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Promising practices: developing principal leadership succession

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Promising practices: developing principal leadership succession

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Content Running Head: LEADERSHIP SUCCESSION

PROMISING PRACTICES: DEVELOPING PRINCIPAL LEADERSHIP SUCCESSION

by

Monique Cristina Hernandez

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

August 2016

Copyright 2016 Monique C. Hernandez
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Acknowledgments
I would like to sincerely acknowledge those who made this dissertation possible due to
their unwavering support and encouragement. First and foremost, I would like to thank my
immediate family who has shown me unconditional love and support during this process. Mom,
your belief in my ability to reach my goals and always being my biggest cheerleader has
motivated me to achieve more than I could imagine. Dad, the pride that you have always had for
me has inspired me to become a great model for my younger siblings. Grandma, your thoughtful
words of encouragement and constant prayers replenished the strength I needed to finish what I
started.
Secondly, I must express my deepest gratitude to my committee chair, Dr. Kathy Stowe
who challenged me to reach my full potential and would never accept anything but the best. In
addition, I’d like to thank Dr. Courtney Malloy and Dr. Lawrence Picus for serving on my
committee and for offering their extensive knowledge and time. Of course, I must acknowledge
my thematic group – Ashley, Karen, and Jen. Thank you for the feedback, laughs, and optimistic
attitudes through this process.
I must also take the time to thank my close friends and loved ones who have supported
my every endeavor. To the “Dream Team”: you have been my rock since the day I started
teaching. Your passion for education and dedication to the students has been a true inspiration
for me. Heston, your love and patience in the eleventh hour has shown me what having a partner
for life really means. Thank you for providing your calming presence and grammar expertise!
Finally, I must thank my past and present students who were the reason why I began this
journey. You have taught me so much about who I am as a person and an educator. Thank you
for always believing in me.
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Table of Contents
List of Tables 5
List of Figures 6
Abstract 7
Chapter One: Overview of the Study 8
Introduction 8
Background of the Problem 9
Statement of the Problem 10
Purpose of the Study 12
Research Questions 12
Significance of the Study 13
Limitations and Delimitations 14
Glossary of Terms 15
Organization of the Study 16
Chapter Two: Literature Review 17
Historical Context 18
District Level Practices 20
School Level Practices: Principals Building Leadership Capacity 22
Identification and Recruitment of Principals 22
Mentoring 24
Challenges in Developing Leadership Capacity 28
Transformational Leadership Theory 30
Summary 32
Chapter Three: Methodology 34
Research Questions 34
Research Design and Methods 35
Sample and Population 36
Overview of the Organization 37
Overview of the Principal 37
Theoretical Framework 38
Conceptual Framework 39
Data Collection Approach 40
Instrumentation 41
Data Analysis 43
Ethical Considerations 44
Summary 45
Chapter Four: Results 46
Overview of Participants 46
Overview of the Organization 48
Data Findings: Results of Research Question 1 49
Principal’s Leadership Ideology 50
Modeling 51
Mentorship 53
Rigor in leadership selection and promotion 54
School Culture 55
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Collaborative culture 56
Relationship building 58
Opportunities for Authentic Experience 59
Authentic administrative activities 59
Discussion of Research Question 1 61
Data Findings: Results of Research Question 2 63
Significance of Relationship Building 63
Value in Authentic Administrative Experience 66
Importance of Mentoring 67
Discussion of Research Question 2 68
Data Findings: Results of Research Question 3 69
Facilitating Factors 69
School systems and structures 69
Ongoing mentorship 71
District systems and structures 72
Inhibiting Factors 73
Psychological 73
District culture 74
Discussion of Research Question 3 75
Summary 76
Chapter Five: Summary 77
Purpose of Study 77
Summary of Findings 77
Implications for Practice and Policy 81
Recommendations for Future Studies 82
Conclusion 84
References 85
Appendix A: Participant Recruitment Letter 92
Appendix B: Interview Protocol for Administrators 93
Appendix C: Interview Protocol for Teachers 95
Appendix D: Observation Protocol 96
Appendix E: Matrix of Interview Protocols to Research Questions 98

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List of Tables
Table 1: Study Participants 41
Table 2: Research Questions as Instrumentation 43
Table 3: Description of Participants 48
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List of Figures
Figure 1: Conceptual Framework, Ed.D. Thematic Group 2015 40
Figure 2: Creswell’s (2014) Model for Qualitative Data Analysis 44

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Abstract
This study applies the transformational leadership theory practices of modeling the way,
inspiring a shared vision, and enabling others to act to examine leadership succession planning in
K-12 public schools. The purpose of this study was to identify the promising practices that one
principal utilized to cultivate leadership capacity in teachers and to describe the perceptions of
teachers about those practices. Additionally, this study sought to determine the factors that both
facilitate and inhibit the implementation of those strategies designed to promote leadership
capacity. One middle school principal served as the case study for this research. Further data was
gathered through observations, interviews, and collection of artifacts. Findings from this study
showed that a principal developed leadership capacity in future administrators by creating
opportunities for teachers to experience authentic administrative tasks combined with mentorship
and modeling in a culture that values professional collaboration. Findings also revealed that
aspiring school-level administrators found importance in the practices and expressed professional
growth because of them. Factors that facilitated the practices was the informal standard process
utilized by a principal to identify teacher leaders along with district support and continued
mentorship when a teacher attains a leadership position. Factors that inhibited the practices were
psychological and structural challenges. This study furthers the understanding of how intentional
leadership succession planning can start at the school-level and prepare teachers to be effective
school administrators.

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CHAPTER ONE: OVERVIEW OF THE STUDY
Introduction
There is increasing empirical evidence that leadership makes a difference in schools. For
instance, research has determined that school leadership has a significant impact on student
achievement due to various political, social, and economic factors (Hallinger & Heck, 2010;
Robinson, Lloyd, & Rowe, 2008). Additionally, a significant reason for the increased interest in
the link between leadership and students outcomes is the desire for policy makers to alleviate the
persistent disparities in educational achievement between various social and ethnic groups, and
their belief that school leaders play a vital role in doing so (Robinson, Lloyd, & Rowe, 2008).
Furthermore, Leithwood, Harris, and Hopkins (2008) argued school leadership is second only to
classroom teaching as an influence on pupil learning.
School leadership has a significant influence on student academic success; specifically
the influence school principals have on student achievement (Robinson, Lloyd, & Row, 2008:
Wahlstrom, Louis, Leithwood, & Anderson, 2010) and teacher retention (Grissom, 2011).
Additionally, administrative leadership has a greater influence on schools and student
achievement when it is widely distributed and aims to improve instruction and learning through
their influence on staff motivation, commitment, and working conditions (Collins, 2001;
Hammond, Orphanos, LaPointe, & Weeks, 2007). The research described above has
demonstrated the importance of leadership in school settings, as well as the need to understand
how to develop and sustain leadership succession systems in school districts to improve student
achievement and outcomes.

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Background of the Problem

Leadership is primarily about influence that can result in positive change (Collins, 2001).

Accordingly, policymakers and practitioners are recognizing the significant role of school
leadership in developing high-performing schools (Fink, 2011; Hansford & Ehrich, 2000;
Hargreaves & Goodson, 2006). There are numerous challenges in developing leadership capacity
at both the district and school- level (Fink, 2011; Zepeda, Bengston, & Parylo, 2011; Myung,
Loeb, & Horng, 2011). Darling-Hammond, Orphanos, LaPointe, and Weeks (2007) argued that
due to new expectations of academic achievement and an array of roles, ranging from
educational visionaries to change agents to instructional leaders, budget analysts, facility
managers, and community builders has created a demand for effective leadership, as well as,
emerged new obstacles for developing leadership capacity.
Policymakers have responded to these new challenges with strong support for school
reform, such as No Child Left Behind (NCLB) that focuses on areas that have a connection to
student learning, such as teacher recruitment, curriculum content standards, and testing and
accountability (Fink & Brayman, 2006; Darling-Hammond et al., 2007). Due to the onset of
NCLB legislation, principal accountabilities and pressures have been amplified to implement
short-term changes to avoid the negative repercussions of school improvement labels
(Hargreaves & Fink, 2011). Furthermore, these additional responsibilities have reduced the
supply of potential candidates who are interested and suitable to prepare for the job at hand
(Hargreaves & Fink, 2011).
In addition to the rapid changing role of principals, the lack of formal leadership
succession plans are resulting in the loss of valuable leadership knowledge and skills from the
exiting leader. This is resulting in the successor left without proper support for continued success
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(Peters, 2011). As a result, the change in principal workforce trends (Gonzalez & Firestone,
2012) and districts focusing on leadership replacement (Fink, 2010) has created the need to
develop a leadership succession plan.
The shortage of principal successors is significantly increasing due to principals retiring
and high teacher turnover (Ingersoll, 2003; Peters, 2011; Fink & Brayman, 2006). The National
Center for Education Statistics (2014) Principal Attrition and Mobility Report substantiated these
findings and in the 2013-2014 academic year, reported that about 38% of public principals
relinquished their role due to retirement. In addition to retirement, the deficiency in principal
candidates results from high rates of teacher turnover. By the end of the first year, 14% of
teachers abdicate their positions, 33% leave within three years, and almost 50% leave within five
years (Ingersoll, 2003).
Additionally, finding qualified individuals who are willing to accept school leadership
roles has become an increasing dilemma facing schools (Kladifko, Li, & Dunlap, 2011). Due to
the increase of the job’s complexities and the association with greater accountability, many
potential applicants are deterred from accepting leadership roles (Myung, Loeb, & Hong, 2011;
Copland, 2001; Hargreaves & Goodson, 2006). Identifying the recruitment practices for
principals and components of leadership succession is vital due to the increasing complexity of
the principal role (Myung et al., 2011). The increased job complexities and shortage of high
quality principal candidates has furthered the need to focus on leadership development (Fink,
2011).
Statement of the Problem
Research suggests a shortage of principals in school districts across the United States
(Hargreaves & Goodson, 2006; Fink, 2011; Darling-Hammond et al., 2007). Thus, school
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districts in many U.S. states are facing a crisis of leadership. Fink and Brayman’s (2006) study
indicated that the accelerating turnovers of principals are due to the aging of the baby boom
generation, principal’s career mobility, and the increasing pressures of the standardization
agenda. Given the principal’s significant impact on student achievement and the increase student
enrollment, there is an imminent need to identify, recruit, and sustain principal leadership
(Marzano, Waters, & McNulty, 2005).
Additionally, principals are contributing to the supply-side shortage by retiring younger
or opting out of their leadership role. According to the U.S. Department of Education’s 2012-
2013 Principal Attrition and Mobility follow-up survey, 17% of principals have retired and 36%
of principals have left work in a district or administrative office as a superintendent, assistant
superintendent, or higher level administrator (NCES, 2014). By 2020, a projected number of
5,000 school administrator vacancies will be available in California (White, Fong, & Makkonen,
2010; Kladifko, Li, & Dunlap, 2011) Therefore, developing principal leadership is critical (Fong
& Makkonen, 2011).
Additionally, principals are retiring after serving relatively short incumbencies (currently
four years on average), which exacerbates administrator turnover (Jacobson, Brooks, Giles,
Johnson, & Ylimaki, 2007). Therefore, at a time when there are 44% less available candidates,
compressed incumbencies are further thinning the potential pool of recruits due to the increase
administration job openings (Jacobson et al., 2007), thus creating a significant need for a formal
principal succession plan.
Although there is an essential need for principals, the current leadership succession
system of attaining state-mandated credentials is not assisting with filling the principal pipeline
(Fink, 2010) due mainly because many certified are choosing to not pursue school leadership
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positions (Myung et al., 2011). DeAngelis and O’Connor (2010) found that 60% of candidates
who receive an administrative credential drop out of the principal pipeline, more than half of
those qualified to be administrators are not serving in that capacity suggesting that simply the
possession of an appropriate administrative credential does not guarantee acquisition of a
leadership role. As a result, the existing process of acquiring a leadership role is not successfully
identifying potential leaders or developing leadership capacity within schools.
Purpose of the Study
There is a significant amount of research that argues the critical influence principals have
on schools (Marzano et al, 2005; Hallinger & Heck, 2010; Robinson et al., 2008) and limited
empirical studies that identify the practices utilized by principals to cultivate leadership capacity
in their schools. The purpose of this study was to examine how a principal identifies, recruits,
and mentors the next generation of leaders. The study also aimed to explore teachers’
perceptions of leadership capacity building practices. Along with investigating teachers’
perceptions, the study was designed to explore the factors that facilitate and inhibit a principal in
the development and implementation of strategies to build leadership capacity within the
institution.
Research Questions
In order to better understand the effective leadership strategies implemented to build
leadership capacity, the following questions were designed by the USC Ed.D dissertation group
to guide the case study:
1. In what ways does a principal work to build the next generation of leaders?
2. What are the perceptions of teachers regarding the influence of practices?
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3. What are the factors that both facilitate and inhibit in the development and
implementation of strategies designed to build leadership capacity?
Transformational leadership provides the theoretical framework for considering this
complex phenomenon. Northouse (2013) defines transformational leadership as a process that
changes people and is concerned with emotions, values, ethics, standards, and long-term goals,
which include assessing followers’ motives and accommodating their needs. In particular, this
study was guided by Kouzes and Posner’s (1987, 2002) model of transformational leadership
that consists of five fundamental practices that enable leaders to achieve unanticipated
accomplishments: model the way, inspire a shared vision, challenge the process, enable others to
act, and encourage the heart.
Significance of the Study
Little research has been undertaken to identify leadership talent within the education
setting, or have the characteristics perceived as important in selection and recruitment been
articulated or explored within a research context (Pijanowski, Hewitt, & Brady, 2009). In fact,
the need to identify and develop a pool of talent able to meet present and future leadership
requirements in schools is becoming increasingly imperative (Brundrett

& Anderson de Cuevas,
2008). Additionally, Peters (2011) argued that school districts must make it a priority to invest
their resources into developing a system of dynamic succession planning in order to minimize
leadership instability. Thus, this study was designed to increase education practitioners’
knowledge of how school leaders identify leadership talent. Sharing the results of the study with
school districts can help superintendents and assistant superintendents with developing a formal
leadership succession management plan for their district.
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Empirical studies have suggested there is a positive relationship between high levels of
teacher efficacy and increased student achievement as well as a positive link between principal
behavior and teacher efficacy (Walker & Slear, 2011; Boyd, Grossman, Ing, Lankford, Loeb, &
Wyckoff, 2011). Despite the positive link between principal-teacher relationships, there
continues to be a lack of district support and mentoring to develop and sustain highly effective
principals (Peters, 2011). This lack of support and mentoring is resulting in high rates of
principal and teacher turnover (Grissom, 2011). These high turnover rates likely indicate greater
school instability, disruption of curricular cohesiveness, and continual need to hire inexperienced
teachers, who are less effective (Grissom, 2011). Thus, this study intended to expand the current
literature of leadership capacity and sustainability by identifying the challenges and benefits of
developing leadership capacity. These newly identified factors that facilitate and inhibit the
development and implementation of strategies designed to build leadership capacity can assist
principals in maintaining a teacher workforce that contributes to increased student achievement
and eager to fill upcoming leadership vacancies. Lastly, the research has value for current
practitioners, as the study examined the identification, recruitment, and mentoring strategies for
assuring an informed approach to developing principal leadership.
Limitations and Delimitations
Limitations
The study’s limitations were beyond the control of the researcher, but they may have
affected its results. In this case study, a limitation was time. Due to time constraints, the research
was limited to a three-month span for data collection. The short timeframe may have had an
impact on the sample size. Due to the qualitative methodology of this study, the validity of the
study is dependent upon the reliability of the respondents who participated in the data collection
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and limited to the subjects who agreed to participate voluntarily. A final limitation was research
bias due to the fact the data gathered in the study is subject to the interpretation of the researcher.
Delimitations
The researcher selected several criteria for the unit of study. The school site was selected
based on criteria designed to most sufficiently answer the research questions posed for this study.
The school must have employed their principal for three to five years and demonstrated
transformative levels of success through student achievement. These transformative levels of
principal success could be documented through academic growth in district-wide benchmark
assessments, educational programs, California High School Exit Exam (CAHSEE) scores, or
Smarter Balanced Assessment Consortium (SBAC) scores. Also the school-site must have at
least one former classroom teacher who was tapped by the principal and has advanced on to
school administration. Based on these delimitations, findings are limited and may not be
generalizable to other institutional settings.
Glossary of Terms
Many terms are relevant to and referenced in this study. For the purpose of the study, the
dissertation committee defined the following terms:
a. 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)
b. Generation of leaders- the process of developing the people who will be the principal
c. Intentional succession planning- the explicit design and implementation of programs to
identify and develop high-quality principal candidates (Russell & Sabina, 2014)
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d. Succession management- a set of practices to identify, develop, and sustain leadership
(Leibman, Bruer, & Maki, 1996; Myung et al., 2011, p. 699)
e. Tapping teachers-informal identification and recruitment process, that encourages
promised individuals to pursue careers in school leadership (Myung et al., 2011)
Organization of the Study
This study examined successful leadership development strategies implemented by
principals of public high schools. Chapter One provides an overview of the study and established
its importance for principals to identify, recruit, and mentor future leaders from within their
institution or district. Chapter Two offers a review of the literature, focusing on both district-
level practices and school-level practices for leadership succession as well as the barriers and
supports that, respectively, prevent the developing of leadership succession. This chapter also
describes the theoretical framework implemented for the study. Chapter Three discusses the
research methodology and the reasons for selecting a qualitative approach. It also provides
further information about the sample size and how participants and school sites were selected.
Chapter Four reveals the findings of the research and answering the research questions posed in
Chapter One. Chapter Five addresses the implications of the study’s findings. This final chapter
also offers recommendations for future research.

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CHAPTER TWO: LITERATURE REVIEW
School leaders, specifically principals, are able to contribute to a positive impact on
student learning and other significant school operational outcomes (Leithwood, Patten, & Jantzi,
2010; Hallinger & Heck, 2011). Specifically, principals have the greatest influence on the
organization and structure of the institution (Leithwood et al., 2010). The organizational features
of schools include the cultures, policies, and standard operating procedures that impact
instructional time, development of professional learning communities, and encompass teacher-
working conditions, which in turn strongly influences teacher’s self-efficacy (Leithwood et al.,
2010; Robinson et al., 2008). As a result, principals have the ability to create and sustain
relationships among faculty and staff conducive to an environment of professionalism and
academic excellence. Hallinger and Heck (2011) argued that collaborative leadership,
specifically the intentional development of academic capacity among administrators and
teachers, could improve student-learning outcomes.
There are various factors contributing to the growing need of principals in public school
districts. For example, Fong and Makkonen (2011) argued the increase rates of transfers,
promotions, and insufficient compensation rates have contributed to the need for more principals.
In addition, the rising need for principals in California, specifically in urban areas due to
retirement and changes in school enrollment have created a shortage of highly qualified
principals (Fong & Makkonen, 2011).
The purpose of this study was to provide insight into how districts and school sites
identify and develop leadership capacity for the next generation of leaders. To gain a deeper
understanding of the complexities surrounding the development of leadership capacity, a
historical context of principal leadership will be provided. This review examines the district-
level and school-level practices that have been executed to develop principal succession, as well
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as current practices utilized to enhance leadership capacity. The next area of research will review
the identification and recruitment of potential leaders as well as how to build the next generation
of leaders. The review will then address the challenges that districts and school sites experience
in developing leadership capacity. In this study, transformational leadership theory will be used
as a lens used to examine the development of leadership succession. The conclusion of this
chapter will connect existing literature to the present study.
Historical Context

The introduction of the principal’s office radically changed the overall structure and
organization of how public education would be delivered in the classrooms. Before there was an
official principal’s office, the teacher essentially operated the school and that teacher worked as
both an instructor and building manager. Rousamaniere (2007) explained that the school
principal model replaced the 19
th
century head teacher by substituting an informal position of a
teacher who was responsible for administrative tasks with an administrator whose sole
responsibility was to supervise teachers. The first principal’s position was created in the mid-19
th

century in urban districts to address the organizational demands of the new grade school were
students were classified by age and achievement and placed in separate classrooms under a
single teacher (Rousamaniere, 2007). However, this position worked almost entirely free of a job
description, professional support, or legal guidelines, and the relationship between the superiors
and staff was unregulated. As a result, the role of the principal was based more on convenience,
rather than improving student learning and operations.
By the mid-20
th
century, the low status and continued feminization of the elementary
principalship gave the position an unprofessional character (Rousamaniere, 2007). In order to
circumvent this position, reformers began to realign the principal’s role away from the classroom
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teacher and toward the district office. For instance, new reform demanded higher academic
qualifications for the position, clarified the job description, and replaced women principals with
men (Rousamaniere, 2007). As a result, the development of a bureaucratic school system in the
late 19
th
and mid-20
th
century created an apparent shift in the organizational character of schools.
During the late-20
th
century, program implementation and reform began to impact the
organization and structure of public education. Schools became a prime subject to influence by
repeated waves of reform that define historical periods (Hargreaves & Goodson, 2006). In the
late 1970s, reform emphasized child-centered learning, discovery, and inquiry. This required
principals to know the teachers and students in their school, identify with them, and stay at their
school long enough to see their policies through (Hargreaves & Goodson, 2006). During the
1980s, reform increased subject emphasis and enforced strict guidelines of credit requirements
alongside inclusive special education legislation, which required effective leaders to build a
community of collaboration and modify reform to advance their own school’s purposes
(Hargreaves & Goodson, 2006). In the 1990s, reform sought to restructure the middle school
grades and define a common curriculum in broad, outcome based terms that promoted
interdisciplinary study and alternative forms of assessment. Due to these rapid shifts, leaders
were perceived as inconsistent managers who rarely remained to ensure their initiatives were
sustained (Hargreaves & Goodson, 2006). By the early 2000s, federal legislation implemented
the No Child Left Behind Act (NCLB) that focused on high-stake testing and content-based
standards, which further exacerbated the shift in the nature of leadership to began to hold
principals responsible for increasing student achievement (Crow, 2006). These growing policy
reversals led both teachers and administrators to experience reforms as swings of pendulum that
made consistency and commitment ultimately ineffective (Hargreaves & Goodson, 2006; Crow,
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2006). Consequently, teachers became reluctant to enter into these principal positions due to the
growing complexities of the job, increased stress level, and inadequate pay (Howley, 2005;
Pikanowski et al, 2009; Gajda & Mitillo, 2008; Fink, 2010; Kearney, 2011).
The role of the principal has significantly progressed from a manager responsible for the
daily operations of a school to an instructional leader responsible for the implementation of state-
mandated policies and student achievement. This growing job description and increased
accountability has resulted in teacher hesitation to seek principal roles. The following section
will discuss how school districts are attempting to develop leadership capacity to fill leadership
job positions.
District Level Practices

In the past few years, shortages of willing leaders have forced districts around the country
to spend a significant amount of money to fill up the leadership pipeline with qualified
candidates for leadership positions (Fink, 2011; Hargreaves & Goodson, 2003). This
“replacement planning” strategy increased demands on educational leaders, and the future
generation of leaders to compromise their personal lives for the pressures and workload of
leadership position (Fink, 2011). As a result, a few school districts have shifted focus from
“replacement planning” in which specific people are identified to fill certain job positions
through open competition, to a “succession management” approach which involves selecting and
further development of high-potential individuals for both current and future roles (Fink, 2011;
Hargreaves & Goodson, 2003). These succession management plans were implemented to ensure
that there are a significant number of available leaders to keep the principal pipeline robust and
flowing (Fink & Brayman, 2006; Fink, 2011; Hargreaves & Goodson, 2003).
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Succession management practices vary depending on the size and growth rate of the
district (Zepeda et al., 2012). In a multiple-case study, Zepeda et al. (2012) found that there is a
difference in the approach of the development of aspiring leaders and that mentorship was an
essential component through the succession process. Although the development of aspiring
leaders is a critical component to academic success in a school district, Zepeda et al. (2012)
findings suggested that the size and growth rate of a school district may play an imperative role
in the degree of the sense of urgency to have a succession planning and management practice in
place. Zepeda et al. (2012) found that in large school districts there are a significantly higher
number of principal positions available resulting in an increase number of vacancies due to
retirement or advancement in their career. Thus, creating an immediate need to have a succession
plan in place to accommodate for the position replacement or expansion of school growth in their
district.
Recently, the Wallace Foundation Pipeline Project (2013) has started a principal pipeline
initiative to build leadership capacity in six urban school districts across the United States. This
initiative has implemented four distinct strategies for the hiring process and building of a support
system for new principals. The Wallace Foundation Pipeline Project (2013) in partnership with
the urban school districts developed and refined new leader standards that outline performance
expectations, reshaped pre-service preparation by developing relationships with partner programs
in nearby universities, revamped their process by using new data to match principals with the
right school, and hired and trained principal supervisors and mentors to better support new
principals. As a result, principals hired through the initiative in the past three years reported that
they were well prepared, especially in instructional leadership. Additionally, supervisors and
mentors created and piloted new evaluations aligned to their professional standards and plan to
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use this data on principal’s strengths and weaknesses to target professional development and
support. Furthermore, the study concluded that five years was the average time elapsed from
entry into the preparation program until placement as a principal, which places pressure on
school districts to strengthen and develop the final stages of the preparation in order to fill
upcoming vacancies.
In sum, a few school districts are focusing on developing succession management plans
to ensure that there are qualified candidates to fill future principal vacancies. Additionally, the
sense of urgency and proactively developing these succession management plans depends
significantly on the size and student growth rate of the district. There is also a minimum amount
of time potential principals have to participate in these succession management plans before
receiving their first principal position. Due to the limited amount of time, current principals are
initiating formal and informal school level practices to cultivate leadership capacity through
identification, recruitment, and mentorship of the next generation of principals.
School Level Practices: Principals Building Leadership Capacity

Identification and Recruitment of Principals

Specific leadership behavior and characteristics that are exhibited by teachers makes
them prime candidates for recruitment of potential school leaders (Leithwood, Mascall, Strauss,
Sacks, Meman, & Yashkina, 2007; Myung et al., 2011). Leithwood et al. (2007) administered a
multiple-case study conducted in a large urban district serving more than 100,000 increasingly
diverse students, prompting the building of four dozen new schools, with more to be opened in
the near future. Leithwood et al. (2007) recognized the most significant part of the context for
this study was the long tenure of the director of education (10 years), in addition to a provincial
reputation as a curriculum leader, and the explicit intention to dramatically flatten a district
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organization noted for its hierarchy and replacement leadership. Leithwood et al. (2007) found
that “planful alignment” is the most effective system to identify and recruit potential leaders, but
depends heavily on regular monitoring of progress by the current principal and sometimes an
active form of intervention. Furthermore, Leithwood et al. (2007) identified that the most
common characteristics associated with non-administrative leaders were attributions of openness,
effectiveness, and commitment to the assigned task.
In a qualitative study using surveys and administrative data by Myung et al. (2007), they
found that principals appear to be recruiting teachers who are better equipped to take on school
leadership responsibilities, have school-level leadership experiences, and have expressed interest
in becoming a school administrator. Additionally, Myung et al. (2007) found that principals are
capable of effectively identifying and encouraging teachers with strong leadership potential to
enter the principal pipeline with the assistance of training. In sum, leadership characteristics and
behaviors displayed by teachers strongly assist administrators in the identification and
recruitment process of the future generation of leaders.
In addition to leadership characteristics and behaviors, principals also recruit potential
leaders by non-related leadership competencies and effectiveness, such as shared ethnicity or
shared personal qualities. Myung et al. (2011) discovered that gender and race are significant
predictors of being identified and recruited to become school leaders. Within schools, male
teachers are almost twice as likely to be recruited by their principals as female teachers, and
Black and Hispanic teachers are more likely to be recruited than their White colleagues (Myung
et al., 2011). Additionally, Leithwood et al. (2007) found that those who demonstrated
characteristics of openness, care, and commitment to whatever the initiative was were more
likely to be identified as a potential leader by their principal. Furthermore, teachers are
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influenced in forming their opinions about other’s leadership potential from both their colleagues
and administrators (Leithwood et al., 2007; Myung et al., 2011).
Similar to school districts, many school sites do not have a formal succession
management system for school leadership (Myung et al., 2011; Leithwood et al., 2007; Fink,
2010). As a result, principals have implemented informal processes such as “tapping” to recruit
potential leaders at their school site. Myung et al. (2011) defined “tapping” as the informal
identification and recruitment process, that encourages promised individuals to pursue careers in
school leadership. However, Myung et al. (2011) argued that additional training and a succession
management plan might help ensure that teachers are selected based on clear leadership
competencies, such as school leadership experience, preparation for school leadership
responsibilities, and interest in becoming a principal in the future. Additionally, Fink (2011)
argued that the traditional methods of hiring based on existing proficiencies and competencies
instead of recruiting people with potential to become a school leader is hindering the opportunity
to develop a leadership succession system. This concept of “grow your own” strategy could
ensure a ready supply of prepared leaders even in a crisis, reduces the expenses of recruiting
widely, and reduces the amount of time for new leaders to adjust to the culture of the structure
and organization (Fink, 2011). Furthermore, Gajda and Militello (2008) argued that there is a
critical need for a more formal and systematic process for recruiting and identifying future
principals to develop leadership sustainability.
Mentoring

Research illustrates that both formal and informal mentoring techniques have been
executed in school sites and districts (Silver et al., 2009; Hansford & Ehrich, 2006; Boerema,
2011; Bengston et al., 2013). Hansford & Ehrich, 2006) have defined formal mentoring as the
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“structured and coordinated approach to mentoring where individuals (usually novices) agree to
engage in a personal and confidential relationship that aims to improve professional
development, growth, and varying degrees of personal support (p. 39).” In a case study
conducted in four Georgia school systems, Bengston et al. (2013) found that these districts hire
an outside contractor through an educational service agency to meet with principals monthly and
support them by phone weekly as a method of formal mentorship. Another example is when the
district develops and initiates a mentoring program that assigns formal mentors who are principal
retirees to new principals (Bengston et al., 2013). However, informal mentoring techniques have
also been employed such as, former principals seeking leadership talent by current school leaders
in the hopes of developing future school principals (Bengston et al., 2013).
Mentoring potential leaders is an essential practice through the leadership succession
process (Zepeda et al., 2011; Bengston, Zepeda, & Parylo, 2013; Myran, Sanzo, & Clayton,
2012). Research has determined that principal mentoring is an important component in the
recruiting and retaining of educational leaders in the profession (Simeo, Decman, Girgsby, &
Schumaker, 2010; Fink, 2010; Bengston et al., 2013). Principal mentoring could be as informal
as brief discussions between current principals and aspiring principals (Boerma, 2011) or as
formal as district-hired mentors strategically assigned to new principals (Bengston et al. 2013).
Additionally, these mentoring programs have been specifically designed to assist current and
future principals develop new competencies and learn to navigate through the competing
demands of the position (Hansford & Ehrich, 2006). However, the phenomenon of leadership
succession is not always predictable and the identified need for a new principal may or may not
be obvious to district leaders (Bengston et al., 2013; Zepeda et al., 2011). As a result, the size of
the district and the critical need for more leaders might very well influence the types of
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mentoring programs, such as peer mentoring or administrative in-service programs (Bengston et
al., 2013; Simeo et al., 2010).
Principals require ongoing professional development throughout their early, mid, and late
careers (Silver et al., 2009). In addition, it is critical that for those who are providing professional
support have experienced the challenge of leadership (Boerema, 2011). In practice, to mentor a
novice principal is an opportunity for previous educational leaders to give back to the profession
and pass on valuable knowledge gained through years of experience (Silver et al., 2009). This
type of cyclical mentoring entails neophyte principals receiving coaching and mentoring to
eventually providing coaching and mentoring to the next generation of leaders (Silver et al.,
2009; Bengston et al., 2013). As a result, cyclical mentoring could help develop a formal
leadership succession system for a school district.
The process of mentoring has produced both positive and negative outcomes. Hansford
and Ehrich (2006) reported that the positive outcomes for novices were support, sharing ideas
and professional development, while, for mentors, networking, professional development, and
the opportunity to reflect upon their own leadership practices. However, both the mentors and
novices reported that the lack of time to undertake mentoring and the mismatch of personality or
expertise was a negative outcome (Hansford & Ehrich, 2006). These issues highlight the
necessity for designers of formal mentoring programs to ensure mentors are qualified and
trained, a matching process is executed to eliminate potential incompatibilities, and a sufficient
amount of time is factored into program implementation (Hansford & Ehrich, 2006; Simieo et
al., 2010; Bengston et al., 2013).
Each school system possesses their unique practices and processes that control the
socialization of succeeding school principals. Bengston et al. (2013) examined school systems’
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processes and practices that control the organizational socialization of future school principals.
Some school districts initiate a formal sequential program that involves specific steps that
aspiring leaders must complete before becoming a principal (Bengston et al., 2013). While other
school districts purposefully hire deputy superintendents to mentor all school principals and to
develop some type of leadership succession plan (Bengston et al., 2013). These socialization
processes are indicative of the important role that mentoring has in the ongoing development of
educational leaders (Silver et al., 2009).
Some school districts have initiated formal support for novice principals due to the
critical need for ongoing guidance and receiving professional and practical advice (Boerema,
2011). Formal support for novice principals include school districts partnering with local
universities to develop leadership coaches to provide personalized professional development
(Silver et al., 2009). An example of an informal support technique used by novice principals is
called “buddying”. This entails a principal pairing off with one or two other principals with
whom they meet informally but frequently, to discuss problems and strategies of professional
development and leadership in their schools (Fink, 2010). This type of peer mentoring is an
important component for novice principals to continue professional development and growth, as
well as network with other principals at different professional levels with similar experiences
(Simieo et al., 2010).
Principals implement various strategies to identify, recruit, and mentor potential leaders.
Due to the lack of a formal leadership succession management plan, many principals have
deliberately or inadvertently decided to recruit and mentor potential leaders who demonstrate
leadership characteristics or behaviors that strongly assist administrators. Although some
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principals use these methods to cultivate leadership capacity within their teachers, there are still
many factors that inhibit developing potential leaders.
Challenges in Developing Leadership Capacity

The concept and practice of developing leadership capacity in teachers have become a
critical area of discussion and growth in the past two decades (York-Barr & Duke, 2004).
Recently, teachers are undertaking more leadership functions at both organizational and
instructional levels of practice (York-Barr & Duke, 2004). However, teacher leaders are
continuing their role as full-time classroom teachers while also taking on various individual and
collective leadership responsibilities (York-Barr & Duke, 2004). As a result, teachers are
becoming more reluctant to assume these leadership roles due to the extensive time commitment
and their previous professional obligations (York-Barr & Duke, 2004; Donaldson, Johnson,
Kirkpatrick, Marinell, Steele, and Szczesius, 2008). Furthermore, this is creating a potential
challenge for administrators to recruit teachers to fill these leadership vacancies.
In a longitudinal case study that focused on the importance of developing leadership
capacity in teachers to improve student outcomes in schools, Katzenmeyer and Moller (2001)
identified factors involved with a teacher’s readiness to assume the role and the additional
responsibilities of a teacher leader. These include having an interest in professional development,
exceptional professional teaching skills, a well-developed personal philosophy of education, and
be in a career and personal stage in life that enables one to give to others the necessary time to
assume a position of leadership. As a result, an ideal candidate for a teacher leadership position
would be midcareer and midlife (Katzenmeyer & Moller, 2001). This could become particularly
challenging for a principal with a predominately young faculty who has not developed the
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competencies required to be a successful teacher leader due to their lack of professional
experience and expertise.
Teacher leaders are seldom effective in their roles without the encouragement and
support of their administrators. In a mixed-methods case study that was conducted in five
Oregon school districts, Birky, Shelton, and Headley (2006) examined how high school
administrators influence teacher leadership in both positive and negative, particularly in an
educational reform environment. The study found that the school culture created by
administration could encourage, discourage, and motivate teacher leadership activities.
Additionally, the study found that verbal support, appreciation, a spirit of collaboration, and
demonstrated support for taking risks and embracing change could motivate teacher leaders.
However, limiting power from teacher leaders, devaluing work efforts that have been made, or
focusing too much on micromanaging could strongly discourage teacher leadership.
There are various factors that impact the influence of teacher leadership such as school
culture, structure, and professional relationships (York-Barr & Duke, 2004). Donaldson et al.
(2008) identified second-stage teachers as those who had been teaching for three to ten years to
experience resistance from colleagues who viewed them as too young or inexperienced to advise
others about their pedagogical practices. Additionally, Donaldson et al. (2008) reported that
teacher leadership roles that were perceived by colleagues as instructional “reform roles”
experienced resistance to instructional feedback and resented the individual recognition given to
their fellow colleague. Moreover, teachers in these reform roles performed those roles
strategically and sporadically, in order to reduce colleagues’ opposition.
Therefore, participants in reform roles who have encountered opposition merits the
attention of practitioners, specifically administrators who want to develop leadership at their
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school and teachers who are interested in pursuing leadership roles. In order to increase teacher
participation, principals must be explicit and transparent about the objectives of the newly
introduced teacher leadership roles and provide more professional development to the teachers in
these roles. Additionally, teacher leaders need to enlist their principals to promote the legitimacy
of their role and provide any additional assistance with a resisting teacher (Donaldson et al.,
2008).
Transformational Leadership Theory

Transformational leadership theory provides the theoretical framework for this study due
to its salient focus on the process of how certain leaders are able to inspire followers to
accomplish great things. This leadership approach emphasizes that leaders need to understand
and adapt to the needs and motives of followers (Northouse, 2013). Northouse (2013) defines
transformational leadership as a process that changes people and involves an extraordinary form
of influence that encourages followers to exceed their personal expectations and goals. The term
transformational leadership was first termed by Downton in 1973 and was further established by
James MacGregor Burns in 1978 (Northouse, 2013). In his work, Burns attempted to link the
roles of leadership and followership by distinguishing between two types of leadership:
transformational and transactional. According to Burns (1978) transactional leadership focuses
on the exchanges between leaders and their followers, while transformational leadership focuses
on the leader establishing a more personal connection with their followers to raise the motivation
and investment in both the leader and follower to achieve a common goal. As a result, theorists
have hypothesized that transformational leadership is positively associated with moral action,
decision-making, and developing group ethical standards (Northouse, 2013).
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There have been early models of transformational leadership that focuses on the complex
leader-follower dynamic. For instance, House (1976) published a theory of charismatic
leadership that is often described as similar to transformational leadership theory. House (1976)
suggested that charismatic leaders exhibit unique personality and behavioral characteristics that
have appealing and wanted effects on their followers. In the mid-1980s, Bass (2008) provided a
more expanded version of Burn’s (1978) transformational leadership theory by suggesting that
transactional and transformational leadership fall on the same continuum rather than mutually
independent continua. Also, Bass (2008) expanded House’s work by focusing on the emotional
elements of charisma and by suggesting that charisma is necessary for transformational
leadership to take place. These early models of transformational leadership have significantly
influenced the emergence of transformational factors, perspectives, and practices.
In addition to the early models and factors of transformational leadership, two other
perspectives of research have contributed to the understanding of the nature of transformational
leadership. They are the work of Bennis and Nanus (1985) and the work of Kouzes and Posner
(1987, 2002). Bennis and Nanus (1985) identified four common strategies used by leaders in
transforming organizations. Transforming leaders have a clear vision of the future state of their
organization, created a structure for the shared meanings people maintained within their
organization, created trust by making their own positions clearly known and holding themselves
accountable, and used “creative deployment of self through positive self-regard” (Northouse,
2013, p. 197). In addition, leaders were committed to learning, so there was a consistent
emphasis on education.
The Kouzes and Posner model (1987, 2002) consists of five fundamental practices that
enable leaders to accomplish transformation in their organization: model the way, inspire a
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shared vision, challenge the process, enable others to act, and encourage the heart. According to
this model, transformational leaders set out to empower and nurture followers in change and
emphasize behaviors that leaders need to exhibit in order to become effective. Since this study
will focus on the promising action-oriented practices that allow for effective succession
management, it will use this specific model of transformational leadership due to its significant
focus on the fundamental practices that allow leaders to accomplish recognizable change in an
organization.
This research will focus on three of the five fundamental transformational leadership
practices: enables other to act, inspire a shared vision, and model the way. The practice of
enabling others to act involves leaders promoting collaboration that creates environments where
people feel proud of their work and how it contributes to the greater community (Northouse,
2013). Next, the practice of inspiring a shared vision entails leaders to create compelling visions
that can guide people’s behavior and challenge others to transcend the status quo (Northouse,
2013). Also, the practice of modeling the way requires leaders to be clear about their own
philosophies and set a personal example for others by their own behaviors (Northouse, 2013). As
a result, research will use this lens to explore how principals enact fundamental transformational
practices to identify, recruit, and mentor the next generation of leaders.
Summary
The district-level and school-level practices of developing leadership capacity are
identified in the literature examined in this review. Yet there is a deficiency of scholarship
specific to the strategies employed by the principal to develop leadership for teachers to assume
role of principal. Seminal research has identified characteristics of teacher leadership capacity,
but contemporary research has not addressed any shifts in the results noted in Leithwood et al.
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(2007). Most recruitment and selection practices of teachers to the role of principal follow
traditional methods of self-selection with little innovative practices focused on recruiting from
the younger generation of teachers to move into administration. Additionally, most processes of
recruitment are informal, thus lacking a list of common competencies teacher need to fulfill
leadership positions. This present study aimed to remedy this research gap and to identify
specific identification and recruitment strategies employed by principals.
In developing leadership capacity, mentoring plays a significant role for both the leader and
teacher. Mentoring requires time for peer collaboration and must have clear expectations of roles
and guidelines. In addition, it is essential to match the personalities of mentors and novices to
ensure a positive experience for both parties involved. However, much of these practices are not
part of most administrative training and novice administrative experiences. Moreover, many of
these practices are informal and require self-advocacy from both the mentor and mentee.
Research on identifying and isolating specific outcomes of mentoring for principals is limited,
however, and deserves additional study.
The literature review has established that principal leadership is a critical component in
developing a leadership succession plan. Yet there is a deficiency of scholarship specific to how
teacher leadership develops and the experiences of teacher leaders. Much of the literature focuses
on the positive impact teacher leadership can have on school culture, academic achievement, and
teacher retention. The present study attempted to fill these gaps and provide perspective of
teacher leaders. The next section will address the research methods employed to determine
strategies and challenges experienced by a principal, assistant principal, and teacher leaders in
the development of a leadership capacity.

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CHAPTER THREE: METHODOLOGY
The purpose of this study was to examine how a principal identifies, recruits, and mentors
the next generation of leaders at a school site. The study also aimed to explore teachers’
perceptions of the strategies implemented to develop leadership capacity. Along with teachers’
perceptions, this study was designed to identify the factors that both challenge and support a
principal in the development and implementation of strategies to build an effective leadership
succession plan.
Chapter 3 will outline the research design of the study and provide an overview of the
participants and sample selection. It also will re-introduce the theoretical framework and show
the conceptual framework that will be used as the foundation for the study. The data collection
methods will be explained, along with the instrumentation utilized. Lastly, the format for data
analysis is examined, and ethical considerations will be addressed.
Research Questions
As the most current review of the literature demonstrates, limited empirical studies
identifies the practices utilized by principals to build leadership capacity. In addition, there are
limited studies that address teachers’ perceptions of these practices, and the factors that both
challenge and encourage the development and implementation of strategies to build leadership
capacity in a school.

In order to better understand the effective leadership strategies
implemented to build leadership capacity, the following questions were designed by the USC
Ed.D dissertation group to guide the case study:
1. In what ways does a principal work to build the next generation of leaders?
2. What are the perceptions of teachers regarding the influence of practices?
3. What are the factors that facilitate and inhibit high school principals in the
development and implementation of strategies designed to build leadership capacity?
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Research Design and Methods
The qualitative research approach provided the opportunity to explore the problem of
developing leadership capacity in education by using the researcher as the primary instrument for
data collection and analysis. Along with exploring the problem, it allowed the researcher to
understand how a person makes sense of their personal and professional lives through rich
description of what they experience (Merriam, 2009). Furthermore, a case study method was
used in the implementation of this research in order to develop an in-depth analysis of a unique
process and of one or more individuals (Creswell, 2014).
In all forms of qualitative research, some and occasionally all of the data were collected
through interviews, observations, and document analysis (Merriam, 2009). Interviewing is
necessary when we cannot observe behavior, feelings, or how people interpret the world around
them (Merriam, 2009). These interviews allowed for deeper investigation into principal
strategies in developing leadership capacity, including conditions that both facilitated and
inhibited the process. Additionally, these interviews provided the opportunity to gain critical
understanding of teachers’ perception of strategies designed to promote leadership capacity.
Observations were critical in conducting this study. Observations provide the opportunity
for the researcher to have a firsthand experience with the participant in which the phenomenon is
taking place and record the information as it occurs (Creswell, 2014; Merriam, 2009). These
observations allowed the researcher to witness the principal’s strategies used for the
identification, recruitment, and mentorship of potential leaders. Along with witnessing the
strategies used, these observations provided specific behaviors that could be used as reference
points for subsequent interviews (Merriam, 2009) to continue exploring how principals develop
leadership capacity. The study was strengthened by the triangulation of data sources, interviews,
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and observations, which furnished descriptive information and offered historical understanding
(Merriam, 2009).
Sample and Population
This study examined strategies a principal employed to identify, recruit, and mentor
potential administrators. Along with examining these strategies, the study investigated six
teachers’ perceptions of strategies designed to build leadership capacity. In qualitative research, a
small sample size is determined by the design of the study (Creswell, 2013). This study used a
case study method to best answer the proposed research question (Merriam, 2009). Additionally,
this method offered the opportunity to investigate and provide understanding of a complex social
phenomenon (Merriam, 2009).
This study used purposeful, convenient sampling to identify one principal who
demonstrated the ability to develop and sustain leadership capacity at her school site. Purposeful
sampling allowed the research to conduct the investigation necessary to answer the proposed
research questions. Snowball sampling led to the identification of teacher leaders and other
administrators from whom data was collected (Merriam, 2009). Through snowball sampling, an
elementary school principal, the assistant superintendent for educational opportunities, two
middle school principals, and one science department chair were identified to participate in the
case study. To increase internal validity, approximately six teacher leaders and administrators
were selected to participate in the study.
The established criteria for identifying a principal who builds leadership capacity at his or
her school site included, (a) the principal had served in that leadership capacity for more than
three to five years, (b) one or more teachers have been tapped by the principal and is now
pursuing or in formal school administration, and (c) the principal reported she had purposefully
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built leadership capacity in teachers with the intent of encouraging them to progress into school
administration.
Overview of the Organization
Troy Middle School (pseudonym) is a 7-8 middle school in Los Angeles County,
California. During the 2011-2012 school year, it maintained an enrollment of 1,328 students,
18% of whom were English Language Learners, 8% of whom were identified as students with
learning disabilities, and 33% of whom have been identified as Gifted and Talented. Currently,
Troy Middle School has a 1:27 faculty-student ratio, with 100% of teachers possessing a
teaching credential. The majority ethnicities at Troy Middle School are White (55%), Asian
(27%), and Hispanic (14%).
During the 2012-2013 school year, Troy Middle School accomplished a 937 API score,
and in 2015 was recognized as a California Gold Ribbon school. This prestigious award
recognizes California schools that have made gains in implementing the academic content and
performance standard adopted by the State Board of Education. Additionally, in 2012-2013,
Troy Middle School received a Similar School Ranking of 10; each has a 10% of the 100 most
similar schools, where 1 is the lowest and 10 is the highest.
Overview of the Principal
Troy Middle School was selected as the observation site due to the significant and
sustained student achievement under the current principal’s leadership. The principal, Dr. Olivia
Fowler, was chosen as the unit of analysis for this case study because she has been principal at
Trojan Middle School for six years. She has been in the education field for over 30 years and has
held various leadership positions in her school district: grade-level chair, teacher specialist, and
assistant principal. As an elementary school principal, she had the opportunity to write and
execute a Distinguished School Plan that provided her insight on why current leaders need to
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begin to cultivate leadership capacity at their school site, In addition, the principal has served in
her leadership role for five years, has two teachers who are pursuing school administration roles,
and reported to have purposefully cultivated leadership capacity in teachers. Furthermore, Troy
has gained a reputation of producing education leaders, under the guidance of the principal, who
currently serve in administrative roles within the school district.
Theoretical Framework
Transformational leadership provided the theoretical framework for considering this
complex phenomenon. Northouse (2013) defines transformational leadership as a process that
changes people and is concerned with emotions, values, ethics, standards, and long-term goals,
which include assessing followers’ motives and accommodating their needs. In particular, this
study was guided by Kouzes and Posner’s (2002) model of transformational leadership that
consists of five fundamental practices that enable leaders to achieve unanticipated
accomplishments: model the way, inspire a shared vision, challenge the process, enable others to
act, and encourage the heart. This framework was selected for the study due to its salient focus
on action-orientated practices that allow leaders to accomplish change and in order to develop
succession management practices in schools. The dissertation group deliberately decided to focus
on 3 of the 5 practices: enabling others to act, inspiring a shared vision, and modeling the way.
The practice of modeling the way focuses on how principals mentor and are a role model for
teachers to move into the role of a principal. Next, the practice of inspiring a shared vision
entails how leaders create a vision to guide followers’ behaviors. Also, the practice of enabling
others focuses on how leaders build trust to engender collaboration. Transformational leadership
can form a basis for developing a culture where there is a common goal for people to move
toward and that allows for instructional leadership to flourish model the way.
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Given the limitations of the study, the dissertation group felt that these three practices
were more aligned to building leadership capacity. All five practices could apply, but these three
practices were more applicable to looking at leadership capacity building in teachers. The
dissertation group believed there was a redundancy and crossover among the practices and these
three practices that were selected best serve as strategies for practicing exemplary leadership.
Thus, transformational leadership provided the best lens to explore teachers’ perceptions of
leadership development strategies and how principals identify, recruit, and mentor potential
school leaders.
Conceptual Framework
The conceptual framework, designed by the thematic group, was based upon emerging
themes from the review of the literature. The conceptual framework below begins with the
evolution of the principal’s role based upon historical impact. Next, the framework focuses on
current forms of principal succession planning that are implemented to produce leadership
capacity. With limited principal succession plans established, the role of transformational
leadership plays in building leadership capacity is examined. The thematic group specifically
chose modeling, inspiring a shared vision and enabling others to act. Through this lens, the
challenges of developing leadership capacity within schools and districts were identified that
impact the reservoir of high quality principals. Despite these identified challenges,
transformational leadership practices support the building of leadership capacity and aim to
contribute to the reservoir of high quality principals.
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Figure 1: Conceptual Framework, Ed.D. Thematic Group, 2015
Data Collection Approach
Purposeful, snowball sampling allowed the researcher to select participants based on
established criteria (Merriam, 2009). Thus, the researcher intentionally selected one school
principal known to have developed leadership capacity at her school site in order to study the
strategies designed to cultivate leadership capacity and the factors that challenge and facilitate
the development of leadership succession. With the assistance of the selected principal, six
participants were identified as potential administrators or current administrators who were
recruited and mentored by the selected principal. These additional six participants were
interviewed to obtain perspectives of the selected principal’s efforts to identify, recruit, and
mentor the next generation of leaders. Each potential participant was emailed a participant letter
(see Appendix A) requesting their participation in the study and stipulating the criteria for
participation.
In order to gain access to the observation site, a phone call was initially made to contact
the potential participant and inquire if she met the established criteria. After all criteria were met
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and the principal voluntarily agreed to participate in the study, a participant letter (see Appendix
A) was emailed to further clarify the purpose of the study.
The table below illustrates the recruited participants of the study, the number of years at
their current school site, the number of years they have been in their current role, and the
expected time of each interview.
Table 1

Participants in the Study

Role Years at School Years in Role Expected Time Commitment
of Interview
Principal 6 6 45 minutes
Elementary School
Principal
3 7 45 minutes
Assistant
Superintendent
4 4 45 minutes
Assistant Principal 1 1 45 minutes
Assistant Principal 1 1 45 minutes
Science
Department Chair
3 2 45 minutes

Instrumentation

Semi-structured interviews were selected as the means of data collection because of two
primary considerations. First, they are well suited for the exploration of the perceptions and
opinions of participants regarding sensitive topics and enable probing for more information and
clarification of answers (Creswell, 2014). Second, this format allowed the researcher to respond
to the unanticipated topics that emerged during the interviews (Merriam, 2009).
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This study was conducted through a semi-structured interview process with one principal
and five other participants from the school district who were identified as becoming future
education leaders or have obtained a leadership role under the mentorship of the selected
principal. Each participant was interviewed at least one time for a minimum of 45 minutes. The
participants were asked to discuss their experiences and perceptions of strategies used in the
implementation of cultivating leadership capacity. Additionally, the participants were asked to
discuss the factors that challenge and support the development of leadership capacity. Lastly, the
participants were asked to elaborate on the strategies used to identify, recruit, and mentor
potential leaders.
Data were collected through the examination of school documents such as the student
accountability report card (SARC), school plan, meeting agenda and minutes, and resumes if
accessible, in order to gain a general understanding of the school’s organization and structure.
According to Creswell (2014) documents can provide information that cannot always be
observed and represents data to which the participants have purposefully made a priority.
The following table demonstrates how research questions for this study were utilized to
determine the appropriate form of data collection. The interviews facilitated the collection of
data used to answer all of the purposed research questions. The observations conducted assisted
in responding to the questions about teachers’ perceptions of strategies designed used to develop
leadership capacity and practices that facilitate and challenge the development of leadership
capacity. The artifacts collected aided in responding to solely question about the practices that
encourage and inhibit the implementation of techniques designed to develop leadership.

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Table 2

Research Questions as Instrumentation

Research Questions Interviews Observations Artifacts
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
practices that both
facilitate and inhibit
the development and
implementation of
strategies designed to
build leadership
capacity?
X X X

Data Analysis

The process of data analysis provided answers to the research questions (Merriam, 2009).
The data analysis process utilized for this study was designed upon Creswell’s (2014) six steps
for data analysis, which provided a guiding framework. A pictorial version of Creswell’s model,
developed by the thematic dissertation group, is included below to illustrate the process of data
analysis implemented.
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Figure 2: Creswell’s Model for Qualitative Data Analysis (Creswell, 2003).

As the model demonstrates, it was critical to first organize the data collected from the
observations, interviews, and documents. Second, the researcher reviewed the data to make sense
of the information and identify the initial emerging themes. Third, the data was organized and
coded into similar themed categories. Fourth, a description of the data collected was developed
from the codes and themes were analyzed. Fifth, the identified themes were organized into a
descriptive narrative for the study. Lastly, the researcher conducted a thorough examination of
the data and attempted to make meaning from the findings and results that emerged through the
analysis process.
Ethical Considerations

Ethical considerations played a significant role in the design of the data collection and
within the analysis processes. The researcher diligently abided by the University of Southern
California’s guidelines and procedures for ethical conduct in research designated by the
Institutional Review Board (IRB). The study’s participants all voluntarily offered their
participation and were provided the opportunity to withdraw at any time from the study.
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To ensure confidentiality for each participant, along with his or her place of employment,
pseudonyms were used from the beginning of the study. All data and records were kept in a
secure location to ensure discretion of sensitive information. Additionally, all data was discarded
after completion of the dissertation.
Summary
This chapter has provided an overview of the qualitative case study methods and data
analysis that was used to conduct the research. Next, Chapter 4 presents and discusses the
study’s findings and analyzes their meaning related to the purpose of the study.

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CHAPTER FOUR: RESULTS

The goal of this study was to identify strategies employed by a principal in an effort to
develop leadership capacity at a middle school located in Southern California. Additionally, the
study aimed to examine teachers’ perceptions of those strategies and what factors support and
impede the development of leadership capacity. This chapter will briefly introduce details about
the participants of the case study and report on the findings, organized by the following research
questions that served to frame the study:
1. In what ways does a principal work to build the next generation of leaders?
2. What are the perceptions of teachers regarding the influence of practices?
3. What are the factors that facilitate and inhibit school principals in the development and
implementation of strategies designed to build leadership capacity?
Overview of Participants
The following section will provide a description of the unit of analysis as well as the
selected participants in this study. The unit of analysis for this case study is the principal of a
middle school located in a Southern California public school district. For over 30 years, Dr.
Olivia Fowler (pseudonym) has worked in education and has held various leadership positions.
During the time of this study, she was entering her 6
th
year as principal of Trojan Middle School
(pseudonym) Prior to accepting the principal position at Trojan, she was an elementary school
principal for 13 years in the same district. As principal, she has adopted an enthusiastic
philosophy of education, “School should be fun. I believe kids should be able to wake up in the
morning especially as middle schoolers and be excited about the possibilities of the day ahead.”
She also firmly recognizes that schools can become institutionalized and as an educator she has
an obligation to prepare students for college and future careers.
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In addition to her role as principal at Trojan, Dr. Fowler is a director for the local
Chamber of Commerce. She is also a mother and comes from two generations of educators who
were vital in her discernment to become an administrator. Furthermore, Dr. Fowler considers
herself to be a “lifelong learner” as evidenced by earning a Master’s degree in Reading and a
Doctorate degree in Instructional Leadership.
In addition to Dr. Fowler, five other participants were purposefully selected, interviewed
and observed to gather data that would inform the research questions. All of the participants
either currently work or previously worked for Dr. Fowler and still work in the same school
district. Participant A is currently in her 7
th
year of principalship at an elementary school and has
worked in education for nearly 20 years. She was Dr. Fowler’s teacher specialist for 5 years and
contributes much of her leadership success to Dr. Fowler’s strong coaching and continued
mentorship. The next participant is one of two Assistant Superintendents for Educational
Opportunities and has worked in education for 23 years. Participant B was Dr. Fowler’s student
teacher for 1 year, colleague for 5 years, and eventually her teacher specialist for 3 years. The
following participant is one of two Assistant Principals for Dr. Fowler and has worked in
education for 15 years. Participant C is in his first year as an administrator and relies on Dr.
Fowler’s mentorship to become a successful school leader. Participant C is currently
transitioning from a classroom teacher to a full-time administrator. The next participant is one of
two Assistant Principals for Dr. Fowler and has worked in education for 25 years. Participant D
was previously an elementary school principal and is serving in her first year as Dr. Fowler’s
Assistant Principal. Participant D decided to accept this position because she wanted to increase
her knowledge about middle school curriculum in order to advance her career at the district level.
The final participant is Dr. Fowler’s Science Department Chair who has worked at Trojan
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Middle School for 5 years. Participant E aspires to become an Assistant Superintendent and has
self-appointed Dr. Fowler as her career mentor.
The following table describes the participants’ roles within the district in addition to their
years of experience in that leadership role.
Table 3
Description of Participants
Participant Years in Education Years in Current
Leadership
Positions
Current Leadership Role
Dr. Fowler 30 6 Middle School Principal
Participant A 20 7 Elementary School Principal
Participant B 23 4 Assistant Superintendent for
Educational Opportunities
Participant C 15 1 Assistant Principal
Participant D 25 1 Assistant Principal
Participant E 5 2 Science Department Chair

Overview of the Organization
Troy Middle School (pseudonym) is a comprehensive 7-8 middle school in the
northeastern part Los Angeles County, California. During the 2013-2014 school year, it
maintained an enrollment of 1,328 students, 18% of whom were English Language Learners, 8%
of whom were identified as students with learning disabilities, and 33% of whom have been
identified as Gifted and Talented. Currently, Troy Middle School has a 1:27 faculty-student ratio,
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with 100% of teachers possessing a teaching credential. Additionally, Dr. Fowler oversees a staff
compromised of two administrators, two counselors, and 50 teachers. Dr. Fowler has made it a
priority to ensure that her faculty and staff are able to create a supportive and nurturing
environment for their students. She is able to accomplish this goal by developing strong
relationships with her colleagues and providing opportunities for explicit feedback and follow-up
observations and meetings.
Along with four classrooms, administrative and collaborative meeting observations,
various artifacts, which informed the research questions were reviewed and analyzed. The
findings will be presented in direct relation to the three research questions that framed the study,
and are followed by a discussion.
Data Findings

Results of Research Question One: Strategies in Building Leadership Capacity
The first research question sought to illuminate the practices employed by the principal to
purposefully cultivate leadership capacity. As data were collected in this study, three themes
emerged: principal’s leadership ideology, school culture, and opportunities for authentic
experiences. The first theme that emerged was Dr. Fowler’s unwavering leadership ideology.
She explicitly expressed and demonstrated leadership characteristics that provided a solid
foundation to develop leadership capacity. The second overarching theme was sharing a strong,
defined school culture. She made it a priority to create a school culture that promotes developing
the next generation of education leaders. The third overarching theme was opportunities of
authentic leadership experiences. Dr. Fowler demonstrated commitment to providing her aspiring
leaders the experiences needed to be successful in a leadership position.

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Principal’s Leadership Ideology
Inspired by her grandfather who was a high school teacher and basketball coach, Dr.
Fowler decided in her junior year of college to major in education and become a teacher. After
teaching for almost ten years and recognizing the need for strong leadership, she attained her
administrative credential and accepted an Assistant Principal position. After serving in that
capacity for five years, she was offered a principal position at an elementary school. As a first
year principal she quickly developed her own leadership style with the students’ social and
emotional needs being at the core. She commentated:
I began to tell my teachers that we have a calling. We have a motto that kids who come to
school who are loved, are ready to learn, but kids who are not, come to school to be
loved. We have to do our best to provide students with a caring and loving environment.
Following a successful thirteen-year period as an elementary school principal, Dr. Fowler
was tapped to take over the helm at Trojan after the principal of two years moved to assume the
principal position at the local high school. During Dr. Fowler’s third year as principal, the school
community experienced the tragedy of a teenage suicide. Dr. Fowler reflected on how this event
has impacted her leadership:
It was one of our former students that jumped off a building during lunch where students
where present, so we’ve had this contagion in our community. We’ve had five students in
a five-mile radius that have committed suicide. It has forced us to take on this strong
social, emotional piece. In addition to Common Core, we have now added caring,
community, and culture to our educational values and leadership.
Due to Dr. Fowler’s various educational experiences, she has developed a leadership
ideology that reflects the needs of the community, including strong leaders that provide a safe
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environment for both students and teachers. The most salient leadership strategies implemented
by principals to build leadership capacity will be explored in the following section.
Modeling. Dr. Fowler has purposefully expressed and demonstrated her willingness to
assist her faculty in the development of leadership capacity through modeling. Dr. Fowler
described these modeling strategies as shadowing opportunities and discussing the challenges
she faces so teachers can learn from them. During an interview in her office, she stated, “It’s
constant modeling and being very specific and purposeful about the opportunities that you give
them in order for administrators or educational leaders to sustain success.” For example, she
discussed how she often blind copies specific teacher leaders to model how to very explicitly
communicate with different stakeholders at the school. She elaborated on this point:
When I was an elementary school principal and you could say still [as a middle school
principal]. I gave my teacher specialists and assistant principals the opportunity to just sit
in and listen. It is one of the greatest learnings. Listen to how I manage a discipline
situation, sit in on an Individual Education Plan meeting [IEP] or a Student Study Team
[SST] and listen to how I talk to parents.
As Participant D was making copies for an emergency preparation meeting, he explained how
modeling has helped him grow professionally. He expressed, “I am able to build from what Dr.
Fowler has shown me. I am constantly learning new skills that will help me as an administrator.”
Additionally, Dr. Fowler’s modeling techniques were observed during a leadership team
meeting that consisted of her two assistant principals, director of academic counseling, teacher
specialist, and her secretary. Dr. Fowler schedules a weekly team meeting every Monday
morning to discuss important topics or future and past events. In one of the weekly leadership
team meetings, the team began to discuss a controversial topic that has resulted in a town-hall
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style meeting with faculty. Dr. Fowler began to model for her assistant principal exactly how to
start the meeting, what to say, and mentioned anticipated questions and comments by the faculty.
The assistant principal began to take notes as Dr. Fowler began to model how to facilitate the
meeting with faculty:
You should start off the meeting by saying, ‘This situation will be dealt with on a
individual basis and we will not make any type of big announcement.’ I have heard that
the teachers are bringing up the 1
st
amendment argument as they have the right to dye
their hair as long as it’s not a disruption. You should respond that the disruption is
difficult to define, but we will continue to work defining the disruption and make sure it
is written in next year’s parent-student handbook to eliminate any further ambiguity.
In addition to the modeling strategies employed by Dr. Fowler with her current
administrative team, Participant A expressed how Dr. Fowler’s modeling techniques assisted in
the development of her own leadership growth. She articulated that when Dr. Fowler was having
conversations with certain parents or other administrators, she would leave her office back door
open for her to listen. She commented, “I learned so much from eavesdropping on conversations
that she was doing that intentionally.” Similar to Participant A, Participant D echoed that he
gained a better understanding of how he should respond to and communicate with various
stakeholders at his school through the practice of modeling.
In other words, Dr. Fowler’s specific and purposeful modeling strategies have been a
significant learning tool for aspiring leaders. This finding is supported by previous research
noting that modeling is essential for future education leaders to develop new skills and learn how
to navigate through the challenging demands of the principalship (Hansford & Ehrich, 2006).
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Mentorship. Dr. Fowler articulated that one of her salient tasks as principal is providing
mentorship to her current assistant principals, teacher leaders, such as department chairs and
teacher specialists, as well as the aspiring leaders among her faculty. As we walked from the
main building to the school yard, Dr. Fowler voiced that it is her responsibility as a principal and
a mentor to prepare her aspiring teacher leaders for their upcoming leadership role. She
articulated:
When you have that leader that you have identified, it's then spending time with them,
lots of time. Going through interview questions, actually role-playing. It's working with
them in developing that resume and helping them recall some of the professional
development activities that they participate in or trainings that they have led.

Dr. Fowler’s sentiments of the importance of being an effective and intentional mentor
were echoed by another other school leader. Participant A elaborated on the impact of Dr.
Fowler’s mentorship when she was a teacher specialist. She articulated that Dr. Fowler would
mentor her through planning professional developments and fulfilling Special Education
program requirements. Participant A continued, “ She [Dr. Fowler] was able to provide an
environment where it’s not ‘You did it wrong’, but more of a ‘You might want to try this’.
Additionally, Participant D expressed that Dr. Fowler’s mentorship has formed collegiality
among the faculty and staff. He noted, “I feel free to reach out to my principal or the other
assistant principal at any time if I have any questions.” Due to facilitating this professional
atmosphere, teachers felt more comfortable in taking risks and developing their leadership skills.
Dr. Fowler’s implementation of mentorship played a significant role in developing the
next generation of leaders. This finding is supported by previous research that found that
informal mentorship was an essential practice through the succession process (Zepeda et al.,
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2011) due to the support, professional development, and networking opportunities (Hansford &
Ehrich, 2006).
Rigor in leadership selection and promotion. An additional strategy employed beyond
modeling and mentorship was the rigor involved to inform the selection and promotion process
of faculty and staff. During a formal interview Dr. Fowler discussed the identification strategies
employed to select and promote future school leaders. She expressed the importance of “building
the resume” by having well formed leadership experience through participation of leading
professional developments or other school activities. She explained that she seeks candidates
who have both “the breadth of experiences and the depth of experiences.” These types of
experiences could be specializing in curriculum development for Special Education programs or
expertise in teacher development. Participant E discussed the various educational and
administrative experiences that were needed prior to attaining the Science department chair
position. She noted:
I started off as a P.E. instructor. Dr. Fowler told me that I would need to have classroom
experience in order to be considered for a leadership position. I decided to get my science
teaching credential. Once, I had that Dr. Fowler hired me to become her 8
th
grade science
teacher. Currently, I am working on getting my administrative credential.
After Participant E worked as the 8
th
grade Science teacher for three years, she was provided the
opportunity to become the Science Department Chair. Participant E articulated that these
positions and range of experiences provided a vantage point for administrative roles.
Dr. Fowler further discussed the importance of having an educational component coupled
with extensive work experience. She expressed that in her experience candidates who have
received master’s degrees or doctorate degrees with an educational leadership focus have a
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higher chance of being promoted to an administrative position. Dr. Fowler explained that higher
education degrees with a focus on leadership provide extensive knowledge about curriculum
development and school budgeting that is an advantage for an administrative position.
When asked to explain how Dr. Fowler identifies potential leaders among her faculty and
staff, she discussed the various and general characteristics or actions she may look for. She
stated:
What you do as a site administrator is you find those people naturally on your staff. You
see their leadership ability. You see it in informal ways when you make classroom visits;
you watch how they're coming in to a classroom. You watch their interaction in a
department meeting or in a faculty meeting. You see that they're willing to volunteer and
take on additional projects.
Dr. Fowler’s key insight about what prerequisite skills and knowledge are necessary to be
a successful administrator has contributed to her framework of informally selecting and
promoting teachers. This finding is substantiated by previous research noting that principals are
capable of effectively identifying teachers with strong leadership potential and that school-level
leadership is a strong predictor of administrative promotion (Myung, et al., 2011).
School Culture
The second overarching theme that emerged was Dr. Fowler’s commitment to create a
school culture conducive to the cultivation of leadership capacity. Dr. Fowler voiced that, “It’s
necessary to have common goals. I do expect them to be enormously and incredibly respectful to
all students and teachers.” Prior to the beginning of the school year, Dr. Fowler, Participant C, D
and E collaborated to create the goals and vision for the new academic year. They decided the
school theme would be “Discover The Hero Within” and would focus on the faculty’s
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“superpowers and super strengths to love, nurture, and support learning for their students.”
Faculty feels valued and appreciated through the partnership involved to create the school
culture, as evidenced by Participant E:
When I was given the opportunity to help create the school theme for this year I felt
honored, but most importantly I felt that Dr. Fowler really cared about what teachers
want and was actually listening to how the teachers think we can move forward to
accomplish goals that goes beyond academics.
The most influential strategies employed that promote the development of the next
generation of leaders are effective collaboration among faculty members by building strong
relationships with staff.
Collaborative culture. Dr. Fowler has employed various strategies to build a
collaborative culture that will increase leadership capacity at her middle school. Dr. Fowler
expressed the significance of personal accountability when developing a collaborative culture.
She affirmed, “I am the first person that needs to be collaborative, if I want my faculty to
collaborate amongst themselves and eventually with me.” Additionally, she stated that
transparency is critical in developing a collaborative culture, but at times finds this to be the most
challenging. She explained how she posts a document that tracks all of her classroom visits on
her office door that has allowed her to become more visible to her faculty:
That helps me be able to look to see how am I doing in that getting to every classroom in
a week's time. It sounds like, how hard could that be, every classroom, every week? I find
myself struggling with it.
Dr. Fowler commented that these classroom observations not only allow for her to be
more transparent, but its also provides the opportunity for her to identify and select potential
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leaders. She articulated that being a teacher in the classroom is the first opportunity to
demonstrate leadership. Dr. Fowler openly expressed that classroom observations allow her to
see how teachers react to challenging situations and respond to students’ behaviors. She
explained, “The type of leader you are in the classroom is the type of leader you will be outside
of the classroom.”
In addition, Participant C commented that collaborative culture has made an impact on
her leadership development, especially during her first year as Assistant Principal. Participant C
discussed that Dr. Fowler has created a work environment where she feels empowered to ask
various departments for assistance in order to successfully complete tasks assigned to her by Dr.
Fowler. Participant C expressed that as Assistant Principal it is her responsibility to set up
numerous parent assemblies, organize school-wide test preparations, and facilitate department
meetings. Participant C noted:
I need help from so many different people on campus and I feel comfortable asking
questions if I don’t know the answers. I ask the counselors to help find resources within
our community to provide for parents. I have informal conversations with teachers to see
what professional developments they would like to have. I need to reach out maintenance
to set up tables and chairs for assemblies.
In order to successfully build a collaborative culture, Dr. Fowler initiates numerous
informal and formal meetings with her teachers and administrators to discuss pressing
instructional and leadership issues. Dr. Fowler’s first initiative was called “Food with Fowler”
which is hosted once a month in a teacher’s classroom. Dr. Fowler purchases lunch for the
faculty and the meeting is completely optional. Dr. Fowler stated that an estimated 75% of her
teachers attend on a regular basis. She explained that this is an opportunity for her teachers to
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have an informal conversation with her about upcoming leadership opportunities, concerns they
may have about instructional decisions, or opinions for future professional developments. Dr.
Fowler expressed how these opportunities for collaboration provide insight about individual
professional goals of her faculty and what certain teachers need to move into leadership
positions. Furthermore, Dr. Fowler firmly believes that “expertise lies in the building”, but she
must be able to identify those expertise in order to develop leadership capacity. She explained
that she has created an online portal where she posts a scenario regarding a controversial
leadership decision and the context that led to that decision. She then encourages faculty to have
an informal dialogue about the decision and their recommendations for an alternate outcome. Dr.
Fowler explained that this collaborative task allows her to identify essential leadership
characteristics such as sharing of ideas, learning from peers, problem solving skills, and the
ability to think critically.
Relationship building. Another strategy utilized by Dr. Fowler to build the next
generation of leaders is cultivating professional relationships with her faculty and staff. As we
were preparing for a classroom visit, she explained how it is essential for principals to remain
humble and build collegiality. She candidly expressed that as a principal, “You have to check
your ego at the door and be willing to be a part of the team.” Additionally, Participant D
mentioned that in order for a principal to be a transformational leader, he or she must be able to
recognize all of the stakeholders and identify their professional needs. Participant C echoed, “In
order to see positive change, a principal must be willing to work with others and have a
welcoming demeanor.”
When asked about what specific strategies Dr. Fowler employs to develop professional
relationships, she articulated that “constant acknowledgement” of teachers’ work and dedication
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at faculty meetings or faculty emails. Also, being open and honest through “constant talking”
about what she observed either in the classroom or faculty meeting and provide explicit
feedback. Additionally, she asks the teachers to create yearly professional goals and reflect upon
them at the end of the year. She explained that these reflections help her gain insight about goals
the teachers have accomplished and provides data to “write final evaluations and determine
potential leadership roles for specific teachers.” Also, she creates yearly professional goals and
shares with her faculty her achievements and areas of improvement. She explained that in her
experience this exchange of ideas “enables teachers to become more vulnerable about discussing
their accomplishments and shortcomings to a group of their peers” that creates an inviting
environment for collaboration.
Opportunities for Authentic Experience

A final and overarching theme that emerged from this data is providing the opportunity
for teacher leaders to have authentic leadership experiences prior to becoming a school leader.
To prepare her teachers for the role of principal, Dr. Fowler offers numerous opportunities to
develop leadership skills and knowledge. The opportunities for authentic administrative
experiences are through a variety of formal and informal roles that include administrator
designee, teacher specialist, or department chair. Under her guidance, teachers have authentic
administrative experiences that can be utilized once they become a principal.
Authentic administrative activities. The most prominent strategy utilized by Dr. Fowler
is providing the opportunity for teachers to participate in administrative activities that would
prepare them for various demands of a school leader. Dr. Fowler expressed in an interview that it
was her responsibility as principal to provide these authentic activities to her teachers. She
explained:
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It is my job to prepare teachers for the next level in their careers. I can do that by
providing opportunities for them to see a glimpse of what a principal does on a daily
basis.
Additionally, Dr. Fowler articulated she will often times seek out selected teachers and
encourage them to take on various school-level leadership positions in order to gain that
leadership experience and build stronger resumes. Dr. Fowler explained, “Sometimes it's giving
that opportunity to say, ‘This next go around, you need to be department chair.’ It's about
assisting them and pushing them.” With guidance, these experiences allow teachers to gain
leadership perspective and assess their leadership capacity.
Recently, Dr. Fowler voiced she had Participant E assist in the building of the master
schedule for the upcoming school year. Dr. Fowler felt that this unique experience would provide
the opportunity for her department chair to “understand the time and problem solving skills it
takes to create the schedule and that not everyone will be happy with the decisions that had to be
made.” Teacher leaders believe that this kind of experience is necessary to develop not only the
skills required to be an administrator, but the confidence to be a leader, as evidenced by
Participant E:
I felt that it [building the master schedule] was a great opportunity to problem solve the
scheduling issues with Dr. Fowler instead of trying to do something like that on my own.
I feel much more prepared when I have to tackle the master schedule as an administrator.
Dr. Fowler provided an example of how specifically she provides opportunities for her
faculty. Currently, she has a Science teacher who eagerly wants to establish herself as a school-
level leader. Dr. Fowler explained, “She's great and she's enthusiastic too, but she hasn't done the
next steps to get her ready for a leadership position. So I assigned for her to be in charge of the
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8
th
grade Science Knott’s Berry Farm trip.” Dr. Fowler assigned this task due to the historical
issues and controversy surrounding this field trip. Dr. Fowler explained that this would be an
opportunity for her Science teacher to collaboratively work with her colleagues to solve the
previous challenges. Due to the encouragement of collaborative practices, teachers feel more
empowered to participate in problem-solving tasks through informal roles.
All of the participants in the study discussed how they have been provided
opportunities to develop leadership skills through informal roles. Participant B recalled,
“Dr. Fowler would assign me special tasks like putting me in charge of small fundraisers
or moderate a student club.” Additionally, Participant E shared, “Dr. Fowler has asked
me to help create the department budget.” These informal roles have helped create a
shared leadership structure that promotes leadership development from the ground up.
Moreover, Participant A articulated, “Dr. Fowler gave me the opportunity to
develop interview questions and sit in on teacher interview.” Participant D explained,
“Dr. Fowler allowed me to create a plan to increase school participation of our Special
Education students.” Due to the explicit feedback provided during the administrative
opportunities, the participants found these experiences to be extremely beneficial to their
professional growth.
Discussion of Research Question One
Based on the study’s findings, the principal’s leadership style, established school culture,
and providing authentic administrative experiences are behaviors of a principal who is
intentionally working to build the next generation of principals. The significance of mentorship,
intentional modeling, and rigor in the leadership selection and promotion emerging as key
strategies indicates that leaders must promote shared responsibility to identify leadership and
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mentor those teachers to achieve principal positions. Additionally, a principal must develop a
distributed leadership structure that allows teachers to build leadership skills with the guidance
of their principal.
Dr. Fowler’s leadership approach could be characterized best as a standard process that
involves various informal mentorship experiences needed prior to becoming a formal school
leader. Essentially, she is the driving force behind developing leadership capacity at her school
site. Accordingly, Dr. Fowler employs an informal identification and selection process to recruit
teachers to eventually enter school-level leadership positions. Additionally, Dr. Fowler’s
tenacious belief in developing leadership allows her to have difficult conversations about
teachers’ strengths and areas that need more improvement. Dr. Fowler has challenged certain
faculty members to step outside their comfort zone and continually motivate potential leaders to
acquire the proficiencies needed to become a principal. Simeieo et al. (2010) found that
mentorship is vital in the recruiting and retaining of educational leaders because this individual
support provides aspiring leaders the opportunity to discuss research-based solutions with a
person who has experienced similar experience and promotes continuous development and
professional growth.
It is evident that a strategy utilized by Dr. Fowler to develop leadership capacity is to
embed the importance of it within the school culture. The process of developing a collaborative
culture and relationship motivates and supports teachers to become educational leaders.
Essentially, Dr. Fowler has begun to develop a leadership reservoir for the school and the district
to tap into when searching for leaders. Fink (2010) found that this type of “grow your own
strategy” ensures a ready supply of prepared leaders, reduces the expenses of recruitment and
motivates faculty to pursue leadership positions.
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Additionally, opportunities to experience authentic administrative challenges and
professional allow identified leaders to connect with established school leaders who can provide
advice and guidance since they share similar experiences. Through these activities and
professional developments, identified leaders are able to develop and refine leadership skills and
find network connections needed to be a successful school leader. Boerema (2011) found that
new leaders need assistance in becoming connected to support networks and developing
leadership disposition in order to remain and be successful in a leadership position.
Results of Research Question Two: Perception of Leadership Capacity Building Practices

The second research question attempted to ascertain the teachers’ perceptions of the
leadership practices employed by the principal. As data were collected in this study, three
overarching themes emerged addressing the second research question. The first overarching
theme that emerged was the perceived significance of relationship building. Teachers validated
the practices that were implemented and found professional relationships essential in the
development of their own leadership capacity. The second overarching theme that emerged was
the teachers’ perception of the value that comes from authentic administrative experiences. The
third overarching theme that emerged was the teachers’ perception of the importance of
mentorship as they develop leadership skills.
Significance of Relationship Building
The first practice perceived to be the most influential in developing leadership capacity
was the significance of relationship building among administrators and faculty. Participant E
discussed why cultivating relationships with colleagues is essential to the development of her
own school-level leadership style:
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For a leader to just come out, appear, and give a directive and leave is only going to work
with a certain type of person. That’s not going to work with a teacher that's 20 years your
senior. You can't do it that way. You have to do it from a place of understanding and
understanding the job.
In addition, Participant D echoed the same sentiments about the value he has found in
developing relationships with his colleagues. He expressed how the professional relationships he
has built with Dr. Fowler encouraged him to move into administration. Participant D continued
by adding that he was motivated by the positive feedback and support he received from his
department to transition from the classroom to assistant principal. He commented:
As department chair, when teachers became upset, I had to remind myself to not take it
personally, it could be that they did not understand what I was asking of them. I had to
take another approach or different strategy.
In other words, developing professional relationships provides the opportunity to
become acquainted with your colleagues and learn what is the most effective leadership
style that inspires teachers to feel empowered to lead. This finding is supported by
previous research that noted that a more personalized form of leadership is generally
viewed positively by teachers and are more willing to aspire to leadership positions
(Silver et al., 2009).

The positive relationships created a sense of safety for the teachers and support as they
learned about and practiced administrative tasks. Participant A asserted how salient relationship
building has been in the development and sustainment of her leadership style and capacity:
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Now I know that I can call anybody, we have a group of colleagues that go to breakfast,
and you know who your safety nets are, so you can give them a call just to verify as a
sounding board. We have a lot of those. I'll say even my bosses I'm not afraid of calling.
The “breakfast club” sessions provide an outlet for workplace pressures, allowing school leaders
to share their challenges with others experiencing similar obstacles who can relate.

Other networks of relationships matter in the facilitating of building leadership capacity,
including direct supervisors like principals. For the assistant principals in this study, the
professional relationship that has been created with their principal is essential for their own
leadership growth and capacity. Participant C described how the exchange of ideas with his
principal has been critical in his first administrative year. Participant D’s experience
substantiated the importance of open communication that has allowed her to develop a
professional relationship with her principal.
When I observed a faculty meeting, it was evident that teacher leaders valued
their relationships with Dr. Fowler and in turn demonstrated willingness to respectfully
participate in whole-group discussions. Dr. Fowler asked the faculty to discuss how
technology can positively and negatively impact instruction and student achievement.
Many of teachers remained silent, while others just huffed in what could be perceived as
frustration toward technology at school. The teacher leaders politely raised their hands
and waited for Dr. Fowler to call on them. One of the teacher leaders asked if they could
split into small groups to create a t-chart of pros and cons and then share out with the
whole group. After the faculty was divided, the room filled with conversation about cell
phones, laptops, and other electronic devices.
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After the meeting, Participant E explained that as a teacher leader she feels a great
responsibility to “rally the teachers” to achieve goals set by Dr. Fowler. She described
being a leader as an opportunity to seek positive change. She explained:
It takes guts to be a leader, especially in front of your peers. I have to be willing to put
myself out there and not be content with the statues quo. I feel more comfortable doing
that because of the support I have from Dr. Fowler.
Value in Authentic Administrative Experience
The second practice that teachers and new administrators perceived to be the most
significant to the development of leadership capacity is participating in administrative
experiences prior to becoming a school leader. Participant A credits much of those administrative
experiences as influential in her decision to become a school leader, “I think that you need to do
those invitations to people because we don't all have that self-confidence that some people have.”
These administrative experiences create learning opportunities under the guidance of their
principal to develop as future principals.
These experiences provide an opportunity for future school leaders to acquire the skills
and knowledge needed to navigate through the demanding tasks of an administrator. Participant
C’s experience supports how he perceives authentic administrative opportunities to have assisted
in his building of leadership capacity:
I was highly encouraged by my principal to become the department chair. It was kind of a
default thing. And eventually I found that I did have the skills for that. Somehow, it
worked out. And those skills I learned, I now use as an administrator. Sort of has come
full circle.
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Other authentic experiences have been perceived to be one of the most valuable learning
tools to become a school leader. Participant E recollected on how Dr. Fowler provided her the
chance to become a guiding teacher that allowed her to build her own leadership capacity,
“That experience changed my outlook on leadership and helped me figure out what my next step
needed to be.” The perceived value in the opportunity for authentic administrative experiences
provided a safe environment for teachers to grow professionally and personally.
Importance of Mentoring
The third and final practice perceived to be the most influential in cultivating leadership
capacity is the various mentoring opportunities that are provided to teachers and new
administrators. Participant B shared how Dr. Fowler mentorship challenged her to step out of her
comfort zone:
She advocated whatever she saw in me. She went to the principal, she made sure that the
principal was aware of me as a teacher, because it was a large school. She was so
enthusiastic and emphatic about it that was like, "Okay, I guess I will!"
Participant B admitted that if it were not for that strong mentorship and support, she would have
not “climbed the district’s career ladder” and would have returned to her home school district to
be a classroom teacher. She candidly expressed her perception of the importance of mentorship
coupled with the goal of developing the next generation of leaders by stating: “I think that
building leadership capacity is seeing the vision of someone even before they see it in
themselves. That is what happened to me.”
Other forms of mentorship were perceived to be the most advantageous in building
leadership capacity. Participant C explained that specific mentoring strategies, such as, weekly
meetings and classroom observations with the principal are the most helpful because it provides
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guidance on how to handle difficult situations with teachers, students, and parents. He shared, “I
get to see what she’s looking at and how she interacts with the faculty and students.”
Participant A’s experience with mentorship corroborated the value it had on developing her own
leadership capacity:
We would talk about some things and I would write flyers and something that needed to
be sent home or sent out to teachers, and Dr. Fowler goes ‘No. Think about your dumbest
teacher. Write it to that person or the one that's always asking you questions, write it so
that person understands.’ I've already given that advice to two of my specialists because it
made so much sense to me.
The teacher leaders and new administrators found value in mentorship as it provided
strong role models for school leadership and opportunities to work closely with their principal to
develop their leadership capacity.
Discussion of Research Question Two
As evidenced by the data, the teachers and new school-level leaders perceived Dr.
Fowler’s leadership practices as effective and constructive. Due to Dr. Fowler’s reputation of
success in developing leaders, the teacher leaders and new administrators all expressed their
complete confidence to accept challenges to develop their leadership skills. The relationships
that were established created allies for Dr. Fowler because the teacher leaders truly believe that
she genuinely cares and appreciates their willingness to accept additional professional roles.
Additionally, teacher leaders substantiated the strategies employed to provide
opportunities for authentic leadership experiences and noted that these opportunities were
fundamental in building the necessary skills and knowledge to become a strong education leader.
Moreover, teachers confirmed that mentorship was an active component of the school culture
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and found that mentorship was essential to cultivate their leadership skills. Katezenmeyer and
Moller (2001) found that school culture, roles and relationships, and structure are significant
influences on the development of teacher leadership. Additionally, teachers must have regular
opportunities to obtain feedback and to reflect on progress that is being made toward goal
accomplishments.
Results of Research Question Three: Factors that Facilitate and Inhibit Building
Leadership Capacity
The final research question sought to address the factors that facilitate and inhibit school
principals in the development and implementation of strategies designed to build leadership
capacity. While conducting this study, three themes emerged from the data as factors that help
facilitate school principals in the development and employment of strategies designed to build
leadership capacity: school systems and structures, ongoing mentorship, and district systems and
structures. At the same time, two themes were discovered to inhibit the cultivation of leadership
capacity: psychological and emotional intelligence of faculty and the culture of the school
district.
Facilitating Factors
The following section will outline the three emerging themes from data collection as
factors that facilitate principals in the building and implementation of strategies intended to
increase leadership capacity.
School systems and structures. One of the factors evident from interviewing and
observing principals, assistant principals, teacher leaders is that current systems and structures of
schools can strongly facilitate principals in the development and execution of strategies designed
to promote leadership. The school has developed a quasi-administrative position through the
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teacher specialist program. The principal of the school selects teachers who have demonstrated
leadership and excellence in teaching to now work full-time outside the classroom to assist in the
development of curriculum. Additionally, they are the Principal Designee and would assume the
leadership responsibilities if the principal is out sick or has a meeting that day. Participant C
commented during an interview about how this program benefits aspiring leaders to develop
leadership skills:
These people have shown to be successful teachers; they have excelled at their practice.
They have decided that they wanted to take the next step, but they’re not quire ready for
Coordinator or Assistant Principal, they still need some grooming.
Participant D’s experience with the teacher specialist program corroborated that this kind of
school structure indeed facilitates the development of leadership due to its mentorship
component and ability to create a pool of aspiring leaders from within the school. The success
and sustainment of leaders who experience this type of succession plan is corroborated by
previous research noting that effective succession management ensure a ready supply of prepared
leaders and reduces the amount of time needed for new leaders to learn the culture of the school
(Fink, 2011).
Other types of school systems facilitate school principals in the implementation of
strategies designed to build leadership capacity such as communication and opportunities to
provide explicit feedback. Participant E discussed the importance of implementing an “Open
Door Policy” with her principal to discuss any present challenges:
It could be a new learning strategy or modification, whatever it might be, that open
communication with our principal allows us to be able to articulate what needs to get
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done in order to be successful for our students, for a teacher, for a group, for a parent,
whatever it may be.
Participant D’s experience with the implementation of an “Open Door Policy” substantiated that
this system promotes the development of leadership capacity. She explained that this system
allows for weekly team meeting so “everybody is on the same page” and “it provides time to
process information that pertains to the culture of the school that takes practice to learn.”
Ongoing mentorship. The second factor that is evident from interviewing and observing
all of the participants is that ongoing mentorship for teachers who have entered school-level
leadership positions strongly facilitates school principals in the development of leadership
capacity. During an interview, Participant B expressed what factors specifically help principals
build leadership capacity, “It’s essential to have mentorship. They need to be very willing to
share. Share tasks, share credit, position people, and really look at.” Participant A echoed that
ongoing mentorship is a factor that promotes leadership capacity:
Pull them back from the wrong path, get them onto the right path. Push them along,
sometimes kick them along. Keep going, keep going, keep going. I do think there is a
responsibility, the higher you go [on the career hierarchy] to do that.
Dr. Fowler adamantly believes that it is the responsibility of the principal to create
ongoing mentorship has part of the school structure in order to develop the next generation of
leaders. During our interview, Dr. Fowler asked if we could pause for a moment because she
received a phone call from Participant A who required assistance in developing and
implementing a theme for the upcoming school year. I observed Dr. Fowler write notes as she
asked questions about the school culture and what behavioral or academic issues need to be
addressed. After a brief moment, Dr. Fowler asked, “How would you describe the mission or
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values of your school? Let’s start there.” This ongoing mentorship provides explicit feedback
and generating new ideas. After the phone call, Dr. Fowler elaborated on her role as a continuous
mentor, “Ultimately, I have to continue to mentor them when they take on that leadership
position. I can never see myself leaving them. That would be setting them up for failure.”
District systems and structures. The third and final factor that is evident from
interviewing and observing all of the participants are the established district systems and
structures are factors in the development of leadership capacity. First, the systems established
allow for principals to gain new knowledge that pertain to the pressing demands of the
principalship. Dr. Fowler explained how the district’s structures are supportive by providing
professional developments, principal’s meetings, and leadership trainings. These meeting are
beneficial because they provide opportunities for teacher leaders to observe and learn about legal
requirements for special education, dealing with human resource issues, and how to write
improvement plans. This experience allows teacher leaders to develop and refine their leadership
skills.
Other types of district systems that facilitate the development and implementation of
developing leadership are formal mentorship opportunities and classes that are focused on
mastering leadership skills, such as setting professional goals and mastering interview skills. The
district has a program that assigns a coach to first year principals for two years. The majority of
these coaches are retired administrators from the school district. This program allows for coaches
and new principals to discuss daily challenges and brainstorm solutions. This type of budding
system is supported by previous research noting the benefits of exchanging ideas with a more
knowledgeable person who has shared in similar experiences (Fink, 2010).

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Inhibiting Factors
Additionally, two overarching themes emerged from the data as factors that inhibit school
principals in the development and implementation of techniques designed to build leadership
capacity: psychological concerns of faculty in addition to the culture of the school district. These
factors will be explored in the following section.
Psychological. The first challenge in developing leadership capacity came from personal
and professional insecurities of a few of the faculty members. Dr. Fowler explained that at times
the greatest obstacle is the teachers’ lack of confidence about their own leadership abilities,
“They don't believe in themselves. They're unwilling, they want to do it but they sometimes feel
like, ‘Oh, I'm not ready for that.” Participant B shared that perceptions of colleagues can impact
teacher’s confidence in becoming a principal, “Sometimes it's just a perception of others that
they don't have for whatever reason, schools are like small or large families. They all have their
wonderment and great stuff, and they also have their level of dysfunction.” Additionally, the
inability to complete tasks under pressure inhibits principals from selecting teachers for
leadership positions. Dr. Fowler explained during an interview that many leadership candidates
do not reach their potential because “their nerves get the best of them when under duress.”

Another district level corroborated Dr. Fowler’s position of psychological factors
impeding the development of leadership capacity. Participant B discussed in her interview about
how professional relationships with colleagues could significantly hinder job promotion due to
the past experiences that resulted in faculty lounge gossip. These experiences could impact the
level of respect needed to effectively lead a school. Additionally, Participant E expressed that
teachers experience professional conflicts with colleagues due to negative perceptions of entering
school administration. She elaborated, “Some of my coworkers, who I would call my friends,
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have told me that I am selling out because I want to be a principal.” This kind of reaction can
deter teachers from wanting to enter leadership roles due to the professional isolation they may
receive.
District culture. The second challenge that a school principal experiences while building
leadership capacity is the culture of the school district. First, the perceptions of district and
school leaders can adamantly hinder the development of leadership capacity for certain teachers.
Dr. Fowler described an example of one of her teachers who falls short of becoming a school
leader due to her outward appearance:
Her peers love her. She’s an effective teacher. Her hair is hot pink. You can't be an
assistant principal with your tattoos showing. With your tight lulu lemons on and your
hot pink hair. You dress like the next job or you're not going to get it!
Second, some of the participants discussed the lack of experience and years working in
education to be an obstacle for principals implementing strategies intended to develop leadership
capacity. Participant A elaborated that the culture of the district and schools requires school
leaders to have a certain amount of experience in order to be respected by their peers and faculty.
Dr. Fowler reiterated participant A’s opinions of how the current district and school culture
could prevent principals from building leadership capacity. Dr. Fowler stated how the lack of
experience could impede potential leaders from “climbing the career ladder”. She explained that
there is a point of contention between the high school principal and one of the assistant
superintendents due to the lack of experience at various school levels:
It's just like the assistant superintendent who was working with secondary schools, high
schools, who has only been a kindergarten teacher. There are a lot of people who just go
like, ‘Excuse me? You're going to tell me? Not going to happen.’
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This type of resistance from colleagues is supported by previous research noting that leaders who
are viewed as too young or inexperienced to advise others about work face strong opposition
from their peers (Donaldson et al., 2008).
Discussion of Research Question Three

Based on the study’s findings, there are various factors that facilitate and inhibit school
principals in the development and implementation of strategies designed to build leadership
capacity. It is evident that the principal is essential to the build of leadership capacity.
Understanding the need for effective leaders, Dr. Fowler has taken the initiative to create a
school system that helps teachers develop into school leaders. Additionally, Dr. Fowler receives
support from the district to implement strategies that contribute to the development of effective
administrators. This indicates that values and mission of building the next generation of leaders
must be cohesive on both the school-level and district-level. Research has noted the importance
of on-going, professional development as a critical component of the succession management
process (Silver et al., 2009) and to sustain successful leadership (Boerema, 2011) due to the
benefits of working with a seasoned principal to solve problems and seek advice (York-Barr &
Duke, 2004).
On the opposing side, the key inhibiting factors that emerged were psychological
concerns of teachers and the culture of the school district. The concerns can lead to feelings of
inadequacy that could result in teachers to become reluctant to assume leadership positions.
Myung et al. (2011) found that specifically teachers with higher self-ratings of preparation in
each school leadership task are significantly more likely to be tapped by a principal.
Additionally, established norms and values of a school district may prevent principals from
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selecting and promoting certain teachers because of the negative perception they may receive
from their peers.
Summary

This chapter discussed the study’s findings by research question and outlined the factors
that facilitate and inhibit school principals from developing and implementing strategies
designed to build leadership capacity. The results indicated that there are various promising
practices that a principal employs to cultivate leadership capacity. It was further revealed that
these practices were perceived by teachers to be effective and necessary to develop their own
leadership capacity. Moreover, the systems and structures established in districts and schools can
both help or hinder the development of leadership capacity. Chapter 5 will summarize the
findings, examine the implications of these results and offer suggestions for future research.

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CHAPTER FIVE: SUMMARY
The purpose of the study was to contribute to the body of research on the promising
practices that some principals implement to develop leadership capacity in teachers. The study
sought to identify and explore key strategies implemented by a principal to develop leadership
capacity in teachers who aspire to become principals, what perceptions surround these strategies,
and what factors facilitate and inhibit the employment of building leadership capacity. The
following research questions guided this study:
1) In what ways does a principal work to build the next generation of leaders?
2) What are the perceptions of teachers regarding the influence of practices?
3) What are the factors that facilitate and inhibit school principals in the development and
implementation of strategies designed to build leadership capacity?
This chapter will discuss in detail the summary of the findings and the implications this study
has for both school-level and district-level policy and practices. Additionally, this chapter will
outline specific recommendations for future studies.
Summary of Findings
The previous chapter discussed the study’s findings and outlined the practices employed
by a principal to build leadership capacity, as well as the factors that challenge and support
leadership development. The results illustrated that a principal employs the practices of
developing a collaborative culture with intentional modeling and providing opportunities for
authentic administrative experience to build leadership skills and knowledge. It was further
revealed that teachers perceived value in having a collaborative work environment where there is
strong principal mentorship and the opportunity to build leadership skills through administrative
tasks. Moreover, it was discovered that ongoing mentorship, the systems and structures of the
school, and district support facilitated leadership development. Finally, the factors that inhibit
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principals from building leadership were the psychological concerns of the faculty and culture of
the school district.
Dr. Fowler utilizes the transformational leadership practices of modeling the way,
enabling others to act, and inspiring a shared vision in order to effectively develop a reservoir of
high quality administrators (Kouzes and Posner, 2002). Dr. Fowler models the way for tapped
teachers by serving as a professional role model for them and modeling transformational
leadership practices to manage a school. In addition, Dr. Fowler develops supportive
relationships with her teachers that enable influential mentoring opportunities through
administrative work experience. These findings are consistent with the recent literature on the
positive impact of mentoring (Boerema, 2011; Darling-Hammond, 2007; Hansford & Ehrich,
2006). Furthermore, the principal mentoring provided by Dr. Fowler is vital in recruiting and
retaining educational leaders in the profession (Simieo et al.. 2010).
Dr. Fowler employs a second transformational practice to develop leadership capacity in
her teachers by inspiring a shared vision of school leadership (Kouzes & Posner, 2002). For
example, Dr. Fowler encourages her teachers to pursue administrative positions by providing
formal and informal leadership roles. Teachers found that this type of positive relationship
created a safe environment for teachers to build leadership skills through opportunities for
authentic practice in administration. In addition, teachers valued these administrative experiences
provided by Dr. Fowler because it facilitated the growth of their own leadership style. Dr. Fowler
works in collaboration with her tapped teachers and assistant principals to ensure they have
reached their goal of becoming an effective school leader. Additionally, teachers felt that strong
relationships with their principal was motivational and felt supported and confident in their
decision to become a principal.
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The third transformational leadership practice implemented by Dr. Fowler to build
leadership is enabling others to act (Kouzes & Posner, 2002). Dr. Fowler works with her tapped
teachers to build a culture that supports the building of their leadership knowledge and skills for
school administration. Through the assignment of administrative tasks or informal leadership
roles, tapped teachers are able to build their leadership efficacy with Dr. Fowler’s guidance.
Furthermore, the tapped teachers feel empowered to accept leadership duties and engender
faculty support for the principal’s initiatives. Through the three transformational leadership
practices, Dr. Fowler has developed an informal system of identifying and recruiting teachers to
develop a reservoir of high quality administrators to become the next generation of principals.
Dr. Fowler utilizes the three transformational leadership practices that framed this study
to implement an informal process for developing leadership capacity in her tapped teachers.
First, potential leaders are identified through observations of teachers effectively leading their
colleagues and ability to successfully complete additional assignments. Second, teachers express
interest in becoming a school administrator by volunteering to accept additional tasks and are
amendable to potentially moving to other schools in the district to attain a school leadership
position. Additionally, teachers must be willing to obtain a Master’s degree and administrative
credential, if not already completed. After selection, these tapped teachers are assigned various
responsibilities so that they can experience a variety of authentic administrative tasks. As tapped
teachers tackle administrative duties, Dr. Fowler provides mentorship and explicit feedback on
leadership performance. Furthermore, Dr. Fowler develops opportunities for tapped teachers to
demonstrate their leadership skills in front of the school community.
The findings revealed various facilitating factors that support building leadership
capacity. New school leaders found mentorship essential to their leadership growth because it
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increased their self-efficacy, knowledge, and skills to become a transformational leader.
Specifically, the positive, ongoing mentorship provided by Dr. Fowler enabled new principals to
feel supportive and empowered to ask for needed assistance and explicit feedback of their
leadership performance. In addition, the school district believes that the development of leaders
is a critical component for the success of their schools. This was evidenced by the
implementation of a formal mentorship program that assigns an experienced principal with a new
principal for the first two years of their principalship. Studies have found that a formal
mentorship program offered by school districts can produce an effective succession of school
leaders (Zepeda et al., 2011; Hansford & Ehrich, 2006; Simieo et al., 2010). Additionally, the
school’s system and structures strongly facilitate leadership development by integrating a teacher
specialist position. This formal leadership position is an opportunity for a teacher to develop
their leadership skills as they transition from the classroom to administration. Furthermore, the
nature of leadership development and mentoring practices in the district and school level
suggested that there is a common recognition of the value in building the next generation of
principals. .
At the same time, a number of inhibiting factors were identified. Negative perceptions of
administration and discouraged faculty to pursue leadership roles strongly impeded principals
from implementing leadership development practices. This type of environment makes it
difficult for principals to identify potential leaders if teachers are opposed to accepting additional
tasks or want to lead their peers. Additionally, if there is a teacher who is interested in leadership,
they may become deterred by the negative peer pressure they experience and not ever develop
their leadership potential. Consequently, this could impact the principal’s ability to effectively
select and mentor the next generation of principals. Despite the studies that have found a
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growing discontent for entering the principalship (Fink, 2010; Boerema, 2011; Gajda &
Militello, 2008), Dr. Fowler’s developed a school culture at Trojan Middle School that has been
able to cultivate leadership capacity in teachers who are viewing administration as positive and
transformational.
Implications for Policy and Practice

The findings from this study have implications in the field of primary and secondary
schools and for policymakers of school districts with regards to the development and
implementation of a principal succession plan designed to contribute to the need for a reservoir
of high-quality principal candidates. District and school leaders may find the results of this study
to be helpful in determining their own strategic plan to develop highly effective principals.
Based on the outcomes of this study, it is vital for principals to provide support
throughout the leadership development process, as well as ongoing mentorship when a teacher
has attained a formal leadership position. It is essential for principals to view developing
leadership as a component of their responsibility as an effective leader. This could be
accomplished by integrating daily opportunities for principals to observe teachers in the
classroom, during supervision, and informal meetings. Dr. Fowler has created an accountability
system to ensure that she observes all of her teachers and is available to discuss their progress.
Additionally, principals should not only encourage, but also assist their teachers to seek
professional development that focuses on school leadership. Professional development would
focus on instructional leadership, management of school operations, and effective leadership for
school improvement. Accordingly, principals should allocate funds for substitute teachers to fill
in when tapped teachers need to attend leadership development or shadow a principal’s meetings.
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These mentoring programs provide the external and internal networks of support noted as being
critical for the teachers and new administrators in this study.
Relatedly, school districts should offer a series of professional development for principals
that concentrate on developing effective structures and systems that promote the execution and
implementation of strategies to promote leadership development. Due to the fact that this study
revealed that scheduling and lack of time and space for mentorship were factors that inhibited
principals from building leadership capacity, these workshops should demonstrate how
principals could integrate time into their daily schedule to provide explicit feedback and strong
mentorship for aspiring leaders. Moreover, school districts must also recognize the importance of
building leadership capacity by mandating principals to select a potential leader to attend a
principal’s meeting. Trainings should also be offered to principals on effective strategies
intended to build the next generation of principals such as intentional modeling, building a
collaborative culture, and providing professional growth opportunities through assignment of
administrative tasks.
Recommendations for Future Studies
This study illuminated the strategies, teachers’ perceptions of those strategies, and factors
that inhibit and facilitate a principal in the development and execution of building leadership
capacity. Although attempts were made to discover comprehensive answers to the study’s
research questions, further questions emerged beyond the scope of this study. This section
outlines three recommendations for future studies.
The unit of analysis for this case study consisted of one school principal. Although her
responses do provide a sense of how a principal develops leadership capacity, this small sample
size does not determine the most common strategies employed to build high-quality
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administrators. Enlarging the sample would provide additional evidence of common strategies
employed to develop leadership capacity. This assessment would be valuable because it would
widen the selection criteria, which would increase the understanding of recruitment and suggest a
theory that could be more applicable to building leadership capacity. By increasing the number
of principals in a case study, it would produce valuable data on what promising practices are
found most frequently to effectively develop leadership capacity. These common practices could
be used to develop customized succession management plans based on the size, growth and
demand of leadership vacancies of the school district. This would result in better preparation of
teachers who will enter the principalship.
This study examined a female middle school principal as the unit of analysis. In order to
gain better understanding of how leadership is developed by different leaders, a second
recommendation would be to examine male principals who are intentionally developing
leadership capacity in his teachers. This would provide insight on similarities and differences of
leadership approaches and practices based on the leader’s gender. Specifically, it would be
beneficial to explore the teachers’ perceptions of practices employed by male principals to build
leadership. This would contribute to an understanding of what role gender plays in the selection
and identification process of building the next generation of principals. A better understanding
could shed light on how gender could impact a leader’s effectiveness to develop leadership
capacity and responses from faculty.
School location, whether in a rural, urban, or suburban area, might also have an impact
on the factors that inhibit and facilitate principals from developing leadership capacity. In this
case study, the principal led a school located in a suburban area that serves middle to upper class
families. A comparison of rural, urban, and suburban principals who intentionally build
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leadership capacity would contribute to the understanding of how succession planning may have
similar or different practices depending on the school setting. A better understanding of these
practices would be important as it could contribute to the need to fill principal openings in urban
and rural areas.
Conclusion
This study aimed to identify the strategies a principal employs, teacher perceptions of
these strategies, and the factors that support and inhibit these strategies intended to build the next
generation of leaders. Its findings suggest there is various methods implemented by a principal to
intentional create high quality school leaders. Additionally, teachers must feel adequately
supported as they develop from novices to self-assured transformational leaders. With increasing
numbers of administrative vacancies, it is essential to create a leadership pipeline to aid in the
development of an administration pool of high-quality principal candidates. This support needs
to come from district-level and school-level leaders and in the form of institutional policies that
promote the cultivation of leadership capacity.

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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?
LEADERSHIP SUCCESSION

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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?
PRINCIPAL LEADERSHIP SUCCESSION

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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?

98

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
X X X

99

your decision
to becoming an
administrator?

What informs
your daily
leadership
practices?

What informs
your daily
leadership
practices?

X

X

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
What does a
succession
plan look like
to you?

A) How is that
communicated
X X X

100

communicated to
you?

B) What has been
your response?

to the different
stakeholders?

B) How do
they respond?

How have you
been supported by
the leadership at
your
site/organization?

How do you
support
potential
leaders at your
school?

X X X
When you think
about a dynamic
or
transformational
(great) leader
what
qualities/character
istics stand out to
you?

When you are
thinking about
identifying a
potential
leader, what
are you
looking for
(skills, traits,
qualities, etc.)?

X
Give me an
example of a
leader you
identified. Tell
me about the
process from
you
recognizing
him or her, to
him or her
becoming a
leader
(principal,
X X

101

etc.).

What leadership
opportunities have
been offered to
you?

A) How did you
benefit from these
opportunities?

B) How were
these
opportunities
communicated to
you?

What
opportunities
that you
provide to
potential
leaders on your
staff do you
find most
useful in
developing
their leadership
capacity?

A) How are
those
communicated
?

X X X
How do you
address those
that aren't
ready to be
leaders but
show an
interest in
leadership?
X X
What
district/institution/
school supports
are in place to
help develop
future leaders?

What
district/instituti
on/school
supports are in
place to help
develop future
leaders?
X X X

102

A) What support
have you received
from your
district/institution/
school in
developing
leadership
capacity?

A) What
support have
you received
from your
district/instituti
on/school in
developing
leadership
capacity?

What obstacles
have you faced in
growing as a
leader?

What obstacles
have you faced
in helping to
develop
leadership
capacity in
future leaders?

X X
What forms of
formal and
informal
mentoring are
available at your
site?

A) Give me an
example.
What forms of
formal and
informal
mentoring are
available at
your site?

A) How have
these
mentoring
relationships
led to
leadership
succession?

X X X

103

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

Abstract (if available)

Abstract This study applies the transformational leadership theory practices of modeling the way, inspiring a shared vision, and enabling others to act to examine leadership succession planning in K-12 public schools. The purpose of this study was to identify the promising practices that one principal utilized to cultivate leadership capacity in teachers and to describe the perceptions of teachers about those practices. Additionally, this study sought to determine the factors that both facilitate and inhibit the implementation of those strategies designed to promote leadership capacity. One middle school principal served as the case study for this research. Further data was gathered through observations, interviews, and collection of artifacts. Findings from this study showed that a principal developed leadership capacity in future administrators by creating opportunities for teachers to experience authentic administrative tasks combined with mentorship and modeling in a culture that values professional collaboration. Findings also revealed that aspiring school-level administrators found importance in the practices and expressed professional growth because of them. Factors that facilitated the practices was the informal standard process utilized by a principal to identify teacher leaders along with district support and continued mentorship when a teacher attains a leadership position. Factors that inhibited the practices were psychological and structural challenges. This study furthers the understanding of how intentional leadership succession planning can start at the school-level and prepare teachers to be effective school administrators.

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Asset Metadata

Creator Hernandez, Monique Cristina (author)

Core Title Promising practices: developing principal leadership succession

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 06/15/2016

Defense Date 06/15/2016

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

Tag education,leadership capacity,OAI-PMH Harvest,school leadership,transformational leadership theory

Format application/pdf (imt)

Language English

Contributor Electronically uploaded by the author (provenance)

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

Creator Email mchernan@usc.edu,monique.hern@gmail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-250574

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Document Type Dissertation

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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...

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