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Building leadership capacity to support principal succession
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Building leadership capacity to support principal succession
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BUILDING LEADERSHIP CAPACITY TO SUPPORT PRINCIPAL SUCCESSION by Karen Elizabeth Escalante 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 May 2016 Copyright 2016 Karen Elizabeth Escalante ! ii! Acknowledgements I would like to acknowledge my family and friends that supported me during this journey; thank you for being my cheerleaders. To my husband Mayan and our children, Logan and Kylie, thank you for your unwavering support. To my mom, sister and brother in law, thank you for always helping whenever needed. And to my dad, Don Watt, who passed away on October 2 nd , 2015. Thank you for encouraging me to pursue education so many years ago. To the faculty at USC, most importantly my dissertation committee, thank you for your time and dedication. Dr. Kathy Stowe, Dr. Courtney Malloy and Dr. Larry Picus, your feedback and guidance were greatly appreciated. ! iii! Table of Contents List of Tables v List of Figures vi Abstract vii Chapter One: Overview of the Study 1 Background of the Problem 2 Statement of the Problem 4 Purpose of the Study 5 Research Questions 6 Significance of the Study 6 Limitations and Delimitations 8 Definitions of Terms 8 Organization of the Study 9 Chapter Two: Literature Review 11 Historical Context 12 District Level Practices 14 School Level Practices for Leadership Succession 19 Identification and Recruitment of Potential Principals 19 Mentoring 23 Transformational Leadership Theory 26 Summary 29 Chapter Three: Methodology 30 Research Questions 30 Research Design 31 Sample and Population 31 Overview of the Organization 32 Theoretical Framework 32 Conceptual Framework 33 Data Collection 34 Instrumentation 36 Data Analysis 38 Ethical Considerations 39 Summary 39 Chapter Four: Findings 40 Overview of Participants 41 Overview of the Principal 42 Overview of the Organization 43 Reporting of Findings by Research Question 44 Summary 70 Chapter Five: Summary 71 Purpose of the Study 72 Summary of Findings 72 Implications for Policy and Practice 76 Recommendations for Future Studies 78 ! iv! References 81 Appendices Appendix A: Participant Recruitment Letter 89 Appendix B: Interview Protocol for Administrators 90 Appendix C: Interview Protocol for Teachers 92 Appendix D: Observation Protocol 93 Appendix E: Matrix of Interview Protocols to Research Questions 95 ! ! v! List of Tables Table 1: Study Participants 35 Table 2: Research Questions as Instrumentation 37 Table 3: Overview of Participants 41 ! vi! List of Figures Figure A: Conceptual Framework 34 Figure B: Cresswell’s (2014) Model for Qualitative Data Analysis 38 ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! vii! Abstract This study applies transformational leadership theory practices, specifically inspiring a shared vision, modeling the way and enabling others to act to examine the purposeful ways in which principals work to build the next generation of teacher leaders in response to the dearth of K-12 principals. The purpose of this study was to discover how one principal builds leadership capacity at her school site and grooms individuals for leadership roles. Further, this study explored the perceptions of teachers regarding the practices in addition to factors that facilitated or inhibited the implementation of the principal’s practices. One elementary school principal served as the case study for this research and data was gleaned from interviews, observations and artifacts. Findings from the study indicate that the principal fostered leadership capacity by providing authentic administrative opportunities for teachers pursuing the administration credential. Findings also show that the principal’s methods for building leadership capacity were positively perceived by the identified teacher leaders. Factors that facilitated leadership capacity development include school and district systems and structures while factors that inhibited teachers’ development include psychological concerns. This study illuminates the need for principals to build leadership capacity at their school sites in order to purposefully prepare teacher leaders for principal succession. CHAPTER ONE: OVERVIEW OF THE STUDY Introduction Collins (2001) suggests that leaders have the ability to turn a good company into a great one. This same notion of “good to great” is also relevant and applicable in our K-12 schools. Great principals have the potential to positively impact and influence student academic achievement (Hallinger & Heck, 2010; Leithwood, 2007; Marzano, Waters & McNulty, 2005). How principals are prepared for the role, and by whom, can be the difference between a poorly qualified principal and great one (Fink, 2011). The United States Bureau of Labor Statistics (2014) predicts a 6 percent growth in the number of principals needed from 2012 – 2022; this growth is predominantly attributed to an increase in student enrollment. California, however, predicts far greater numbers of principals and assistant principals needed from 2011 to 2018. An increase of 17% to 42% of principals and assistant principals will be needed depending upon the region. These numbers are attributed to projected student growth and a rise in retirements (Fong & Makkonen, 2011). Principal succession is also attributed to advancements and terminations (Zepeda, Bengston & Parylo, 2012). Peters (2011) found that reform changes and premature retirements are also responsible for a principal shortage. Fink (2010) and Howley, Andrianaivo and Perry (2005) have concluded that despite the need for principals, fewer teachers are opting to enter the principalship due to increased complexities of the job. Policy changes, student mobility, shifts in student demographics, technological growth and the various demands principals must comply with have resulted in a complicated job few aspire to (Crow, 2006). Additionally, many applicants lack the necessary skill sets and abilities required to lead a K-12 school (Myung et al., 2011). Traditional administrative credential programs are quick to admit students and fail to implement a rigorous ! 2! curriculum that prepares graduates for today’s principalship (Davis, Darling-Hammond, LaPointe et. al., 2005). To compound the problem, school districts without a succession plan in place to monitor and mentor the next generation of principals often have a rapid rate of turnover (Fink, 2011). Research posits one solution to address the dearth of leaders is to build leadership capacity through transformational leadership practices. Background of the Problem The role of the principal evolved during the 20 th century. In the early 1900’s principals were considered administrative managers with little to no accountability (Rousmaniere, 2007; Valentine & Prater, 2011). The advent of No Child Left Behind (NCLB) at the turn of the 21 st Century shifted the role to one of significant responsibility tied to public scrutiny. Gone were the days of bell duty and attendance as the primary jobs assigned to those in the principal role (Rousmaniere, 2007). High stakes assessments and increased student achievements became the norm (Crow, 2006). NCLB upped the ante with student performance expectations by requiring schools to meet set standardized test scores or risk consequences (Crow, 2006; Hargreaves & Fink, 2011). This increased accountability impacted where principals began to apply. Schools who enroll lower socio-economic students, high percentages of second language learners, and those located in urban areas have seen even fewer principal applicants applying than their wealthier counterparts (Loeb, Kalogrides & Beteille, 2012; Loeb, Kalogrides & Horng, 2010). Adding to this concern is the average tenure of those in the principalship role. To support school wide changes and leave a lasting impression, Fuller and Young (2009) suggest principals need to remain in their principalship role for a minimum of five years. Fuller and Young’s research ! 3! however, finds that principals typically stay only 3.5-5 years. These numbers are considerably less for urban and lower socio-economic schools. To address the dearth of principals, California implemented a State Leadership Academy in the 1980’s. The California State Leadership Academy (CSLA) offered intensive and extensive long-term training to principals and superintendents. This state funded program ended in 2003 as a result of budget cuts, but was modified into a project and picked up by WestEd, a nonprofit company specializing in education (Darling-Hammond & Orphanos, 2007). The 1980’s also brought changes to the credential requirements for principals. Tier 1 and Tier 2 were implemented to further the training required of those earning administrative credentials. While the intent was to provide field experience to pre-service administrators, the credential programs were poorly implemented and monitored (Darling- Hammond & Orphanos, 2007). In 2011 the Wallace Foundation recognized the need for effective principal training and succession programs nationally, particularly in hard to staff areas, and provided grants and mentoring to 6 urban districts. This initiative is currently in operation and has reported decreased principal attrition and increased principal preparedness (Turnbull, Riley & MacFarlane, 2015). The number of principal positions needed is only expected to grow. California anticipates building additional schools to accommodate the increase in student enrollment, thus requiring additional principals (White, Fong & Makkonen, 2010). The prime importance of creating and supporting a principal succession pipeline is also related to the substantial number of baby boomer principals sets to retire (National Center for Education Statistics, 2014). Increased accountability and public scrutiny have deterred teachers from pursuing the principalship profession. ! 4! The importance of planning for a dearth of principals that will positively influence students and teachers cannot be overstated, yet few principal preparation programs have achieved success in preparing leaders for urban schools (Gill, 2012; Wallace Foundation, 2013). “Growing your own,” or mentoring potential leaders at school sites by tapping into the existing leadership capacity is not commonplace either, rather, the standard protocol for leadership vacancies is to replace principals rather than develop them (Fink, 2010, 2011). While there is no shortage of teachers with administrative credentials, districts are finding that teachers lack the necessary skills sets required to lead 21 st century schools (Fink & Brayman, 2006; Myung et al., 2011). Tantamount to this concern is the research that concludes few teachers are interested in the principalship position (Fink, 2010, 2011; Howley, 2005). Statement of the Problem Throughout history the significance of leadership has been analyzed, evaluated and discussed (Bass, 2008). While some may argue over the exact definition of leadership, there is little disagreement over the precedence leadership played and continues to play in our culture (Northouse, 2013). Kouzes and Posner (2012) identify leadership as a partnership between leaders and followers. One of the most significant challenges for leaders is knowing which of your followers to put on the bus, and more specifically which seat or role you will place them in (Collins, 2001). The Wallace Foundation (2013) reported the impact leadership has on education specifically student growth and academic achievement, was relatively absent from the discussion ten years ago. The role and responsibility of the principal has changed in recent years as the demands and expectations have increased (Myung et al., 2011; Valentine & Prater, 2011; Wallace Foundation, 2013). It is now well documented that school leadership affects school ! 5! wide advancements (Hallinger & Heck, 2010; Leithwood, 2007; Marzano, Waters & McNulty, 2005). Additionally, effective principals have a positive impact on student achievement and quality teacher retention (Loeb, Kalogrides & Horng, 2010). The increase of teacher self- efficacy is also attributed to those in the principal position (Leithwood, 2007). Having identified the influence principals have on their school settings, the concern now shifts to the number of leaders needed to fill the role of principalship. The Bureau of Labor Statistics (United States Department of Labor, 2014) projects 13,000 principal positions will need to be filled nationally between 2012 and 2022, while California projects 5,000 administrative vacancies will need to be filled between 2008 and 2018 (White, Fong & Makkonen, 2010). Increased student enrollment demonstrates one particular need for a greater number of administrators; the other need is the number of principals leaving the profession. National Center for Education Statistics (2014) found that 12% of administrators left the principalship during the 2011-2012 academic year. The numbers demonstrate a clear need for administrators, yet districts are hard pressed to find applicants that have the necessary skill sets to be successful (Fink & Brayman, 2006; Myung et al., 2011). Knowing the impact principals have on academic achievement and growth as well as understanding the increased number of principal vacancies, there is a need for leaders to determine how best to fill those roles with the right people by tapping into the leadership capacity at their school sites. The issue of how principals build leadership capacity at their school site remains understudied, suggesting further examination. Purpose of the Study Recognizing the dearth of leaders prepared for the principalship position, this study aimed to expand the research available to support current principals, districts and policy makers ! 6! in tapping individuals as the next generation of leaders. Multiple factors contribute to the expected principal shortage. California projects additional school sites will be built as a result of increased student enrollment (White, et. al., 2010), National Center of Education Statistics (2014) predicts a substantial number of baby boomer principals will retire in the near future and lastly, teachers are opting not to pursue principal positions due to increased accountability surrounding the position (Fink, 2010; Howley et. al., 2005). The intent of this study was to investigate the role a current principal plays in the leadership succession pipeline when using transformational leadership practices. This study sought to discover how one principal builds leadership capacity at her school site and grooms individuals for leadership roles. Knowing the impact principals have on teachers, students and parents, current principals are working to identify and build the next generation of leaders. This study aimed to discover they ways in which a principal worked to build the next generation of leaders and what the perceptions of those teachers were regarding the influence of those practices. Additionally, this study sought to identify factors that both facilitate and inhibit the strategies designed to build leadership capacity. Research Questions In an effort to learn more about building leadership capacity, the dissertation committee collaborated on these research questions. This study aimed to answer the following research questions: 1. In what ways do principals work to build the next generation of leaders? 2. What are the perceptions of teachers regarding the influence of those practices? 3. What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity? ! 7! Significance of the Study This study of principal succession and what schools and districts are doing to prepare the next generation of leaders is significant in that it adds to the current literature base linking leadership capacity building to the national and statewide principal shortage. A great deal of literature exists that addresses the need for principal succession plans, yet few articulate what is working at the school site level to tap and attract future leaders. Collins (2001) asserts that moving an organization from good to great depends upon the ability to get the right people on the bus and the wrong people off. Once the right people are on the bus, leadership capacity is built by getting them in the right seats. Great principals know how to place key individuals in the correct positions, thereby positively influencing student achievement (Marzano et. al., 2005). The data and findings from this study would be of particular interest to current leaders at the district and school site levels. Recognizing the influence principals have upon their staff and their ability to identify and mentor the next generation of leaders may impact the way districts create principal succession models. Additionally, these findings would be significant to policy makers as they prepare to address the principal shortage. Current principals will find strategies in this study to assist them in identifying potential leaders at their school site, including what strategies have worked in both facilitating and inhibiting growth of leadership capacity. The strategies offered may support current principals in preparing for their own succession by encouraging them to mentor their successor, thereby ensuring the guiding principles that had been established at the school site are able to endure. Additionally, these findings will assist school districts as they prepare to fill vacant principalship positions. The results should prompt districts to examine what qualifications they ! 8! require of principal candidates and consider which program(s) or influential leader(s) groomed them for the position. These findings may also support districts in developing “grow your own” principal programs. For policy makers, this research enhances what is known about principal preparation programs and the strategies employed that facilitate the preparation of principal candidates; these findings may prompt policy makers to modify college and university administrative credential program requirements to obtain more desirable outcomes. Limitations and Delimitations This study was limited to one elementary school principal. The observations and interviews surrounding the ways the principal builds the next generation of leaders, in addition to the perceptions teachers had about those practices are not generalizable. This study was limited to the subjects who agreed to voluntarily participate, while the validity of this study was dependent upon the reliability of those respondents. Additionally, this study operated under a three-month time frame as set by the Ed. D program at the University of California, and was not longitudinal allowing for ongoing investigation. A final limitation was the issue of researcher bias; the information gathered in the study was subject to the interpretation of the researcher. Delimitations reflect what the researcher can control within a given study. This study was delimited to a principal that had been at their current school site for a minimum of 3-5 years. Additionally, at least one former teacher under the principal’s direction must have been tapped for principalship. Definitions of Terms A variety of terms were referenced in this study; the dissertation committee defined these terms. ! 9! a. Generation of Leaders - The process of developing the people who will be the principal successors. b. Intentional Succession Planning – the explicit design and implementation of programs to identify and develop high-quality principal candidates (Russell & Sabina, 2014, p. 600) c. Leadership Capacity - The broad-based skillful participation in the work of teachers as leaders in which they are invited, supported, and appreciated (Harris & Lampert, 2003, p 24). d. Succession Management –a set of practices to identify, develop, and sustain leadership (Leibman, Bruer & Maki, 1996; Myung et al., 2011, p. 699) e. Tapping - An informal recruitment mechanism of teachers to become principals (Myung, Loeb & Horng, 2011). Organization of the Study This study looked at the way a principal built leadership capacity at her school, what the perceptions of teachers were in response to those leadership-building practices and what factors facilitated or inhibited those strategies designed to build leadership capacity. Chapter One provided an overview of the study including the background, significance and purpose. Chapter Two offers a review of the literature, focusing on the historical role of the principalship, leadership succession at the district level, leadership succession at the school level, the role of mentoring, and challenges in relation to developing teacher leadership. Additionally, Chapter Two describes the theoretical framework for this study. Chapter Three provides the research methodology for this study and outlines how participants were selected. Chapter Four analyzes ! 10! the research and reveals the findings while Chapter Five will suggest implications for further research. ! 11! CHAPTER TWO: LITERATURE REVIEW The role of school principal is a complex and demanding job. Districts, teachers, students and parents all have a vested interest in how those in the principalship position navigate the daily challenges aligned with the job. Recognizing the impact principals have within a school setting, in particular student achievement, (Leithwood et. al., 2010; Hallinger & Heck, 2010; Robinson, 2008) concern turns to the number of principals trained and prepared for the role. This concern is particularly true in urban areas (Loeb, Kalogrides & Beteille, 2011; Loeb, Kalogrides & Horng, 2010). Compounding the problem is the rapid rate of turnover among principals (Fuller & Young, 2009). The purpose of this study was to discover how a current principal builds leadership capacity at his / her school site to address the imminent shortage of influential principals. To that end, the study highlights what strategies the principal used to build the next generation of leaders, how teachers perceived those strategies or practices, and which factors inhibited or facilitated the building of leadership capacity. Essential to this inquiry is an analysis of the existing literature addressing the principal pipeline and how leaders are prepared for planned or unplanned succession. This research analysis examines the historical context of the principalship beginning in the early 1900’s. The overview of history and the principal’s role is followed by a description of principal development at the district level. An examination of district level practices will lead into a literature investigation of the practices schools are using to develop teachers who may enter the principal pipeline. This will be followed by school level practices, which are organized around two themes that emerged from the literature. Lastly, transformational leadership will be ! 12! presented and discussed as the theoretical framework for this study. In conclusion, this chapter will connect existing literature to the present study. Historical Context The role of the principal has evolved over the years to meet the demands required of each time period. In the 1800’s, the principal position was seen as a managerial task and typically assigned to the longest serving teacher or the one most compatible with the school board (Rousmaniere, 2007). During this time frame, the responsibilities of the principal varied depending upon the school in which he worked. Various duties included sweeping the floors, keeping the keys, taking attendance and monitoring the furnace. The principal paid little attention to student learning or academic achievement in this managerial role (Rousmaniere, 2007). Two key changes impacted the principalship in the early 20 th century as the position shifted from managerial to supervisory. In order to lead schools, principals were removed from the classroom and provided an office with a waiting room and secretary. The second key change was the tightening of the qualifications required for the position, providing a clear distinction between teacher and principal. Universities began offering educational administration courses during this time frame, although these classes were open to men only (Rousmaniere, 2007). The role of the principal continued to evolve in the 1980’s and 90’s stemming from program implementations and shifts in reform. Hargreaves and Goodson’s (2006) landmark study Change Over Time? examined significant changes that impacted schools over a 30-year period. This longitudinal, qualitative study interviewed over 186 teachers that taught during the 1970’s, 1980’s and 1990’s at one of the eight high schools identified in the study. The findings from this study suggest there were five substantial changes that resulted in significant school ! 13! wide shifts. Wide spread educational reform, poorly managed leadership succession, a change in student demographics including the passing of Individuals with Disabilities Educational Act (IDEA), the generational gap of teachers and the standardization of schools. The most significant of these accounting for the largest shift in leadership succession is educational reform. While principals of the 1970’s remained in their roles for significant periods of time, reform changes of the 80’s and 90’s demanding rapid school wide improvements accelerated the rate of principal succession. This rapid rate of turnover created instability within principal leadership. The No Child Left Behind Act (NCLB) of 2001 further challenged the demands of the principalship by raising the stakes tied to student achievement. Schools not meeting preset standardized assessment goals were faced with public scrutiny, loss of funding and occasionally the release of teachers and principals (Crow, 2006). In light of public scrutiny, some principals opted to instruct their teaching staff to implement a “teach to the test curriculum” (Fink, 2011). Still others felt that NCLB distracted them from the responsibilities they enjoyed as a principal such as coaching and building rapport with the students, and instead required increased time reviewing data and paperwork (Fink, 2011). High stakes testing began with the implementation of A Nation at Risk in 1983; these efforts continued with NCLB. While the format and some content have changed as schools move to Common Core State Standards (CCSS) and the Smarter Balance Assessment Consortium (SBAC), high stakes testing remains a constant. As schools work to improve student achievement, they are now tasked with the challenges of supporting teachers with the implementation and professional development of the CCSS standards and SBAC assessment models (Young, 2013). The rigorous standards set forth by CCSS focus on preparing students for 21 st Century careers and competing in a global economy (California Department of Education, ! 14! 2013). High stakes testing will remain to ensure students are mastering the necessary skills for college and / or career readiness (California Department of Education, 2013). Howley, Andrianaivo and Perry (2005) surveyed over 400 Ohio schoolteachers to understand their perceptions of the incentives and disincentives related to school leadership. Results from this study indicate that fewer teachers are opting to enter the principalship profession due to increased disincentives. A portion of those surveyed had served in the principalship role, but had subsequently left their position as a result of disincentives. Time away from family, increased accountability and the need to “play politics” were all identified as reasons to refrain from the role. With similar results, findings from Fink’s (2010) qualitative study of US and Canadian principals suggest increasing numbers of principals have opted to return to the role of classroom teacher. Principals identified the punitive nature of NCLB as well as job complexities as rationale for stepping down from the principalship. Higher pay and the esteemed role of the administrator position are not commensurate with the increased accountability and overwhelming demands of the job. It has been established that the principalship position has evolved over time from one of few demands to a position with complex and evolving responsibilities. As a result of this shift, fewer teachers are pursuing the principal position. An examination of the literature regarding district and school level practices for leadership succession will shed some light on the ways they are preparing for the dearth of purposefully prepared principals. District Level Practices for Leadership Succession Returning to Hargreaves and Goodson’s (2006) Change Over Time? study, aside from mandated initiatives, few changes are as significant to the direction and climate of a school as leadership succession. Despite the level of impact a principal has upon an individual site, ! 15! districts frequently rely on principal replacement rather than principal development (Fink, 2010; Hargreaves & Goodson, 2006; Peters, 2011). The placement of a new principal call for purposeful identification and selection allowing for a smooth transition for teachers and students. In an ideal scenario, the selected candidate has received mentoring support from the outgoing principal and is familiar with the culture and climate of the school before taking over; in actuality, a change in leadership is frequently unplanned. The lack of preparation and purposeful transition of a new principal can lead to uncertainty and resistance among teachers (Hargreaves & Goodson, 2006). Unplanned succession is commonplace with failing schools, or when teachers and principal are resistant to reform changes. These efforts frequently result in a revolving door of principals while teachers wait out the new list of demands required of each principal (Peters, 2011). Unplanned principal succession creates organizational instability resulting in a quick fix for a much larger problem. In the Change Over Time? study, the rapid rate of succession and turnover gave little opportunity for principals to acquire and build trusting relationships with teachers. As previously noted, the average tenure of principals is 3.5 to 5 years (Fuller & Young, 2009) leaving little opportunity for a lasting impact. In a more recent yet smaller study, Zepeda et al. (2012) found that district succession plans varied according to the size and growth of the districts. The researchers selected four Georgia school districts to conduct a multiple-case study that highlighted how each planned for and managed principal succession. The larger districts within the study shared a sense of urgency in preparing for principal replacement, stating they monitor principals that are eligible for retirement and plan accordingly. Part of the planning includes identifying individuals that ! 16! demonstrate the skill sets required for the position and begin training and mentoring them for the role. The smaller districts within the Zepeda et al. (2012) study were challenged with the limited number of positions available for principal succession. Tapping and developing leaders within the small districts often resulted in talent leaving the districts to pursue the principalship elsewhere. Due to the limited number of principal positions, the smaller districts did not have formal succession plans in place. What all districts did have in common however was some form of mentoring; this was identified as being both formal and informal. Formal mentoring included structured support implemented at the district level with mentors matched with mentees. This form of mentoring, while tailored to the needs of the new principals, was aligned with the requirements of the district. Informal mentoring was frequently unstructured and resulted when a current or formal principal sought to provide guidance and assistance to a novice principal. This relationship was at the discretion of the mentor. Contrary to Zepeda et al. (2012) however, larger U.S. urban districts typically have poorly implemented mentoring programs aimed at new principals (Peters, 2011). To address the dearth of leaders demonstrating skills sets necessary for leading 21 st century schools, the Wallace Foundation launched the Principal Pipeline Initiative in 2011. This initiative identified six urban school districts across the United States that hoped to strengthen the way they recognize and build leadership capacity. In exchange for $7.5 million to $12.5 million over a five-year period, the Principal Pipeline aims to support each district with improving the selection of principals, pre-service training, novice support and evaluation, in addition to clearly defining the standards and expectations of principals (Turnbull, Riley, Arcaira, Anderson & MacFarlane, 2013). ! 17! Survey data from the 2012 – 2013 academic year show that districts participating in the Principal Pipeline Initiative had grown in the area of “novice support” by providing mentors. 86% of first year principals responded to having a coach or mentor; in four of the districts, 100% of first year principals responded to having a coach or mentor (Turnbull, Riley, MacFarlane, 2013). Districts within this study also demonstrated improvement in preparing principals by providing aspiring leaders with authentic opportunities to cultivate leadership skills within school sites (Turnbull, Riley, MacFarlane, 2013). Principals prepared under this initiative are scheduled to be leading schools by 2015, with the five-year Principal Pipeline grant coming to a close in 2016. Leading up to this 2016 date, the Wallace Foundation will prepare annual reports to document district growth and success. The Principal Pipeline Initiative is a national model, but the State of California also recognized the need to cultivate and build leadership capacity in preparation for principalship positions. While many states sought to address school reform mandates of the 1980’s and 90’s by looking almost exclusively at teacher preparation and curriculum, California developed the California School Leadership Academy (CSLA) in 1983 with the understanding that principals play a vital role in academic achievement (Darling-Hammond & Orphanos, 2007). CSLA developed a three-year training model that served over 25,000 school leaders and was recognized for its trainings and outcomes. While the leadership academy was not able to continue due to state budget cuts, aspects of the CSLA program have been implemented nationally and internationally (Darling-Hammond & Orphanos, 2007). WestEd – a nonprofit educational research and development agency- sought to continue the comprehensive training efforts of CSLA, but their efforts have been limited. ! 18! In tandem with CSLA, California also implemented a two-tiered administrative credential. The intent was to create administrative requirements that were organized around both course work and fieldwork thereby providing rich, systematic experiences for principals. In practice, however, the credential requirements have been described as expensive, time consuming and poorly implemented (Darling-Hammond & Orphanos, 2007). Recognizing the challenges the state has faced in selecting, training and preparing principals, multiple agencies in California created the Integrated Leadership Development Initiative (ILDI) in 2006 in the hopes of supporting schools and districts with building leadership capacity (Kearney, 2010). ILDI’s agencies comprised of districts, the CTC, WestEd, Universities and the California Department of Education, referred to best practices and literature to develop a leadership continuum allowing for leadership development gaps to be identified with efforts put toward closing those gaps. Leadership gaps are aligned with student achievement gaps, making these efforts significant (Kearney, 2010). Recognizing the critical and immense task of preparing leaders for the principalship, The Integrated Leadership Development Initiative is ongoing and continues to develop standards and professional development for principals (Davis et al., 2011). In conclusion, principal succession is inevitable. What vary, however, are the succession practices that are enacted in response to district needs and concerns. As evidenced by the literature, districts rely on principal replacement as opposed to management thus perpetuating the ongoing need for principals prepared to meet the demands of 21 st century leadership. The next section will identify how schools are working toward supporting candidates in their leadership growth and potential transition to principal. ! 19! School Level Practices for Leadership Succession Similar to district level practices for leadership succession, school level practices are often unplanned. With school reforms continuing to impact the duration in which principals remain in the position, efforts must be made to purposely plan for leadership succession (Peters, 2011). In response to these concerns, this next section will explore the identification and recruitment of potential principals in addition to the role mentoring plays in leadership succession. Identification and Recruitment of Potential Principals The demand for principals demonstrating skill sets required to lead 21 st century schools has been established. Less is known, however, of the leadership characteristics demonstrated by individuals applying for or being recruited for the role of principal. Turner (1960) identified two forms of principalship opportunity; contest mobility and sponsored mobility. Contest mobility suggests that each principal candidate has an equal opportunity to be hired for the position based upon their achievements, whereas sponsored mobility is defined as a principal candidate seeking out the attention of their administrator for the purposes of networking and becoming acquainted with the role. Sponsored mobility shares reciprocity; a current principal can seek out a teacher, which is defined as “tapping.” Myung et al. (2011) conducted a quantitative study of teachers, assistant principals and principals in the Miami-Dade school district following the 2007-2008 academic year, surveying whether these individuals had been tapped for the role of principal. Results show that 9% of teachers reported being tapped by their current principal, while 72% of current principals and 52% of assistant principals were tapped by a former principal. Results also indicate that gender and race are significant predictors of being tapped. Male teachers are twice as likely to be tapped ! 20! than their female counterparts and Black and Hispanic teachers are more likely to be tapped than their White colleagues. These findings are after controlling for teacher leadership capabilities, suggesting current principals tap and promote teachers that resemble them in appearance and background. Northouse (2013) argues that, “Leadership includes attention to common goals. Leaders direct their energies toward individuals who are trying to achieve something together.” The research posits principals are drawn toward teachers that look and act like them and share common goals, thereby tapping them for the principalship position. Returning to Turner’s (1960) definition of contest mobility, many districts allow for an open application system allowing any individual interested in the principalship to apply. Fink (2010) describes a small U.S. district that allows for all to apply, and then uses a highly selective screening process to narrow down the applicants; the few that are identified as potential candidates for the principal role are presented to both teachers and parents with the final decision made by the superintendent. What Turner (1960) and Fink (2010) describe is aligned with the California Commission on Teacher Credentialing (CCTC) website. The CCTC suggests there are three ways to become a principal in California: complete a commission approved administrative credential program offered by a program sponsor, complete a commission approved administrative intern program or receive a passing score on the California Preliminary Administrative Credential Examination (CPACE). No list of required skills sets or dispositions is articulated; once any one of these has been completed, applicants are free to apply for a principal position. In response to the dearth of principals, Muth et al. (2013) suggest that only the best teachers should be recruited for the principal pipeline. The time, energy and human capital involved in training teachers for the principalship is wasted when teachers opt to remain in the ! 21! classroom following the completion of their principal preparation program. Huntzicker (2012) identifies the best teachers as those who are well versed in research based practices, demonstrate increased self-efficacy, and have held leadership roles outside of the classroom. Muth et al. (2013) argue that previous leadership roles are the most important facet; suggesting prior leadership experience is more significant and malleable than other selection criteria. Using Albert Bandura’s research, Leithwood (2007) identified and articulated two key behaviors exhibited by teachers that may advance them toward the principalship, self-efficacy and absence of burn out. Self-efficacy is viewed as a teacher’s belief they are successful either working with students or in their content area. When a teacher demonstrates a surplus of self- efficacy, this is frequently transferred to increased student self-efficacy. High teacher and student self-efficacy is related to lower student drop out rates, higher student achievement and increased student motivation. Teacher self-efficacy is frequently tied to resilience suggesting a reduced level of stress. Burnout or stress results in teachers being unable to function effectively in the classroom. Program changes, school reform changes and student discipline are all concerns that can lead to teacher burnout. A teacher’s ability to bounce back from such changes and occurrences suggests they demonstrate a steady emotional state ideal for a principal position. Howley, Andrianaivo and Perry (2005) found that novice teachers interested in leadership were more apt to view challenges with optimism as they strived toward career advancement, whereas teachers that had been in the profession for longer periods of time focused on the disincentives of leadership positions and responsibilities, suggesting current principals aim to tap teachers with fewer years of experience for the role of principal. The challenges in developing teacher leadership vary, but the ever-present hurdle stems from the notion that teachers are part of an egalitarian culture (Donaldson et al., 2008). Teachers ! 22! veering toward leadership roles, especially those new to the teaching profession, fail to consider the unwritten rules of education, teachers are autonomous and those in position of seniority are often unappreciative of newcomers’ leadership authority (Donaldson et al., 2008). Under an egalitarian rein, all teachers are created equal and are to put up a united front. Those willing to take risks by seeking or being appointed to leadership roles place themselves in direct conflict with their teaching peers (Donaldson et al., 2008; Fairman & MacKenzie, 2014; York-Barr, 2004). The socialization process for teachers embeds the notion that teachers are followers and should remain focused on their classroom duties (York-Barr, 2004). In this era of multiple school reforms and heightened accountability, principals are tasked with many responsibilities. One area where they particularly struggle is investing in school culture and climate. Research posits leadership development is fostered with positive school climates (Drago-Severson, 2012). With little time available to devote to school climate, teacher leadership will fail to develop. To that end, teachers that are successful in being mentored by the principal are often accused by their peers of being the “principal’s pet” (Donaldson et al., 2008). To avoid this title and association, teachers in leadership roles will frequently refrain from celebrating leadership successes or acknowledgements (Fairman & MacKenzie, 2014). In summary, the road to the principalship is not black and white. Northouse (2013) suggests that leadership is a non-linear process, which explains why various factors and avenues come into play when seeking out the role, or being tapped for the role of principal. While programs such as the Wallace Foundation have worked to foster the principal pipeline with funds and support to districts, this is the exception rather than the norm. California has worked to address the dearth of principals with various efforts ranging from the CSLA that experienced widely popular and nationally recognized models, to the two tiered credential system that has ! 23! been criticized for poor implementation and follow through on the part of universities. Additionally, little is known about the behaviors of those seeking or being tapped for the role of principal, limited empirical research is available articulating the qualities of a principal candidate and how principals foster those qualities to develop leadership capacity. Mentoring Whether conducted formally or informally, mentoring is a significant aspect to both aspiring and new principals (Bengston et al., 2013; Fink 2010; & Silver et al., 2009). Mentoring differs from peer support in that mentors of principals are either veteran or retired principals that are familiar with the role and responsibilities of the principalship (Hansford & Ehrich, 2006; Peters, 2011). Research from the New Teacher Center out of University of California, Santa Cruz reports that new principals that participate in mentoring are more likely to have a positive influence on student achievement as compared to those that do not participate in a mentorship,! (Bloom et. al., 2005). While it is unclear what percentage of student achievement can be attributed to principal mentoring, principals on average are linked to a five to seven percent difference in student academic growth (Leithwood, et al., 2008). The use of mentoring is cyclical, suggesting teacher leaders, newly appointed principals and principals that have been in the role for a few years all benefit from a mentorship. A significant challenge identified with teacher leaders being mentored by principals is the time commitment. Teachers frequently have to miss instructional time with their students in order to meet with their mentor, and mentors are overwhelmed with accountability at their school site to schedule time for their mentee (Clayton, Sanzo & Myran, 2010). Despite the time challenges, both mentor and mentee report increased leadership development as a result of their mentorship. Mentoring newly appointed principals is significant to student outcome and principal retention ! 24! (Bloom et. al., 2005). Those new to the principalship appreciate a mentoring relationship for the support, advice, encouragement and affirmation (Boerema, 2011). Additionally, mentoring carried out over the long term of a principal’s tenure encourages career development and professional growth (Fink, 2010; Peters, 2011). Hansford & Ehrich (2006) reviewed 40 empirical research studies related to mentoring and found that while each study reported some positive aspect of a mentoring relationship, more than half identified a negative outcome. Positive aspects of mentoring identified within the studies included support, sharing of ideas and networking. Negatives associated with mentoring included little to no time for the mentor and mentee to meet, poorly matched mentors and mentees and mentors not understanding their role. This research suggests that mentorship is beneficial to the novice principal, but not everyone is suited for the role of mentor. With the significant amount of responsibility a new principal inherits, mentorship is especially prudent; those just assigned to the role of principal are typically unsure who to ask for help (Silver et. al., 2009). In a small qualitative study of two new principals, both articulated the lack of support they received from the district upon entering into the role, as mentors were not provided. The participants suggested that mentoring is subjective; one cannot begin a mentorship with a checklist. Having mentors would have eased the challenges they both felt that first year by providing someone to listen and counsel (Peters, 2011). In their qualitative study, Silver et al. (2009) looked at 17 newly assigned principals and their mentors to determine what was garnered from their relationships. Mentor and mentee were matched based on leadership philosophy, the type and level of school in addition to the nature of challenges they faced. Mentors appreciated the opportunity to give back, and both mentor and mentee reported positive outcomes. Similar to the Hansford and Ehrich (2006) study, conflict ! 25! arose when mentors were unsure of their role and responsibilities. In response to the dearth of principals, effort must be given to support newly assigned principals as they transition into the role. The principalship has the potential to be an isolating position, care must be given to support and guide them (Boerema, 2011). The expectation is that new principals enter the position ready to lead on day one. What differs between principals of today and principals of the past is the complexity of the job (Crow, 2006). Today’s principals are faced with changing student demographics that rely heavily on social, mental and health services (Crow, 2006; Hunzicker, 2012). In preparation of their role, a socialization of new principals occurs. Van Maanen and Schein (1979) define socialization as “the process through which an individual learns or acquires the necessary knowledge, skills, and values needed to perform a social role in an organization.” The use of mentoring is one way to support new principals in acclimating to the job (Bengston, Zepeda & Parylo, 2013; Crow, 2006; Peters, 2011). Socialization and Succession are described as two sides of the same coin (Bengston, Zepeda & Parylo, 2013). How succession and socialization practices are implemented vary depending upon the size of the district and the rate of principal turnover (Bengston, Zepeda & Parylo, 2013). In Bengston, Zepeda and Parylo’s (2013) study of succession and socialization practices, larger districts were able to support new principals through the use of an academy. Building rapport with academy classmates helped to lesson the degree of loneliness in the principalship position. Crow (2006) describes two types of socialization, professional and organizational. Professional organization takes place primarily at the university level where principal candidates are groomed in the knowledge, skills and dispositions required of the role. Organizational socialization is context bound, so principals learn the expected knowledge, skills ! 26! and dispositions once placed at a particular school site. Having socialization and succession plans in place helps to ensure a lengthy tenure, thereby decreasing the dearth of principals. In conclusion, the complexities and demands placed upon a K-12 principal, let alone a first year K-12 principal, are astounding. The use of mentoring which provides a lifeline to new principals has proven to be significant to both mentor and mentee. While matching of mentors and mentees continues to be an area for growth, the positives of mentorship outweigh the negatives. With principals typically lasting only 3-5 years in the principalship role, socialization that includes the use of a mentor provides opportunities to support, encourage and affirm the work they are doing thereby increasing their time in the position and allowing for a lasting impression. Despite what is known of mentorship benefits, the use of mentors varies according to the differing principal socialization and succession practices of each district. Transformational Leadership Theory The term transformational leadership began to make an appearance in the 1970’s as a way to describe leaders that motivated their followers through positive relationships with the intent to achieve positive outcomes (Northouse, 2013). Bass (1985) expanded on this idea by suggesting a continuum of leadership with transformational leadership at one end, transactional leadership in the center and laissez faire leadership at the other end. Transactional leaders take into account their own needs and desires, while transformational leaders make decisions based on the needs of the organization. Differing from transactional and transformational, laissez faire leaders provide little to no support to his or her followers (Northouse, 2013). Transformational leadership theory has gained popularity due to its emphasis on intrinsic values and long-range goal setting (Northouse, 2013) making it the ideal leadership style for the principalship role. ! 27! Current principals that identify and tap potential candidates for the role of principal are more likely to experience success when Bass’ (1985, 2000) key transformational leadership factors are incorporated: idealized influence, inspirational motivation, intellectual stimulation and individualized consideration. In a study of principals working to foster teacher growth, Hunziker (2012) demonstrated that modeling, fostering dialogue, and treating colleagues like family facilitated the development of teachers. Furthermore, Stewart (2006) argues that the attributes of transformational leaders are aligned with the skill sets necessary for leading a K-12 21 st century school. One can argue that transformational leadership qualities are desired in current principals in addition to teachers being tapped for the role. Building off the work of Bass (1985, 1990), Kouzes and Posner (2012) asked leaders from varying organizations, levels, age groups and geographic locations about their leadership strengths. Based on the leaders’ actions and behaviors, five exemplary practices of leadership were defined and articulated: model the way, inspire a shared vision, challenge the process, enable others to act and encourage the heart. The authors argue that leadership is taught, as opposed to a set of skills you are born with; this notion is congruent with the successes of The Wallace Foundation’s training and preparation of new principals (Turnbull, Riley, MacFarlane, 2013). Recognizing the need to tap and recruit individuals for the principal succession pipeline, transformational leadership is aligned with the actions and behaviors required of those in the principalship role. This research study will focus on three of the five exemplary leadership practices identified by Kouzes and Posner (2012): enable others to act, inspire a shared vision and model the way. The dissertation group was purposeful in selecting these three exemplary ! 28! practices, as they are most aligned with building leadership capacity and best serve as strategies for practicing exemplary leadership. Enable others to act. Enabling others to act aligns itself with trust; trust in yourself and trust in those around you. Transformational leaders are open to the viewpoints and resources of others, and model this mutual dependency (Kouzes and Posner, 2012). Myung et al. (2011) found that tapped teachers were encouraged to grow in their leadership capabilities, in turn this promotes principal succession management as candidates are more prepared for the role of principal. Inspire a shared vision. The ability to inspire a shared vision is twofold, a leader must have the ability to imagine organizational possibilities and then enlist the support of followers to strive for the same goals and aspirations (Kouzes and Posner, 2012). If districts are to move from a culture of succession replacement to one of management, principals must clearly articulate their organization’s vision to fellow teachers. Marks and Printy (2003) noted that principals who are successful in dialoguing with their teachers in regards to the goals of the school are setting the stage to build leadership capacity. Model the way. Modeling the way is also a two-part commitment to leadership. A transformational leader has a clear understanding of his or her personal values and beliefs, and is able to articulate them with sincerity and conviction. Not only must values and beliefs be expressed verbally, a transformational leader will demonstrate these ideals through daily interactions (Kouzes and Posner, 2012). The use of modeling was evidenced in DeAngelis and O’Connor’s description of principals that take existing teachers under their wings and develop leadership capacity. To support a culture of principal succession management, modeling the way must become commonplace. ! 29! In an effort to address the dearth of principals, researchers can use the transformational leadership lens to determine how best to identify, recruit, select and mentor candidates aspiring for the principalship. Summary There is little disagreement that the role of the principal has advanced into a position with many facets and responsibilities. It is also established that many new candidates will be needed to fill vacant and newly created principal positions. While the literature examines strategies some schools and districts are employing to identify and prepare candidates for this role, few programs or methods are systemic, ongoing and wide spread. There remains a deficiency in strategies that lend themselves to building leadership capacity within a school site, which leads to tapping teachers that exhibit leadership strengths. Additionally, there is minimal uniformity for principal succession and socialization plans leading to an absence of how best to support principals as they transition into the role. This literature review has established the many pieces involved on the road to the principalship, from identification of teacher leaders to the supports necessary for succession and socialization of K-12 principals. These components have been met with minimal agreement. The present study attempted to fill some of the gaps in relation to how a current principal developed leadership capacity within her teachers and how teachers responded to those leadership advances. The next section will address the research methods employed during the study. ! 30! CHAPTER THREE: METHODOLOGY The intent of this study was to discover how a K-12 principal builds leadership capacity at her school site; current research posits there is a dearth of leaders entering the principalship (Fink, 2010; Howley et. al, 2005). As identified in Chapter Two, the literature is limited in that it centers on district failures rather than bringing to light promising practices for building leadership capacity. This study examined how a current principal worked to build leadership capacity at her school site, what strategies the principal used to build the next generation of leaders, how teachers perceived those strategies or practices, and which factors inhibited or facilitated the building of leadership capacity. As previously introduced, practices associated with building leadership capacity were viewed through the theoretical lens of transformational leadership. The strategies principals utilize to develop leadership capacity will serve as a guide for additional K-12 leaders that wish to address the dearth of leaders pursuing the principalship. Chapter Three will outline the research design of the study and provides an overview of the participants and sample selection. The theoretical framework will also be revisited in addition to the introduction of the conceptual framework; taken together these two frameworks provide the foundation for the study. Data collection procedures are examined in addition to instrumentation utilized. Finally, ethical considerations of the study will also be addressed. Research Questions In order to determine how principals build leadership capacity at his / her school site, the following research questions were written and posed by the dissertation committee: 1. In what ways do principals work to build the next generation of leaders? 2. What are the perceptions of teachers regarding the influence of those practices? ! 31! 3. What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity? Research Design The research questions both framed and guided the choice of research methods used for data collection. In order to investigate and understand the first hand experiences of a principal’s efforts to build leadership capacity at his / her school site, it was determined the use of qualitative methods was ideal for this study. The use of qualitative methods for a case study allows the researcher to gather thick, descriptive data without altering or manipulating the environment (Merriam, 2009). As the primary instrument, it is the role of the researcher to analyze and triangulate the data in order to draw meaning from the phenomena (Maxwell, 2013). Qualitative case studies rely heavily on three forms of data allowing for triangulation: interviews, observations and document analysis (Cresswell, 2007). The use of interviews in qualitative studies allows researchers to gather data that cannot be observed (Merriam, 2009). While the use of observation allows the researcher to physically observe the phenomena where it naturally occurs (Merriam, 2009). Finally, incorporating document analysis provides objective data, in addition to providing a historical vantage point of the organization (Merriam, 2009). Sample and Population Within qualitative research, it is the role of the researcher to identify whom they will interview and observe, and why; also known as purposeful sampling (Merriam, 2009). Purposeful sampling allows for insight and extensive understanding of the phenomena (Patton, 2002). The sample for this study focused on one principal that was the administrator of a K-5 school located within a small southern California school district. The selected principal met the criteria established by the thematic dissertation group; the criteria for this case study included: ! 32! •! Three to five years experience as principal at the current school site •! The principal reported she had purposefully built leadership capacity in teachers with the intent of encouraging them to move into school administration •! At least one teacher had been tapped by the principal to formally pursue the principalship In addition to the principal, it was necessary to interview the superintendent of the district as well as teachers at the school site. Snowball sampling led to the identification of teachers and other participants from whom data was collected (Merriam, 2009). Seven participants were interviewed so that rich data could be collected and promising practices gleaned. Overview of the Organization Through purposeful sampling, the researcher was able to select an individual based on pre-identified criteria (Merriam, 2009). Using criteria set forth by the thematic dissertation group, the researcher selected the principal that oversees Cody Elementary School. Cody Elementary is a K - 5 elementary school located in a small district in southern California. During the 2014 - 2015 academic year, Cody Elementary enrolled 712 students and employed 26 fully credentialed teachers. The demographic composition of the school is 55 percent white, 25 percent Hispanic / Latino, 7 percent Asian and 10 percent socioeconomically disadvantaged. During the 2013-2014 academic year, Cody Elementary earned an API score of 958. This principal was selected for the study as she had tapped one or more teachers to formally pursue the principalship. Theoretical Framework To garner a deeper and broader understanding of the phenomenon related to building leadership capacity, this research study was grounded in an existing theory (Maxwell, 2013). As ! 33! identified in Chapter One, this study used transformational leadership theory to explore the relationship between leader and follower. Transformational leadership theory provided the most appropriate lens through which to examine promising practices employed by the organization’s principal in regards to building leadership capacity amongst teachers tapped for the principalship. At the core of this framework were three of the five exemplary leadership practices identified by Kouzes and Posner (2012) that can be applied to principal leadership succession management: enable others to act, inspire a shared vision and model the way. Through the use of a theoretical framework, clarity can be drawn from the data (Maxwell, 2013). Conceptual Framework The conceptual framework, designed by the thematic group, was based on emerging themes from the review of the literature (Figure A). As noted in Chapter 2, the role of the principal has evolved based upon historical impact. With few principal succession plans established, the role transformational leadership plays in building leadership capacity was examined. As previously identified, modeling the way, inspiring a shared vision and enabling others to act were specifically chosen due to their unique alignment with transformational leadership and served to identify exemplary leadership practices. Through this lens, the challenges were identified for developing leadership capacity within schools and districts thus impacting the reservoir of high quality principals. Despite these identified challenges, transformational leadership practices support the building of leadership capacity and aim to contribute to the reservoir of high quality principals. ! 34! Figure A. Conceptual Framework Ed. D. Thematic Group, 2015 Data Collection To gain access to this site, the researcher emailed the superintendent of the district where Cody Elementary School is located and requested a meeting to discuss the possibility of conducting research within the district. The researcher had previously observed the superintendent for a course assignment, so there had been a prior introduction. The superintendent shared two possible principals for this case study based on criteria set forth by the thematic dissertation group. The principals were emailed by the researcher and asked to participate in the study. Both principals responded favorably to the study, yet one expressed additional interest in participating. Ultimately, the researcher chose the principal with greater interest. ! 35! All participants in this study were provided with an introductory letter informing them of the purpose of the study and the role they would play in providing data for the research (see Appendix A). Table 1 identifies the participants interviewed for this case study, relevant characteristics, as well as the number and duration of interviews conducted. Table 1: Study Participants Role Number of years in identified role Gender Relevant Characteristic Number and duration of interviews Superintendent of the District Participant #1 5 Female Promoted from within the district 1 – 45 minutes Superintendent of HR Participant #2 2 Male Promoted from within the district. Began as teacher, then AP, then principal then super of HR. 1 – 90 minutes Principal of Cody Elementary 10 Female Hired as a new principal 1 – 60 minutes Teacher A 10 Female Working on her admin credential Obtained a Master’s degree previously 1 – 60 minutes ! 36! Teacher B 5 Female Working toward her Master’s and admin credential 1 – 25 minutes Teacher C 11 Female Working toward her Master’s and admin credential 1 – 25 minutes Teacher D 18 Female Worked as a TOSA for one year Has completed a Master’s program 1 – 45 minutes Instrumentation One form of instrumentation used for this study was a series of semi-structured interviews. A semi-structured format allows for flexibility when conducting interviews, enabling the researcher to respond to and modify questions based on emerging responses (Merriam, 2002). Using protocols created by the thematic dissertation group (See Appendices B and C), interviews were conducted with the district superintendent, superintendent of Human Resources, the case study principal and teachers identified by the principal. Questions in the interview protocols are in direct alignment with the research questions for the study. To support the researcher in collecting observational data, an observation protocol was established by the thematic dissertation group (See Appendices D). Observational data ! 37! collection included the physical setting of observed interactions, a description of individuals in attendance at various observed activities as well as the interactions of individuals. Data was collected through an examination of school documents. Document analysis included the school plan, resumes of tapped teachers, School Accountability Report Card (SARC), agendas, minutes, and annual reports. The following table illustrates how the research questions for this study were used to determine the relevant sources of instrumentation. Research question 2 utilized interviews and observations while research questions 1 and 3 utilized all three forms of data: interviews, observations and document analysis. Table 2: Research Questions as Instrumentation Research Question Interviews Observation Document Analysis In what ways do principals work to build the next generation of leaders? X X X What are the perceptions of teachers regarding the influence of those practices? X X What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity? X X X ! 38! Data Analysis Through data analysis, the researcher is able to make sense of the data and answer the research questions (Merriam, 2009). Data analysis for this case study was conducted in accordance with Cresswell’s Model for Data Analysis (2014) (Figure B). Figure B. Cresswell’s (2014) Model for Qualitative Data Analysis In accordance with Cresswell’s Model, the first step involves the organization of the data. Organizing the data is followed by an examination of the data. Coding begins to occur in step 3 and continues to evolve in step 4 as themes are described. Step 5 requires themes to be represented in narrative form and finally findings and results are presented in step 6. ! 39! Ethical Considerations Qualitative research puts a great deal of responsibility in the hands of the researcher. Working with human subjects requires that the researcher remain ethical and professional throughout the data collection, analysis and presentation process (Merriam, 2009). To ensure ethical means of data collection, the thematic dissertation group abided by the rules and regulations set forth by the University of Southern California’s Institutional Review Board (IRB). Steps were taken to ensure confidentiality; the organization and all human participants were given pseudonyms from the beginning of data collection to enhance anonymity. Furthermore, interview and observation data were kept private and secure. Finally, all data were safely discarded at the completion of the study. Summary This chapter provided an overview of the qualitative case study method, data collection, and data analysis procedures used to implement the study. Chapter Four will present the study’s finding to the research questions. ! ! ! 40! CHAPTER FOUR: FINDINGS ! The purpose of this study was to examine the leadership practices employed by one principal to groom individuals for leadership roles and subsequently enter the principalship. This study was conducted in response to the dearth of leaders presently prepared for the principal position. The experiences of this principal and her teacher leaders may be valuable to fellow principals looking to build or enhance their principal succession pipeline. As noted by Fink (2011), schools that fail to support and mentor the next generation of leaders often have a rapid rate of leadership turnover. Accordingly, all participants were asked to identify and describe the ways in which they support others in building leadership capacity or have been supported themselves. This chapter introduces details about the participants and presents the inquiry findings. Findings are presented by research question. In order to recognize the ways in which a current principal uses leadership practices to tap and recruit the next generation of teacher leaders, three research questions were authored by the dissertation committee to support this study. Interview protocols for both administrators and teachers as well as an observation protocol were prepared using the identified research questions: 1. In what ways do principals work to build the next generation of leaders? 2. What are the perceptions of teachers regarding the influence of those practices? 3. What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity? Data collection occurred through participant interviews, observations, resumes, emails, the School Accountability Report Card (SARC) and meeting agendas. Triangulation of these multiple data sources increases the validity of the findings. The participants and organization will be introduced followed by the study’s findings. ! 41! Overview of Participants Through the use of purposeful and snowball sampling, seven participants were selected for this study. All participants agreed to take part in a thirty to forty-five-minute interview with follow up questions via email. Additionally, the principal agreed to be observed on three occasions. The teacher participants, as well as the principal, all shared their resumes which yielded further information about their work experience and levels of education. As previously mentioned, this study took place in a small school district located within southern California. The participants included the superintendent of the district, the superintendent of human resources, one elementary school principal and four teacher leaders. Three of the teacher leaders had been tapped and mentored for the role of principal and were finishing their administrative credentials while data collection was taking place. Additionally, all four teacher leaders held a Master’s degree in education or were just finishing their Master’s in conjunction with their administrative credential. The following table describes the participants’ roles within the district in addition to their gender. Table 3: Overview of Participants Participant Gender Current Leadership Roles Professional Goals Superintendent Female Superintendent Recognition for having all high school graduates meet A-G requirements Superintendent of HR Male Superintendent of HR Become superintendent of a district Principal of Cody Elementary Female Teaches for a private institution in the administrative Become superintendent of a district ! 42! credential program Teacher A – 5 th grade teacher Female Lead 5 th grade teacher. Wrote curriculum to be taught at the district wide professional development day. Become a school principal Teacher B – 4 th grade teacher Female Assigned to “Principal for the Day” on Wednesdays. Designed curriculum to be taught at the district wide professional development day. Become a school principal Teacher C – 4 th grade teacher Female Lead 4 th grade teacher. Assigned to “Principal for the Day” on Wednesdays. Become a school principal Teacher D – 4 th grade teacher Female Invites other teachers from the district into her classroom. Return to a TOSA position Overview of the Principal Mrs. Olivia Marino (pseudonym) was just beginning her 10 th year at Cody Elementary School at the time of this study. Prior to accepting the principal position at Cody, she was an elementary classroom teacher in another district within southern California. With 19 years of experience in education she lives by the philosophy, “things can happen, I make mistakes, but I know that every day is a new day.” She also firmly recognizes that despite the ups and downs of the principalship, the job that she has is that of “a super hero.” Mrs. Marino describes herself as ! 43! a “counselor, mother, nurse and social worker” to the students of Cody Elementary and reiterates that no matter what challenges she faces, “I keep a smile on my face and my heart open.” Recognizing the need to be present to the students’ daily attendance, Mrs. Marino never misses a day of work. This dedication to her students is significant given the positive impact principals have on student achievement (Leithwood et, al., 2010). In addition to her role as principal at Cody, Mrs. Marino is an adjunct faculty member in the education department of a large for-profit university. She is also mother to four children ranging from elementary school to high school. Mrs. Marino holds a Master’s degree in educational administration as well as curriculum and instruction, additionally she was just beginning a doctoral program while data collection was occurring. She has held multiple positions within education including professional development coordinator and credential analyst, she is also a Nationally Board Certified teacher. Overview of the Organization Cody Elementary School is located in a small, affluent community in southern California. Cody’s student enrollment is just over 700, serving students in grades Kindergarten through fifth. According to the School Accountability Report Card, during the 2012-2013 academic year 97% of students at Cody met or exceeded the standards in math while 90% met or exceeded the standards in Language Arts. The high test scores might be admirable, but they are not enough for the superintendent: We’re so quick to criticize a 90-90-90 school. ‘Oh their API is 550, that must be a bad school.’ Well, not really, they’re just performing according to their demographics if you look at a scatter plot…So, if that’s all we are doing, we’re the same as them given a ! 44! different population. I’m always looking to say, ‘regardless of our population, why aren’t we at 100’? Cody Elementary is located within a district that has five sister elementary schools, two middle schools and one high school. One unique challenge with Cody Elementary is that it falls into three jurisdictions. As the principal explained, “we deal with three different governments, three different police departments, three different traffic organizations and a very wide range of demographics, socioeconomics and student personalities.” This challenge adds to the complexity of the job and the school’s daily inner workings. There are 27 fully credentialed teachers serving the students of Cody. Due to budget cuts when Mrs. Marino began as principal, Cody Elementary has limited support staff. Mrs. Marino has tapped and encouraged three teacher leaders to enter the principalship thereby supporting the principal succession pipeline. This contribution is especially timely given the number of baby boomer principals set to retire, as previously noted by The National Center for Education Statistics (2014). This next section will reveal the study’s findings in relation to each research question. Data Findings Results Research Question One: Principal’s Practices to Build Next Generation of Leaders The first research question for this study aimed to identify the ways in which principals work to build the next generation of leaders. Recognizing the uniqueness of her role and the need to have well prepared leaders waiting in the wings, Mrs. Marino explains, “I train to leave. I am always telling my staff ‘If I have a heart attack tomorrow, this ship needs to run…We need to make sure that we have reinforcements in place of who can pick up seamlessly where I leave off.” After reviewing the data, three overarching themes emerged as to how principals work to ! 45! build the next generation of leaders: principal’s personal purpose, school culture, and the opportunity for authentic administrative experience. Principal’s Personal Purpose Recognizing from a young age that teaching was her calling, Mrs. Marino majored in liberal studies and quickly moved into a teaching position following graduation. As an emergency permit teacher, she returned to school to obtain her teaching credential and the first of two Master’s degrees. Shortly thereafter she became a Nationally Board Certified Teacher. Mrs. Marino reflects: I can remember looking at the phonics letters on the wall and it just clicking in me that I loved to be a leader. I will reach and help everybody. It’s part of my undying strength and energy. I knew I was called to be a teacher. I just knew it. Following a successful nine-year span in the classroom that included leadership roles with the district’s K-12 leadership team and work as a BTSA support provider, Mrs. Marino returned to school for a second Master’s degree. The focus this time was administration, thus affording her the necessary credentials to apply for the principal position at Cody Elementary. With no experience as an Assistant Principal, Mrs. Marino was baptized by fire. Research indicates due to the complexities associated with the principalship, fewer teachers are opting to move into administration (Fink, 2010; Howley, Andrianaivo & Perry, 2005). Recognizing the challenges associated with the position, Mrs. Marino explains how she has managed and why she feels driven to continue in this role: There is no textbook that can tell you how to be an administrator. You have to know people, you have to know relationships, and you have to have an amazing sense of ! 46! strength, you have to be compassionate, and you have to know the sun’s going to come up tomorrow, and the kids are going to come back. You can’t take a day off. The specific ways in which principals works to build the next generation of leaders can be broken down into related sub-themes as identified by the data. These strategies will be explored in the next section. Mentoring through nurturing. Research indicates mentoring is of significant benefit to the mentor and the mentee, often building upon and increasing the leadership skills of both parties. The notion “love is in the details,” a coin termed by the superintendent in regards to the guidance and support she expects within her district, can be found within the mentoring relationships at Cody Elementary. Each teacher leader expressed the commitment Mrs. Marino held to their leadership development. As Teacher C relayed, “Mrs. Marino always makes time for me when I need it… especially going through this administrative credential program.” Teacher D was not looking to move into a leadership position until given the confidence to do so by Mrs. Marino. “She really pushed me by saying ‘You would be great for this,’ it was not even a position I had on my radar, but she really encouraged me.” Teacher B echoed similar sentiments in regards to the support necessary for the administrative credential, “Mrs. Marino is very open, she is kind of like, ‘Anything you need, just ask me.’ If she comes across something we need for one of our classes, she puts it aside for us.” As teacher A recalled, “if something comes up in the district that Mrs. Marino thinks we need to know for the role of principal, she encourages us to pursue the opportunity saying, ‘Hey, look into this, this is important.” Teacher A went on to say that Mrs. Marino frequently asks, “What can I do to support you?” Recognizing the leadership talents of several teachers at Cody, Mrs. Marino shares how she encouraged them to pursue the administrative credential: ! 47! Once I have teacher leaders identified and they have tasks they have undertaken, I will say ‘You really need to get your administrative credential. You’re already doing the work.’ I always encourage the Master’s for them to get paid for what they’re doing. I tell them, ‘I will help you. I will do anything you need me to do.” Mrs. Marino offers a significant benefit to mentoring teacher leaders, “it creates a sense of respect, it creates an empathy of the role of the principal. They understand and they protect me.” Mrs. Marino’s ability to mentor through nurturing tapped into the potential of her teacher leaders. In doing so, she provided her teacher leaders with the confidence and mindset to pursue leadership opportunities. Modeling. Due to the complexities of the principalship, modeling expected behaviors and actions to those pursuing the position is advisable. “I do a lot of modeling for my teachers,” Mrs. Marino explained as she walked the campus. I had just spent the morning walking through classrooms with her where she had facilitated a dialogue between a teacher leader and a district specialist in regards to a student with academic and behavioral challenges. Following the walkthroughs, she headed to recess duty. “I’m always out at recess and I have my phone and walkie-talkie on me at all times. I can conduct my business from anywhere on campus.” One would be hard pressed to find Mrs. Marino in her office, as she prefers to spend her days walking through classrooms and supporting teachers’ lessons. Spending time in the classrooms allows her to keep track of high-needs students in addition to identifying teachers’ specific skill sets for leadership roles around campus. To support her identified teacher leaders, Mrs. Marino teaches and models how to manage the budget, speak with parents about discipline concerns, in addition to preparing for and facilitating professional development. During one observation, Mrs. Marino opened the school ! 48! budget and conducted a mock discussion she’d previously had with her teacher leaders; identifying what columns, numbers and sections one should be most concerned with in addition to sharing how she manages the budget. Mrs. Marino stresses it’s an “I do, we do, you do model” and she doesn’t expect her teacher leaders to take on a role that hadn’t been modeled by her first. Teacher B describes the time Mrs. Marino was principal of the middle school over the summer and invited Teacher B to come and observe how to open a school. It was an experience that offered insight into the principal role and afforded her a unique opportunity. “I was there with her [at the middle school], she’s very open and gives us the amount of exposure we want or need.” Through on-going and purposeful modeling, Mrs. Marino is helping to ensure her teacher leaders are prepared for the role of principal. Modeling is done with a gradual release of instruction thereby providing her teacher leaders with the confidence and skills to take on additional responsibilities. Recognizing that in education “firsts” come up every 365 days, it helps to have practice and modeling. As Mrs. Marino explained, “As principal, every day is new until you get to do that day again. If something didn’t work out as planned on the first day of school, you can’t do anything differently until 365 days later.” Teacher B shared that she was able to experience the principal role while observing Mrs. Marino on the first day of summer school, “I don’t know if I am going to use my administrative credential in the next couple of years, but now I can say I’ve experienced being a principal on the first day of school.” To get their feet wet with those firsts, Mrs. Marino explains “I coach them… I let them walk in my shoes.” Providing teacher leaders with direct instruction of administrative tasks and ! 49! the opportunity to participate and engage in the principal role provides a unique vantage point to teacher leaders pursuing the principalship. School Culture An additional theme that impacted how Mrs. Marino worked to build the next generation of leaders was the culture of Cody Elementary. Teachers feel valued and bring a voice to the table at Cody, as evidenced by Teacher A: We know if we are struggling as teachers to meet the needs of our learners and there is something we want to do; Mrs. Marino will totally listen. She empowers everybody within to make those executive decisions, which I know doesn’t happen at most schools. This same principle was observed during the school faculty meeting. Having met with each grade level prior in regards to the strategies being employed for Response to Intervention (RTI), Mrs. Marino had each grade level team share out what was working and how they were each approaching RTI. Each grade level had a different strategy that was praised and acknowledged, while Mrs. Marino also strategically explained that if something at a grade level wasn’t working, multiple plans had just been presented. This technique encourages collaboration and discussion across grade levels while allowing teachers to identify and employ the strategies that work best with the needs of their students. To address the many demands of the school day, Mrs. Marino aims to follow a predictable schedule each day while recognizing things never go as planned. As she explains: My whole day is about the fires I’m going to put out. Depending upon what walks through my door, my schedule is a hierarchy of safety first. School has to be safe. Parents have to be off the campus. Kids need to be in their classroom. Every teacher needs to be here. The second I know kids are safe, school is okay. I go into classrooms ! 50! every morning and probably hit fifty percent of my classrooms every single day. I walk through and say ‘Hi, good morning.’ It establishes the culture of good morning. I don’t have them stop, they see me multiple times each day. They know not to stop for me, but just keep teaching. Walking the classrooms provides opportunities for Mrs. Marino to recognize which students may need district services, thereby providing teachers with additional support. During one observation, a newly enrolled student was struggling to participate in the learning. This behavior had been going on for days with little sign of improvement. Mrs. Marino was able to call in district support thereby demonstrating to her team of teachers that she values and supports the work they do. The two subthemes that emerged within school culture will now be presented. Accessibility. All teachers at Cody Elementary are encouraged and expected to apply for leadership roles. Mrs. Marino articulates her belief that “everybody is a leader in their own way.” She goes on to say that can include organizing a committee, helping out as grade level chair, being part of the PTA or spearheading the running club. “Everybody can contribute. Nobody’s left off the hook. It’s just a matter of what level you want to contribute.” While leadership opportunities are plentiful at Cody, it is the teacher leaders pursuing the administrative credentials, specifically two of the teacher leaders that have captured the attention of Mrs. Marino. Although encouraged to work toward her administrative credential several years ago by Mrs. Marino, Teacher A was hesitant. As a wife and mother to three children, Teacher A was worried about “burning the midnight oil” to get homework assignments completed. Ultimately, Teacher A did decide to move forward and was successful in completing her administrative credential while data collection for this study was taking place. Nonetheless, ! 51! she felt she did not receive the same leadership opportunities as the other identified teacher leaders. I don’t think that I’ve had daily leadership opportunities yet. I think that is going to shift this fall, there are other teachers that Mrs. Marino has naturally gravitated towards over the years. Until I showed interest, those [leadership] roles went to those other people. I think that is going to shift. I’m going to ask that it shift. Opportunities for leadership development and advancement are not limited to the roles at Cody. When asked about leadership roles available to teachers within the district, Teacher C explained, “Opportunities [for leadership] are communicated daily. It’s truly what you want to do. We get emails from the district office about opportunities… different meetings with different people…The opportunities are endless… but there are some people that don’t want to do anything.” When the superintendent of Human Resources was asked about leadership opportunities, he affirmed what Teacher C shared, “we really like to share what teachers are doing and will say ‘Hey, so and so does this really well, come out [to their site] and see this!’ It’s really about encouraging those leadership practices and giving people opportunities.” In order for administrators to observe and identify the strengths of teacher leaders, it is imperative they are walking through classrooms and observing lessons throughout the day. As Mrs. Marino shared, “I’m not a typical administrator, but I think that I’m what administrators need to grow in to be, in terms of, the expectation is that you are not in your office.” She goes on to share that she walks through classrooms every single day, “once or twice I will sit down formally [for an observation], but usually I am helping. I put myself on their volunteer schedule and I volunteer once a week in all of the classrooms.” The accessibility teachers have to Mrs. ! 52! Marino allows their skills sets and abilities to be recognized, thus providing opportunities to be tapped for the role of principal. Clear values and visions expressed. As Northouse (2013) pointed out, leadership includes attention to common goals. Common goals are the backbone of the district Cody is located in. The superintendent expressed her thoughts as to why clear values and goals supported leadership succession within her district: The board is consistent. The goals are consistent, so people thriving within this context are easily identifiable. Those that believe that our goals are possible and believe that we can achieve them and their work models that belief, I think they’re easily identifiable, and then when opportunities exist for promotion, they’re the ones promoted. The Superintendent of HR echoes these thoughts, “we don’t shy away from communicating what we think is possible for kids, it keeps us focused on the main thing… I meet with every new employee and stress, ‘If this vision doesn’t resonate with you, we’re probably not the right district for you.” These core beliefs are woven throughout the school curriculum at Cody in addition to the school’s “signature practices.” Through Mrs. Marino’s identification of teachers that excel within the signature practices, she encourages her faculty to model and support others in developing the same skill sets to provide consistency amongst teaching practices. Mrs. Marino stressed, “It is an understanding that we have the same thing going on in the [same grade level] classrooms.” Teacher A confirmed this notion: The one thing Cody does is that it provides equally high standards and high expectations of students. You can place your child in any classroom and it doesn’t matter what teacher you have, because you know you’re going to get the same quality in every room. ! 53! Teacher D shared, “Mrs. Marino is always looking for ways for us to grow and to be better individually and as a school.” Sharing similar sentiments, Teacher A relayed, “Mrs. Marino supports us in refining our practices… she is all about getting teachers into other classrooms, and observing, mentoring and coaching.” Creating these values and getting buy-in from your teaching staff takes time, however, and Mrs. Marino has been strategic in developing the vision for Cody Elementary. Teacher A explained: She had a vision that I think everybody believed in and she knew how to get it done. We’re living and breathing it ten years later. She’s constantly trying to make it even better, but she’s also aware that things don’t happen overnight. She’s not a leader that’s going to shove ten things down your throat and get upset when it all falls apart. Articulation of common goals and a clear vision provide teachers at Cody with a road map. This consistency allows teachers to support one another which in turn encourages a quality education for all students. Opportunity for authentic administrative experience A final theme that emerged from the data is the opportunity for teacher leaders to engage in authentic administrative experience. With the demands placed upon those in the principalship position and reform changes required of schools and districts, the opportunity for authentic and hands on experience is invaluable (Peters, 2011). Prior to the beginning of the school year, despite not having completed the administrative credential program yet, two of the three teacher leaders applied for administrative positions. As teacher A noted, “I’ll finish my program after all the jobs have been posted. That’s kind of a bummer. The middle school’s assistant principal position came up and I wanted it, but I knew I ! 54! wasn’t qualified.” To prepare her teacher leaders for the role of principal, Mrs. Marino offers numerous opportunities to develop and refine their leadership skills while under her tutelage. Under her guidance, teacher leaders have authentic administrative experience that can be utilized once their administrative credential is posted and a principal position is secured. Authentic Administrative Activities. While various leadership opportunities are available at Cody Elementary, it is specifically the administrative experiences that help to prepare teacher leaders for the role of principal. Mrs. Marino shared her thoughts on preparing teachers for leadership: You want to pick something that [your teacher] would naturally do anyway. Really, leadership is about fear of taking initiative. People will follow a good idea, you just need to give someone the self confidence to say, ‘Hey, I have an idea,’ and then people go, ‘Oh that’s a good idea, I’ll do it.’ ‘You will?’ ‘Yeah.’ ‘Well, okay.’ Once you start that relationship, then it just ripples to where everybody gains some respect for that person and than it’s just a natural match; that person will take on some more leadership roles. It really is a science. Once the relationships have been established and leadership strengths have been exposed, Mrs. Marino looks for “internal energy” of her teacher leaders, in addition to the capability of producing an extra layer of skin, often required of those in the principal role. One of the first administrative roles Mrs. Marino affords her teacher leaders is discipline. “I will tell them, ‘Okay, you are in charge of discipline while I’m gone.’ If an incident occurs, Mrs. Marino walks her teacher leaders through the necessary steps. “When I return, I tell them ‘You’re going to call the parent, you own this situation, you’re the first resource. I’ll sit next to you. You’re calling the parent.” Mrs. Marino goes on to say that this gives teacher leaders a ! 55! sense of confidence, with them often saying “I’ll make that phone call for you again.” In addition to discipline, Mrs. Marino supports her teacher leaders with the behind the scene elements to running a school. Teacher C shared that Mrs. Marino has sat down with fellow teacher leaders and articulated, “Okay, this is how you do the budget codes. Here is how I make my decisions based on my morals and ethics. I go through these questions before I do anything.” Every Wednesday, Mrs. Marino is expected to attend meetings off campus. With no Assistant Principal to fill in when she is gone, Mrs. Marino relies on her teacher leaders to take the reins. Teacher B shared that she is frequently called on to be “Principal for the Day” during those Wednesday administrative meetings. “Mrs. Marino will walk by and say, ‘You’re in charge.” Teacher B discussed “taking care of behavior, running up to the office to handle something, or taking care of whatever comes up” as typical responsibilities on those days. To support her teacher leaders during these times, Mrs. Marino always writes out “principal lesson plans.” Teacher A followed up by stating: Teachers have a choice as to which [leadership] job they want but Mrs. Marino selects who will be the principal on Wednesdays when she is gone. She sticks with people that know the system…they know how to run it. She knows [teacher leaders] need fieldwork experience. While Mrs. Marino appreciates having teacher leaders available to take the lead when she is off campus, she recognizes that she is preparing them for the principalship and the potential for them to move on is great. “I’ll train three more” she suggests. “There’s always a replacement. It takes a while. I can be replaced; teachers can be replaced. It’s not fun…you just have to start all over again, it’s an investment.” ! 56! Networking Opportunities. A further support provided to teacher leaders at Cody Elementary have been the multiple opportunities to share their skills and expertise with others at the school site as well as throughout the district. This notion correlates with Huntzicker’s (2012) research that found new principals demonstrate the greatest success when they have been afforded leadership experiences outside of the classroom. Mrs. Marino was successful in both encouraging and supporting networking opportunities for her teacher leaders. As Teacher D asserted, “Every year Mrs. Marino writes a grant enabling teacher leaders to attend a foundation which offers seminars for identified leaders in education,” she goes on to say that through this experience the opportunity arose for her to be a Teacher on Special Assignment (TOSA) as her skills and abilities were noticed by district leaders. Teacher D finished by saying that without Mrs. Marino’s support, the TOSA role would not have presented itself, nor would she have had the determination to apply. With Mrs. Marino’s guidance, Teacher A was also afforded networking opportunities. As she refined her “signature practices,” Teacher A states that the district took notice and “positioned [the teacher leaders] into leadership positions throughout the district.” She goes on to say that she has been given the opportunity to write curriculum and present to other school sites. “We were introduced to PLCs and then through networking with other sites we had the opportunities to plan together… which has been something special.” Mrs. Marino fosters the skill sets of her teacher leaders and then networks with other schools to share such strategies. While all four of the teacher leaders expressed a desire to take on additional roles at the school site, it was Mrs. Marino’s identification of their abilities that propelled them into the district limelight. And for three of these teachers, it was the gentle persuasion from Mrs. Marino, “you might as well get your administrative credential, you are already doing these things ! 57! anyway” that encouraged them to move forward with pursuing the principalship. Mrs. Marino’s identification and fostering of their capabilities has given the teacher leaders recognition throughout the district. In regards to her signature practices and presenting at the district level, Teacher B noticed a shift this year, “I feel like I’ve been approached more, than me actually seeking it out.” This type of notice is how teacher leaders move into principal positions. Each teacher leader noted that the district prefers to promote from within due to internal applicants having a clear understanding of the vision and best practices that are highly valued within the district. The networking opportunities afforded to Mrs. Marino’s teacher leaders are sure to support their career advancements. Discussion of Research Question One Based upon the study’s findings, the principal’s personal purpose, school culture and opportunity for authentic administrative experience are themes that collectively identify the ways in which principals work to build the next generation of leaders. The significance of these findings align themselves with transformational leadership theory. As described by Kouzes and Posner (2012), transformational leaders trust themselves in addition to trusting those around them. As demonstrated by the results, Mrs. Marino shows confidence in her identified leaders to run the school while she is off campus in addition to the expectation teacher leaders will handle administrative business. These tasks have been modeled, and the authority has been given for teacher leaders to assume leadership roles. It is evident that Mrs. Marino both inspires a shared vision and models the way with her faculty, in particular her teacher leaders. The teachers at Cody Elementary are provided with a clear vision and the specific goals that will guide teachers toward that vision. Supporting teacher leaders in development of the signature practices and allowing for district recognition encourages ! 58! increased buy-in toward the school vision. Teacher leaders are provided with the confidence and the catalyst to grow in their leadership capabilities and further their educational skill sets, all while Mrs. Marino stands at the ready to support, mentor and guide. Results Research Question Two: Teacher’s Perceptions of Leadership Practices The second research question sought to understand the teacher’s perceptions of the aforementioned leadership practices exhibited by Mrs. Marino. These perceptions are based solely on the identified teacher leaders as opposed to the entire teacher population at Cody Elementary. The teacher leaders at Cody recognized that they had been tapped, and were cognizant of being part of the “in” crowd based upon their leadership capabilities and contributions. Siding with the administrator puts teacher leaders at risk for being “Principal’s Pet” which conflicts with the egalitarian society typical of teachers (Donaldson et al., 2008; Fairman & MacKenzie, 2014; York-Barr, 2004). Therefore, the results from this study indicate the perceptions held by the teacher leaders in regards to Mrs. Marino’s leadership practices and are not generalizable for the teacher population at Cody. Two themes emerged in regards to the teacher leader’s perceptions: relationships and the need for mentoring. These two themes in addition to the subthemes will be presented. Relationships Principals that maintain rapport and support with their peers faire better than those who do not establish positive work relationships (Bengston, Zepeda & Parylo, 2013). Through her encouragement, three teacher leaders at Cody had gone through administrative credential programs suggesting the relationships they had with Mrs. Marino were valued. The relationships established at Cody Elementary between Mrs. Marino and her teacher leaders were a theme that wove through the observations and interviews. When I observed the faculty meeting, it was ! 59! clear the teacher leaders valued their relationships with Mrs. Marino and in turn showed a great deal of respect toward her. While other teachers were speaking out of turn and failing to contribute to a productive conversation, the teacher leaders spoke at appropriate times and offered constructive comments and feedback for the good of the group. During this faculty meeting, Mrs. Marino addressed the need to review the daily schedule to accommodate an arts program. One teacher began to grumble loudly that she had “no planning time because new programs are constantly introduced.” Teacher B raised her hand and patiently waited to be called on before acknowledging three special education teachers that “never have release time” and inquired as to how to support them. The teacher leaders did not engage in negative talk nor did they criticize any fellow teachers. While the teacher leaders did not receive any special treatment that was observable during the faculty meeting, Teacher B described being part of the “in” group and having a deeper understanding of school concerns: I know a lot of times, especially in staff meetings and [Mrs. Marino] is talking about what’s going on, a lot of people get upset because they don’t know the background information or what she’s having to deal with versus what she’s allowing [teacher leaders] to see and know about. Teacher D confirmed that there are some teachers at Cody Elementary that have Mrs. Marino’s ear and others who don’t. “From my perspective, she came into this school and she looked at who were the leaders in the school, and then from there she utilized them, and that’s whose opinions she values.” ! 60! The ways in which teacher leaders perceived the leadership practices of Mrs. Marino can be broken down into two subthemes: feeling supported and taking on the role of advocate for the principal. Support. Teacher D relayed that in all her years within the district, she always told herself she wanted to leave for another district, that was until Mrs. Marino came along. “I did not enjoy the previous principal, I did not enjoy my job, so every year I told myself, ‘I’m moving to San Diego.’ Mrs. Marino came and I moved into my fifth grade position. I was asked to take over as fifth grade lead and provide continuity to the lessons being taught. Through her leadership practices, I now have no interest in moving districts.” The teacher leaders in this study all expressed genuine support from Mrs. Marino in regards to their classroom practices at Cody, leadership development, and their Administrative Credential programs. Teacher B shared that Mrs. Marino reaches out and shares information related to the credential program. She went on to state that she benefits from the resources available to her within the district, specifically Mrs. Marino, who will set aside time to discuss how administrative things work. As one of the teacher leaders that is frequently assigned to “Principal for the Day,” Teacher C expressed a great deal of pride knowing she is entrusted with the role. “Having Mrs. Marino think ‘You are the person to handle this’ whether it’s a delicate situation, a family concern, a student with issues…’ having Mrs. Marino say, ‘Teacher C, we really need you to handle this’ shows a great deal of trust. Through Mrs. Marino’s leadership practices, teacher leaders perceived themselves to be valued, appreciated and advocated for, thus contributing to their own leadership development. Teacher A shared how Mrs. Marino is a voice for the teachers at Cody Elementary. “She goes to bat for us. We’ve shifted the way intervention teachers are utilized in the district; other schools ! 61! have modeled their intervention strategies based on what we did. It was all because she was willing to go to bat which allowed us to have a voice.” As a result of Mrs. Marino going to bat for the teachers at Cody, Teacher A was able to further her leadership development by writing lesson plans to be taught at a district wide professional development day. Advocate for principal. Mrs. Marino shared that the teachers at Cody Elementary respect the work of the principal. As a result of the relationships she has established with her teacher leaders, Mrs. Marino shared, “It creates trust and models how to be a team. My staff, my team would never undermine me ever, in anything. They would protect me until the end of the earth.” While no teacher leaders expressed these strong of sentiments within their interviews, the perception is that they are part of an elite group of teacher leaders at Cody and have access to content not shared with the entire faculty. Teacher B discussed being able to offer Mrs. Marino support: ….at the beginning of last year I was let into the in-group, for lack of a better word. [Mrs. Marino] would say, ‘this is why this is going on, because XY and Z.’ I started getting a little more understanding of how the district operates, what is expected of her on a daily basis, what she’s doing, what we don’t see and things like that. When I was able to see that, then it was like, ‘if you need help, I’m here for you.’ Teacher D identified a leader as someone who is encouraging, leads by example and understands they make mistakes and are willing to apologize and move on. Because Mrs. Marino is the first to acknowledge she makes mistakes and asks for forgiveness, Teacher D is able to defend and stand up for her. When I questioned a particular response on the part of Mrs. Marino, Teacher D was quick to reply, “Oh, Mrs. Marino would never say that. She must not have heard you correctly.” ! 62! Having been identified as teacher leaders, the idea of airing on the principal’s side was necessary. Teachers leaders perceived the leadership building practices positively given that many of the tasks required for their administrative credentials were incorporated into the opportunities Mrs. Marino was providing. Further, through Mrs. Marino’s identification of these teacher leaders, each was receiving acknowledgements at the district level. Need for mentoring The teacher leaders at Cody agreed that as school assignments or leadership challenges arose, Mrs. Marino was the first to offer guidance and walk them through their concerns. According to Peters (2011), these teacher leaders will faire better than fellow colleagues that do not have access to counseling within a mentorship. Mentoring comes in many forms, but the teacher leaders within this study most notably discussed coaching. Coaching. Teacher D discussed the role Mrs. Marino played when the Teacher on Special Assignment position was created. Mrs. Marino encouraged her to apply given the tools and expertise Teacher D had accumulated within the foundation for teacher leaders. It had been Mrs. Marino that wrote the grant for Teacher D to attend that foundation and then mentored her through the various workshops provided. Once Teacher D returned to 5 th grade at Cody, it was again Mrs. Marino that tapped her to be grade level leader and continued to offer strategies for working with different teacher personalities within the upper grades. Having district officials take notice of the leadership skills at Cody, it was Mrs. Marino that prepared her teacher leaders for outside leadership positions. Given the challenges placed upon teacher leaders, Teacher D shared that it is common for Mrs. Marino to exclaim, “If you have any questions, give me a call.” The coaching sessions provided by Mrs. Marino for her teacher leaders provided hands on experience with administrative responsibilities. With three of her four identified teacher ! 63! leaders finishing their administrative credentials during data collection, it had been prudent for Mrs. Marino to offer administrative opportunities and walk her teachers through various tasks. Teacher B identified being able to attend the Middle School during the summer school session as significant when Mrs. Marino was the administrator. “I was there with her and able to walk around, the exposure was just awesome.” Teacher B goes on to share that Mrs. Marino walked her teacher leaders through projects that had been required during the administrative program, “she’s giving us opportunities to succeed without doing the job for us.” Because Cody is located in a small district, the mentoring opportunities are informal. This aligns with the research identified in Chapter Two. Recognizing that Mrs. Marino is familiar with the role of principal, and she also teaches for the administrative credential program in which her teacher leaders were attending, she is properly suited to be a mentor. Mrs. Marino had tapped each of her teacher leaders that were in the credential program, suggesting the relationships were well suited and mentor and mentees were appropriately matched. While Mrs. Marino and each of the teacher leaders expressed a desire for a formal mentoring program within the district, they were each pleased with the informal guidance being provided. Discussion of Research Question Two As evidenced by the data, each of the teacher leaders perceived Mrs. Marino’s leadership practices as positive and successful. The three teacher leaders that were finishing their administrative credential during data collection all expressed the desire to apply for principal positions in the future, with one applying for an assistant principal position during data collection despite not yet having completed the program. The relationships that were established within the “in” group provided a safe place to discuss challenges Mrs. Marino faced and offer insight into ! 64! similar challenges teacher leaders may face in administrative roles in the future. Having that insight fueled teacher leaders to support the leadership practices at Cody Elementary. As a result of the identified teacher leaders being members of the “in” group, mentoring was a success. Teacher leaders were not paired with administrators that failed to offer pertinent and useful opportunities, rather the teacher leaders at Cody were supported with credential homework assignments in addition to administrative tasks at Cody providing a winning combination to Mrs. Marino and the teacher leaders. Mrs. Marino was fortunate to have teachers that were able to pick up the reins when she was off campus, and teacher leaders were afforded purposeful mentoring opportunities thereby increasing the likelihood they in turn will be able to address the dearth of prepared principals. Results Research Question Three: What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity. In order for these findings to be of value to others, it is salient to know what factors facilitated building teacher leadership and which factors inhibited it. The final research question looked to discover the factors that supported and inhibited leadership capacity building of teachers and what roles the teachers, principal, school and district played within these factors. With increased demands placed upon current principals and limited numbers of candidates prepared to take over the principal position, it is crucial to identify successful methods of preparing and securing future principals in addition to identifying factors that can be minimized or thwarted to address the dearth of principals. The themes that emerged from the data are delineated by factors that facilitated the building of leadership capacity and factors that inhibited. These factors will further be broken down into subthemes. ! 65! Facilitating Factors At Cody Elementary, there were multiple factors that aided in building the teachers’ leadership capacity as evidenced by the three teachers that chose to pursue the administrative credential under Mrs. Marino’s suggestion, in addition to subsequent teachers that chose to take on administrative type leadership roles. The factors that supported this process can be further delineated by the school and the district. School Systems and Structures. One of the facilitating factors as evidenced from interviewing teacher leaders, as well as Mrs. Marino, and observing at Cody Elementary is that the faculty feel committed to one another, which translates into mutual support of leadership roles. Under Mrs. Marino’s direction, the teachers at Cody are provided opportunities to grow in their leadership abilities by accepting a variety of positions which Mrs. Marino needs assistance with. These positions are to the benefit of the school and the students as a whole and are not necessarily administrative type positions, yet the support and encouragement for any leadership role at Cody is encouraged and nurtured. It is through these avenues that Mrs. Marino often identifies teachers that possess the drive and skill sets to pursue administration. In this scenario, the fact that Cody does not have an Assistant Principal is a facilitating factor in building leadership capacity. Teacher leaders are chosen to take on assistant principal duties daily, in addition to principal duties when Mrs. Marino is off campus. Mrs. Marino is off campus a few hours each week for district meetings, the system she established in having a teacher leader take on the role of principal for the day offers authentic administrative responsibilities thereby affording leadership capacity growth. Entrusting her teacher leaders with administrative duties facilitates their ongoing development as future principals. The system Mrs. Marino has established in walking through classrooms daily gives ! 66! teacher leaders a sense of the tasks involved. This is in addition to the principal lesson plans Mrs. Marino provides. All of these strategies are supplemented with informal teacher leaders’ meetings that provide explicit directions in how to conduct administrative business and the tools necessary to run a school. District Systems and Structures. The district Cody is located in has several elements that support leadership capacity growth and development. One can argue that the size of the district is the biggest strength. With only six elementary schools and a superintendent that visits all of the schools regularly, teachers that possess leadership traits are easily identifiable and known. The superintendent shared her rationale for regular school visits, “I’m at the school sites for about six hours per week … I try to be really present, otherwise I don’t know how you have opportunities to say ‘good job’ or congratulate people or know what’s happening.” Teachers A, B, C and D all referenced the size of the district as a positive in regards to having a direct line of communication with the district superintendent, the superintendent of human resources and the superintendent of student services. When any of the teacher leaders had a concern or needed support, they knew whom to call and were confident they would receive the answers they were seeking. As teacher D shared, “When I was in my TOSA position, the superintendent told me, ‘I’m up late, if you have any questions give me a call.” Teacher D went on to say, “I don’t think you would hear that in a larger district.” When describing her decision to pursue the administrative credential, Teacher C recalls emailing the superintendent to ask if anyone at the district office might be able to mentor her during the process. The superintendent replied immediately stating she was happy to take Teacher C under her wing and offer guidance and support. Having a direct line of communication to district officials facilitates leadership development. The Superintendent of HR recognized the significance of his accessibility, “I ! 67! receive phone calls from teachers and principals daily, they know we [superintendents] are hands on!” The size of the district also meant the opportunity to be recognized and promoted were greater than working in a larger district. Again, all of the teacher leaders that were interviewed discussed the potential for promotion within the district and the understanding that the superintendent tended to promote from within. The superintendent shared this same belief and expressed having a keen awareness of who was potentially in line for an administrative promotion, “I’m always looking for leaders for the next level, I’m always strategic. I know right now who I think can be promoted.” Because three of the teacher leaders were completing their administrative credentials during data collection, they expressed a strong desire to apply for a principal or assistant principal role within the district. They each referenced multiple promotions that had just occurred during the summer months, and each promotion had been internal. While they expressed this desire, they were also prepared to apply outside the district if an internal promotion did not occur. As noted by Zepeda et al. (2012), teacher leaders that work for smaller districts often take their talents elsewhere due to limited administrative openings. Inhibiting Factors While many factors supported the development of teachers’ leadership capacity, there were also factors that inhibited their development. Data analysis revealed the biggest inhibitors were psychological concerns in addition to the district’s systems and structures. These will both be explored further. Psychological. One of the greatest challenges in building leadership capacity came from apathetic attitudes from a few of the fellow teachers. Mrs. Marino shared that the perception of moving from teacher to principal is that “you’ve shifted to the dark side.” Teacher leaders that ! 68! were part of the “in” crowd and being mentored by Mrs. Marino fell into this category. Teacher leaders were tasked with maintaining collegiality with fellow teachers while also being asked to handle administrative responsibilities. Asking teacher leaders to be pulled in two directions caused Mrs. Marino to pause when seeking out potential leaders. Mrs. Marino went on to say that as an administrator you are responsible for “creating something that is happy, merry and fabulous.” The teacher leaders at Cody were charged with knowing the administrative challenges yet maintaining confidentiality when colleagues expressed frustration toward leadership. District Systems and Structures. While the small size of the district proved to offer various facilitating factors toward the development and implementation of building leadership capacity, on the reverse side it also inhibited leadership growth. The lack of a formal leadership and mentor program was at the heart of many participants’ responses, in addition to the limited number of leadership positions available. The superintendent explained how she responds to those teachers or principals looking to move up, yet through her determination are not the right choice: I’ll say to them, ‘for what I need right now, you don’t have the talents and skills that I’m looking for in this position at this particular time. I love that you are a spectacular teacher or principal. You are welcome to stay where you are, but if you want that next step, you have to go outside.” The superintendent also shared that while there is no formal mentoring program, the district “has systems in place that ensure modeling and communication.” The superintendent of human resources expressed a desire to create such a program similar to larger districts and offered a few key ideas as to what elements he would include, “release days, walk throughs, evening presentations and shadowing.” Mrs. Marino echoed a similar sentiment suggesting the district ! 69! offer a two-year program “so that you always have some type of internal candidate ready to go.” She prefaced this idea stating while she would love to have a leadership program, she recognizes it would cost a great deal of money and the district is too small. Teacher leaders voiced similar concerns about the limited number of leadership positions. Teacher A has resigned to go elsewhere if necessary in order to move into administration with Teacher C contemplating a similar move. Because the district does not offer a formal mentor program, the teacher leaders have relied on Mrs. Marino to introduce the range of administrative duties. Mrs. Marino recognized the mentoring needs and encouraged her teacher leaders to use multiple perspectives when responding to administrative needs, “I train them to use their “teaching perspective, administrative perspective, safety perspective and political perspective. This is how I coach them.” While the district does not offer a formal mentoring program, the teacher leaders at Cody are offered explicit and purposeful modeling and training in preparation of the principalship. Discussion of Research Question Three The tapping, mentoring and purposeful guidance afforded to the teacher leaders at Cody requires a great deal of forethought on the part of Mrs. Marino. Recognizing the need to prepare future principals, she had implemented strategies that support the development and leadership capacity of her teacher leaders. Many of the inhibiting factors are not within Mrs. Marino’s control and she adjusts her mentoring as necessary to control for the absence of formal mentoring within the district. She recognizes however, as does the district superintendent and superintendent of human resources, that talent will be forced to go elsewhere due to the infrequency of promotions as a result of the district size. ! 70! While not disclosed by any of the participants, a psychological strain in relation to the district’s size can be attributed to the leadership boundaries placed upon teacher leaders. The superintendent is keenly aware of who she will promote, leaving teacher leaders to question their trajectory within the district in addition to their worth. Further, this may impact the number of teacher leaders being tapped and mentored by principals and superintendents with the understanding that limited leadership positions are available. In response to the dearth of well-prepared principals, Mrs. Marino has single-handedly developed her own pipeline of preparing teachers to move into administration. Data from this study clearly outline her vision for how best to prepare teacher leaders and the buy in she receives from those that have been tapped. There is open acknowledgement from all the participants that despite this dedication, mentoring and guidance, a strong probability the teacher leaders will take their talents elsewhere is likely in order to move into administration. Summary This chapter reviewed the findings based on the data collected for this study. A detailed analysis and discussion of each research question in addition to correlation with literature previously identified was provided. The findings offered in this study were based on multiple data sources including interviews, observations and artifacts, which served to reinforce their validity. The summary, conclusions and implications of this study will be presented in Chapter Five. ! 71! CHAPTER FIVE: SUMMARY Historically, principals were tasked with mundane responsibilities at a school’s site (Rousmaniere, 2007; Valentine & Prater, 2011). With mandated reform changes at the turn of the century aligned with NCLB, the responsibilities of school principals increased dramatically (Rousmaniere, 2007). Given the challenges now associated with the principalship, fewer candidates are prepared for the role (Fink, 2010; Howley, Andrianaivo & Perry 2005). Further, fewer candidates are opting to pursue the administrator position (Davis, Darling-Hammond, LaPointe et. al., 2005). How best to tap and train teachers for the principalship remains a significant area of study. National statistics have shed light on the number of principals needed to lead 21 st century schools, most notably in California due to increased enrollment in conjunction with a marked increase in retirements (Fong & Makkonen, 2011). Various programs have been employed to recruit and retain teachers for the principal role, yet these are driven by funds which have decreased with economic woes. Further, programs offered at the University level yield candidates unprepared for the role (Myung et al., 2011). Studies have explored principal training and succession plans employed in both small and large districts, these have been met with various successes, and often depend on the relationships between mentor and mentee. With limited candidates trained and prepared for the role of principal, K-12 schools will have fewer applicants for the anticipated vacancies. Principals have demonstrated a direct alignment with student academic growth; the potential for decreased or flat line growth of our K-12 students remains a concern if purposeful principal succession plans are not employed. ! 72! Purpose of the Study Given the expected shortage of school principals statewide and nationally, this study sought to identify the ways in which one principal worked to build the next generation of leaders. Further, perceptions the teacher leaders held in regards to those practices and which practices enhanced or hindered leadership development were also explored. Previous studies have focused on how districts and schools sought to fill principal positions given the dearth of leaders prepared for the role; this study’s particular attention was focused on how one principal employed transformational leadership practices to prepare her teachers for the principalship. The findings aimed to fill a gap in the literature as to how one principal worked to purposefully prepare teacher leaders for principal succession. The following research questions guided this inquiry: 1. In what ways do principals work to build the next generation of leaders? 2. What are the perceptions of teachers regarding the influence of those practices? 3. What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity? Summary of Findings The previous chapter discussed the study’s findings and explored the transformational leadership practices exhibited by one principal to build leadership capacity in her teacher leaders. While there are five practices aligned with transformational leadership theory as provided by Kouzes and Posner (2012), three practices were most aligned with this inquiry: modeling the way, inspiring a shared vision and enabling others to act. How each of these practices aligned with the findings will now be discussed. Modeling the way. Mrs. Marino made several statements as to how she models for her teacher leaders. It was paramount that she demonstrated to her teacher leaders how to conduct ! 73! administrative business by modeling protocol with parent phone calls, student discipline, working on the school budget and other necessary tasks aligned with being a principal. In congruence with Bass’ (1985) definition of transformational leadership, Mrs. Marino modeled activities that were aligned with the needs of Cody Elementary and the needs of her teacher leaders. The driving force behind this support can be attributed to Mrs. Marino’s sense of purpose. With no formal mentoring program provided to those pursuing the principalship, Mrs. Marino worked to fill that void by building leadership capacity within her tapped teachers. Providing authentic administrative opportunities was an effort Mrs. Marino strived for, however the tasks were always modeled first. She expressed a sincere concern to never ask her teacher leaders to handle administrative business that she had not modeled for them. The use of authentic administrative opportunities was a facilitating factor in building leadership capacity at Cody. Mrs. Marino’s actions align with Hunziker (2012) who found that teachers’ growth and development increases when principals are purposeful about modeling and engaging in dialogue. In an effort to remain transparent and demonstrate high visibility, Mrs. Marino was intentional about walking through the majority of classrooms each morning. This not only afforded her the opportunity to take a pulse of the students and teachers on any particular day, it also modeled to her teacher leaders the expected behavior of a principal. The perceptions of teacher leaders in regards to Mrs. Marino’s visibility and collaborative dialogue were viewed as supportive, ultimately leading to their advocacy of the principal role. Kouzes and Posner (2012) would define this transformational leadership trait as “spending your time and attention wisely.” When a problem or concern arose during classroom walkthroughs, she was deliberate in explaining her next steps to the classroom teacher. Stepping out of the classroom to conduct administrative business can be difficult for teacher leaders, having Mrs. Marino explain how she ! 74! would proceed with any given situation provided her teachers with insight. This study found that explicit administrative guidance facilitated the leadership development of the tapped teacher leaders. Mrs. Marino was out at every recess modeling how to maintain the school yard. During one observation she needed to speak with servicemen about the condition of her field following a storm. During the same recess she spoke with district maintenance crew, who needed access to the playground, about the safety of her students that were on the blacktop. All of these actions were observable to her teacher leaders, and then expected when Mrs. Marino was off campus for her weekly district meetings. Contrary to the Hansford and Ehrich (2006) study in which conflict arose when the mentor was unsure of the modeling required, Mrs. Marino had tapped her teacher leaders for this role and knew their existing areas of strength and weakness, thus she was able to provide tailored and specific modeling to ensure success for each teacher leader. The teacher leaders positively perceived these individualized leadership practices. Additionally, as an adjunct professor at the University where her teacher leaders were attending, Mrs. Marino had direct insight as to the class assignments and projects required of her teacher leaders. With this information, Mrs. Marino was able to tailor many of the authentic administrative opportunities to the needs of her teacher leaders. Inspiring a shared vision. As Teacher A had explained, Mrs. Marino was purposeful in selecting one big goal each year that was manageable and afforded teachers the opportunity to work toward the goal for the entire school year. Teacher A compared this to other principals that identify multiple goals each year, forcing ever-changing requirements upon teachers. The notion of Mrs. Marino’s vision was expressed by Teacher D, stating Mrs. Marino had joined Cody Elementary 10 years prior and shared her big ideas with the staff, ensuring principal and teachers ! 75! were in alignment and prepared to take the same road. This principle aligns with Marks and Printy’s (2003) research suggesting a principal will have increased buy-in from teachers when they are part of the discussion. This study found that the school culture at Cody, one that afforded opportunities for teachers’ voices to be heard, contributed to the building of leadership capacity. Enabling others to act. The ability to enable others to act was perhaps Mrs. Marino’s greatest strength. With what appears to be minimal effort, Mrs. Marino was able to praise teachers for leadership roles, no matter how big or small. With her support and respect, fellow teachers began to express the same support and respect toward those accepting leadership tasks. These roles morphed into larger tasks, which provided Mrs. Marino a true sense of her teachers’ leadership capabilities. These particular school systems created by Mrs. Marino were identified as facilitating in the leadership development of tapped teacher leaders. It was then that Mrs. Marino began to discuss the principalship role with them and the notion of pursuing an administrative credential. Mrs. Marino’s encouragement of her tapped teachers correlates with the research conducted by Myung et al. (2011); teacher leaders that are supported and applauded for their interest in the principalship are frequently more prepared to move into the principal role, suggesting a purposeful succession plan. While Mrs. Marino excelled at tapping and training her teacher leaders, she acknowledges that encouraging her teacher leaders to move up the pay scale was also part of the conversation. These conversations afforded teacher leaders a sense of power and choice over their career advancements, which align with Kouzes and Posner (2012) definition of transformational leaders. Having previously worked as a credential analyst, Mrs. Marino was able to advise her teacher leaders to pursue the administrative credential and earn the additional ! 76! credits resulting in a pay raise. She was quick to point out to her teacher leaders that they were already doing the work of an administrator by spearheading many leadership opportunities, they might as well move up the pay scale. Mrs. Marino displayed many characteristics of a transformational leader. It was through her individual efforts and forethought that three teacher leaders at Cody Elementary have progressed through the administrative credential program and are prepared to enter the principalship, thus supporting a purposeful principal succession pipeline. The challenge as to whether these teacher leaders will find administrative positions within their district or be forced to look elsewhere remains. Implications for Policy and Practice The findings from this study have implications as to how the field of education builds leadership capacity and purposely prepares teacher leaders for the principal succession pipeline. The results from this study may be helpful to current principals and school districts. Current Principals In order to foster leadership growth ultimately leading to teacher leaders pursuing the principalship, current principals need to first be aware that K-12 schools presently face a dearth of well prepared principals. With this understanding, principals ought to be offering and encouraging leadership opportunities to their teachers allowing teacher strengths and areas for growth to be visible. Once strengths have been identified, praise and recognition should be commonplace amongst teacher leaders. Following this identification phase, principals need to meet with teacher leaders to first model administrative activities and then provide opportunity for hands on application. With confidence building amongst teacher leaders, pursuing the principalship should be discussed and encouraged. ! 77! A reciprocal trust between teacher leaders and principal is necessary, allowing for open dialogue and support. Preparing teacher leaders for the principalship allows current principals to rely on others at the school site and offers a safety net in the event of any administrative emergencies. Tapping and recruiting teacher leaders allows current principals an opportunity to mentor the next generation of principals, thereby fostering the academic development of our current and future K-12 students. If teacher leaders are purposefully prepared for the principalship under the guidance of a current principal, the transition from teacher to principal will have fewer challenges than those with little to no mentoring. School Districts Recommendations from this study for school districts might include a designated Teacher on Special Assignment (TOSA) to fill the role of assistant principal at any school that does not have an established assistant principal. As noted, results from this study indicated the size of a school district can simultaneously facilitate and inhibit the building of leadership capacity. The teacher leaders at Cody were afforded opportunities to present at district wide professional development events, often resulting in greater contact with the superintendent. When an administrative position opened, the superintendent had working knowledge of which teacher leaders were prepared for the role. However, the drawback to the size of the district remains the limited principal positions available thus restricting the trajectory of tapped teachers. To support districts with reduced turnover amongst teacher leaders, it is recommended that schools tap teacher leaders and purposefully prepare them to fill the role of principal. Tapped teachers might then enter into a TOSA position affording them the opportunity for authentic administrative work while maintaining a teacher’s salary. If school districts are able to support TOSA positions at all school sites, tenure of current school principals might increase. Selecting ! 78! and mentoring those in the TOSA role is one-way school districts can respond to the dearth of teachers prepared for the principalship. Further, to support small districts in particular, both principals and superintendents need to seek out the most qualified teachers to tap for the role of principal. Selecting the most qualified teachers reduces the competition amongst identified teacher leaders and potentially thwarts the need for mentored teachers to leave the district in pursuit of principal positions elsewhere. While the principal in this study had an innate ability to recruit and mentor teacher leaders into the role of principal, not all principals possess these same traits. It is suggested districts implement professional development for current principals to support and enable them to identify teacher leaders at their respective school sites. Once identified, principals will learn how to prepare the next generation of teacher leaders through mentoring and coaching. By offering this professional development to principals, districts encourage a culture of principal succession as opposed to principal replacement. Implementing the aforementioned practices should strengthen leadership capacity of teacher leaders and therefore encourage purposeful principalship succession plans. The dearth of prepared principals will impact the academic gains of our K-12 students; policy changes are imperative. Recommendations for Future Studies This study illustrated how one principal worked to build leadership capacity of her teacher leaders and prepare them for the principalship. Although all participants outlined the ways in which they encouraged others or were encouraged to grow in their leadership ! 79! development, additional inquiries arose suggesting further research is necessary. This section highlights recommendations for future study. •! The district in which Cody Elementary is located promotes collaboration and communication amongst teachers and administrators. Studying additional principals within the district would yield information as to how leadership practices are implemented and perceived as well as how the number of tapped teachers compares. •! The principal and tapped teacher leaders in this study were all female. It is worth exploring the ways in which a male principal works to build leadership capacity and the role gender plays in selecting and recruiting teacher leaders for the principal position. Further, the perceptions teacher leaders’ hold in regards to male versus female principals would be of interest. •! This study identified three teachers at Cody Elementary that had been tapped for the principalship. It is worth further exploration as to when and where the tapped teachers enter into principal positions. Further, due to the small size of the district in this study and the limited number of principal positions, teacher leaders expressed the possibility of applying for the principalship in other districts. It would be of interest to follow teacher leaders that obtain employment as principals elsewhere, and explore how their leadership skills and attributes acquired in one district transfer to another district. •! As identified, the district in which Cody is located has a total of six elementary schools and therefore limited principal positions. It would be of further interest to explore the ways in which this district, or similar sized districts, support and encourage teacher leaders’ growth and advancement. ! 80! •! 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Appendix A Participant Recruitment Letter You have been selected to participate in this study due to your experiences with leadership capacity building strategies in your school or district. As a participant in this study, your contribution will assist those interested in implementing or expanding leadership capacity building strategies in the educational settings in which they work. The intent of this study is to discover how some schools and districts are building leadership capacity and creating the next generation of school and district leaders. Some schools and districts are able to shape the next generation of leaders despite the increasing rates of retirement and attrition of educational leaders, teachers’ lack of desire and/or motivation to enter leadership, and the increasing demands of educational leaders. To that end, the following research questions are posed in an effort to gain insight into successful leadership capacity building strategies: 1.! In what ways do principals work to build the next generation of leaders? 2.! What are the perceptions of teachers regarding the influence of those practices? 3.! What are the factors that both facilitate and inhibit the development and implementation of strategies designed to build leadership capacity? Identifying strategies that schools and districts use to successfully build the next generation of education leaders may provide a guide for other districts to follow. Exploring the perceptions of stakeholders regarding the leadership capacity building strategies may improve the content, execution and reach of such programs. Finally, the identification of facilitators and inhibitors of the strategies may help others recognize catalysts and pitfalls for their current or future leadership capacity building efforts. Your participation in this study should take approximately two hours of your time over a period of six weeks and will consist of the following activities: •! One or two interviews •! One observation of you in your work setting Thank you in advance for considering my request for you to participate. Your involvement is critical to the success of this study. ! 90! Appendix B Interview Protocol for Administrators 1.! Tell me briefly about your experience and role as a leader at the school. 2.! What is the mission/vision of your school? 3.! What was significant in you becoming an administrator? a.! Who was influential in your decision to becoming an administrator? 4.! What informs your daily leadership practices? 5.! Your school is identified as having promising practices in leadership succession, how would you articulate those practices? 6.! What does a succession plan look like to you? a.! How is that communicated to the different stakeholders? b.! How do they respond? 7.! How do you support potential leaders at your school? 8.! When you are thinking about identifying a potential leader, what are you looking for (skills, traits, qualities, etc.)? 9.! Give me an example of a leader you identified. Tell me about the process from you recognizing him or her, to him or her becoming a leader (principal, etc.). 10.!What opportunities that you provide to potential leaders on your staff do you find most useful in developing their leadership capacity? a.! How are those communicated? 11.!How do you address those that are not ready to be leaders but show an interest in leadership? 12.!What district/institution/school supports are in place to help develop future leaders? ! 91! a.! What support have you received from your district/institution/school in developing leadership capacity? 13.!What obstacles have you faced in helping to develop leadership capacity in future leaders? 14.!What forms of formal and informal mentoring are available at your site? a.! How have these mentoring relationships led to leadership succession? 15.!What are the areas that need the most development/attention before moving them into leadership roles? 16.!Give me an example of how you build upon the strengths of future leaders. ! 92! Appendix C Interview Protocol for Teachers 1.! Tell me briefly about your experience and role at this site. 2.! What is the mission/vision of your school? 3.! What influenced you to take on a leadership role? 4.! What informs your daily leadership practices? 5.! Your school is identified as having promising practices in leadership succession, how are those practices communicated to you? 6.! What does your site/organization succession plan look like? a.! How has that been communicated to you? b.! What has been your response? 7.! How have you been supported by the leadership at your site/organization? 8.! When you think about a dynamic or transformational (great) leader what qualities/characteristics stand out to you? 9.! What leadership opportunities have been offered to you? a.! How did you benefit from these opportunities? b.! How were these opportunities communicated to you? 10.!What district/institution/school supports are in place to help develop future leaders? a.! What support have you received from your district/institution/school in developing leadership capacity? 11.!What obstacles have you faced in growing as a leader? 12.! What forms of formal and informal mentoring are available at your site? a.! Give me an example. 13.!What else would you like to share with us about your experience as a leader? PRINCIPAL LEADERSHIP SUCCESSION! ! 93! Appendix D Observation Protocol Name of Site: ________________________ Date: __________________________ Type of Observation: ________________________ Participants: _________________________________ Purpose/Focus: ________________________________ Time Started ______________ Time Ended ____________ Total Time ______________ Environment Observation Observer’s Notes Setting/Location •! What does the environment look like? •! What is the physical set up? •! How are people positioned? •! What does the agenda look like? •! Does the meeting follow the agenda? •! How many people are in the meeting? Participant(s) •! Attire of participants •! Participant engagement •! Who is leading the meeting? •! Who sits where? •! Are they talking? •! Are they making eye contact? •! What are the leader’s practices in interacting with others? •! People coming late/leaving early •! Diversity of the room (gender balance, ethnic balance) ! 94! Interactions Observation Observer’s Notes Context •! Who is talking to whom? •! What is their relationship? •! What are the roles of the participants? •! What is the topic of the interaction? •! Where is the interaction taking place? •! What is the length of the interaction? •! What is the purpose of the interaction? •! Is the interaction planned or unplanned? •! Overall Tone •! What is the tone of the interaction? ! ! 95! Appendix E Matrix of Interview Protocols to Research Questions Teacher Questions Administrator Questions Research Question 1 In what ways do principals work to build the next generation of leaders? Research Question 2 What are the perceptions of teachers regarding the influence of those practices? Research Question 3 What are the factors that both facilitate and inhibit the development and implementation of strategies that are designed to build leadership capacity? Tell me briefly about your experience and role at this site. Tell me briefly about your experience and role as a leader at the school. What is the mission/vision of your school? What is the mission/vision of your school? What influenced you to take on a leadership role? What was significant in you becoming an administrator? A) Who was influential in your decision to becoming an administrator? X X X What informs your daily leadership practices? What informs your daily leadership practices? X X PRINCIPAL SUCCESSION ! ! ! ! 96! Your school is identified as having promising practices in leadership succession, how are those practices communicated to you? Your school is identified as having promising practices in leadership succession, how would you articulate those practices? X X X What does your site/organization succession plan look like? A) How has that been communicated to you? B) What has been your response? What does a succession plan look like to you? A) How is that communicated to the different stakeholders? B) How do they respond? X X X How have you been supported by the leadership at your site/organization? How do you support potential leaders at your school? X X X When you think about a dynamic or transformational (great) leader what qualities/character istics stand out to you? When you are thinking about identifying a potential leader, what are you looking for (skills, traits, qualities, etc.)? X Give me an example of a leader you identified. Tell me about the X X PRINCIPAL SUCCESSION ! ! ! ! 97! process from you recognizing him or her, to him or her becoming a leader (principal, etc.). What leadership opportunities have been offered to you? A) How did you benefit from these opportunities? B) How were these opportunities communicated to you? What opportunities that you provide to potential leaders on your staff do you find most useful in developing their leadership capacity? A) How are those communicated ? X X X How do you address those that aren't ready to be leaders but show an interest in leadership? X X What district/institution/ school supports are in place to help develop future leaders? A) What support have you received from your What district/instituti on/school supports are in place to help develop future leaders? A) What support have X X X PRINCIPAL SUCCESSION ! ! ! ! 98! district/institution/ school in developing leadership capacity? you received from your district/instituti on/school in developing leadership capacity? What obstacles have you faced in growing as a leader? What obstacles have you faced in helping to develop leadership capacity in future leaders? X X What forms of formal and informal mentoring are available at your site? A) Give me an example. What forms of formal and informal mentoring are available at your site? A) How have these mentoring relationships led to leadership succession? X X X What are the areas that need the most development/ attention before moving teachers into leadership roles? X Give me an example of how you build upon the strengths of X X PRINCIPAL SUCCESSION ! ! ! ! 99! future leaders. What else would you like to share with us about your experience as a leader? X !
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Escalante, Karen Elizabeth
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Core Title
Building leadership capacity to support principal succession
School
Rossier School of Education
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Doctor of Education
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Education (Leadership)
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03/01/2016
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dearth of principals,leadership capacity,next generation of teacher leaders,OAI-PMH Harvest,principal succession,principalship,transformational leadership
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dearth of principals
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next generation of teacher leaders
principal succession
principalship
transformational leadership