHUKHDG�
6DXQGHUV��:���*ROGHQEHUJ��&����*DOOLPRUH��5����������,QFUHDVLQJ�DFKLHYHPHQW�E\�IRFXVLQJ�JUDGH�OHYHO�WHDPV�RQ�LPSURYLQJ�FODVVURRP�OHDUQLQJ��$�SURVSHFWLYH��TXDVL�H[SHULPHQWDO�VWXG\�RI�7LWOH�,�VFKRROV. American Educational Research Journal, 46���������Ȃ�����
6SULQJHU��0��*���+DPLOWRQ��/���0F&DIIUH\��'��)���%DOORX��'���/H��9���3HSSHU��0���HW�DO��������� Teacher pay for performance: Experimental evidence from the project on incentives in teaching.�1DVKYLOOH��71��1DWLRQDO�&HQWHU�RQ�3HUIRUPDQFH�Incentives.
7LPSHUOH\��+����������Teacher professional learning and development.��(GXFDWLRQDO�3UDFWLFHV�6HULHV��1XPEHU������%UXVVHOV��,QWHUQDWLRQDO�$FDGHP\�RI�(GXFDWLRQ��5HWULHYHG�IURP�ZZZ�LEH�XQHVFR�RUJ�ȴOHDGPLQ�XVHUBXSORDG�3XEOLFDWLRQV�(GXFDWLRQDOB3UDFWLFHV�(G3UDFWLFHVB���SGI
7XFNHU��0����������6tanding on the shoulders of giants: An American agenda for educational reform.�:DVKLQJWRQ��'&��1DWLRQDO�&HQWHU�IRU�(GXFDWLRQ�DQG�WKH�(FRQRP\�
9HVFLR��9���5RVV��'����$GDPV��$����������$�UHYLHZ�RI�WKH�research on the impact of professional learning
communities on teaching practice and student learning.
Teaching and Teacher Education��24�������Ȃ���9LDGHUR��'���������6HSWHPEHU�����:KHUHȇV�WKH�UHVHDUFK�LQ�UDFH�
WR�WKH�WRS"�>%ORJ�SRVW@��5HWULHYHG�IURP�Education Week: Inside School Research�DW�KWWS���EORJV�HGZHHN�RUJ�HGZHHN�LQVLGH�VFKRRO�UHVHDUFK���������ZKHUHVBWKHBUHVHDUFKBLQBWKHBUDF�KWPO
:HLVEHUJ��'���6H[WRQ��6���0XOKHUQ��-����.HHOLQJ��'����������The widget effect: Our national failure to recognize differences in teacher effectiveness��1HZ�<RUN��1HZ�7HDFKHU�3URMHFW�
Richard DuFour speaks with conference attendees.
Richard DuFour
Mike Mattos
Richard DuFour, EdD, was a public school educator for 34 years, serving as a teacher, principal, and
celebrated school in America.”
Dr. DuFour is the author of many books, has written numerous professional articles, and wrote a quarterly column for the Journal of Staff Development for nearly a decade. He was the lead consultant and author of a video series on principalship and the author of several other videos. Dr. DuFour consults with school districts, state departments, and professional organizations throughout North America on strategies for improving schools.
Mike Mattos is an internationally recognized author, presenter, and practitioner who specializes in uniting teachers, administrators, and support staff to transform schools by implementing response to intervention and professional learning communities.
Cultures Built to LastSystemic PLCs at Work™By Richard DuFour and Michael Fullan
next level! Discover a systemwide approach for
continuing momentum.
BKF579 $19.95ISBN 978-1-936764-74-7
Leaders of LearningHow District, School, and Classroom Leaders Improve Student AchievementBy Richard DuFour and Robert J. Marzano
Bestseller leadership, principal leadership, team leadership, and effective teachers can improve student achievement.
BKF455 $24.95ISBN 978-1-935542-66-7
2012 FINALIST
DISTIN
GUISHED ACHIEVEMEN
Taep
Foreword by Richard DuFour
Austin Buffum Mike Mattos Chris Weber
RTI, Professional Learning Communities, and How to Respond When Kids Don’t Learn
Pyramid Response to InterventionRTI, Professional Learning Communities, and How to Respond When Kids Don’t LearnBy Austin Buffum, Mike Mattos, and Chris Weber
Foreword by Richard DuFour
Bestseller Accessible language and compelling K–12
process.
BKF251 $27.95ISBN 978-1-934009-33-8
Simplifying Response to InterventionFour Essential Guiding PrinciplesBy Austin Buffum, Mike Mattos, and Chris Weber
Bestseller how to create an effective model that begins with quality instruction in every classroom.
BKF506 $29.95ISBN 978-1-935543-65-7