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School leadership: preparation, recruitment, and retention of principals
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School leadership: preparation, recruitment, and retention of principals
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Content
Running head: PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 1
SCHOOL LEADERSHIP: PREPARATION, RECRUITMENT,
AND RETENTION OF PRINCIPALS
by
Angela Ardis Salazar
____________________________________________________________________
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
EDUCATION (LEADERSHIP)
May 2020
Copyright 2020 Angela Ardis Salazar
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 2
DEDICATION
This work is dedicated to my amazing husband, Jesús, who has supported me through 29
years of marriage and 37 years of friendship. When I approached him about getting a doctorate
and expressed concern about the burden to our family, he responded without hesitation, “There is
always enough time and money for education.” His wisdom, kindness, humor, and humility are
invaluable assets to our relationship. I could not have obtained this degree nor pursued my career
in educational leadership without him.
This work is also dedicated to my six children, alongside whom I have been attending
school. My oldest daughter, Isabel, inspired me with her positive spirit and tenacious effort, even
when slogging through subzero New York City weather to get to graduate classes. My two
college students, Isaac and Sara, revived my passion for education as I witnessed their curiosity
and fascination for new knowledge. Isaac’s calm nature and spirituality gave me solace during
many late night study sessions. Sara’s upbeat attitude and willingness to help on weekends
allowed me to hide away and write this document. My oldest son, David, with his boisterous
personality and compassion for all living things, infused me with energy. He has been a
surrogate parent to his younger brothers, helping them with homework, monitoring their bedtime
routine, and breaking up their squabbles. Elias and Samuel were extremely understanding when
their father or siblings substituted for me. Their farewell hugs every morning and warm greetings
late at night sustained me through many difficult days. I am fortunate to have such a beautiful
family, and I hope I have inspired them to be life-long learners.
Finally, I thank God for blessing me with the skills and abilities to endure this arduous
program. At times, I had to dig deeply into the reservoirs of my spirit to endure the rigors and
volume of the work. Like a true shepherd, the Lord has carried me along the way.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 3
ACKNOWLEDGMENTS
I thank my dissertation chair, Dr. Michael Escalante, who has coached and advised me
throughout this process. He has also imparted knowledge and wisdom about leadership, com-
munication, and district relationships. I also appreciate the support and expertise of the other
three members of my dissertation committee: Dr. David Cash, Dr. Michelle Doll, and Dr. Owen
Crosby.
I acknowledge the participants of this study, particularly the principals, immediate super-
visors, human resources administrators, and superintendents who generously gave their time to
complete surveys and provide interviews. Their input enriched the data and contributed meaning-
ful insight about school leadership.
I extend appreciation to my mentor and supervisor, Dr. Froilan Mendoza. His flexibility
and reassurance during my journey through the doctoral program have been invaluable. He is a
wise, compassionate, and inspirational leader who is a role model of an effective superintendent.
Also, I thank my colleagues in the BPUSD family for their support.
I acknowledge my fellow students in the Thursday night cohort and Sunday morning dis-
sertation group. I admire their intelligence, effort, and passion for education. They have become
significant acquaintances with whom I hope to cross paths in future endeavors.
Finally, I recognize William Avila and Richard Noblett, my carpool buddies and project
partners, without whom I would not have survived this program. On the first day we promised
each other to “leave no one behind” and they literally kept this vow, often waiting until the last
minute to depart from the district office, dragging me along when I wanted to stay at work and
skip class. I enjoyed our deep dialogues, silly laughter, emotional outbursts, and heartfelt
moments. I thank them for being strong supporters and unflagging friends.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 4
TABLE OF CONTENTS
Dedication 2
Acknowledgments 3
List of Tables 7
Abstract 9
Chapter 1: Introduction 10
Background of the Problem 10
Statement of the Problem 11
Purpose of the Study 12
Research Questions 12
Importance of the Study 12
Assumptions 13
Limitations 13
Delimitations 14
Definition of Terms 14
Organization of the Dissertation 16
Chapter 2: Literature Review 18
Evolution of the Principal Position 18
The Emergence of the Principalship 18
The Principalship Through the 20th Century 20
Preparation 24
University-Based Programs 25
District-Based Programs 28
Nontraditional Programs 29
State Certification and Licensure 32
Recruitment 33
Principal Shortage 34
Developing a Talent Pool 35
Strategies to Attract Principalship Applicants 37
Selection Process 38
Candidate Qualifications 43
Candidate Assessment 44
Retention 45
Areas of Deficit for New Principals 46
Principals’ Perceptions of Gaps in their Preparation 48
Identified Skills of Effective Principals 49
Coaching and Mentoring 52
Professional Development Through Professional Organizations 55
Ongoing Support for the Retention of Principals 57
Theoretical Frameworks 58
Bolman and Deal’s Four Frames 58
Fullan’s Framework for Leadership 60
McREL’s Balanced Leadership Framework 63
Conceptual Framework 66
Figure 1. Conceptual framework for study 67
Conceptual Framework 66
Chapter Summary 68
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 5
Chapter 3: Methodology 69
Research Questions Restated 69
Research Design and Method 70
Qualitative Research 70
Research Team 72
Population and Sample 72
Access and Entry 74
Instrumentation 75
Quantitative Instrumentation 75
Qualitative Instrumentation 76
Data Analysis 78
Credibility and Trustworthiness 78
Ethical Considerations 80
Chapter Summary 80
Chapter 4: Findings 81
Data Analysis 83
Study Participants 83
Qualitative Interview Participants 83
Quantitative Survey Participants 85
Findings for Research Question 1: Preparation 87
University Preparation 87
Opportunities for Leadership Experience 92
Preparation From Mentors 103
Summary of Results for Research Question 1 107
Findings for Research Question 2 108
Exposure and Visibility 108
Networking and Connections 114
Candidate Demonstration of Desired Qualities and Skills 128
Summary of Results for Research Question 2 139
Findings for Research Question 3 140
Obtaining Support 141
Handling the Pressure 154
Summary of Results for Research Question 3 169
Chapter Summary 169
Chapter 5: Discussion, Implications, and Recommendations 172
Purpose of the Study Restated 174
Summary of the Findings 175
Research Question 1 175
Research Question 2 176
Research Question 3 178
Limitations 180
Implications 181
Recommendations for Future Study 182
Conclusion 183
References 185
Appendices
Appendix A Research Participants’ Invitation E-Mail 202
Appendix B Informed Consent 203
Appendix C Principal Survey 204
Appendix D Human Resources Administrator Survey 211
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 6
Appendix E Immediate Supervisor of Principal Survey 215
Appendix F Superintendent Survey 219
Appendix G Principal Interview Guide 223
Appendix H Human Resources Administrator Interview Guide 225
Appendix I Immediate Supervisor of Principal Interview Guide 227
Appendix J Superintendent Interview Guide 229
Appendix K Question Alignment Matrix 231
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 7
LIST OF TABLES
Table 1: Summary of Qualitative Interview Participants and Their Positions 84
Table 2: Summary of Quantitative Survey Participants and Their Positions 86
Table 3: Summary of Responses to Quantitative Survey Items 5, 41, 77, and 130
Regarding University Programs for Preparation 88
Table 4: Summary of Responses to Quantitative Survey Items 6, 42, 78, and 131
Regarding Work Experience Versus University Programs for Preparation 93
Table 5: Summary of Responses to Quantitative Survey Items 13, 49, 85, and 141
Regarding Teacher-Leader Experience for Preparation 95
Table 6: Summary of Responses to Quantitative Survey Items 14, 50, 86, and 142
Regarding Assistant Principal Experience for Preparation 100
Table 7: Summary of Responses to Quantitative Survey Items 10, 46, 82, and 135
Regarding the Importance of Mentors for Preparation 104
Table 8: Summary of Responses to Quantitative Survey Items 30, 66, 102, and 160
Regarding the Importance of Instructional Leadership Experience for
Recruitment 109
Table 9: Summary of Responses to Quantitative Survey Items 25, 61, and 97 Regarding
the Importance of Networking With District Personnel for Recruitment 115
Table 10: Summary of Responses to Quantitative Survey Items 153 and 154 Regarding
the Importance of Networking With District Personnel for Recruitment, by
Applicable In-District and Out-of-District Candidates 116
Table 11: Summary of Responses to Quantitative Survey Items 27, 63, 99, and 156
Regarding the Impact on Recruitment of Being an Employee in the District 117
Table 12: Summary of Responses to Quantitative Survey Items 26, 62, 98, and 155
Regarding the Importance of Mentors for Recruitment 119
Table 13: Summary of Responses to Quantitative Survey Items 16, 52, 88, and 144
Regarding the Importance of District Resources and Strategies for Recruitment 121
Table 14: Summary of Responses to Quantitative Survey Items 24, 60, 96, and 152
Regarding the Importance of Understanding District Initiatives and Goals for
Recruitment 136
Table 15: Summary of Responses to Quantitative Survey Items 36, 72, 108, and 165
Regarding the Importance of Relationships With District Personnel for
Retention 142
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 8
Table 16: Summary of Responses to Quantitative Survey Items 35, 71, 107, and 164
Regarding the Importance of Mentors for Retention. 147
Table 17: Summary of Responses to Quantitative Survey Items 12, 48, 84, and 137
Regarding the Importance of Informal Networks 152
Table 18: Summary of Responses to Quantitative Survey Items 39, 75, 111, and 168
Regarding Pressure From Accountability Measures on Desire for Retention 156
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 9
ABSTRACT
This study examined perceptions held by current principals, immediate supervisors of
principals, human resources administrators, and superintendents regarding the preparation ,
recruitment, and retention of K–12 public school principals. The principalship is an important
position that ultimately affects student achievement. To be effective, principals must undergo the
proper training, understand recruitment strategies, and master the skillsets necessary for retention
and longevity.
A qualitative approach was utilized for data collection and analysis. Data were collected
via surveys and interviews of current principals and district administrators from public school
districts in the counties of Los Angeles, San Bernardino, and Orange. Quantitative data from the
survey respondents and qualitative perspectives from the interview participants served to address
the three research questions and led to emergence of common themes.
The research questions of this study were designed to understand principal preparation,
recruitment, and retention. Principals received preparation through formal programs, on-the-job
training, experience as teacher-leaders or assistant principals, and mentorship. Recruitment was
enhanced by exposure and visibility, networking and connections, and development of desired
qualities and interpersonal skills. Principals increased their likelihood of retention by obtaining
support from supervisors, coaches, and peers and by handling the pressures of the position with
self-care and self-efficacy. The themes of this study have important implications for aspiring and
current principals, as well as district personnel who hire and supervise them. Future research can
include a deeper exploration of principal preparation, recruitment, and retention through case
studies and/or focus groups. Future research could include a qualitative study on effective pro-
fessional development and transformational learning for principals as instructional leaders.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 10
CHAPTER 1: INTRODUCTION
The K–12 principal is the most prominent position at a school site (Leithwood, 1994). As
the primary leader of the school, the principal must oversee the operations, manage personnel,
and navigate change, while also creating a vision and mission that inspires stakeholders to
improve student achievement (Kowalski, Petersen, & Fusarelli, 2007; Waters & Marzano, 2006).
The principal must orchestrate all aspects of the instructional program and foster positive rela-
tionships with all members of the school community (Adams, 1999; Byrd, Slater, & Brooks,
2006; Darling-Hammond, 2003; DuFour & DuFour, 2013). Given the scope of these duties, it is
imperative that aspiring and current principals undergo proper training, understand recruitment
strategies, and master the skillsets necessary for retention and longevity.
This chapter presents an overview of the study, including background information, a
statement of the problem, the research questions, the importance of the study to stakeholders,
limitations, delimitations, assumptions, and definitions of terms.
Background of the Problem
The principalship is a complex and multifaceted position, and many candidates are
unaware of the demands and are unprepared for the reality of the job (Baker, Punswick, & Belt,
2010; Kavanaugh, 2005). Most principal candidates hold necessary certifications but do not have
the comprehensive skillsets that are needed to fulfill the role. In addition, they are not prepared
for the phenomenal workload and the responsibility for every aspect of the school, from opera-
tions to personnel to climate to safety to instruction, often at their own sacrifice of health and
well-being. The stress on school principals has increased over the decades due to continuous
changes in demographics, fast-paced technological development, pervasive compliance
mandates, and insufficient school funding (Fullan, 2014; Hoyle & Wallace, 2005; Marzano,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 11
Waters, & McNulty, 2005; Spillane & Lee, 2014). The pressures of governmental accountability,
high demands, relatively low compensation, and unreasonable time commitments have led many
administrators to leave the profession and have deterred potential candidates from applying
(Norton, 2002).
Due to increased resignations and retirement by principals, there is an apparent shortage
of qualified principals to meet the demand (P. A. Winter, Rinehart, Keedy, & Bjork, 2004). In
addition, the pipeline of aspiring principals with potential for success may be insufficient (L.
Meyer & Feistritzer, 2003; Normore, 2006). Research has shown that 20% of principals leave
their school within the first 2 years, and many school districts report a scarcity of qualified appli-
cants (Pijanowski, Hewitt, & Brady, 2009). To counter this deficiency and increase the stream of
qualified site administrators, further consideration must be given to the preparation, recruitment,
and retention of principals.
Statement of the Problem
The job of the principal has become more complex and challenging, with roles, responsi-
bilities, and expectations continually evolving since the inception of the position in the mid-
1600s (Brubaker & Simon, 1986). Aspiring principals must thoughtfully consider the proper
preparation, recruitment strategies, and skillsets for ongoing retention and success in the posi-
tion. Preparation programs by universities and nonuniversities have aspired to train prospective
principals to be recruited and successful in the position but may have fallen short in their efforts
(Barnett, 2004; Brown, 2011; Davis & Darling-Hammond, 2012; Hess & Kelly, 2007; Jackson &
Kelley, 2002). Support for current principals, including networking, mentoring, and coaching,
has contributed to most principals’ ongoing success in the position (Brown, 2011; Matthews &
Crow, 2003; Service, Dalgic, & Thornton, 2016). However, principal turnover remains high
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 12
(Hull, 2012). These facts signify an overall problem in principal preparation, recruitment, and
retention.
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K–12 school principals. After the quality of classroom instruction, princi-
pal leadership has been identified as the second most important factor that affects student
learning and achievement in schools (Fullan, 2014; Leithwood, Seashore Lewis, Anderson, &
Wahlstrom, 2004). It is important to identify the preparation, skills, and interpersonal capabilities
that principals must have to meet the challenges and complexities of the principalship. In addi-
tion, it is critical to identify the ongoing learning and support that principals need to retain their
positions long enough to have a positive impact on student achievement and school success.
Research Questions
The following research questions guided this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources (HR) administrators, and superintendents regarding strategies to recruit successful
principal candidates?
3. What are the perceived strategies that support the retention of principals?
Importance of the Study
This study should serve to inform multiple stakeholders. Aspiring principals will learn
about preparation programs, recruitment strategies, and the skills, behaviors and best practices of
effective school leaders, thus improving their chances of gaining and retaining a principalship.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 13
Superintendents and HR administrators will be informed of strategies to recruit better candidates
for the principalship, which may influence their hiring practices. Immediate supervisors of prin-
cipals will be informed about methods to train and mentor their principals, which may improve
their performance and retention. Current principals will be informed about how to balance the
challenges of the position and how to enhance their effectiveness as school leaders so they can
ensure longevity in their positions. University and nonuniversity programs will be informed of
the impact of their principal preparation programs, which could lead to evaluation and modifica-
tion of their standards and requirements. Organizations such as the Association of California
School Administrators (ACSA) may be affected by the results of this study regarding their influ-
ence on principal preparation, recruitment, and retention.
Assumptions
The results of this study were based on the assumption that effective principals are
persons who have retained their positions for at least 3 years. It was assumed that all participants
would complete the surveys and respond to the interview questions honestly and candidly, based
on their own experiences and assured that anonymity and confidentiality were preserved. It was
assumed that participants had a sincere interest in participating in the study and did not have any
ulterior motives. It was assumed that test scores from the state accountability system were accu-
rate indicators of student achievement and school success.
Limitations
Although measures were taken to ensure the reliability and validity of this study, some
limitations were acknowledged. One limitation was that the census of California K–12 school
principals could not be sampled. The results of the study were limited to the voluntary survey
responses by participants. Participants were selected for interviews based on meeting inclusion
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 14
criteria. The validity of the study was dependent on the reliability of the survey and interview
instruments. The study was constrained by location and by time and resources available to
collect data, all of which may have reduced generalizability.
Delimitations
This study sampled what the researchers determined to be effective principals; those who
were not identified as effective were not surveyed. The study also sampled immediate super-
visors of principals, HR administrators, and superintendents but not other types of district
administrators. Although the research team collected purposive sample data, a delimitation of the
study was that the team recruited only a convenience sample from California K–12 principals,
immediate supervisors of principals, HR administrators, and superintendents. The survey
included only close-ended Likert-type scale responses, rather than open-ended responses, which
might have drawn additional information.
Definition of Terms
For the purpose of this study, the following operational terms are defined based on the
reviewed literature.
Association of California School Administrators (ACSA): The largest umbrella organiza-
tion for school leaders in the United States, serving more than 17,000 California educators
(ACSA, 2018).
Beginning or novice principal: A principal who has been in the principalship for less than
2 years.
Change agent: A leader who challenges the status quo (Marzano et al., 2005).
Coaching: A task-oriented, performance-driven relationship with a focus on increasing
specific skills.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 15
Colleagues: Peers who work in the same profession and are at the same level in their job.
Contest mobility: Upward movement in which individuals must apply competitively for
vacancies to be hired through fair and open procedures.
Direct or immediate supervisor: A district office administrator who oversees the evalua-
tion and mentoring of a site principal.
Effective principal: A school leader who has retained his or her position at one school for
at least 3 years.
Human resources personnel: Those who work in the HR department of a school district
and oversee hiring practices.
Mentee: Person who is the “learner” in the mentoring relationship (Kerka, 1998).
Mentor: Person who holds experience and knowledge and works with others to develop
their skills (Cohen, 1995).
Mentoring: A relationship in which an experienced person provides guidance and support
to a less experienced person (Haney, 1997).
Preparation programs: A university, professional organization, or embedded training
program that supports a principal candidate in obtaining the skills necessary for the principalship.
Principal: Person whose main responsibility is to serve as the educational and instruc-
tional leader of the school (Brayfield, Wells, & Strate, 1957; Waters, Marzano, & McNulty,
2003).
Principal recruitment: The process or strategies used by an aspiring principal to obtain
the first principalship; the process or strategies used by a school district to obtain and select can-
didates for a principalship.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 16
Principal retention: The process or strategies used by a principal or district personnel to
support maintaining their employment in the position.
Principalship: The office or position of presiding rank over an elementary school,
middle/junior high school, or high school.
Purposive sampling: Selection of participants based on specific characteristics.
School district: A local education agency that operates schools in a geographic location.
Sponsored mobility: Upward movement in which informal processes such as tapping and
mentoring put a candidate on the fast track to be hired.
Student achievement: Student performance on state assessments.
Superintendent: The administrator or manager in charge of multiple schools within a
school district.
Tapping: Informal recruitment in which a district or site administrator identifies potential
leaders, gives them leadership opportunities, and encourages them to apply for positions.
Organization of the Dissertation
This study is organized into five chapters. Chapter 1 presents an overview of the study,
including background information, a statement of the problem, the research questions, the
importance of the study to stakeholders, limitations, delimitations, assumptions, and definitions
of terms. Chapter 2 presents a review of the available literature relevant to the preparation,
recruitment, and retention of school principals. The chapter also identifies the theoretical and
conceptual frameworks that served as lenses through which the study was reviewed. Chapter 3
presents the methodology for the study, including the research design, the population and
sample, the instrumentation, the data collection procedures, and the data analysis process.
Chapter 4 reports the results of the study and explains how they addressed the research questions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 17
Chapter 5 presents an analysis of the data and a discussion of the findings, including conclusions,
implications, and recommendations for further research related to the preparation, recruitment,
and retention of school principals.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 18
CHAPTER 2: LITERATURE REVIEW
The American principalship has changed from its beginning as a schoolmaster in the
1600s to the modern day school leader of the 21st century. Through the years, the position has
evolved from a one-dimensional role of lead teacher to a multifaceted position of instructional
leader. This chapter presents a review of the relevant literature and the context for the purpose of
this study. It is organized with information related to the history of the principalship and research
on strategies for the preparation, recruitment, and retention of principals. Theoretical and con-
ceptual frameworks are presented.
Evolution of the Principal Position
The Emergence of the Principalship
In 1647, Massachusetts enacted the first school law in the colonies, stating that a town
with 50 or more families must have an elementary school and a town of 100 or more families
must create a Latin grammar school (Brubaker & Simon, 1986). Special committees of town
councils, called school boards, helped to manage the schools. A schoolmaster taught reading and
writing in a one-room schoolhouse. In schools where more than one teacher was needed due to
higher student numbers, one of the teachers was assigned to serve as headmaster. While the main
function was teaching, usually at the highest grade level, the headmaster also monitored students,
teachers, and classroom procedures; performed clerical and janitorial tasks; and implemented
board policies (Brubaker & Simon, 1986).
As schools expanded beyond one room, various structures were developed. The
Lancasterian System (Pierce, 1935) was a monitorial system in which the head teacher occupied
a large hall, preserved order during study hours, and instructed one or two classes. The “Double-
Headed School” (Pierce, 1935) was a system in a two-story building where grammar masters
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 19
taught reading, grammar, geography, and other subjects upstairs and writing masters taught
writing downstairs. The two groups of students switched places between morning and afternoon,
and the masters divided authority within the building.
Between 1747 and 1850, these configurations of the school leader morphed into the posi-
tion of principal-teacher, a full-time teacher who handled routine clerical duties and provided
onsite supervision. While principal-teachers still taught classes, they also managed the complex-
ities of an expanding, multigraded school system. They acted as supervisor of grades, kept
attendance records, acquired and distributed supplies and equipment, scheduled classes and the
school day, maintained the building, communicated with adults in the community, and served as
the intermediary between teachers and the board (Brubaker & Simon, 1986; Kavanaugh, 2005).
While no special training was required, teachers who exhibited efficiency with routine clerical
tasks and a willingness to follow commands of the school board rose to these positions
(Brubaker & Simon, 1986; Kavanaugh, 2005).
From 1850 to 1920, several factors contributed to the emergence of the principalship as a
nonteaching position. In particular, there was population growth in cities due to immigration and
urbanization (Kavanaugh, 2005). Proponents of the Common Schools Movement, from the
1830s to 1860s, urged creation of public schools to maintain social order, build nationalism,
shape good citizens, reform society, and stimulate economic growth (Brown, 2011). With the
expansion of school enrollment and mutligrade levels, the teaching duties of the principal-
teacher were removed. According to a mid-1800s study in Providence, Rhode Island, regarding a
principal’s administrative duties, 58.8% was clerical, 23.5% was related to organization of the
school, 11.8% involved care of the school plant, and 5.9% dealt with pupil personnel, especially
matters of discipline (Brubaker & Simon, 1986).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 20
At the turn of the 20th century, the principal as a general manager, a supervisor of teach-
ers, and an official liaison between the school and the central office became the norm. Pierce’s
1935 study of principals identified supervisory duties that included class observation, individual
conferences with teachers, testing and measuring, demonstration teaching, pupil study and
adjustment, and teachers’ meetings. Pierce (1935) also identified other duties, such as suspend-
ing students and preventing truancy, giving and enforcing orders to teachers, assuming
responsibility to hire teachers, and involving citizens in expansion of curriculum.
The Principalship Through the 20th Century
Beck and Murphy (1993) developed metaphors for the principal’s role in each decade
from the 1920s to the 1980s. This section provides a synopsis of these metaphors and the themes
and values of the position in each decade.
The principal as spiritual and social leader. The 1920s brought further centralization,
consolidation, and restructuring of schools. In tandem with the Progressive Movement of the
1920s, the principalship was imbued with moral earnestness and a sense of mission (Brown,
2011). As Cubberley (1923) described, the principal was like “a priest leading a parish” (p. 26).
The principal was a social leader, expected to be actively involved in the community and make
social contacts (Kavanaugh, 2005). He also utilized an egalitarian style when monitoring teach-
ers and helping them to use effective strategies.
The principal as scientific manager. With the prevalence of industrialization and the
emergence of corporations, the principal finally gained status as a professional (Brown, 2011).
By 1932, nearly half of the states had adopted certification standards and organizations devel-
oped principal preparation programs with a focus on research (Brown, 2011). The principal was
seen as a scientific manager, schools were factories, and the students were the raw materials
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 21
(Knott & Miller, 1987). In 1933, Seattle’s superintendent described the principal’s efficiency as a
“well lubricated, frictionless operation of the machinery” (McClure & Almack, 1933, p. 119). As
an executive, the principal focused on administrative tasks, such as budgeting and facilities
upkeep, using business principles (Beck & Murphy, 1993).
The principal as democratic leader. The 1940s brought a shift in the principalship that
coincided with the sweeping developments in U.S. history. “The Depression, the New Deal that
was undertaken to conquer it, and the Great War to free the world for democracy all brought an
end to unbridled infatuation with the titans of business and with capitalistic-industrial values”
(Murphy, 1992, p. 26). This disillusionment with corporate values prompted a shift in the role of
the principal as well. No longer a business executive, the principal became a democratic leader
focused on human relations (Kavanaugh, 2005). As a leader on the home front, the principal
helped to prepare youth for productive living and their place in society. In this democratic
setting, the principal acted as a coordinator, promoting cooperative work and sharing decision
making with teachers (Beck & Murphy, 1993). With the increase in state certification require-
ments, some principals sought higher degrees.
The principal as theory-guided administrator. During the 1950s, the principalship
encompassed a synthesis of the two previous decades, entailing both scientific management and
human relations. The space race against the Soviet Union inspired a need for increased science
education, which in turn led to federal funds for updated facilities, recruitment of teachers, and
development of materials in content areas (Brown, 2011). The principal managed the tasks and
operations of the school with efficiency and delegation. He also used research and data to
support teaching strategies (Kavanaugh, 2005). However, during this decade, the principal also
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 22
continued his role as a facilitator and counselor, fostering relationships with parents, community
members, and teachers (Brown, 2011).
The principal as bureaucratic executive. The scientific management of the 1950s con-
tinued during the 1960s, and the principal rose in bureaucratic power in the schools (Kavanaugh,
2005). Adding to the bureaucracy was his responsibility to numerous groups, such as district
personnel, teachers, parents, and community members. There was a technical and scientific
approach, with evaluations based on measurable outcomes (Beck & Murphy, 1993). However,
the turbulence of the 1960s also led reformers to challenge the status quo and the hierarchical
machine. The Civil Rights Movement and cases such as Brown v. Board of Education spurred a
demand for equality and fairness, and schools were expected to correct inequities such as segre-
gation and financial disparity (Brown, 2011). The federal government increased its role in edu-
cation, providing funding for several special populations through regulations such as the
Bilingual Education Act of 1968 and Title I of the Elementary and Secondary Education Act of
1965. Principals had the added responsibility to monitor compliance for these programs.
The principal as humanistic facilitator. During the 1970s, schools continued to be
society’s answer to social woes. “The growth of social problems in the 1970s, such as racial
tension, substance abuse, and teen pregnancy, required principals to provide a wide variety of
remedies that turned their primary attention away from academic leadership” (Brown, 2011,
p. 18). The principal wore many hats and juggled the demands of various stakeholder groups. He
was expected to be a team player, rather than the boss, who developed mutual respect with
teachers. As a facilitator of positive relationships, the principal had to relate well with others,
leading students, teachers, and the community to meaningful learning experiences (Brown,
2011). During the 1970s, teachers’ unions were very active and the principal became more
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 23
politically skilled in dealing with labor negotiations (Brown, 2011). These demanding roles also
increased the level of accountability expected of a principal.
The principal as instructional leader. During the 1980s, the emphasis on instructional
leadership came to the top of the principal’s responsibility. In 1983, publication of A Nation at
Risk by the National Commission on Excellence in Education (1983) led to a period of extensive
school reforms from a top-down approach to tighten educational standards, strengthen profes-
sional certification requirements, and increase accountability (Brown, 2011). The principal had
to be a change agent who carried a vision and developed a plan to solve problems and ensure
school effectiveness. He was expected to be directly involved in the teaching and learning
process, to increase student achievement, and to provide resources and professional development
(Kavanaugh, 2005).
Beck and Murphy’s (1993) metaphors of the principal stopped at the 1980s. However,
based on a similar construct, metaphors for the remaining decades illustrate the principalship at
the end of the 20th century and during the first 2 decades of the 21st century.
The principal as servant leader. In the 1990s, there was a second wave of reforms,
called the restructuring stage, that used a bottom-up approach, empowering teachers to initiate
change and school improvement (Brown, 2011). In this setting, the principal employed the
concept of distributive leadership or “leading from the center” by gaining input from many
groups before making decisions (Murphy, 1994). In the midst of increased pressure regarding
standards, testing, and accountability, the principalship experienced a loss of authority and a
decrease in positional power (Brown, 2011). Instead of being a top-down manager, the principal
was expected to be a servant leader who promoted collegiality, experimentation, reflection, and
capacity building (Brown, 2011). The position experienced role overload as the principal was
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 24
expected to be an organizational architect, a social architect, and a moral agent in the community
(Brown, 2011).
The principal as facilitator of a learning community. According to Copland (2001),
school leaders of the 21st century are expected to be “superprincipals.” The principal must carry
the responsibility of every aspect of the school, from operations to personnel management to
safety to school climate to instruction, often at the sacrifice of his or her health and well-being.
In addition to being first-rate instructional leaders, principals are being exhorted to be
highly skilled building managers, outstanding HR directors, and competent negotiators. They are
expected to be change agents and problem solvers who provide visionary leadership, moral lead-
ership, and cultural leadership while practicing transformational leadership, collaborative leader-
ship, servant leadership, and distributive leadership (Brown, 2011).
In this age of accountability, principals must monitor compliance with standards and
ensure high academic performance on state tests by all subgroups. The principal must be the
facilitator of a learning community in which teachers comply with all standards, differentiate
instruction, and increase achievement by all learners, regardless of race or socioeconomic status.
Preparation
In the early decades of the principalship, there were very few training requirements; how-
ever, as the position evolved and became more complex, states began to regulate licensure and
require specific training. While some states have highly regulated requirements, others have set
lower entry standards to attract persons from nontraditional backgrounds (D. Clark, Martorell, &
Rockoff, 2009). Policy and institutional leaders have developed a variety of systems designed to
prepare educational leaders to serve in a climate rife with district, state, and federal mandates
(Hale & Moorman, 2003). The paths that individuals take for principal preparation vary greatly
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 25
but can be categorized into three main types: university-based programs, district-based programs,
and nontraditional programs.
University-Based Programs
Many universities claim to prepare highly qualified leaders for the principalship. How-
ever, as the position evolved to include more social and political responsibilities, many prepara-
tion programs did not anticipate or meet the challenges of these changes. A 2001 Public Agenda
survey of school administrators reported negative perceptions about the adequacy of preparation
from preservice programs (Farkas, Johnson, Duffett, & Foleno, 2001). The analysis found that
80% of superintendents and 69% of principals agreed that the typical university preservice
programs were “out of touch with the realities of what it takes to run today’s school district”
(Farkas et al., 2001, p. 31).
In 2007, Hess and Kelly conducted a study to determine whether university preparation
programs were equipping leaders with the necessary knowledge and skills to lead America’s
schools. They collected 210 syllabi from 31 programs and analyzed the instructional content of
the 2,424 course weeks. The data indicated that less than 5% of the weeks included strategies for
improving schools through empirical research, data, or technology. Only 2% of the course weeks
covered accountability for school improvement (Hess & Kelly, 2007). This evidence suggested
that universities were unaware of the complex demands of the principalship in an age of
accountability to multiple stakeholders. In fact, 96% of current principals said that their on-the-
job experience and interactions with colleagues had a greater impact on their growth as leaders
than had their preparation programs (Hess & Kelly, 2007).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 26
In 2016, the Wallace Foundation published a report about the general perceptions of uni-
versity programs and identified five common themes regarding concerns about principal prepa-
ration.
1. District leaders are largely dissatisfied with the quality of principal preparation
programs, and many universities believe that their programs have room for improve-
ment.
2. Strong university-district partnerships are essential to high-quality preparation but are
far from universal.
3. The course of study at preparation programs does not always reflect principals’ real
jobs.
4. Some university policies and practices can hinder change.
5. States have authority to play a role in improving principal preparation, but many are
not using this power as effectively as possible. (Mendels, 2016b, p. 5)
The publication urged policy makers to demand that universities upgrade their programs. In par-
ticular, universities should use research and high-quality models to redesign principal preparation
programs. They should also establish stronger connections with districts and allow them a greater
voice in program offerings that will address the challenges in their schools (Mendels, 2016b).
Best practice suggests that on-the-job training should coincide closely with coursework
(Darling-Hammond, LaPointe, Meyerson, Orr, & Cohen, 2007). This aligns with research that
suggests that adults learn best when presented with authentic situations with which to develop
skills and apply knowledge (Drago-Severson, 2004; Gregory & Kuzmich, 2007).
Many university programs are not doing enough to help future principals in their roles
(Hale & Moorman, 2003; Korach & Sanders, 2012). Research indicates that, for university
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 27
programs to be more effective, they must offer coursework regarding the changing responsibili-
ties of the principalship, provide practical application opportunities, and include mandatory field
experience (Barnett, 2004; Brown, 2011; Hess & Kelly, 2007; Service et al., 2016; Styron,
Ronald, & LeMire, 2011). According to several studies conducted by Darling-Hammond and
colleagues, preparation programs must contain specific components in order to develop the
capacity of school site leaders (Darling-Hammond, Orphanos, LaPointe, & Weeks, 2007; Davis
& Darling-Hammond, 2012; Davis, Darling-Hammond, LaPointe, & Meyerson, 2005). Effective
leadership programs contain seven key features.
1. Clear focus and values about leadership and learning around which the program is
coherently organized,
2. Standards-based curriculum emphasizing instructional leadership, organizational
development, and change management,
3. Field-based internships with skilled supervision,
4. Cohort groups that create opportunities for collaboration and teamwork in practice-
oriented situations,
5. Active instructional strategies that link theory and practices, such as problem based
learning,
6. Rigorous recruitment and selection of both candidates and faculty, and
7. Strong partnerships with schools and districts to support quality field-based learning.
(Davis et al., 2005, pp. 25-26)
State and local leaders must develop policies that would make high-quality programs
commonplace rather than anomalies. University preparation programs must shift from a focus on
producing operational managers to a mission of creating instructional leaders who can meet state
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 28
and district accountability measures (Hale & Moorman, 2003; Pannell, Haynes, Davis, &
Skelton, 2016). While the task may seem daunting, the collaborative effort will reap benefits
when a new generation of school leaders emerges with the skillsets necessary to lead schools that
provide expert instruction in an effective learning environment where all students can succeed
(Darling-Hammond, LaPointe, et al., 2007).
District-Based Programs
To ensure that preparation programs include experiential learning, many school districts
create partnerships with universities, allowing the districts to focus on specific leadership issues
that are prevalent at their school sites (Browne-Ferrigno & Muth, 2008). For example, Delta
State University entered a partnership with districts in the Mississippi delta region to create a
cohort program for promising future leaders. Participants served year-long paid internships under
mentor principals while concurrently completing coursework, and they committed to employ-
ment in the district after completion of the program (Hale & Moorman, 2003). In that same vein,
San Francisco Bay area school districts have associated with the University of California,
Berkeley’s Principal Leadership Institute to ensure that their participants have a strong link
between university coursework and practical fieldwork in an inner-city setting (Hale & Moor-
man, 2003). Another example is the partnership between Pomona Unified School District and the
Great Leaders for Great Schools Academy at California State Polytechnic University, Pomona.
The program includes a real-world, problem-based curriculum, fieldwork activities that align to
school change initiatives, and in-depth examinations of administrator competencies set forth in
the credential standards (California State Polytechnic University, Educational Leadership
Department, 2019).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 29
University-district partnerships have been beneficial because they provide practical cur-
riculum and real-life experiences that are aligned with the specific needs of the district (Hess &
Kelly, 2005). In many cases, the relationships have flourished and the outcomes have been very
fruitful. A district official from the Charlotte-Mecklenburg Schools in North Carolina provided
testimony about their partnership with Winthrop University’s 2-year program called Leaders for
Tomorrow:
We feel we’ve been advantaged by having a program . . . tailored specifically to our
strategic plan, where we have contracted with the School of Education and said . . . .
“We’re going to be partners in the selection of the cohort. We’re going to be faculty
along with you, adjunct faculty. You’re going to align everything to the strategic plan of
the district.” And what we’ve seen happen, we’ve had three cohorts come out that are
extraordinarily prepared to be principals, many of them totally jumping over the AP role
and going directly into the principalship. (Turnbull, Riley, Arcaira, Anderson, &
MacFarlane, 2013, p. 15)
District-university partnership programs create a pipeline for school districts to develop and
recruit future administrators from within the organization (Hess & Kelly, 2005).
Nontraditional Programs
Dissatisfaction with traditional principal preparation programs has sparked the creation of
alternative programs to address the current reality faced by principals (Hess & Kelly, 2005).
Many nontraditional training programs claim to deliver the best preparation for principals for
their demanding role in a school. A growing number of principal candidates are departing from
the traditional education department programs in favor of these alternate routes of principal
preparation (Zubnzycki, 2013).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 30
University programs from departments other than colleges of education. The
knowledge needed to serve as a school principal goes beyond the field of education to include
other fields of study, such as economics, HR, and management. Yet many schools of education
do not provide their principal candidates with essential management skills such as making data-
driven decisions and thinking systemically for transformative improvement (Woodrow Wilson
National Fellowship Foundation, n.d.). A better alternative would be to offer aspiring principals
a program based on sound business fundamentals with skills in implementing organizational
change (Indiana University, Kelly School of Business, 2019). The increased complexity of the
principalship has created a need to give principal candidates training in skills from leadership
experts other than those in the typical university school of education.
In response, several universities have developed cross-college collaboration programs to
train future school leaders. The University of Arkansas houses its principal preparation program
within the Graduate School of Management, Leadership, and Administration. The program is
grounded on leadership theories related to the management of large organizations (Hale &
Moorman, 2003). In Rutgers University’s public administration program, students can select an
Educational Policy and Leadership strand. It involves a 3-year program concentrated on policy
analysis, as well as leadership and communication skills, within the context of school reform
(Hale & Moorman, 2003). At completion of the program, candidates earn a master’s degree in
Public Administration and state certification to be a school administrator.
Programs that fuse education and management are sometimes funded by foundations. For
example in 2012, the Woodrow Wilson Foundation began to collaborate with universities to
offer the Woodrow Wilson MBA Fellowship in Education Leadership. Its intent was to prepare
prospective principals with more than educational leadership skills. Arthur Levine, the President
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 31
of the Woodrow Wilson Foundation, criticized university education programs: “By and large
what we found was the programs have very little to do with what principals actually do. They
have very little connection with practice and with the kinds of skills and knowledge principals
need to have” (as cited in Elliot, 2013, para. 6). The Woodrow Wilson National Fellowship
Foundation (n.d.) provides $33,000 scholarships to cover tuition for a Master of Business
Administration (MBA) degree program at a collaborating university. For example, the former
program at the University of Indianapolis involved coursework over two summers and executive
mentoring for 3 years. It also required students to earn a green belt in Six Sigma, a management
methodology that helps to reduce errors and defects in business processes and helps to improve
staff morale and product quality (Council for Six Sigma Certification, 2018). The current
program at Indiana State University not only requires courses in leadership and school improve-
ment; it also includes courses in accounting, marketing, and workforce management (Indiana
State University, 2015). The Woodrow Wilson Foundation has retained a third-party evaluator to
measure the effectiveness of its fellows based on student test scores and graduation rates in their
schools (Woodrow Wilson National Fellowship Foundation, n.d.).
Nonprofit providers. To attract new talent into the principalship, nonprofit providers
have developed programs that identify and train candidates from beyond the field of education
(Hale & Moorman, 2003). The New Leaders for New Schools (NLNS) program provides a non-
traditional path into urban school principalships by recruiting candidates from diverse back-
grounds and a variety of work experiences (Hale & Moorman, 2003; Hess & Kelly, 2005).
NLNS provides a 6-week workshop taught by both education and business school faculty with a
focus on instructional leadership, organizational leadership, and transformational leadership
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 32
(Hess & Kelly, 2005). Due to collaboration with two universities, participants can acquire certi-
fication and attain a position while receiving ongoing induction training and support.
The Knowledge is Power Program (KIPP) Leadership Academy trains candidates from
diverse professional backgrounds, primarily to become principals of KIPP charter schools. The
program includes a fellowship year of coursework, rotating internships, and a KIPP education
boot camp. Unlike NLNS, KIPP participants bypass the state licensure process, since they will
be assigned to KIPP charter schools, which do not require certification (Hess & Kelly, 2005).
Nontraditional providers often place their candidates in charter schools and private
schools to avoid the requirement for state certification. This creates limitations for their partici-
pants, who will not be certified for future employment in the public school system. Some organi-
zations have acquiesced, creating partnerships with universities so their candidates can obtain
certification (Hale & Moorman, 2003; Hess & Kelly, 2005). In conforming to certification
guidelines, they often sacrifice the innovative aspects of their programs that differentiate them
from traditional university programs. Hess and Kelly (2005) concluded that, rather than create
drastic reform of preparation for principals, most alternative programs just shuffle courses, tweak
delivery, add intern hours, or rebrand themselves, without leading to substantive change that
would address the demands of 21st-century school leadership.
State Certification and Licensure
Guidelines for principal certification and licensure vary by state. By 2005, more than 41
states had adopted or aligned their own standards to those of the Interstate School Leaders Licen-
sure Consortium (ISLLC; Fry, O’Neill, & Bottoms, 2006). However, the requirements for certi-
fication, preparation, and practice vary widely across the country (Darling-Hammond, Orphanos,
et al., 2007). Some states have not completely aligned the ISLLC standards with their
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 33
expectations for preparation programs, their requirements of licensure, or their criteria for
principal evaluation (Davis, 2010).
In most states, minimal requirements include a teaching credential, a master’s degree
from an accredited university, and in many cases, classroom experience. Many states also have
examinations or required programs as a prerequisite to certification. While most candidates
attend a formal program to obtain a preliminary administrative services credential, in California,
they have the option to take the California Preliminary Administrative Credential Examination
(CPACE) in lieu of course work, thus testing out of a preservice program so long as they hold a
master’s degree in education. Many states have authorized this approach as a way to remove pre-
requisite barriers that limit the pool of talented candidates (D. Clark et al., 2009). This shortcut
can be detrimental to the preparation of aspiring principals because they do not receive formal
instruction or fieldwork related to key aspects of school leadership such as budgeting, HR, and
instructional leadership (D. Clark et al., 2009).
In California, the CCTC requires principals to possess a Preliminary Administrative
Services Credential. Whether licensure is obtained via coursework or examination, candidates
receive a Certificate of Eligibility that is not activated until they have their first administrative
position. Once the certificate is activated, the candidate has 5 years in which to earn a Clear
Administrative Services Credential (CCTC, 2017). Most Tier 2 programs include seminars,
fieldwork, and on-the-job mentoring that provide a support system for the newly hired principal.
Recruitment
Researchers have discovered that school leadership is second only to classroom instruc-
tion regarding impact on student achievement (Leithwood et al., 2004; Marzano et al., 2005).
Principals must become leaders of learning who support teachers and ensure that they deliver
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 34
effective instruction (Harvey, Holland, & Cummins, 2013). Principals must maintain a positive
workplace for employees and cultivate a vibrant learning environment for students (Davis et al.,
2005). Given the essential role that school principals serve in the success of schools, it is imper-
ative that districts strategically recruit and select strong candidates.
Principal Shortage
One factor adding to the shortage of principals is the high turnover rate. For example, in
2011-2012, 1 of every 5 principals left his or her school after only 1 year in the position (Hill,
Ottem, & DeRoche, 2016). In addition, 1 of every 2 principals is not retained beyond the 3rd
year of leading a school (Beach, 2010; Clifford & Chiang, 2016; Doyle & Locke, 2014;
Mendels, 2016a, 2016b; Turnbull, Anderson, Riley, MacFarlane, & Aladjem, 2016). Many prin-
cipals are retiring, transferring schools, or pursuing new opportunities, which creates more
vacancies that are difficult to fill with qualified candidates (Turnbull et al., 2016). In the past few
decades, there has been concern about a shortage of principal candidates due to the high number
of Baby Boomer retirees, frequent turnover, and the challenging demands of the job (P. A.
Winter et al., 2004). An increasing number of school districts in the United States are reporting
principal vacancies with insufficient qualified applicants available to fill them (Beach, 2010;
Clifford & Chiang, 2016; Doyle & Locke, 2014; Mendels, 2016a, 2016b).
Due to population growth from birth rates and immigration, by 2022, the need for school
principals at all levels will grow 6% nationwide (Ferris & Raley, 2016). Districts will have to
increase their investment in recruitment to meet this demand for principals. Annually, it can cost
from $36,850 to $303,000 to recruit, hire, mentor, and continue training principals, with the typi-
cal urban school district spending about $75,000 per principal (National Association of
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 35
Secondary School Principals [NASSP], 2016). Districts will have to budget sufficient funds to
recruit high-quality candidates (NASSP, 2016).
Developing a Talent Pool
Some research indicates that there are enough people completing administrative creden-
tialing programs to fill the number of vacancies in the United States (Lankford, O’Connell, &
Wyckoff, 2003; Pounder, Galvin, & Shepherd, 2003; P. A. Winter et al., 2004, Young et al.,
2018). Some contend that the real issue is that many educators who obtain administrative cre-
dentials decide not to apply for positions (Browne-Ferrigno & Muth, 2008; DiPaola &
Tschannen-Moran, 2003). Given these circumstances, districts have considered multiple ways to
identify, mold, and prepare candidates from within, encouraging them to apply for administrative
positions. Turner (1960) distinguished two forms of upward movement for potential leaders:
contest mobility and sponsored mobility. In contest mobility, individuals must apply competi-
tively for vacancies and “every candidate has an equal chance to attain a position through fair
and open procedures and each candidate’s success depends on his or her merits” (Myung, Loeb,
& Horng, 2011, p. 698). In contrast, sponsored mobility involves informal processes in which
“teachers are recruited early for the ‘fast track’ to leadership by current leaders based on criteria
they wish to see in their peers” (Myung et al., 2011, p. 698). One informal approach, tapping,
and one formal method, district-run aspiring administrator programs, are frequently used to
develop and recruit future school leaders from within their ranks.
Tapping and grooming. Tapping occurs when district and site administrators identify
teacher-leaders, provide them with opportunities to gain experience, and encourage them to
apply for principal positions (Myung et al., 2011). Myung et al. (2011) conducted a survey of
312 principals and 583 assistant principals in Florida. Ninety-three percent of the principals and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 36
89% of the assistant principals stated that they had been encouraged by at least one individual,
such as another teacher, administrator, or parent, to become a principal (Myung et al., 2011).
Seventy-two percent of the principals and 52% of the assistant principals indicated that they had
been tapped specifically by a former principal (Myung et al., 2011). Being tapped by one’s prin-
cipal carried significant weight because the principal was in the best position to identify strong
candidates. Not only did the principal have a good understanding of the complexity of the job,
but also he or she had daily interactions with teacher-leaders to determine who had the best
potential and skillsets to fill the position successfully (Myung et al., 2011). Principals tended to
give potential administrators more leadership opportunities, such as grade-level or department
lead, committee chair, new teacher mentor, and professional development provider (Myung et
al., 2011). When a teacher held a position on the school’s leadership team, it increased the likeli-
hood of being tapped by more than three times (Myung et al., 2011).
Offering district-run aspiring administrator programs. Some districts have formal-
ized their development of potential candidates by offering programs for aspiring administrators.
Some programs, such as Los Angeles Unified School District’s (LAUSD) Aspiring Principals
Program and Aspiring Assistant Principals Program, consist of monthly sessions that expose
certificated personnel to operational and instructional aspects of running a school (LAUSD, n.d.).
Other programs, such as New York City’s Advanced Leadership Program for Aspiring Princi-
pals, are more intensive and include week-long summer institutes, monthly seminars, mentor
matches, and field experiences (Council of School Supervisors & Administrators Executive
Leadership Institute, 2018). These programs allow district decision makers to know and observe
candidates over a long period of time. The district goal is “to get the opportunity to see folks who
have potential, to cultivate them, so that they become school leaders they can match to the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 37
school” (Turnbull et al., 2013, p. 9). Such familiarization improves the selection process for their
districts.
Sponsored mobility allows a district to build its own talent pool. Sponsored mobility is a
form of succession planning in which districts groom teacher-leaders by providing developmen-
tal opportunities to gain the skills and experiences that prepare them for future administrative
positions (Leibman, Bruer, & Maki, 1996; Myung et al., 2011). To expand their applicant pool
with quality candidates, districts should tap teacher-leaders who have the desire and skills to
become site administrators (Browne-Ferrigno & Muth, 2008). An added advantage of succession
planning is that internal promotions have higher retention rates than external hires (New Schools
Venture Fund, 2008).
Strategies to Attract Principalship Applicants
Regardless of the existence of internal candidates, most districts advertise vacancies to
attract external applicants. A survey of superintendents was conducted in Arkansas, asking for
the superintendents’ perceptions of the principal shortage and what strategies they use to entice
applicants (Pijanowski et al., 2009). The researchers recommended five actions that districts
could take to attract highly qualified candidates (Pijanowski et al., 2009):
1. Identify employees who already have an administrative credential yet do not apply for
positions, persuade them to reconsider applying for principalships, and provide them leadership
opportunities to gain experience that will prepare them for a future position.
2. Maintain positive relationships with institutes of higher education that have quality
administrative programs so as to recruit potential applicants from their graduates and alumni.
3. Minimize the paperwork, emails and other operational tasks that consume too much
time, distracting the principal from the role of instructional leader.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 38
4. Hire less experienced applicants and provide on-the-job training, knowing that it would
be an investment in a leader who is not close to retirement.
5. Encourage teacher-leaders to continue assuming leadership roles so that they will have
a wealth of experience that will enhance their application and readiness for administrative posi-
tions.
According to the superintendents in that study, more than half of the candidates who
applied for principalships did not meet the qualifications for the position (Pijanowski et al.,
2009). Implementing some of the actions mentioned above could increase the quantity and qual-
ity of the candidate pool.
Since principals are the driving force behind the success of their schools, it is critical that
districts select the best candidates for the position. Yet, many districts fail to create job adver-
tisements that elicit the strongest applicants. A 2016 analysis of job postings for seven states
illustrated a mismatch between what experts said the job entailed and what districts indicated on
the job flyer (Richardson, Watts, Hollis, & McLeod, 2016). In fact, most job postings for the
principalship were similar to those that were used decades ago. For example, only one in six of
the postings requested technology-related expertise (DiPaola & Tschannen-Moran, 2003). This
misalignment could hinder a district’s ability to attract the most qualified candidates.
Selection Process
Another challenge of recruitment relates to the principal selection process. Two studies,
conducted in Australia and Hong Kong, respectively, analyzed the selection process used by
several districts (Blackmore, Thomson, & Barty, 2006; Walker & Kwan, 2012). Review of the
findings provided significant suggestions that districts can use to improve their hiring strategies.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 39
Australia study. Blackmore et al. (2006) examined the principal selection procedures in
two Australian states and identified five key problems with the principal interview process:
1. The dependence of selection panels on a written application;
2. The dilemma of experience versus potential;
3. The covert rule about the appointment of preferred applicants;
4. The quandary of panel competency; and
5. The evidence of inconsistency of decisions. (p. 302)
Both Australian states in the study required applicants to submit a written narrative indi-
cating their competencies with the knowledge, skills, and experience listed on the job posting.
The written application seemed to give unfair advantage to strong writers or those who could
“spin a good line” (Blackmore et al., 2006, p. 303). Paper screening can be arbitrary, providing
an unreliable prediction of candidate readiness. Some applicants who appear ideal on paper
might not succeed as principals, while those who have inadequate applications might in fact
prove to be the best candidates for the position (Clifford, 2010; Sessa, Kaiser, Taylor, & Camp-
bell, 1998).
Selection panelists in the Australian study struggled with determining which criteria,
experience, or potential should weigh more. While those with experience had the advantage,
experience did not necessarily indicate competency. Due to the shortage of qualified candidates,
more districts may need to take the risk of hiring based on potential rather than experience
(Blackmore et al., 2006). The study also revealed that incumbents are preferred over outside
candidates. Selection panelists tended to prefer the known entity rather than take a risk on an
unknown candidate. Selection of insiders often led to stagnation of the status quo in an era of
education where school reform and change leadership are essential (Blackmore et al., 2006).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 40
However, selecting an outsider who may bring fresh ideas also posed a risk if the candidate
would not be able to gain acceptance by the community (Blackmore et al., 2006).
A significant challenge in the hiring process was the capability of the selection panelists
to make appropriate decisions. Most panelists had not been trained in merit and equity and there-
fore often based their decisions on personal bias and prejudice (Blackmore et al., 2006). Some-
times, arbitrary factors determined the outcome of a panelist’s vote. For example, a candidate
with a graduate research background who exhibited strong knowledge, one of the advertised
qualifications, was dismissed as being arrogant and impractical (Blackmore et al., 2006). The
panelists preferred someone with a humble nature and fewer skills, even though that characteris-
tic was not in the qualifications of the merit approach. The Australian study revealed that the
selection process was highly inconsistent, comparing it to a lottery based on chance rather than a
method based on merit (Blackmore et al., 2006). One study participant described the process as
unreliable and arbitrary:
The selection came down to personal, individual preferences of panel members. . . If you
had taken one panel member off and replaced them with somebody else who had a differ-
ent set of values and different life experiences or different priorities you would have had
a different result. (Blackmore et al., 2006, p. 308)
While this approach could exclude viable candidates, it could also be used to promote a preferred
candidate. District administrators admitted that they would use the system to their advantage to
get the desired outcome (Blackmore et al., 2006). This practice has discouraged many prospec-
tive candidates from applying for vacancies, assuming that the process is rigged and unfair.
Blackmore et al. (2006) recommended that principal candidates be required to complete
performance tasks in addition to the written application and the interview. For example, the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 41
short-listed candidates might give a presentation to the school staff or might conduct a focus
group conversation with students. These practices would make the hiring process more transpar-
ent and participatory for the stakeholders and would expand the decision beyond a handful of
panelists (Blackmore et al., 2006). Blackmore et al. (2006) described a pilot project in Western
Australia that required principal candidates to complete performance tasks related to data analy-
sis as a means to assess the candidate’s problem-solving skills.
Current selection processes are not producing the strongest candidates for the position.
Districts must utilize new strategies to expand the applicant pool and cull the field to obtain the
most highly qualified candidates. This requires a willingness to take risks on outsiders who may
not know the community well and novices who exhibit exceptional potential. According to
Blackmore et al. (2006), “Succession planning is about anticipating future needs in leadership,
about identifying the right people to fulfill those needs, about attracting those people, giving
them opportunities to develop and providing incentives” (pp. 314-315). While doing so, district
leaders must avoid reproducing homogenous school leaders who maintain the status quo as “a
good fit” and must radicalize the selection process to obtain the strongest, most diverse leaders
with the capacity to effect change (Blackmore et al., 2006).
Hong Kong study. Walker and Kwan (2012) conducted a similar study in Hong Kong,
analyzing the process used by panels to select principals. They identified four factors influencing
the selection process: panel professionalism, pre-interview, the interview, and making the cut
(Walker & Kwan, 2012).
The professionalism of panelists ranked as the most important factor, particularly the
need for fairness, open discussion, and competence during the process (Walker & Kwan, 2012).
Site administrators on panels contended that district administrators were not strong panelists due
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 42
to being out of touch with the day-to-day reality of school operations and classroom instruction.
Also, the assignment of noneducators as panelists was a concern due to their lack of in-depth
knowledge of the school context. Professionalism also referred to fairness and the need for a bal-
ance of power among panelists, rather than one or two individuals dominating the decision
process (Walker & Kwan, 2012).
Another important factor was the involvement of the panelists prior to the interview. In
particular, panelists contended that all members should be involved in the paper screening and
should rank the candidates prior to the interviews. They agreed that references should be con-
tacted in advance and informal collection of information about the candidates should be done by
contacting personal and professional networks prior to the interviews. The third important factor
was the actual interview. Panelists indicated that the questions must elicit knowledge, skills, and
values and must be relevant to the particular school with the vacancy (Walker & Kwan, 2012).
When making the cut, panelists tended to select candidates who were a strong match for
the values of the school or district, regardless of their actual experience or competencies. Panel-
ists revealed “the importance of candidates connecting ideologically and practically with the
school” (Walker & Kwan, 2012, p. 200). Knowing the mission, vision, and culture of the school
community were advantages for internal candidates. Thus, panelists preferred in-house candi-
dates and questioned the motives of outside principals interested in leaving their current districts.
Walker and Kwan noted that, “Such opinions appear to reinforce the importance of affiliation,
loyalty and long service in a particular school” (2012, p. 201).
Walker and Kwan (2012) recommended four things that candidates could do to increase
their chances of obtaining a principal position. First, the candidate should research the school,
including its values, mission, goals and context, in order to establish a linkage to the community.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 43
Second, based on this research, the candidate should create an action plan for the school to be
implemented by the candidate if selected. Third, the candidate should include the action plan as
part of a comprehensive portfolio that illustrates the candidate’s education, on-the-job training,
and professional growth. Fourth, the candidate should learn about the backgrounds of panel
members, especially those from noneducational fields, to enhance the candidate’s ability to make
connections during the interview (Walker & Kwan, 2012).
Candidate Qualifications
As part of the principal selection process, districts should have a clear understanding of
desired candidate qualifications. Ash, Hodge, and Connell (2013) examined current research,
reviewed case studies, and conducted principal interviews to identify the best practices employed
by effective principals. They synthesized their findings into a critical practices framework con-
sisting of five practices, each divided into subsidiary standards, that could be used as a rubric for
principal selection and evaluation processes.
Focus on the direction. Effective principals create a clear and focused purpose. They
make decisions based on the school’s vision and mission. They create a culture that is conducive
to caring, communication, and collaboration. They set high expectations and model them with
their own actions (Ash et al., 2013).
Build a powerful organization. Effective principals create an organized structure with
appropriate processes and procedures. They analyze school systems to measure effectiveness and
modify accordingly. They create a safe and orderly climate, not just physically but also symboli-
cally. In this setting, they listen to others, foster leadership capacity, and support risk taking in an
effort to develop innovative programs and practices that will result in meaningful improvement
and change (Ash et al., 2013).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 44
Give life to data. Effective principals use data to analyze practices and performance, to
vet new programs, and to inform future decisions. They guide data analysis, providing reports,
protocols, and knowledge resources to facilitate the process. They create time for teachers and
staff members to conduct data analysis to identify students who need additional intervention, to
inform future instruction, and to improve practices in the classroom. Data are viewed as essential
change-agent tools (Ash et al., 2013).
Ensure student-focused vision and action. Effective principals create a school culture
that is fully focused on student needs, learning, and achievement, rather than on adult prefer-
ences or demands. They allocate sufficient resources and monitor implementation of programs
designed to give students the knowledge and skills needed to be successful in the future (Ash et
al., 2013).
Lead learning. Effective principals ensure that all staff members are life-long learners.
They understand that the world of education is constantly changing and they help their staff to
adapt and grow accordingly. They are flexible, open, and innovative, often adopting best prac-
tices from other fields of study. Effective principals guide staff members through the uncertainty
of change, helping them to manage fear in a caring and collaborative climate (Ash et al., 2013).
Candidate Assessment
According to Ash et al. (2013), “The recruitment and selection of school principals are
two of the most important contributions superintendents can make to the well-being and high
performance of school districts” (p. 97). They recommended a 10-step process to increase the
likelihood that hiring committees would choose the most qualified candidates. They suggested
that, during the pre-screening process, the district train its selection panelists regarding the needs
of the school; identify the required and preferred qualifications of the principal; post vacancies in
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 45
multiple locations, including an updated district website; and recruit applicants from universities,
professional organizations, and other networks (Ash et al., 2013).
Ash et al. (2013) proposed that for the paper screening process, prioritization of candi-
dates should be based on credentials, experience, and pre-interview reference checks. For the
interview phase, they recommended using a structured format that includes behavioral and situa-
tional questions based on set standards such as their Critical Practices Framework, previously
described. According to the National Center for Educational Achievement (NCEA; 2011), inter-
views “should incorporate performance-based components, such as data analysis scenarios and
writing exercises, to examine a candidate’s ability to perform as an instructional leader” (2011,
p. 4). Panelists should be given an interview answer guide to assist with recording, scoring, and
ranking each candidate, individually and collectively, to select three to five candidates to proceed
to the next level (Ash et al., 2013).
According to Ash et al. (2013), during the follow-up and selection process, district offi-
cials should conduct visits of the candidate in his or her workplace, observing data analysis,
building walk-throughs, and teacher observations. Then the superintendent should convene a
final interview panel to ask follow-up questions, discuss top candidates, and make a final selec-
tion (Ash et al., 2013). Superintendents have the heavy responsibility of selecting high-
performing principals who will be effective and successful (Ash et al., 2013). The selection
process is a critical phase during which a district should ensure that only the most qualified lead-
ers are selected to administer its schools.
Retention
In order to retain principals, districts must identify the skills that are evident in effective
principals and lacking in ineffective principals. Based on that information, districts can help new
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 46
principals to handle the most challenging aspects of the position, increasing their success rate
and raising the likelihood of stability, renewal, and tenure.
Areas of Deficit for New Principals
Cray and Weiler (2011) conducted a study in Colorado during the 2007-2008 school year,
asking superintendents to identify areas of deficit noted in newly hired school principals. The
findings revealed three challenges faced by new principals. First, almost half of the respondents
said that new principals did not have experience with and understanding of the range of demands
on the position. Second, almost half of the respondents said that new principals lacked an under-
standing of differentiated instructional practices and best practices. Last, almost one third of the
respondents said that new principals were unable to apply personnel management strategies
effectively. Embedded in these challenges were deficiencies in two specific skill sets: (a) site-
based management skills to handle operations such as budgets, staffing, and compliance; and (b)
educational leadership skills such as communicating the vision, building effective teams, and
leading change (Cray & Weiler, 2011). As one superintendent stated, “Moving theory to day-to-
day practice is still overwhelming for the first year” (p. 934). This section summarizes the
superintendents’ perceptions of these identified deficits.
Understanding the range of demands. The superintendents in the study by Cray and
Weiler (2011) stated that many new principals lacked practical, on-the-job experience prior to
their first assignment and often did not understand the full complexity of the job. They noted that
new principals feel stress due to the struggle with time and task management—skills that take
time to learn. As one superintendent stated, “Time and experience contribute to meaningful deci-
sions that allow [new administrators] to consider the consequences and impact of their decisions”
(p. 932). New principals have not yet developed a tool kit of examples and past practice to help
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 47
them to consider all angles in a complicated situation. Finally, they have not developed the
savviness to deal with difficult stakeholders and navigate the political aspects of the position
(Cray & Weiler, 2011).
Using personnel management strategies. The superintendents in the Colorado study
(Cray & Weiler, 2011) stated that new principals were not adept at personnel management on
both an instructional supervision level and a social-emotional level. As one superintendent
stated, “Human relationship problems remain [one of] the biggest issues that compromise new or
veteran administrators” (p. 932). New principals did not know how to identify effective and inef-
fective teachers in order to provide support. In addition, new principals struggled with monitor-
ing employee performance. Many new principals lacked the ability to hold critical conversations
and say “no” to various stakeholders who make unreasonable demands. Many new principals had
not developed enough capacity with relationship building among diverse groups or with conflict
resolution to mediate disputes (Cray & Weiler, 2011).
Understanding effective instructional practices. The Colorado superintendents (Cray
& Weiler, 2011) stated that new principals did not have sufficient knowledge and skills related to
instructional strategies and best practices. Principals must be able to provide professional devel-
opment and coach teachers with strategies that will result in higher student achievement. Princi-
pals must understand assessment and data analysis. Since many teachers have more experience
and seniority than the principal, the principal must possess a wealth of knowledge and research-
based evidence to gain credibility. The new principal needs skills in building collaborative teams
that will be effective with data-driven decision making (Cray & Weiler, 2011).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 48
Principals’ Perceptions of Gaps in their Preparation
In a 2003 Virginia study, principals and assistant principals were asked about their
concerns, needs, and perceptions of the principalship (DiPaola & Tschannen-Moran, 2003).
More than two thirds (71%) of the respondents held a master’s degree, 38% had a master’s
degree plus additional graduate course work, and 11% held a doctorate. While 78% of the
respondents indicated that they had been adequately prepared by their graduate programs for the
position, 20% stated that they had not been adequately prepared. In addition, 90% stated that
they needed more professional development to handle the expectations of the role. The study
showed that, although the majority of administrators considered their university programs to
have prepared them for the position, they indicated a need for additional training and support
(DiPaola & Tschannen-Moran, 2003).
In order to support new leaders in this complex position, districts should coach them in
the challenges of the position. Principals in the Virginia study (DiPaola & Tschannen-Moran,
2003) identified many issues related to the position: greater expectations in the role of instruc-
tional leader; accountability through high-stakes testing; special education law, legal issues, and
student behavior; lack of time to communicate with parents and colleagues; personal stress; and
the need for more professional development. They also identified the lack of authority to get the
job done correctly and a lack of district support as deterrents to their effectiveness. The princi-
pals indicated the following barriers that keep others from pursuing the principalship: 91% iden-
tified the stress of the job, 86% noted the long hours, 67% indicated low pay, and 64% specified
increased responsibility (DiPaola & Tschannen-Moran, 2003).
Districts must be prepared for the deficits of new principals, provide professional devel-
opment to build their capacity, assign a reasonable load of duties, and provide mentoring and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 49
coaching to increase the chances of success. In addition, to enhance recruitment and retention of
principals, districts should reexamine the role of the principal and provide increased salaries and
incentives (Whitaker, 2003).
Identified Skills of Effective Principals
In order to support and retain principals, districts should have a firm understanding of
what knowledge and skills they expect from their site leaders. Districts can adopt existing pro-
fessional standards or develop their own set of competencies based on research findings. This
section provides a few examples.
Professional standards. For districts in California, two sets of standards could be very
helpful in determining criteria for principal effectiveness. First, the CCTC published the Califor-
nia Professional Standards for Education Leaders (CPSEL) in 2014. The CPSEL were designed
to provide a standard of quality for administrator preparation, induction, development, profes-
sional learning, and evaluation in California (CCTC, 2014). They outline critical areas of leader-
ship, especially in relation to current and emerging expectations for education leaders. For
example, they address the need for administrators to be cognizant of equity issues. They encour-
age leaders to increase access, opportunity, and empowerment for all stakeholders. The CPSEL
reflect a consensus of expected leadership criteria, thus guiding universities, districts, and other
organizations in their development of coherent programs for leadership preparation, induction,
and ongoing professional learning (CCTC, 2014).
Second, the Council of Chief State School Officers (CCSSO) and the National Policy
Board for Educational Administration (NPBEA) developed Professional Standards for Educa-
tional Leaders based on a review of empirical research and survey input from more than one
thousand district leaders. These standards are intended to serve as guideposts for policy makers,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 50
universities, professional associations, and other organizations that educate and support school
leaders. According to the NPBEA, “They will be used by state boards of education and Depart-
ments of Education to help guide their licensure, professional development programs, perfor-
mance evaluation, coaching and mentoring, recruitment, hiring and placement of educational
leaders” (Wilson, 2018, Slide 32). The standards are student-focused and based on theories of
leadership-to-student learning (Wilson, 2018). In addition to the obvious standards related to
management and instructional leadership, they also contain progress standards such as equity and
cultural responsiveness, community of care and support, and meaningful engagement of families.
They are designed to be timeless, ensuring that educational leaders are ready to meet the chal-
lenges of various administrative positions in a constantly changing environment (NPBEA, 2015).
Research-identified characteristics. Studies to determine the ideal characteristics of a
principal have been conducted. For example, Parylo and Zepeda (2014) conducted a secondary
analysis of data from a larger study of Georgia administrators in four districts. From this analy-
sis, Parylo and Zepeda constructed a membership categorization measure of an effective princi-
pal with eight major characteristics related to instructional skills, interpersonal skills, and
perceptual characteristics. The following section describes the eight major characteristics.
Track record. Central office participants in the study indicated that strong principals
demonstrate their experience and accomplishments attained during prior leadership positions.
Strong principals also participate regularly in leadership development initiatives, indicating their
ongoing professional learning and awareness of current practices (Parylo & Zepeda, 2014).
Good manager. Central office personnel prefer principals who have strong organizational
leadership skills. The effective principal has the ability to run the day-to-day operations of the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 51
school, as well as the managerial skills with budgets, personnel, and compliance (Parylo &
Zepeda, 2014).
Instructional leader. Central office personnel identified an effective leader as one who
puts an emphasis on teaching and learning. He or she understands that the primary objective of
the principal is to improve student achievement. He or she also understands curriculum, instruc-
tion, and assessment and is able to lead a team of educators to enhance the learning of all
students. An effective principal remains a life-long learner, always working to improve his or her
own instructional expertise (Parylo & Zepeda, 2014).
Data leader. The central office participants explained that an important aspect of instruc-
tional leadership is an aptitude for data analysis. Effective principals study their sites’ data on a
regular basis and use the information to inform instruction and develop interventions. In order to
do this, a data leader is adept at utilizing technology to access, organize, and display the data in
meaningful ways (Parylo & Zepeda, 2014).
Team player. An effective principal is a team player, able to interact positively with other
departments in the district to accomplish goals. In addition, the principal must be able to lead
teams by fostering a shared vision, distributing responsibilities, facilitating positive relations, and
motivating all stakeholders. Norris, an assistant superintendent in the study, described effective
principals as having “tremendous relationship skills, people skills; and they are able to nurture
and support people so they will follow them, taking on challenging tasks because they know their
principal is there for them” (Parylo & Zepeda, 2014, p. 529).
Community leader. An effective principal is a key member of the greater community. In
addition to building relationships with students, parents, teachers, and district personnel, the
principal must establish a place in the public arena. Long, a chief academic officer, described it
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 52
as “harnessing community engagement where the principal gets the business leaders and the
parents engaged in all aspects of school life: from the football game to student learning” (Parylo
& Zepeda, 2014, p. 529). To do so, the principal must be outgoing, using effective communica-
tion and interpersonal skills to connect with members of the community (Parylo & Zepeda,
2014).
Perfect fit to the school. District personnel in the study indicated that, in order for a prin-
cipal to be effective, he or she must be a good match for the school. As Superintendent Atkin
stated, “Being in the right place at the right time can make the difference between being effective
or not” (Parylo & Zepeda, 2014, pp. 529-530). A good fit is essential so that staff, students, and
community will accept the leader and “buy in” to his or her vision, initiatives, and accountability
measures (Parylo & Zepeda, 2014).
Passionate leader. Central office personnel explained that good principals have an innate
passion for the education of students. They exude enthusiasm and energy, making it attractive to
follow their lead. They truly care for all members of the school community and inspire them to
reach their goals (Parylo & Zepeda, 2014).
Coaching and Mentoring
With such high standards and expectations for the principalship, leaders in this position
require ongoing training and support. In the K–12 setting, mentoring and coaching are often used
as a means to provide professional development, primarily for new administrators. In this
context, seasoned practitioners are paired with less experienced principals who are usually in the
early stages of the position. In a Wallace Foundation study, the researchers stated that one of the
seven practices of exemplary leadership programs is “mentoring or coaching that supports mod-
eling, questioning, observations of practice, and feedback” (Darling-Hammond, LaPointe, et al.,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 53
2007, p. 68). Many leadership programs emphasize that coaching is essential during the early
part of a principal’s career. For example, as one district supervisor with participants in the
Georgia Leadership Institute shared, “We are also coaching first year principals. I think that we
are putting younger, less experienced people in the principalship and expecting them to do that
high-performance work. It is a greater expectation of people with less experience” (as cited in
Mattingly, 2003, p. 138). Coaching is beneficial because it can be tailored to meet the needs of
the individual principal and the specific school (Sciarappa & Mason, 2014). Fortunately, many
states are mandating mentoring programs. In 2007, almost half of the states had legislation that
required mentoring for new school principals for at least one year (Spiro, Mattis, & Mitgang,
2007).
At the crux of mentoring and coaching is the cultivation of trusting relationships between
the mentor and the mentee, who will collaborate during attainment of knowledge and skills and
analysis of issues and practices (Kiltz, Danzig, & Szecsy, 2004). The mentorship model works
under the premise that the mentor will facilitate a process of collegial inquiry, reflection,
deprivatized practice, and constructive feedback in order to build knowledge, skills, and capacity
(Drago-Severson & Pinto, 2006; Kiltz et al., 2004; Spiro et al., 2007). A study by the New
Administrators Institute reported, “What [principals] value most of all from their coaches is the
opportunity for reflective conversations, emotional and moral support, and the affirmation that
they are doing a good job” (The Educational Alliance at Brown, 2003). In 1996, Showers and
Joyce showed that those who received coaching support and follow-up after training were able to
implement new skills at rates of 80% to 90%, whereas those who did not receive mentoring
implemented at rates below 20% (as cited in Knight, Stinnett, & Zenger, 2008).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 54
Unfortunately, many mentoring programs lack specific elements that would make them
effective, such as selection criteria for mentors, mentor training, appropriate matching of mentors
and mentees, and clear content and processes for the mentoring sessions (Spiro et al., 2007).
Without these elements, mentoring can easily devolve into an informal buddy system that does
not contribute effectively to the development, growth and capacity building of the new principal.
The Wallace Foundation recommended the following quality guidelines: meaningful mentor
training, a term of mentoring of at least 1 year, preferably 2 or 3 years, and a program goal to
expand the capacity of principals to be transformational leaders of teaching and learning in their
schools (Spiro et al., 2007). Knight et al. (2008) provided the following framework to assist
mentors during coaching conversations.
Focus the conversation: Explain what is hoped for in terms of outcomes, issues of
confidentiality, and what role each person will play.
See and explore the current state: Clarify the current situation as seen by the
person being coached.
Bridge to desired outcomes: The coach helps the person to think about what
ideally would occur from that person’s point of view.
Form clear commitments and action steps: Lay out a clear, specific, doable plan
with completion dates that will enable the person being coached to achieve his or
her goal.
Monitoring for results and accountability: Check to see how things are going.
Establish how success will be measured and tracked. (p. 11)
Utilizing this framework helps the coach to create a positive mentoring climate that is conducive
to inquiry, honesty, skill development, and leadership growth. The process can help mentees to
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 55
develop a clear vision, set reasonable benchmarks, and attain their goals (Farver & Holt, 2015;
Warren & Kelsen, 2013).
Through meaningful mentorships, inexperienced principals receive support that helps
them to manage the complex demands and pressures of the job and make a successful transition
into the new role (Daresh, 2004). The mentorship fosters growth and develops the mentees’
awareness of trends, issues, and social realities (Daresh, 2004), helping them to build skills in
ethical decision making (Alsbury & Hackmann, 2006). The mentoring and coaching of new
principals has helped to increase their effectiveness and the likelihood of longevity in the posi-
tion (Sciarappa & Mason, 2014). The benefits of coaching and mentoring include enhanced rela-
tionships with colleagues, stronger organizational commitment, improved job satisfaction, and an
increase in employee retention (U.S. Office of Personnel Management, 2008).
Professional Development Through Professional Organizations
To increase the likelihood of retention, aspiring, novice, and veteran principals can par-
ticipate in programs, training, and services provided by a variety of professional organizations
and networks. The National Association of Elementary School Principals (NAESP; n.d.) and the
NASSP are the leading organizations for U.S. elementary and secondary principals, respectively.
Both NAESP and NASSP offer resources, publications, webinars, and conferences to help
administrators be effective 21st-century leaders committed to the success of each student. Spe-
cific to California, school leaders can become members of ACSA. ACSA offers an in-depth
institute for aspiring and beginning principals. Taught by experienced administrators, the
sessions are designed to expose participants to all aspects of the principalship and to build their
capacity to be transformational leaders in California’s diverse schools. ACSA also provides a
variety of 1-day workshops, such as Lead From Your Strengths, Opening Doors for Women in
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 56
Leadership, The Skillful Certificated Evaluator, and Master Schedule Training (ACSA, 2018).
All three of these organizations provide intensive training for school leaders to increase their
knowledge prior to entering the role of principal and to support their implementation once they
have attained a position.
Another source of professional development for new principals is principal centers,
which provide fee-for-service programs such as summer academies, peer learning communities,
and career planning. One example is the Principals’ Center at the Harvard Graduate School of
Education, which provides intensive summer leadership institutes that create opportunities for
principals to collaborate about issues of practice, especially related to equity in urban education
and turnaround leadership (Harvard Graduate School of Education, 2019). Another example, the
Broad Center, offers the Broad Academy, a 2-year fellowship to help school leaders to promote
excellence and equity to strengthen their impact on students and the community (The Broad
Center, 2019). Also, the School Leaders Network (SLN; 2014) uses a research-based model to
support and develop school leaders’ knowledge, skills, and capacity. The SLN created a national
network for school leaders, providing training and professional development within the context
of action research methods based on adult learning theory. According to a 2008 study (SLN,
2014), many schools led by SLN-trained principals have reported gains in student achievement.
For example, SLN-led schools increased mathematics proficiency rates by 74%, in contrast to a
65% gain in comparison schools (SLN, 2014). Ninety-four percent of SLN leaders reported a
positive impact on their work with teachers, 83% indicated that SLN learning had helped them
with implementation of initiatives to improve teaching and learning, and 92% stated SLN
support had helped them to create a shared vision for their school (SLN, 2014).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 57
Ongoing Support for the Retention of Principals
Whether aspiring, beginning, or experienced, all principals require continuous profes-
sional learning and ongoing support to be successful school leaders. The principalship is daunt-
ing and multifaceted. Fullan (2007) captured the dilemma facing 21st-century principals:
The principal appears to have the worst of both worlds. The old world is still around, with
expectations that the principal will run a smooth school and be responsive to all; simulta-
neously, the new world rains down on schools with disconnected demands, expecting that
at the end of the day the school constantly should be showing better test results and
ideally becoming a learning organization. (p. 157)
Accountability for positive school and student outcomes rests directly on school leaders (Marks
& Printy, 2003). As principals’ roles and responsibilities continue to expand and change, princi-
pals need effective professional development for themselves as leaders so they can then build
capacity in their staff to improve teaching and learning.
Due to rising pressure, time commitment, and relatively moderate pay, many leaders have
abandoned the principalship or avoided applying for the position. In response, districts should
consider ways to make the position more attractive, manageable, and fulfilling (Fullan, 2014;
Thomson, Blackmore, Sachs, & Tregenza, 2003). According to Whitaker (2003), school districts
must revise the role of the principal and develop a strategy for retaining quality leaders. A sus-
tainable action plan would consist of reasonable goals related to the retention of principals, spe-
cific procedures to reach these goals, and adequate monetary and HR to implement the plan
successfully (Norton, 2002). The problem of principal turnover requires a concerted effort by
school district leaders to ameliorate the loss in order to keep quality school principals on the job.
Districts must provide support and professional learning to increase the chances of each
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 58
principal’s stability, renewal, and tenure. Otherwise, principal turnover will continue and school
districts will have difficulty in retaining high-quality school leaders (Norton, 2002).
Theoretical Frameworks
Various theoretical frames could be applied to this study as a lens by which to understand
the complexity of the school principalship. This research study utilized three frames in particular:
Bolman and Deal’s (2013) four frames, Fullan’s (2001) framework for leadership, and McREL’s
balanced leadership framework by Waters, Marzano, and McNulty (2004). Analyzing the prepa-
ration, recruitment, and retention of principals from the perspective of these three models pro-
vided insight for this study.
Bolman and Deal’s Four Frames
Bolman and Deal developed four frames—the structural frame, the HR frame, the politi-
cal frame, and the symbolic frame—as a leadership model to encompass all perspectives and
areas of responsibility (Bolman & Deal, 2013). A frame is a cognitive lens or mental model by
which to approach the organization. At any given time, a leader will address aspects of his or her
work from one or more of these frames. It is wise for a leader to maintain a balance among the
four frames to ensure appropriate coverage of the needs of the organization (Bolman & Deal,
2013).
Structural. The structural frame includes the systems, rules, specialized roles, policies,
and procedures of the organization. A metaphor of the structural frame is a factory, in which
operations are monitored and structure is created. This frame stems from scientific management
and is a valuable lens for the leader to ensure systemic order and stability. The principal must
ensure that the structural components of the school are established and maintained to create an
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 59
environment and climate conducive to instructional learning and improvement (Bolman & Deal,
2013).
Human resources. The HR frame focuses on the people of the organization, their needs,
skills, and relationships. The leader endeavors to build relationships, empower followers, and
provide professional growth. A metaphor of the HR frame is a family with unique individuals
who have distinctive strengths to be maximized and flaws to be modified. This frame stems from
the field of psychology and reminds the leader that the most valuable resources of the organiza-
tion are its employees. An effective principal harnesses the potential of teachers and staff to
improve student achievement (Bolman & Deal, 2013).
Political. The political frame focuses on organizational politics, power, conflict, and
competition. This approach involves dealing with interest groups, building power bases, and
forming coalitions. A metaphor of the political frame is a jungle through which the leader must
navigate carefully among the complex and intertwining stakeholder groups. This frame stems
from political science. A school principal would be remiss if he or she ignored the importance of
developing alliances and networks. It would behoove the school principal to develop political
savvy to help him or her negotiate in this arena (Bolman & Deal, 2013).
Symbolic. The symbolic frame focuses on creating an organizational culture with beliefs,
rituals, ceremonies, stories, and heroes that give inspiration and motivation to the followers. A
metaphor of the symbolic frame is a theater in which the leader creates faith, beauty, and
meaning. This frame stems from social and cultural anthropology, suggesting that each member
of the organization plays a role and the “audience” forms an impression. The effective principal
maintains the meaning of the symbols and the potency of the rituals to keep the culture alive and
vibrant (Bolman & Deal, 2013).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 60
An effective leader learns how to utilize combinations of the four frames to obtain the
right balance in a given situation (Bolman & Deal, 2013). For example, if the organization is
struggling with identifying priorities and responsibilities, the leader could use the structural
frame to assign work roles and tasks and the political frame to disburse the appropriate levels of
power and influence. When the organization lacks motivation and commitment, the leader could
use the symbolic frame to communicate meaning and the HR frame to harness the passion and
incentivize the involvement of the employees. If the organization experiences anxiety about the
future, the leader could use the symbolic frame to focus attention on purpose and the political
frame to engage supporters who will persevere through uncertainty. In every circumstance, the
leader must ask the right questions to diagnose the issue and select the most appropriate frames
to address the situation. In addition, the leader must be able to switch between frames in order to
provide the best support to the organization (Bolman & Deal, 2013).
Fullan’s Framework for Leadership
Fullan (2002) designed a model that emphasized the need for leaders to be effective
change agents in a transformational setting. “The principal of the future—the Cultural Change
Principal—must be attuned to the big picture, a sophisticated conceptual thinker who transforms
the organization through people and teams” (Fullan, 2002, p. 17). Unlike past models such as the
Great Man Theory and Trait Theories, Fullan’s model explained that leadership can be attainable
by many, not just a few (Fullan, 2002). According to Collins (2001), great leaders are not just
those executives who are high profile and flashy; rather, they are “individuals who blend extreme
personal humility with intense professional will” (p. 21). Fullan (2002) recommended a frame-
work in which the principal has personal characteristics such as energy, enthusiasm, and hope
and adopts five core components of leadership: moral purpose, understanding change,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 61
relationship building, coherence making, and knowledge creation and sharing. These compo-
nents are essential to develop effective school administrators who are prepared to lead in a
culture of change.
Moral purpose. As it implies, the term moral purpose refers to the leader’s mission and
commitment to make a difference in the lives of students. Barber and Fullan (2005) explained,
“The central moral purpose consists of constantly improving student achievement and ensuring
that achievement gaps, wherever they exist, are narrowed” (p. 32). Moral purpose goes beyond
the individual school community to include all schools in the district, and even all students in
society (Fullan, 2002). A school leader with sincere moral purpose strives for large-scale, sys-
temic change, committed to closing achievement gaps, not only in the school but also in the
district, the state, and the nation (Fullan, 2002).
Understanding change. According to Fullan (2002), leaders must be effective change
agents, which includes not just generating innovative ideas but also inspiring others to commit to
those changes. Fullan provided six guidelines for implementing change: (a) innovate selectively
with coherence; (b) find collective meaning and commitment; (c) appreciate that implementation
will be bumpy and difficult, especially at the beginning; (d) listen to the resistors and address
their concerns; (e) understand that lasting change must go beyond superficial things to penetrate
the deeper culture of the organization; and (f) realize that the change process is complex with no
shortcuts to transformation. The 21st-century school leader must be proficient at transformational
change, setting the conditions for new ideas, addressing dissent, and navigating the rocky
implementation that leads to eventual progress (Fullan, 2002).
Relationship building. If successful change is occurring, relationships will improve. The
effective leader must be adept at building relationships with others, not just those of like mind
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 62
but also those from different backgrounds and those with divergent viewpoints. A principal’s
emotional intelligence is a key aspect of relationship building. Emotional intelligence includes
self-management of emotions and empathy for others (Goleman, Boyatzis, & McKee, 2002). The
leader must be able to motivate disenchanted teachers and bridge divides among staff members
to create a cohesive, collaborative, school climate. Not until teachers see each other as team-
mates will they be able to join forces for the common good. In such a setting, teachers will rally
around a common mission that results in raising student achievement. It is the principal’s respon-
sibility to foster those relationships and build a collaborative culture conducive to change
(Fullan, 2002).
Knowledge creation and sharing. The principal must model being the lead learner in
the school, sharing the latest research, facilitating inquiry cycles, and teaching evidence-based
strategies for instruction (Fullan, 2002). “Information, of which we have a glut, only becomes
knowledge through a social process” (p. 19). In other words, facts are just random until they are
shared, analyzed, and applied with others. The effective leader facilitates the process of
knowledge seeking and knowledge giving to promote continuous learning and the refinement of
teaching practices so as to advance the moral purpose of the organization (Fullan, 2002).
Coherence making. Schools are complex organizations that are susceptible to overload
and fragmentation (Fullan, 2002). The effective principal monitors the situation to maintain
coherence and stability. According to Fullan (2002), cultural change principals “appreciate the
creative potential of diverse ideas, but they strive to focus energy and achieve greater alignment”
(p. 19). In a world of innovation and initiatives, it can be tempting to adopt the “silver bullet”
solution of the day, expecting it to be the miracle cure for everything. However, no single
program or project can sustain lasting change. The principal must sort through these projects,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 63
culling the best and ensuring effective implementation that can be sustained for the long term in
order to garner results. It is the principal’s job to coordinate multiple solutions, weaving them
into a system of support that develops the underlying capacity of staff members so they can
achieve the moral purpose of the school (Fullan, 2002).
McREL’s Balanced Leadership Framework
In 2004, Waters et al. conducted a meta-analysis of 70 studies that examined the effects
of educational leadership on student performance. They reviewed quantitative student achieve-
ment data measured by standardized, norm-referenced tests and other objective measures of
achievement. The dependent variable was student achievement; the independent variable was
teachers’ perceptions of leadership. Instructional leadership was defined by 21 responsibilities.
The 70 studies involved 2,894 schools, 1.1 million students, and 14,000 teachers. Waters et al.
(2004) discovered a 0.25 strength of correlation between instructional leadership and student
achievement. The correlation could be described with the following example. Principals A and B
both started as average. Assume that Principal B improved her demonstrated abilities in all 21
responsibilities by exactly one standard deviation. This increase in leadership ability would
translate into an expected mean student achievement at School B that is 10 percentile points
higher than School A (Waters et al., 2004).
There were 66 leadership practices embedded in the 21 leadership responsibilities, each
with statistically significant relationships to student achievement. The responsibilities with the
highest correlations were Situational Awareness (.33), Intellectual Stimulation (.32), Change
Agent (.30), Input (.30), Culture (.29), Monitors/Evaluates (.28), Outreach (.28), Order (.26),
Resources (.26), Ideals/Beliefs (.25), and Affirmation (.25; Waters et al., 2004). This section
describes these top leadership responsibilities in detail.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 64
Situational awareness. The effective principal has a keen awareness of the climate and
culture of the school and its community. She is aware of the undercurrents, the informal relation-
ships, the issues, and the potential discord. She can predict problems and address them before
they explode. A principal cannot survive the political and interpersonal landscape of school lead-
ership without situational awareness (Waters et al., 2004).
Intellectual stimulation. The effective principal fosters a community of life-long learn-
ers who regularly review the current research in education and are trained in the best instruc-
tional strategies and practices. She stays abreast of current theory, research, and practice found to
be effective and creates opportunities for the teachers to learn them (Waters et al., 2004).
Change agent. Change is inevitable, yet many people are resistant to it. In education, it is
imperative that change occurs, that educators not be complacent with the status quo, and that the
principal always searches for new and better ways. In order to grow, change must occur and an
effective principal manages transitions and supports teachers through the phases so they can
handle change, even in uncertain times (Waters et al., 2004).
Input. The effective principal welcomes input from teachers. She promotes shared deci-
sion making and values the opinions and ideas of others. She utilizes leadership teams that col-
lectively decide on policies and practices for the school (Waters et al., 2004).
Culture. The effective principal must foster a climate and culture that promotes the well-
being of the entire school community. She infuses the vision and mission into the daily opera-
tions of the school. This includes developing the cooperation and cohesion of the staff (Waters et
al., 2004).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 65
Monitors/evaluates. The effective principal constantly evaluates the effectiveness of cur-
riculum, instruction, and assessment. She monitors the practices of teachers and the outcomes of
students, using data to evaluate the implementation of programs (Waters et al., 2004).
Outreach. The effective principal markets the school. She ensures that the district office
and the community know the accomplishments of the school. She advocates on behalf of the
school with parents and district leaders. She ensures compliance with all local, state, and federal
regulations so as to maintain the status of the school (Waters et al., 2004).
Order. The effective principal establishes rules, procedures, and routines that maintain
smooth operations. She communicates and enforces expectations with students and staff to
maintain a physical and social environment that is conducive to learning (Waters et al., 2004).
Resources. The effective principal provides materials, supplies, and technology that
enhance the learning experience for students and teachers. She ensures that teachers receive the
necessary professional development to stay abreast of effective practices that promote student
achievement (Waters et al., 2004).
Ideals/beliefs. The effective principal espouses core values related to the importance of
teaching and learning. She regularly expresses these values to staff, students, and parents, and
demonstrates passion in her actions and words (Waters et al., 2004).
Affirmation. The effective principal celebrates the achievements of the school, acknowl-
edging the accomplishments of students and teachers. She also recognizes failures and exudes
confidence in the ability of stakeholders to remedy the situation and learn from mistakes (Waters
et al., 2004).
Waters et al. (2003) also described the importance of leading change in a school. They
emphasized that not all change is of the same magnitude, with some changes having greater
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 66
implications. First-order change is more gradual and less drastic, while second-order change is
more complex and requires a paradigm shift (Waters et al., 2004).
Leaders need to understand the magnitude of the changes they are attempting to lead, the
predictable reactions to first versus second order change, and how to tailor their leader-
ship practices accordingly if their leadership is to have their intended effect on student
achievement. (p. 7).
An effective principal masters the 21 leadership responsibilities and navigates change with
refinement.
Conceptual Framework
This researcher adopted the conceptual framework shown in Figure 1. It illustrates that an
effective 21st-century principal incorporates the three theoretical frameworks described above.
This conceptual framework is depicted as a circle to illustrate that no single framework is first or
more important than another. Rather, the strategies of each framework overlap and should be
implemented in combination to garner the most benefits as a leader.
At the center of the circle is Bolman and Deal’s (2013) four frames, a core model that
should be used as the basis of principal practice. Principals must have the capability to address
challenges by using the appropriate frame for the situation. They must also be able to exercise all
four frames within the organization, depending on relationships and context, to ensure balance
and harmony (Bolman & Deal, 2013). The middle layer of the circle represents Fullan’s (2001)
framework for leadership. Fullan (2001) recommended a framework in which the principal has
personal characteristics such as energy, enthusiasm, and hope and adopts five core components
of leadership that are essential for administrators to be able to lead in a culture of change. The
outer layer shows 11 of the 21 most effective leadership responsibilities in McREL’s balanced
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 67
Figure 1. Conceptual framework for study. Based on (a) Reframing Organizations: Artistry,
Choice and Leadership (3rd ed.), by L. G. Bolman and T. E. Deal, 2013, San Francisco, CA:
Jossey-Bass; (b) Leading in a Culture of Change, by M. Fullan, 2001, San Francisco, CA: Wiley;
and (c) “McREL’s Balanced Leadership Framework: Developing the Science of Educational
Leadership” by T. Waters, R. J. Marzano, & B. A. McNulty, 2004, ERS Spectrum, 22(1), pp. 4-
13.
leadership framework. Implementing these responsibilities resulted in a statistically significant
positive correlation to student achievement (Waters et al., 2004). An effective principal masters
the 21 responsibilities and navigates change with refinement. To achieve maximum effective-
ness, the 21st-century principal must interweave application of these three frameworks as illus-
trated in the circular conceptual framework, designed by the researcher.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 68
Chapter Summary
This chapter provided a review of the relevant literature and the context for the purpose
of this study. Reviewing the history and current composition of the principalship can inform
school leaders about the complexity of the job. Understanding strategies for preparation, recruit-
ment, and retention can help aspiring and acting principals in their efforts to prepare for, acquire,
and retain administrative positions. This knowledge can help districts to recruit and retain school
principals. Learning and adopting frameworks for leadership can provide theoretical foundations
that inform administrators’ practice, leading to improvement in student achievement and school
performance.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 69
CHAPTER 3: RESEARCH METHODOLOGY
As the primary leader of the school, the principal must oversee operations, manage per-
sonnel, and navigate change, while also creating a vision and mission that inspires stakeholders
to improve student achievement (Kowalski et al., 2007; Waters & Marzano, 2006). Successful
principals orchestrate all aspects of the instructional program and foster positive relationships
with all members of the school community (Adams, 1999; Byrd et al., 2006; Darling-Hammond,
2003; DuFour & DuFour, 2013). Given the scope of their duties and the fact that principals are
the second-most influential factor affecting the success of the school (Fullan, 2014), it is impera-
tive that aspiring and current principals undergo the proper training, understand recruitment
strategies, and master the skillsets necessary for retention and longevity. This chapter describes
the study’s research questions, design and methodology, sample and population, access and
entry, instrumentation, data collection, ethical considerations, and data analysis.
Research Questions Restated
Research questions are significant tools that provide direction for a study (Agee, 2009).
They link all elements of the research design (Maxwell, 2013). The research questions also
determine the specific approach to be taken for data collection (Merriam & Tisdell, 2016). The
purpose of this qualitative study was to examine the preparation, recruitment, and retention of
California K–12 public school principals. This information is relevant to increase the likelihood
that principals will be able to meet the challenges and complexities of the position long enough
to have a positive impact on student achievement and school success.
The following research questions guided this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 70
2. What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
Research Design and Method
A research design incorporates the plan for organizing data and producing specific
findings, which in turn determines the type of end product (Merriam & Tisdell, 2016). The deci-
sion to use quantitative or qualitative research methods depends on the purpose of the study and
the research questions (Maxwell, 2013). Quantitative research uses objective measurements such
as statistical or numerical data to classify and construct models (Creswell, 2014). Qualitative
research leads to a deep exploration of a concept or group, aiming to understand how participants
make meaning of their surroundings or experiences (Maxwell, 2013).
Qualitative Research
Qualitative methods were more appropriate for this study because the study was explor-
atory in nature, capturing beliefs, values, and motivations that underlie behaviors (Maxwell,
2013). Qualitative studies adopt a constructivist worldview, seeking the meaning that partici-
pants construct about a problem, process, or phenomenon (Creswell, 2014; Merriam & Tisdell,
2016). This study utilized qualitative data, specifically interviews, to explore how various district
and site administrators perceived the preparation, recruitment, and retention of principals. In
addition, while this study was not quantitative or mixed methods, the researcher incorporated
quantitative data from surveys to support the study’s themes. The survey results allowed for tri-
angulation to check for alignment or divergence between the two sets of data (Maxwell, 2013).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 71
By integrating quantitative data with the qualitative themes, the qualitative perspective could be
supported by the quantitative findings (Creswell, 2014).
Qualitative data were collected in the form of interviews with California K–12 public
school principals, immediate supervisors of principals, HR administrators, and superintendents
(Johnson & Christensen, 2014; Maxwell, 2013). Interviews allow the researcher to know the
opinions and perceptions of the participants (Weiss, 1994). It is the best method to enter their
world and gather data that will be rich and descriptive (Patton, 2002). The interviews that were
conducted in this study gave insight to the thoughts, beliefs, knowledge, and motivations of the
participants with regard to principal preparation, recruitment, and retention (Johnson & Christen-
sen, 2014).
Quantitative data were collected via surveys containing Likert-type scale items (Fink,
2015). These surveys were solicited from California K–12 public school principals, immediate
supervisors of principals, HR administrators, and superintendents. Surveys provide a general
measurement of the attitudes and perceptions of the participants (Johnson & Christensen, 2014).
Survey research provides a numeric description of trends in the data that can be collected with a
quick turnaround from a sample of the population (Creswell, 2014). The surveys in this study
allowed the researcher to make inferences about the common and differing perceptions of large
groups of the four participant types regarding principal preparation, recruitment, and retention.
Qualitative interview data and quantitative survey data were collected concurrently, ana-
lyzed separately and comparatively, and used to support the themes to address the research
questions (Creswell, 2014). The use of interviews allowed the research team to collect
information that could not be observed in order to understand participants’ perspectives on the
phenomenon (Merriam & Tisdell, 2016; Patton, 2002). The use of surveys allowed the research
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 72
team to collect a large amount of data in a structured manner to address the research questions
(Creswell, 2014). While this study did not utilize a mixed-methods approach, incorporating
quantitative data within the themes of the qualitative study provided additional insight and
support to address the research questions through a qualitative lens (Creswell, 2014). The quali-
tative approach enhanced understanding of principal preparation, recruitment, and retention and
provided an in-depth and comprehensive analysis of the research questions (Creswell, 2014).
Research Team
This study was conducted by a group of 12 researchers at the University of Southern
California (USC) Rossier School of Education, with Dr. Michael Escalante as the lead researcher
and supervisor of the study. In addition, a committee of USC staff and other mentors supported
the team throughout the course of the study. The research team met bi-weekly to receive instruc-
tion and guidance, develop research questions, present relevant literature, and identify the con-
ceptual frameworks to shape the study. Due to this thematic group approach, there were
similarities among dissertations, such as shared data, information, and comments. However, the
majority of each team member’s study was individual and distinct.
Population and Sample
To make sense of a research study, the reader must know how the sample was chosen
(McEwan & McEwan, 2003). Since the purpose of this study was to examine the preparation,
recruitment, and retention of principals, the research team focused on the population of current
California K–12 public school principals, immediate supervisors of principals, HR administra-
tors, and superintendents. To obtain the most accurate findings, a researcher should include the
entire population of people in these positions. However, time and financial constraints limited
the ability to conduct this study in this manner. Thus, the research team collected the quantitative
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 73
and qualitative data from samples of these four groups (Johnson & Christensen, 2014).
The units of analysis for this study were principals, direct supervisors of principals, HR
administrators, and superintendents in California K–12 public school districts. Pseudonyms were
used for all participants and districts to protect their anonymity and confidentiality (Glesne,
2011). According to Merriam and Tisdell (2016), the researcher must select a sample from which
the most information can be uncovered, especially when the goal is to discover, understand, and
gain insight. Therefore, this study used purposive selection, described by Maxwell (2013), by
deliberately selecting participants who had specific knowledge or experiences that enabled them
to provide information that could not be obtained from others. Purposive sampling allows for an
in-depth study of a problem (Patton, 2002). This study utilized convenience sampling, an
approach that was selected due to limitations of time, money, location, and availability of par-
ticipants (Maxwell, 2013; Merriam & Tisdell, 2016).
This qualitative study incorporated both qualitative interview data and quantitative survey
data. Both types of data were collected through a mixed sampling design that considered the time
orientation of data collection and the relationship between qualitative and quantitative samples
(Johnson & Christensen, 2014). In particular, this study used the parallel concurrent mixed
sampling design, drawing samples during the same time period from different people in the same
population (Johnson & Christensen, 2014). The quantitative data for this study was drawn from
surveys given to four groups: California K–12 public school principals, immediate supervisors of
principals, HR administrators, and superintendents. The qualitative data were collected from a
purposive sample of six California K–12 public school principals, three immediate supervisors of
principals, three HR administrators, and three superintendents, all of whom were interviewed
solely by the researcher of this study. When appropriate, this study’s findings were compared
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 74
with the trends in the qualitative interviews made by the other researchers with their permission
and that of their respective participants.
Throughout the spring and summer of 2019, the research team, with Dr. Escalante’s
support, made contact with California K–12 public school district superintendents to identify
potential participants. Using these initial contacts, the research team created an interview and
survey pool to ensure an appropriate sample of principals, immediate supervisors of principals,
HR administrators, and superintendents.
Access and Entry
Obtaining permission from authority figures and participants is a critical step before
beginning qualitative research (Creswell, 2014). Prior to beginning this study, the research team
obtained permission from the USC Internal Review Board (IRB; #APP-19-00787). The IRB
process ensures that the study is conducted ethically, that it has no unnecessary risks, and that the
benefits to the participant or society outweigh the risks (Glesne, 2011). The IRB process also
confirms that the participants have sufficient knowledge to decide whether or not to participate
and are aware of their ability to withdraw at any time (Rubin & Rubin, 2012). To protect the
rights of the participants and avoid any personal or professional repercussions, safeguards were
put in place to guarantee the anonymity and confidentiality of each participant (Glesne, 2011).
Gaining access to the participants is an essential part of the methods for a qualitative
study (Merriam & Tisdell, 2016). The gatekeeper to each of the participants is the individual
participant himself or herself (T. Clark, 2011). The research team ensured that participants did
not feel obligated to participate and were not uncomfortable during the process (Rubin & Rubin,
2012). Thus, participants were asked to give access by indicating their willingness to participate
(Bogdan & Biklen, 2007). To gain access for the surveys, the researchers asked permission from
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 75
participants via a written request to conduct the surveys (Appendix A). To gain access for the
interviews, the researchers requested informed written consent by the participants prior to the
start of each interview (Appendix B). For reliability purposes and with permission from the par-
ticipants, the research team used audio recording devices to capture the data accurately (Bogdan
& Biklen, 2007). The sample size fluctuated based on entry and access to participants.
Instrumentation
The instruments for this study were developed collaboratively by members of the
research team. Quantitative and qualitative instruments were constructed to collect data that
would address the research questions. The research questions guided the content in the surveys
and interview guides. The use of both types of instruments provided a meaningful approach to
understand principal preparation, recruitment, and retention and address the research questions.
Quantitative Instrumentation
Quantitative data were collected by administering a survey adapted specifically for each
group: principals, immediate supervisors of principals, HR administrators, and superintendents
(Appendices C–F). Survey instruments allow researchers to collect data from a larger population
and sample (Fink, 2015). The surveys were administered using Qualtrics™, a web-based survey
tool available to all doctoral candidates at USC. The survey design used a 4-point Likert-type
scale so each tabulated answer would produce an overall response of either agree or disagree.
Responses were assigned numerical values (4 = Strongly Agree, 3 = Agree, 2 = Disagree, 1 =
Strongly Disagree). Participants were able to choose 0 to indicate Don’t Know/Not Applicable.
The development process included testing the surveys to ensure that they were usable and would
provide the best information (Fink, 2015). The feedback from field tests allowed the research
team to modify the surveys and interview guides for clarity and comprehensibility.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 76
Qualitative Instrumentation
Qualitative data were collected utilizing an interview protocol tailored to each group:
principals, immediate supervisors of principals, HR administrators, and superintendents (Appen-
dices G–J). This type of instrument intentionally seeks information to address the research
questions (Johnson & Christensen, 2014; Maxwell, 2013). The researchers used a standardized,
open-ended interview approach. Patton (2002) described this approach as beneficial for four
reasons: (a) the instrument is available for inspection, (b) the instrument minimizes variation
among different interviewers, (c) the instrument keeps the interview focused and efficient, (d)
the instrument facilitates analysis. The interview questions stemmed from the theoretical and
conceptual frameworks and tied directly to the research questions in order to elicit the partici-
pants’ thoughts, opinions, and beliefs about principal preparation, recruitment, and retention
(Johnson & Christensen, 2014).
The interview guides for each of the participant groups were designed to help the inter-
viewers to stay focused during the limited amount of time with each participant (Patton, 2002).
In addition, the use of the same questions in the same sequence allowed for consistency across
interviewers and participants in each subsample (Patton, 2002). Despite this standardization,
variations in questions occurred if an interviewer asked probing or follow-up questions to
encourage a more complete response from the participant (Bogdan & Biklen, 2007). In order to
reduce variations, each of the 12 members of the research team attempted to adhere closely to the
interview guides (Patton, 2002). The qualitative interviews provided in-depth data that were
compared across the types of participant groups and triangulated with the quantitative survey
results (Maxwell, 2013; Merriam & Tisdell, 2016).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 77
Data Collection
Data collection using both quantitative surveys and qualitative interviews occurred
simultaneously with each participant group: California K–12 public school principals, immediate
supervisors of principals, HR administrators, and superintendents (Johnson & Christensen,
2014). Data were collected during summer and fall 2019.
Quantitative survey data were gathered using the Qualtrics survey system. The research
team established a window of time in which participants could respond to the survey. After the
survey window closed, the research team analyzed the quantitative data, using measures such as
central tendency, common trends, and competing perspectives within the sample (Kurpius &
Stafford, 2006).
Qualitative interview data were collected via standardized, open-ended interview proto-
cols facilitated by each member of the research team. An important part of developing rapport in
a study is making the interviews convenient for all participants (Bogdan & Biklen, 2007). There-
fore, interviews were scheduled at times that were agreeable to the participants. To maintain each
participant’s comfort and freedom, the researcher allowed him or her to select the location of the
interview (Weiss, 1994). The duration of the interviews was 45 to 60 minutes per participant. At
the beginning of each interview, the researcher obtained written informed consent, including
permission to audio record the proceedings (Weiss, 1994). Recording interviews is beneficial
because the information can be preserved accurately for analysis at a later time (Merriam &
Tisdell, 2016). The participants were notified that they could pause or stop the recording at any
time, ask to be “off the record,” decline to answer any question, or request redaction of any
portion of the interview. Audio recording, rather than note taking, allows the researcher to
maintain eye contact with the participant, pay attention to body language and nonverbal
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 78
communication, and show interest that elicits full responses (Bogdan & Biklen, 2007). However,
the researcher in this study took simple notes to capture key ideas and collect nonverbal,
descriptive data (Bogdan & Biklen, 2007). After the interviews, the audio recordings were tran-
scribed to facilitate referencing the data during analysis.
Data Analysis
After the collection of quantitative and qualitative data, the researcher drew findings from
each source of data. The quantitative data from the survey items were subjected to statistical
analysis to identify measures of central tendency, common trends, and competing perspectives
within the sample (Kurpius & Stafford, 2006). The qualitative data from the interview transcrip-
tions were coded with open and axial codes using a computer-assisted qualitative data analysis
software to assist with categorizing, filing, and retrieving data (Harding, 2013). Using the
constant comparative method, the researcher clustered the data into categories and subcategories,
determined similarities and differences, and identified patterns and themes (Merriam & Tisdell,
2016). In addition, the researcher analyzed quantitative and qualitative data through a side-by-
side comparison by using the Question Alignment Matrix (Appendix K). Finally, the researcher
triangulated data from the qualitative interviews and the quantitative surveys, with reference to
the literature review, to determine emergent findings (Merriam & Tisdell, 2016). The researcher
was confident that this data analysis approach addressed the study’s research questions about the
aspects of principal preparation, recruitment, and retention.
Credibility and Trustworthiness
According to Maxwell (2013), while researcher subjectivity cannot be eliminated, it
must be acknowledged and dealt with to improve the validity of a study. In order to maintain
credibility and trustworthiness, the researchers examined their own preconceptions and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 79
influence when analyzing the data. Miles, Huberman, and Saldaña (2014) stated that personal
bias can skew a researcher’s ability to present fieldwork and complete data analysis in a
trustworthy manner. Maxwell advised that the researcher must search for discrepant evidence
and negative cases to challenge the researcher’s biases (Maxwell, 2013). For example, the
researcher could use Corbin and Strauss’s (2008) technique of “flip-flopping”: looking for the
negative case of a concept to see whether other information in the data debunked the assertion.
The researcher used reflexivity to examine assumptions and to reduce bias. To maintain
credibility and trustworthiness, the researcher regularly revisited the survey data and interview
transcripts to ensure that the perspectives of the participants were clearly represented and not
interjected with the thoughts, ideas, or experiences of the research team members.
This study increased validity of the data through the use of triangulation. Triangulation
refers to collecting information from multiple participants with multiple perspectives in a vari-
ety of settings in order to compare and cross-check the data (Maxwell, 2013; Merriam &
Tisdell, 2016). During data analysis, the researcher used Corbin and Strauss’s (2008) analytical
tools of questioning the data and comparing data across interviews and observations. Triangu-
lation of the data in this manner allowed the researcher to examine the consistencies and incon-
sistencies among the survey data and interview transcripts. According to Creswell (2014), “If
themes are established based on converging several sources of data or perspectives from par-
ticipants, then this process can be claimed as adding to the validity of the study” (p. 201). Using
this strategy reduces the risk of personal biases and confirms emerging findings (Maxwell,
2013).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 80
Ethical Considerations
During any qualitative data collection and analysis, ethical dilemmas are expected to
arise (Merriam & Tisdell, 2016). The researcher should make rigorous plans to ensure full,
honest, and ethical findings from the study (Merriam & Tisdell, 2016). To ensure the rights of
the participants and to maintain the integrity of the study, the researcher put the following safe-
guards into place.
First, the integrity of each researcher is essential for the validity and reliability of a study
(Merriam & Tisdell, 2016). Therefore, all members of the research team participated in the Col-
laborative IRB Training Initiative (CITI), an online course that trains researchers about ethical
implications of research such as assessing risk, informed consent, and privacy. Second, the
research team requested approval by the USC IRB prior to collecting data (Glesne, 2011). Third,
the researchers empowered the participants through informed consent so that they understood the
purpose of the study, its potential effect on them, the voluntary nature of their participation, and
their ability to decline participation at any point during the study (Glesne, 2011). Informed
consent was obtained from each participant prior to survey distribution and interview facilitation
(Merriam & Tisdell, 2016). Fourth, the researchers made each participant’s identity anonymous
and confidential in order to mitigate any personal or professional impact (Glesne, 2011). Fifth,
data obtained via the Internet were managed and protected to ensure that collection, storage, and
dissemination were done in a strictly secure manner (Glesne, 2011; Merriam & Tisdell, 2016).
Sixth, the researchers conducted data analysis in a manner that minimized misstatement or
misrepresentation of each participant’s responses (Maxwell, 2013). It was a priority of the
research team to maintain the integrity of the study and the subsequent validity of the findings.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 81
Chapter Summary
This study was designed to understand principal preparation, recruitment, and retention
through a qualitative methods approach. This chapter presented the methodology for the study,
including the research design, the population and sample, the instrumentation, the data collection
procedures, and the data analysis process. The responses to surveys and interviews provided the
researcher with significant data to address the research questions. Collected data were analyzed
both statistically and analytically to discover emergent findings.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 82
CHAPTER 4: FINDINGS
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K–12 school principals. Principal leadership has been identified as the
second most important factor, after classroom instruction, that affects student learning and
achievement in schools (Fullan, 2014; Leithwood et al., 2004). Considering the importance of
this critical position, finding the best strategies for preparation, recruitment, and retention will
help to ensure a strong supply of effective 21st-century leaders who are able to meet the chal-
lenges and complexities of the principalship (Waters & Marzano, 2006). This chapter presents
the results of analysis of the data collected by the researcher and presents the findings to address
each of the research questions.
This study was designed to address three research questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
First, this study identified the preparation, skills, and interpersonal capabilities that prin-
cipals must have to meet the challenges and complexities of the principalship. Second, this study
explored strategies to enhance the recruitment potential of candidates. Third, this study identified
the ongoing learning and support that principals need to retain their positions long enough to
have a positive impact on student achievement and school success.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 83
Data Analysis
This study was conducted in southern California and incorporated quantitative surveys
and qualitative interviews of principals, immediate supervisors of principals, HR administrators,
and superintendents. The quantitative data from the survey items underwent statistical analysis to
identify measures of central tendency, common trends, and competing perspectives within the
sample (Kurpius & Stafford, 2006). The qualitative data from the interview transcriptions were
coded with open and axial codes using ATLAS.ti, a computer-assisted qualitative data analysis
software (Harding, 2013). Using the constant comparative method, the researcher clustered the
data into categories and subcategories, determined similarities and differences, and identified
patterns and themes (Merriam & Tisdell, 2016). The researcher also analyzed quantitative and
qualitative data through a side-by-side comparison by using the Question Alignment Matrix
(Appendix K). The researcher triangulated data from the qualitative interviews and the quantita-
tive surveys, with reference to the literature review, to determine emergent findings (Merriam &
Tisdell, 2016).
Study Participants
Qualitative Interview Participants
The researcher gathered qualitative data from 18 participants from three districts (six
each). At each district, the superintendent, an HR administrator, an immediate supervisor of
principals, and three principals were interviewed. Thus, there were three superintendents, three
HR administrators, three immediate supervisors of principals, and nine school principals (three
elementary, three middle/junior high schools, two comprehensive high schools, and one
continuation high school). Table 1 summarizes these data.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 84
Table 1
Summary of Qualitative Interview Participants and Their Positions
Organization Position Pseudonym
District SA Superintendent Superintendent SA
Human Resources Administrator-Assistant Superintendent HR Administrator SA
Immediate Supervisor of Principals-Assistant Superintendent Immediate Supervisor
SA
Principal 1 – Elementary School Principal SA1
Principal 2 – Middle School Principal SA2
Principal 3 – Comprehensive High School Principal SA3
District SB Superintendent Superintendent SB
Human Resources Administrator-Assistant Superintendent HR Administrator SB
Immediate Supervisor of Principals-Assistant Superintendent Immediate Supervisor
SB
Principal 1 – Elementary School Principal SB1
Principal 2 – Junior High School Principal SB2
Principal 3 – Comprehensive High School Principal SB3
District SC Superintendent Superintendent SC
Human Resources Administrator-Assistant Superintendent HR Administrator SC
Immediate Supervisor of Principals-Director Immediate Supervisor
SC
Principal 1 – Elementary School Principal SC1
Principal 2 – Middle School Principal SC2
Principal 3 – Continuation High School Principal SC3
Note. Districts and participants were assigned pseudonyms by the researcher. HR = Human
Resources.
District SA was a suburban district in the San Gregorio Valley (a pseudonym) of southern
California with a student enrollment of 11,862, of which 69% were identified as socioeconom-
ically disadvantaged and 8.5% were English Learners. The California Assessment of Student
Performance and Progress (CAASPP) English Language Arts (ELA) score for 2018-2019 was
50.87% met or exceeded standards, which was 3.66% above the state average of 50.87%. The
CAASPP Mathematics score for 2018-2019 was 38.73% met or exceeded standards, which was
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 85
1.00% below the state average of 39.73%. The vision and mission of District SA included
providing high-quality teaching and learning with effective intervention strategies and emphasis
on having the right people and systems in place.
District SB was a suburban district in the San Benito Valley (a pseudonym) of southern
California with a student enrollment of 10,913, of which 57.2% were identified as socioeco-
nomically disadvantaged and 10.3% were English Learners. The CAASPP ELA score for 2018-
2019 was 53.01% met or exceeded standards, which was 2.14% above the state average of
50.87%. The CAASPP Mathematics score for 2018-2019 was 39.33% met or exceeded
standards, which was 0.40% below the state average of 39.73%. The mission of District SB was
to prepare and inspire all students to maximize their academic potential and to thrive in a
complex global society.
District SC was a suburban district in the San Gregorio Valley (a pseudonym) of southern
California with a student enrollment of 10,088, of which 39.0% were identified as socioeco-
nomically disadvantaged and 6.0% were English Learners. The CAASPP ELA score for 2018-
2019 was 70.73% met or exceeded standards, which was 19.86% above the state average of
50.87%. The CAASPP Mathematics score for 2018-2019 was 59.83% met or exceeded stand-
ards, which was 20.10% above the state average of 39.73%. The mission of District SC was to
create a safe, challenging and comprehensive learning environment to shape character, nurture
intellect, and build skills for success in an ever-changing world.
Quantitative Survey Participants
The researcher worked with a team of 12 researchers to gather quantitative survey data
from administrators in 37 districts in southern California. The team of researchers surveyed four
groups: superintendents, HR administrators, immediate supervisors of principals, and K–12 prin-
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 86
cipals. The demographic data collected about the participants included gender, ethnicity, age
range, highest degree earned, years in the education profession, prior work experience, and
salary information.
The survey was distributed to 854 participants from 37 school districts throughout south-
ern California, including unified school districts, high school districts, and elementary school
districts. The participants were asked to complete a survey delivered via email using Qualtrics
software. A total of 21 of 37 superintendents returned completed surveys, for a response rate of
57%. A total of 22 of 41 HR administrators returned completed surveys, for a response rate of
54%. A total of 28 of 68 immediate supervisors of principals returned completed surveys, for a
response rate of 41%. A total of 115 of 708 principals returned completed surveys, for a response
rate of 16%. The total number of participants who completed the surveys was 186, for an overall
response rate of 22% (Table 2).
Table 2
Summary of Quantitative Survey Participants and Their Positions
Human Immediate
Superin- Resources Supervisors
tendents Administrators of Principals Principals All
Surveys distributed 37 41 68 708 854
Respondents 21 22 28 115 186
Response rate 57% 54% 41% 16% 22%
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 87
Findings for Research Question 1: Preparation
In order to understand how training programs and prior experiences prepared principals,
Research Question 1 asked, “How have training programs and professional experiences prepared
principals to manage the complexities and challenges of the principalship?” As the principalship
evolved and became more complex, states began to regulate licensure and require specific
training (Hale & Moorman, 2003). In California, the Commission on Teacher Credentialing
requires first-time principals to possess a Preliminary Administrative Services Credential,
obtained via either coursework or examination (CCTC, 2017).
The paths that individuals take for principal preparation vary greatly but usually include a
university program, mentoring, and on-the-job experience. The data analysis for this study
revealed three common themes on how training programs and experience prepared principals: (a)
Obtaining an administrative services credential by attending a university program was deemed
more effective preparation than acquiring the credential directly by passing a state-approved
examination; (b) while attending a university program was important, opportunities to serve as a
teacher-leader and assistant principal were perceived as invaluable work experiences that pre-
pared candidates for the complex and challenging role of a school principal; and (c) having
mentors was influential in providing encouragement, support, opportunities, and connections
during the preparation process of aspiring principals.
University Preparation
In most states, minimal requirements for administrative authorization include a teaching
credential, a master’s degree from an accredited university, and in many cases, classroom experi-
ence (Fry, O’Neill, & Bottoms, 2006). Most administrators receive their training in formal uni-
versity programs. Of the 115 principals in this study who responded to this demographics
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 88
question, 109 (95%) indicated that they had participated in a university-based administrative
preparation program.
Quality of university preparation. A majority of the survey respondents expressed sat-
isfaction with the preparation provided by university programs. In response to the item “Univer-
sity programs provided training and experience that are important in preparing principals for
their position,” 81.7% of all respondents indicated agree or strongly agree (Table 3).
Table 3
Summary of Responses to Quantitative Survey Questions 5, 41, 77, and 130 Regarding Univer-
sity Programs for Preparation
University programs provided training and experience that
are important in preparing principals for their position.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 2 16 85.7% 2 0 1
Human Resources
Administrators (22) 3 16 86.4% 2 1 0
Immediate Supervisors
of Principals (28) 3 19 78.6% 3 2 1
Principals (115) 16 77 80.9% 15 0 7
All participants (186) 24 128 81.7% 22 3 9
Note. N/A = not applicable.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 89
Of particular note in these data was that 13.4% of the respondents disagreed or strongly
disagreed that university programs were effective. The qualitative data provided further insight
about the opinions of participants regarding the quality of university programs.
Interviewees indicated that the quality of the program influenced the quality of the prin-
cipal. For example, Superintendent SB explained key aspects of an effective program:
I would say the most effective programs are schools that have a heavy focus on transfor-
mational leadership, as opposed to a theory-based program. I can tell sometimes when a
principal or an assistant principal has been trained in a program that really talks about the
work, the day-to-day work, the commitment, the responsibility to all kids and inclusion
practices, et cetera. (interview, September 11, 2019)
Superintendent SB recommended that university programs provide more practical rather than
theoretical training. She commented that mere observation of the readiness and early perfor-
mance of principals easily revealed the ones who had attended practitioner-based programs.
Immediate Supervisor SB emphasized that some university programs are better than
others and commended one local university for its outstanding program:
The one principal that I’m thinking of that I would say is just kind of the rock star of our
principals went through Cosmic College [pseudonym] and she just had a program that
was very rigorous, and that had a lot of hands-on opportunities and required field work.
And so I think those were some of the elements that have contributed to her being one of
our most successful principals. (interview, September 11, 2019)
The observations by district administrators in this study aligned with the literature
regarding effective university programs. The research indicated that, for university programs to
be effective, they must offer coursework regarding the changing responsibilities of the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 90
principalship, provide practical application opportunities, and include mandatory field experi-
ence (Barnett, 2004; Brown, 2011; Hess & Kelly, 2007; Service et al., 2016; Styron, Ronald, &
LeMire, 2011).
University preparation versus credential by examination. Candidates who completed
university programs were also valued more than those who took a qualifying examination.
Immediate Supervisor SB stated, “I would say if you connect that to success in terms of the ones
who did programs versus the ones who took the test, I would say that my most successful princi-
pals in this district went through a program” (interview, September 11, 2019). This sentiment
was reiterated by several participants in this study. When asked to consider candidates who opted
out of a preservice administrative program and took the test instead, a few respondents indicated
that those candidates had gaps in knowledge. For example, Immediate Supervisor SA described
concepts that these principals were missing:
This year, we have many of our new administrators who took the test. I do think there is a
need for that theoretical knowledge of how you do change management. What is it about
fiscal, and how do you manage a budget? What is student discipline? What are my
options? What are restorative practices? Where can I go for help? These are some
resources that I don’t think they necessarily get 100% when they just take a test. As much
as a principal, a director, myself want to give them that extra time and give them all that
information, we just don’t have that kind of time. (interview, August 23, 2019)
When Immediate Supervisor SA listed specific, practical skills, such as student discipline
and school budgets, she stressed the need for formal training in education policy and law. She
emphasized that districts expected university graduates to be fully prepared with foundational
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 91
knowledge and skills because they needed to be ready to perform without additional training and
constant oversight.
HR Administrator SC expressed a similar concern about a new principal who had tested
out. He cited the California Administrator Performance Expectations (CAPEs) that are required
content for preliminary administrative credential programs:
I’m not sure that this guy was ready. When I met with him before he got the position, I
said, “What you need to do is go through the CAPEs and at least look at them and do
them for yourself. Because otherwise you’re not going to be prepared when you get to the
school.” Right now he’s at the school and he’s struggling because there was no back-
ground content, shadowing, none of those things had taken place. It was just go and take
a test. (interview, September 25, 2019)
HR Administrator SC expressed concern that a lack of preparation in organizational and
instructional leadership hindered the performance of this principal. It was interesting that the
administrator to whom he referred (Principal SC2), admitted during his interview with the
researcher that opting to test out had been detrimental to him:
I think I’d be dishonest if I said it didn’t shortchange me. I’m maybe less prepared. I
didn’t sit through formal classes; I just took the test. I think I missed out on some of the
classes because I know there are components of classes that can be really good and very
strong, and that’s just stuff I didn’t have so I learned to just kind of wing it on the fly and
on the job instead. (interview, September 26, 2019)
Principal SC2 (middle school) revealed that his gaps in knowledge during his first
administrative assignment meant that he had to spend more time figuring things out. In addition,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 92
his lack of background sometimes led to unnecessary errors, causing complications that had to be
addressed.
The qualitative data in this study about bypassing university preparation confirmed the
literature on this topic. Taking the examination shortcut can be detrimental to the preparation of
aspiring principals because they do not receive formal instruction or fieldwork related to key
aspects of school leadership such as budgeting, HR, and instructional leadership (D. Clark et al.,
2009).
Opportunities for Leadership Experience
Despite the acknowledgement of the value of university preparation programs, most
respondents agreed that on-the-job experience outweighed the university programs in
importance. In particular, 82% of respondents agreed or strongly agreed with the statement
“Prior work experience was more important than university training experience in preparing
principals for their current positions” (Table 4). This response indicated that, while university
programs were valued for their part in principal preparation, they could not replace the critical
field experiences that were acquired while serving as teacher-leaders. Analysis of these survey
results by position indicated that the three combined district-level administrator groups (super-
intendents, HR administrators, and immediate supervisors of principals) valued work experience
at a 90.1% rate, whereas only 77.4% of principals did so.
The qualitative data supported the contention that university programs alone were not
sufficient preparation. As stated by HR Administrator SA,
immersing themselves on their current campuses in the leadership roles. I really believe
it’s all experience based. Yes, I think it’s great to go to the universities and take the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 93
Table 4
Summary of Responses to Quantitative Survey Questions 6, 42, 78, and 131 Regarding Work
Experience Versus University Programs for Preparation
Prior work experience was more important than university training
experience in preparing principals for their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 13 8 100.0% 0 0 0
Human Resources
Administrators (22) 11 9 90.9% 2 0 0
Immediate Supervisors
of Principals (28) 14 9 82.1% 3 0 2
Principals (115) 55 34 77.4% 19 1 6
All participants (186) 93 60 82.3% 24 1 8
Note. N/A = not applicable.
classes, but that’s so philosophical and it’s really doing the work in the trenches that
matters. (interview, August 23, 2019)
HR Administrator SA stated that, if only one option were available, she would prefer work expe-
rience over university preparation.
Superintendent SA spoke even more strongly about the deficits of the university
programs:
Where we did the history of education and blah, blah, blah, blah, and it just did not apply
to anything and sometimes I think that’s one of our hindrances is that we get stuck on the
history of education and we don’t evolve as fast as we should. I don’t think the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 94
universities always do practical stuff. And so I would like to see more hands-on
experiences. (interview, August 23, 2019)
Superintendent SA was a strong proponent of on-the-job training and advocated for internal
district approaches that groom aspiring administrators to understand the aspects and considera-
tions of pursuing the principalship.
While a smaller percentage of principals (77.4%) did not respond as positively regarding
the importance of on-the-job training over university preparation, all nine interviewed principals
agreed that their on-the-job training was more beneficial than their university programs. Princi-
pal SB3 summarized the general opinion: “I had a lot of opportunities as a teacher where I
received a lot of training that really helped me as a principal, as an assistant principal. Probably
even more so than the actual university admin program” (interview, September 11, 2019). All of
the interviewed principals affirmed the perspective that the learning from having practical field
experience far outweighed preparation in formal university programs. These findings aligned
with the literature underscoring the value of on-the-job training. Assuming leadership roles at the
school site allowed current teachers to gain experience and develop skills that prepared them to
be stronger candidates for future administrative positions (Pijanowski et al., 2009).
Experience as a teacher-leader. Teacher leadership was the first step in the pipeline
toward the principalship. According to survey responses, 97.3% of respondents agreed or
strongly agreed that “Having experience as a teacher-leader was crucial for preparing principals
for their current positions” (Table 5). According to the responses to this item in comparison with
other preparation factors evaluated in the survey, teacher-leadership experience was perceived to
be the most essential foundational training for administrative positions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 95
Table 5
Summary of Responses to Quantitative Survey Questions 13, 49, 85, and 141 Regarding
Teacher-Leader Experience for Preparation
0Having experience as a teacher-leader was crucial for
preparing principals for their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 17 3 95.2% 1 0 0
Human Resources
Administrators (22) 16 5 95.5% 1 0 0
Immediate Supervisors
of Principals (28) 21 6 96.4% 0 0 1
Principals (115) 85 28 98.3% 2 0 0
All participants (186) 139 42 97.3% 4 0 1
Note. N/A = not applicable.
The qualitative interview responses provided a deeper understanding of the impact of
teacher-leadership experience for aspiring administrators. Experience as a teacher-leader could
be obtained through multiple avenues. Immediate Supervisor SA described the typical pathway
for elementary teachers:
At the elementary level, I look for people who are strong leaders instructionally. It’s a
little bit more challenging because we don’t have assistant principals typically, but we do
have what we call Title I intervention teachers, and they tend to be our instructional
leaders. They’re organizing interventions, and they’re being advocates for students.
They’re organizing reading activities and family nights and stuff. They’re getting some of
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 96
the experience, and they typically are in charge when the principal is off site.” (interview,
August 23, 2019)
Immediate Supervisor SA indicated that elementary teachers must volunteer for instructional and
extracurricular leadership tasks in order to gain on-the-job training. She explained that one of the
best on-the-job experiences occurred when they served as the administrative designee in the
absence of the principal. These periodic days of standing in for the principal gave them real-life
situations in which to practice their leadership skills.
Principal SA2 (middle school) explained how those experiences as a teacher had helped
to prepare him for administration:
I think that my most important training was working as a classroom teacher in different
capacities at a school site and learning multiple perspectives. During those 4 years, I grew
in capacity to be more of a resource person. That was a natural transition into supporting
the BTSA [Beginning Teacher Support and Assessment] program as a coordinator, sup-
porting curriculum programs and initiatives as a curriculum coach, and becoming more of
a district asset. And then finally, moving into more of a formal leadership role. (inter-
view, August 23, 2019)
Principal SA2 shared his progression from small-scale teacher-leadership at a site to more wide-
spread teacher-leadership for the district. He indicated that branching out to the district level had
broadened his knowledge and skill base.
HR Administrator SB described his pipeline to his first principalship:
As a teacher, I did a lot of outside leadership roles. So for example, I chaired the school
site council; I was part of the leadership team; I was in charge of visitations from other
school sites. So there were a lot of leadership roles outside of my four walls. I created the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 97
master schedule for summer school; I created the curriculum for summer school; I hired
the teachers for summer school and organized students. (interview, September 11, 2019)
HR Administrator SB indicated that one of the best advantages of teacher-leadership was the
opportunity to learn some of the “nuts and bolts” of administrative work. He also appreciated the
opportunity to widen his perspective beyond the classroom and to appreciate the bigger picture
of K–12 education, with all of its complexities.
Not only did on-the-job experience give teachers the hands-on, practical exposure to
administrative tasks; it also helped aspiring administrators to learn the nuances of leading people.
Immediate Supervisor SC explained the finer aspects of leading one’s colleagues:
When they take on a teacher-leader role, such as a department chair at a large secondary
school, they’ve got the principal or the administration that really positions them to do
some actual teacher leadership, which sometimes involves moving their group along.
They get some of those experiences where they have to bring people along that are a little
resistant. And their department meetings start looking more like a PLC [professional
learning community] than the old school department meeting, because they’re really
doing the instructional leading. (September 26, 2019)
Immediate Supervisor SC emphasized that experience in dealing with people was invaluable
because most teachers have no true sense of what occurs outside of their own classrooms. The
difficulty of leading others toward change was shocking for most new teacher-leaders, who
needed more opportunities to practice change management and transformational leadership.
Teacher-leaders also gained experience in refining the art of relationship building,
another essential skillset needed to prepare for the principalship. HR Administrator SB explained
how opportunities to interact with people help to develop teacher-leaders:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 98
Leading parent meetings and knowing how controversial those can be. Working with
adults is much more challenging than working with kids. So for a teacher coming out of
the classroom, and just assuming that everyone just does their job, it’s not the same. The
best scenario would be when you start getting exposed to the most outside-of-the-
classroom experiences and interactions. (interview, September 11, 2019)
HR Administrator SB explained that experience in interacting with a variety of stakeholder
groups, such as parents, expanded the learning opportunities for aspiring administrators.
The final aspect of teacher-leadership was to have role modeling from the school princi-
pal. Immediate Supervisor SC explained, “To me, the best trainer is the principal, if they’re
really fostering true teacher-leadership. The teachers are getting some really good experiences
leading their departments, and sitting on some entities on their campus” (September 26, 2019).
Principal SB3 (high school) shared how her administrators not only allowed her to observe them
in action but also debriefed with her so she could learn from each situation.
I think my administrators at the time when I was working on my credential were super
supportive. I remember when they learned that I was doing this, I became invited into all
sorts of activities. “Come sit in on this due process,” or “Watch how we do this suspen-
sion.” I was pretty much involved in the leadership of the school already at that point
anyway. But I feel like I got a little bit more in-depth kind of opportunities. “Okay, this is
how things are happening. This is what you do in this situation.” Or even better, some-
times they would ask me, “What would you do in this situation?” So I feel very fortunate
about that because I really got exposure to administration without having that responsi-
bility. (interview, September 11, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 99
Principal SB3 was fortunate to have had shadowing opportunities where she could observe mul-
tiple aspects of the principalship. In addition, she benefited from the debriefing conversations
that helped her to practice decision-making skills and build situational awareness.
All of the interviewed participants described teacher-leadership activities that were
essential to attainment of their skills. Getting experience through on-the-job training with quasi-
administrative tasks helped to prepare teacher-leaders for administrative positions. Committee
work helped them to practice their relationship-building skills and to develop an understanding
of the nuances of HR. Being aware outside of the classroom helped them to learn instructional
leadership and gain situational perspective. The research affirmed that, when teachers held posi-
tions on the school’s leadership team, they gained invaluable preparation that increased by 3 the
likelihood of being tapped for an administrative position (Myung et al., 2011).
Experience as an assistant principal. While teacher leadership experiences sometimes
led directly to a principalship, the typical next step in the pipeline was a position as assistant
principal, considered to be a critical phase in the preparation process. The quantitative data sup-
ported this theme. In response to the survey statement “Having experience as an assistant princi-
pal was crucial for preparing my principals for their current positions,” 86.6% of all participants
agreed or strongly agreed (Table 6).
For the combined district administrators, including superintendents, HR administrators,
and immediate supervisors, 91.5% agreed or strongly agreed with the statement. In comparison,
83.5% of the principals agreed or strongly agreed, but that lower number is due to the fact that
14.8% of all principals responded “not applicable,” meaning that they had not been assistant
principals and thus could not respond to the question. Only 2 of the 115 principals disagreed that
the assistant principalship was crucial for their preparation as a principal.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 100
Table 6
Summary of Responses to Quantitative Survey Questions 14, 50, 86, and 142 Regarding Assis-
tant Principal Experience for Preparation
Having experience as an assistant principal was crucial for
preparing principals for their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 13 6 90.5% 1 0 1
Human Resources
Administrators (22) 16 6 100.0% 0 0 0
Immediate Supervisors
of Principals (28) 20 4 85.7% 2 0 2
Principals (115) 85 11 83.5% 2 0 17
All participants (186) 134 27 86.6% 5 0 20
Note. N/A = not applicable.
The qualitative interview data supported the importance of the assistant principalship as
preparation for the principalship. Superintendent SC stated:
All of our current principals right now, they’ve all been assistant principals except for
one. And so I think the biggest bulk of their training is the opportunity to be an assistant
principal. I think that’s one of the most effective trainings they’re going to get is the do’s
and don’ts of actually learning on the job. (interview, September 25, 2019)
Superintendent SC explained that “trial by fire” was often the quickest and most direct method of
learning the job. The interview with Immediate Supervisor SC supported this opinion and
explained why the assistant principal experience is so critical:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 101
And then they get an assistant principal job, hopefully working with a really well-
seasoned academic leader. I would say the stages of the assistant principal are, first they
become acclimated just with the role. Then they get very good at the tasks because they
must master the tasks. And then once they’ve gotten those tasks down, that’s when they
can really start doing the nuances of leadership. (interview, September 26, 2019)
Immediate Supervisor SC identified three important features of the assistant principal experi-
ence: modeling by a veteran principal, learning and practicing day-to-day operations, and even-
tually growing as an instructional leader and change agent.
The assistant principalship is the most effective training ground when the principal
provides a broad range of opportunities to the assistant principal. Immediate Supervisor SC
elaborated on the critical training that assistant principals should experience:
They should be positioned by their principal to be in the best light and to own things that
they have the skillset to do, but also take on some things that are a little bit of a stretch for
them. And perhaps take on some challenging staff members. I really like when they have
some experience doing some employee discipline in a really well-coordinated, well-
executed manner. I think when somebody’s been able to have that full gamut, they’re
really set to be a good instructional leader. (interview, September 26, 2019)
Immediate Supervisor SC indicated that the principal was an essential part of the training process
and had a responsibility to provide the assistant principal ample opportunities to learn and grow.
The assistant principalship was a critical position that allowed new administrators to learn the
principalship while still having the safety net of the principal to avoid pitfalls and to be rescued
from failure.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 102
The principals in this study verified that assuming an assistant principal position under a
strong leader was a major factor in their preparation for the principalship. Principal SB3 (high
school) aptly described her on-the-job training as follows:
The principal really was a great coach and I had a lot of responsibility. I ran the leader-
ship team; I ran the staff meetings. I did a lot of student discipline and curriculum devel-
opment. I had to let teachers go. I had the experience of doing it all. So I think that my
preparation as assistant principal is really what helped me be able to move so quickly into
the principal position over here. (interview, September 11, 2019)
Principal SB3 understood that having those on-the-job experiences were the best training tool in
preparation for the principalship. She attributed her rapid rise to the principalship in only 3 years
to the intensive learning projection that occurred during her first administrative stint.
Principal SA3 (high school) traversed a similar fast track to the principalship. Based on
his experience and observations, he asserted that all assistant principals are hired for one main
purpose: to be groomed for positions as future principals:
In HR, everyone that you hire to be an administrator, whether it’s a dean or whether it’s
an assistant principal, you need to see them as a principal one day. Because if you cannot
see them as a principal one day, there’s no point in hiring them. And it might not work
out because not every assistant principal is going to become a principal. But that should
be the expectation. And I think that’s the expectation that I was led to believe. So when I
got myself into administration, I thought this isn’t just for me to be an AP for life; it was
to take that extra step. (interview, August 23, 2019)
Principal SA3 had been groomed for his principalship. He progressed from being an assistant
principal of facilities and then of curriculum and instruction at one high school in District SA.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 103
Then he was transferred to the other district high school to be assistant principal of curriculum
and instruction. In 2 years, when the former principal retired, Principal SA3 was automatically
appointed to the principalship. He perceived his employment trajectory to be an intentional
process by the district to groom and tap him starting back during his teacher leadership days.
The common theme that serving as an assistant principal was a key aspect of preparation
for aspiring principals was confirmed by the quantitative and qualitative data in this study. The
fact that assistant principals gained invaluable preparation from their principals was verified in
the literature review. Since principals had daily interactions with assistant principals, they could
best assess their skill development and their readiness for the complexity of the principalship
(Myung et al., 2011). Being an assistant principal was the closest replica of being a principal and
therefore provided the best training ground.
Preparation From Mentors
Positive mentoring relationships played a significant role in the preparation and devel-
opment of aspiring administrators. The literature review indicated that mentors are experienced
individuals who provide support and motivation. By being an active listener and a wise advisor,
the mentor establishes a partnership with the mentee that fosters continued professional growth.
This allows for new knowledge and a system of personal support and increased self-confidence
as a model for successful practice (Winter & Sweeney, 1994).
The quantitative data in this study confirmed the theme of the importance of mentors in
the preparation phase of principals. In response to the survey item “Having a mentor was
important in preparing principals for their current positions,” 181 (97.3%) of the 186 respondents
agreed or strongly agreed; one disagreed and four marked “not applicable” (Table 7). This set of
responses indicated almost unanimous agreement about the value of mentors for principal
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 104
preparation. This indicator aligned with the research that mentor relationships were critical
during the early leadership experience of teachers while they practiced quasi-administrative tasks
and prepared for their first position as an administrator (Daresh, 2004).
Table 7
Summary of Responses to Quantitative Survey Questions 10, 46, 82, and 135 Regarding the
Importance of Mentors for Preparation
Having a mentor was important in preparing principals
for their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 11 9 95.2% 0 0 1
Human Resources
Administrators (22) 18 3 95.5% 0 0 1
Immediate Supervisors
of Principals (28) 19 7 92.9% 1 0 1
Principals (115) 89 25 99.1% 0 0 1
All participants (186) 137 44 97.3% 1 0 4
Note. N/A = not applicable.
The qualitative data from the interviewee responses confirmed the quantitative data and
the literature review regarding mentor importance during preparation. All nine principals
described at least one influential mentor who had supported their journeys from teacher to leader.
Principal SA1 (elementary school) indicated that she would not have considered administration
without being encouraged by a mentor:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 105
I’m grateful and I love what I do now and I can’t imagine myself anywhere else, but at
that time in my career, I never would have thought I’d do it. But, again, it took a mentor
and somebody who said, “No, you would be great at this position. I trust in you and
you’re ready.” And because I have such respect for that person, it happens to be our
current superintendent, then I said, “Okay, I’ll do it.” (interview, August 23, 2019)
Principal SA1 indicated that her mentor’s faith in her abilities had prompted her to pursue a
career in administration. Mentors provided encouragement and support to teachers as they
pursued leadership positions.
By seeing potential, mentors also built self-confidence in teacher-leaders. Principal SA2
(middle school) shared that a mentor saw his potential even before he did:
This mentor is very special to me because she had known me when I was an instructional
aide. And she had come to me and said, “You can serve kids at a much higher level.
What you’re doing now is great, but, I think that you can run the class, and not just that,
beyond that. You’ve got more capability than you see.” And I did. And so, she’s been a
consistent thread throughout my career. I still reach back and maintain a relationship with
her. I can even call her if I’m struggling with resolving an issue, and she’ll be there. And
so, she’s been key. (interview, August 23, 2019)
The support by this particular mentor throughout his career had helped Principal SA2 to pursue
progressive instructional roles from classified aide to classroom teacher to BTSA new teacher
coordinator to curriculum coach. His mentor also nudged him into administration, where he
started as a high school assistant principal and was promoted to his current middle school princi-
pal assignment. Principal SA2 attributed his successful career path in education to the mentor
whom he has had since his first job as an aide.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 106
Mentors also served as role models of effective leadership. Principal SC2 (middle school)
described how he constantly observed his mentor, the principal of the school where he taught:
I had a really good mentor. The prior principal was somebody I knew very well and I got
a lot of mentorship from her by just watching her from the outside while she navigated it.
Because when you’re in the dregs yourself, sometimes you can’t see the forest through
the trees. But getting to watch her and kind of see what she did, always helped me learn.
Eventually she started saying, “You know what? You’re ready, whether you realize it or
not. You know, you’re already doing this work. This is exactly what I do in the principal
role.” So she helped me be ready that way. She helped influence my decision. (interview,
September 26, 2019)
Principal SC2 also shared that his mentor had helped him to mature and to develop situational
awareness. He explained that, due to his high energy, he sometimes made others uncomfortable.
His mentor taught him how to channel that energy into a more moderate form of communication
that did not overwhelm or offend others. This advice helped to prepare him for the complicated
nuances of interpersonal relationships with multiple stakeholders.
Superintendent SC provided information about how the quality and reputation of the
mentor had influenced his impression of the aspiring principal:
I think the most successful principals that I’ve seen, they had a lot of training in these
positions with good mentors with respect to leadership. It’s a big deal for me who they
learned from. Right? It’s important that they had really good leadership models to begin
with. (interview, September 25, 2019)
Superintendent SC compared the mentor-mentee relationship to that of instructor and student. He
explained that, just as it was important to get instruction of students right the first time to prevent
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 107
the need to undo bad teaching, it was also critical for aspiring administrators to get early training
from strong role models to avoid mediocre leadership skills and bad advice.
The common theme from the literature that mentors helped to prepare aspiring principals
was confirmed through the quantitative survey responses and the qualitative interviews in this
study. Mentors taught new knowledge and provided personal support and encouragement that
increased self-confidence in mentees (Winter & Sweeney, 1994). Mentors also taught soft skills
related to the political and symbolic frames and served as role models of these traits (Bolman &
Deal, 2013). Mentor relationships were critical during the discerning phase of teacher-leaders
who were considering entrance to administration (Daresh, 2004).
Summary of Results for Research Question 1
Exploration of the data related to Research Question 1 revealed that the principalship was
a complex and challenging position that required aspiring principals to be prepared for the posi-
tion before entering it. The first theme that emerged was that obtaining an administrative services
credential by attending a university program was deemed more effective preparation than
acquiring the credential directly by passing a state-approved examination. The second theme that
emerged was that, while attending a university program was important, opportunities to serve as
a teacher-leader and assistant principal were perceived as invaluable work experiences that best
prepared candidates for the complex and challenging role of a school principal. The third theme
that emerged was that having mentors was influential in providing encouragement, support,
opportunities, and connections during the preparation process of aspiring principals. These three
themes were factors that helped to prepare aspiring principals for the complexity and challenges
of the position so they could be effective administrators.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 108
Findings for Research Question 2
In order to understand the recruitment experiences of principals, Research Question 2
asked, “What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?” While recruitment strategies often overlapped with the preparation strategies previously
described, additional factors influenced principal recruitment. Data analysis revealed three
common themes regarding how candidates should market themselves to enhance their recruit-
ment prospects: (a) Candidates for the principalship should actively seek opportunities to
increase their district-level exposure and visibility to enhance recruitment; (b) candidates should
make connections with district personnel, both internally and externally, to research and express
interest in positions because district leaders often use their networks to recruit and evaluate
potential applicants; and (c) candidates should develop desired qualities and interpersonal skills
to demonstrate readiness and suitability for the specific principal vacancy in a particular district.
Exposure and Visibility
One key strategy to enhance a candidate’s recruitment prospects was to increase visibility
and exposure at the district level by serving on committees, volunteering for special projects, and
attending administrator workshops. The survey in this study itemized several factors related to
recruitment. For the item regarding instructional leadership experience, 97.3% of all participants
agreed or strongly agreed that it was an important factor in principal recruitment (Table 8). The
survey percentages from district personnel in particular were particularly positive. Of the 71
district-level administrators who responded to this item, 69 (97.2%) considered instructional
leadership experience to be a critical aspect for candidate recruitment. The survey results
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 109
indicated that aspiring administrators enhanced their marketability by gaining more experience
as instructional leaders.
Table 8
Summary of Responses to Quantitative Survey Questions 30, 66, 102, and 160 Regarding the
Importance of Instructional Leadership Experience for Recruitment
Having instructional leadership experience is an important factor
in recruiting for principal positions in my district.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 14 7 100.0% 0 0 0
Human Resources
Administrators (22) 14 8 100.0% 0 0 0
Immediate Supervisors
of Principals (28) 21 5 92.9% 1 0 1
Principals (115) 75 37 97.4% 2 1 0
All participants (186) 124 57 97.3% 3 1 1
Note. N/A = not applicable.
This survey response set aligned with the literature about how central office personnel
sought effective leaders who understood curriculum, instruction, and assessment and who were
able to lead a team of educators to improve student achievement (Parylo & Zepeda, 2014).
Marzano et al. (2005) identified 21 responsibilities of the school leader that directly align with
student academic achievement, including knowledge of and involvement in curriculum, instruc-
tion, and assessment. An effective leader should always strive to improve his or her own
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 110
instructional expertise, as well as that of the entire organization, in order to improve academic
success (Muhammed & Cruz, 2019).
The qualitative interview responses in this study provided further insight regarding
instructional leadership experience. The interview responses confirmed that district-level
involvement, such as serving on committees, was a means to gain visibility and exposure with
upper management. Principal SB2 (junior high school) summarized succinctly how she had
intentionally sought exposure: “I think I just had this inner drive. I knew where I wanted to go.
And I think I asked the right questions, sat on the right committees, and just kind of got my name
out there. That was how I did it” (interview, September 11, 2019). Principal SB2 admitted that
her desire to lead had motivated her to volunteer for many district projects.
This type of initiative was recognized as important by the district administrators who
were interviewed. Superintendent SA summarized the desirable experiences that good candidates
possessed: “I think they do all the little things appropriately. They sign up for leadership roles on
campus. They do more education, whether it’s a doctorate, whether it’s the ACSA Principal
Academy. They go above and beyond and set themselves up for future success” (interview,
August 23, 2019). Similar to the other district administrators, this superintendent noted that, for
candidates to increase their chances, they must stand out as high achievers. Immediate Super-
visor SC also mentioned how strong teachers excelled among their peers: “Taking leadership
roles. Being an instructional leader. Being a campus leader. Being seen in district leadership
roles as an innovator, an expert practitioner, and a learner” (September 26, 2019). Immediate
Supervisor SC emphasized that aspiring administrators must take proactive steps at the district
level to demonstrate that they are viable candidates for future positions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 111
Serving on district committees not only led to important leadership experiences; it also
increased a teacher’s direct visibility with district decision makers. Immediate Supervisor SA
explained the significance of exposure to high-level leaders:
They also need to be able to stand out when they’re at a district-level meeting or profes-
sional development. They need to volunteer for something. We have pacing committees.
We have benchmark committees. We have piloting committees. They have to be willing
to volunteer for those other things districtwide so that we’re getting to know them a little
bit better, and not just as a classroom teacher. We’re seeing them as a potential leader.
(interview, August 23, 2019)
Immediate Supervisor SA indicated that teachers should gain experience beyond the four walls
of the classroom and connect with district-level personnel to enhance their career options for the
future. Such exposure broadens their perspective and improves their awareness of the undercur-
rents, relationships, and potential issues in the climate and culture of the school (Waters et al.,
2004).
Immediate Supervisor SC also explained that volunteering at the district level provided
opportunities to interact more personally with important district personnel:
It’s nice if they know some stakeholders. Their principals can put them on district com-
mittees and things to get them some face time, and get their name out there with some
stakeholder groups, and really shine the light on the good work they’re doing, so that
others can see it. Asking them to come present to different groups and share some of the
work that they’re doing. I think that’s incredibly helpful for their recruitment chances.
(interview, September 26, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 112
Immediate Supervisor SC expanded on the importance of visibility, sharing her belief that
teacher-leaders benefited when their own principals provided invaluable assistance, such as
identifying opportunities for exposure at the district level with district senior staff.
Some principal interviewees confirmed these findings and even acknowledged that they
had strategically sought opportunities to interact with district-level administrators, even those at
the cabinet level. For example, Principal SB2 (junior high school) had intentionally volunteered
to be on a committee with the new superintendent in order to increase her visibility and to
express her administrative aspirations:
Just being on any committees, any district committees, so all the people at the district
office got to know my face when I was there for trainings and other things too. You’ve
got to get on the right committees so the right people know who you are. I knew of a
committee that the superintendent was going to be on at the high school so I thought it
would be great to participate. I figured I could get the lay of the land at the high school to
have an inside there. Having the superintendent on that committee was an added bonus
and so we were able to build a little bit of relationship. Then one day I stuck my neck out
and told her, “I just want to let you know, I know you’re new to the district, but I’m
looking for a leadership role in the future, so I’d like you to consider me.” I asked her,
“So what else can I do? What would you like to see me do?” That kind of stuff and she
says, “Well, just keep doing what you’re doing. I’ve already heard pretty good things
about you.” (interview, September 11, 2019)
Principal SB2 proactively sought an opportunity to interact with the superintendent. She under-
stood the value of exposure with senior staff. When her superintendent was interviewed, she con-
firmed her appreciation of aspiring administrators taking chances for exposure and face time
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 113
with her. Superintendent SB noted, “So I would say that the people that have been promoted here
are people who take advantage of opportunities to meet with me, meet with assistant superinten-
dents, meet with principals, to just sort of get ideas. Then they have connections” (interview,
September 11, 2019). While some people might consider such behavior too aggressive or
imposing, the nine district administrators in this study expressed admiration for such initiative,
drive, and long-term career planning.
In addition to the district administrators’ responses above, the principals’ responses con-
firmed the findings and corresponded with the literature review regarding the importance of
experience for recruitment. The principals understood the value of serving on committees, not
just for the experience and exposure but also to establish credibility as leaders. Principal SC3
(continuation high school) mentioned that district exposure and connections had allowed her to
develop a good reputation, thus making her attractive in the recruitment process. Her prior per-
formance in instructional leadership settings gave evidence of her reliability, which engendered
trust by district personnel:
With regard to being in a position to know folks at the district office, I think the biggest
piece of those relationships was that they could trust me. They knew that if I was given
something to do, it was a project that was going to be done well. I think I was able to
garner a lot of professional respect from them in that way, following through with things
that were going to get done. I don’t know how strategic that was, as much as it just comes
from being a person of integrity, hopefully, and character. If something has my name on
it, it’s going to be done to the absolute degree of my highest ability. Because it’s got my
name on it, I’m never going to half-heart anything. So I think that probably helped me get
recruited. (interview, September 25, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 114
Principal SC3 had established such a strong reputation that she had earned the respect of district
administrators who subsequently appointed her to the challenging position of principal at the
district’s continuation high school. Her track record as an instructional leader enhanced her mar-
ketability and standing at the district office.
The qualitative data in this study indicated the importance of instructional leadership
experience and visibility to enhance the recruitment prospects of candidates. The literature
review confirmed this finding. As reported in a study by Parylo and Zepeda (2014), central office
participants indicated that strong candidates had a good track record and demonstrated the expe-
rience and accomplishments that they had attained during prior leadership positions. Candidates
also participated regularly in leadership development initiatives, indicating their ongoing profes-
sional learning and awareness of current practices (Parylo & Zepeda, 2014). Having instructional
leadership experience and serving on district committees improved the marketability of principal
candidates.
Networking and Connections
The second recruitment theme revealed by the quantitative and qualitative data of this
study was the significance of networking for both candidates and district personnel during the
recruitment process. Candidates used their connections to learn about vacancies, express interest,
and demonstrate their worth. District administrators contacted colleagues to find prospective
candidates and to conduct reference checks, both internally and externally. The quantitative data
confirmed the importance of networking. In response to the statement “Networking with district
personnel helps candidates get recruited into principal positions in my district,” 71.9% of super-
intendents, 95.5% of HR administrators, and 82.1% of immediate supervisors agreed or strongly
agreed (Table 9). Based on these survey results, it was evident that district personnel agreed that
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 115
networking efforts by aspiring candidates greatly improved their chances of being selected for
principalships.
Table 9
Summary of Responses to Quantitative Survey Questions 25, 61, and 97 Regarding the
Importance of Networking With District Personnel for Recruitment
Networking with district personnel helps candidates get
recruited into principal positions in my district.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 2 13 71.4% 5 1 0
Human Resources
Administrators (22) 7 14 95.5% 1 0 0
Immediate Supervisors
of Principals (28) 11 12 82.1% 3 0 2
All participants (71) 20 39 83.1% 8 1 2
Note. N/A = not applicable.
The survey posed a similar question for current principals. It asked them to identify
whether they came from within the district or out of the district and whether their networking in
those circumstances had affected their ability to be selected for their current position. The results
showed a strong advantage for in-district candidates (Table 10).
Of the 88 principals who described themselves as in-district candidates, 92% indicated
that networking with district personnel was an important factor in being recruited. Of the 52
principals who described themselves as out-of-district candidates, 59.6% indicated that
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 116
Table 10
Summary of Responses to Quantitative Survey Questions 153 and 154 Regarding the Importance
of Networking With District Personnel for Recruitment, by Applicable In-District and Out-of-
District Candidates
As an in-district/out-of-district candidate, networking with
district personnel was an important factor in being
recruited in my current position as a principal.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
In-district (88) 47 34 92.0% 6 1 27
Out-of-district (52) 7 24 59.6% 18 3 63
Note. N/A = not applicable.
networking with district personnel was an important factor in being recruited. Based on these
responses, it was evident that in-district candidates were more likely to be selected than out-of-
district candidates.
The significantly higher rate for in-district candidates corresponded to responses to
another survey question regarding the recruitment impact of being a district employee prior to
the principalship. The results affirmed the advantage of being an in-district candidate (Table 11).
Of the 71 district-level administrators who responded to the survey, 64 (90.1%) agreed or
strongly agreed that being an employee in the district helps inside candidates to be selected for
the principalship. While a lower percentage of current principals agreed or strongly agreed
(71.3%), it would behoove prospective candidates to invest in relationships with in-district upper
management, who will play a key role in the selection process for future positions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 117
Table 11
Summary of Responses to Quantitative Survey Questions 27, 63, 99, and 156 Regarding the
Impact on Recruitment of Being an Employee in the District
Being an employee of my school district helps candidates
get recruited into principal positions in my district.
Participant position Strongly Agree or Strongly Don’t Know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 3 15 85.7% 3 0 0
Human Resources
Administrators (22) 7 15 100.0% 0 0 0
Immediate Supervisors
of Principals (28) 14 10 85.7% 2 0 2
Principals (115) 54 28 71.3% 7 2 24
All participants (186) 78 68 78.5% 12 2 26
Note. N/A = not applicable.
The survey results aligned with the literature review related to networking, especially for
in-district candidates. Walker and Kwan (2012) conducted a study analyzing the process used by
interview panels to select principals. They noted that panels preferred internal candidates who
had the benefit of knowing the mission, vision, and culture of the school community to which
they applied. Walker and Kwan also discovered that internal candidates could take advantage of
prior affiliations, their reputation of loyalty, and their long history of service to the district. The
networking that candidates had done throughout the years in the same district helped them to
establish ties, prove their dedication, and earn the trust of influential district personnel, such as
mentors and upper management.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 118
The qualitative data in this study further reinforced the survey results and literature
review regarding networking. Superintendent SB stated that
the most successful administrators we have now are ones who networked throughout the
district. They have relationships with people. They’re known as being professional.
We’ve seen them in various capacities. They get the big picture and they have demon-
strated leadership skills beyond the classroom. (interview, September 11, 2019)
Superintendent SB shared that networking helped candidates to establish their reputation. The
other interviews in this study revealed additional information and specific strategies for net-
working.
Mentor advocacy. One avenue for networking was for aspiring principals to connect
with mentors who gave them opportunities, sponsored their advancement, or provided recom-
mendations. The quantitative data provided an indicator of this theme about the importance of
mentors for recruitment. In response to the survey statement “Having a mentor was an important
factor in being recruited in the current position as a principal,” 79.6% of all participants agreed
or strongly agreed (Table 12).
The responses by HR administrators yielded the highest level of agreement, with 90.9%
indicating the importance of mentors. This is noteworthy because, as the chief recruiters in a
district office, HR administrators conduct most of the principal screening and selection process.
These administrators recognized the value of candidates having mentors to vouch for them.
The qualitative data provided further evidence of the importance of mentors for recruit-
ment. Mentors were defined as advocates who provided career advisement and promoted their
mentees for administrative positions. HR Administrator SC described it as follows:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 119
Table 12
Summary of Responses to Quantitative Survey Questions 26, 62, 98, and 155 Regarding the
Importance of Mentors for Recruitment
Having a mentor was an important factor in being
recruited in the current position as a principal.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 6 11 81.0% 2 1 1
Human Resources
Administrators (22) 11 9 90.9% 1 0 1
Immediate Supervisors
of Principals (28) 11 11 78.6% 3 0 3
Principals (115) 56 33 77.4% 14 3 9
All participants (186) 84 64 79.6% 20 4 14
Note. N/A = not applicable.
I think you have to have somebody advocate for you to get into the next rank. You have
to have the principal saying to the administration up here, “You guys have this person
who’s phenomenal; you’re going to love her. Come look at her classroom; watch how she
teaches. See how she does these leadership roles; watch her do a site council meeting or
whatever she’s been designated to do.” So I think you always have to have somebody
advocating for you. (interview, September 25, 2019)
HR Administrator SC further explained that these relationships were beneficial because mentors
often are promoted to the district office to positions where they have even more leverage to
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 120
advocate for their mentees. They frequently tap impressive teachers with whom they have had
positive relationships and serve as allies in future opportunities.
The advocacy from mentors often went beyond just offering connections. It was also a
testament to the candidate’s readiness. District personnel appreciated candidates who were
trained by mentors whom they respected. Superintendent SC explained as follows:
Knowing the mentor also helps me know what skill level that they should have. If you
came from this district and they’ve got a history of results, you’re prepared to be an
instructional leader. We know their assistant superintendent who oversees the principals.
We know what that place is about and that it’s a good fit for us. (September 25, 2019)
Superintendent SC mentioned that, if he admired the mentor of inside applicants or respected the
district leaders of outside applicants, he was more inclined to recruit and select those candidates.
This concept aligned with research by Alsbury and Hackmann (2006), who reported that aspiring
principals must carefully consider the qualities of potential mentors and select ones who have
strong reputations as effective instructional leaders.
District grooming and tapping. Another form of networking involved tapping and
grooming. Grooming is a strategy used by districts to create a pipeline of internal candidates by
providing them additional training and opportunities to learn administrative skills. Tapping is a
strategy in which district personnel make contact personally with promising teacher-leaders and
encourage them to apply for administrative positions. These two strategies were forms of net-
working that influenced the selection process. The quantitative survey results indicated that
district recruitment strategies helped candidate prospects, as 79% of all survey respondents
agreed or strongly agreed with this item (Table 13). As with other survey items related to
recruitment, the HR administrators indicated the highest level of agreement (95.5%) regarding
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 121
the impact and benefits of district strategies on candidate recruitment. This was probably due to
the fact that the HR departments had the most involvement with and knowledge about the spe-
cific details of the district’s hiring process, including the use of strategies such as grooming and
tapping.
Table 13
Summary of Responses to Quantitative Survey Questions 16, 52, 88, and 144 Regarding the
Importance of District Resources and Strategies for Recruitment
District resources and recruitment strategies help candidates
get recruited into principal positions in my district.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 2 16 85.7% 3 0 0
Human Resources
Administrators (22) 7 14 95.5% 1 0 0
Immediate Supervisors
of Principals (28) 8 15 82.1% 4 0 1
Principals (115) 28 57 73.9% 17 5 8
All participants (186) 45 102 79.0% 25 5 9
Note. N/A = not applicable.
The qualitative data provided supporting evidence that district personnel used grooming
and tapping as essential strategies in their recruitment efforts. The interviews revealed that these
strategies of networking were used in slightly different ways for internal versus external candi-
dates.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 122
Grooming of internal candidates. One important method of recruiting internal candi-
dates was to provide district-run preparation programs. For example, HR Administrator SB
described a grooming strategy in which the district identified teacher-leaders and invited them to
attend specialized training to create a pipeline of employees who would be ready when vacancies
occurred:
In my former district, we had leadership academies for aspiring administrators. We got
folks who were teachers who sometimes wanted to be principals. Sometimes they just
wanted to have an administrative position. They didn’t necessarily want to be a principal,
but they wanted to be a curriculum specialist, for example. We were trying to recruit. We
were trying to create a bank of employees who we could pull from whenever there were
vacancies. (interview, September 11, 2019)
HR Administrator SB provided extensive details about this aspiring administrators program. He
outlined the specific content of the monthly sessions and explained the importance of each com-
ponent:
We created a curriculum that involved real-life examples. We brought in speakers and
panels of current principals who talked to folks about different aspects of having a leader-
ship position. So it was really about preparing them for what they think a principal posi-
tion was going to be like, and what it was actually going to be like. We covered anything
from leadership, the nuts and bolts, the day-to-day, and the relationship piece. Part of the
curriculum was for them to shadow a principal, to take notes. So the curriculum was
really about preparing them for what it was going to be like and the kinds of things they
were going to face. (interview, September 11, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 123
HR Administrator SB reiterated that getting to know these candidates allowed the district to
conduct long-term succession planning in preparation for future leadership needs.
The implementation of aspiring administrator workshops was a form of preparation and
recruitment that was described in the literature review. According to Browne-Ferrigno and Muth
(2008), many districts have designed preparation programs that include experiential learning,
allowing them to focus on specific leadership issues that are prevalent at their school sites. Turn-
bull et al. (2013) found that these programs allowed district decision makers to know and
observe candidates over a long period of time. The benefits of grooming included early
identification of candidates with potential who could be mentored and trained to meet the needs
of the district and who could eventually be matched to specific schools (Normore, 2006;
Pijanowski et al., 2009; Turnbull et al., 2013). Such familiarization supplied the pipeline and
enhanced the recruitment process for districts.
Tapping of internal candidates. Districts also utilized tapping as a recruitment strategy.
The literature review indicated that tapping occurred when administrators identified teacher-
leaders, provided opportunities for them to gain experience, and encouraged them to apply for
principal positions (Myung et al., 2011). In their study, 93% of the principals stated that they had
been encouraged by at least one other individual to become a principal and 72% indicated that
they had been tapped specifically by a former principal (Myung et al., 2011).
Tapping of internal candidates was a common form of networking. District SA provided
a strong case study of the effective use of tapping to support long-term succession plans. As
explained by HR Administrator SA,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 124
I usually talk to my colleagues who are current principals or at the district office and let
them know this is a position coming up. Do you have someone at your site? Would they
be interested in meeting for coffee to chat about it? (interview, August 23, 2019)
Tapping potential leaders was also a common practice of Immediate Supervisor SA, who
said, “I go back to people who I thought were outstanding teachers, outstanding counselors. I call
and recruit them. I think it’s the personal connections, really” (interview, August 23, 2019). The
elementary principal in the same district, Principal SA1, described how she had benefited from
her connections in the district:
When I transitioned from teacher to assistant principal, I guess there was some level of
that because I had been in the district for so long. I did have some people at the district
office reach out to me or have conversations with me about applying for those positions.
(interview, August 23, 2019)
For her subsequent position as an elementary school principal, she was also tapped and promoted
without an interview due to her strong performance and reputation. Each of these administrators
illustrated the effective way in which District SA had been using networking and connections for
years as a strategy to conduct succession planning for their administrative stability in the future.
Tapping of external candidates. Networking was not necessarily confined to internal
interactions. While district administrators preferred to hire internal candidates, they also
recruited from the outside. Some district-level administrators tapped potential leaders from other
districts and encouraged them to apply as external candidates for administrative vacancies in the
recruiting district. Superintendent SB stated that she often reaches out to potential candidates
from other districts to encourage them to apply. She described the behind-the-scenes recruitment
of a high school principal:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 125
She had a great relationship with someone in her school district, who I happened to be on
a committee with and suggested that I think of her. So I called her and I asked to meet
with her at Starbucks before she applied and she agreed. I told her right when we met, I
said, “I want to make a decision whether or not I want to encourage you to apply or not
and I want you to make a decision if you want to apply or not. So let’s just, you know,
let’s just be real.” (interview, September 11, 2019)
Superintendent SB explained that these informal conversations allowed both herself and the can-
didate to gauge whether or not there would be a good match for the district. She emphasized that
she was always careful not to make promises or give false hope. When the above-mentioned high
school principal was interviewed by the researcher, she also mentioned the same Starbucks
meeting. Principal SB3 stated the following:
I’d only been an Assistant Principal for 2 years. And so I remember going to my principal
and saying, “The superintendent of District SB just called me and wants to meet with
me.” And she said, “You have to go. If a superintendent wants to meet with you, you
have to go meet with her.” We met at Starbucks and she was really open with me about
the situation at the time and what the challenges were going to be. She just got a feel for
me and my philosophy and said, “I feel really strongly that you’re going to be successful
here. I’d really like you to apply.” So I applied. (interview, September 11, 2019)
This candidate had been applying at the same time for another high school position in a different
district. In the same 1-week time frame, she conducted stages of the interview process with both
districts. The other district completed the process first and offered her a position, which she
accepted. Meanwhile, when District SB called to schedule a second interview, she declined. A
few hours later, she got a call from Superintendent SB:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 126
The superintendent called me back and she said, “No, no, no, no, no, no, no.” And I said,
“But I’ve already accepted.” And she said, “Have you signed the contract?” I said, “Well,
no, not yet.” And she said, “No? Then you’re fine and you need to come. Please just
come for the second interview. Let us have a chance.” So I did and here I am. (interview,
September 11, 2019)
This anecdote illustrated that districts sometimes employed aggressive tactics to get
strong principals, especially for complex high school positions. Superintendent SB used personal
connections to woo this candidate to her district. During Superintendent SB’s interview, she con-
firmed this account and verified that networking strategies had been used for the recruitment of
this principal.
Another technique districts used to recruit external candidates involved remembering
strong candidates from prior interview processes who had not been selected, such as the candi-
date who had been ranked second, and reaching out to them for future positions. Principal SC1
(elementary school) got her first administrative job this way:
I had gone on an interview. AN was the principal at RE School and I had done an inter-
view with her. I thought I did really well, but didn’t get the job. Not even a year later, she
told someone about me and she called me and said, “Hey, you need to come back and
apply for this job.” I guess I made an impression on AN, who then told that other princi-
pal, “I interviewed someone who was really good. I think you need to interview her.”
And it went from there and I became his assistant principal. Now he’s the Ed Services
person in this district. I think what helped me is that he worked with me for 3 years and
saw the work ethic that I have and got to know that not only am I a hard worker, but I do
what’s best for kids. So after he went to the central office, he and AN encouraged me to
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 127
apply for a principalship at GE School which I got. And so I think some of the connec-
tions I’ve made have been with some people of influence. (interview, September 26,
2019)
Principal SC1 added that she gained self-assurance because of the advocacy of these two
mentors. Since they had tapped her for these administrative positions, she performed better at the
interviews. She stated that she had exuded more confidence and poise during the interviews,
which made a strong impression with the panels and contributed to her final selection for both
positions.
In summary, grooming and tapping allowed a district to build a talent pool. As Superin-
tendent SA noted that
there are benefits of working for me: the networking, the mentoring, and the promoting.
I’d rather have a stable of racehorses than a stable of donkeys that are going to stay in the
same spot. I’m going to help them get that next step, whether it’s inside the district or not.
(interview, August 23, 2019)
Superintendent SA was describing a philosophy referred to in the literature review as “sponsored
mobility.” In this form of succession planning, districts groomed and trained teacher-leaders in
the skills and experiences that prepared them for future administrative positions (Leibman,
Bruer, & Maki, 1996; Myung et al., 2011). To increase their applicant pool with more qualified
candidates, districts tapped teacher-leaders who had the desire and skills to become site adminis-
trators (Browne-Ferrigno & Muth, 2008). An added advantage of in-house grooming and tapping
was that internal promotions had higher retention rates than external hires (New Schools Venture
Fund, 2008).
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 128
Candidate Demonstration of Desired Qualities and Skills
The third recruitment theme in this study was the importance of demonstrating desired
qualities and skills in order to be selected for a position. Districts utilized the application and
interview processes to provide opportunities for candidates to display their skills and for districts
to ascertain candidate competency. It was evident that districts sought candidates with strong
personal attributes over those with only concrete knowledge and operational skills. The qualita-
tive responses to the interview question, “What qualities or characteristics do you seek in a prin-
cipal candidate?” elicited an array of traits, most of which pertained to leadership style rather
than managerial skills.
Strong character traits. Most of the characteristics identified by participants in this
study related to character traits. District personnel sought candidates who exuded passion and
drive, possessed interpersonal savvy, had situational awareness, and exhibited instructional lead-
ership. Superintendent SA indicated that strong leaders had a certain presence that made them
stand out as potential principals:
Obviously, I’m looking for people with good character and strong convictions. Those
who believe in what they do and have confidence. Giving off an aura about them is
always nice. These are people who have the “it factor,” and you can’t describe neces-
sarily why, but they are people who command a room. (interview, August 23, 2019)
Superintendent SA admitted his preference for those who seemed to be born leaders. He con-
tended that, while some leadership skills could be taught, other traits in strong leaders seemed to
be innate, making the candidates ideal for the principalship.
Immediate Supervisor SA also described personality characteristics that were necessary
for future principals to be able to handle the position: “You need to have confidence and resili-
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 129
ence. And balanced optimism. Courage, too. And above all, advocate for students. That would be
number one” (interview, August 23, 2019). Immediate Supervisor SA enumerated the above
character traits that increased the principal’s chances of being successful. Many of these charac-
teristics involved one’s outlook on situations, such as optimism and a sense of humor. Others
involved strategies to endure the hardships, such as courage and resilience. According to Imme-
diate Supervisor SA, the most important characteristic was a commitment to student welfare and
success. Immediate Supervisor SA indicated that she screened for applicants according to this list
of qualities.
The ideal character traits identified by participants in the qualitative study corresponded
to the qualities of a good principal uncovered in the literature review. According to Fullan’s
framework for leadership, an effective school principal has personal characteristics such as
energy, enthusiasm, hope, and moral purpose (2002). Effective principals are passionate leaders
who exude energy and enthusiasm, inspiring others to commit to the mission of the organization
(Parylo & Zepeda, 2014).
Effective communication and relationship-building capacity. Of all of the character-
istics identified in the qualitative study, two skills dominated throughout the data as essential for
principal success. Both district personnel and current principals identified effective communica-
tion skills and solid relationship-building capacity as critical abilities that candidates needed to
convey during the interview. These two skills were prominent in the literature review that
showed how an effective principal is a team player who is able to interact well with other indi-
viduals, facilitate positive relationships, and motivate all stakeholders toward a common goal
(Parylo & Zepeda, 2014). Effective principals have strong communication and relationship-
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 130
building skills that enhance their ability to nurture, support, and inspire individuals (Parylo &
Zepeda, 2014).
The qualitative interviews in this study produced multiple examples of the necessity for
principals to use effective communication and interpersonal skills to connect and engage with
members of the community. HR Administrator SC described how these essential skills would
carry a principal through the difficult and unpredictable challenges of the job:
So I’m looking at somebody that’s going to be flexible. Somebody that’s going to be
collaborative with the other principals and with their teachers. They have to be a good
communicator and have the relationships with the staff, the students and the community.
The people that can do that, everything goes really simple for them. (interview, Septem-
ber 25, 2019)
HR Administrator SC illustrated that trust was an essential component of the relationships with
stakeholders. An administrator who could quickly establish trust would have a greater chance of
success, especially during difficult situations, such as a school lockdown. When parents trusted
the principal, they were more inclined to give the benefit of the doubt to the administration, their
decisions, and the inconveniences that the decisions might cause. Without trust, parents were
anxious, doubted the competency of the principal to handle emergencies, and caused further
complications and backlash. Thus, HR Administrator SC sought candidates who exhibited the
ability to build trusting relationships with all types of stakeholders.
Another district administrator shared that possessing certain knowledge and skills
allowed future principals to build credibility and trust with their constituents. Immediate Super-
visor SB explained it as follows:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 131
So I went after people who were experts and could build credibility very quickly, but
balance that with relational because you can’t come in too overbearing. And so those
were the things I was looking for when I got here and saw vacancies. Who knows their
stuff and can come in needing very little oversight? So people who can take initiative,
who can build credibility fast, but also build relationships so people trust them. Teachers,
parents, and kids need to see that caring and connection. (interview, September 11, 2019)
Immediate Supervisor SB conveyed that she sought candidates who had developed credibility
through knowledge and past experience to ensure the success of the transition into the
principalship. She also indicated that a potential principal should be likeable. Her litmus test was
her own sense of relatability to the candidate during the interview process. Based on her own
reaction to candidates during the interview, she gauged their likelihood of being accepted into
the culture of a particular school.
Several interviewed principals also recognized the importance of possessing effective
communication skills, especially during critical or sensitive situations. For example, Principal
SB1 (elementary school) described the various techniques used during a conversation.
You have to be a good listener. You need to be very patient. You need to think from the
positive end. When you’ve got a parent yelling at you, you have to figure out what the
problem is, and be as positive and proactive with them as you can, because otherwise
you’ve lost. (interview, September 11, 2019)
Principal SB1 described the nuances of communication that included not only speaking but also
listening, thinking, and problem solving. She shared that she polished this skill over the years
and she knew that it was one of the things that had made her attractive for administration.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 132
Effective communication also entailed adapting one’s approach to meet the needs of the
person or situation. Principal SB2 (junior high school) explained how she had modified her
communication style depending on to whom she was speaking:
To keep this job, you better know how to talk to families and kids. And of course, how to
talk to teachers. You have to know when and how to approach a subject. For example, if I
have a certain teacher that missed a meeting, I can go, “Hey, where were you?” and he’s
fine with it. But if I said it that way to somebody else, that’s going to crush her spirit. I
have to know for that person to say, “Hey, missed you at the meeting today. Everything
okay?” You just choose the right words and those are important skills to know. (inter-
view, September 11, 2019)
Principal SB2 understood the subtleties of communication and how to select her approach
according to the sensitivities of the recipient. Her discretion was a valuable trait that made her a
desirable candidate.
Principal SA3 (high school) described the delicate verbal dance that an administrator
must conduct to ensure that the staff follows the school’s mission and objectives:
My strength is communication. My strength is listening. My strength is being able to . . . I
would never ever say manipulate . . . but navigate. And you can see automatically when
somebody is reading through you, so you need to stop and say, “Let’s just work together
and how can I help you? This is where we want to go. What do you think? Can we get
this done? No, we can’t? Well, why? What resources do we need to get it done? This is
what we need? Okay, let’s work on it together.” So I think my strength has always been
communication, so that I can move the needle up with the teachers that are in the front
lines. (interview, August 23, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 133
Principal SA3 described how he persuaded staff members to persevere toward the vision of the
school. While he hesitated to use the word manipulate, he understood that his communication
style involved coaxing and cajoling to move people toward the common goal of increasing
student achievement. He stated that his capabilities in this area were recognized by district
administrators and resulted in his automatic promotion from assistant principal to principal,
bypassing the application and interview process.
The interviewed principals also recognized the indispensable value of their relationship-
building capacity. As Principal SC1 (elementary school) aptly stated,
I think one thing that sets good leaders apart is how they treat people. And so for me, it’s
so important. I know everyone here. I don’t care if you’re a campus aide or you’re only
here an hour. I will talk to you just like I talk to everybody. It’s so important to have
interpersonal skills in this job. It will take you so far; farther than book knowledge.
(interview, September 26, 2019)
Principal SC1 valued relationships so much that she rarely sat in her office. She had a highly
visible presence on campus, greeting parents, engaging with students, visiting classrooms, and
supporting classified staff members.
Principal SB1 (elementary school) also described the importance of building relationships
with all stakeholders, regardless of rank, status, or influence:
I had the substitute line person tell me yesterday, “You’re always nice and friendly to
me.” And I go, “I make mistakes, we all make mistakes. It’s no reason to be mad at you.”
That’s just always been my philosophy. I think it’s served me well. Everybody’s here to
support our kids, so everybody’s valuable and important and I treat them kindly. I also
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 134
say hi to the grounds people when they’re on campus. I think it’s my kindergarten teacher
nature. I include everybody. (interview, September 11, 2019)
Principal SB1 understood that, as the primary leader of the school, she set the tone for the entire
campus and she made it her mission to spread kindness and civility. She thrived on promoting
positivity and community spirit throughout the district.
Strong candidates for the principalship possessed the ability to connect with others in a
caring and compassionate way. Principal SB2 (junior high school) described her strengths in this
area: “I have great people skills, relating to people and being empathetic or sympathetic. I really
think I do a good job of making people feel important and letting them know that they’re doing a
good job” (interview, September 11, 2019). Principal SB2 understood her responsibility to moti-
vate others and validate their efforts so they would continue to perform effectively.
Not only principals but also district administrators in this study confirmed the finding that
relationship building was an essential skill that made candidates attractive. HR Administrator SA
summarized what she looked for during an interview:
To be successful, they have to be able to build and sustain relationships with their faculty.
That’s like number one for me. I feel as a principal you have to build those relationships
first before you can start talking about curriculum or hard conversations or how we are
going to make this change for students. A lot of our teachers are veterans and they get
very set in their ways and if the principal can’t come in and establish relationships, noth-
ing’s going to work or change. So during the interview I look for that. Is this an individ-
ual who can build relationships? Yes, they do have to be a little bit black and white in
administration, but can they find the gray? So I always look for the relationship skills.
(interview, August 23, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 135
HR Administrator SA emphasized the need to start with relationships before embarking on any
monumental organizational changes. When she spoke about black and white versus gray, she
clarified that effective principals avoided rigidity and strove for compromise in order to accom-
plish transformational improvements in the school. It was this type of leader that she pursued
during the recruitment process.
The theme that candidates were recruited based on their desirable qualities was evident in
the qualitative data and supported by the literature review. The research revealed that principals
must manage the complex communication and interactions with others in order maintain ongoing
positive relationships with staff (Adams, 1999; Byrd, Slater, & Brooks, 2006; Darling-
Hammond, 2003; DuFour & DuFour, 2013). While there was little doubt that a principal’s
knowledge, skills, and experience were important during the recruitment process, the ability to
develop and sustain meaningful relationships based on trust and respect was an essential capa-
bility that superseded any other skills related to operational management (Ortiz & Ogawa, 2000).
Understanding of school and district needs. The final aspect that improved a candi-
date’s success during the recruitment phase was an accurate understanding of the school and
district. During recruitment, districts wanted to ensure that the selected principal would be a
good match for the assignment. In particular, it was imperative that the new principal have the
particular skills needed to meet the demands of the school site at that point in time. With this in
mind, district administrators expressed the importance of the candidate knowing about the
district culture and the school’s needs.
The survey in this study contained one item related to awareness of the district during
recruitment. In response to the statement, “A candidate’s level of understanding of district initia-
tives and goals were important factors in being recruited into principal positions in my district,”
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 136
85.7% of superintendents, 95.5% of HR administrators, 85.7% of immediate supervisors, and
85.2% of principals agreed or strongly agreed (Table 14). These percentages indicated agree-
ment that understanding district initiatives and goals affected a candidate’s recruitment
prospects. The 95.5 % agreement rate by HR administrators was significantly higher than that by
the other three survey groups. These data indicated that those who were in the position most
responsible for recruitment, HR personnel, definitely valued candidates who possessed district
knowledge.
Table 14
Summary of Responses to Quantitative Survey Questions 24, 60, 96, and 152 Regarding the
Importance of Understanding District Initiatives and Goals for Recruitment
A candidate’s level of understanding of district initiatives and goals were
important factors in being recruited into principal positions in my district.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 8 10 85.7% 3 0 0
Human Resources
Administrators (22) 6 15 95.5% 1 0 0
Immediate Supervisors
of Principals (28) 11 13 85.7% 3 0 1
Principals (115) 48 50 85.2% 13 1 3
All participants (186) 73 88 86.6% 20 1 4
Note. N/A = not applicable.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 137
The qualitative responses by two of the HR administrators and one superintendent provided
further explanation of why district knowledge was beneficial during the interview process. HR
Administrator SB shared that
in the last 6 years doing HR, I found that a lot of them will talk about what they bring to
the table, but they have no idea if that matches our need. It doesn’t cross pollinate into,
“Hey, I bring this and it’s also what the school needs.” They’re making assumptions
when they say, “I’m a go getter. Or I’m a cheerleader.” What if the school doesn’t need
that? So I think they don’t do enough researching. Sure, they’ll look at the LCAP [Local
Control and Accountability Plan] goals; they may look at the website; they may look at
the suspension rate. They may look at those technical pieces that anybody can Google,
but they don’t do a good enough job researching the community culture. For example, if
the parent involvement is low, the attendance rates are not good, and the morale is really
down, then we need somebody who’s going to come in and really build the morale and
bring motivation. So you want to network, you want to make calls. I’m looking to see if
they did their research in terms of knowing what to do in order to be successful in that
particular assignment. (interview, September 11, 2019)
HR Administrator SB seemed to feel strongly that candidates needed to know inside information
about the school site to increase their chances during recruitment. He admired those candidates
who invested time to gather that information and reflect on their ability to meet the specific
needs of that school. He also mentioned the importance of knowing the administrative history of
the site, such as a high turnover rate, in order to be prepared for the challenges that might exist in
the school culture and climate.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 138
HR Administrator SC, the district assistant superintendent of human resources, empha-
sized the desire to select candidates from a district with a similar composition:
So when I’m looking for our schools, I also look at did you work at schools like ours.
Because I know I can take somebody that’s only worked at the Title I schools. Then they
come to one of ours where you’re already scoring 80, 70, and your problems are differ-
ent. So I do look at whether they match with what our schools are. I’m looking at in state
versus out of state, because I’m not sure out-of-state people always have a clue of what
we’re doing here. I do look and see if they have only been at charters. A lot of times I
don’t pay as much attention to charter candidates because it’s a whole different way of
working. (interview, September 25, 2019)
HR Administrator SC provided examples of work history, such as charter school, that would not
be a good match for his district. He said that candidates should carefully research districts and
apply only to those districts that matched their background and areas of expertise. He explained
that by carefully selecting the positions to which they applied, candidates would increase the
likelihood of passing the paper screening phase and getting an interview.
Possessing knowledge of the school and district proved to be a strength for principal
applicants. Taking the time to research and understand the history, culture, and climate of the
organization improved a candidate’s ability to respond appropriately in interviews. Superinten-
dent SB described the advice that she gives to aspiring administrators:
Tell me what kind of school district you want to work for. Don’t just want to be a princi-
pal. You want to aspire to be that at a particular place because you’ve researched it and
that’s who you want to work for. You’ve got to know the superintendent you’re working
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 139
for; you’ve got to know the assistant superintendents and what they stand for. (interview,
September 11, 2019)
Superintendent SB stressed the importance of candidates knowing about the executive cabinet of
the district to which they apply. She indicated that candidates needed this information during the
interview to demonstrate their suitability for the position.
This study confirmed the third recruitment theme regarding the need for candidates to
demonstrate their qualities, skills, experience, and readiness for a specific vacancy in a particular
district. The literature review confirmed that, for a principal to be effective, he or she must be a
good match for the school. A good fit is essential so that staff, students, and community
members will accept the leader and “buy into” his or her vision, initiatives, and accountability
measures (Parylo & Zepeda, 2014). Due to the obligation for districts to select the “right fit”
whenever possible, candidates must dig deeper than the basic research regarding geographic
location or salary in order to demonstrate that their strengths and skills match the specific culture
and needs of the school (Richardson et al., 2016). Candidates should research the school,
including its values, mission, goals and context, in order to establish a connection to the com-
munity and increase their chances of obtaining a principal position (Walker & Kwan, 2012).
Summary of Results for Research Question 2
Exploration of Research Question 2 revealed that the recruitment of principals was an
important process that involved careful screening and consideration by districts and required
strategic planning and leveraging by candidates. The first theme was that candidates should
actively seek opportunities to increase their district-level exposure and visibility to enhance their
recruitment prospects. The second theme was that candidates should make connections with
district personnel, both internally and externally, to research and express interest in positions
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 140
because district leaders often use their networks to recruit and evaluate potential applicants. The
third theme was that candidates should develop desired qualities and interpersonal skills to
demonstrate readiness and suitability for the specific principal vacancy in a particular district.
These three themes reflected factors that improved a candidate’s prospects during the recruitment
process.
Findings for Research Question 3
In order to understand the retention of principals, Research Question 3 asked, “What are
the perceived strategies that support the retention of principals?” As investigated in the literature,
the role of the principal has expanded from basic school management to complex instructional
leadership involving multiple demands such as high-stakes testing, state mandates, fiscal respon-
sibility, and political pressure (Usdan, 2004; Winston, 2002). The daily demands, long work
hours, increased paperwork, and excessive bureaucracy have made the principalship less attrac-
tive (Gajda & Militello, 2008; Normore, 2006; Thomson et al., 2003). Due to rising pressure,
inordinate time commitment, and relatively moderate pay, many leaders have abandoned the
principalship or have avoided applying for the position (Fullan, 2014; Thomson et al., 2003).
The quantitative and qualitative instruments used in this study collected information
related to various factors that might affect job satisfaction and retention of principals. The data
analysis revealed that the majority of strategies for retention revolved around two themes: (a)
Obtaining support and extended learning from district administrators, coaches, and peers con-
tributed to the retention of school principals; and (b) pressures from accountability measures,
heavy workload, and long hours were factors that must be alleviated, while self-care and self-
efficacy were priorities that must be encouraged, to support retention of school principals.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 141
Obtaining Support
Obtaining support and extended learning from district administrators, coaches, and peers
contributed to the retention of school principals. Without this support, principals felt lonely and
discouraged by the burdens of the position (Zellner et al., 2002). Having colleagues to rely on
helped principals to get additional training, practical advice, and emotional support to persist in
their positions (Brown, 2011; Matthews & Crow, 2003; Service, Dalgic, & Thornton, 2016).
District support. The first layer of support for principals derived from the district
administration. Having relationships with district personnel provided an important level of
support for sitting principals to maintain their retention. According to the quantitative data in this
study, the factor that had the highest influence on principals’ desire to stay in the profession was
their relationships with district-level administrators. Of the 115 principals in this study, 111
(96.5%) agreed or strongly agreed that the relationships with directors, assistant superintendents,
and the superintendent supported their success in retaining their current positions. In fact, only
one principal disagreed with this statement and three marked it not applicable (Table 15).
Not only did principals understand the importance of these relationships, but district per-
sonnel also expressed agreement or strong agreement: 100% of superintendents, 100% of HR
administrators, and 96% of immediate supervisors. The almost unanimous agreement by all
survey respondents indicated the vital role of relationships with district personnel in the support,
success, and retention of principals.
The qualitative interview responses by principals highlighted the theme that support from
district administrators was essential to their success in such a demanding leadership role. Princi-
pal SC3 (continuation high school) emphasized the importance of district support: “If I wasn’t
getting the kind of support that I do, if I ever started feeling they weren’t being as understanding,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 142
Table 15
Summary of Responses to Quantitative Survey Questions 36, 72, 108, and 165 Regarding the
Importance of Relationships With District Personnel for Retention
The relationships principals have with directors, assistant superintendents,
and the superintendent support their success in retaining
their current position.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 18 3 100.0% 0 0 0
Human Resources
Administrators (22) 18 4 100.0% 0 0 0
Immediate Supervisors
of Principals (28) 20 7 96.4% 0 0 1
Principals (115) 71 40 96.5% 1 0 3
All participants (186) 127 54 97.3% 1 0 4
Note. N/A = not applicable.
I would leave. Because I’m certainly of retirement age. I’m here now because I enjoy it” (inter-
view, September 25, 2019). District support was especially critical for elementary principals who
often led the school alone, without another administrator or teacher on special assignment. As
one elementary principal stated,
if I didn’t have that support, I think it would be very easy to feel alone, especially at the
K-5 level with no other admin support on your site. It could feel very lonely. It could feel
isolated. You can feel like you don’t have somebody to collaborate with. You could feel
overwhelmed because you don’t have others to talk to or lean on or get support from. But
I think that the district’s structure of meetings and professional development helps to
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 143
keep me focused on the work, engaged in the work, and supported in the work that I’m
doing. And so, I don’t feel overwhelmed. I don’t feel like I need to look elsewhere. I
don’t feel like I need anything else. I feel very, very good at my current spot. (Principal
SA1, interview, August 23, 2019)
Principal SA1 emphasized that by having the support of her district, she avoided the isolation
and loneliness inherent in the elementary principalship. Formal meetings and professional learn-
ing provided the structure and support that she needed to stay focused and motivated on the job.
Principal SB2 (junior high school) reiterated the significance of district support when she
compared her struggles as an elementary principal under one assistant superintendent who pro-
vided minimal support to her subsequent success under a new assistant superintendent:
After Year 2, I was like, “I don’t know if I want to do this.” Teachers were showing their
true colors. The honeymoon phase was over. I was really digging in and having them do
the hard work and they were mean, just mean, and I didn’t feel supported. But I made a
commitment to myself and to that school and I said I would go 5 years. And then in my
fifth year as an elementary principal, my new assistant superintendent showed up. I
finally felt like we had the support we were starving for and she just really lit that fire.
(interview, September 11, 2019)
Principal SB2 remarked that support by this new assistant superintendent gave her new energy
and hope. She was rejuvenated and more willing to remain in the position. This anecdote illus-
trated the importance of having effective district leaders who supported principals with empathy
and encouragement to help them persevere through difficult times.
In their interview responses, district administrators provided specific examples of this
theme that district relationships were critical for success and retention. HR Administrator SA
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 144
explained, “I think what influences them is the upper management and how we lead and the
support that we give them. I don’t want them to be afraid to ask us a question. I think that
support influences them to stay” (interview, August 23, 2019). HR Administrator SA expounded
that availability and nonjudgment provided the most supportive approach to principals.
Many of the district administrators explained that their relationships with principals
included individualized, practical guidance. Immediate Supervisor SA described the supportive
way in which district-level administrators should interact with principals:
I think it’s the district regularly supporting them in a nonjudgmental way. It’s kind of like
being a thought partner at times. For example, with a brand new principal, first time they
had an issue with a student, such as suspected child abuse, it’s going over and sitting with
that principal and letting her take the lead. It’s just sitting there and being that support,
that if they need anything, you’re right there to help them. It’s going through their data
with them, sitting down, and it’s not a judgment. “Let’s look for our bright spots. Let’s
look for our urgent messages.” But before I do that, I model what our data is. It’s giving
them strategies. (interview, August 23, 2019)
According to this assistant superintendent of education services, effective district-level adminis-
trators took a hands-on approach with principals and modeled best practices. They guided their
principals through challenging situations and gave direction as needed.
One critical way in which districts provided support was to alleviate some of the work-
load, such as petty assignments, monotonous paperwork, and weekend emails. Unfortunately, the
burden of paperwork for school principals has grown drastically in recent years. Principal SB1
(elementary school) described the increases in workload over the years.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 145
What I think’s happening more and more with this job, is there’s just so much more piled
on our plate that it becomes so stressful, that at some point people reach their breaking
point. There were a lot of things that district did that we’re now expected to do at the site.
And so, we just do it. But I also know there’re more people at district than when I first
became a principal. So somewhere along the way workload needs to be looked at.
Because it really is about the workload and the demands of the job. For example, in the
past, we never touched CALPADS [California Longitudinal Pupil Achievement Data
System] at the site and now we’re expected to be checking it. It’s the little things like
that, but when it’s 10 of those little things, you’re like, how? And I’m supposed to be in
classrooms 2 days a week, all day long. And it’s like, how do you support that? (inter-
view, September 11, 2019)
This principal’s opinion was echoed in the other interviews. When asked what factors would
influence their desire to leave the position, all nine principals mentioned the amount of work and
time entailed within the job.
District-level administrators who were interviewed also recognized the heavy workload
and provided ideas about how to reduce the burden. For example, HR Administrator SB empha-
sized that it is important not to overwhelm principals with too many district-assigned tasks:
My former superintendent said if we can do it at the district office, I don’t want the prin-
cipals doing it. He was all about the principalship and the principal. For him, it was “Why
aren’t we doing it here? You have directors, I don’t want this going out.” He was ada-
mant about it. He would say, “Okay take this off the agenda and make that an email. Can
this wait? Yes? Okay, then wait 2 weeks.” He conscientiously took stuff away from their
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 146
plates. He made the directors review the agenda as a team and remove items. (interview,
September 11, 2019)
HR Administrator SB acknowledged that district administrators often bombarded principals with
tasks and should be more selective about these assignments. Other district administrators men-
tioned curtailing evening and weekend emails so that principals could have quality time away
from the office.
Making support of principals a priority was emphasized by Superintendent SC:
The district office works for school sites. The school sites don’t work for a district office.
There’re no kids here. There’s not a single kid here. And the only way the district office
gets evaluated is based on how well your schools are doing. (interview, September 25,
2019)
Superintendent SC emphasized that principal effectiveness was of high priority. It would
behoove districts to facilitate support of principals to ensure school success, which defines
district success. Making adjustments in workload, pacing deadlines, and alleviating demands on
principals were ways in which districts showed support to their principals.
The preceding qualitative data aligned with the literature review about the intensive work
demands on principals. To enhance retention of principals, districts should reexamine the role
and workload (Whitaker, 2003). Districts should consider ways to make the position more
attractive, manageable, and fulfilling (Fullan, 2014; Thomson, Blackmore, Sachs, & Tregenza,
2003). These qualitative data reinforced the theme that principals need support from district
administrators to increase chances for success and retention.
Mentor support. The second avenue for principals to obtain support was through
mentors. The quantitative data indicated that having mentors was the second highest factor that
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 147
aided principals in retention of their positions. Approximately 94% of all respondents agreed or
strongly agreed that a mentor who provided processes and strategies supported the success of
principals to retain their positions (Table 16). The survey responses revealed that only 4 of the
115 principals (3.5%) disagreed with the importance of mentors and 5 stated that this item was
not applicable. The survey data supported the literature that showed that mentoring and coaching
of new principals helped to increase effectiveness and the likelihood of longevity in the position
(Sciarappa & Mason, 2014). Principals benefit from a collaborative culture in which they work
with other administrators to share best practices and to develop a network of encouragement and
support (Marzano et al., 2005).
Table 16
Summary of Responses to Quantitative Survey Questions 35, 71, 107, and 164 Regarding the
Importance of Mentors for Retention.
Having mentors provides principals with processes/strategies that
support their success in retaining their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 9 12 100.0% 0 0 0
Human Resources
Administrators (22) 17 4 95.5% 0 0 1
Immediate Supervisors
of Principals (28) 19 8 96.4% 0 0 1
Principals (115) 67 39 92.2% 4 0 5
All participants (186) 112 63 94.1% 4 0 7
Note. N/A = not applicable.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 148
The qualitative data from district-level administrators in this study confirmed that providing
mentors was a common strategy used by districts to ensure principal support. Commentary from
several district administrators revealed that coaching should be offered on an “as-needed” basis
to address specific challenges of the principalship. HR Administrator SC stated:
It depends on the principal. The one that came in this year, she was a principal already, so
it wasn’t necessary. Then we had a new principal last year and I said, “Do you want the
support? You’re so overwhelmed.” She said, “Not right now,” and I said, “Okay.” Seven
months later she said, “Can I have that support coach now?” We assigned one and that’s
continuing into this year. So it’s really tailored to what each principal’s need is. (Septem-
ber 25, 2019)
HR Administrator SC explained that, except for struggling principals, coaching support was pro-
vided at the request of the principal. This approach guaranteed a cooperative and reflective
setting in which the principal could be honest and vulnerable.
Superintendent SC reiterated their practice to assign coaching based on need and interest:
Not everybody has a coach. And I don’t believe in that. I’ve asked, “Well, what do you
hope to gain out of working with a coach?” “Well, this is what I’m hoping to gain.”
“Okay, well then we’ll get you a coach.” Some of it’s from outside paid coaches. Some
of it’s mentoring in house. Some of it’s situational. Some of it’s for new principals. But
even when people come here, we don’t immediately give them a coach. We say, “Get
your feet wet for 3 months. Build relationships. You tell us what you need to be success-
ful. What are your thoughts?” It’s an open dialogue. So my answer about coaching is that
it’s so individualized. (interview, September 26, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 149
In all three participating districts of this study, mentors were assigned based on need to
provide support and guidance to principals. The district administrators felt strongly that these
assignments should be mutually agreed upon and should be tailored to the specific challenges of
the individual principal.
The principals who were interviewed in this study also supported the theme that having a
mentor influenced their success and retention. Principal SA2 (middle school) provided a good
explanation of the principals’ appreciation of the mentor relationship:
If something’s happening, I can call, text, send a smoke signal. She will respond, and
she’ll always condense things down. She will help me with that focus and give me clarity
where I’m struggling. When you look at that whole scale of coaching, she moved from
being directive to facilitating my problem solving. After a year together, she doesn’t give
me the answers anymore, but she knows how to ask the right questions. (interview,
August 23, 2019)
Principal SA2 described the trajectory of the relationship from initial dependence to guided
practice to eventual independence. He recommended the gradual release of the mentoring
support in small increments over time, thus allowing the principal to take risks in a safe setting
with the guidance and advice of the mentor. All nine principals in this study discussed how
coaches had significantly influenced their troubleshooting, problem-solving, and decision-
making processes, especially when dealing with challenging situations.
Confidentiality in the coaching relationship was essential. Many of the interviewees in
this study clarified the distinction between an evaluator and a coach. HR Administrator SB
explained the significance of this separation:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 150
You would have your evaluator, and then you would also have a coach. And they are dif-
ferent, because you may want to ask questions of your coach that you may not want to
ask your evaluator because you couldn’t be vulnerable. You would not want to open
yourself up to criticism for fear it could be used against you later. So I really like the
two-prong model where you have your evaluator who’s going to look at different key
aspects of your goals, but you also have a mentor you can ask questions like, “Hey, this is
what I’m thinking, what are your thoughts? What are some troubleshooting ideas?” Or
the principal asks, “I’m thinking about changing the bell schedule; should I do it?” And
the coach says, “No it’s your first year; leave that one alone.” The principal can be vul-
nerable and ask those kinds of questions of a coach and not necessarily the evaluator.
(interview, September 11, 2019)
The coaching relationship was viewed as a nonthreatening opportunity for principals to vet ideas
and develop solutions in a safe setting.
Not only did district administrators have this perspective but principals also concurred.
Principal SA3 (high school) explained:
We use Focused Schools. You get a coach that sets up times and it’s really awesome to
bounce stuff off of her because she is not part of the district. So I can really talk to her
about the frustrations, if I have any, or about how to handle certain things that happened.
The district does a really good job providing a continuum of support, to coach us up
through coaches and then obviously through our evaluators, who check up on us and
meet with us. (interview, August 23, 2019)
Principal SA3 clarified the distinction between his independent coach and his district evaluator.
He contended that the balance of these two approaches provided a solid frame of support for
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 151
him. Most principals in this study shared a similar sentiment that they were able to be vulnerable,
honest, and genuine in their interactions with their mentors. This allowed them to address their
issues in a more proactive way in order to improve their practice.
The quantitative and qualitative data in this study supported the body of literature related
to the theme that mentors were a crucial component of a principal’s success and retention.
Sciarappa and Mason (2014) asserted that coaching was beneficial because it could be tailored to
meet the needs of the individual principal and the specific school. At the crux of mentoring and
coaching is the cultivation of trusting relationships between the mentor and the mentee (Kiltz,
Danzig, & Szecsy, 2004). The benefits of coaching and mentoring included enhanced relation-
ships with colleagues, stronger organizational commitment, improved job satisfaction, and an
increase in employee retention (U.S. Office of Personnel Management, 2008).
Peer support. The third type of relationship from which principals obtained support was
peers. While the quantitative data did not have a question regarding the impact of peers on
retention, it had a question in the section about preparation for the principalship. Specifically, the
survey asked respondents to indicate the extent to which “Informal networks (e.g., professional
colleagues) were important in preparing principals for their current positions”; 98.9% of the 186
respondents agreed or strongly agreed with this statement (Table 17). Except for two partici-
pants who marked “not applicable,” all respondents agreed or strongly agreed that peer support
was important. This survey response indicated that having support from one’s colleagues was
perceived as an essential foundation for administrators.
The qualitative data from this study aligned with the survey results and reinforced the
importance of peer networking, not just for preparation but also for retention. Consulting with
colleagues in job-alike positions provided collaboration and new ideas, as well as comfort and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 152
Table 17
Summary of Responses to Quantitative Survey Questions 12, 48, 84, and 137 Regarding the
Importance of Informal Networks
Informal networks (e.g., professional colleagues) were important
in preparing principals for their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 12 9 100.0% 0 0 0
Human Resources
Administrators (22) 16 6 100.0% 0 0 0
Immediate Supervisors
of Principals (28) 19 8 96.4% 0 0 1
Principals (115) 86 28 99.1% 0 0 1
All participants (186) 133 51 98.9% 0 0 2
Note. N/A = not applicable.
reassurance. Several of the principals who were interviewed indicated their reliance on peers for
support. For example, Principal SA1 explained, “When I became a principal for the first time, I
appreciated that collaborative structure. There were many K-5 principals with years of experi-
ence who were right there for me with anything that I needed” (interview, August 23, 2019).
This elementary principal emphasized how dependent she was on the input that she received
from veteran elementary principals. Since she had no other administrators at her site, these col-
leagues provided practical advice in job-alike positions. She stated that their input was the most
applicable to her specific circumstances.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 153
Principal SB3 (high school) explained how these relationships were extremely critical for
her job success:
When I was a new principal, the person I replaced met with me on a weekly basis. He
provided peer support that I was missing. We talked about things to problem solve and
troubleshoot. I found that really beneficial. My assistant principals were great, but unless
you’ve been a principal, you don’t understand the magnitude or the weight of the deci-
sions that you have to make. So it was nice to talk to somebody who understood and
could help me look at all the possible outcomes. I never felt like I was alone. And for me,
a high school principal, that was huge. (interview, September 11, 2019)
Principal SB3 appreciated the speedy response time and availability of her colleague. She noted
that having assistant principals at the site was not a sufficient source of peer support. Due to the
complexity of the job and the high-stakes academic, cultural, and political pressures, she
maintained that only another high school principal could empathize with her situation. This peer
support was essential for her stability and success.
Principal SC2 (middle school) also referred to the important support received from his
colleagues:
The ones that I probably turn to more often are my colleagues that also sit in other princi-
pals’ chairs; just being able to network with them and share ideas. You can vent and you
can throw things by them. They’ve tried this and I’ve tried that and where can we go?
And how did they handle this situation? Being able to have those kinds of conversations.
So you’ve got to have relationships both with the people sitting next to you and the
people above you. (interview, September 26, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 154
Principal SC2 described how conversations with his fellow principals provided informal coach-
ing in a nonjudgmental way. He explained that these casual relationships allowed him to be
unguarded, providing an outlet to release tension.
In summary, the quantitative and qualitative data related to retention confirmed the first
theme that principals needed to obtain support from district personnel, mentors, and peers in
order to be successful in their positions. Immediate Supervisor SC summed it up:
I think if principals have the ability to make connections with others in like roles and
others in support roles, that’s key to being a success. And it’s critical for new adminis-
trators to be candid and authentic about what they’re struggling with and what they’re
doing, without fear of reprisal or reprimand. (interview, September 26, 2019)
The findings in this section supported the theme that principals require support from
district personnel, mentors, and peers in order to be successful. The literature review also
asserted that support for current principals, including networking, mentoring, and coaching, has
contributed to most principals’ stability and success in the position (Brown, 2011; Matthews &
Crow, 2003; Service, Dalgic, & Thornton, 2016). Districts can support retention of principals by
establishing a collaborative structure in which they work with other administrators to share best
practices, solve problems, and develop a support system (Marzano et al., 2005).
Handling the Pressure
The second theme related to the retention of principals revealed the importance of
handling the various pressures of the job to avoid becoming overwhelmed and discouraged. The
data indicated that principals experienced immense pressure on the job. The quantitative data
included only one survey item related to pressures, specifically whether the stress of account-
ability measures affected principals’ desire to retain the position. However, the qualitative inter-
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 155
view protocol contained an open-ended question that asked what factors would influence a
principal’s decision to leave the profession. These two instruments elicited information about
three prevalent stressors: accountability measures, heavy workload, and long hours.
Dealing with accountability measures. Regarding the survey item related to pressures
from accountability measures, 52.4% of superintendents, 68.2% of HR administrators, 67.9% of
immediate supervisors, and 48.7% of principals agreed or strongly agreed that such mandates
affected the desire of principals to retain their positions. While these percentages were not as
high as the results for other factors related to retention, they indicated that more than half of all
respondents identified accountability measures as having a significant impact on principals’
desire to stay in the position (Table 18).
Fifty-six of 115 principals (48.7%) indicated that accountability measures created
pressure that influenced their desire to retain the position. Since almost half of the principals
identified stress caused by accountability measures, the researcher explored the interview
responses to seek additional evidence.
In the interviews, some respondents referred to the pressures from accountability
measures. When asked what factors influence a principal’s decision to stay in the position, par-
ticipants mentioned mandates related to testing, suspensions, or special education. For example,
Principal SC1 (elementary school) discussed the work load related to special education compli-
ance:
I have 487 students. We have such a large special day class population with six class-
rooms, that comes with a lot of legal things and parent issues that keep you on your toes.
And so I’m very IEP [Individual Education Plan] heavy and I find myself stretched in
quite a few spots. Right now I have meetings and IEPs all day. So usually I don’t do my
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Table 18
Summary of Responses to Quantitative Survey Questions 39, 75, 111, and 168 Regarding
Pressure From Accountability Measures on Desire for Retention
Pressures from accountability measures affect principals’
desires to retain their current positions.
Participant position Strongly Agree or Strongly Don’t know
(count) agree (#) Agree (#) strongly agree Disagree (#) disagree (#) or N/A
Superintendents (21) 0 11 52.4% 9 0 1
Human Resources
Administrators (22) 1 14 68.2% 6 0 1
Immediate Supervisors
of Principals (28) 2 17 67.9% 8 0 1
Principals (115) 18 38 48.7% 54 2 3
All participants (186) 21 80 54.3% 77 2 6
Note. N/A = not applicable.
desk work until all the other people go home. That is when I get to do my work. And
when I finally decide I want to go home, this is my handy damn little friend [grabs her
laptop], and I’m up working until 8:00 or 9:00 o’clock at night. And so the problem with
that is you feel like you’re always working. You’re constantly working. (interview, Sep-
tember 26, 2019)
Principal SC1 affirmed her commitment to her students but also admitted that she was over-
whelmed. She understood her responsibility to adhere to the requirements of IEPs, to complete
her daily task list, and to meet numerous deadlines. Because she spent every minute of the school
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 157
day interacting with students, teachers, staff, and parents, she rarely had time at her desk. Thus,
she had to complete all paperwork after hours, which added to her stress.
Principal SC2 (middle school) also described the pressure that he felt to comply with
state mandates, especially related to student discipline:
Some of the mandates that come down from the state just get ridiculous. For example,
this new suspension law. I understand that we don’t want to suspend kids from school. I
totally get it. I want butts in the seats, and I believe in instructional time. At the same
time, all they said was don’t suspend them anymore. They put no effort or thought into,
so now what? They gave no monies and no direction about what to do instead. They
didn’t give the resources for us to figure out how to do it. So things like that where the
mandates that come down from the state get so unreasonable and so difficult to imple-
ment, even if they were done with the right intention. (interview, September 26, 2019)
This principal operated a middle school with more than 1000 students and clearly felt the burden
of maintaining a safe and orderly campus without having the legislation to enforce a zero toler-
ance policy. Adherence to state law regarding student discipline created significant pressure for
this principal.
District administrator interviews also provided data to support the theme that pressure
from accountability measures created stress for principals. In fact, at least one central office
administrator from each district in this study shared concerns about the impact of more mandates
from the state. HR Administrator SC provided the following explanation:
Even though we don’t pressure our schools over test scores, the community does. And
now you can’t suspend a kid for defiance anymore. So the tools that you have are being
taken away, such as that one. Also, we’re bringing all the special ed kids back from the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 158
SELPA [Special Education Local Plan Area] into our schools and the principals are
trying to integrate, but they’re having those pressures from the parents, the kids, the
teachers. (interview, September 25, 2019)
HR Administrator SC indicated that school principals experience pressure from every angle,
including students with poor discipline, parents with demanding expectations, employee unions,
and legislative mandates. He shared that the principalship now involves much more responsibil-
ity and accountability than in the past.
Superintendent SB mentioned the latest challenge for school principals: the responsibility
of having students with severe emotional needs on the regular campuses:
In the last 5 years we’ve had a significant increase in the escalation of behaviors with
kids. And I think the training programs do not teach principals how to work with kids
with emotional disturbance. Kids who escalate really quickly. And if there are not
immediate resources on the campus and the principals are in charge of doing the triage,
then they feel inadequate or not prepared or just not qualified. So I think the hard parts of
the job really start to weigh on people’s confidence and a sense of, “I can’t do this
anymore.” (interview, September 11, 2019)
Superintendent SB remarked that more students now enter school with the burden of some type
of trauma. In her experience, these students usually require more intensive intervention from
specialized experts such as therapists and social workers. Since additional support staff are not
available at most schools, the principal must sometimes assume those roles or at least coordinate
outside services for students. Addressing the social-emotional health of students has added a
burden on school principals, who are now expected to address all facets of student learning,
rather than just the traditional academic objectives.
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Superintendent SA specified that outside pressures increase the stress on principals to the
point that they no longer choose the position as a lifetime career:
So traditionally this district has had a history of principals with 20+ years. That’ll never
happen again. There is just too much pressure from outside. The whole testing environ-
ment. The legislation going through right now that we will not be able to suspend a kid
for open defiance anymore because of the disproportionality. Well, instead of attacking
the issue, they attack the means and the tools. Principals have their hands tied. So I don’t
think society is making education laws that are necessarily conducive to the reality of
school leadership. Instead, it is just the blame game. (interview, August 23, 2019)
Superintendent SA’s response about stressors, which aligned with those of other participants in
this study, included student discipline, special education, and state testing. He indicated that, due
to increased accountability measures, principals would no longer stay in the same school for long
stretches of time. Accountability measures increased the pressure on principals and decreased
their duration as site administrators.
The literature review provided similar information about the impact of accountability
measures on the principalship. The stress on school principals has increased over the decades due
to continuous changes in demographics, pervasive compliance mandates, and insufficient school
funding (Fullan, 2014; Hoyle & Wallace, 2005; Marzano, Waters, & McNulty, 2005; Spillane &
Lee, 2014). Accountability for positive school and student outcomes rests directly on principals
who will need effective professional development for themselves as leaders so they can then
build capacity (Marks & Printy, 2003). The pressures of governmental accountability, high
demands, relatively low compensation, and unreasonable time commitments have led many
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 160
administrators to leave the profession and have deterred potential candidates from applying
(Norton, 2002).
Managing heavy workload and long hours. The pressures from accountability
measures were compounded by the general stress related to the heavy work load and long hours
of the principalship. According to the literature, new principals felt stress due to the struggle with
time and task management—skills that take time to learn (Cray & Weiler, 2011).
The qualitative data in this study aligned to the literature, illustrating the stress caused by
long hours and extensive amounts of work. Interview participants emphasized that principals
must learn how to manage their time and workload in order to avoid burnout and sustain reten-
tion in the position. Principal SB3 (high school) commented on the impact of the job on her
home life. “If I didn’t have the support of my family, I would’ve bailed out by now. The pay is
not worth the hours that you work. I mean, you’re just pulled in so many directions and work so
many hours” (interview, September 11, 2019). HR Administrator SA agreed that the burden on
home life was a major factor in the retention of principals. “I think the people I’ve seen who’ve
decided to go back to assistant principal or even teaching, it’s just due to the stress on home life
and the balancing” (interview, August 23, 2019). HR Administrator SA reiterated that it is diffi-
cult to be a principal.
The situation of Principal SC1 (elementary school) provided a textbook case of stress,
overload, and burnout. She provided evidence that principals were overwhelmed by the intense
workload and long hours:
It’s all-consuming. I’m still trying to find a personal life and work balance because I do
find myself being on call all the time. It’s constant. You’re stretched so thin. I can be on
spring break and I’m getting phone calls. When you have that many people in one place,
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 161
you’re responsible for remembering what is happening in their lives and being sensitive
to that and being attentive to those things. I think it is a very stressful job that can take a
toll on you if you don’t manage it the right way. (interview, September 26, 2019)
Principal SC1 found the constant demands on her time and attention to be overwhelming. She
felt drained, with energy depleted by the end of the day. Yet she expressed how difficult it was to
turn off work when she was at home. The inability to compartmentalize work life from personal
time exacerbated the situation because she could not get enough sleep and mental downtime to
restore her energy and outlook.
District administrators in this study reinforced statements made by principals that the
heavy workload and long hours caused serious stress. HR Administrator SA described that these
factors were extremely weighty on high school principals in particular:
The hardest job I ever had was high school principal. Not only are you working 7:30 to
like 5:00 or 6:00 at night, but every Friday night you have your football, or in winter your
Tuesday and Thursday night basketball games. Then also soccer games and water polo.
You have prom, homecoming, PTA [Parent-Teachers Association]. The amount of time!
The school day ends at 3:00 p.m., but the work day continues. That is the hardest job in
the district (interview, August 23, 2019)
HR Administrator SA understood the never-ending work of a high school principal as she had
experienced it. She often admonished other district administrators when they were insensitive,
reminding them that they have no idea about the complexity and pressure of the job. HR
Administrator SA shared the advice that she gives to site administrators to help them to balance
home and work:
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 162
“If I see you at work at 5:30 or 6:00 PM, you should be going home because whatever
you’re working on will still be there tomorrow. Do not stay after hours. If your hours are
7:30 to 4:30 and you don’t have a night event, just leave.” (interview, August 23, 2019)
HR Administrator SC also advocated for a separation of home and work life. He
described a rule in his district designed to protect administrators from the encroachment of work
on their family time:
One of the things I’m most concerned about are principals. They don’t know how to
balance and we don’t teach it. Although here we do try. We say, “We won’t email you at
night, and if we do, don’t answer it.” I was talking to a director yesterday, and I said, “If
you write an email on a weekend, then save it until Monday in your drafts. Don’t send it;
it’s not fair.” I said, “Gee you really sent that email on that day, on Sunday? Don’t you
know your principal is going to open it because it’s from you? He’s going to open it, then
all of a sudden, he’s going from thinking about having this nice picnic and watching the
game later on that day to worrying about work. You just ruined his weekend.” (interview,
September 25, 2019)
HR Administrator SC enforced the “no weekend email” rule to protect principals and alleviate
the pressure from work. This example aligned with the findings in the previous section indicating
that districts must help principals to manage the workload by monitoring how and when they
give directives. Two of the three districts in this study had implemented unwritten rules about not
infringing on the personal time of principals in order to foster healthy and realistic work habits.
Like the district administrators, many principals in this study identified a lack of balance
in their lives as a factor that threatened retention. Principal SA2 mentioned that the impact on his
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personal life would be the only thing that could make him leave the position. He provided a
visual metaphor:
We’re all juggling all of these things in the air, but you’ve got just a few things that are
made of glass that you cannot drop. And, that’s your family, that’s your health. For all of
our sakes, I need to find that balance. I’ve got to remember that it’s okay to stop and
breathe and take a break. I need to become more intentional in reserving that time to
reflect, so I can get a better result and be more refreshed when I’m at work. (interview,
August 23, 2019)
Principal SA2 aptly noted that family and health were fragile aspects of life that must be nurtured
and protected. He emphasized that he needed to reduce his time at work, not only to improve his
home life but also to model balanced living to his staff members.
Practicing self-care. The qualitative data revealed that another method for handling
pressure was for principals deliberately to make time for self-care and healthy habits in order to
increase their endurance and retention. Principal SC1 (elementary school) admitted that she was
experiencing burnout and had been considering leaving the principalship. She attributed this pos-
sibility to the workload and described her attempts to alleviate through self-care.
I’m seeking an opportunity for growth. This is an all-encompassing job and it takes a toll
on you time-wise, stress-wise. I make a point to run every morning before work because
all you do all day is for other people. And so it is the one thing I do for myself every day.
It’s how I start my day and it helps me manage the stress. It’s the one thing that I know
I’m carving out for me because I do for people all day. I problem solve all day and at the
end of the day, I just don’t have anything left to give, if that makes any sense. I’m just
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 164
done. And so I think maybe I’ll be looking for a less stressful situation. (interview, Sep-
tember 26, 2019)
Principal SC1 confessed that she was desperate for a different position, either at the district or
university level, due to the pressures of the principalship. She indicated that her daily morning
run was the only time that she dedicated to herself. She recognized that this would not sustain her
long term and that she needed to find a resolution. Her anxiety about this even led to self-doubt
and recriminations.
Principal SB3 (high school) explained the toll that the job had on her physical health,
causing her to seek and attain a district position after 3 years:
Even after only 3 years, I was feeling it on my body. And you know what? I’ve gained 20
pounds. And it’s because you don’t eat until 10 o’clock at night, and you eat fast food
because you’re starving, and it’s not healthy. Being a high school administrator is not
good for your health. You have a hard time sleeping because you think, “Oh I don’t want
this to fall off my radar.” It’s not normal to work 65 to 70 hours a week. So I was starting
to feel it, and I’m thinking, I cannot do this until I retire. I’ll die. I mean, it’ll kill me if I
continue like this. (interview, September 11, 2019)
This high school principal had just been selected as an assistant superintendent of secondary
instruction in her district; she described how she intended to promote self-care in her future
position:
I think I will intentionally ask each principal, “What are you doing to take care of your-
self? How late are you working?” Because if we don’t take care of ourselves, we’re not
going to last. We’re not going to retain administrators, and then we’re going to have a big
problem. (interview, September 11, 2019)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 165
Principal SB3 understood how important it would be to encourage principals to monitor their
hours and maintain their health. She committed to modeling positive self-care and minimizing
the district directives, such as weekend texts and emails, which added to the stress.
Immediate Supervisor SB also shared that she had been emphasizing self-care with her
principals during their meetings:
I’m working on spending more time during professional learning sessions with principals,
dedicating time to personal well-being. We don’t do a good job of taking care of our-
selves as educators and we don’t balance that. So I’ve been really beginning and ending
meetings with, “What does self-care look like for you? What’s one thing you can do this
week to improve your well-being?” (interview, September 11, 2019)
Immediate Supervisor SB further described protocols that she conducted with principals, such as
team-building activities and written reflections, to promote down time and introspection during
principal meetings.
The quantitative and qualitative data in this study confirmed the theme that principals
must handle the pressure and stress of the job to increase their chances of retention in the posi-
tion. Principals helped their own retention by dealing with accountability measures, managing
time and workload, and maintaining their health and self-care. The findings in this study regard-
ing stressors aligned with the literature review. DiPaola and Tschannen-Moran (2003) identified
many of the same challenges as were revealed in this study: accountability through high-stakes
testing, special education law, student behavior issues, lack of time to communicate with parents
and colleagues, increased responsibility, long hours, and personal stress. This study affirmed that
in order to increase the likelihood that principals will retain their positions, districts must help
them to manage the pressures of the job.
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Building self-efficacy. According to the qualitative findings in this study, another
important factor that fortified principals and improved retention was a sense of self-efficacy.
Principals felt capable of enduring the pressures of the job when they believed in their ability,
usefulness, effectiveness, and worth. This finding aligned with the research regarding practices
of effective principals. According to Ash et al. (2013), effective principals created a clear and
focused purpose and provided direction based on the school’s vision and mission. Barber and
Fullan (2005) defined moral purpose as the leader’s mission and commitment to make a differ-
ence in the lives of students. Having a sense of purpose was essential to job satisfaction and
retention for the principals in this study.
The qualitative data confirmed that a principal’s job satisfaction was contingent on
feelings of fulfillment and enjoyment. Principals needed to know that they were making a differ-
ence. Of the nine principals who were interviewed, seven mentioned that they enjoyed the job
and derived gratification from serving others and making a difference in the lives of students.
Their passion and commitment to students, staff, and the work motivated them to continue in
their positions. For example, Principal SB1 (elementary school) pointed out that her commitment
to the teachers on her campus affected her decision to remain in the position, even though she
was of retirement age: “You know, what’s kept me as a principal are the teachers. Because
they’re like my students, and they’re like, ‘Don’t leave us, don’t leave us.’ And so they’re the
ones who motivate me to stay in this job” (interview, September 11, 2019).
Immediate Supervisor SB explained how positive feedback from the staff had improved
principals’ job satisfaction:
When they’re seeing success happen, when they’re able to really measure the success. I
think that’s what keeps them moving forward. And so when they’re getting positive feed-
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 167
back from their teachers and they’re feeling like their teachers are buying into their
vision, that’s what sustains them. It inspires them to keep going, even with all the stresses
involved in being a principal today. (interview, September 11, 2019)
Immediate Supervisor SB remarked that having staff support and willingness to work as a team
with the principal made the challenges worth the effort.
All nine principals in this study explained that feeling fulfillment and enjoyment in the
position were strong motivators for retention. Principal SA1 (elementary school) noted that
there may be days–there may be isolated times where things are harder because of stress
factors. But in my experience over the years, there’s never been an entire year where I
felt so overwhelmed by those things that I thought that I wasn’t in a place where I was
happy doing the work. I love what I do, and there are good days and bad days. There are
never bad weeks or bad months or bad years. Negative factors do play a part, but I’ve
never felt they’re worth leaving for. And I feel that I do make just as big of an impact if
not a greater impact, because I definitely serve more kiddos every year as a principal, and
earlier as an assistant principal, than I did in my classroom every year as a teacher. (inter-
view, August 23, 2019)
The preceding words encapsulated the concept that being principals afforded leaders the oppor-
tunity to have a greater impact on a larger number of students. This contributed to their sense of
purpose and their commitment to the job.
Principal SC2 (middle school) also explained that a sense of purpose and daily fun
encouraged him to continue in the profession:
As long as I continue to feel like I’m growing and I’m serving the people to the best of
my ability and we’re moving forward as a school. As long as I feel that I’m still able to
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 168
grow personally but then also grow people around me, I think that I can stay in this if
they want. There’s also an element, as long as I’m still having fun, and if I’m not enjoy-
ing it, how can I possibly serve people to the best of my ability if it’s no longer some-
thing that I’m enjoying doing. (interview, September 26, 2019)
Principal SC2 gained fulfillment from being a life-long learner. He thrived due to the continuous
professional growth of himself and his staff. He felt that to be effective was dependent on his
sense of fulfillment and enjoyment.
Principal SA2 (middle school) described the unique atmosphere in a school that provided
inspiration for him to stay engaged in the work:
The things that keep me in the position would be the fact that I truly enjoy the presence of
my kids, teachers and families. That the worst part of my year is actually summer, when
they’re gone. I can’t wait for them to get back. This place is just a shell right now. But
I’m excited for back-to-school next week. You can kind of feel the energy moving
throughout the building, in the halls. You can even walk through different buildings and
just feel it. There’s a different weight to the air in different places because they’re coming
back! And so, I always keep my finger on that pulse to keep me motivated, to keep me
going. (interview, August 23, 2019)
Principal SA2 pointed out that schools are vibrant communities that exude energy. He was drawn
to the energy that he derived from activity on campus. He thrived on the relationships with others
and they sustained him.
This qualitative data in this study revealed the theme that principals must have a sense of
fulfillment and enjoyment to endure the pressures of the job and maintain retention. This finding
was supported by research by Parylo and Zepeda (2014), who determined that good principals
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 169
had an innate passion for the education of students. They exuded enthusiasm and energy, making
it attractive to follow their lead. They truly cared for all members of the school community and
inspired them to reach their goals.
Summary of Results for Research Question 3
The principal position is complex and challenging and requires aspiring principals to be
prepared for the position before entering it. According to the quantitative and qualitative data
from this study, self-efficacy helped with job satisfaction, leading to retention of principals. The
literature related to the conceptual framework of an effective 21st-century principal validated this
finding.
Exploration of Research Question 3 revealed that the principalship was a complex and
challenging position that necessitated deliberate efforts by district personnel and principals them-
selves to improve the chances of retention for administrators in the position. The first theme was
that obtaining support and extended learning from district administrators, coaches, and peers
contributed to retention of school principals. The second theme was that pressures from account-
ability measures, heavy workload, and long hours were factors that must be alleviated, while
self-care and self-efficacy were priorities that must be encouraged, in order to support retention
of school principals. These two themes were critical issues related to retention that required
attention from district personnel and principals to ensure stability and longevity in the position.
Chapter Summary
This chapter examined the emergent themes that were identified by the researcher to
address the study’s three questions regarding the preparation, recruitment, and retention of K–12
public school principals in southern California. The themes for this study were drawn from
qualitative interviews with 18 participants: nine principals, three immediate supervisors, three
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 170
HR administrators, and three superintendents. The emergent themes were confirmed by quanti-
tative data where applicable and by relevant literature as reviewed in Chapter 2. The triangula-
tion of the data from multiple sources increased the validity and reliability of this study’s themes
(Maxwell, 2013; Merriam & Tisdell, 2016).
Three emergent themes were identified related to principal preparation: (a) Obtaining an
administrative services credential by attending a university program was deemed more effective
preparation than acquiring the credential directly by passing a state-approved examination; (b)
while attending a university program was important, opportunities to serve as a teacher-leader
and assistant principal were perceived as invaluable work experiences that best prepared candi-
dates for the complex and challenging role of a school principal; and (c) having mentors was
influential in providing encouragement, support, opportunities, and connections during the
preparation process of aspiring principals.
Three emergent themes were identified related to principal recruitment: (a) Candidates
for the principalship should actively seek opportunities to increase their district-level exposure
and visibility to enhance recruitment; (b) candidates should make connections with district per-
sonnel, both internally and externally, to research and express interest in positions since district
leaders often use their networks to recruit and evaluate potential applicants; and (c) candidates
should develop desired qualities and interpersonal skills in order to demonstrate readiness and
suitability for the specific principal vacancy in a particular district.
Two emergent themes were identified related to principal retention: (a) Obtaining support
and extended learning from district administrators, coaches, and peers contributed to the reten-
tion of school principals; and (b) pressures from accountability measures, heavy workload, and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 171
long hours were factors that must be alleviated, while self-care and self-efficacy were priorities
that must be encouraged, in order to support the retention of school principals.
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CHAPTER 5: DISCUSSION, IMPLICATIONS, AND RECOMMENDATIONS
This qualitative study was conducted to gain insight into the K–12 principalship, most
likely the most difficult job in education today. An increasing number of school districts in the
United States are reporting principal vacancies with an insufficient number of qualified appli-
cants available to fill them (Beach, 2010; Clifford & Chiang, 2016; Doyle & Locke, 2014;
Mendels, 2016a, 2016b; P. A. Winter et al., 2004). The pipeline of aspiring principals with
potential for success and retention may be inadequate (L. Meyer & Feistritzer, 2003; Normore,
2006). Research has shown that 20% of principals leave their schools within the first 2 years, and
many school districts report a scarcity of qualified applicants (Pijanowski et al., 2009). To
counter this deficiency and increase the stream of competent site administrators, further consid-
eration must be given to the preparation, recruitment, and retention of principals.
The principalship is a complex and multifaceted position, and many candidates are
unaware of the demands and are unprepared for the reality of the job (Baker et al., 2010;
Kavanaugh, 2005). As the primary leader of the school, the principal must oversee operations,
manage personnel, and navigate change, while also creating a vision and mission that inspire
stakeholders to improve student achievement (Kowalski et al., 2007; Waters & Marzano, 2006).
Successful principals orchestrate all aspects of the instructional program and foster positive rela-
tionships with all members of the school community (Adams, 1999; Byrd et al., 2006; Darling-
Hammond, 2003; DuFour & DuFour, 2013). Given the scope of their duties and the fact that
principals are the second-most influential factor affecting the success of the school (Fullan,
2014), it is imperative that aspiring and current principals undergo the proper training, under-
stand recruitment strategies, and master the skillsets necessary for retention and longevity. To
that end, district personnel must offer ample learning opportunities and mentoring to prepare
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 173
potential internal leaders, invest sufficient time and resources to recruit the most qualified candi-
dates, and provide the necessary support and coaching to retain the most effective principals.
While the available paths for principal preparation vary greatly, the majority of candi-
dates complete university-based programs. Research regarding the design and content of prepa-
ration programs suggests that district leaders have been largely dissatisfied with the quality of
principal preparation programs, and many universities agree that their programs have room for
improvement (Mendels, 2016b). University programs were not perceived to be as beneficial or
impactful as on-the-job training and collegial interactions that principals experienced in their
preservice phase (Hess & Kelly, 2007).
Given the essential and invaluable roles and responsibilities of site principals and the
predicted shortage of candidates, it is imperative that districts strategically recruit and select
strong applicants. Districts will continue to face supply challenges due to the rapid turnover rate,
low 3-year retention rate, and high retirement rate (Beach, 2010; Clifford & Chiang, 2016; Doyle
& Locke, 2014; Hill et al., 2016; Mendels, 2016a, 2016b; Turnbull et al., 2016). Due to popula-
tion growth from birth rates and immigration, by 2022, the need for school principals at all levels
will grow 6% nationwide (Ferris & Raley, 2016). Districts will have to increase their investment
in recruitment of high-quality candidates to meet this demand for principals (NASSP, 2016).
Most new principals do not yet have adequate experience with and sufficient under-
standing of the range of demands on the position. In particular, many new principals have not
developed enough capacity in relationship building with diverse groups, the ability to deal with
difficult stakeholders, or the skill to navigate the political aspects of the position (Cray & Weiler,
2011). The pressures from continuous changes in demographics, governmental accountability,
heavy workload, unreasonable time commitments, and relatively low compensation have led
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 174
many administrators to leave the profession and have deterred potential candidates from applying
(Fullan, 2014; Hoyle & Wallace, 2005; Marzano et al., 2005; Norton, 2002; Spillane & Lee,
2014). All of the issues described in this section signify the need for district offices and candi-
dates to improve strategies for preparation, recruitment, and retention.
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K–12 school principals. Three leadership models served as theoretical
frameworks to guide this study: (a) Bolman and Deal’s (2013) four organizational frames, (b)
Fullan’s (2001) framework for leadership, and (c) McREL’s balanced leadership framework by
Waters et al. (2004).
The researcher of this study worked collaboratively with a team of 12 researchers from
the USC Rossier School of Education to design the study, the research questions, the qualitative
methodology, and the qualitative and quantitative instruments. The team collaboratively col-
lected quantitative survey data from four groups: (a) superintendents, (b) HR administrators, (c)
immediate supervisors of principals, and (d) K–12 principals. The researcher worked inde-
pendently to gather distinct qualitative data from 18 participants: three superintendents, three HR
administrators, three immediate supervisors of principals, and nine school principals (three ele-
mentary, three middle/junior high school, two comprehensive high school, and one continuation
high school). Qualitative and quantitative instruments were designed to align with the three
research questions of this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 175
2. What are the perceptions of principals, immediate supervisors of principals, HR
administrators, and superintendents regarding strategies to recruit successful principal candi-
dates?
3. What are the perceived strategies that support the retention of principals?
Through analysis and triangulation of the quantitative surveys, the qualitative interviews,
and the literature review, the researcher identified emergent themes to address each research
question. In total, there were eight emergent themes in this study.
Summary of the Findings
Research Question 1
Data analysis revealed three common themes regarding how training programs and expe-
rience prepared principals: (a) Obtaining an administrative services credential by attending a
university program was deemed more effective preparation than acquiring the credential directly
by passing a state-approved examination; (b) while attending a university program was
important, opportunities to serve as a teacher-leader and assistant principal were perceived as
invaluable work experiences that best prepared candidates for the complex and challenging role
of a school principal; and (c) having mentors was influential in providing encouragement,
support, opportunities, and connections during the preparation process of aspiring principals.
First, participants identified that attending a university program had value when
compared to obtaining a credential solely by examination. Research indicated that university
programs can be effective when they offer coursework related to instructional leadership and
change management, provide practical application opportunities, and include mandatory field
experience (Barnett, 2004; Brown, 2011; Hess & Kelly, 2007; Service et al., 2016; Styron et al.,
2011). Administrators who obtained a credential by taking the examination missed these
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 176
important components of university programs. This study confirmed prior literature that sug-
gested that credential by examination in lieu of university coursework can result in gaps in the
preparation of aspiring principals (D. Clark et al., 2009).
Second, opportunities to serve as a teacher-leader and assistant principal were perceived
as invaluable work experiences to prepare candidates for the complex and challenging role of a
school principal. The findings in this study confirmed research by Hess and Kelly (2007) indi-
cating that 96% of principals said that their on-the-job experience and interactions with col-
leagues had a greater impact on their growth as leaders than had their preparation programs.
Assuming leadership roles at the school site allowed current teachers to gain experience and
develop skills that prepared them to be stronger candidates for future administrative positions
(Pijanowski et al., 2009). Without practical, on-the-job experience prior to their first assignment,
new principals often did not understand the full complexity of the job (Cray & Weiler, 2011).
Third, aspiring administrators prepared for the principalship by having mentors who pro-
vided encouragement, support, opportunities, and connections along the journey to leadership
positions. The findings in this study confirmed the importance of mentors who coached inter-
ested and promising teacher-leaders to become principals (Daresh, 2004). The findings also sup-
ported the literature regarding how mentors convey new knowledge, provide a system of support,
bolster self-confidence, and serve as role models of successful practice (J. S. Winter & Sweeney,
1994).
Research Question 2
The findings for Research Question 2 regarding principal recruitment were similar to the
data collected regarding principal preparation. However, further analysis revealed three common
themes on how candidates should market themselves to enhance their recruitment prospects: (a)
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 177
Candidates for the principalship should actively seek opportunities to increase their district-level
exposure and visibility to enhance recruitment; (b) candidates should make connections with
district personnel, both internally and externally, to research and express interest in positions
since district leaders often use their networks to recruit and evaluate potential applicants; and (c)
candidates should develop desired qualities and interpersonal skills in order to demonstrate
readiness and suitability for the specific principal vacancy in a particular district.
First, this study confirmed that aspiring administrators should actively seek opportunities
to increase their district-level exposure and visibility to enhance recruitment. As reported by
Parylo and Zepeda (2014), strong candidates were those who had a good track record and
demonstrated the experience and accomplishments that they had attained in prior leadership
positions. Having instructional leadership experience and serving on district committees
improved the marketability of principal candidates (Parylo & Zepeda, 2014). Potential
administrators tended to get more leadership opportunities, such as serving on the school’s lead-
ership team, which increased by more than 3 times the likelihood of being tapped (Myung et al.,
2011).
Second, applicants should connect with district personnel, both internally and externally,
to learn about positions and express their interest because district leaders often use their own
networks to find and vet potential candidates. This study confirmed the benefits of tapping and
grooming, including early identification of promising teacher-leaders who could be mentored,
trained, and encouraged to apply for principal positions and who could eventually be matched to
specific schools (Browne-Ferrigno & Muth, 2008; Myung et al., 2011; Normore, 2006;
Pijanowski et al., 2009; Turnbull et al., 2013). The networking that candidates had done
throughout the years in the same district helped them to establish ties, prove their dedication, and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 178
earn the trust of influential district personnel, such as mentors and upper management (Walker &
Kwan, 2012).
Third, candidates should develop desired qualities and interpersonal skills, such as bal-
anced leadership, effective communication, and strong relationship building, to demonstrate
readiness and suitability for the specific principal vacancy in a particular district. This study con-
firmed research that indicated that effective school principals had personal characteristics such as
enthusiasm and moral purpose, as well as strong communication and relationship-building skills
that enhanced their ability to nurture, support, and inspire individuals and groups (Adams, 1999;
Byrd et al., 2006; Darling-Hammond, 2003; DuFour & DuFour, 2013; Fullan, 2002; Parylo &
Zepeda, 2014). Candidates should research the school, including its mission and context, to
establish a connection to the community and increase their chances of obtaining a principal posi-
tion (Richardson et al., 2016; Walker & Kwan, 2012).
Research Question 3
Data analysis indicated that the majority of strategies for retention revolved around two
themes: (a) Obtaining support and extended learning from district administrators, coaches, and
peers contributed to the retention of school principals; and (b) pressures from accountability
measures, heavy workload, and long hours were factors that must be alleviated, while self-care
and self-efficacy were priorities that must be encouraged, in order to support the retention of
school principals.
First, the findings supported the theme that principals require support from district per-
sonnel, mentors, and peers in order to be successful. This aligned with the literature review indi-
cating that support for current principals, including networking, mentoring, and coaching,
contributed to most principals’ retention and stability in the position (Brown, 2011; Matthews &
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 179
Crow, 2003; Service et al., 2016). Districts can support retention of principals by establishing a
collaborative structure in which they work with other administrators to share best practices, solve
problems, and develop a support system (Marzano et al., 2005). Having colleagues to rely on
helped principals to obtain the additional training, practical advice, and emotional support to
persist in their positions (Brown, 2011; Matthews & Crow, 2003; Service et al., 2016). To
enhance retention of principals, districts should reexamine the role and workload (Whitaker,
2003). Districts should consider ways to make the position more attractive, manageable, and ful-
filling (Fullan, 2014; Thomson et al., 2003). This study reinforced the theme that principals need
to receive support from their district administrators to increase their chances for success and
retention. The benefits of coaching and mentoring included enhanced relationships with col-
leagues, stronger organizational commitment, improved job satisfaction, and an increase in
employee retention (Kiltz et al., 2004; Sciarappa & Mason, 2014; U.S. Office of Personnel
Management, 2008).
Second, the findings supported the theme that pressures from accountability measures,
heavy workload, and long hours were factors that must be alleviated, while self-care and self-
efficacy were priorities that must be encouraged in order to support the retention of school prin-
cipals. The stress on school principals has increased over the decades due to continuous changes
in demographics, pervasive compliance mandates, and insufficient school funding (DiPaola &
Tschannen-Moran, 2003; Fullan, 2014; Hoyle & Wallace, 2005; Marzano e al., 2005; Spillane &
Lee, 2014). The pressures of governmental accountability, high demands, relatively low com-
pensation, and unreasonable time commitments have led many administrators to leave the pro-
fession and have deterred potential candidates from applying (Fullan, 2014; Norton, 2002;
Thomson et al., 2003). This study affirmed that, to increase the likelihood that principals will
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 180
retain their positions, districts must help them with time, task, and stress management (Cray &
Weiler, 2011; Gajda & Militello, 2008; Normore, 2006; Thomson et al., 2003).
The findings indicated that self-care and self-efficacy were priorities that must be encour-
aged in order to support the retention of school principals. Barber and Fullan (2005) defined
moral purpose as the leader’s mission and commitment to make a difference in the lives of
students. Having a sense of purpose was essential to job satisfaction and retention for the princi-
pals in this study. The qualitative data revealed the theme that principals must have a sense of
fulfillment and enjoyment to endure the pressures of the job and retain their position (Parylo &
Zepeda, 2014). Another way to handle the pressure was for principals deliberately to make time
for self-care and healthy habits in order to increase their endurance and retention.
Limitations
Although measures were taken to ensure the reliability and validity of this study, some
limitations existed. The research design called for a parallel-concurrent data collection period
wherein all participants were sampled in the same brief window of time. Due to the design of the
semistructured interviews, emerging themes gleaned from one participant group, such as princi-
pals, were not always explicitly mentioned or described by other participant groups, such as
superintendents. Also, some emergent themes derived from the qualitative open-ended interview
protocols did not align with the quantitative Likert-scale survey results. This was a limitation
because the researchers could not anticipate and include on the survey all potential factors and
strategies for preparation, recruitment, and retention. Thus, not every emergent theme had quan-
titative data that corresponded directly to specific survey items addressing the multiple and
varied factors that were revealed in the qualitative interviews. Finally, the quantitative data in the
study were limited due to time restraints and the voluntary nature of data collection, leading to a
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 181
survey response rate of 22%. The study was constrained by location, time, and resources avail-
able to collect data, all of which reduced generalizability.
Implications
This study contributed to the body of scholarly literature by identifying strategies that
improve the preparation, recruitment, and retention of K–12 principals. Although the insights
that were gained were from the specific participants in three particular districts, aspiring admin-
istrators, current principals, district leaders, and other educators can use the insights and themes
identified in this study to ensure successful principalships.
Coordinators of university and nonuniversity programs can improve their understanding
of district needs related to principal preparation, which could lead to evaluation and modification
of their standards and requirements. Organizations such as the ACSA can learn about the profes-
sional development needs of aspiring and current principals to inform the content and design of
workshops and academies.
Aspiring principals can begin their journey to the principalship as teacher-leaders,
learning their work to the deepest levels possible and performing to the best of their ability.
Aspiring principals should seek mentors who can provide encouragement, support, opportunities,
and connections. In their preparation and recruitment phases, they should practice strategies to
build relationships and network with other educators to engender trust and confidence in their
work. During recruitment, candidates should research the school’s mission, values, and context,
in order to establish a connection to the community and increase their chances of obtaining a
principal position (Richardson et al., 2016; Walker & Kwan, 2012). Aspiring principals should
actively pursue on-the-job learning experiences, learn recruitment strategies, and master the
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 182
skills, behaviors, and best practices of effective school leaders to improve their chances of
gaining and retaining a principalship.
Current principals can use the data in this study to identify the characteristics, knowledge,
and skills that are most desirable to district leaders and most necessary to increase their success
as instructional leaders. Current principals must invest time in creating and maintaining profes-
sional relationships so that, when the organization is challenged through an event, the principal’s
position can be protected and retained. This study can inform current principals about how to
balance the challenges of the position through self-care and self-efficacy to enhance their effec-
tiveness as school leaders and safeguard their longevity in the position.
District administrators can assist teacher-leaders with the preparation phase by offering
customized programs with practical on-the-job experience to meet the needs of the district.
District administrators can use the information in this study to identify recruiting strategies that
attract highly qualified candidates. Data from this study can also support district administrators
in developing selection processes and hiring practices that ensure a good match for their princi-
pal vacancies. Immediate supervisors of principals are informed about methods to train and
mentor their principals, which may improve their performance and retention. Districts should be
cognizant of the work load and the time commitments that they place on site administrators and
reevaluate the roles and responsibilities to alleviate pressures related to the principalship.
Districts must continue to support the preparation, recruitment, and retention of strong candidates
who will fill the next set of vacancies in the principalship.
Recommendations for Future Study
Based on the themes of this study, the researcher identified the following research rec-
ommendations. First, future research could focus on model preparation programs that include
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 183
field experiences and mentorship to garner best practices that could be replicated by universities
and school districts. Qualitative interviews with preparation program coordinators, aspiring
administrators, principals, and their respective mentors, both current and former, could provide
insights on the subtleties of preparation for the principalship.
Second, future research could include case studies or focus groups of HR personnel in
districts with successful principals to identify specific recruitment strategies, such as job fairs
and incentives, and particular selection processes, such as job interview protocols and reference
check procedures, that yield the most qualified candidates. Qualitative interviews, observations,
and collection of artifacts from HR departments could provide specific strategies on how to
recruit and select the most qualified candidates for the principalship.
Third, future research could include case studies or focus groups to explore first-year
principal support programs that have ongoing professional learning and coaching to discover the
factors that best support beginning principals as they expand their knowledge, hone their
practice, and develop their interpersonal skills. Qualitative interviews, observations, and collec-
tion of artifacts could provide more specific strategies on how to improve the retention of
principals.
Conclusion
The K–12 school principalship is a complex and challenging position (Baker et al., 2010;
Cray & Weiler, 2011; Daresh, 2004; Kavanaugh, 2005). Aspiring and current principals must
carefully consider their journey toward the principalship to ensure a successful career.
This study focused on principal preparation, recruitment, and retention. Themes were
drawn from qualitative data, supported by quantitative data, and reinforced by the literature
review to address three research questions regarding principal preparation, recruitment, and
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 184
retention. The researcher took measures to ensure that data were collected ethically and that the
reported themes were derived scientifically. In order to prepare for, attain, and be successful in
the principalship, aspiring administrators can employ specific strategies in their preparation for
and recruitment to the position, and current principals can take action on strategies that will
support their retention. This study has informed the reader on strategies for successful principal
preparation, recruitment, and retention.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 185
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APPENDIX A
RESEARCH PARTICIPANTS’ INVITATION E-MAIL
Dear _______________ [stakeholder group role],
I am a doctoral candidate in the Rossier School of Education at the University of Southern
California and a _______________ [role] in the _______________ Unified School District. I
invite you to participate in a research study that will investigate the preparation, recruitment, and
retention of public school principals.
You are asked to participate only if you are currently employed as a [role] in a public school
district. If you agree to participate, you will be asked to complete a survey; estimated time for
completion is approximately 20 minutes. The University of Southern California’s Institutional
Review Board has approved this research study (IRB #APP-19-00787).
Your participation is completely voluntary. If you decide to participate after reading this email,
you can access the survey via the following link: _______________
I value your input and hope that you will consider participating in this study. Please email me at
_______________ if you have any questions. Thank you in advance for your time.
Sincerely,
USC Doctoral Candidate Researcher
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 203
APPENDIX B
INFORMED CONSENT
Date: _______________
Dear _______________,
My name is _______________ and I am a doctoral student at the USC Rossier School of Education. I am
conducting a research study under the guidance and direction of Dr. Michael F. Escalante. The purpose
of my mixed-methods study is to examine the preparation, recruitment, and retention of public school
principals in southern California. I will interview and survey superintendents, human resources
directors/assistant superintendents, immediate supervisors of principals, and principals.
You have been invited to participate in a graduate research study that will shed light on the preparation,
recruitment, and retention of public school principals in southern California. The results of this study will
inform multiple stakeholders, including aspiring principals, superintendents, and school boards. It is my
hope that this study will serve as a valuable resource.
Your participation is voluntary, and you have the right to withdraw at any time. The information
collected will be kept confidential and anonymous by the researcher and members of the dissertation
committee. Data will be presented in a manner that will ensure that no individual or district can be
identified.
If you have any questions or concerns regarding your participation in this study, you may contact me at
_______________ or Dr. Michael F. Escalante at the University of Southern California.
Thank you, in advance, for your time and assistance.
Sincerely,
_______________, Researcher [_______________@usc.edu]
(xxx) xxx-xxxx
Dr. Michael F. Escalante, Dissertation Chair mescalante@usc.edu
(818) 802-4769
( ) I have read this form and have been given the opportunity to ask questions. I consent to my
participation in the research described above.
Participant’s Signature: __________________________________________________________
Participant’s Printed Name: _______________________________________________________
Date: _________________________________________________________________________
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 204
APPENDIX C
PRINCIPAL SURVEY
The purpose of this qualitative study is to examine the preparation, recruitment, and retention of
California K-12 public school principals. While the most significant direct influence on student
achievement is the teacher, the second most critical influence is the principal (Fullan, 2014). It is
important to identify the preparation and supports that principals must have in order to meet the
challenges and complexities of the principalship, as well as the recruitment strategies and
retention efforts that public school districts must use to find and retain quality personnel in the
principalship. The goal of this brief, 15-minute survey is to quantify your perceptions on
principal preparation, recruitment, and retention. Your participation in this survey is anonymous.
Thank you for your participation.
Personal Background
1. Gender
❏ Male
❏ Female
2. Ethnicity (check all that apply)
❏ Asian
❏ Black
❏ Latina/o
❏ Native American
❏ Pacific Islander
❏ White
❏ Multiple
❏ Other
❏ Decline to state
3. Age range:
❏ < 30
❏ 30-40
❏ 41-50
❏ 51-60
❏ 61+
4. Highest university degree earned:
❏ Ed.D.
❏ Ph.D.
❏ Master’s
❏ Bachelor’s
❏ Other (please specify) ___________________________________________
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 205
5. What university do you identify with professionally?
________________________________________________________________________
6. How many years in the education profession?
❏ 1-10
❏ 11-20
❏ 21-30
❏ 30 or more
7. How many years as a principal?
❏ 2 years or less
❏ 3-5
❏ 6-10
❏ 11-15
❏ 16 or more
8. Did you come from within your current district or outside your current district?
❏ Within
❏ Outside
9. What type of administrative preparation program did you participate in?
❏ University
❏ Nonuniversity, please specify: ____________________________________
10. Past experiences (check all that apply):
School site positions:
❏ Elementary school teacher
❏ Middle school teacher
❏ High school teacher
❏ Counselor (any level)
❏ College/university instructor
❏ Teacher on Special Assignment (TOSA)
❏ Other ______________________
School site administrator positions:
❏ Elementary School Assistant Principal
❏ Middle School Assistant Principal
❏ High School Assistant Principal
❏ Elementary Principal
❏ Middle School Principal
❏ High School Principal
❏ Dean of Students
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 206
District-level positions:
❏ Coordinator
❏ Specialist
❏ Director of Curriculum and Instruction
❏ Director of Research and Planning
❏ Director of Human Resources
❏ Director of Student Support Services
❏ Director: Other _____________________________________________________
Experiences other than education:
❏ Please specify: _____________________________________________________
11. Salary Range (approximate):
❏ Less than $100,000
❏ $100,001 - 110,000
❏ $110,001 - 120,000
❏ $120,001 - 130,000
❏ $130,001- 140,000
❏ $140,001- 150,000
❏ $150,001- 160,000
❏ $160,001- 170,000
❏ More than $170,001
School District Information
12. Type of school district:
❏ Urban
❏ Urban/suburban
❏ Suburban
❏ Rural
13. District student enrollment:
❏ Less than 5,000
❏ 5,001 - 10,000
❏ 10,001 - 20,000
❏ 20,001 - 30,000
❏ 30,001 - 40,000
❏ 40,001 - 50,000
❏ 50,001 - 60,000
❏ 60,001 - 70,000
❏ More than 70,000
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 207
Based on your perception of the preparation of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps you took prior to
taking on your first principal position.
PREPARATION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t
Know
or
Not
Applicable
(NA)
1. University programs provided training and
experience that were important in preparing
me for my position as a principal.
2. My prior work experience was more import-
ant than my university training experience in
preparing me for my position as a principal.
3. Holding an advanced degree (e.g. Ed.D. or
Ph.D.) was important in preparing me for my
position as a principal.
4. Nonuniversity training programs (such as the
ACSA Principal Academy) were important in
preparing me for my position as a principal.
5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing me for my position as
a principal.
6. Having mentors was instrumental in
preparing me for my position as a principal.
7. A professional network of support (such as
CALSA, NASSP, NAESP, ACSA, or
through a university) was important in
preparing me for my position as a principal.
8. Informal networks of support (such as
professional colleagues) were important in
preparing me for my position as a principal.
9. Networks with university professors were
important in preparing me for my position as
a principal.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 208
10. Planning my career was important in
preparing me for my position as a principal.
11. My university training program provided
intentional supports or resources to prepare
me for my position as a principal.
12. Having experience as a teacher leader was a
crucial element in preparing me for my
position as a principal.
13. Having experience as an assistant principal
was a crucial element in preparing me for my
position as a principal.
Based on your perception of the recruitment of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps you took
prior to taking on your first principal position.
RECRUITMENT
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t
Know
or
Not
Applicable
(NA)
14. As an aspiring principal, district resources
and programs were important in being
recruited into my current position as a
principal.
15. My university principal preparation program
was an important factor in being recruited
into my current position as a principal.
16. My nonuniversity principal preparation
program was an important factor in being
recruited into my current position as a
principal.
17. The nonmonetary incentives offered by my
district were important factors in applying for
the principal position in my district.
18. The salary and benefits offered by my district
were important factors in applying for the
principal position in my district.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 209
19. My previous experience in education was an
important factor in being recruited into my
current position as a principal.
20. My previous experience outside of
education was an important factor in being
recruited into my current position as a
principal.
21. The reputation of my school district was an
important factor in applying for the
principal position in my district.
22. My level of understanding of district
initiatives and goals was an important factor
in being recruited into my current position
as a principal.
23. As an in-district candidate, networking with
district personnel was an important factor in
being recruited into my current position as a
principal.
24. As an out-of-district candidate, networking
with district personnel was an important
factor in being recruited in my current
position as a principal.
25. Having a mentor was an important factor in
being recruited in my current position as a
principal.
26. Being an employee of my school district
was an important factor in being recruited
into my current position as a principal.
27. My participation in professional organiza-
tions was an important factor in being
recruited into my current position as a
principal.
28. Holding an advanced degree (e.g., Ed.D. or
Ph.D.) was an important factor in being
recruited into my current position as a
principal.
29. Having instructional leadership experience
was an important factor in being recruited
into my position as a principal.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 210
Based on your perception of the retention of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy you used to maintain your current principal position.
RETENTION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t
Know
or
Not
Applicable
(NA)
30. My university training program provided me
with processes/strategies that currently
support my success in retaining my position
as a principal.
31. Professional networks (e.g., NAESP, NASSP,
ACSA, university networks) provided me
with processes/strategies that currently
support my success in retaining my position
as a principal.
32. Having a mentor(s) provided me with
processes/strategies that currently support my
success in retaining my position as a
principal.
33. My relationship with directors, assistant
superintendents, and my superintendent
supports my success in retaining my position
as a principal.
34. My compensation determines my desire to
retain my position as a principal.
35. Having a formal, written strategic plan
supports my success in retaining my position
as a principal.
36. Pressures from accountability measures affect
my desire to retain my position as a principal.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 211
APPENDIX D
HUMAN RESOURCES ADMINISTRATOR SURVEY
Based on your perception of the preparation of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took
prior to taking on their first principal position.
PREPARATION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t
Know
or
Not
Applicable
(NA)
1. University programs provided training and
experience that are important in preparing
principals for their positions.
2. Prior work experience was more important
than university training experience in
preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (e.g., the
ACSA Principal Academy) were important
in preparing principals for their current
positions.
5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing principals for their
current positions.
6. Having a mentor was important in
preparing my principals for their current
positions.
7. A professional network of support (e.g.
NASSP, ACSA, or through a university)
was important in preparing my principals
for their current positions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 212
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
9. Having experience as a teacher leader was
crucial for preparing principals for their
current positions.
10. Having experience as an assistant principal
was crucial for preparing principals for
their current positions.
Based on your perception of the recruitment of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took
prior to taking on their first principal position.
RECRUITMENT
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
11. District resources and recruitment strategies help
candidates to get recruited into principal positions
in my district.
12. University principal preparation programs help
candidates to get recruited into principal positions
in my district.
13. Nontraditional principal preparation programs help
candidates to get recruited into principal positions
in my district.
14. The nonmonetary incentives offered by my district
are important factors in candidates applying for
principal positions in my district.
15. The salary and benefits offered are important
factors in candidates applying for principal
positions in my district.
16. Candidates’ previous experience in education is an
important factor in recruiting for principal
positions in my district.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 213
17. Candidates’ previous experience outside of
education is an important factor in recruiting for
principal positions in my district.
18. The reputation of my school district is an
important factor in candidates applying for
principal positions in my district.
19. Candidates’ level of level of understanding of
district initiatives and goals was an important
factor in being recruited into principal positions in
my district.
20. Networking with district personnel helps
candidates to get recruited into principal positions
in my district.
21. Having a mentor helps candidates to get recruited
into principal positions in my district.
22. Being an employee of my school district helps
candidates to get recruited into principal positions
in my district.
23. Candidates’ participation in professional
organizations helps candidates to get recruited into
principal positions in my district.
24. Holding an advanced degree (e.g., Ed.D. or Ph.D.)
helps candidates to get recruited into principal
positions in my district.
25. Having instructional leadership experience is an
important factor in recruiting for principal
positions in my district.
26. My district is experiencing a shortage of quality
candidates for the principal position.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 214
Based on your perception of the retention of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain
their current principal position.
RETENTION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
27. University training programs provide principals
with skills/strategies that support their success in
retaining their current positions.
28. Professional networks (such as NAESP, NASSP,
ACSA, university networks) provide principals
with processes/strategies that support their
success in retaining their current positions.
29. Having mentor(s) provides principals with
processes/ strategies that support their success in
retaining their current positions.
30. The relationships that principals have with
directors, assistant superintendents, and the
superintendent support their success in retaining
their current positions.
31. Principals’ compensation determines their desire
to continue in their current positions.
32. Having a formal, written strategic plan supports
principals’ success in retaining their current
positions.
33. Pressures from accountability measures affect
principals’ desires to retain their current position.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 215
APPENDIX E
IMMEDIATE SUPERVISOR OF PRINCIPAL SURVEY
Based on your perception of the preparation of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took
prior to taking on their first principal position.
PREPARATION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
1. University programs provided training and
experience that are important in preparing
principals for their positions.
2. Prior work experience was more important than
university training experience in preparing
principals for their current positions.
3. Holding an advanced degree (e.g., Ed.D. or
Ph.D.) was important in preparing principals for
their current positions.
4. Nonuniversity training programs (e.g., the ACSA
Principal Academy) were important in preparing
principals for their current positions.
5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing principals for their current
positions.
6. Having a mentor was important in preparing my
principals for their current positions.
7. A professional network of support (e.g., NASSP,
ACSA, or through a university) was important in
preparing my principals for their current
positions.
8. Informal networks (e.g., professional colleagues)
were important in preparing principals for their
current positions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 216
9. Having experience as a teacher leader was crucial
for preparing principals for their current
positions.
10. Having experience as an assistant principal was
crucial for preparing principals for their current
positions.
Based on your perception of the recruitment of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals
took prior to taking on their first principal position.
RECRUITMENT
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
11. District resources and recruitment strategies help
candidates to get recruited into principal
positions in my district.
12. University principal preparation programs help
candidates to get recruited into principal
positions in my district.
13. Nontraditional principal preparation programs
help candidates to get recruited into principal
positions in my district.
14. The nonmonetary incentives offered by my
district are important factors in candidates
applying for principal positions in my district.
15. The salary and benefits offered are important
factors in candidates applying for principal
positions in my district.
16. Candidates’ previous experience in education is
an important factor in recruiting for principal
positions in my district.
17. Candidates’ previous experience outside of
education is an important factor in recruiting for
principal positions in my district.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 217
18. The reputation of my school district is an
important factor for candidates applying for
principal positions in my district.
19. Candidates’ level of understanding of district
initiatives and goals was an important factor in
being recruited into principal positions in my
district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my district.
22. Being an employee of my school district helps
candidates to get recruited into principal
positions in my district.
23. Candidates’ participation in professional
organizations helps candidates get to recruited
into principal positions in my district.
24. Holding an advanced degree (e.g., Ed.D., or
Ph.D.) helps candidates to get recruited into
principal positions in my district.
25. Having instructional leadership experience is an
important factor in recruiting for principal
positions in my district.
26. My district is experiencing a shortage of quality
candidates for the principal position.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 218
Based on your perception of the retention of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals
to maintain their current principal position.
RETENTION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
27. University training programs provide
principals with skills/strategies that support
their success in retaining their current
positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks) provide
principals with processes/strategies that
support their success in retaining their current
positions.
29. Having mentor(s) provides principals with
processes/ strategies that support their success
in retaining their current positions.
30. The relationships that principals have with
directors, assistant superintendents, and the
superintendent support their success in
retaining their current positions.
31. Principals’ compensation determines their
desire to continue in their current positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining their
current positions.
33. Pressures from accountability measures affect
principals’ desires to retain their current
position.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 219
APPENDIX F
SUPERINTENDENT SURVEY
Based on your perception of the preparation of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took
prior to taking on their first principal position.
PREPARATION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
1. University programs provided training and
experience that are important in preparing
principals for their positions.
2. Prior work experience was more important
than university training experience in
preparing principals for their current positions.
3. Holding an advanced degree (e.g., Ed.D. or
Ph.D.) was important in preparing principals
for their current positions.
4. Nonuniversity training programs (e.g., the
ACSA Principal Academy) were important in
preparing principals for their current positions.
5. Holding certification and/or licensure from
organizations (such as USC or ACSA) was
important in preparing principals for their
current positions.
6. Having a mentor was important in preparing
my principals for their current positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university) was
important in preparing my principals for their
current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 220
9. Having experience as a teacher leader was
crucial in preparing principals for their current
positions.
10. Having experience as an assistant principal
was crucial in preparing principals for their
current positions.
Based on your perception of the recruitment of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took
prior to taking on their first principal position.
RECRUITMENT
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
11. District resources and recruitment strategies
help candidates to get recruited into principal
positions in my district.
12. University principal preparation programs help
candidates to get recruited into principal
positions in my district.
13. Nontraditional principal preparation programs
help candidates to get recruited into principal
positions in my district.
14. The nonmonetary incentives offered by my
district are important factors for candidates
applying for principal positions in my district.
15. The salary and benefits offered are important
factors for candidates applying for principal
positions in my district.
16. Candidates’ previous experience in education
is an important factor in recruiting for principal
positions in my district.
17. Candidates’ previous experience outside of
education is an important factor in recruiting
for principal positions in my district.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 221
18. The reputation of my school district is an
important factor in candidates applying for
principal positions in my district.
19. Candidates’ level of understanding of district
initiatives and goals was an important factor in
being recruited into principal positions in my
district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my district.
22. Being an employee of my school district helps
candidates to get recruited into principal
positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get recruited
into principal positions in my district.
24. Holding an advanced degree (e.g., Ed.D. or
Ph.D.) helps candidates to get recruited into
principal positions in my district.
25. Having instructional leadership experience is
an important factor in recruiting for principal
positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal position.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 222
Based on your perception of the retention of principals,
rate the following statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals
to maintain their current principal position.
RETENTION
Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not
Applicable
(NA)
27. University training programs provide
principals with skills/strategies that support
their success in retaining their current
positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks) provide
principals with processes/strategies that
support their success in retaining their current
positions.
29. Having mentor(s) provides principals with
processes/ strategies that support their success
in retaining their current positions.
30. The relationships that principals have with
directors, assistant superintendents, and the
superintendent support their success in
retaining their current positions.
31. Principals’ compensation determines their
desire to continue in their current positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining their
current positions.
33. Pressures from accountability measures affect
principals’ desires to retain their current
position.
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 223
APPENDIX G
PRINCIPAL INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in
California public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program (e.g. principal’s academy, university program, etc.) did you
attend that prepared you for the principalship?
1a. Which training was most effective? Why?
2. Describe your career path to the principalship.
2a. Which professional experiences leading up to becoming a principal were the most
beneficial? Why?
3. Which professional relationships helped you prepare for the principal position?
3a. Why were they important in your preparation?
4. When did you know that you wanted to be a principal?
4a. What proactive steps did you take to get a position?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 224
Recruitment
5. How did your training program prepare you for the principal recruitment process?
6. What prior experiences did you have that made you the most desirable candidate for
principal?
6a. Is there an experience that you lacked that might have helped you while being
recruited?
7. What qualities or characteristics made you a qualified principal candidate?
8. Did you strategically use professional relationships, such as mentoring or networking, to
attain your position? If so, how?
9. What attracted you to the principalship in your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
10b. How does ongoing training support your retention?
11. What professional relationships support your retention?
11a. Is the relationship formal or informal?
11b. Is it assigned or self-selected?
11c. What strategies do you use with your supervisors to support your retention as a
principal?
12. What factors impact your decision to stay in the principalship?
12a. What factors, if any, would influence you leaving the position?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 225
APPENDIX H
HUMAN RESOURCES ADMINISTRATOR INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or chose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in
California public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the
principalship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships helped your principals to prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 226
Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
6. What prior experiences did your principals have that made them the most desirable candidate
to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 227
APPENDIX I
IMMEDIATE SUPERVISOR INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or chose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in
California public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the
principalship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships helped your principals to prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 228
Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
6. What prior experiences did your principals have that made them the most desirable
candidates to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 229
APPENDIX J
SUPERINTENDENT INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or chose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in
California public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the
principalship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships help your principals prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 230
Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
6. What prior experiences did your principals have that made them the most desirable
candidates to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
PREPARATION/RECRUITMENT/RETENTION OF PRINCIPALS 231
APPENDIX K
QUESTION ALIGNMENT MATRIX
Instrument
RQ1
How have training
programs and
professional
experiences prepared
principals to manage
the complexities and
challenges of the
principalship?
RQ2
What are the
perceptions of
principals, immediate
supervisors of princi-
pals, human resources
administrators, and
superintendents
regarding strategies to
recruit successful
principal candidates?
RQ3
What are the
perceived strategies
that support the
retention of
principals?
Principal Survey 1-13 14-29 30-36
Principal Interview
Guide
1-4 5-9 10-12
Human Resources
Administrator Survey
1-10 11-26 27-33
Human Resources
Administrator
Interview Guide
1-4 5-9 10-12
Immediate Supervisor
Survey
1-10 11-26 27-33
Immediate Supervisor
Interview Guide
1-4 5-9 10-12
Superintendent
Survey
1-10 11-26 27-33
Superintendent
Interview Guide
1-4 5-9 10-12
Abstract (if available)
Abstract
This study examined perceptions held by current principals, immediate supervisors of principals, human resources administrators, and superintendents regarding the preparation, recruitment, and retention of K–12 public school principals. The principalship is an important position that ultimately affects student achievement. To be effective, principals must undergo the proper training, understand recruitment strategies, and master the skillsets necessary for retention and longevity. A qualitative approach was utilized for data collection and analysis. Data were collected via surveys and interviews of current principals and district administrators from public school districts in the counties of Los Angeles, San Bernardino, and Orange. Quantitative data from the survey respondents and qualitative perspectives from the interview participants served to address the three research questions and led to emergence of common themes. The research questions of this study were designed to understand principal preparation, recruitment, and retention. Principals received preparation through formal programs, on-the-job training, experience as teacher-leaders or assistant principals, and mentorship. Recruitment was enhanced by exposure and visibility, networking and connections, and development of desired qualities and interpersonal skills. Principals increased their likelihood of retention by obtaining support from supervisors, coaches, and peers and by handling the pressures of the position with self-care and self-efficacy. The themes of this study have important implications for aspiring and current principals, as well as district personnel who hire and supervise them. Future research can include a deeper exploration of principal preparation, recruitment, and retention through case studies and/or focus groups. Future research could include a qualitative study on effective professional development and transformational learning for principals as instructional leaders.
Linked assets
University of Southern California Dissertations and Theses
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Asset Metadata
Creator
Salazar, Angela Ardis
(author)
Core Title
School leadership: preparation, recruitment, and retention of principals
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Education (Leadership)
Publication Date
05/15/2020
Defense Date
01/16/2020
Publisher
University of Southern California
(original),
University of Southern California. Libraries
(digital)
Tag
OAI-PMH Harvest,principal preparation,principal recruitment,principal retention,principals,school leadership,TK-12 education
Language
English
Contributor
Electronically uploaded by the author
(provenance)
Advisor
Escalante, Michael (
committee chair
), Cash, David (
committee member
), Crosby, Owen (
committee member
), Doll, Michele (
committee member
)
Creator Email
aasalaza@usc.edu,asalazar597.as@gmail.com
Permanent Link (DOI)
https://doi.org/10.25549/usctheses-c89-309408
Unique identifier
UC11663931
Identifier
etd-SalazarAng-8522.pdf (filename),usctheses-c89-309408 (legacy record id)
Legacy Identifier
etd-SalazarAng-8522.pdf
Dmrecord
309408
Document Type
Dissertation
Rights
Salazar, Angela Ardis
Type
texts
Source
University of Southern California
(contributing entity),
University of Southern California Dissertations and Theses
(collection)
Access Conditions
The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...
Repository Name
University of Southern California Digital Library
Repository Location
USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA
Tags
principal preparation
principal recruitment
principal retention
principals
school leadership
TK-12 education