Principal leadership succession: developing the next generation of leaders

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Content Running head: PRINCIPAL LEADERSHIP SUCCESSION

1

PRINCIPAL LEADERSHIP SUCCESSION: DEVELOPING THE NEXT GENERATION OF
LEADERS

by

Ashley Selva

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 Ashley Selva
PRINCIPAL LEADERSHIP SUCCESSION

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Acknowledgements

I would like to sincerely thank those who made this dissertation possible through their
enduring support and encouragement. First, thank you to Dr. Stowe for providing positive
affirmations, listening intently, and challenging me to grow both personally and professionally.
Dr. Stowe, I extend my deepest gratitude for the constructive feedback and mentoring. I would
also like to share my appreciation for my committee members, Dr. Malloy and Dr. Picus, whose
suggestions contributed to enhancing the quality of my work. I was grateful to access your
expertise.
I am also sincerely grateful to my family, friends, and colleagues who have supported me
throughout this journey. My parents and grandparents have been my cheerleaders, role models,
and have continuously expressed an unwavering belief in my ability to accomplish my goals. I
am also especially appreciative to have shared this process with such wonderful friends who kept
me grounded and sane. Jenn, Karen, and Monique, thank you for being an all-star team.
Finally, thank you to my husband for his endless support and willingness to sacrifice our
time together to allow me to pursue my dream. When the process was overwhelming, I have
valued your patience, comfort, and encouragement. I am grateful for you always believing in me
and understanding my need to strive for the best.

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Table of Contents
Acknowledgements 2
List of Tables 5
List of Figures 6
Abstract 7
Chapter One: Overview of the Study 8
Introduction 8
Background of the Problem 8
Statement of the Problem 10
Purpose of the Study 12
Research Questions 12
Significance of the Study 13
Limitations and Delimitations 14
Definitions 15
Organization of the Study 16
Chapter Two: Literature Review 18
Historical Context 19
Current Principal Leadership Succession Practices 20
District level Practices 21
Identifying and recruiting principals 21
School level Practices 24
Identifying and recruiting teacher leaders 24
Mentoring principals 27
Challenges of Developing Leadership Capacity 31
Transformational Leadership Theoretical Framework and Models 36
Summary 37
Chapter Three: Methodology 40
Research Questions 40
Research Design 41
Sample and Population 42
Overview of the Organization 42
Overview of the Principal 43
Theoretical Framework 43
Conceptual Framework 44
Data Collection 45
Instrumentation 47
Data Analysis 49
Ethical Considerations 50
Summary 51
Chapter Four: Results 52
Participants 53
Overview of the Principal 53
Overview of the Organization 54
Reporting of Findings by Research Question 54
Summary 81
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Chapter Five: Summary and Implications of Findings 82
Purpose of the Study 83
Summary of the Findings 84
Implications for Practice 87
Recommendations for Future Study 89
Conclusion 90
References 92
Appendix A: Participant Recruitment Letter 100
Appendix B: Interview Protocol for Administrators 101
Appendix C: Interview Protocol for Teachers 103
Appendix D: Observation Protocol 104
Appendix E: Matrix of Interview Protocol to Research Questions 106

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List of Tables
Table 1: Participants in the Study 47
Table 2: Research Questions as Instrumentation 49
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List of Figures
Figure 1: Conceptual Framework 45
Figure 2: Creswell’s (2014) Model for Qualitative Data Analysis 50

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Abstract

The study applies transformational leadership theory to understand the promising practices
principals employ to build teacher leadership capacity. The purpose of the study was to
illuminate the ways principals work to build the next generation of leaders and explore teachers’
perceptions of the influence of the principal’s leadership practices. Also, the study sought to
determine the factors that both facilitate as well as inhibit the development and implementation
of strategies devised to produce leadership capacity. One principal, one assistant principal, and
six teachers participated in this qualitative case study. Data collection occurred via a series of in-
person and telephone interviews, observations of leadership meetings, as well as document
analysis of job descriptions, résumés, school policies, and meeting minutes. Findings from the
study indicate that principals work to build the next generation of leaders by developing a
personal mission, establishing cultural norms, and creating school structures and processes. Also,
teachers’ perceptions of the influence of the principal’s leadership practices indicate the critical
nature of relationships and mentoring. Lastly, school systems and structures as well as district
leaders’ interactions facilitated leadership capacity building. However, lack of time, colleague
conflict, and district system and structures inhibited leadership capacity building. The study’s
results are of interest to administrators to ensure they are executing research-driven techniques
for managing the complexity of leadership succession and policymakers to ascertain areas to
devote their efforts to sustain high-quality principal leaders.

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CHAPTER ONE: OVERVIEW OF THE STUDY
Leadership is a phenomenon that impacts all groups and organizations (Bass, 2008;
Collins, 2001). The fundamentals of leadership emerge in our daily lives – from public agencies,
businesses, and schools (Bass, 2008). Among schools, leadership is a valued commodity and the
discourse focused on the urgency of quality leadership is pervasive. However, cultivating quality
school principal leadership is a complex issue, with the literature on the topic exploring facets
such as supply, attrition, retirement, and job skills (Myung, Loeb, & Horng, 2011). In the
following section, I will discuss the complexity of school leadership, describe the impact of
principals on school performance, issues pertaining to principal leadership succession, and argue
for further research on promising practices to blunt the contentious principal shortage problem
and ensure principal leadership continuity.
Background of the Problem
Changes in principal workforce trends and the increased complexity of the job have
impacted principal succession (Gonzalez & Firestone, 2012; Zepeda, Bengtson, & Parylo, 2012).
The complexity of a principal’s job has morphed due to increased accountability for student
achievement and instructional leadership while simultaneously managing administration duties
(Crow, 2006; Zepeda et al., 2012). In 2001, the advent of the No Child Left Behind (NCLB)
legislation increased public scrutiny of schools and began to hold principals responsible for
elevating student achievement (Crow, 2006). Since the NCLB legislation, principals have been
expected to raise student academic scores amidst a challenging organizational environment
replete with a focus on intellectual capital and changing student demographics (Crow, 2006).
Furthermore, changing student demographics have been particularly pronounced in United States
schools. For example, in the United States, there are 4.7 million English Language Learner
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(ELL) students (National Center for Education Statistics, 2011). However, despite their size, as a
subgroup ELLs have failed to keep pace with their English proficient peers in all academic areas
(Abedi & Gándara, 2006). Closing the ELL achievement gap has become paramount with the
implementation of Common Core State Standards (CCSS). The CCSS require that all students,
including ELLs, demonstrate critical thinking across multiple academic domains (Common Core
State Standards Initiative, 2010). For a principal, responsibility for student achievement in the
CCSS is a complicated role comprised of building teachers’ pedagogical knowledge, motivating
staff, creating resources, and developing a professional learning environment (Crow, 2006). Over
time, the increased responsibilities, added accountability for student achievement, along with
stress and long work hours have contributed to the diminishing principal applicant pool
(Wahlstrom, Louis, Leithwood, & Anderson, 2010).
The shortage of principal successors is further compounded by an insufficient pool of
candidates due to principal retirements and the declining rates in candidate quality (Byham,
2002; Copland, 2001; Myung et al., 2011; Peters, 2011). The National Center for Education
Statistics (2014) principal attrition report corroborates the finding and in the 2012-2013
academic year, reported that of the public principals who abdicated their role, about 38% of them
retired. Beyond retirements, principal supply reservoirs are also limited by diminishing candidate
quality (Copland, 2001; Myung et al., 2011). The evolving principal role requires a complex skill
set absent in contemporary principal candidates (Myung et al., 2011). The lack of skills is
attributed to the failure to recruit quality candidates into the field and inadequate administrator
preparation programs (Copland, 2001). Some district leaders agree with the diminishing quality
of principal candidates and have argued that the dearth of applicant skills prevented them from
“getting the right people on the bus” (Collins, 2001, p.13; Russell & Sabina, 2014). Given the
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demands for the complexity of the principal’s role and the skills required beyond an
administrative credential, investigating the practices for principal recruitment and leadership
succession is imperative (Myung et al., 2011).
Principal leadership succession practice also reveals that most districts fail to
systematically organize efforts to identify, recruit, and sustain school leadership (Fink, 2010;
Myung et al., 2011). Principals often play little to no role in selecting their successors or in the
transition process (Hargreaves & Fink, 2003). The lack of proactive action in supporting
leadership continuity leads districts to reactively fill vacancies with principals who are
unprepared to meet the demands of the role. As a result, they subsequently flee the profession
(Wahlstrom et al., 2010) or are ousted due to failure to meet accountability goals (Gonzalez &
Firestone, 2012). Overall, the paucity of systematic and conscientious succession plans
engenders fragmentation in leadership (Peters, 2011).
Statement of the Problem
Developing school leadership is critical; however, cultivating principal leadership is
confounded by an insufficient candidate reservoir and declining rates in candidate quality
(Copland, 2001; Fink, 2011; Myung et al., 2011). The limitations of the principal candidate
reservoir are further compounded by a host of underlying issues including: the complexity of the
principal role (Copland, 2001; Crow, 2006), increased accountability, and a dearth of leadership
succession strategies that consciously draws on the latent leadership capacity among teachers and
other educational workers (Fink, 2011).
Contributing to the limited reservoir is the absence of the development of leadership
capacity among teachers; however, the issue is further exacerbated by high teacher turnover and
principal retirement. Teacher turnover research confirms that almost 50% of educators leave the
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profession within five years (Ingersoll, 2003). Moreover, of those teachers who have remained in
the profession and pursued administrative roles, cadres of them are now retiring. In the 2012-
2013 academic school year, of the principals that left the profession, about 38% retired (National
Center for Education Statistics, 2014). As such, the confluence of teacher turnover and principal
retirement has impacted the ability to identify and sustain quality principals.
Principal retirements have also contributed to an increased need to fill administrator
vacancies. According to a recent study, in California, within the next 10 years, more than 5,000
school administrators will reach retirement (Kladifko, Li, & Dunlap, 2011; White, Fong, &
Makkonen, 2010). Simultaneously, the cumulative student enrollment will increase by about
1.7% during 2008 and 2018 (Kladifko et al., 2011; White et al., 2010). When taking the
administrator retirements and student enrollments together, the projected need for new school
administrators ranges between 9% and 71% of the counties’ 2007-2008 administrator workforce
(Kladifko et al., 2011; White et al., 2010). In California, the 10 largest counties, such as Los
Angeles, San Diego, and Sacramento, will have the highest demand for school administrators
(Kladifko et al., 2011; White et al., 2010).
The increased demand to fill principal vacancies and the heightened understanding of the
instrumental role administrative leadership has on schools advances the imminent need to
identify, recruit, and sustain principals (Marzano et al., 2005; Robinson et al., 2008). Research
has explored principals’ impact on schools (Marzano et al., 2005; Robinson et al., 2008);
however, few studies have examined how to ensure leadership continuity. As the educational
landscape remains replete with a diverse student population, national reforms, frequent changes
in school leadership, as well as complex working conditions, the need to comprehend school
leadership transitions and succession management principles is pronounced (Ripple, Raffel, &
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Welch, 2012). Furthermore, selecting the appropriate candidates is critical to ensuring principals
have acquired the skillset to grapple with an intricate educational arena while increasing student
achievement and positively impacting teacher retention (Grissom, 2011; Marzano et al., 2005).
The paucity of data on the issue highlights the need to examine empirical research on promising
principal leadership succession planning practices.
Purpose of the Study
The research indicating the vital influence principals have on schools (Marzano et al.,
2005; Robinson et al., 2008) and the limited examining the principal leadership succession
planning practices implores the need for empirical research on how to develop a candidate
reservoir to deliberately cultivate principal leaders. Current scholarship focuses on the failure of
principal succession planning practices in districts, rather than illustrating possible effective
practices districts and schools can emulate to abate principal leadership succession issues. The
purpose of the study was to illuminate promising practices in schools to identify, recruit, and
mentor teachers to become school principals. The study also aimed to explore teachers’
perceptions of the leadership succession management practices. Along with investigating
teachers’ perceptions, the study was designed to explore the practices that both facilitate as well
as inhibit the development and implementation of strategies devised to produce leadership
capacity.
Research Questions
To gain insight into the experiences of schools’ principal leadership succession practices,
the Ed.D. thematic group collaboratively developed and posed 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?
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3. What are the factors that both facilitate and inhibit the development and implementation
of strategies designed to build leadership capacity?
To guide the exploration of these questions, transformational leadership theory as defined by
Kouzes and Posner (1987, 2012) and Northouse (2013) was employed as the theoretical
framework. Transformational leadership is characterized as the process by which a leader
engages with others to create connection that raises the level of motivation in the follower
(Northouse, 2013). Further, the transformational leadership model consists of five fundamental
practices that enable leaders to accomplish their goals: (a) model the way; (b) inspire a shared
vision; (c) challenge the process; (d) enable others to act; and (e) encourage the heart (Kouzes &
Posner, 1987, 2012). The model developed by Kouzes and Posner (1987, 2012) and Northouse
(2013) was utilized due to its prescriptive nature. The model prescribes behaviors people need to
enact to become effective leaders and is also focused on action-oriented practices that allow for
successful principal leadership succession management (Kouzes & Posner, 1987, 2012;
Northouse, 2013). In addition the transformational leadership theoretical framework, to further
develop the investigation, qualitative methods including observations, interviews, and document
analyses were also used to inform the research questions. The transformational leadership
theoretical framework will be further discussed in Chapter 2.

Significance of the Study
This research is instructive for several audiences including policymakers, school districts,
teachers, and current principals. To begin with, the study will inform where policymakers should
devote efforts to recruit, develop, support, and retain leaders (Ripple et al., 2012). Understanding
empirically tested best practices will ensure policymakers allocate financial resources to
strategies with a high rate of return. Similarly, the findings have implications for school districts
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and the research will assist them in designing a formal succession management system based on
established leadership competencies as well as practices that will facilitate leadership capacity
(Myung et al., 2011). Specifically, understanding the factors that facilitate and inhibit the
development and implementation of strategies designed to build leadership capacity can assist
districts in maintaining a stable principal workforce that contributes to increased student
achievement. Along with districts, sharing the results of the study with principals can help
administrators ensure they are executing research-driven techniques for managing the complexity
of leadership succession.
As principals recognize how they impact the leadership pipeline, the research also has
value for teachers, university administrators, and current researchers. Teachers who will be part
of the tapping process might further their understanding of the qualities they need to be tapped
for the principalship role (Myung et al., 2011). Understanding leadership qualities and the
intricate process of succession also has implications for university administrators. University
administrators would benefit from using the study to critically examine administrator credential
programs to ascertain whether the courses need to be augmented with units evaluating school
succession management. Lastly, the research has utility for current scholars, as the study will
shed light on exploring identification, recruitment, and mentoring strategies for assuring a
systematic and informed approach to principal leadership continuity.
Limitations and Delimitations
The study’s limitations were beyond the researcher’s control; however, they may have
impacted the results. Although efforts were made for the study to be applicable to a larger
population, the small sample size prevents drawing broad generalizations. Also, the principals’
experiences may be unique to their individual organizations. Due to the qualitative methodology
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of this study, the information gathered is subject to the bias interpretation of the researcher. The
qualitative nature of the study presupposes that the validity of the study is dependent upon the
reliability of the participants. The interview process evoked reflective responses from the
participants. It was anticipated that the participants would respond to interview questions with
candor; nevertheless, it is challenging to confirm whether the respondents were honest in their
responses. In addition to candor, another limitation is that the study is confined to the subjects
who voluntarily agreed to participate in the research. A final limitation of this study was time.
Due to time constraints, the researcher was limited to a three-month time span for data
collection.
Along with the study’s limitations, delimitations were outlined. The researcher selected
specific parameters for the sample. Participants were a principal, an assistant principal, and six
teachers at a K-8
th
public school located within the Southern California School District practicing
promising principal leadership succession management strategies. The school enrollment was
624 students. Moreover, the principal at the school had worked in their position for more than
three years. In the study, the researcher also determined that the principal have experience
implementing succession management strategies to develop teacher leadership capacity. Based
on these delimitations, the findings are limited and may not be generalizable to other settings.
Definitions
Several terms are relevant to and referenced in this study. For the purpose of the study,
these terms are defined as follows:
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
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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 & Lambert, 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)
Organization of the Study
This study examines the organizational practices to identify, recruit, and mentor teachers
to become principals as well as how educational organizations implement leadership
development strategies. The study also aimed to explore teachers’ perceptions of the leadership
succession management practices. Along with investigating teachers’ perceptions, the study
aimed to uncover the practices that both facilitate as well as inhibit the development and
implementation of strategies devised to build leadership capacity. Chapter 1 provided an
overview of the study and established its importance for educational organizations. Chapter 2
offers a review of the literature, focusing on the history of principals’ leadership role in U.S.
society, examining the complexity of the role, and trends in current principal leadership
succession practices. This chapter also describes the theoretical framework for the study. Chapter
3 discusses the research methodology and the rationale for selecting a qualitative approach. It
also provides a conceptual framework as well as additional information about the sample, how
the participants were selected, as well as details about the study’s instrumentation and framework
for data collection and analysis. Chapter 4 reveals the findings of the research and also discusses
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the findings in relationship to the extant literature. Chapter 5 addresses the implications of the
study’s findings and offers recommendations for future research.

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CHAPTER TWO: LITERATURE REVIEW
Based on growing projected student enrollments and administrator retirements,
developing principal leadership is paramount (Fong & Makkonen, 2011). However, developing
principal leadership is confounded by an inadequate candidate reservoir and diminishing
candidate quality (Copland, 2001; Myung et al., 2011; Fink, 2010). The limitations of the
principal candidate reservoir are further exacerbated by a plethora of underlying issues including:
the intricacy of the principal role, increased accountability, and a deficit of leadership succession
strategies that deliberately draws on latent leadership capacity (Copland, 2001; Crow, 2006;
Fink, 2011).
The purpose of this study was to discover how schools are cultivating latent leadership
capacity in teachers to build principal leaders, uncover teachers’ perceptions of the succession
management practices, and investigate factors that both promote and impede leadership
development. Essential to this inquiry is investigating the scholarship related to contemporary
succession management practices. The research review begins by situating the topic in a
historical context to illustrate the shift in the principal leadership role. The historical overview is
followed by a review of literature related to identifying, recruiting, and mentoring teachers to
embark on a role as a principal leader at both the district and school level. The review also
includes challenges to developing teacher leadership capacity and the factors that facilitate and
inhibit leadership growth. To analyze these leadership practices, transformational leadership
theory is advanced as a theoretical framework. The chapter concludes by connecting the
theoretical framework and the existing scholarly literature to the present study.

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Historical Context
Understanding the development of schools and succession management begins with
situating the changing role of the principal. Due to increased federal intervention, the principal’s
role experienced an instrumental shift between the 19th and 20th centuries. In the 19th century,
the principal’s job was routine and focused on administrative duties such as ringing the bell and
suspending students (Cooley & Shen, 2003; Lashway, 2000; Rousmaniere, 2007). According to
Rousmaniere (2007), these early administrators subsisted in a workplace without legal
guidelines, professional support, or job descriptions. Instead, the only prerequisite for the job
was previous experience teaching. Teachers with the greatest seniority or rapport with the staff
were often promoted to manage the school and worked in a domain absent of a lucid job
description. However, in the early 20th century, the role began to evolve and diverge from
primarily administrative responsibilities (Hallinger, 1992).
According to Goodwin, Cunningham, and Eagle (2007), in the 20th century, the launch
of the first Russian space satellite, Sputnik, marked a shift in the principal’s role. Sputnik’s
launch highlighted that the Soviet Union had surpassed the United States and catapulted
education reform. In a haste to abate Russia’s technological superiority, the United States
augmented efforts to promote academic rigor. Attempting to identify a panacea for the perceived
academic decline, funding for academic programs became prominent and the principal’s role
markedly evolved. Principals became responsible for managing federally-sponsored programs
designed to improve academic achievement among special populations, such as bilingual
students and students with disabilities. As a consequence of increased federal intervention,
principals became recognized change agents accountable for instructional reform (Leithwood &
Montgomery, 1982). These intensive reform demands reflected the change in the principal’s role
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from administrative manager to instructional leader (Goodwin et al., 2007). Within the same
historical time span, reshaping the principal’s role was further precipitated by the publication of
A Nation at Risk and Time for Results (Goodwin et al., 2007). These reports further urged for
increased student achievement, principal accountability for producing results, and became the
hallmark of education.
Today, in the 21st century, the contemporary principal remains responsible for increased
student academic achievement while being the administrative manager of the 19th century as
well as the instructional leader of the 20th century. However, the recent advent of the Common
Core State Standards transcends instructional leadership responsibilities and elicits a need for
principals who can improve student achievement, cultivate learning communities, and empower
teacher leadership (Copland, 2001). The confluence of the historical shift in the principal’s role,
the increased complexity of job responsibilities, and principals’ impact on student achievement
begets the need to explore how to cultivate principal leadership (Marzano et al., 2005). The next
section investigates current principal leadership succession practices as a catalyst to illuminating
promising practices for building teacher leadership capacity to develop future principal leaders.
Current Principal Leadership Succession Practices
Cultivating teacher leadership is a multi-level affair involving the state, district, and the
school (Heneman & Milanowski, 2011). Human capital management practices are enacted at the
district and school level; therefore, the review will begin by examining principal leadership
succession practices with a wide lens by initially exploring district level practices from a systems
perspective and then delve into a narrower focus on school level succession planning practices.

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District Level Practices
In the past decade, districts have continuously struggled to fill principal positions with
qualified successors (Peters, 2011). However, the lack of a cohesive plan for sustaining
leadership continuity and the dearth of a principal candidate reservoir, contributes to districts
appointing less experienced leaders (Fink, 2010; Hargreaves & Goodson, 2006). The absence of
a coherent plan means principals who are appointed to spearhead reforms and change the status
quo are consistently unprepared to lead in a high-stakes environment (Hargreaves, 2005;
Schechter & Tischler, 2007). To further situate the problem, the following section will review
current district level practices for identifying and recruiting principals.
Identifying and recruiting principals. Empirical research on succession planning in
education is limited; however, a few studies have explored the management of principal
succession within districts. Zepeda, Bengtson, and Parylo (2012) found that at the district-level,
the sense of urgency for identifying and recruiting principals was contingent on the district’s
size. Smaller districts often developed leaders from within or later ventured outside the system to
identify opportunities for leadership growth. Conversely, larger districts screened for potential
principal successors at internal leadership academies for aspiring principals. In the study, larger
district systems also tended to evaluate potential leaders by employing the Interstate School
Leaders Licensure Consortium Standards. The standards were used in an effort to be consistent
in describing the type of knowledge expected from principal candidates. The standards-based
evaluation practice was in contrast to smaller districts that relied on an informal approach to
identifying potential principal successors.
Zepeda et al. (2012) also found that other larger school districts selected leaders by
building collaborative relationships with outside organizations. Specifically, districts managed
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the succession of school leaders by developing partnerships with university leadership
preparation programs. In the study, a crucial component of the university partnership was that the
district central office leaders were often responsible for teaching courses to graduate students in
principal certification programs. As a result, central office leaders bridged the gap between
theory and practice by providing actual examples of strategies they employed on a day-to-day
basis. Central office leaders also imbued participants in the principal preparation programs with
values adopted in their district; therefore, the administrators hired from the university programs
were often well equipped to lead their schools.
In contrast, Peters (2011) determined that some large urban districts failed to develop
succession planning practices to sustain new leadership. Similar to Zepeda et al.’s (2012) study,
the principals were initially identified and recruited into the principalship through a district-
sponsored preservice preparation program. Nevertheless, despite serving in roles as principal
interns, the principals languished their first year. The principals attributed their leadership
atrophy to issues with district support including: a lack of mentoring, financial resources, and
district succession planning. For example, the district failed to provide principals with financial
resources to support teacher leaders in planning and stipends for teachers attending professional
development seminars. The district central office’s ongoing neglect contributed to the principals
resigning from the position. The quick fix was to have a district officer inherit the principalship
position along with the issues the predecessor experienced. However, the change in leadership
occurred with inadequate forecasting and planning efforts, leaving the new principal responsible
for positive reform in a turbulent and uncertain environment.
Overall, these studies on district level practices demonstrate a fragmented practice of
leadership succession management (Peters, 2011). Although some larger districts were proactive
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in recruiting principals by establishing collaborative partnerships, other districts practiced a
replacement-oriented culture (Fink, 2010; Hargreaves & Goodson, 2003; Zepeda et al., 2012).
This culture is the antithesis of a development-oriented culture that ensures the right people are
filling the principalship role (Fink, 2010; Hargreaves & Goodson, 2003; Zepeda et al., 2012).
These reactive replacement-oriented patterns maintain existing patterns of mediocrity, rather
than cultivating leaders who can thrive amongst the demands of 21st century schools
(Hargreaves & Fink, 2003). However, research also illuminates the need for contextualized
succession management programs at the district level (Zepeda et al., 2012). The district’s size,
type, and years of service suggest that succession management practices may need to be tailored
to the available leadership capacity of the district and the district’s long-term goals (Zepeda et
al., 2012).
Despite factors that may warrant contextualized district programs, both studies converge
on the need for districts to be invested in the process of school leadership succession
management beyond identifying and recruiting principals. Although the principals were selected
due to their leadership potential, the absence of support once they accepted the position limited
the ability to implement positive change (Peters, 2011). As such, these research studies reflect
the argument for reframing succession management beyond relying on district-sponsored
leadership development programs or university partnerships as the conclusion of succession
practices (Peters, 2011). Instead, characterizing succession management practices needs to
expand to include providing qualified candidates with the tools to succeed as principals (Peters,
2011). To further interrogate succession management, the upcoming literature will narrow the
research on principal leadership succession to focus on contemporary school level practices for
identifying, recruiting, and mentoring teachers to become principal leaders.
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School Level Practices
In congruence with district level practices for managing succession, at the school level,
most practices tend to be unplanned. However, in an era of continuous school reform, principals’
longevity in their position has been curtailed, indicating a growing need to deliberately plan
succession efforts (Peters, 2011). The next section will explore current research on identifying,
recruiting, and mentoring teachers to fulfill a role as a principal leader at the school level.
Identifying and recruiting teacher leaders. Research on how principals identify and
recruit teachers to fulfill leadership positions is scarce and primarily based on informal
mechanisms. Leithwood et al. (2007) found that identifying potential leaders begins with
searching for specific characteristics. The researchers investigated traits that emerged among
non-administrative leaders. Leithwood et al. (2007) bundled the traits into cognitive and affective
characteristics. The cognitive characteristics of nominated non-administrator leaders were
problem-solving skills and knowledge about the challenges facing the organization. However,
affective characteristics included: commitment to initiative, a breadth of experiences, as well as
personal qualities such as being approachable and quiet. These personal characteristics are in
accordance with Collins’ (2001) notable work on Level 5 leaders who built enduring
organizations through an amalgam of personal humility, resolve, and a placid persona.
Closely linked to identifying characteristics in teachers to fulfill a leadership role, Myung
et al. (2011) discovered that another mechanism for identifying teachers that surfaced in the
research was teacher tapping. Teacher tapping is an informal mechanism characterized by
administrators encouraging teachers to consider the principalship. In the study, a predicator of a
teacher being tapped by the principal was being perceived as having the ability to manage school
leadership responsibilities. More specifically, teachers were more likely to be tapped if they were
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considered to be highly prepared and if they had previous leadership experiences, such as time
served on schoolwide leadership teams. However, in Myung et al.’s (2011) study, gender and
race also emerged as significant predictors of being tapped. Within schools, male teachers were
about twice as likely to be tapped than female teachers. Also, Black and Hispanic teachers were
66% and 37% more likely to be identified for tapping than their White coworkers. Data also
reflected results consistent with theories of homophily, meaning principals demonstrated a
proclivity to tap teachers whose races matched their own. Myung et al. (2011) explains that this
phenomenon is likely due to the lack of clearly identified leadership competencies which then
leads to decisions about promotion being based on personal attributes, such race as gender.
Further, the finding that principals favor male teachers comports with the glass-ceiling theory, in
which gender discrimination impedes women from obtaining leadership roles (Eagly & Carli,
2007).
In addition to exploring the teacher tapping phenomenon, Lortie (2009) delved into the
informal processes that facilitate the transition to leadership by investigating promotion patterns.
In reviewing promotion patterns among suburban principals in Chicago, Lortie (2009) found that
about three out of every four principals promoted within the district had been sponsored to obtain
the principal position, indicating a pervasiveness of sponsorship mobility. Sponsorship mobility
connotes a multidirectional process by which a teacher or assistant principal is sponsored by a
superior to obtain their principal position. Sponsorship mobility is considered to be
multidirectional because teachers interested in administration seek out opportunities to
demonstrate their leadership capability. In doing so, the teacher gains the principal’s attention,
obtains opportunities to learn about the role, and becomes familiar with the intricacies of the
principalship. However, given that principals tend to develop relationships with those who have
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similar demographic characteristics, sponsorship mobility can also foster inequality (Kanter,
1993; Myung et al., 2011).
Conversely, Myung et al. (2011) asserted that contest mobility is considered to be an
egalitarian method of recruiting principal candidates. Contest mobility specifies that every
candidate has an equal opportunity for the job and the candidacy is dependent on the person’s
individual caliber. The contest mobility model presumes that hiring officials are skilled at
identifying and selecting fledgling candidates with defined leadership competencies. However,
intangible leadership skills required for the principalship are challenging to capture solely in
résumés and interviews. Therefore, the notion of contest mobility as an identification and
recruitment method is still in its infancy.
Overall, research on how principals identify teachers for leadership positions is scant and
predominantly depicts informal methods. Some research has identified the characteristics of
teachers with leadership capacity, explored teaching tapping, and distinguished between
sponsored as well as models of occupational mobility (Leithwood et al., 2007; Lortie, 2009;
Myung et al., 2011). However, as a whole, the research reflects identification and recruitment
practices that follow traditional methods of self-selection for licensure, with little innovation
devoted to recruiting the younger generation of teachers to pursue administration (Fink, 2010).
The prevalence of informal methods underscores the absence of a codified evaluation
method to ensure optimal candidates are being selected to become principals. Instead, the
deficiency of established leadership competencies has contributed to decisions regarding whom
to recruit to be predicated on personal attributes, such as race and gender – which are unrelated
to leadership effectiveness (Myung et al., 2011). This practice of homophily is detrimental to
schools as they are less inclined to identify future leaders based on established leadership
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competencies. Given that principals’ encouragement can motivate teachers to become principals,
thoughtful and disciplined management of which teachers they approach is critical (Myung et al.,
2011). Otherwise, teachers may be selected who are unequipped to manage the role (Myung et
al., 2011). In short, recruitment strategies based on personal attributes precludes educational
organizations from “getting the right people on the bus” (Collins, 2001, p. 13).
Mentoring principals. Along with mechanisms for identifying and recruiting teachers to
pursue the principal role, some research has investigated the mentoring process. While the
mentoring process commences through informal mechanisms, such as teacher tapping, studies
have also explored mentoring strategies once the teacher has accepted the role as a novice
administrator. Novice administrators face competing tasks their first year in leadership, including
managing administrative duties, grasping the cultural norms of the school, and the politics of
accommodating constituents with divergent view points (Boerema, 2011). Such realities of the
job can place harrowing demands on principals’ emotional energy, curtailing the administrators’
ability to sustain educational leadership over time (Boerema, 2011). The demands of the role
have led some scholars to investigate ways mentoring can mitigate the challenges of the
principalship and serve to retain principal leaders.
Boerema (2011) approached the challenge of the role by investigating the types of
support that were deemed productive in developing principals’ leadership capacity. Boerema
(2011) conducted semi-structured interviews with eight administrators and found that due to the
endemic lonely nature of the position, new leaders benefit from mentors who listen, express
concern for their well-being, provide affirmation, and help them reframe tensions at work. The
qualitative study further underscored that novice administrators found the support most
beneficial when it was from a mentor who had preserved through leadership challenges.
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In accordance with Boerema (2011), Silver, Lochmiller, Copland, and Tripps (2009)
confirmed the need for new administrators to have access to support their first years on the job
and investigated models of leadership coaching. Silver et al. (2009) examined a three-year
university-based coaching program designed to help administrators transition from classroom
teacher to principal. The program included structured leadership support from a coach and
internship site supervisor. The program also provided coaches as well as internship site
supervisors with ongoing training to enhance their mentoring skills and help eradicate the
challenges the new administrators were facing.
Silver et al.’s (2009) findings revealed benefits of coaching ranging from managing the
volume of administrative tasks to eliciting a paradigm shift in the transition from teacher to
administrator. For example, coaches explained the need to regulate administrative issues such as
budgeting, staffing, and an entry plan for the school year. Coaches rationalized that without
resolving the administrative issues, time to evaluate instruction would be limited. However,
evaluating instruction was perceived to be a daunting task because it required the principal to
appraise former classroom colleagues. Navigating the shift from colleague to leader and adopting
a paradigm that deviated from executing classroom instruction to supporting instructional
leadership was a challenge. Mentors were able to finesse the process by helping new
administrators maneuver the shift and embrace a leadership mindset. These school-level
mentoring practices helped teachers transition into the administrative role. Examining this study
provides a greater understanding of how mentoring programs can assist in sustaining quality
principal leaders.
In addition to formal mentoring programs for principals, Simieou, Decman, Grigsby, and
Schumacher (2010) explored peer mentoring as a mechanism for assisting new administrators in
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the transition from teacher to school leader. After accepting the role as the primary school leader,
novice principals experienced immense stress as they attempted to apply theory learned in their
principal credentialing programs to practical issues. However, they found discrepancies between
their theoretical and practical knowledge. Bridging the theory-practice gap can be ameliorated
through peer mentoring. For example, in the study, university faculty members with experience
as public school principals organized leadership cadre meetings. At the meetings, new principals
were able to build relationships with university faculty and peers at different school levels. These
meetings served to alleviate the feelings of isolation as a principal and provided access to a broad
spectrum of ideas from new, experienced, elementary, and secondary principals. The findings
offer a method to assist in sustaining the principal leaders who will develop teacher leadership
capacity and contribute to building succession management practices.
In contrast to studies that have reported the benefits of formal and peer mentoring, other
literature admonishes against using mentoring as a panacea and has investigated potential pitfalls
of mentoring (Daresh, 2004; Hansford & Ehrich, 2006). In their review of mentoring programs
for principals, Hansford and Ehrich (2006) found that that mentor matching was critical and a
mismatch could precipitate a problematic relationship between mentor and mentee. Often, the
flaws in matching were exacerbated by the selection criteria for mentors being solely previous
experience as a principal. The research demonstrated that aside from working with a mentor with
prior experience as an administrator, skills such as productive communication, listening, and
balancing the support role with evaluation were equally as paramount to building an effective
relationship. In addition to a lack of communication skills that strained the mentor-mentee
relationship, other frequently identified negative outcomes included time restraints and
personality conflicts that impeded progress. By focusing on understanding the school-level
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mentoring practices that could present challenges for sustaining principal leaders, Hansford and
Ehrich (2006) draw attention to issues that need to be considered when developing a principal
leadership succession management plan.
Along the same vein, Daresh (2004) identified shortcomings with principal mentoring
practice. In his review, Daresh (2004) noted that inadequate preparation of mentors and mentees
contributed to problematic relationships. Programs that devoted a perfunctory effort to selecting
and preparing mentors tended to be a disservice to novice principals. Often, program mentors
were chosen based on availability and number of years employed as a principal, rather than
quality. These hasty decisions plagued mentees and left them unprepared to fulfill the demands
of the principalship. Daresh (2004) admonished against selecting mentors based on seniority and
argued that preparing mentees for the complexity of the principalship requires an effective,
interactive, mentoring program with critical attention devoted to the selection of mentors.
Daresh’s (2004) research adds to the principal leadership succession management scholarship by
providing criteria for helping to develop future principal leaders.
Overall, despite the possible negative outcomes of mentoring, these studies corroborate
the critical need for mentoring program for novice principals. The reality of embarking on a
leadership position requires a complex set of knowledge, skills, and disposition that necessitates
mentoring (Boerema, 2011). The evidence citing the benefits of mentoring for principals
supersedes problematic issues that could be ameliorated through program redesign and careful
selection of mentor-mentee relationships (Boerema, 2011; Hansford & Ehrich, 2006). However,
the research further demonstrates that current programs are cursorily planned and require
established criteria to ensure the relationships are productive (Hansford & Ehrich, 2006).
Otherwise, the lack of criteria diminishes the prospective benefits of collaboration, increases the
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propensity for principal attrition, and impedes succession management practices (Boerema,
2011). Nevertheless, beyond mentoring, succession management is also impacted by the process
of developing leadership capacity. Consequently, the section that follows will discuss challenges
principals experiences in developing leadership capacity.
Challenges of Developing Leadership Capacity
Along with investigating practices for identifying, recruiting, and mentoring teachers to
fulfill a role as a principal leader, research has also explored the development of teacher
leadership capacity in schools. The ways in which school principals respond to change and
leadership development can create conditions that support or inhibit school reform (Donaldson et
al., 2008). The upcoming review will focus on developing teacher leadership capacity and its
relationship to developing principal leaders by exploring: (a) the work teacher leaders perform;
(b) conditions that influence the development of teacher leadership capacity; and (c) the effects
of teacher leadership (York-Barr & Duke, 2004).
According to studies by York-Barr and Duke (2004) as well as Silva, Gimbert, and Nolan
(2000), the work teacher leaders perform is varied and ranges from informal and formal
practices. Formal leadership work included fulfilling roles as curriculum specialists, union
representatives, department heads, or mentors. Conversely, informal leadership activities entailed
encouraging parent-participation, modeling reflective practice, and assisting peers in resolving
instructional issues. Informal leadership activities often emanated from within teachers’
classrooms as educators attempted to use children’s voices to challenge the status quo,
encouraged professional growth among their colleagues, and navigated organizational polices to
promote school change. The informal and formal activities serve as a foundation for developing
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teacher leadership capacity and identifying high-potential individuals for future principal
positions.
Other scholars, such as Katzenmeyer and Moller (2001) as well as Muth, Browne-
Ferrigno, Bellamy, Fulmer, and Silver (2013) found that teachers drawn to informal and formal
leadership positions are viewed as achievement and learner-oriented. The studies discovered that
teachers exhibited a host of other factors that demonstrated readiness to assume the
responsibilities of teacher leader. These factors included high levels of teaching competence, a
developed philosophy of education, and having an interest in adult development. Along with
these factors, opportunities for informal and formal leadership roles often propagated from
teachers’ classroom success and facilitated their ability to lead their colleagues. These factors
provide a codified list of competencies to consider when selecting teacher leaders to fill the
principal role.
Beyond research on the types of leadership roles and teachers’ characteristics, other
literature explored conditions that influence the development of teacher leadership (Mullen &
Jones, 2008; York-Barr & Duke, 2004). For example, Mullen and Jones’ (2008) study probed the
processes principals use to facilitate and build leadership capacity. They discovered that among
the school culture dimension, factors that facilitate teacher leadership were: a school-wide focus
on learning, encouragement for taking initiative, and teacher communities that promoted
professionalism. Specifically, school cultures were developed to encourage teachers to become
reflective thinkers and take collective responsibility. School cultures with the characteristics that
encourage teachers to develop reflection and collective responsibility offer the infrastructure to
build principal leadership capacity.
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Conversely, in accordance with earlier work forwarded by Duke (1994) and Little (1995),
contemporary investigations have also uncovered school culture factors that inhibit teacher
leadership. Duke (1994) and Little (1995) noted that these factors included: a lack of clarity
about professional direction, isolation, and socialization of teachers to avoid violating egalitarian
norms. Further corroborating their studies, more recently, Donaldson et al. (2008) also noted that
an egalitarian teaching culture remained a pervasive undercurrent of the profession that can
impede teacher leadership capacity development. Donaldson et al. (2008) discovered that
designating formal leadership roles deviated from the egalitarian cultural norm and provoked
conflict among teachers. Teachers who held leadership roles reported that colleagues resisted
their feedback and resented their recognition. Given the resistance, teacher leaders often avoided
conflict by reducing the scope of their work. Therefore, for teacher leadership to flourish,
cultural norms needed to be renegotiated to promote collegiality and assist in building the
support for prospective principal leaders to emerge.
These cultural norms are also interrelated to the types of roles and relationships that exist
within schools (York-Barr & Duke, 2004). Drago-Severson (2012) as well as Crowther, Kaagen,
Ferguson, and Han (2002) researched roles and relationships that supported and precluded
teacher leadership development. Supportive factors entailed positive working relationships
among peers, principal support for teaching leadership through feedback, and principals
attending to teachers’ individual needs. However, factors that dampened the emergence of
teacher leadership and challenged positive relationships were in direct contrast to mechanisms
that cultivated leadership. These mechanisms included teacher leaders building relationships
based on exercising authority rather than working collaboratively with their peers. In the research
presented, the principal emerged as pivotal to facilitating productive relationships and either
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encouraging teacher agency or constraining teacher development (Drago-Severson, 2012; York-
Barr & Duke, 2004). The findings add to the principal succession management discourse by
highlighting the principal’s role in enabling teachers to build the collaborative skills to develop
into leaders.
Cultural norms for principal and teacher dyad relationships are also enacted among
traditionally bureaucratic school structures that can support or inhibit teacher leadership
development (York-Barr & Duke, 2004). In convergence with previous work by Darling-
Hammond, Bullmaster, and Cobb (1995), Berger, Boles, and Troen (2005) found that school
structures that supported learning and leading, allowed for the removal of hierarchical structures,
as well as access to the time and space required for collaboration. Diverging from these factors
engendered challenges for developing leadership. Such factors included school structures that
perpetuated isolation and autonomy among teachers as well as insufficient time to collaborate
and work on leadership activities. As shown, building teacher leadership capacity requires time
to collaborate and engage in leadership activities to build future principals.
In addition to research on the conditions that enhance and diminish the development of
teacher leadership, research has also explored the effects on teachers as they develop into leaders
(York-Barr & Duke, 2004). Barth (2001) noted that the process of leadership can help teachers
improve in their instructional practices and blunt the sense of detachment teachers experience in
their careers. However, Mayrowetz (2008) argued some of the effects on teacher leaders are also
negative. For example, teachers can experience stress from playing dual roles as a teacher and in
the shifting nature of their relationships. Mangin (2005) further added that peer relationships
became more hierarchical rather than horizontal. Teachers’ relationships with other peers were
strained due to implicit professional expectations. The data explicates the importance of
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attending to the affective consequences of developing leadership and evaluating how to mitigate
the evolving shift in job roles to ensure teachers are funneled into the principal leadership role,
rather than abandoning the path.
Overall, the literature on developing teacher leadership capacity illustrates that teacher
leaders enact their functions in both informal and formal roles that could increase the capacity
for teaching tapping (Myung et al., 2011; Silva et al., 2000; York-Barr & Duke, 2004). Further,
specific conditions can facilitate or inhibit the development of teacher leadership among
dimensions such as: school culture, roles and relationships, and structures (York-Barr & Duke,
2004). Dimensions that provide avenues for teacher leadership growth entail: a school-wide
culture focused on learning, positive relationships, and flattened hierarchical structures (Berger
et al., 2005; Darling-Hammond et al., 1995; Mullen & Jones, 2008; York-Barr & Duke, 2004).
Conversely, factors that preclude leadership development are: a school culture that fails to
promote collegiality, structures that encourage autonomy, as well as insufficient time to
collaborate (Berger et al., 2005; Mangin, 2005). As a whole, the literature on developing teacher
leadership capacity is limited in that the studies were primarily qualitative, small-scale designs
that employed convenience samples (York-Barr & Duke, 2004). Despite the limitations, this
body of research pinpoints factors that can be used to promote teacher leadership capacity and
elements that inhibit leadership development. This research can be used to inform sound
principal leadership succession management plans. The next section will advance
transformational leadership as a foundation for the present study due to its emphasis on
prescriptive and action-oriented leadership behaviors (Kouzes & Posner, 1987, 2012; Northouse,
2013).

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Transformational Leadership Theoretical Framework and Models
To inform the study, transformational leadership, as coined by Burns (1978) and further
developed by Kouzes and Posner (1987, 2012) will be the theoretical framework.
Transformational leadership theory is characterized as the process by which a leader engages
with others to create connection that raises the level of motivation in the follower (Northouse,
2013). This section will describe the origins of transformational leadership, the emergence of the
Kouzes and Posner (1987, 2012) paradigm, and the rationale for the use of this paradigm to
advance the study.
The origin of transformational leadership began with Burns’ paradigm (1978) and has
developed throughout history. Burns (1978) first developed the transformational leadership
paradigm in his seminal work on leadership. Burns (1978) diverged from the traditional
transactional leadership model when he inextricably linked followers and leaders together in the
transformation process. Unlike transactional leadership, which refers to exchanges between
leaders and followers, in the Burns’ model (1978), a leader engages with their followers in an
attempt to generate a connection and increase the motivation of both parties.
Kouzes and Posner (1978, 2012) continued to expand on Burns’ (1978) conception of
leadership and developed a revised version of the transformational leadership model. To
construct the model, Kouzes and Posner (1978, 2012) interviewed more than 13,000 middle-and-
senior-level managers. The model now includes five fundamental practices that assist leaders in
accomplishing their goals: (a) model the way; (b) inspire a shared vision; (c) challenge the
process; (d) enable others to act; and (e) encourage the heart. For the purposes of this study, three
of the five fundamental practices will be investigated. The three characteristics will be: (a) model
the way, or how leaders set an example for others through their behaviors; (b) inspire a shared
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vision, or how leaders create a vision to guide followers’ behavior and (c) enable others to act, or
how leaders build trust to engender collaboration. Given the similarities among the five
attributes, these three characteristics were selected due to their focus on actionable practices
principals can employ to cultivate teacher leadership capacity.
The Kouzes and Posner (1987, 2012) model will be used to inform an understanding of
how principals embark on generating teacher leadership capacity for a multitude of reasons. The
model prescribes specific behaviors for effective leadership, focuses on action-oriented practices
that allow leaders to accomplish change and develop succession management practices in
schools (Kouzes & Posner, 1987, 2012; Northouse, 2013). Further, the model diverges from
conventional leadership paradigms focused on personality and instead emphasizes practice
(Kouzes & Posner, 1987, 2012; Northouse, 2013). As such, the study will use the
transformational leadership theoretical lens to explore how principals enact the fundamental
transformational leadership practices to identify, recruit, and mentor teachers to become
principal leaders.
Summary

In summary, this review provided a landscape of the current scholarship on district-level
and school-level practices to identify, recruit, and mentor teacher leaders to pursue the principal
leadership position as well as discussed factors that facilitate and inhibit developing teacher
leadership capacity. Taken as a whole, the empirical research highlights the fragmented practices
of leadership succession management and the prevalence of a replacement-oriented culture that
sustains patterns of mediocrity (Fink, 2010; Hargreaves & Goodson, 2003). The reactive trends
that precipitate mediocrity as the norm preclude the development of the transformational
leadership skills required to meet the demands of 21st century schools. Along with the dearth of
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a codified leadership succession management plan, current scholarship suggests that teacher
recruitment strategies are based on homophily, rather than established leadership competencies
(Myung et al., 2011). Decisions based on racial homogeneity rather than leadership acumen may
entail hiring people unequipped to manage the role and increase the propensity for principal
attrition (Boerema, 2011; Myung et al., 2011). Principal attrition may also be exacerbated by the
lack of established criteria to promote productive mentoring relationships (Boerema, 2011;
Hansford & Ehrich, 2006).
Challenging the principal leadership succession management process further are
dimensions that can be used to facilitate or inhibit developing teacher leadership capacity, such
as school culture and roles and relationships (York-Barr & Duke, 2004). Elements in these
dimensions that promote leadership capacity are collaboration and structures that allow time for
colleague interaction (Berger et al., 2005). Conversely, factors that preclude establishing
leadership capacity encompass teacher isolation and maintaining hierarchical structures (Darling-
Hammond et al., 1995; Duke, 1994).
This literature review has established the importance of developing principal leadership
succession management systems. After a thorough analysis of the current scholarship, the
paucity of empirical data on cultivating teachers to fill the principal leadership pipeline is
evident. In addition, the abundance of small-scale, qualitative, small-scale designs that employ
convenience samples indicates a deficiency in the scholarship. Further, current research lacks
qualitative data to inform how teachers are recruited for the principalship and is devoid of the
teachers’ interpretation of the leadership identification process. The scholarship is also limited in
that it dwells on district failures in principal succession management planning, rather than
illuminating promising practices to blunt the principal shortage. The present study attempted to
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bridge the gap in scholarship and provide practices to cultivate the next generation of principal
leaders. The next section will address the research methods employed to determine how schools
are identifying, recruiting, and mentoring teachers to assume roles as principal leaders as well as
the factors that facilitate and inhibit cultivating leadership capacity.

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CHAPTER THREE: METHODOLOGY
The intent of this study was to explore schools’ principal leadership succession
management practices. To illuminate promising practices and develop a reservoir of high-quality
leaders, this study attempted to bridge the gap in the scholarship and recommend practices to
cultivate the next generation of principal leaders. The study examined three areas: (a) the current
practices to build the next generation of leaders; (b) teachers’ perceptions about the impact of
those practices; and (c) factors that facilitate and impede the development as well as the
implementation of strategies designated to cultivate leadership capacity. Revealing these
practices can assist districts in designing proactive succession management programs to sustain a
stable workforce of quality principal leaders.
To uncover the succession management strategies, a qualitative research design was used.
The study’s research questions, research design, as well as an overview of the participants and
the sample selection process are outlined. A conceptual framework and the transformational
theoretical leadership framework are also forwarded as foundations for the study. Additionally,
the data collection procedures, instruments, and data analysis processes are presented. Lastly, the
ethical considerations determined to ensure the participants’ safety and confidentiality are
delineated.
Research Questions
To investigate the experiences of the principal and teachers in a school’s implementation
of leadership succession management practices as well as uncover promising strategies for
identifying, recruiting, and mentoring teacher leaders, the following questions were posed:
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?
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3. What are the factors that both facilitate and inhibit the development and implementation
of strategies designed to build leadership capacity?
Research Design
To understand how principals enact leadership management succession practices, a
qualitative research design was selected for a multitude of reasons. Primarily, qualitative
research was chosen due to its focus on understanding how people construct their worlds and
what meaning they attribute to experiences (Merriam, 2009). Specifically, a qualitative case
study design was implemented for its ability to produce a rich description and acquire a thorough
understanding (Gall, Gall, & Borg, 2007; Merriam, 2009) of principals’ as well as teachers’
innermost thoughts related to leadership succession management practices. Qualitative case
study data collection hinges on a variety of sources of information including: interviews,
observations, and document analysis (Creswell, 2014; Merriam, 2009). As such, this study
accessed data through all three sources. Semi-structured interviews were used to discover
information that is difficult to directly observe and to help uncover another person’s perspective
(Merriam, 2009). Through semi-structured interviews, the researcher also has the flexibility to
explore topics that reflect the participant’s values, interests, and overall construction of reality
(Patton, 2002).
In addition to interviews, observations of leadership meetings were used to obtain a
firsthand encounter of the participant’s world (Merriam, 2009). This type of firsthand encounter
allows the researcher to notice interactions that may have become routine to the participant
(Merriam, 2009). Lastly, document analysis was employed to triangulate the data as well as
enable the researcher to access the language and words of the participants (Creswell, 2014).
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Document analysis entailed evaluating job descriptions, résumés, school policies, the School
Accountability Report Card (SARC), and meeting minutes.
Sample and Population
In this study, purposeful sampling was critical in selecting the site and participants.
Purposeful sampling is a strategy characterized by the researcher deliberately selecting sites and
people to provide information relevant to the research questions (Maxwell, 2013). A K-8
th
public
school was selected because it aligned with the profile of a typical public school site where the
principal was practicing promising strategies for succession management. Additionally, a sample
size of eight participants was chosen so the participants could be studied with greater depth (Gall
et al., 2007). Although the small participant sample size impeded generalization, it allowed for
rich participant perspectives of their experiences during the leadership succession management
process (Gall et al., 2007; Merriam, 2009). The participants selected included: a principal, an
assistant principal, and six teachers. The principal fulfilled specific criteria: an administrator with
three or more years of experience who was implementing succession management strategies to
develop teacher leadership capacity. In addition to the principal, using snowball sampling, other
participants were chosen to inform the study: an assistant principal who was mentored by the
principal to fulfill a leadership role and six teachers who were identified as being tapped for
leadership capacity development.
Overview of the Organization
The following overview is related to the site selected for the study. A single school site
was selected to develop a deeper understanding of principal leadership succession practices. As
mentioned, the site for this study focused on one K-8
th
school located within the Southern
California School District practicing promising principal leadership succession management
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strategies. In addition to meeting the established criteria, during the 2014-2015 school year, the
school employed 29 teachers and maintained an enrollment of 624 students. The students’
ethnicities were Hispanic (50%), Asian (30%), as well as other ethnic backgrounds (20%).
Overview of the Principal
As mentioned, the principal was purposefully selected for this study due to her ability to
cultivate principal leaders and develop a promising principal succession management plan. The
desire to help others ascend into leadership began at an early age. By the time she was in high
school, she became a bilingual instructional aide in a neighboring school. At the school, the
current administrator inspired her to pursue a career in education. She later obtained an
undergraduate degree, taught for six years, and pursued an administrative credential. The
principal then obtained several district-level coordinator positions before accepting a role as a
Vice Principal. As a Vice Principal, she worked with an administrator whose irate leadership
style influenced her to evolve as a transformational leader. Since then, she has served 10 years as
the principal at Averson Academy. A more detailed overview of the principal will be presented
in Chapter 4.
Theoretical Framework
To study principal leadership succession management practices, it is imperative to ground
the research in theory. Due to the reform component of leadership succession management,
transformational leadership theory was an appropriate theoretical framework to utilize. As
explained in Chapter 1, transformational leadership theory is defined as the process by which a
leader engages with others to create a connection that raises the level of motivation in the
follower (Northouse, 2013). The Kouzes and Posner (1987, 2012) transformational leadership
paradigm was aligned with the goals of the study and employed to inform an understanding of
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how principals embark on generating teacher leadership capacity. The paradigm prescribes
specific behaviors for effective leadership and focuses on action-oriented practices that allow
leaders to achieve change and develop succession management practices in schools (Kouzes &
Posner, 1987, 2012; Northouse, 2013). Further, Kouzes and Posner’s model (1987, 2012)
deviates from conventional leadership paradigms focused on personality and instead emphasizes
practice. When applied to principal leadership succession management, the transformational
leadership theoretical lens allows the researcher to investigate how principals enact the
fundamental transformational leadership practices to: (a) model the way; (b) inspire a shared
vision; and (c) enable others to act.
Conceptual Framework
Developing proactive principal leadership succession management practices necessitates
examining facets such as the history of the principal’s role, leadership theories, as well as
strategies used that facilitate and inhibit leadership. As discussed in Chapter 2, historically, the
principal’s role has evolved and become increasingly complex – making the demand for
principal leadership succession management practices critical (Crow, 2006; Fink, 2010). Current
leadership succession management practices at the district and school-level have resulted in
challenges that maintain a replacement-oriented culture (Fink, 2010; Hargreaves & Goodson,
2003). Despite these challenges, transformational leadership practices can support building
leadership capacity. The contemporary era of accountability demands proactive transformational
leadership practices that enable principals to inspire teachers to act, communicate a shared
vision, and model practices to build teacher leadership capacity (Crow, 2006; Northouse, 2013).
The act of building leadership capacity entails implementing practices that are perceived
differently by potential teacher leaders. These practices can then facilitate or inhibit the
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development and implementation of these leadership building strategies designed to build a
reservoir of high-quality leaders (Fink, 2010). The following conceptual framework, designed by
the thematic group, reflected these key ideas and is based on emerging themes in the principal
leadership succession management literature review.

Data Collection
Initial data collection entailed a specific process for gaining entry to the site and
obtaining consent from the participants. In general, gaining entry to participants and sites
commences with attaining the confidence and permission of those who can approve the activity
(Merriam, 2009). Access is more readily facilitated with an advocate working on the researcher’s
behalf (Merriam, 2009). For this study, the researcher initially obtained the principal’s contact
information from a colleague who introduced the researcher to the participant via email.
Following the introduction, the researcher explained the purpose of the study, reassured
Figure 1. Conceptual
Framework Ed. D.
Thematic Group,
2015
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anonymity of information collected, and requested consent to conduct interviews and
observations. After obtaining consent, gaining access to the observation site encompassed
requesting the principal’s permission, the primary gatekeeper, to visit the school. Using snowball
sampling, the researcher then identified teacher leaders at the school and invited them to
participate. Each potential participant was emailed a recruiting letter (see Appendix A) outlining
the criteria for participation and requesting their response.
Following consent, the study was conducted through a series of semi-structured
interviews, observations, and document analysis. The interview and observation protocols
followed a semi-structured format to account for specificity, flexibility, and the researcher’s
novice status (Merriam, 2009). Additionally, as mentioned, document analysis entailed analyzing
job descriptions, résumés, school policies, the SARC, and meeting minutes. Along with criteria
for document analysis, interview protocols were established in conjunction with other
researchers in the thematic dissertation group (see Appendices B and C). Questions in the
interview protocols correlated directly to the study’s research questions (see Appendix E).
However, prior to conducting the interviews, the interview protocols were piloted (Gall et al.,
2007). The interview protocols were piloted to ensure the interviewees would be responsive to
the questions and were used to schedule the amount of time required for each interview. A
minimum of one approximately 30 to 45-minute interview was conducted with each participant.
The first interview occurred in-person at the participants’ workplace and as warranted,
subsequent interviews transpired via telephone. The following table illustrates each participant’s
role, the number of years at the school and in their role, as well as the time commitment required
for each interview.

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Table 1
Participants in the Study
Role Years at School Years in Leadership
Role
Length of Interview
Principal

10 10 43 minutes
Assistant Principal

2 Less than 1 year 29 minutes
Teacher Leader A

7 1 57 minutes
Teacher Leader B 5 1 40 minutes
Teacher Leader C 15 3 41 minutes
Teacher Leader D 6 1 42 minutes
Teacher Leader E 7 1 39 minutes
Teacher Leader F 6 2 38 minutes

Instrumentation
Instrumentation for this study included semi-structured interviews with participants, on-
site workplace observations, and document analysis. The semi-structured interviews were used to
discover information that is difficult to directly observe and to help uncover another person’s
perspective (Patton, 2002). More specifically, the semi-structured interview guide is flexible in
that the exact wording and sequence of questions are undetermined prior to the interview
(Merriam, 2009). The semi-structured format allows the researcher to respond to participants’
developing perspectives and add new ideas to the topics. The format also provides the
opportunity to build a conversation while allowing the novice researcher to reference the
questions to ensure all relevant topics are being covered (Merriam, 2009). The semi-structured
interview protocols (see Appendices B and C) provided a format for participant responses to
discuss a range of topics such as characteristics of leaders, leadership opportunities, and
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challenges in building teacher leadership capacity. Following the semi-structured questions,
follow-up questions were offered as probes to gain further insight into the participants’ thoughts
(Gall et al., 2007). All participant responses were digitally recorded and the data was transcribed
to ensure an accurate representation of the participants’ thoughts.
Similarly, the structure of the observation protocol consisted of employing a checklist of
elements to focus the experience (see Appendix D). The checklist included the physical setting,
participants in the scene, interactions, conversations, and subtle factors such as nonverbal
communication (Merriam, 2009). More specifically, the physical setting included observing the
setting of meeting locations and elements such as the seating arrangement of the participants.
Observing interactions entailed noting details such as the participants’ engagement, the tone of
conversations, and the length of interactions. Using the checklist to structure the observations
allowed the researcher to observe intently and center on the elements of the setting that would
answer the research questions (Merriam, 2009).
To enhance the credibility of the data, documents were collected. The documents
included job descriptions, résumés, school policies, the SARC, and meeting minutes. The job
descriptions and résumés allowed the researcher to juxtapose the job responsibilities with the
current leadership activities undertaken by the teachers and principals. Additionally, examining
the school policies provided context for leadership promotion regulations, while the SARC
allowed for evaluating the school’s demographic characteristics and mission statement. Lastly,
the meeting minutes further added to the investigation by providing additional information about
teachers’ and principals’ leadership interactions. The use of multiple methods of data collection
ensured triangulation and reduced error in the data analysis process (Patton, 2002). The
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following table illustrates how the research questions were used to determine the suitable sources
of instrumentation.
Table 2
Research Questions as Instrumentation
Research Questions Interviews Observation Document Analysis
1. In what ways do
principals work to
build the next
generation of leaders?

X X X
2. What are the
perceptions of
teachers regarding the
influence of those
practices?

X X
3.What are the factors
that both facilitate and
inhibit the
development and
implementation of
strategies designed to
build leadership
capacity?

X X X

Data Analysis
The data from each source was compiled and analyzed to answer the research questions.
In reviewing the interview transcripts, observation field notes, and documents, various levels of
coding emerged. The analysis process was predominately informed by Creswell’s (2014) six
steps for data analysis. To illustrate the analysis process, a pictorial version of Creswell’s (2014)
model, developed by a 2015 thematic dissertation group, is included below.
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As described in the model, the data was first collected from the interviews, observations,
and documents. Second, the researcher scanned the data to obtain a sense of the overall meaning,
identify initial observations, and emerging themes. Third, the data was coded into similarly
themed categories. Fourth, from the coded data, a description of participants’ experiences was
developed and themes were assessed for each interview and across interviews. Fifth, the
identified themes were organized into a descriptive narrative. Lastly, the researcher conducted a
thorough analysis of the data and derived meaning from the emergent themes.
Ethical Considerations
In addition to credibility and trustworthiness, ethics was a pivotal undercurrent of the
study. Along with adhering to the university procedures for ethical conduct in research
designated by the Institutional Review Board (IRB) and obtaining approval, the researcher
considered all elements of the “Ethical Issues Checklist” (Merriam, 2009; Patton, 2002).
Figure 2. Creswell’s (2014) Model
for Qualitative Data Analysis
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Beginning with the “Ethical Issues Checklist” the researcher reviewed the items on the checklist
and committed to ensuring each principle was adhered. The items on the checklist included
explaining the purpose of the inquiry and the methods to be used to the participant, assuring
confidentiality through pseudonyms, and obtaining informed consent. The participants were also
informed that participation was voluntary and they could withdraw from the study at any point
without penalty. Additionally, the researcher conducted an assessment to eliminate all
unnecessary risks to the participants, including refraining from disseminating the research
findings. Further, the researcher granted the participant access to the findings to ensure the
participants felt confident about the conclusions drawn. The researcher also kept all data in a
secure location and informed the participants that upon completion of the dissertation, the data
would be discarded.
Summary
This chapter provided an overview of the qualitative case study method, data collection,
and data analysis procedures used to implement the study. The upcoming chapter, Chapter 4, will
present the study’s findings in relation to the research questions. Chapter 4 will also explore the
meaning of the findings in relation to the purpose of the study.

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CHAPTER FOUR: RESULTS
The purpose of this study was to elucidate promising practices in schools to identify,
recruit, and mentor teachers to become the next generation of leaders. The study also aimed to
explore teachers’ perceptions of the leadership succession management practices. In addition, the
study was designed to investigate the practices that both facilitate as well as inhibit the
development and implementation of strategies devised to produce leadership capacity. Teacher
leaders and administrators at Averson Academy were asked to share their experiences with
principal leadership succession management practices. This chapter introduces details about the
study’s participants and presents the results of the inquiry by research question.
To discern how Averson Academy built teacher leadership capacity, three research
questions were defined to frame the study. A related participant interview protocol, observation
protocol, and document analysis were generated from 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?
Data were collected through interviews with participants and participant referrals,
observation of leadership team meetings, analysis of job descriptions, résumés, school policies,
the SARC, and meeting minutes. Triangulation of these multiple data sources increased the
validity of the study’s findings. After an overview of the participants, the study’s findings will be
presented by research questions.

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Participants
The principal was selected for this study via purposeful sampling. More specifically,
Averson Academy was chosen because the principal was practicing promising strategies for
succession management. Additionally, a sample size of eight was chosen so the participants
could be studied with greater depth. The sample size included one principal, four participants in
administrative positions, and three participants who were currently being mentored to become
principals. All participants agreed to take part in a series of in-person and telephone interviews as
well as observations. They also provided their résumés and job descriptions, which yielded
information about leadership traits and practices. The following section will present an overview
of the principal and school in further detail.
Overview of the Principal
The principal, Ms. Gutierrez, is a Hispanic woman who has served in education for 26
years, 10 of which she has served at Averson Academy as a principal. Ms. Gutierrez’s
enthusiasm for the education field was solidified at an early age and has since contributed to her
passion for mentoring others. In fact, at six years old, Ms. Gutierrez recalls pretending she was a
teacher and creating homework for her siblings. Her eagerness to teach persisted through middle
and high school. After finishing high school, Ms. Gutierrez became a bilingual instructional aide
at a neighboring low-income school.
As one of the first people in her family to attend college, she also credits her parents for
instilling a passion for education and a desire to help others. Ms. Gutierrez’s parents not only
encouraged her to finish school, but also championed her decision to become an administrator.
As such, after finishing her undergraduate work, she worked as an educator for the next six years
and while teaching, acquired an administrative credential.
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Following the completion of the administrative credential program, she pursued a job as
Program Specialist to pave the way into a principal position. She later served as the district’s
English Language Learner Dual Immersion Coordinator, and when a position became available,
accepted a role as a Vice Principal. As a novice Vice Principal, she recalls her first boss leading
her employees through a philosophy based on fear and failure. This philosophy was established
on a system that attempted to overwhelm her teachers and administrators to determine if they
could cope with the pressure. After three years, she left the school and used her experience with
a difficult leader to shape the nurturing ideology she now instills at Averson Academy, a K-8
th

public school. Since then, she has remained a principal at Averson Academy.
Overview of the Organization
Averson Academy is a K-8
th
grade public school located in southern California.
According to the School Accountability Report Card, during the 2014-2015 school year, Averson
Academy employed 29 fully credentialed teachers and maintained an enrollment of 624 students.
The students’ ethnicities were Hispanic (50%), Asian (30%), as well as other ethnic backgrounds
(20%). At the school, Ms. Gutierrez has encouraged six teachers and one Assistant Principal to
enter the principalship; therefore, supporting the principal succession pipeline. The next section
will reveal the study’s findings according to each research question.
Results of Research Question One: Principal’s Practices to Build Next Generation of
Leaders
The first research question for this study sought to identify the practices principals
employ to build the next generation of teacher leaders. After reviewing the data, three
overarching themes emerged as the ways principals work to build the next generation of leaders:
(a) principal’s personal mission; (b) establishing cultural norms; and (c) creating school
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structures and processes. In addition to these themes, the three fundamental practices
transformational leaders employ to develop others are interweaved in the study’s findings: model
the way, inspire a shared vision, and enable others to act (Kouzes & Posner, 1987, 2012;
Northouse, 2013).
Principal’s Personal Mission
According to Northouse (2013), people who exhibit transformational leadership have a
personal mission. Ms. Gutierrez noted that she leads based on an ideology focused on helping
others. She attributes this value system to her upbringing and expressed, “I have always had this
immigrant mentality. My dad came on a raft from Cuba. He escaped so I could have a better life.
My parents were always pushing me. I have a move forward kind of mentality.” The mentality
the principal adopts guides her desire to also help teachers improve and move forward. The
principal shared that identifying and building teacher leadership capacity is based on her
personal mission. She articulated:
I just see the potential in the teachers and want to help them move forward. Honestly, it’s
my favorite part of the job. I love mentoring people, creating leaders, modeling, and
helping them. Some of them don’t even know they have in them. Some of them don’t
even know that’s what they need to be.
Assistant Principal A added that helping teachers achieve their potential was critical to the
principal’s personal mission. Assistant Principal A said:
She’s always supported the teachers. She’s kind, compassionate, and committed to
helping them succeed. It’s her personal passion and just who she is as a person. She
makes time to talk to all of them – no matter what else she has going on.
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As Assistant Principal A communicated, Ms. Gutierrez’s focus on helping others is demonstrated
in the time she devotes to the teachers. For example, Teacher Leader B articulated:
No matter what she was doing, she would always take the time to talk to me and was very
supportive in that way. I knew that I could stop by her office for whatever I needed to
discuss. You know, sometimes it was about parents, the students, or feeling nervous
about leading a workshop.
Ms. Gutierrez’s personal mission for helping teachers become leaders was demonstrated
in the time she spent addressing teachers’ concerns. Her personal mission was also evident when
she reflected on her identity as a leader. Ms. Gutierrez shared the following:
All of my teachers got hired into leadership roles because I pushed them. I saw something
in them and knew they had to go for it. I put them in leadership teams and roles. In fact, I
have this quote by Barbara Walters on my wall that goes something to the effect of, “A
great woman doesn’t know she’s a great. A great woman creates other great women.”
The quote on Ms. Gutierrez’s wall is located behind her desk and is easily visible when visitors
stop by to speak to her. The prominence of the quote suggests the importance of her personal
leadership mission. The next section will explore specific strategies Ms. Gutierrez’s used to build
the next generation of leaders.
Mentoring through nurturing. In addition to having a personal mission that drove her
to build teachers’ leadership capacity, Ms. Gutierrez inspired teacher leaders through mentoring.
Ms. Gutierrez’s employs a nurturing mentoring style that encourages teacher leaders to take
risks. Ms. Gutierrez shared that her personal experiences with previous employers influenced her
current mentoring approach:
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Well, my first boss was pretty tough. I told her, “You were really, really hard on us,” and
she was like, “My job was to make or break you your first year. Because if you didn’t
fail, then I knew you could be an administrator,” and that was her technique. I didn’t like
that. We are very different. I more lead through nurturing, modeling, and encouragement.
Ms. Gutierrez’s experience with a “sink or swim” philosophy shaped her determination to
interact with the teacher leaders in a reassuring way that nourished their growth. All of the
teacher leaders discussed that Ms. Gutierrez inspired them to fulfill leadership roles, such as
becoming grade-level team leaders, through a caring approach. Teacher Leader A said:
She was very supportive and didn’t think about what a pain it would be for her to
eventually replace us. She said, “No, you need to do this. It’ll be good for you.” She
coached me through the interview process. I visited her multiple times and she helped me
and all the other people who were applying for leadership jobs. She’s very supportive in
that way.

Similarly, Teacher Leader B expressed that Ms. Gutierrez made opportunities available and
instilled her with confidence. Teacher Leader B noted, “She kept saying, ‘You can do it. You run
circles around people here.’ She was always boosting my confidence. She never doubted me at
all.” Relatedly, Assistant Principal A also described feeling supported by being included in tasks
to support his learning or when Ms. Gutierrez shared her decision-making process in emails or
when talking to parents:
She gave me a ton of support. She invited me to all kinds of meetings and would always
include me in her thought processes and decisions. She would forward me emails and
copy me on things. She would give me exposure and the weight of being a leader on
campus. I also learned how to massage situations and address things with parents, or what
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to say, and what not to say. She was also very open to dialogue and communication. She
would always have my back, but was also made sure I was learning to do things by
myself.
Ms. Gutierrez’s practice of mentoring through nurturing gave teachers the confidence to pursue
leadership opportunities. The next section will explore how Ms. Gutierrez worked to build the
next generation of leaders by establishing cultural norms.
Cultural Norms
Along with mentoring through nurturing, Ms. Gutierrez established cultural norms that
supported teachers’ growth. Ms. Gutierrez cultivated a school culture that encouraged teachers to
pursue leadership roles. The culture at Averson Academy was disaggregated into sub-themes
identified in the data: (a) an open-door policy culture and (b) a culture of social support. In the
section that follows, each of these sub-themes will be explored further.
Open-door policy culture. Transformational leaders facilitate relationships and enable
others to act by encouraging face-to-face interactions (Kouzes & Posner, 1987, 2012; Northouse,
2013). All participants in the study cited that Averson Academy’s open-door policy allowed
them to readily engage in informal conversations with Ms. Gutierrez that served to support their
leadership development. Throughout observations, Ms. Gutierrez’s door remained open and both
teachers and office staff freely visited the office to comment about the day-to-day operations of
the school or concerns.
Ms. Gutierrez described her deliberate choice to facilitate an open-door culture as
follows: “I always have had an open-door policy. If teachers do not understand something or
need to talk, I’m always here for them. My door is always open.” Teacher Leader A concurred
and suggested that Ms. Gutierrez’s open-door policy created a welcoming environment:
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The culture she creates at the site is one where anyone is welcome at any time to help out
or ask questions. Not just at staff meetings, but really, at any time throughout the year, all
of our concerns and input were welcomed.
Another teacher leader acknowledged that Ms. Gutierrez’s inclination to welcome teachers’ input
allowed her to feel comfortable reaching out for help when she was new at facilitating
professional development workshops. Teacher Leader B noted, “If I had a question about a
workshop or didn’t know how to handle a parent, I knew that I could stop by her office. She has
this ability to talk to you and just put you at ease.” The culture of an open-door policy allowed
teacher leaders to become actively involved in Averson Academy and helped their leadership
potential surface.
Culture of social support. Along with an open-door policy culture, social support
provided teachers with the motivation to pursue leadership paths. Kouzes and Posner (1987,
2012) discovered that when people feel a strong sense of affiliation to their colleagues, they feel
committed to the organization and perform at higher levels. At Averson Academy, Ms. Gutierrez
promoted a social support network by investing in time for informal outings outside of work,
such as happy hours. Ms. Gutierrez explained her philosophy was based on the motto, “Working
hard together and playing hard together.” This mentality and making time for social gatherings
contributed to creating a cohesive staff. Teacher Leader A described the school as “a culture of
going to work with your friends.” Teacher Leader B echoed Teacher Leader A’s sentiment by
saying:
Our staff is considered the party school, but we also perform really well. We go out
together and even take vacations together. She’s built this community that’s really hard to
build among teachers of all age ranges and all different levels of experience.
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Many teacher leaders valued the social support and were apt to participate in leadership activities
because they were able to do so with peers they enjoyed spending their time with. Teacher
Leader B noted, “Well, part of it is that we like each other and spend time together outside of
school.” This camaraderie was evident when Teacher Leader B and Teacher Leader A shared
coffee in Teacher Leader B’s classroom before school began to discuss leading an upcoming
workshop.
Furthermore, teachers indicated that Ms. Gutierrez advocated that teachers unwind after
significant events, such as testing. Teacher Leader C said, “We’d usually get together after state
testing or just a really stressful time and grab a drink after work.” By creating opportunities to
develop friendships, Ms. Gutierrez encouraged teacher leaders to act on leadership positions
because they enjoyed who the spent their time with and used the network to work on leadership
activities as well as share ideas.
School Structures and Processes
In addition to cultural norms facilitating teacher leadership development, Ms. Gutierrez
also designed school structures and processes that also contributed to teacher leaders’
advancement. At Averson Academy, Ms. Gutierrez created a distributed leadership structure and
encouraged processes that promoted collaboration. Distributed leadership emphasizes collective
capacity building by sharing leadership roles (Mangin, 2005). Although the norms of the
teaching profession favor autonomy and egalitarianism, Ms. Gutierrez empowered teachers to
participate in decision-making by creating formal and informal teacher leader roles. Teacher
leaders at Averson Academy fulfilled formal roles as International Baccalaureate (IB)
Coordinators, Leadership Committee members, or Yearbook Managers. The teachers also served
informal roles as parent-participation advocates or as professional development presenters. For
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example, Teacher Leader C shared the following experience about developing and managing a
new yearbook course at Averson Academy:
I created this class completely on my own and set the bar high. There was no manual and
yeah, the principal supported me with resources, but I run the class. I do all the
bookkeeping. I sign the contracts with companies. I do everything. If I make changes, I
make sure the principal is aware of it. Basically, I’m the decision maker.
Ms. Gutierrez also gave teacher leaders the autonomy to make decisions. As the Yearbook
Course Lead, Teacher Leader C collaborated with other teachers, students, and companies to
facilitate contracts. Similarly, Assistant Principal A iterated that Ms. Gutierrez allowed teachers
to be involved in the decision-making process. Assistant Principal A reported:
Everything is team-based decision-making. She makes very few decisions without the
input of her staff, especially the leadership team. A lot of times, the leadership team is
something nice to have on paper. Not this leadership team. This leadership team does
everything and it makes a big difference in how leadership runs at the school.
Another teacher leader highlighted Ms. Gutierrez’s ability to distribute the leadership at Averson
Academy, remarking that, “she gives us the space to make decisions.” This distributed leadership
structure is a conscientious component of Ms. Gutierrez’s philosophy. Ms. Gutierrez shared:
Sometimes I laugh, because I’m like, “Do I make any decisions around here?” It’s a joke,
but it’s a joke I created because I believe that’s how it needs to be. If you want to develop
students and teachers who are open-minded and collaborative and willing to help others,
then you have to be that way too.
Ms. Gutierrez’s distributed leadership structure is also validated in documents she wrote, such as
the Yearbook Course Lead description. The Yearbook Course Lead job description explains that
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the Course Lead should be able to oversee all production activities, manage funds, and make
final layout decisions. By integrating distributed leadership practices into job descriptions and
her expectations, Ms. Gutierrez assured that Averson Academy’s structure provided teachers
with the opportunity to learn to make decisions and develop their leadership capacity.
Besides employing a distributed leadership structure to encourage teacher leaders’
advancement, Ms. Gutierrez accelerated teachers’ leadership capacity by developing processes to
allow for collaboration. All of the teacher leaders noted that Ms. Gutierrez encouraged their
leadership growth and created time for collaborative inquiry assignments. These inquiry-based
projects allowed teachers to explore school policies and curriculum. Teacher Leader A explained
that being involved in such projects helped her improve because she was able to evaluate policies
that impacted the entire school. These projects also helped teachers understand how the school
operated outside from being a classroom teacher. Teacher Leader A expressed:
I was in a self-study group working on assessments and looking at our assessment policy
and reflecting on if we improved since the last visit and what improvements we still need
to make. I also was on the math pilot committee to select the new math curriculum and
gave input on things.
Along the same vein, Teacher Leader E also shared, “You know it’s really her. She builds a
positive culture that’s built upon collaboration. I’ve seen the growth of the school through that
and the teachers become leaders as well. She really has that growth mindset.” By creating a
distributive leadership structure and processes to promote collaboration, Ms. Gutierrez helped
teachers practice develop their leadership skills and understand how an entire school operates.

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Discussion of Research Question One
Based on the study’s findings, themes that emerged in the ways principals work to build
the next generation of teacher leaders are: (a) principal’s personal mission; (b) establishing
cultural norms; and (c) creating school structures and processes. These themes are significant
because the findings demonstrate that despite the historical shift in the principal’s role leading to
increased job responsibilities, transformational leaders can enact practices that empower teacher
leadership to emerge (Copland, 2001). Transformational leaders, like Ms. Gutierrez, contribute
to the principal candidate reservoir by drawing on a personal mission that leads to mentoring
teachers and committing to their leadership development.
Besides a developed personal mission, the data revealed that the culture transformational
leaders create allows for leadership to emerge. At Averson Academy, Ms. Gutierrez consciously
created an open-door policy culture and a social support network. These positive relationships
highlight the importance of a principal’s ability to facilitate relationships that provide the
motivation to take on leadership tasks in a demanding educational climate. As such, the critical
nature of culture emerges as a prominent theme in developing promising principal leadership
succession management practices.
Along with culture being a dominant factor of promising principal leadership succession
management practices, Ms. Gutierrez also created a distributed leadership structure and
encouraged processes that promoted collaboration. These structures empowered teachers to
partake in the decision-making process and challenge the status quo (Mangin, 2005). By serving
roles as Leadership Team members and IB Coordinators, teachers’ dormant leadership potential
flourished. Additionally, by providing the time and space for collaboration, teachers were able to
engage in productive dialogue that allowed them to share their knowledge, practice critical
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leadership skills, and understand how schools operate. The next section will discuss teachers’
perceptions of these leadership practices.
Results of Research Question Two: Teachers’ Perceptions of Leadership Practices
The second research question explored teacher leaders’ perceptions of the influence of
the principal’s practices in building leadership capacity. As Boerema (2011) found, embarking
on a leadership path and fulfilling a new position requires an intricate set of knowledge and
skills, which can be a stressful experience. At Averson Academy, in navigating the shift from
teacher to leader, two themes emerged in teachers’ perceptions: (a) relationships and (b)
mentoring.
Relationships
At Averson Academy, Ms. Gutierrez enabled teachers to act on leadership roles by
establishing positive relationships that the teacher leaders perceived as invaluable. These positive
relationships helped teachers feel encouraged and supported their sense of self-efficacy in
reaching leadership goals.
Support. At Averson Academy, teacher leaders expressed that they perceived the
principal’s support to be critical to their leadership growth. All teacher leaders articulated
uncertainty in their ability to fulfill the role and felt that the principal’s guidance helped them
build their competency. According to one teacher, Ms. Gutierrez’s encouragement helped her
take the first step toward her leadership development. This support eventually provided her with
the motivation to continue in a leadership role. Teacher Leader E said:
When I finished an interim position as an ELD instructional coach, she encouraged me to
go for admin, but it was always kind of on the back burner. She kept telling me, “Go.
Move. You need to go for it. You’re ready. You can do it.” Slowly, she started giving me
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leadership roles at the school and let me do it my way. Eventually, I became the admin
designee. Then, I was feeling like I want to do something bigger, on a bigger scale,
seeing the bigger picture, and make an impact that way.
Through Ms. Gutierrez’s support, teachers perceived that they were valued as potential leaders
and this facilitated their growth. One teacher shared that because she was entrusted to run a
workshop, she felt encouraged to continue to pursue leadership tasks. For example, Teacher
Leader B shared the following experience:
So, the principal asked me to give a training on how to teach kids about how to
appropriately do research for projects. She let me do it how I wanted and I ended up
creating a full day of professional development for two schools in our district.
The perception of being supported and charged with important leadership tasks also resonated
with Teacher Leader C. Teacher Leader C described having the autonomy to work with external
companies and lead other teachers as part of the yearbook and while she felt intimidated, she was
also confident that the principal would support her. Teacher Leader C said, “ She will pretty
much do anything for you to be successful.”
Several teacher leaders also noted that they specifically benefited from encouraging,
informal, and educative conversations with the principal. For example, Teacher Leader D
reflected on an experience with Ms. Gutierrez and said, “Well, these conversations kinda just
happened anywhere. One time I was eating lunch and she nudged on the shoulder and asked me
when I was going to get my credential.” The conversation then led to recommendations for
schools to help Teacher Leader D pursue an administrative role.

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Mentoring
Along with the teachers perceiving that positive relationships with the principal
encouraged their leadership development, the teachers also benefited from Ms. Gutierrez’s
mentoring practice. The teacher leaders all agreed that Ms. Gutierrez willingly set aside time to
provide informal mentoring. Teacher Leader A said, “She was always very supportive and
always had our backs. I visited her multiple times to talk about things. When I was ready, she
coached me through the interview process and talked to me.” Ms. Gutierrez provided mentoring
as teachers embarked on informal leadership roles and when they were prepared to take on
formal leadership positions. Teacher leaders reported finding the influence of informal mentoring
to be critical to their growth, particularly when defying the egalitarian norms in the teaching
profession. For example, Teacher Leader B said:
I remember thinking and I kept saying, “No. How can I go in and present in front of
teachers that have been teaching for 30 years and I’m literally one of the lowest ones on
the totem pole in the whole district?” She just had so much confidence in me and helped
me out. She’d always say, “You come into my office. I don’t care if I’m on the phone. I
don’t care if I’m eating lunch or just text me at night. It doesn’t matter.”
Teacher leaders expressed a resounding appreciation for Ms. Gutierrez’s willingness to mentor
them and provide informal assistance when they needed it, such as encouraging them to apply for
administrative positions and providing feedback before job interviews. For instance, Teacher
Leader E shared:
I remember when I was ready to apply for this admin position. She was there to support
me through that process. She helped prepare me for the interview and coached me
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through lots of topics, like discipline or whatever I needed. Even now that I’m here, I can
call her for help.
Ms. Gutierrez’s informal mentoring influenced teacher leaders to move from classroom teacher
to leader. Furthermore, by remaining accessible and providing teacher leaders with mentorship
during significant leadership milestones, such as interviewing, teacher leaders perceived that the
principal enabled them to act by helping them persist through leadership challenges.
Discussion of Research Question Two
Based on the study’s findings, teacher leaders’ perceptions of the influence of the
principal’s practices in building leadership capacity were positive. Teacher leaders perceived that
supportive relationships with the principal and mentoring were critical to their leadership
development. The teachers expressed that their relationships with Ms. Gutierrez fostered their
confidence in tackling a leadership role and encouraged them to persist through challenges.
These findings support Silver et al.’s (2009) study on the benefits of access to support for
administrators transitioning from classroom teacher to principal.
Additionally, teachers perceived benefits in the principal’s informal mentoring practices
that helped them take risks, overcome feelings of self-doubt, and encouraged them to develop
leadership skills. These findings also suggest the critical role informal mentoring plays in
defying teaching’s traditional egalitarian culture. As Donaldson et al. (2008) explain, new
accountability demands have led to teachers being appointed leadership roles; however, teachers,
like Teacher Leader B, who accept differentiated leadership roles are usually inexperienced and
young. At Averson Academy, teacher leaders expressed discomfort in threatening norms of
egalitarianism; nevertheless, they perceived that they were able to emerge as leaders through a
mentoring relationship with Ms. Gutierrez that built their confidence and emphasized their
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strengths, which eventually led them to applying and obtaining administrative positions. As such,
these mentoring opportunities serve to fill the principal succession pipeline.
Results of Research Question Three: Factors that Facilitate and Inhibit the
Development and Implementation of Strategies Designed to Build Leadership Capacity
The final research question aimed to identify the factors that both facilitated and inhibited
the development and implementation of the strategies designed to build leadership capacity. At
Averson Academy, two themes emerged that facilitated teacher leadership: (a) school systems
and structures and (b) district leaders’ interactions. Additionally, three themes emerged that
inhibited leadership capacity building: (a) lack of time; (b) colleague conflict; and (c) district
systems and structures.
Facilitating Factors
Conditions that enhanced the development of teacher leaders at Averson Academy
included: (a) school systems and structures and (b) district leaders’ interactions.
School systems and structures. Averson Academy encouraged teacher leadership by
creating school systems that allowed for collaboration and the opportunity to practice leadership
skills. Averson Academy also boasted teacher community structures that promoted
professionalism and modeled the way for teachers. Ms. Gutierrez assured the school system was
designed to allow teachers to participate in leadership team meetings and faculty meetings. Ms.
Gutierrez created the time and space to support collaboration by meticulously structuring the
school day. Scheduling the time for collaboration supported building teachers leadership capacity
because they were given the opportunity to complete leadership tasks in groups and receive
feedback on their ideas. Ms. Gutierrez explained her sentiments on scheduling as follows:
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We do a lot of collaboration and I have the teachers teach each other. It’s a pain for
Hilda, our Office Manager, but it’s super important that the teachers get their time
together. We have staff meetings every Tuesday and it’s dedicated to something, usually
some kind of professional development. Then, on Wednesdays we have our leadership
meetings. Besides that, teachers have two planning periods a week. They get one, which
is just their contracted planning time, and they get one for IB, International
Baccalaureate. We have a lot of time to be together, talk, and collaborate.
The commitment to scheduling was witnessed when Hilda and Ms. Gutierrez talked through
rearranging the bell schedule for teacher meetings. Hilda sat in her office surrounded by post-its
in an attempt to develop a unified schedule. When Hilda sighed heavily, Ms. Gutierrez shared,
“It’s a lot of work to make it all fit.” Their determination to ensure teachers were able to
collaborate and work in their leadership teams was recognized by teacher leaders who expressed
they always had ample time to participate in interactions that have contributed to their growth.
For instance, Teacher Leader F noted, “Right now we have some IB units that need to be
completed for the first time. She’s given us extra time to work on them and hired a sub.”
Fulfilling roles in their leadership teams also facilitated leadership capacity building
because Ms. Gutierrez was able to evaluate teachers’ skills and determine their potential to
become principals. Evaluating teachers’ skills occurred in a variety of forms, such as observing
teachers’ interactions while collaborating with colleagues and considering their decision-making
process. Given that principals are required to address the needs of several stakeholders with
differing perspectives, assessing teachers’ ability to achieve consensus and make decisions that
address a variety of needs is critical. The importance of scheduling time to collaborate was
conveyed when Ms. Gutierrez hired substitutes. Teacher Leader A noted that time to work on
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leadership skills with other teachers was the principal’s priority. Teacher Leader A stated the
following:
Well, even during the recession, she still made sure we got our planning. Sometimes the
way our school did it was we would buddy up with a teacher for PE, so then I would take
two classes for PE while my partner teacher got planning. Then, she would take our
classes another day, so I got my planning. Then, because we’re an IB school we get to
have one hour of collaborative planning time. The principal hired subs that would rove
from grade level to grade level to relieve the teachers. Then, we would all meet together
and collaborate on our units.
Schedules were also rearranged and substitutes were hired to give teachers the opportunity to be
the administrative designee for the day. Teacher Leader E noted that when Ms. Gutierrez was off
campus, she was allowed to practice being a principal and recounted dealing with student
discipline issues and addressing parent concerns. Affording teachers the time to work on
leadership skills and structuring time for teachers to play informal and formal leadership roles
contributed to building their leadership capacity.
In addition to enabling teachers to act by developing school systems that provided time to
collaborate and practice leadership skills, the school’s teacher communities promoted
professionalism that modeled the way for teacher leaders. Team meeting essential agreements
maintained that teachers adhered to a conduct of professionalism. This conduct entailed practices
such as demonstrating respect for mutual learning, staying on topic and keeping to the agenda,
arriving promptly, and being prepared to focus. Along with the meeting essential agreements,
leadership meetings were conducted with protocols for roles. Each team member served a
different role each month that included: facilitator, treat provider, record-keeper, and time-
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keeper. Ms. Gutierrez also expected the team would provide her with agenda items to be
discussed one week prior to the meeting. Furthermore, representatives from every grade level,
classified staff, coordinators, and the administrators were all expected to attend the meetings.
Both leadership and IB meetings were facilitated with the same expectation of professionalism
and staff collaboration. Teacher Leader A said:
We were all expected to work in groups and people worked on different things. Some
worked on our Special Education Policy and others worked on our EL study policy. On
each team, we had to have a mixture of grade levels that were represented. We tried to
spread ourselves out, so every group had a diverse range of voices for feedback and to
listen to each other, even if we didn’t agree on something.
Setting norms for professionalism, collaboration, and negotiating different opinions served to
build teachers’ leadership capacity by modeling how to establish processes that help people in
schools learn to work together. Consistent with the research, school systems and structures that
allow for leadership to emerge tend to flourish in a community of professionalism (Mullen &
Jones, 2008).
District leaders’ interactions. Along with school systems and structures that promote
teacher leadership capacity building, interactions with district leaders also served to advance
teachers’ leadership paths and often led to promotions. At Averson Academy, Ms. Gutierrez
encouraged district leaders to interact with teachers at committee meetings. The opportunity to
interact with district leaders was a facilitating factor iterated by several teacher leaders because it
allowed them to network and increased their visibility. Increased visibility served to build
leadership capacity because when there were job openings, teacher leaders were at the top of the
candidate pool. For instance, Teacher Leader A noted the following:
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Last year, I participated in a couple of different committees where I got to work with
other program specialists from the district. I worked on the K-1 assessment committee
because we needed to revamp our kinder and first grade assessments to align more with
the Common Core. I got to work with Cindy and got to see things from a different side. I
liked being able to give some input and work on things at the district level. So, when
Cindy moved up and her position was open, I applied.
As a result of interacting with district leaders, Teacher Leader A was promoted and obtained a
leadership position in the district. Similarly, Teacher Leader D also highlighted opportunities to
engage with district leaders as critical to her promotion. Teacher Leader D explained, “I was also
involved in the District Leadership Committee and I met with district leaders, program
specialists, and district personnel. We looked at the data and different ways to support our
instruction.” As a result of this experience, Teacher Leader D was promoted to Assistant
Principal in a neighboring school.
In addition to these interactions, Teacher Leader B also noted that the district office has
provided support through feedback and education. Teacher Leader B described the supports as
follows:
Another thing is that let’s say I applied for a job and didn’t get it, well, within our district
when you get that call that you didn’t get it, what they do is great. So, the new HR
assistant superintendent is really good and they help mentor you with things that could
help you get to that next point in your career. It’s not mentoring like what you can do
better on interview next time, but mentoring like ways you can get involved in other
projects to help you build on skills.
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These district-level support systems have served to develop and promote teacher leaders within
the Averson Academy school district into administrative roles. These practices are also in
congruence with Zepeda et al.’s (2012) study that found that smaller districts often identified
opportunities for leadership growth by developing leaders within their own district.
In addition to advancing teachers’ interaction with district leaders, Ms. Gutierrez
advocated for teachers she felt were ready to fulfill leadership roles and because of the district’s
small size, Ms. Gutierrez was able to directly communicate with superintendents and human
resources personnel. Several teacher leaders described having obtained a position as an assistant
principal or principal through Ms. Gutierrez’s explicit endorsement. For example, Teacher
Leader A believed that Ms. Gutierrez’s endorsement helped her attain an administrative position.
Teacher Leader A said:
The principal is just so supportive. I know when positions open at the district, she puts
names in of people. She put in my name and another teacher who left Averson Academy
to take on a new role. So, that probably helped us – showing the district that we had our
principal’s support or endorsement.
Similarly, Teacher Leader B shared an analogous experience and described that although the
superintendent knew little about her leadership capabilities, Ms. Gutierrez’s endorsement opened
up doors for her advancement. Teacher Leader B explained:
You know the superintendent kept insisting that I take on this role. At times, I was
thinking, “How does she know I’ll be good at this?” I mean, she’s been in my classroom
a couple of times, but, you know, district people come in and they’re this mob and then
they slowly walk out. They’re there like five or ten minutes. Well, I know my principal
communicated things that helped give the superintendent confidence in me. She really
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values their opinion. She really values her principals, even though she might not get
along with all of them or they have very different styles. She definitely respects their
opinion. I wouldn’t have had these opportunities otherwise.
As evidenced by the teachers’ statements, district interactions at Averson Academy, the
principal’s explicit endorsement as well as the district’s small size allowed teachers to receive
explicit feedback on their candidacy and gave the principal a direct line of communication that
helped teachers obtain leadership positions.
Inhibiting Factors
Factors also existed that challenged the capacity to build teacher leaders. The data
collected revealed three areas that served to inhibit leadership development: (a) lack of time; (b)
colleague conflict; and (c) district systems and structures.
Lack of time. Teacher leaders at Averson Academy expressed feeling stressed when
embarking on a leadership role due to lack of time. They often felt overburdened due to playing
dual roles and the shifting nature of their relationships. At Averson Academy, volunteering for
leadership roles while remaining responsible for student learning in the classroom contributed to
time constraints that increased teachers’ stress. Teacher Leader F described the constraints as
follows:
Time constraints can definitely be such a huge obstacle. We have a lot of events after
school that I volunteer to do. There are times when I had to leave my youngest one with
the babysitter because of all the work I was doing. One year, I was doing like an extra 20-
hours of a week of duties and I felt like I wasn’t enjoying my time as a parent.
Teacher leaders revealed feeling pressured as a result of increased workloads and lack of time.
Time constraints were also observed during the interview when Teacher Leader F checked her
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phone several times to confirm childcare arrangements and respond to an urgent work request.
Similarly, Teacher Leader C expressed feeling pressure due to serving dual roles as a teacher and
leader. She communicated:
Well, in March, the yearbook is due and of course it’s also testing time as a teacher. Plus,
at the same time, I’m on the leadership team and I also organize the district trip to the
East Coast. I run the East Coast trip for all of the 8
th
grade students. So, yeah I’m
responsible for a lot. I think it all just ebbs and flows. It’s wise to see it coming. There’s
no way around it. You know when you hit those mountains and you just think, “Okay,
here we go. Let’s do it.”
The time required to pursue a leadership path was also a factor Teacher Leader D expressed. In
her case, as a working mother, time was required to learn new duties and manage childcare.
Teacher Leader D said:
You know, one of the obstacles I have faced is just having the time to commit myself to
leadership. What I mean by that is, I have a family to take care of and that can sometimes
be an obstacle. I have to figure out what time the kids are being picked up and who’s
taking them to what, and I worry about that. This is all on top of learning something new,
teaching my students, and then just needing to take the time to learn all these new things.
Like Teacher Leader D, committing to volunteer leadership roles resulted in added stress for
Teacher Leader B. Teacher Leader B also shared struggling to manage duties as a single parent
and feeling pulled between wanting to be an effective teacher and leader. Teacher Leader B said:
I did a lot of work at home as well. It does take a toll on your personal life because you
have to spend a lot of time on it. Obviously, since I have a little boy and I’m a single
parent, it was hard. At the same time though, being able to take things home made it
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somewhat easier. I could do it on the computer. Yeah, it does take a toll on your
classroom too because you’re being pulled from so many things out of the classroom
physically, but also mentally. That’s why I wanted to transition to being out of the
classroom full-time, because I was very passionate about what I was doing, but my
students weren’t getting 100%. I needed to do one or the other, so nobody got gypped
from it.
As found in Mayrowetz’s (2008) study, increased stress from embarking on a leadership path
often leads to fulfilling dual roles that can act as an inhibitor to funneling teachers into the
principalship.
Colleague conflict. Another inhibitor that emerged from the data was colleague conflict.
Donaldson et al. (2008) discovered that designating formal leadership roles deviated from the
egalitarian cultural norm of the teaching profession and provoked conflict among teachers. At
Averson Academy, a culture of support predominately mitigated conflict; however, teachers
nevertheless expressed feeling uncomfortable with their colleagues’ reactions to their new
leadership roles. Teacher Leader A described wrestling with being perceived as an outsider by
her colleagues. Teacher Leader A coped by remaining empathetic. Teacher Leader A said:
You know, what threw me was that they saw me as no longer being one of them. I was no
longer one of them, a teacher. I was a district person. People sometimes see you as “one
of them” and that you’re on the other side now. I really have had to earn their trust and
respect and let them know I’m there to help them. I mean, some people do have valid
complaints, concerns, or things to say, but they don’t always say them in the nicest way. I
try not to take it personally because I know being a teacher is stressful. I remember how I
was when I was in the classroom. I always thought, “Oh, those people sitting in their
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offices. It doesn’t matter to them. I’m the one here with the kids.” So yeah, I try not to
take it personally if someone’s being rude or says things with a tone, because I know that
they have the hardest job. I just try to do whatever I can to help and listen.
The notion of no longer being part of the teacher inner circle was also expressed by Teacher
Leader B. Teacher Leader B experienced resistance from her colleagues and described an “us
versus them” mentality, with teachers being part of the inner circle and teacher leaders
representing a distant “other.” Teacher Leader B shared the following response:
We wanted to get into the district to bring the teacher’s perspective. People kept saying,
“Now you’re the district. You’re them.” We’ve also gotten some typical catty stuff like,
“You want better opportunities” and “You think you’re better.” People can view me that
way, but I’ll never myself as the district. I’m here to help and represent the teachers.
In congruence with Donaldson et al.’s (2008) findings, colleague resistance acted as a potential
inhibitor to teachers pursuing leadership positions.
District systems and structures. Along with colleague resistance, district systems and
structures both supported and constrained teacher leadership development. Specifically, the
district’s small size often meant fewer leadership vacancies and that formal mentoring programs
were eschewed for informal mentoring relationships. As a result, feeling isolated and wanting a
designated mentor emerged as a common sentiment among teacher leaders. Teacher Leader B
said, “I’m not sure how to explain it, but it’s just kind of a lonely process. It’s not like when you
become a teacher and you go through a credentialing program. It’s just different.” Similarly,
Assistant Principal A shared his struggles by saying, “Sometimes, it’s hard to know that you are
choosing the right thing. When you don’t have buy-in from people and you to make a decision
by yourself, it can be very isolating and very unsettling.” Although Assistant Principal A and the
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teacher leaders expressed school norms that encouraged collegiality the majority of the time,
they felt lonely due to a lack of district-wide leadership academies or having a cohesive support
group of colleagues also pursuing a leadership role.
The participants noted that the district assigned mentor principals in the past, but
currently lacked a mentoring program or leadership academy to support them as first year
administrators. For example, Ms. Gutierrez shared:
One of the hard things is that that there is no leadership program that is supported by the
district. The district is thinking about starting a principal academy again, though. When I
first started here as a principal, my first year, they gave me a mentor principal. I got a
retired principal who really helped me a lot. Right now, it’s trying to talk to each other
and collaborate.
As Ms. Gutierrez expressed, leadership programs were unavailable in Averson Academy’s small
school district. The teacher leaders who became novice administrators expressed their distress in
the lack of a formal leadership or mentoring program to help determine their professional
direction. For instance, Teacher Leader E said:
Well, this whole transition has been such a culture shock to me. One of the biggest
obstacles is learning about the laws and by-laws, and of all of those pieces. There’s so
much in regards to involving yourself with activities, athletics, and so forth. Yeah, and
there’s all the acronyms. What does this stand for, what does this mean, and what funding
does it come out of? I mean they try to be supportive and I can call them, but I don’t have
a formal mentor.
Like Teacher Leader E, Teacher Leader D shared the struggles she experienced as a new
assistant principal and her desire for formal support. Managing testing, curriculum, and teachers’
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needs are a few factors that make-up a long list of new duties novice principals are responsible
for handling. Teacher Leader D explained that understanding new programs and managing
deadlines was challenging and she often wanted a formal mentor to help her through the learning
curve. As Teacher Leader D articulated, although teacher leaders transitioning into novice
administrator positions expressed being able to call their Averson Academy principal and ask for
advice, they were frustrated by lack of a formal mentorship program and it acted as an inhibitor
to building leadership capacity.
Discussion of Research Question Three
Based on the study’s findings, two themes emerged that facilitated teacher leadership: (a)
school systems and structures and (b) district leaders’ interactions. Additionally, three themes
emanated that inhibited teacher leadership capacity building: (a) lack of time; (b) colleague
conflict; and (c) district systems and structures. These themes are significant because they
suggest factors that should be both integrated and mitigated to encourage teacher leaders’ growth
and establish promising principal succession management practices.
As Mullen and Jones (2008) found, school systems and structures focused on time and
space for collaboration allow teachers to emerge as leaders. At Averson Academy, school
structures supported teachers’ leadership development by providing them the opportunity to
complete leadership tasks in groups, learn how to negotiate differing perspectives, and serve
informal and formal leadership roles. Furthermore, Ms. Gutierrez established norms for team
members’ roles that communicated a climate of professionalism and modeled the way for future
principal leaders. Scheduling time to practice leadership skills and advocating a climate of
professionalism is in congruence with Northouse’s (2013) description of transformational leaders
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who employ practices that help their constituents accomplish more than what is expected of
them.
Along with scheduling time for collaboration, a novel facilitating factor that also emerged
in the data was promoting teachers’ leadership capacity through interaction with district leaders.
As Zepeda et al. (2012) discovered, smaller districts such as Averson Academy’s, often develop
leaders from within using informal approaches. In doing so, informal interactions with district
leaders served to increase teachers’ visibility. Similar to Lortie’s (2009) research, Ms.
Gutierrez’s endorsement of candidates and direct communication with the superintendent
contributed to teacher leaders’ promotions into leadership roles.
Conversely, factors that inhibited the development and implementation of strategies
designed to build teacher leadership capacity entailed: (a) lack of time; (b) colleague conflict;
and (c) district systems and structures. Consistent with Mayrowetz’s (2008) findings, the stress
of serving dual roles as a teacher and leader led to feelings of pressure to succeed both in the
classroom and in their new positions. Along with lack of time, the size of the district meant
fewer leadership openings and favoring informal mentoring over a designated formal mentoring
program. Despite the informal mentoring provided through their principal, teacher leaders faced
competing demands their first year, including learning laws and coping with the lonely nature of
the position. Boerema (2011) and Silver et al.’s (2009) research revealed the benefits of a formal
mentoring program to help novice principals manage the shift in the transition from teacher to
administrator.
However, the factors that inhibited the development of implementation of strategies
designed to build teacher leadership were often mitigated by the facilitating factors that
encouraged teachers to persist through leadership challenges. For example, the lack of time to
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serve dual roles as a teacher and leader was alleviated by Averson Academy’s school systems
and structures that allocated deliberate time for collaboration to complete leadership tasks.
Furthermore, colleague conflict was predominately tempered by school cultural norms that
advocated collegiality and norms of professionalism. Colleague conflict that could potentially
deter teachers from pursuing a leadership role was also diminished by interactions with the
principal who they knew would endorse their promotion and interactions with district leaders
who offered teachers feedback on ways to improve their candidacy.
Summary
This chapter discussed the study’s findings by research question and outlined the ways
principals execute practices to build the next generation of leaders, teachers’ perceptions of the
leadership practices, and factors that facilitate as well as inhibit the development and
implementation of strategies designed to build teacher leadership capacity. To ensure the study’s
validity, the findings were based on interviews, observations, and document analysis. It is
important to consider the implications of these findings as well as what the data failed to reveal.
To that end, Chapter 5 will examine the implications of these results and offer suggestions for
future research.

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CHAPTER FIVE: SUMMARY AND IMPLICATIONS OF FINDINGS
To review, changes in principal workforce trends and the increased complexity of the job
have impacted principal succession (Gonzalez & Firestone, 2012; Zepeda et al., 2012). The
complexity of a principal’s job has evolved due to increased accountability for student
achievement and instructional leadership while simultaneously managing administrative duties
(Crow, 2006; Zepeda et al., 2012). Furthermore, with the implementation of the CCSS, closing
achievement gaps has become paramount. The CCSS requires that all students demonstrate
critical thinking across multiple academic domains (Common Core State Standards Initiative,
2010). Over time, the increased responsibilities, added accountability for student achievement,
along with stress and long work hours has contributed to the diminishing principal applicant pool
(Wahlstrom et al., 2010).
The shortage of principal successors is further compounded by an insufficient pool of
candidates due to principal retirements and the declining rates in candidate quality (Byham,
2002; Copland, 2001; Myung et al., 2011; Peters, 2011). The evolving principal role requires a
complex skill set absent in contemporary principal candidates (Myung et al., 2011). The lack of
skills is attributed to the failure to recruit quality candidates into the field and inadequate
administrator preparation programs (Copland, 2001). Given the demands for the complexity of
the principal’s role and the skills required beyond an administrative credential, investigating the
practices for principal recruitment and leadership succession is imperative.
Principal leadership succession practices also reveal that most districts fail to
systematically organize efforts to identify, recruit, and sustain school leadership (Fink, 2010;
Myung et al., 2011). School districts use leadership succession as a way to maintain existing
patterns rather than deliberately developing a leadership continuity plan (Hargreaves & Fink,
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2003). The lack of proactive action in supporting leadership continuity leads districts to
reactively fill vacancies with principals who are unprepared to meet the demands of the role. As
a result, they subsequently flee the profession or are let go due to failure to meet accountability
goals (Gonzalez & Firestone, 2012; Wahlstrom et al., 2010). The absence of a systematic and
conscientious succession plan engenders fragmentation in leadership (Peters, 2011).
Given the instrumental role administrative leadership has on schools, there is a need to
identify, recruit, and sustain principals. Marzano et al. (2005) and Robinson et al. (2008) have
explored principals’ impact on schools; however, few other studies have examined how to ensure
leadership continuity. Furthermore, selecting the appropriate candidates is critical to ensuring
principals have acquired the skillset to grapple with the demands of the job (Grissom, 2011;
Marzano et al., 2005). The lack of data on the issue highlighted the need to examine empirical
research on promising principal leadership succession planning practices.
Purpose of the Study
As mentioned, the research indicating the vital influence principals have on schools and
the limited examination of the principal leadership succession planning practices, implored the
need for empirical research on how to develop a candidate reservoir to deliberately cultivate
principal leaders (Marzano et al., 2005; Robinson et al., 2008). Current scholarship focuses on
the failure of principal succession planning practices in districts, rather than illustrating possible
effective practices districts and schools can emulate to address principal leadership succession
issues (Peters, 2011). To that end, the purpose of the study was to illuminate promising practices
in schools to identify and mentor teachers to become school principals. The study also aimed to
explore teachers’ perceptions of the leadership succession management practices. Along with
investigating teachers’ perceptions, the study was designed to explore the practices that both
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facilitate as well as inhibit the development and implementation of strategies devised to produce
leadership capacity. 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?
Data were collected through interviews with participants and participant referrals,
observation of leadership team meetings, analysis of job descriptions, résumés, school policies,
the SARC, and meeting minutes. Triangulation of these multiple data sources increased the
validity of the study’s findings. While previous research focused on failure of principal
succession planning practices in districts, this study aimed to close the research gap by providing
promising practices that can be used to improve principal leadership succession. The next section
will review: (a) a summary of the findings; (b) implications for practice; and (c)
recommendations for future study.
Summary of the Findings
The previous chapter discussed the study’s emergent themes and outlined the
transformational leadership practices employed by one principal to build leadership capacity in
teachers. The results illustrate that transformational principal leaders can overcome the demands
of the job to empower teacher leaders to pursue leadership positions. Transformational principals
are able to build teacher leadership capacity by interweaving three of the fundamental
transformational leadership practices: model the way, inspire a shared vision, and enable others
to act (Kouzes & Posner, 1987, 2012; Northouse, 2013). These practices serve to funnel teacher
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leaders into the principalship role. This section will present an overview of the study’s findings
and its relationship to existing research.
In examining the ways principals work to build the next generation of leaders, the data
revealed that principals encourage leadership capacity by having a clear personal mission,
establishing cultural norms, and creating school structures and processes. As predicted by
transformational leadership theory, the principal’s value system inspired teachers to pursue
informal and formal leadership roles (Kouzes & Posner, 1987, 2012; Northouse, 2013). This
personal value system also led the principal to mentor leaders through nurturing, create an open-
door policy, and use a distributed leadership model that supported leadership capacity. In
congruence with Crowther et al.’s (2002) findings, the principal’s ability to model and encourage
positive working relationships also contributed to developing teacher leaders. Through these
relationships, teachers worked together on leadership tasks and asked the principal questions
about how to approach new leadership duties. Similar to Mangin’s (2005) and Silver et al.’s
(2009) studies, the distributed leadership model empowered teachers to participate in decision-
making and fulfill roles as grade-level leaders or administrative designees for the day. These
findings are significant because they highlight the crucial role principals play in contributing to
the principal candidate reservoir.
Furthermore, the findings exploring teacher leaders’ perceptions illustrated that
relationships and mentoring were critical in building leadership capacity. The data revealed that
when teachers were uncertain about fulfilling a leadership role, a supportive relationship with the
principal helped them build their competency. The relationship also emphasized informal
mentoring and teachers benefited from advice on how to lead workshops or prepare for job
interviews. Although the current literature did not capture teachers’ perceptions of a principal’s
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leadership development practices, Kouzes and Posner (1987, 2012) noted that effective
transformational leaders enable people to act by magnifying their strengths and providing
feedback. The principal’s practices influenced teachers by providing them with the confidence to
overcome self-doubt and persist through challenges. These findings are significant in that they
reveal factors that need to be managed to establish an effective principal leadership succession
management program.
Along with uncovering teachers’ perceptions, the data revealed factors that facilitated and
inhibited leadership development. In alignment with Mullen and Jones’ (2008) study, school
structures with deliberate time for collaboration encouraged teacher leadership by allowing
teachers to complete leadership tasks in groups and receive feedback on their ideas. Averson
Academy also employed teacher community structures that invited teachers to serve formal and
informal leadership roles, promoted professionalism, and modeled the way for teachers.
Another factor that facilitated leadership development absent in the literature was teacher
interaction with district leaders. At Averson Academy, the principal encouraged district
employees to work with teachers on committees. These interactions expanded teachers’
perspectives of district work and the increased visibility often led to promotions for teachers.
Moreover, the district’s small size also allowed teachers to receive explicit feedback on their
candidacy and helped teachers obtain leadership jobs. These findings are significant because they
illustrate novel strategies that should be encouraged when developing a principal leadership
succession management plan.
Conversely, factors that inhibited leadership were lack of time, colleague conflict, and
district structures. Teachers experienced stress due to time constraints and colleague resistance to
the teachers’ new leadership roles. Teachers at Averson Academy noted that playing dual roles
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as a teacher and leader limited time to be an effective educator and parent. Teachers also
lamented about the shifting nature of their relationships. Becoming leaders violated the
egalitarian cultural norms of the profession and casted teacher leaders into the outside group
(Donaldson et al., 2008). In addition to feelings of being ostracized acting as an inhibitor, the
district’s small size often meant fewer leadership vacancies and that formal mentoring programs
were abandoned for informal mentoring relationships. As Silver et al. (2009) found, the shift
from teacher to administrator can be particularly overwhelming. Teachers wanted a formal
mentoring program for novice principals. The lack of a formal program and the limited job
openings may impact long-term principal retention. These findings are significant because they
illuminate factors that should be mitigated to develop a sound principal leadership succession
management plan.
Implications for Practice
Given the impact principals have a school’s success, the findings from this study have
implications for the educational field (Marzano et al., 2005). Specifically, developing a reservoir
of principal leaders who can increase academic achievement and empower teacher leadership
begins with using this study to determine promising practices. As such, the findings have
implications for several audiences including: principals, teachers, districts, and policymakers.
Transformational principal leaders can play a pivotal role in promoting teacher
leadership. Principals can benefit from using these research-based practices to manage leadership
complexities and foster growth among teachers. Teachers can benefit from the principal
employing practices such as developing a vision based on a personal purpose, creating an open-
door policy culture, and implementing a distributed leadership model. These factors are all
critical to cultivating leadership success in a predominately egalitarian field. These practices can
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be implemented by creating a district-wide principal leadership academy. The leadership
academy would be a collaborative effort focused on helping principals develop promising
practices. During the academy, principals would examine their current practices, redesign their
leadership strategies, and meet with principal mentors who have a history of success with
leadership succession management plans.
Along with using the leadership academy to help principals critically examine and
redesign their leadership practices, the findings also imply the need to help teachers overcome
the stress of fulfilling a new role. It would benefit teachers to have a principal leader who is
aware of teachers’ perceptions of the influence of their leadership practices. At the leadership
academy, principals would learn how to develop teachers’ competence and informally mentor
teachers to help them persist through perceived leadership challenges. Workshops would also
focus on providing principals with ways to deliver constructive feedback that would help funnel
teachers into administrative roles.
In addition, the academy would also introduce the facilitating and inhibiting factors for
success in leadership development. Policymakers and school district leaders would benefit from
understanding which factors yield a high return on their financial investments (Ripple et al.,
2012). The study illustrated that scheduling time for collaboration and interactions with district
leaders serve to advance teachers into leadership roles. Therefore, policies centered on protecting
time for collaboration through substitutes, late start days, or early dismissal could be
implemented. Along with policies regulating time for collaboration, the leadership academy
would orient principals to strategies that encourage interaction between teachers and district
leaders. Strategies may include developing district leadership committees with teacher
representatives or implementing social gatherings.
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Furthermore, the academy would be used to help principals manage factors that inhibit
leadership capacity building. For example, districts may consider reducing stress by allowing
teacher leaders to work on leadership projects from home or introduce job sharing. Also, a
formal mentoring program for teachers transitioning into administration may assist teachers in
coping with the discomfort of colleagues’ resistance. A mentoring program for novice
administrators could also help disrupt the steep learning curve new administrators experience and
possibly increase principal retention (Silver et al., 2009).
Implementing the previously mentioned strategies to help principals learn promising
practices, manage teachers’ perceptions of self-doubt, and increase facilitating strategies while
minimizing inhibiting factors can encourage the development of teacher leadership capacity in
small school districts. Doing so serves to increase a reservoir of high-quality principals who can
increase student academic success and cultivate leadership growth. In heeding these study’s
findings, schools can work to implement policies and strategies that support teachers in
becoming leaders.
Recommendations for Future Study
Attempts were made to obtain comprehensive responses to the study’s research
questions; however, additional questions emerged. As such, this section outlines
recommendations for future study. To begin with, the site selected for the study operated within
a small school district in California and did not address the experiences of principals and
teachers at larger institutions. As Zepeda et al. (2012) found, larger districts tended to use formal
approaches to identify potential principal successors and have developed partnerships with
university leadership preparation programs. Accordingly, the study does provide a sense of how
a small district might promote promising leadership practices; nevertheless, it neglects to account
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for how the strategies may differ among institution types. It would be worthwhile to examine if
the promising practices presented in this current study hold true regardless of the district size.
Relatedly, it would be instructive to conduct research on a larger sample of
transformational principal leaders in small school districts to determine if the practices are
consistent. This particular study focused on one transformational principal leader and although
Zepeda et al.’s (2012) study surmised that small school districts use informal leadership
succession management practices, further research could determine if the strategies are uniform
or other outlier techniques exist.
Additionally, the study included one principal leader of color and failed to consider how
gender or ethnicity diversity may have impacted the transformational leadership practices
employed. Despite education being a female-dominated profession, Myung et al. (2011)
demonstrated that male teachers were twice as likely to be tapped as female teachers.
Furthermore, Northouse (2013) reports there are meaningful differences between women and
men’s leadership paths. It would be instructive to research the obstacles female principals
experience and how they overcome the proverbial glass-ceiling theory.
Conclusion
This study aimed to identify the ways in which principals work to build the next
generation of leaders, the perceptions of teachers regarding the influence of those practices, and
the factors that both facilitate and inhibit the development and implementation of strategies
designed to build leadership capacity. The findings suggest that despite the evolution of the
principal’s role into a position with increasingly complex job responsibilities, principals can
disrupt the traditional egalitarian and autonomous school culture and empower teacher leadership
(Copland, 2001; Mangin, 2005). By employing transformational leadership practices to model
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the way, inspire a shared vision, and enable others to act, principals can precipitate change in an
era of high bureaucratic accountability and develop a reservoir of quality principals.
It is anticipated that these findings will prove beneficial for principals, teachers, districts,
policymakers, and researchers. The findings will serve to prompt principals to evaluate their
practices, encourage teachers to emerge as future principals, and help implement policies within
districts to support principal succession management programs. This research could also
supplement the existing literature on principal succession management by demonstrating that
promising practices can be developed and fragmented succession practices can be retired. This
study reveals that the pursuit of effective principal succession management practices is
achievable and can help ensure all schools have effective principals who can improve academic
achievement and empower teachers’ growth.

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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.

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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?
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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.

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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?
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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)

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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?

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106

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 LEADERSHIP SUCCESSION

107

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
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108

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.).
X X
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
district/institution/
school in
developing
leadership
capacity?
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?
X X X
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109

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 future
leaders.
X X
What else would
you like to share
with us about
your experience
as a leader?

X

Asset Metadata

Creator Selva, Ashley (author)

Core Title Principal leadership succession: developing the next generation of leaders

Contributor Electronically uploaded by the author (provenance)

School Rossier School of Education

Degree Doctor of Education

Degree Program Education

Defense Date 03/08/2016

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag OAI-PMH Harvest,principal leadership succession,promising practices,teacher leadership capacity

Format application/pdf (imt)

Language English

Advisor Kathy Stowe (committee member), Malloy, Courtney (committee member), Picus, Lawrence (committee member)

Creator Email selva@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-219588

Unique identifier UC11277436

Identifier etd-SelvaAshle-4190.pdf (filename),usctheses-c40-219588 (legacy record id)

Legacy Identifier etd-SelvaAshle-4190.pdf

Dmrecord 219588

Document Type Dissertation

Format application/pdf (imt)

Rights Selva, Ashley

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA

Abstract (if available)

Abstract The study applies transformational leadership theory to understand the promising practices principals employ to build teacher leadership capacity. The purpose of the study was to illuminate the ways principals work to build the next generation of leaders and explore teachers’ perceptions of the influence of the principal’s leadership practices. Also, the study sought to determine the factors that both facilitate as well as inhibit the development and implementation of strategies devised to produce leadership capacity. One principal, one assistant principal, and six teachers participated in this qualitative case study. Data collection occurred via a series of in-person and telephone interviews, observations of leadership meetings, as well as document analysis of job descriptions, résumés, school policies, and meeting minutes. Findings from the study indicate that principals work to build the next generation of leaders by developing a personal mission, establishing cultural norms, and creating school structures and processes. Also, teachers’ perceptions of the influence of the principal’s leadership practices indicate the critical nature of relationships and mentoring. Lastly, school systems and structures as well as district leaders’ interactions facilitated leadership capacity building. However, lack of time, colleague conflict, and district system and structures inhibited leadership capacity building. The study’s results are of interest to administrators to ensure they are executing research-driven techniques for managing the complexity of leadership succession and policymakers to ascertain areas to devote their efforts to sustain high-quality principal leaders.