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Leadership capacity building: promising practices in principal preparation

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Leadership capacity building: promising practices in principal preparation

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Content LEADERSHIP CAPACITY BUILDING: PROMISING PRACTICES IN PRINCIPAL PREPARATION by Christineann Jones 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 Christineann Jones ii Acknowledgements I would like to acknowledge the support and dedication of those who made this dissertation possible due to their support and encouragement. To my advisor, Dr. Kathy Stowe, who was understanding and allowed me time when needed, yet encouraged me to be strong and press on, knowing I would have regrets if I didn’t. To my dissertation committee: Dr. Courtney Malloy and Dr. Maria Ott, your guidance added value to the importance of my research. This dissertation has only been achieved through the efforts of a family coming together. To my beautiful children, you are my inspiration to strive and achieve more than I ever thought I could. You lifted up my spirit when I thought I didn’t have the endurance to continue; you were my cheerleaders. To my wonderful husband, you held my hand each time I wanted to give up, you helped me believe in myself. Mom, you cared for my boys, so I could write in peace; without your help I would never have finished. Yaya and Papa, you made it to where the boys didn’t have to give up their lives so I could do this. Thank you for taking them to their practices, games, computer classes and piano lessons. And when things got really rough, you were there to help me find answers and pray. Heaven knows we needed lots of prayers. I feel extremely blessed to have my sister Heather who listened to all of my griping throughout this entire process. Courtney, you stepped in to watch the boys and see that their days with you were meaningful so I didn’t feel guilty that I wasn’t there. I must also thank Sophie, my angel, without your guidance and knowledge this dissertation would have ended up on a shelf. You helped me in so many ways. This accomplishment is as much yours as it is mine. You have been a special gift in my life and you are a cherished friend. Lastly I thank God for bringing all of these special people into my life. iii Table of Contents Acknowledgements ii List of Tables v List of Figures vi Abstract vii Chapter One: Overview of the Study 1 Introduction 1 Background of the Problem 2 Statement of the Problem 5 Purpose of the Study 6 Research Questions 6 Significance of the Study 7 Limitations 8 Delimitations 8 Glossary of terms 9 Organization of the Study 9 Chapter Two: Literature Review 11 Introduction 11 Historical Context 13 Succession Plan 16 Identification 18 Recruitment 20 Preparation of Aspiring Principals 22 Socialization 26 Mentorship 27 Transformational Leadership 28 Limitations 29 Summary 30 Chapter Three: Methodology 32 Introduction 32 Research Questions 33 Research Design 33 Sampling Population 34 Overview of the Organization 35 Theoretical Framework 35 Conceptual Framework 36 Data Collection 38 Instrumentation 40 iv Data Analysis 42 Methods 43 Ethical Considerations 44 Summary 44 Chapter Four: Findings 46 Participant Profiles 47 Report of Findings 49 Research Question One: Building the Next Generation of Leaders 49 Building Leaders From Within 51 District Identity 53 Steps to Attain the Vision 54 Culture of Learning 57 Mentoring 58 Discussion: Research Question One Findings 60 Research Question Two: Perceptions Regarding The Influence of District Leadership Capacity Building 62 Relationships and Socialization 62 The Perception of Fit 64 Self Identification for Leadership 66 Discussion: Research Question Two 67 Research Question Three: Factors That Facilitate and Inhibit District Leadership Capacity Building Strategies 68 Expanding on Leadership Pathways 68 Transcending the Negative of Principalship 70 Push and Pull: Overcoming Obstacles 72 Analysis and Discussion of Research Question Three 73 Summary 73 Chapter Five: Summary and Implications of Findings 75 Introduction 75 Purpose of the Study 76 Summary of Findings 76 Implications for Practice 80 Recommendations for Future Study 82 Conclusions 83 References 85 Appendices 92 Appendix A: Participant Recruitment Letter 92 Appendix B: Matrix of Academy Participant Interview Protocol 93 Appendix C: Matrix of Administrator Interview Protocol 95 Appendix D: Observation Protocol 99 v List of Tables Table 1:Participant Interviews 39 Table 2: Observations 40 Table 3: Research Questions as Instrumentation 41 Table 4: List of Participants 48 vi List of Figures Figure 1: Conceptual Framework, Ed. D. Thematic Group 2016 37 Figure 2: Creswell’s Six-Step Model (2006) , Ed. D. Thematic Group 2016 42 vii Abstract This study applies the Transformational Leadership Theory as it pertains to the development of leadership capacity and succession planning to acquire quality principal candidates. The purpose of the study was to identify promising practices to inform a broader understanding of leadership development. Four district office administrators and two newly appointed principals participated in this qualitative study. Data collection occurred via six in-person interviews, observations of district academy meetings, as well as collected district and meeting documents used to triangulate the data. Findings from this study indicate the strategies involved in developing leadership capacity as part of an in-house principal pipeline program in the form of leadership academies. The strategies found to contribute to the capacity building of leaders included: recruitment, mentorship, socialization and perceptions of fit. This study begins to identify the methods districts may utilize in developing their own leadership academies to prepare future principals for the responsibilities of a leadership role. 1 CHAPTER ONE OVERVIEW OF THE STUDY Introduction Leadership is the guiding force of all institutions and a necessary element to achieving organizational success. Leadership extends beyond specific organizations; it directs the general functioning in all areas of life. In schools, great leadership inspires others to act with vision and purpose. Especially in the past two decades, as schools are under increased pressure to show performance results, the role of a principal has progressed from a manager of staff into a transformational leader who makes a substantial impact on student achievement (Grissom, J.A., & Loeb, S., 2011). Educational leaders of today are required to display multiple layers of expertise, including knowledge of curriculum and instruction, assessment, finance, and law. The continual evolution of new goals to prepare students for the 21 st century has made school leadership roles increasingly challenging with expanded demands and compounded pressures. This phenomenon is especially evident at the very top of a school’s hierarchy. As principals, a school’s top leaders are meant to be models for others to follow. But with changing job conditions including swollen time commitments, enlarged workloads, and additional stress, a principal’s role is seen as a burden, rather than a coveted opportunity. The result is that fewer potential leaders are attracted to apply for principal job openings. These increased demands of the job are possible deterrents for individuals to pursue principal positions (Hewitt, K. K., Mullen, C. A., Davis, A. W., & Lashley, C., 2012; Fink, D., 2010). When these wider responsibilities and workloads are added to the already demanding principal role, finding 2 highly qualified candidates is a challenge especially when considering the current high rate of principal attrition and retirements. There is a growing need for school site principals, especially in urban areas nationwide (Fong, A. & Makkonen, R., 2011; USDE, 2013). The National Center for Educational Statistics (2010), indicates that of the approximately 10,690 public school principals that left their position, forty-five percent did so due to retirement. According to a recent study, the State of California faces a deficit in school site leadership. By 2018, California will need to add or replace approximately 3,000 school administrators (Regional Educational laboratory Technical Brief, 2011). The high rate of attrition within leadership positions makes it important to find the right candidates to fill these positions (Béteille, T., Kalogride, D., & Loeb, S., 2012; Milstein, M., 1999; NCES, 2014). Understanding the evolution of principal preparation as compared to the increase in job responsibilities helps to determine the gap in training of candidates for these principal positions. Background of the Problem Historically, the main duties of a principal were to serve as the disciplinarian and oversee teachers (Lynch, J. M., 2012). During the 1960’s and 1970’s, principals were seen as administrative managers and functioned as the primary source of knowledge, maintaining a close supervision of classroom instruction to make instructional improvements when necessary (Hallinger, P., 2002). By the 1980’s, administrative practices changed and principals were expected to be instructional guides as well as transformational leaders. With school leadership changing, new principal preparation programs began to be developed, but there was not a system for assessing the outcomes of these programs (Hallinger, P., 1992). While the role of a principal was changing, preparation programs and training were not evolving at the same pace. 3 Efforts have been made to establish programs for leadership development spanning from the Early 20 th century when leaders were to instill moral values and maintain a social order. Thepolitical unrest of the 1960’s saw principals needing to establish stability and normalcy withinschools (Brooks, J. & Miles, M., (2006). The need for principal training was briefly addressed by the State of California when they developed the California State Leadership Academy (CSLA). The CSLA was founded in the mid 1980’s and was considered one of the most advanced principal training programs of its time. It served more than 1,500 school administrators each year in a three-year program. Due to budget cuts, however, it was discontinued in 2003, and exists today as a project of WestEd. The 1980’s also focused on addressing imbalances in education and the rise of transformational leadership with those educational leaders who took on social justice and chose to create a bridge between themselves and those they work with for the greater good of all (Brooks, J. & Miles, M., (2006). In 2001, the role of instructional leader became fundamental to school reform with the implementation of No Child Left Behind (NCLB). The accompanying academic accountability of all student outcomes became the primary indicator of leadership quality (Lynch, 2012). This accountability measure was set to determine the effectiveness of instruction, school leadership, and resources in addressing rigorous standards. Currently, only certification requirements and a single state-supported professional development program are used to prepare aspiring administrators for roles as principals (WestEd., 2010). Few studies have been conducted to assess principal training. The Association of California School Administrators (ACSA) is involved in principal professional development in only a few districts. What is needed is a state- wide systematic program as part of a coordinated effort to be used in every school (WestEd., 2010) to ensure incoming leaders have the basic skills to carry out their professional duties. 4 There would also need to be an independent district component as part of this effort to ensure effectiveness in addressing the specific needs within the district. The projected deficit of effective leadership personnel is causing a growing concern with the process of identifying the most highly-effective principal candidates (Bengtson, E., Zepeda, S. J., & Parylo, 2013; Béteille, 2012; Sciarappa, K., & Mason, C. Y., 2013). Leadership capacity is developed through the successful identification, recruitment, preparation, and induction of principals meeting the district’s succession plan goals by identifying and training the talent already present within the organization to establish sustainability (Fink, 2011; WestEd, 2010; White et al., 2010). Districts are approaching the development of leadership capacity by looking to create programs that utilize promising practices to prepare aspiring administrators to become successful leaders. The first step in filling these principal vacancies lies in determining what criteria qualify an individual as suitable to become a leader in education. Districts are currently focused on identifying and recruiting individuals that display leadership qualities and cultivating them to become the next generation of leaders (Russel, J.L., & Sabina, L., 2014). The preparation and development of leadership candidates centers around senior leaders demonstrating and guiding in-depth discussions of practical leadership situations, with novice principals. Recent studies suggest theoretical knowledge gained within a program is important, but applied knowledge and skills can only be learned through on-site experiences (Borgemenke, A. J., 2011; Orphanos, S. & Orr, M. T., 2014). Applied knowledge and skill development are addressed during the induction process. This process of training also serves as an opportunity for candidates to become socialized into the culture of management, as well as construct a social network of colleagues meant to serve as an additional support structure once candidates attain leadership positions. 5 Statement of the Problem There is a growing concern with ensuring the identification of the most highly-qualified principals due to the increased demand caused by a rise in vacancies (Bengtson, 2013; Béteille Béteille , 2012; Sciarappa, 2013). Current studies indicate that the projected need of school site administrators from 2011 to 2018 will reach up to 42% in parts of California (Fong & Makkonen, 2011). This shortage of qualified candidates to fill principal vacancies, particularly in the K-12 public schools of California, presents a significant leadership gap. According to a recent study, the State of California faces a deficit in school site leadership. By 2018, approximately 3,000 school administrators will need to be replaced throughout the state (Regional Educational Laboratory Technical Brief, 2011). The contributing factors for this deficit results from a combination of retirement and student enrollment changes. Principal retirements by district average 32.5% throughout the state of California, as reported by Fong & Makkonen (2011). The high rate of attrition within leadership positions makes it important to determine the best candidates to fill these positions (Béteille , et al., 2012; Milstein, 1999; NCES, 2014). The district’s ability to fill these vacancies with quality principals relies on the proficiency of the program which has trained the candidates. Due to the recent induction of the Leadership Academies throughout California districts, it is not yet known whether or not these academies have a positive effect on developing a reservoir of qualified candidates to fill future principal positions. There are some pieces of principal development systems in place, however we now need to analyze what is effective, what should be differentiated or expanded, and what should be abandoned, in order to determine this gap in knowledge (West, 2010). By determining the most promising practices of principal 6 preparation, districts can build leadership capacity and therefore have a positive impact on improving student outcomes. Purpose of the Study Establishing strong leadership within schools is valuable because of the positive effects quality leadership has on student achievement (Goldring, E., Cravens, X. C., Murphy, J., Potter, A. C., Elliott, S. N., & Carson, B., 2009; Orphanos & Orr, 2014). When evaluating stakeholder perceptions of the current system to build leadership capacity, it will be important to determine what factors facilitate the development of leadership capacity, and the barriers that inhibit this development. The purpose of the study is to discover how one district works to build the next generation of school site leaders. The research will identify the promising practices of the district’s Leadership Academies. It is the intent of the research to utilize the strategies and practices of the study to inform a broader understanding of leadership development. Research Questions In an effort to gain insight into the process of establishing a system of building leadership capacity through the implementation of a leadership preparation program, this study sought to obtain responses to the following collaboratively–developed research questions: 1. In what ways does Seaside Unified School District work to build the next generation of leaders? 2. What are the perceptions of Seaside Unified School District’s school and district administrators regarding the influence of those practices? 3. What are the factors that facilitate or inhibit the development and implementation of strategies at Seaside School District to build leadership capacity? 7 The transformational leadership theory as defined by Kouzes & Posner (1987, 2002) and by Northouse (2013) were employed as a framework to explore the research questions. Transformational leadership is identified with the development of relationships to engage and inspire others to pursue a goal that goes beyond individual interests and addresses a larger issue (Bolman, L.G., & Deal, T.E., 2008). Although transformational leadership theory represents five fundamental practices, for the purposes of this study only three will be applied: model the way, inspire a shared vision, and enable others to act (Kouzes, J.M., & Posner, B.Z., 1995). Significance of the Study This study investigates the effects of building leadership capacity for the next generation of school principals through the implementation of a succession plan. Assessing the impact of leadership academies creates a better understanding of how best to cultivate the talents of aspiring administrators throughout the district in order to build a reservoir of highly trained candidates to fill impending vacancies in leadership positions for the years to follow. While academies address preparing all forms of district administration, this study will only focus on the preparation and identification of new principals. Research for this study will be conducted at Seaside Unified School District, examining their recently implemented Aspiring Administrator Academy as a source of promising practices. This academy is an attempt at establishing a succession plan to “grow their own” approach to creating a reservoir of future principal candidates. The results of this information will be important to district administrators in other districts interested in developing their own preparation and support programs. Additionally, findings from this study could assist colleges and universities that offer administration leadership programs, by identifying additional areas to target in the development 8 of effective and practical curriculum. While there are several forms of administrative preparation programs, some are better than others; exemplary programs share common features and positively influence leadership practices (Orphanos & Orr, 2014). Understanding promising practices will help in determining which elements of the program at Seaside Unified School District are most valuable in preparing their students to be better leaders. Limitations This study is limited to Seaside Unified School District’s application of a leadership- training program. While there are examples of promising practices, they may not be germane to other districts. The limited time available for the study will determine the number of interviews that can be conducted, which can alter the outcomes. Time constraints allow the researcher only 3 months of data collection, which limits the scope of the work. The validity of the information gathered in interviews relies on the candor of the participants who agree to take part in the study. The researcher only observed predetermined positive practices that may not be indicative of everyday events. Delimitations Delimitations are determined by a group of doctoral candidates who are studying promising practices for new principal training and mentorship programs. This study was conducted in a large district of approximately 56,000 students, which employs 56 school principals. Findings are limited and may not be pertinent to other settings. 9 Glossary of Terms Many terms are relevant to and referenced in this study. For the purpose of the study, these terms are defined as follows: a. Administrator- A person who oversees and is responsible for an organization. For the purpose of this study, the definition will refer strictly to school settings, such as school site and district administrators. b. Leadership Capacity- Structures within the system that establish equity within leadership and contribute to lasting improvement within the school, district, and student learning. c. Talent pools- Individuals who are considered promotable (Rothwell, 2011). d. Transformational Leadership- The process of engaging and motivating others to achieve a shared goal through collaboration. e. Socialization – The process through which an individual learns or acquires the necessary knowledge, skills, and values needed to preform a social role in an organization (Bengtson, E., et al., 2013) Organization of the Study This study examines promising practices in the development of leadership capacity. Specifically, district-level principal and leader training systems are utilized as a focus of real- world application that can potentially prepare and support the next generation of leaders. Chapter 1 provides an overview of this study giving its purpose and significance. Chapter 2 will review the literature related to the topics of filling leadership positions and determine the criteria to establish who is qualified for these positions, as well as address the value of preparation and training programs. It will also explain the theoretical framework and the significance of the 10 outcomes from the research. Chapter 3 will provide a detailed description of the methodology used for this study and the data collection processes. The results of the study are reported and discussed in-depth in Chapter 4. A summary of the results followed by the implications for the researchers and practitioners will be presented in Chapter 5, along with the conclusion and recommendations for further study related to the researcher’s findings. 11 CHAPTER TWO LITERATURE REVIEW Introduction Leadership excellence is an essential factor when developing quality educational systems. In anticipation of the impending principal shortage, school districts are implementing leadership academies to cultivate high-quality candidates (Russell, J.L., & Sabina, L., 2014). There is a need for school districts to build leadership capacity, this stems from a growing concern that there will be more principal vacancies than qualified candidates. Rates of principal turnover have escalated in the past several years (Fuller & Young, 2009; Hull, 20112; Mendels, P., 2012; Mascall & Leithood, 2010) with the retirements of baby boomers, who represent 40% of the principal population (Russell & Sabina, 2014). As more school districts are becoming aware of the impending shortage, Huber & West (2002) indicate that there is a movement to develop more highly-skilled school leaders to implement change and improve student achievement. The first step in building capacity of school leaders is to identify the essential qualities of ideal principal candidates using the theoretical framework of transformational leadership. This is done in order to develop the next generation of school site leaders (Bengtson, 2013). This study will identify promising practices in the implementation of a succession plan devoted to cultivate principal candidates into becoming the next generation of leaders. Though each district may have a distinctive approach, this study will examine how the establishment of a succession plan at Seaside Unified School District can be a model for how to prepare candidates with the necessary skills required to fulfill the duties of a leadership role. The cultivation of new principal candidates requires an assessment of the most promising practices to be used in the succession- planning process. 12 In reviewing the existing methods of district supports for principal candidates, an attempt will be made to establish what district leaders perceive as promising practices in building leadership capacity. Succession planning expert William J. Rothwell (2011) asserts that finding and developing the next generation of leaders occurs in succession planning programs where talent is cultivated to develop what he refers to as a ‘candidacy pool’ from which vacancies can be filled, thus creating a pipeline for educational leadership (Hitt, et al., 2012). Rothwell concludes that these pools of candidates can narrow developmental gaps, such as those found in the training and preparation of principal candidates and reduce the resources expended by utilizing the benefits of a succession plan in identifying candidates for principalship through a four stage process. This chapter will examine the existing literature that addresses the factors of succession planning. The objective of this study is to examine the strategy of succession planning as it applies to four stages. These stages include the identification, recruitment, training and preparation, and mentorship of new principal candidates (Hitt, et al., 2012). An analysis will be made of the identification process to assess the traits that determine whether an individual has the aptitude to be a leader. It is also important to understand causation for the high rate of principal attrition to then determine the supports needed to ensure the principal candidates are adequately prepared for the long-term. The research will provide a source of best practices in all four stages of cultivating qualified candidates to not only lead, but also transform institutions into becoming innovative centers of learning for the 21 st century. This research reviews the issues involved with filling the high number of principal vacancies and the application of training to aspiring candidates to establish excellence in school leadership. The first topic will cover the historical aspects of school leadership which led up to 13 the current issues. This synopsis will explain the evolution of leadership from that of a manager to the increased expectations of a comprehensive leader of today. The research will use the theoretical framework of transformational leadership and establish what qualities are required to identify and cultivate leaders of excellence. After reviewing the literature on strategies of capacity building through the adoption of succession plans, a further examination will be applied to the process of principal development. This will be followed by a review that assess the barriers and supports for those preparing to take on a position of leadership, to ascertain which impediments inhibit leadership development and which aide in the successful development of future leaders. The chapter will conclude with existing literature and its connection to current studies. Historical Context Historically, the main duties of a principal were to serve as a disciplinarian and oversee teacher instruction (Lynch, 2012). Leadership models prior to the 1980’s focused on bringing about improved educational outcomes (Hallinger, 2003; Hallinger, 2010; Southworth, 2002). A measure for determining the adequacy of these outcomes was not set-- determining adequacy was subjective at best. During the 1960’s and 1970’s, principals were seen as organizational managers and functioned as the primary source of knowledge to maintain a close supervision of classroom instruction and make didactic improvements when necessary (Hallinger, 2002). Not until accountability measures were put into place in the 1980’s with more governmental oversight, did administrative practices change as principals were expected to be executive leaders by building the culture of the school and improve academic progress through the establishment of measurable goals (Hallinger, 2010). With school leadership changing, new principal preparation programs were being developed, but there wasn’t a system for assessing the 14 outcomes of these programs (Hallinger, 1992). Principals relied on public perception and the achievements of the highest performing students as a form of evaluation and job security (Brown, 2006; Lynch, 2012). While the role of a principal was changing, preparation programs and training were not evolving at the same pace. The role of leadership and the purpose of its training was altered by policymakers in the 1980’s, who by increasing the capacity of school leaders, realized that principals were key to the implementation of education transformations (Hallinger, 1992). In the last three decades, efforts have been made to establish programs for leadership development. In 2001, the role of a school principal became essential with the implementation of No Child Left Behind (NCLB). The accompanying academic accountability of all student outcomes became the primary indicator of leadership quality (Lynch, 2012). These accountability measures were set to determine the effectiveness of instruction, school leadership, and resources in tackling rigorous standards. In the past, principals worked as managers to maintain order within the school, but today there is a growing need for school leaders to act as change agents. Principals must cultivate the support of their teachers and guide them to become part of the school’s leadership team. The leadership team utilizes transformational leadership to focus on the development of the organization and its capacity to implement change (Liethwood, Louis, Anderson, & Wahlstrom, 2004). The focus of a transformational leader is to establish a community-based collective effort that focus on making decisions which improve student outcomes and improve the lives of those they work with (Hallinger, 1992; Brooks, J. S., & Miles, M., (2006). Recent studies show principal turnover rates range between an average of 15 to 30 percent. This poses a genuine concern because principal turnover is detrimental to school 15 performance (Béteille, et al., 2012; Copland, 2013). Béteille et al. (2012) goes on to indicate when appointing a novice principal without prior experience, there is a negative effect on student achievement. In order to build leadership capacity, it is important to determine what factors help facilitate the success of a new principal. Often, the limitations of the individuals themselves determine their decision to leave their role in leadership. This means if a district has a high rate of principal attrition, they are unable to build leadership capacity. Examining ways of preparing and supporting new principals for the long-term helps to build this capacity and addresses the district’s goal to reduce the number of new principals leaving. High principal turnover rates in the United States public schools is cause for concern, especially when these positions are often filled with inexperienced principals in need of support (Fuller, E., & Young, M., 2009). Principal attrition percentages are higher in schools of low income, low achieving and minority students (Béteille, et al., 2012; Burkhauser et al., 2012). Principal turnover is clearly a cause for concern for the succession process within these districts (Bengtson et al., 2013). A cycle has developed in low preforming schools where principals leave within the first 5 years and seek a role in a higher performing district. The instability within these already challenged schools makes their academic achievement goals unattainable, sometimes exemplified in a regression in student outcomes (Beteill et al., 2012). Finding the right candidates to fill these positions is of particular importance in low performing districts. Not only do these challenged schools need particularly well-qualified leaders, but leaders who wish to serve this population of students long-term to build stability and, in turn leadership capacity (Hitt, 2012; Hull, 2012). It has been established that there is a need for qualified principal candidates, prompting the question of why principal training programs are not adequately preparing candidates for roles 16 in leadership. An examination of available literature regarding organizational systems building leadership capacity within school districts will shed light on the various practices involved in principal training. Examining the succession plan of the Seaside Unified School District will reveal promising practices of using an academy approach tin order to prepare qualified principal candidates. Succession Plan There is little research on district succession development plans, but research on the development of principal candidates does exist. Establishing a reference, some research was drawn from business management and public administration literature to analyze district actions (Russell & Sabina, 2014). The concept of principal preparation has become an area of interest with the increased principal vacancies and a diminution in the quality and size of the applicant pool. In seeking out better candidates, a search for teachers with leadership talent is underway. Districts throughout the country have begun cultivating the skills and knowledge of these individuals through the creation of preparation pathways that prepare candidates for leadership positions (Turnbull, B., Riley, D. L., Arcaira, E. R., Anderson, L. M., & Ferlane, J. M., 2013). These pathways are the systematic identification and training systems, which take the form of an academy. The district to expand the leadership skills and knowledge of current principal candidates utilizes district academies. This, in turn, strengthens the district’s leadership capital by creating a “home-grown” reservoir of individuals prepared to take on a leadership role (Turnbull, et al., 2013). The creation of candidates from within the district helps to eliminate the high turnover rate of leaders, which is widespread in schools with high populations of under-achieving students, English learners, or students who are of low socioeconomic status. It is common for 17 new principals to accept positions in these schools where they will stay for a few years before moving onto more affluent schools (Béteille , et al., 2012). Some districts attempt to evade this issue by developing a succession plan to “grow their own” by cultivating qualified candidates recruited from existing staff members. These individuals have previous experience and self- identify as members of the district; they understand the needs of the population they already serve (Hitt et al., 2012). There are several examples of such programs, but their success relies on the commitment of the district to create an effective program that includes ongoing supports. One study of the Mississippi Delta District (Griffin et al., 2012) serves as an example of how beneficial a district’s inbuilt academy can be. The Mississippi Delta District is a high- poverty district with low overall achievement scores and is ranked 8 th in the country. The academy at the Mississippi Delta District showcases best practices by establishing district capacity through the implementation of a fourteen-month, full-time preparation program which focuses on the advancement of both principals and assistant principals. The academy’s course of study includes internships lasting between 3-12 weeks in elementary, middle and high schools plus one additional week at the district office. Following each internship, there is an intensive course of study for 5-10 days. By determining those educators with leadership qualities, programs such as those at the Mississippi Delta District expand trainees’ knowledge and skills to become future leaders within the district. The foundation of this program was based on the initial implementation of an internship that included intensive study, and a one-week service at the district office. The population of this district had a dense underprivileged population. One requirement of selection for the leadership program was that each candidate had to have taken on some leadership initiative within one of the under-preforming schools in the district. This study demonstrated how the use of educators 18 already within the district was instrumental in the program’s success due to their prior understanding of the population they served. This stems from the candidates’ established understanding of the culture of the students and families in which they were to serve (Griffin et al., 2012). Mendels (2012) states, “We need a strategy that is no longer based on hope, but action.” Succession plans systematically address the districts need for highly qualified principal candidates by developing the talents of current employees to fill the increased vacancies (Rothwell, 2011). When looking to fill replacement pools, identification of those who show leadership qualities is essential. Identification There is no formally defined method to assess a candidate’s leadership competence. Principals are generally hired from a pool of assistant principals, which is seen as a training ground of leadership aptitude (Hitt et al., 2012; Kwan, 2012). Kwan (2012) indicated the four most important qualities when considering a principal applicant: 1. Managerial skills, indicating an ability to lead others 2. Communication and interpersonal skills in conveying ideas and soliciting support from stakeholders 3. Knowledge and experience 4. Moral integrity, meant to to maintain the culture and values of the school (p.341) Collins (2003) would argue the importance of getting those with certain natural character traits and innate capabilities is even more important than focusing on skills that can be taught. These essential traits, which focus on having a vision and getting others to follow one’s lead, are also outlined in the transformational leadership theory of Northouse (2013). Northouse (2013) goes 19 on to stress the ideals that are effective in motivating followers. They involve having the charisma to inspire and influence others as well as the intellect to stimulate others to be creative and come up with innovative approaches to organizational issues (Northouse, 2013). Both Northouse and Collins would agree that a great leader is one who can rally others to work towards a shared vision. The intent of this research is to examine the gap that exists in the preparation and development of potential leaders, beginning with the identification of those individuals with apparent potential from within the existing staff. Narrowing the existing developmental gaps requires a plan of action to assess the qualifying indicators of potential candidates (Rothwell, 2012). There are basic requirements expected of the candidates chosen to be trained as part of the leadership pool, such as possessing an advanced degree and having demonstrated prior success as a classroom teacher (Hitt, et al. 2012). Although there is an increase in principal vacancies, the problem is not that aren’t enough applicants for the positions, but rather getting the most well- suited individuals who can be trained to take on these leadership roles (Russell & Sabina, (2014). Hitt (2012) states that the use of behavior-based interviewing helps to discover the skills, expertise, and experience of potential leadership candidates. Thorough interviewing uncovers not only an individual’s capacity to perform but also helps in determining the site that would be the right fit for that individual and school (Collins, 2001). Identification of future leaders is critical to beginning a succession planning process to build candidate pools from which the leaders of tomorrow can be cultivated. As the potential leaders are identified they will need to be prepared with information and opportunities that allow them to realize the responsibilities involved in taking on leadership roles. Recruitment represents the next step in the development of an effective succession plan. 20 Recruitment At one time, money spent on leadership recruitment and development was considered a sunk cost with no lasting benefit. Today, it is viewed as an investment in building long-term leadership capacity (Fink, 2011). Many schools struggle to recruit highly qualified principal candidates because the principal’s role has become increasingly challenging over previous generations (Hull, 2012; Russell, J.L. & Sabine, L., 2014). In response, the role of administration has become less attractive to the newer generation of potential leaders, and with high accountability and greater job demands, there is a concern for the recruitment and retention of leaders (Bengtson et al., 2013; Deresh, 2004; Fink, 2014; Russell & Scabina, 2014; Sciarappa & Mason, 2014; Turnbull, 2013). Knowledge of teacher motivation to become school principals can be used to guide recruitment efforts of training and leadership succession plans. While the administrator role presents many undesirable traits, there are still teachers who would be interested in the idea of having a greater impact on students. The enjoyment of working with children and the wish to make a difference are often the fundamental reasons most teachers go into teaching. Those who wish to extend the scope of their influence often choose to make the transition into administration (Barton, L., 2011; Lortie, 2009). Current principals can assist in the development of the next generation of leaders by identifying those teachers that exhibit leadership qualities and encouraging them to further their knowledge and skills by enrolling in an outside university program (Turnbull, et al., 2013). There are inhibitors to choosing the leadership path according to a study by Howley, Adrianivo, & Perry (2005) which surveyed 868 teachers. The deterrents teachers frequently noted were the increase in stress, loss of personal time, increased accountability, and salary unequal to expectations. These factors are what impede teachers from choosing to pursue principal positions 21 (Barton, 2011). When asked what would increase the number of principal candidates, superintendents’ consistent responses were improved salary, training and a belief that the role of a principal should be redefined to focus on instruction (Barton, 2011; Pijanowski et al., 2009). Understanding those aspects of the position that teachers find unappealing can assist districts in determining what should be changed in order to gain better recruitment results and, in turn, better selection of candidates. By utilizing transformational leadership practices and working collaboratively, principals will gain a better understanding of their teachers’ aspirations and capabilities. These relationships establish principals as most qualified to make recommendations for participants to enter into a leadership program. Using transformational leadership theory, leaders motivate others to move to higher standards of responsibility (Northouse, 2013) This succession management approach develops the inherent capacity of those individuals already within the organization. Fink (2011) refers to this as sustainable leadership, which does not deplete from the resources of the system, but rather builds capacity through a pipeline of succession planning to build the next generation of leaders. In developing the next generation of leaders, Mendels (2012), refers to four essential elements for securing effective principals: 1. Selective hiring in order to get the right person for the position 2. High-quality training to ensure the individual is prepared for the job 3. Solid on-the-job support to assist a new principal during difficult situations and to give consultation 4. The need for performance-based evaluations to gain an understanding of the areas where the individual needs improvement and provide development in those areas (p.49) 22 When evaluating the skills of the individual, the deficits found in particular areas should be viewed as an opportunity for growth and not seen as negatives (Mendels, 2012). Examples abound of many bright people in leadership positions who fail because they simply did not understand the strategies of practice that were required to fulfill the duties of the job (Walters, T., Marzano, R., McNulty, B., 2003). Determining the deficits and providing professional development to address the deficit will not only build human capital and leadership capacity but will also display a supportive culture within the district. The development of leadership capacity is a time-intensive and financially costly endeavor, but is crucial to the sustained growth and success of a school. Effective identification and recruitment of future leaders will lead to a qualified and motivated group of future leaders. Districts must now develop a program of preparing and inducting candidates to become knowledgeable and competent principals. Preparation of Aspiring Principals A district’s leadership development program is seen as an opportunity for the district to strengthen their human capital (Rothwell, 2012). This is done by cultivating the skills of individuals already in the system who wish to take on leadership roles. These programs develop a candidate’s cultural understanding of the school community from an administrative perspective in order to gain an awareness of the administration’s strategic vision. A study by Mendels (2012) funded by the Wallace Foundation was a 75-million-dollar project that involved 10 schools over the course of 6 years. The study looked at the attempt to build quality leadership in these 10 schools through the establishment of principal pipelines. These pipelines were based on the effective leaders being properly trained and developed on the job, and the establishment of performance-based evaluations based on a set of principal standards. Mendels (2012) stated that university training and professional development were 23 “inadequate.” In response, the goal was to create high-quality ‘preservice’ training based on district needs. Aspiring principals were to take part in a yearlong program that included 9 hours of instruction per month with projects that included school improvement and staff development plans. The program also included a 90-day residency where the participants worked with an exemplary principal. A key component in the implementation of the program was the application of distributed leadership by getting staff to be involved in meaningful ways as a means to building leadership capacity. Once hired, new and assistant principals were required to take part in a two-year mentoring program. Part of the pipeline was the New York City Leadership Academy; principals from this academy have shown steeper student improvement in both English and Math. In 2011, there were 500 applicants for 28 positions. With ten districts there were some variations to the program, but the general application was the same. It was found that building a successful pipeline is costly and requires a strong commitment. This commitment involved organizational planning and skill-development of candidates. Growing candidates from within the district helps to ensure candidates understand the district’s culture and expectations. Hitt (2012) emphasizes that candidates should master the skills and knowledge required to facilitate practices that build a positive school culture. When principals apply transformational leadership theory (Northouse, 2013), then, the importance of having an executive plan and inspiring others to follow is critical. However, this vision cannot simply represent the ideals of the school, but must also incorporate the expectations of the district. The vision and ideals are not as clear when training does not come from within the district. Two other forms of principal training and preparation are far more common than an organic academy grown from within a district. The first program is the traditional university program. The second is a university program combined with a district’s internship training. 24 Oddly, the university model, which is the most common program, has not fully prepared candidates for principal positions (Clayton, 2013; Gill, 2012). However, both traditional models are necessary to understand the variations in training programs. The majority of principal candidates come from university-based programs. Therefore, it is important to address this training to gain an understanding of the gap in skills acquired and those expected of an individual when they are hired into a leadership position. The most common principal preparation model is a university-based program, which is solely instructional. These classroom-based programs are being challenged due to the limitation to theoretical knowledge, and a lack of authentic application and practice that is necessary to gain the skills required to become an effective leader (Clayton, et al., 2014). The university preparation could be a key to preparing aspiring principals for responsibilities in finance, curriculum and instruction, as well as school law. It was found that a gap in preparation development exists between the knowledge gained through a university-based program and the skills required to perform the job. There were some skills and knowledge that could only be learned once the individual actually took on a ‘real world’ position (Clayton, 2013; Mendels, 2012). For this reason, university-based programs are being questioned. These programs are limited to academic knowledge whereas the application of authentic practice is necessary to gain the skills required to be an effective leader (Clayton, et al., 2014). While university programs alone are seen as inadequate in preparing new principals for their jobs, they are still the primary form of preparation. The skills and knowledge gained by new principals through purely didactic preparation programs, although important, were limited and theory-based. Clayton (2013) indicates the importance of including district personnel in a 25 collaborative process and combining this with traditional university schooling. The district component gives trainees the applied skills and experience needed for day-to-day operations. Ideally, a combination of university education and a district component fuses theory and practice as necessary elements to establish a system that fully prepares future school leaders (Clayton, 2013). Many districts continue to rely on university programs as a sole source of training and preparation for new principals, while others are able to develop partnerships with the universities creating a hybrid preparation model. While universities continue to be the primary source of principal preparation, the need for additional types of training programs is apparent as school systems seek better-trained candidates for leadership positions (Zepeda, et al., 2012). Close relationships between university-based preparation programs and districts are desirable and provide theoretical foundations to educational management, as well as administrative and leadership skills (Borgemenke, 2011). When successful partnerships are created between districts and universities, the preparation of educational leaders can provide the districts with the opportunity to prepare their aspiring leaders (Clayton, 2013; Gorgan et al., 2009; Darling-Hammond et al., 2007). Well-coordinated programs where collaboration between districts and universities bridge the theory and practice gap and provide meaningful learning opportunities can be very successful and have certainly been the traditional ways for principals to be groomed (Clayton, et al., 2013) Successful preparation programs address both the academic and practical skills needed to become an effective principal. The inducting of candidates into their new roles is critical to the success of future leaders. Part of this induction process is the socialization of new principals. 26 Socialization A major part of a new leadership or succession program is socialization (Bengtson, et al., 2013). Leadership development in team structures promotes strength and support by being a part of a cooperative group. Socialization is developed within the creation of a cohort, which builds a community of social networks, establishing interpersonal and common skills (Hitt, 2012). The interim period beginning when a principal is appointed to when they gain the support and respect of their staff is what Alvy and Robbins (1998) refer to as ‘organizational socialization.’ This is a critical time when growth is optimized through personal relationships in a professional setting, where feedback and criticism from peers enhances the proficiencies and information being applied and learned (Hitt, 2013). Through the process of learning in a group, individuals create a social and professional network, which will continue to be a source of encouragement after each candidate attains a principal position. Once employed, ninety-six percent of new principals said on-the-job experiences and support from their peers were more helpful than their academic studies (Sciarappa & Mason, 2014). The group focus of socialization creates a community of support for the novice principals to share experiences and support with peers. The pairing of novice leaders with seasoned administrators is another promising practice for developing leadership capacity. In order to affect change within the organization, a principal needs to be socialized to develop what Fullan (2012) calls ‘relational trust.’ This trust is a part of building a collaborative culture within a school. New principals need to build their own leadership abilities by gaining the support of their staff best done through socialization and relationship building. Leithwood and Seashore Louis (2012) state that, “Leadership affects student learning when it is targeted at working relationships, improving instruction and indirectly, student achievement (p. 234).” 27 Applying the tenets of transformational leadership, participants in the Aspiring Administrator Academy engage in dialogue to gain an understanding of how building relationships helps in forming the support needed to achieve the vision of the organization and its goals. Socialization is essential from both site and district perspective; these are the connections that build the support system of both the individual and the organization. The application of a mentorship program as a one-on-one support assists in the socialization of new principals. Mentorship Mentorship can be applied in different ways, either as a principal mentoring a teacher, or a veteran principal of recognized excellence who mentors new principals into distinction . First- year principals find their jobs exciting but are typically unprepared and benefit from a formal source of support (Sciarappa & Mason, 2014). Mentors can be instrumental in assisting first-year principals by providing ongoing support and helping them develop professional socialization by learning to acclimate to a new role and guiding expectations (Clayton, et al., 2013). Gaining the knowledge of the school culture is the most challenging task (Sciarappa & Mason, 2014). New and aspiring principals use the guidance from their mentor to build self-efficacy in attending to the demands of a leadership position (Daresh, 2010; Orphanos, et al., 2014; Rhodes & Fletcher, 2013; Sciarappa & Mason, 2014). While there are obvious benefits for the mentee, the mentor also experiences the benefit of building their own capacity as leaders (Clayton et al., 2014; Rhodes & Fletcher, 2013) Although often beneficial, mentoring does also present some concerns and the pairing of mentor to a mentee is critical to promote a positive working relationship. The selection of effective mentors should be similar to the selection process for aspiring leaders to ensure the 28 quality of the support (Sciarappa & Mason, 2014) Also, with the rapid change occurring in education, a mentor who is not actively involved in professional development may perpetuate a reinforcement of the status quo form of traditional leadership (Clayton, et al., 2013). ` Transformational Leadership Most candidates display a generic aptitude for management, communication, and presentation skills, but with today’s expanded requirements of a school leader, one must transcend beyond management to become what Northouse (2013) identifies as a ‘transformational leader.’ Although there are not set definitions as to how a transformational leader should act, this study will focus on the factors of Model the Way, Inspire a Shared Vision, and Enabling Others to Act, which are three of the five fundamental practices developed by Kouzes and Posner (2002). The determination of a highly-qualified candidate is based not only on their skills and knowledge but even more so on the interpersonal character of that individual (Collins, 2001; Northouse, 2013). The focus of transformational leadership is in building leadership capacity through the development of human capital. The utilization of the strengths of each individual within the organization will establish an overall knowledge base and the creation of social capital which will be used to determine the strategies necessary in moving the organization forward (Fullan, M., 2014). Bass, B.M. and Avolio, B.J., (1990; Hitt, 2012) indicate the use of transformational leadership theory in the recruitment, selection, promotion, training, and development at all levels to improve the performance of the organization. Northouse (2013) describes leadership as a process where there is not only one person in charge but rather discourse between leaders and their followers. Communication focuses on strategy and the advancement of the organization to attain a leader’s vision through innovation. 29 One criticism of transformational leadership is its perceived reliance on personal traits that are innate, rather than behaviors, which can be trained and learned; one cannot acquire these attributes to become a transformational leader. When considering the role of transformational leaders, although charisma may be of benefit, it certainly is not necessary. The core premise of being a transformational leader is to engage in meaningful interactions with others to develop relationships that nurture a shared commitment toward achieving a common goal (Northouse, 2013; Rhodes & Fletcher, 2013). Transformational leaders foster capacity by establishing relationships but it also has limitations in terms of solutions and supports available for staff development. Limitations There are obvious benefits to implementing a program supported by the district, but a shortage of internal personnel as well as a dearth of funding, limits the impact of a district’s program (AASA, 2012). The American Association of School Administrators (AASA, 2012) found out of 528 school districts in 48 states in the 2011-2012 school year: • Forty-nine percent of the districts reduced instructional support personnel and projected further cuts for the year 2012-13. • Twenty percent reported furloughed personnel and twenty percent expected to implement furlough days in the year 2012-2013. • There were drastic cuts in professional development in thirty-six percent of the districts, growing to fifty-two percent for the year 2012-2013. These cuts present challenges not only to the implementation of support programs for aspiring administrators, but also presents challenges for the new administrators navigating through the 30 accountability measures for student outcomes in a time when there are inadequate funds to acquire the resources needed to address student needs. The definition and research of this area of development is limited, but would be instrumental to determine the barriers faced in fulfilling their obligations to promote school improvement and principal development (Burkhauser, et al., 2012). The determination of promising practices within the district in building leadership capacity can be limited by the need to generalize promising practices based on the microclimate within each school and district. Each district and school will need different types of support. The most promising practices need to be flexible in order to fit each particular context. Summary It has been found that innovative leadership preparation has a small but statistically significant influence on teacher collaboration and job satisfaction through its influence on effective leadership practices (Hallinger and Heck, 2010). Strong school leadership is an essential component to school improvement efforts (Bryk et al., 2010) and the determination of the most promising practices in establishing leadership systems and supports. When developing a system, an academy’s effectiveness depends upon a dedicated commitment by the district. Additionally, effectiveness in university-based programs is being challenged (Clayton, et al., 2013). The challenge stems from the lack of new quality candidates to fill the increasing vacancies in education leadership. As new principals are chosen to fill the leadership vacancies, they often lack the skills necessary to perform the multitude of tasks required of them. This can be seen as a leading indicator that an immediate need for improvement and change, in the preparation of K-12 leadership, is needed (Clayton, et al., 2013). 31 In review of the research on succession planning of aspiring principals to build leadership capacity, the literature revealed a gap in the preparation and development of potential leaders. This gap has led to a deficiency in the quality of applicants aspiring to gain leadership positions. The purpose of developing this study is to determine promising practices for building leadership capacity through fostering hopeful leaders. Developing successful principals strongly promotes both professional learning and leadership for school improvement. The present study aims to remedy the research gap and demonstrate how district organizations contribute to the preparation of would-be leaders. Developing this system will benefit districts looking to build a pool of leadership candidates from within. A recent study by Rothwell (2010) revealed the evolution of succession planning from the traditional replacement planning methods of the past. This strategy not only elevates the quality of candidates but also streamlines the process in hiring new principals. This outcome is indicative of how the application of positive practices can constructively influence other areas. It has been determined that the investment and development of school leaders is a critical lever to social, economic, and cultural development (Hallinger, 2006) and a necessary factor in creating quality educational systems. Research on succession plans and development of principal candidates indicates that through the process of identification, recruitment, preparation, and induction, school leaders gain an understanding of management structures and processes that enable a vision to take hold and thrive. 32 CHAPTER THREE METHODOLOGY Introduction The increase in principal vacancies has raised districts’ concerns in finding first-rate school leaders (Grissom & Loeb, 2011; Beitelle et al., 2012). The intent of this study was to explore how districts build leadership capacity by implementing a succession plan that includes the development of leadership academies in an effort to cultivate the next generation of leaders. Current research indicates that high-quality leadership has a positive effect on academic success (Grissom & Loeb, 2011). Therefore, this study will focus on the importance of building leadership capacity through the identification, recruitment, preparation, and induction of new principals (Camblin, S. & Keir, S., 2008; Hitt, D.H., Tucker, P.D., & Young, M.D., 2012; WestEd, 2010). By examining the effectiveness of Seaside district’s principal preparation academy, the study identifies the most promising practices, which can be utilized to help guide the development of other leadership programs intent on increasing the number of well-prepared school principals available to fill leadership vacancies. This chapter outlines the methods of research and the design of the study at Seaside Unified School District’s Aspiring Administrator Academy. It explains the process of selecting participants and describes the sampling. It also reintroduces the theoretical framework of transformational leadership by Kouzes and Posner (1987) and Northouse (2013). The researcher reviews the data collection procedures, as well as the research instrumentation utilized. Finally, the format for data analysis is explained, along with the ethical considerations made to ensure the safety and confidentiality of the participants. 33 Research Questions The study centered on the Aspiring Administrator Academy, the leadership preparation program within the Seaside Unified School District, and sought to obtain responses to the following collaboratively developed research questions: 1) In what ways does Seaside Unified School District work to build the next generation of leaders? 2) What are the perceptions of Seaside Unified School District’s stakeholders regarding the influence of those practices? 3) What are the factors that facilitate and/or inhibit the development and implementation of strategies at Seaside School District to build leadership capacity? Research Design This study utilized a qualitative case study designed to gain a deeper understanding of the leadership development program at Seaside Unified School District. The researcher was the key instrument, gathering and analyzing data, to investigate the systems and structures that develop leadership capacity within the district (Merriam, 2009). Qualitative research was selected to establish a rich, in-depth study, which revealed the perceptions of the participants, while also paying great attention to detail (Gall, Gall, & Borg, 2007; Patton, M., 2002). The perceptions of participants were important because they indicated how the participants interpreted their experiences and applied meaning to those experiences (Merriam, 2009). The use of qualitative data collection relied on a variety of information sources including interviews, observations, and document analysis (Creswell, 2014). A triangulation of these three methods of data collection was used to increase the credibility of the findings. Once the data was 34 collected, a coding system was applied to determine themes within the data, which may require further examination (Merriam, 2009). The purpose of choosing Seaside Unified School District’s Aspiring Administrator Academy was to develop a deeper understanding of a regional district known for its promising practices of leadership academies and how such practices build leadership capacity. Using a case study approach, the researcher gained access to the participant’s settings, giving further perspective to the issue of building leadership capacity within the district. Sampling and Population This study involved the participation of key members of the Seaside Unified School District’s Aspiring Administrator Academy who were directly involved with the development and facilitation of the leadership program. The study used both purposeful and snowball sampling in identifying six participants. Purposeful sampling allowed the researcher to select (Merriam, 2009) tier one participants, which consisted of the Assistant Superintendent of Human Resources, two participants from the central office administrative team who are directly involved with the development and support of the leadership academy and one assistant principal who attained a position of leadership while in the leadership academy. All four participants were chosen for their involvement in the program, as well as their administrative experience. Tier two participants were accessed through snowball sampling. They were referred by the tier one participants (Merriam, 2009). The tier two participants consisted of one principal, and one instructional leader, both participants in the leadership academy. These participants gave a constructive perspective of the challenging experiences new principals face. The experiences of the six participants gave relevance to the assessment of the skills and training attained through the participation in the school district’s Aspiring Administrator Academy. 35 Participation in this study was voluntary and only staff willing to be interviewed and observed were part of the study. Each participant’s professional experience and tenure at the district varied, giving a well-rounded perspective on the leadership development program. Overview of the Organization The Seaside School District is located in Southern California, and encompasses grades K- 12. Seaside maintains an enrollment of 56,000 students, sixty percent of whom are English learners and ninety-one percent qualify for free and reduced lunch. The ethnicity of the student population is comprised of ninety-six percent Hispanic, two percent Asian, and one percent white. Seaside Unified School District has 189 employee leaders at both the district and site levels. The leadership academy of Seaside Unified School District’s Aspiring Administrator Academy fulfills the criteria of a promising program dedicated to developing the leadership practices this study explored. The implementation of the leadership academy indicates the district’s commitment to building leadership capacity, and their interest in growing the next generation of leaders. Theoretical Framework Understanding Transformational Leadership Theory by Northouse (2013) is necessary to ground this research in the building of leadership capacity. As explained in chapters one and two, including district personnel as part of the collaborative process in preparing school leaders is necessary to develop a successful program. Applying Creswell’s (2009) advocacy lens supports an emerging design that allows for adjustments to be made depending on the participants’ views of promising practices. Seaside’s leadership academy demonstrates the theoretical framework of transformational leadership with a promise to cultivate a reservoir 36 of future leaders. Seaside relies on the four strategies of Bennis and Nanus (1985), and Northouse (2013) as the academy acts as a place for role models for participants to be motivated and inspire others to follow. These academy leaders find innovative ways to cultivate candidates to work collaboratively within a supportive climate. Transformational leadership theory is based on the Kouzes and Posner’s (2002) five fundamental practices. This study will concentrate on three: Model the Way, Inspiring a Shared Vision, and Enabling Others to Act. The examination of promising practices will be viewed through the lenses of these three strategies of Transformational Leadership Theory. Conceptual Framework Historical factors have led to the challenge of attaining quality candidates to fill the increasing vacancies in school principalship. Due to the evolution of principalship from manager to transformational leader, increased responsibilities have accompanied this role and led to qualified teachers showing little interest in taking on principal vacancies (Bengtson et al., 2013). Seaside Unified School District responded with the development of a succession plan that involved identification, recruitment, preparation, and induction. Implementing the leadership academy built leadership skills for candidates as well as capacity for the district. This study explored the district’s efforts to institute a leadership academy for aspiring administrators to establish a system to cultivate “home grown” candidates and create a wider pool of contenders to fill future positions. The conceptual framework, designed by the thematic group (Figure 1) was based on emerging themes from the review of the literature. 37 Figure 1. Conceptual Framework of the Study. Ed. D. Thematic Group, 2016 TRANSFORMATIONAL+ LEADERSHIP+ IDENTIFICATION+ MENTORING+ TAPPING/SUCCESSION+ PLANNING+ INCREASED+LEADERSHIP+ CAPACITY+ RESERVOIR+OF+HIGHLY+ QUALIFIED+LEADERS+ Facilita<ng+and+ Inhibi<ng+Factors+ 38 Data Collection This study collected data using three types of methods: semi-structured interviews, observations, and document analysis. Initial entry into the district was gained through a meeting by the researcher with the Assistant Superintendent of Human Resources and the Director of Human Resources of Seaside Unified School District. Once entry was granted, other participants were recommended and further access was granted to the researcher. After speaking with each participant, a recruitment letter was sent to formally introduce the topic of the study and inform the participants of their rights. Participants were made aware that they could withdraw from the study at any time, without penalty or consequence. Subjects did not receive any form of compensation for their participation other than the satisfaction of contributing to the body of knowledge regarding support options for new principals. Over the course of three months, one interview was conducted with each participant for a duration of 30-45 minutes. The purpose of these interviews was to gain an understanding of the participants’ perspective of the Seaside Unified School District’s Aspiring Leadership Academy. The following table (Table. 1) illustrates the characteristics of each participant, as they were relevant to the study. 39 Table 1. Participant Interviews Participants Relevant Characteristic 1 (e.g., Years in the district) Relevant Characteristic 2 (e.g., Years of experience in a leadership role) Other Relevant Characteristics Length of Interview Assistant Superintendent of K-12 School Performance 24 First year as assistant superintendent Personal Experience and Background Knowledge 1 hour Director of Human Resources 21 12 Developed and implemented the Leadership Pathways Academies 1 hour 30 min. BTSA Coordinator 28 years before she retired in 2015 17 Developed and implemented the Leadership Pathways Academies 1hour 30 min. School Principal 32 23 Developed and implemented the Leadership Pathways Academies 2 hours Assistant Principal First year in an administrative position 14 Participant in the Aspiring Administrator Academy 45 min. BTSA Coordinator First year coordinator 19 Participant in the Aspiring Administrator Academy 1 hour 40 Three observations were conducted of regularly scheduled Aspiring Administrator Academy meetings. An additional two observations were conducted of aspiring administrator candidates working within their leadership roles. These observations gave a deeper understanding of the new principal’s settings and daily experiences. The following table (Table 2) indicates the specifics of the observations. Table 2. Observations Site Setting Participants Length of Observation District Office Boardroom Brianna, Julie, Leah, and aspiring administrator academy participants 3 hours District Office Boardroom Brianna, Julie, Leah, and aspiring administrator academy participants 3 hours District Office Boardroom Brianna, Julie, Leah, and aspiring administrator academy participants 3 hours Esqueda Elementary Office Margret 1 hour Willard Middle School Office Leah 1 hour 20 min. The interview protocols were developed by a dissertation group who worked collectively as part of a thematic dissertation group as outlined in Appendices C and D. Appendix C is the interview protocol applied to Tier One participants, and Appendix D is the protocol employed with Tier Two participants. Instrumentation Creswell (2009) provides the study’s method for data collection which utilized three different methods: semi structured interviews to gather views and opinions, observations taken in the field to discern individuals in their expected professional setting, and document collection of Aspiring Administrator Academy meetings and agendas. The interviews provided the primary 41 source of data for the study. The conducting of observations and the collection of written information from academy meetings further reinforced the data from the interviews. In addition to the participants signing consent forms, they were also provided with an explanation of the interview and observation processes. Participants were assured that the manner of information gathering and study publication would protect their anonymity and would be strictly confidential. After the completion of the observations and interviews, literature was applied to conduct a triangulation of the findings (Maxwell, 2013). Documents provided by the district and available for public access provided additional information in order to conduct the triangulation. Multiple data sources were used with the triangulation process to increase validity and provide a more thorough and comprehensive analysis (Merriam, 2009; Patton, 2002). Table 3 shows which form of research instrumentation addressed each of the research questions. This illustrates the importance of the interview process of data collection and how observations and artifacts were used to support the data collected through the interviews. Table 3. Research Questions as Instrumentation Research Questions Interview Artifacts Observations In what ways does Seaside Unified School District work to build the next generation of leaders? X X X What are the perceptions of Seaside Unified School District’s stakeholders regarding the influence of those practices? X X X What are the factors that facilitate and inhibit the development and implementation of strategies at the Seaside Unified School District to build leadership capacity? X X X 42 Data Analysis The process of data analysis led to the answers of the research questions (Merriam, 2009). Information gained through the literature review provided themes that guided the interview and observation data. As themes developed, a structured coding system and categories were comprised to synthesize the data of both observations and interviews to reveal consistencies and inconsistencies in the data through measures of triangulation (Patton, 2002). Creswell’s (2009) six-step model was used for analyzing data for this study (Figure 2). Included below is a model of Creswell’s six steps made by a 2016 dissertation group to depict the process of analysis. Figure 2. Creswell’s Six-Step Model Ed. D. Thematic Group 2016 43 Once interviews were conducted and observations made, Creswell’s six steps were applied to the data beginning with the organization of the data acquired through interviews and observations. Thorough reading of the data helped to establish a coding process in order to categorize the data so that meaning could be derived and themes uncovered. The final step concluded with a full examination of the data with the determination of the study’s results indicating common themes that emerged to define the study’s findings. This process provided a strategy to analyze and understand the phenomenon. Methods Interviews were conducted using a semi-structured approach where a guide was developed and probing questions applied in an attempt to elaborate on information gathered and to help redirect the focus of the interview. Interviews were conducted to elicit information that was not gathered through observations and to understand the issue from various individual’s perspectives. This incorporated a broader range of ideas and experiences into the study. Observations of the leadership academy meetings gave a first-hand account of the promising practices developed and the raw settings of the decision-making process. All of the observations made it possible to identify nuances, which were recorded through written notes. These notes were later transcribed into digital documents with supplementary comments and clarification by the researcher. The information attained through these observations served to supplement the information gained through the interviews (Merriam, 2009). The additional annotations were sparked by subtle factors that would not be included in the transcription of an interview, such as nonverbal communication, dress, and physical clues. Scrutiny like this is not considered in quantitative research, which can leave a purely data-oriented study lacking (Creswell, 2009). The valid concern of a qualitative method of research, however, is the 44 possibility of bias seeping into findings due to the subjective nature of individual interpretation as well as the perspectives of the researcher and the participants involved. The use of various methods of data collection, interviews, observations, and artifacts provide multiple perspectives of the academy. Cross referencing validates the accuracy of the data to reduce error in analysis. Ethical Considerations The ethical conduct of the investigator determines the quality and integrity of the research and substantiates the contributions and findings of the study (Merriam, 2009). The researcher followed university procedures for ethical practices by following the regulations set by The University of Southern California’s Institutional Review Board (IRB). Each participant signed an informed consent acknowledgment that explained what was to be asked and gave a brief overview of the study. In qualitative studies, ethical quandaries are likely to arise due to information that is shared in interviews or gained through the access of documents (Merriam, 2009). To eliminate these dilemmas as much as possible, information communicated by the participant was kept private; the confidentiality and anonymity of each respondent and the institution studied was upheld by the use of pseudonyms and the elimination of all identifiers. Data were kept in a secured, locked location to ensure it would not be inappropriately used and would be destroyed upon the completion of the study. Summary This chapter provided an overview of the qualitative case study methods used to collect and analyze data. The chapter also described the theoretical and conceptual frameworks used in the study of Seaside Unified School District’s principal development program titled, Aspiring Administrator Academy. The following chapter, Chapter 4, contains the results of the study and an analysis of the data to determine the findings as they align with the research questions. 45 Chapter 4 will also review the findings and examine meaning as it relates to the purpose of the study. 46 CHAPTER FOUR FINDINGS The goal of this study was to address how one school district created a program to help handle the potential dearth of well-qualified leaders as veterans retire and vacancies open in the near future. The goal was to learn more about the organizational structures and systems in place at the Seaside School District - the subject of this case study. The Seaside District implemented leadership academies for aspiring school site leaders. The individuals participating in this study all either graduated from or helped to develop Seaside’s training program. All participants were asked to share their perceptions of the academy they participated in and the effect the academy had on their preparations as nascent principals. Three research questions were defined to frame the study, and to discern the value of the practices instituted by the Seaside district. In addition to formal interviews, an observation was conducted of a meeting of the academy and artifacts were collected. These documents included meeting agendas, power point presentation printouts, an administrator 90-day plan, drafts for a Leadership Pathways plan, photos, job descriptions, copies of planned interactive academy activities, and the district’s theoretical framework for teaching and learning. The items were examined and analyzed to address the following research questions: 1. In what ways does Seaside Unified School District work to build the next generation of leaders? 2. What are the perceptions of Seaside Unified School District’s school and district administrators regarding the influence of those practices? 3. What are the factors that facilitate or inhibit the development and implementation of strategies at Seaside School District to build leadership capacity? 47 A triangulation of these data sources increased the validity of the study’s findings. Once introductions of the participants are completed, the findings of the study will be presented as they correspond to the research questions. Participant Profiles A total of six participants were purposefully selected for this study. Interviews were conducted with district administrators, an assistant principal and one head principal. All participants voluntarily agreed to take part in an in-person interview and provided documentation relevant to their experiences. Agendas and supporting documents were also gathered from Aspiring Administrator Academy meetings from June 2015- January 2016. Each participant referred a colleague to contribute to this study. As previously noted, pseudonyms were used protect the identity of the participants and preserve confidentiality. Leah, Brianna, Julie, and Luis have held various administrative and didactic positions within the Seaside School District. Their tenure ranged from 14-32 years in the district and 11-23 years in administration. Mary and Margret both graduated from the inaugural 2014-2015 cohort of the Aspiring Administrator Academy and were each offered a leadership position the year following their successful completion of the program. The following table (Table 5) describes the participants who were interviewed for the study during the 2015-2016 school year. Table 5 indicates the current positions held by each participant and the number of years they have served in the district, as well as how long each has held administrative positions. 48 Table 4. List of Participants Position Held Number of Years Number of Years In District In Administration Leah Principal 32 23 Developed the Aspiring Administrators Academy Brianna Director of Human 21 12 Resources Developed the Aspiring Administrators Academy Julie BTSA Coordinator 28 17 (Retired 2015) Developed the Aspiring Administrators Academy Luis Asst. Superintendent 24 31 K-12 School Performance and Culture Mary BTSA Coordinator 19 1 (2015 to present) Participant of Aspiring Administrators Academy Margaret Assistant Principal 14 1 Participant of Aspiring Administrators Academy The Leadership Pathways Academies were developed and directed by study participants Leah, Brianna, and Julie. In June of 2015, after completing the introductory year of the Aspiring Administrator Academy, Julie retired. Mary was appointed as Julie’s successor and Margret 49 attained her first administrative position as an assistant principal at a K-8 school within the district. Anticipating future leadership openings, the Seaside District developed the Aspiring Administrator Academy to ensure a sustainable leadership pipeline of highly qualified candidates. This is a yearlong program for teachers interested in pursuing administrative roles. In this program, they were trained and made ready to assume roles of campus leadership. The academy was grounded in coaching and mentoring individuals to develop leadership potential and best instructional practices. This collaborative model provided its candidates with practical experience through the use of case studies and real life scenarios. In developing this academy, program creators Brianna and Julie explained how they wanted to craft an ongoing program internal to the district in response to district leadership needs. The curriculum is reviewed each year and change based on insights from the previous year’s activities. Report of Findings Research Question One: Building the Next Generation of Leaders The first research question sought to find out, “In what ways did Seaside Unified School District work to build the next generation of leaders?” These practices are exemplified by the district’s development of The Leadership Pathways, a series of academies focused on building the capacity of current and aspiring administrators within the district. For the purpose of this study, an emphasis was placed on The Aspiring Administrator Academy but will also include the practices of the New Administrators Academy and the Excellence in Leadership Academy as they pertain to building the capacity of district leaders. 50 The Aspiring Administrator Academy was formed to train would-be leaders in order to create a reservoir of “home grown” candidates to fill future principal vacancies. The Seaside District’s use of veteran administrators to assist with the initial identification of prospective administrators and then guide them toward advanced leadership was an effective method to inspire teachers to consider the path toward principalship. This practice of using current principals and district administrators to help develop teachers to become the next generation of leader is based on research in the field. The Seaside District adopted the premise of transformational leadership theory by utilizing site leaders to identify potential leaders and enabling them to develop their skills as a leader. Clayton (2013) underscores the importance of including district personnel to establish a system that fully prepares future school leaders. Participants in the Aspiring Administrator Academy mirrored what research has posited. Brianna commented: We have learned in Seaside that nobody really understands our unique needs better than we do, nobody loves our kids more than we do, so at least my experience has been, as much as you can, you build capacity from within. We have the most passionate teachers that evolve into the most passionate leaders who care about our kids like nobody’s business. Why not build capacity from within? Why not develop a strong pipeline? So the Aspiring Administrator Academy, it’s implementation was natural for us. All participants were in agreement that the dedication of district administrators to lead the academies was fundamental to the program. Not only were the incumbents familiar with the culture and vision of the district, they were invested in its future and had a stake in its continuing success. 51 The New Administrator Academy effectively develops leadership practices of new principals. This year-long program introduces strategies that foster continuous improvement in a constructive learning culture. The candidates gain an understanding of the importance of public engagement and interpersonal relationships. Lisa described this academy as important because, “It was the district’s first systematic, widespread opportunity to get those with leadership talent to start their training.” The findings as they relate to building the next generation of leaders are presented as such: building leaders from within, district identity, steps to achieve the vision, the culture of learning and mentoring. These themes address the purpose of the Aspiring Administrator Academy and the impact it will have on ensuring the district will be supplied with quality principal candidates in the future. Building Leaders From Within In 2014, the Seaside School District had two elementary principal positions to fill. The following year, it had eight vacancies in the top positions. Luis indicated it was challenging to find people that were the right fit to fill these positions. Part of the problem in filling the vacancies was not only in attracting both internal and external candidates to apply, but also in ensuring capable applicants had opportunities to gain experiences and learn. Luis went on to say, “It was really difficult when we saw that even our own people were not ready and we needed to provide them the opportunities to learn. So we have shifted in providing more training.” In response to this problem, the district decided to build leadership capacity by establishing an Aspiring Administrator Academy to ensure a future pipeline of trained candidates prepared to assume leadership roles in the district. Before the Aspiring Administrator Academy was conceived the district traditionally hired 52 outside agencies to deliver training to would-be principals. Luis indicated that the results of these independent efforts could be reduced to little more than additional binders on shelves --pointing to a shelf in his office stacked with binders. He also said there was little practical value from outside efforts. One participant described a previous failed attempt of the district in implementing an assistant principal program. This failure was due to an application of universal philosophy and methods that did not reach the depth of need within the district. The Seaside district serves a low socio economic population with 91 percent of students qualifying for free lunch, 60 percent of which are English learners, 96 percent Hispanic. Addressing the needs of this demographic requires leaders that are well prepared in the practices of school leadership and school performance. District administrators learned from previous leadership-building experiences and responded by designing the Leadership Pathways program. The strategy of the Leadership Pathways program began with addressing the need to support new and existing principals within the district by creating administration academies. These academies strengthen and refine the skills and knowledge of new and aspiring leaders of the Seaside District. Next, the Aspiring Administrator Academy was developed to recruit prospective participants. Site principals looked to current teachers and junior administrators who had shown promise to take on leadership roles and encouraged them to apply. One aspirant, Bianca, described this experience: Being tapped on the shoulder by great principals who see potential in you, saying you can have a greater impact in the district as a whole, not just working with 30 kids in your classroom, it’s the greatest compliment we can give as leaders. This practice was an indication that the district’s administration had a focus on finding the best candidates within their pool of teachers. Not only did the supervisors want to acknowledge those 53 with leadership qualities, and encourage others to aspire to maximizing their own potential, but they also wanted to promote the training overall. When considering possible candidates for the academy, administrators were looking for individuals already employed in the district who had assumed a leadership role at their site. Complications arose in getting the hand-picked teachers to consider transitioning into administrative positions; in some cases it required cajoling. Aspiring Academy participants explained how the high demands of a leadership position and the additional time commitment were inhibitors for them to transition into administration due to family responsibilities. Brianna, a mother herself, understood the sacrifices administrators have to make. Brianna justified these choices by looking at the bigger picture and the overall impact one can have on hundreds of children everyday by taking on a leadership role. She stated, “Leaders need to recognize those teachers who possess leadership qualities and point out how they would make a greater impact on student learning and achievement by becoming a principal.” Julie goes further to suggest, “Sometimes we have to let people know of their potential because they cannot see it within themselves; it is my job to build their confidence.” The enlistment efforts paid off with twenty-five candidates participating in the academy in the first year. District Identity Upon examination of the meeting agendas for the Aspiring Administrator Academy, it became clear the district was preparing these candidates with experiences that would preserve the district’s specific vision. The introductory meeting of the Aspiring Administrator Academy told the story of the district and led with the slogan, “I am SUSD” coupled with the phrase, “We are Seaside proud.” A video showed the successes there have been within the district and fostered a sense of pride in each person contributing to these accomplishments. Communicating 54 this motto advanced a supportive, collaborative culture motivating candidates to have an aligned vision with the district. Both participants of the Aspiring Administrator Academy indicated how they felt an energy that elevated their pride in the district and inspired them to want to do more. Data of graduated academy candidates showed the success rate of the “grow your own” strategy was clear; of the 25 graduates of the Aspiring Administrator Academy, 11 went on to fill administrative positions the following year. Steps to Attain the Vision Having a clear vision is critical in transformational leadership (Northouse, 2013); the vision addresses the needs of the organization and act as a guide for all stakeholders. Seaside’s goal in building leadership capacity was to put into practice a project that was labeled The Leadership Pathways Project. This program focused on developing leadership performance through a series of pathways to provide opportunities for new and aspiring administrators to attain professional development. The project encompassed leadership development through the implementation of various academies. Phase one addressed the needs of administrators new to leadership positions or administrators new to the district. Phase two provided ongoing support for existing principals to strengthen and refine their skills and knowledge. The third phase was the creation of the Aspiring Administrator Academy designed to address anticipated future leadership openings. Julie explained how each academy is developed and put into action in phases using reflective practices to gain knowledge from those already implemented. Each district has an overall vision for student achievement but part of the approach of The Seaside District focused on building leadership capacity district wide. Northouse (2013) emphasizes the importance of having an executive plan in order to inspire others by building a positive culture for learning. Archives of the Leadership Pathways Program indicate the district 55 had a commitment to the ongoing development of knowledge, leadership supports, and structures which had a positive effect that trickled down to have a constructive impact for kids and teachers. Julie and Brianna were part of the team that developed the strategic plan, which set goals and established the strategies to meet these goals in order to achieve the district’s vision for leadership development. The communication of the vision is a part of cultivating the culture of learning within the district. Building capacity through a shared commitment of present and future leaders strengthens the collaborative efforts of all stakeholders to accomplish the district’s vision. Luis explained, “Without a clear vision, people lose sight of the goal and when this happens they also lose sight of the purpose behind the goal.” She continued explaining how, “Sometimes people take little steps and are only looking at the current issue but are not taking in the broader picture. When this happens they lose their direction.” When the superintendancy of the district is unstable, it is important to have a strong supporting leadership team mindful of the overall vision. Therefore, it is important to ensure new principals understand this vision and what actions are necessary to bring it to fruition. In the first meeting of the Aspiring Administrator Academy, a message from the superintendent was shared to express his vision that all Seaside students would be college and career-ready -- prepared to be productive citizens of the 21 st century. Systems were put into place to accomplish this goal beginning with the district’s strategic plan. This plan was derived from the efforts of the Continuous Improvement Team, a team comprised of stakeholders at all levels. The superintendent’s message explained further how the overarching goal was based on achieving the district’s mission, which stated a dedication to high academic achievement in a scholarly and supportive environment. Julie explained how they facilitated the district’s team 56 philosophy of leadership development while always maintaining the focus on the final result of student achievement. Julie said, “They would take something and make it a valuable learning experience for teachers. Through this process, a lot is learned about the district and about working with different personalities. In the end it is not just for you, but what’s best for the students.” The efforts to realize the superintendent’s vision were based on employing teams that work collaboratively to develop the systems needed to accomplish district goals. It was believed one way they could meet these goals was to continually improve leadership skills through the creation of these academies. The academy meetings were centered on exposing its candidates to important issues such as knowing the responsibilities of budgeting, testing, and the California Administrator Performance Expectations. Julie and Brianna wanted the participants to understand the impact these issues have on achieving the district’s vision. Leah discussed the influence of The Local Controlled Funding Formula (LCFF) and explained how the flexibility of the Local Control Accountability Plan (LCAP) empowered all stakeholders in the decision-making process and eliminated the use of categorical funds. This component of the LCFF gave principals the freedom to make decisions quickly to have a positive impact on student learning. In addition, principals became responsible to involve the parents and community agencies in the development of the LCAP plan. It was important for aspiring principals to be skilled in working with all stakeholders in creating a plan that would reflect the vision and goals of the district. Both the new and aspiring administrator academies use meeting times to develop community engagement skills by showcasing excellent leaders who shared their advanced communication skills necessary in order to make decisions that support both the school and district’s vision. Both Brianna and Julie shared the district’s need to increase the number of high-quality 57 candidates who are well-prepared to embrace a variety of leadership roles within the district. In doing so, current successful principals gave presentations on the experiences they have had at their sites, exposing aspiring principals to differing approaches when addressing the very real demands of principal leadership. The vision to establish a succession plan to train their future leaders allowed the district to hone in on skills critical to support the district’s particular mission. Culture of Learning In an effort to build leadership capacity at all levels, the district created The Leadership Pathways, a series of differentiated leadership academies created for both certificated and classified employees. One pathway was created to address the district’s goal to assemble a pool of principal candidates, the Aspiring Administrator Academy. Two of the administrators interviewed for this study explained that the district also needed a program for new administrators that focused on candidates’ performance on the job, in real time, instead of the theoretical approach to learning with is traditional. Mary and Brianna discussed the district’s future intentions to build leadership capacity throughout all departments with the creation of other academies that will focus on classified management. Building capacity at all levels strengthens the support mechanism overall throughout the district -- making the systems stronger. Before moving into a district administrative position, Mary recalled her need to build background knowledge. She remembers the difficulty of trying to establish herself in her new position without a strong foundation of skills and knowledge in preforming the requirements of the position. She stated, “I was still crafting my skills as I was required to lead others.” Mary explained the value in having an environment where it was safe to not know something and ask for help and the shared desire to see her succeed. She also stated, “Change is learned over time, it 58 needs people open to feedback and sharing. It is important to model collaboration in the spirit of team work.” The district culture of shared learning promotes the willingness of new leaders to search out assistance without the fear of being judged. Brianna explains it, “We are all in this together and in the end it is all about the kids.” Supporting one another improves how the system functions. This culture of learning comes right back to accomplishing the district’s vision of improving student achievement. New principals need to be aware that it is expected they will want the support of a leadership team, and this team should encourage a culture of learning. Throughout all interviews, the researcher found the culture of the district to have a strong presence of collaboration at all levels of decision-making and program-development. Leah explained the process of advancing an idea by taking it to the next iteration through the collaborative process. Each year, as a program was completed, the administration teams sought to figure out how to improve on what they were doing and make it better. The administrator participants explained their use of reflective practices in the evolution of the academies. This practice of continual learning to improve programs and support those in leadership positions enhances professional growth overall throughout the district. Mentoring The guidance of mentors helps to build the self-confidence of new and aspiring administrators (Daresh, 2010; Orphanos, et al., 2014; Rhodes & Fletcher, 2013; Scarappa & Mason 2014) by helping to hone the areas of skill where individuals may not be strong, as well as find new opportunities to apply their skills. Mary explained her early experience of having Julie as a mentor, “She helped me to develop a critical eye to notice how other administrators lead, or don’t lead. This was a critical discovery when looking to others for advice.” Leah cited 59 her own similar experience saying, “Mentors are important to point out (that) sometimes our best examples are non-examples.” Without a clear understanding of procedures and instructional leadership, new administrators may try to emulate those around them. Mentors assist first-year principals, and become a source of support as the new principal learns to acclimate to this unfamiliar role. The study examined relationships and mentoring as a means of developing the socialization of new and aspiring administrators to gain needed support and guidance. Leah believed, “It is good practice to allow anyone who was interested, regardless of their position, could sit in on leadership team meetings.” Leah’s philosophy is you can lead from any chair and if someone voiced a desire to move into a leadership position, she would help them. Her leadership commitment extended beyond mentoring. Several of her responses indicate she wants candidates to have a full understanding of the dedication required for the principal role. She stated, “I would do anything to ensure a candidate’s success as long as they were willing to work as hard as I do.” Principals were required to recommend one teacher to apply for the Aspiring Administrator Academy. Those conducting the academy believed that the referring principals would naturally work with their candidate as a mentor believed it. With nothing formally established, however, upon further examination it was found few of the referring principals were mentoring their aspiring administrator candidates. The data from this study revealed that while mentoring does sometimes occur for aspiring administrators, without it being a requirement, mentoring was inconsistent. Luis realized that while district administrators should automatically take on mentorship for their candidates, relying on principals to intrinsically do so was not reasonable. With all of the other tasks a principal is responsible for, any optional duties may not get done. Understanding the benefits of mentoring, it is something the administrator participants 60 are looking to implement as a requirement for referring principals in the future. Mentoring at the district level, while still informal, was far more prevalent. Each year starts with what is called a ‘leadership advance.’ This is when the superintendent talked with the site administrators about the importance of supporting each other. Luis shared, “Every once in a while, the superintendent will ask you who you are mentoring; he wants to know what is happening and who you are supporting.” Lisa noted how mentoring is available to anyone who wants it, “you just have to ask.” For aspiring administrators, however, that may be challenging. New administrators received formal mentoring through the New Administrators Academy and were also assigned leadership experts from within the district as resources. Three of the participants mentioned that when they were new principals, they were provided a coach that came from outside the district. Luis explained her experience of having a coach, “The coach allowed her to express her true thoughts and concerns because the coach did not answer to district administrators. They also appreciated having an added perspective from someone outside the district that may have done things differently. Luis went on further to explain, “It is he difficult when district administrators see their people are not ready, it is important give them the opportunity to learn.” Expanding the academy next year, Brianna and Julie are hoping to bring back the practice of assigning outside coaches as additional supports for the new administrators. Discussion of Research Question One Findings Based on the study’s findings, four themes emerged: building leaders from within, district identity, steps to achieve the vision, and the culture of learning and mentoring. These themes individually represent positive practices performed by the Seaside Unified School District and collectively support the district’s efforts in building capacity. The significance of ‘growing their own’ leaders was an emergent topic, as discussed in 61 chapter two. It established an opportunity for candidates to gain understanding of responsibilities and the commitment required of a principal’s role. This insight allowed the candidates to make well-informed decisions as to whether or not they truly wanted to aspire to top executive roles. Informed of these responsibilities prior to accepting a leadership position, the candidate is more likely to maintain their position as opposed to leaving after only a year or two, as Leah indicated is common in Seaside among new principals. Béteille (2011) refers to this practice as stepping- stones whereby the principal gains experience in a lower income district like Seaside in order to gain the experience needed to attain a position in a more affluent district. These practices are seen as damaging to overall organizational performance (Béteille, 2011;Turnbull, 2013; Zepeda, et al., 2011). The theme of ‘growing their own’ was reported as a positive practice in building district capacity by establishing a succession plan whereby a reservoir of candidates is created to fill future leadership positions. By utilizing the Aspiring Administrator Academy, the district was able to seek out and train those wanting to take on a leadership position. The New Administrators Academy built the skills of administrators new to the district or new to performing a leadership role. These supports for new and upcoming principals supplied new principals with the tools to establish a plan at their school sites that support the district’s vision. Clarity of vision determines the level of success each group can attain working collaboratively to develop systems and resources needed to achieve the vision. It was reported that the culture of learning within the district is founded upon a collaborative model. While the Aspiring Administrator Academy was developed to educate its candidates on the role and responsibilities of principals, it also gave the candidates an opportunity to develop relationships with administrators who may continue to be sources of 62 encouragement and knowledge. It was also discovered that there needed to be a system for the attainment of mentors for teachers with promising leadership skills who are interested in pursuing leadership roles. The research participants acknowledged all new principals have questions and the support of a mentor is an added security for new administrators and the district in helping to secure principals’ success. Research Question Two: Perceptions Regarding the Influence of District Leadership Capacity Building The second research question investigated the participants’ perceptions of the district’s capacity-building practices. The data reflects that the perceptions of the district’s efforts to build leadership capacity were positive, especially when examining the application of the Aspiring Administrator Academy. The recurring theme of relationship building was perceived as an essential element in building the capacity of new and aspiring administrators. This practice gives a future administrator a system of support when he or she attains a leadership position. Without this support, the uncertainty of success for these candidates could deter their decision to become administrators. There are also teachers who are not identified, but are interested in future leadership positions. These teachers need to assert themselves, making administrators aware of the future prospects. The final theme that arose was the different character expectations for principal and leadership candidates. The topic of ‘fit’ was echoed several times in interviews with the study’s participants, indicating the qualities required would differ depending on the needs of the position or site. Relationships and Socialization During summer break, all district administrators attended a leadership symposium in San 63 Diego where they began each day with an hour of team-building activities and were instructed on conversations with teachers, shoals of leadership, and MAP data. Luis stated relationships formed during this professional development training helped district administrators form a support system beyond their regular circle. Participants gained insight and experiences that would inform their practices for the upcoming year. This was an opportunity for administrators to learn from the diverse knowledge and experiences of others outside their own district. Margret explained, “Going to the symposium you have to be flexible and open to change, comfortable to step out of your comfort zone to try new things.” When describing a monthly professional development for district level administrators all over Orange County called Masterful Leadership, Luis explained, “Everyone shares what they have to do in their work, including the malpractices we all learn from each other.” Describing her socialization experience as an academy participant, Margret saw it as a process of developing team structures through participant networking not only among students of the academy, but with various administrators throughout the district. Margret went on to explain, “It makes it easier to reach out later for help, later when you have these relationships already in place. Just knowing there are people out there who want you to succeed and are offering their assistance.” Those aspiring to leadership positions gain insight into upcoming positions as well as support once they become administrators. This was exemplified by the roles Brianna, Leah, and Judy took on in leading the Aspiring Administrator Academy, by cultivating the leadership skills for positions they knew were coming available. Whenever a position came up, the academy participants who had successfully navigated the academy were first to be considered. Ultimately, 11 people from the academy moved into leadership positions by the time the academy ended. 64 Socialization of participants was particularly relevant to this study because it exhibited elements of several positive practices in building leadership capacity such as: collaboration, relationship-building, mentoring, and support all within a culture of learning. This idea is supported by research. Hitt (2012) explains how socialization developed within a cohort builds a community of social networks, establishing interpersonal and common skills. This form of socialization provides district administration control over the narrative that guides the candidates’ perceptions of leadership. Seaside district promotes the socialization of its leaders throughout its training and professional development efforts such as the Leadership Pathways Academies, attendance at the summer leadership symposium and general collaborative practices. One participant shared how even seasoned principals who are new to the district are put into the New Administrators Academy in order to develop relationships. These principals new to the district may come in with the skills to do the job but lack the relationships and understanding of the district’s unique culture. The Perception of “Fit” The concept of ‘fit’ came up in different ways throughout the study. This fit pertains to the perceived skills and characteristics deemed necessary for candidates pursuing a leadership position. While each participant had their own perception of ‘fit,’ all participants agreed that the culture and characteristics of the school would dictate the qualities necessary for a site leader. Leah shared, “With 60 different schools in Seaside, there are 60 possible ideas of what the necessary requirements would be for a principal.” While some participants described very specific requirements for principal candidates such as Luis who stated the need for, “Good communication skills, hard-work ethics, and intelligence,” overall it was made clear the candidates had to have a passion for the work. Luis 65 went on to make clear that just as important as passion, traits such as honesty, having a good rapport with people, and an ability to lead instruction were important to lead effectively. Leah, on the other hand, focused more on a candidate’s ability to embrace the culture of the district. She stated: I have long said, working in Seaside in a leadership position, you last either 2 years or the rest of your career. This district requires 60 hours a week for you to be successful. You have to have a passion for the work and compassion for the people. You must also be somebody who finds joy in the little things, a reason to celebrate every day. As Leah made this statement, the researcher looked around her office and observed 40-50 skateboards lined up against the wall and a door decorated with pictures and posters all completed by students. She is driven by the needs of her students. This exemplifies the importance of ‘fit’ for the position of principal in Seaside School District; the needs of the students go beyond academics to places most principals wouldn’t understand or consider in an attempt to meet student needs. In this district, it was made clear staff had to have been attracted for the right reasons -- fit is essential or a person wouldn’t last. When the fit was wrong, there was a negative impact at the site. Luis noted, “Those principals who didn’t fit only lasted a year or two and then they were gone.” With a home-grown program to cultivate future leaders, the district comes to know candidates over a long period of time and gains a clearer understanding of candidate characteristics and skills to ensure they are suitable for the site before placing them in a leadership position. Participants shared the ongoing challenges presented by the needs of the students as being at times overwhelming. Aspiring principals need to be aware of the responsibilities and the 66 time commitment required to do the job well. By hiring someone who is not prepared to take on this level of commitment, failure is inevitable because of the pressure to meet the needs of the students and stakeholders. Developing candidates from within, Luis explains, “It is much better these people understand our culture. It was hard to find people from the outside. They did not have the experience that we needed in our schools.” Similarly, Leah explained how candidates need to fit the culture of the district, understanding there is a social mission in any administrative role in the district. Leah shared a story to illustrate this point: If you see a father riding a bicycle with a kid sitting on the back bike rack behind him without a helmet, you could look at that and say, ‘how irresponsible’ or ‘there is a father making sure his child gets to school on time.’ How you view these actions determines your fit in the district. If you don’t see the magic and incredible love in that moment, then you won’t understand this district and you will not be satisfied here, and you will be gone in two years because it will make you nuts. The hiring of individuals who stay in Seaside for only two or three years, using the experience in Seaside as a stepping stone to advance their options in another district, only takes away from capacity-building. The district’s investment in the candidate’s training and preparation is lost. In the Seaside District, there is a need to understand the culture and demands of students. It is omnipresent in all positions throughout the district, making the necessity for highly-prepared and qualified principals all that much more important. Self-Identification for Leadership While it was sometimes found difficult to on board teachers to take on leadership positions, it was clear in a district as large as Seaside there were principals unaware of teachers who were interested in administrative roles. When addressing this issue, two administrative 67 participants shared that these teachers had to initiate the conversation and let their intentions be known. Both administrator participants went further to express the importance of the principal’s role to ascertain the level of commitment and motivation of the teacher in order to guide them on their path, and become their mentor. As an inspirational leader, Leah described part of her job is to act as a model and inspiration for aspiring administrators, mentoring them to be great leaders. Part of her legacy will be how she chose to make schools better than they were when she got there. She explained, “It’s the relationship game; I work really, really, hard at it so there are good people there (at the school) to do the work after I leave. Mentoring is everything!” Lisa also shared her perception regarding the limitations of an individual striving to become an administrator. The first limitation can come from an individual’s mindset -- the willingness of the person to put themselves out there. The other limitation can come from their inner, hidden position within a large district. Sometimes the challenge for a teacher is in accessing the right people willing to help them get on the right path toward leadership. The district is working to increase leadership capacity among teachers. Luis explains, “The district is providing more opportunities for teachers to get experience in leadership roles, yet it is not clear how it is being communicated out to certificated staff. This is an area we probably need to improve.” While district efforts are in place to search out new aspiring leadership talent, teachers will need to assert themselves to make their intentions known so as not to be overlooked. Discussion of Research Question Two The Seaside District employs a variety of leadership capacity-building strategies to facilitate the preparation of new and aspiring principals. Participants’ overall perceptions were positive. One of the key strategies they determined to be beneficial was the assignment of mentors. It was concluded that having an excellent mentor is a benefit to new administrators in 68 building their leadership skills, as well as helping the aspiring administrators determine which models not to follow. Another perceived effective tactic was the district’s efforts to promote socialization by building peer relationships. The newly appointed administrator interviewees stated the academy’s socialization and networking components benefited them in attaining their current positions and the connections they gained act as additional supports. Participants had varied perceptions of candidate qualifications but agreed on the importance of understanding the unique qualities and the culture of Seaside district as well as the importance of finding the right ‘fit.’ The researcher discovered that understanding the culture of the Seaside Unified School District was instrumental in succeeding as an administrator in the district. Developing ‘home grown’ candidates helps ensure new principals were perceptive to the unique needs of the Seaside students. Research Question Three: Factors That Facilitate and Inhibit District Leadership Capacity Building Strategies The third research question addressed the factors that present a challenge building leadership skills in the Seaside Unified School District, as well as those that promote the success of capacity-building efforts. The importance of building leadership competencies within the district was evident due to the impending vacancies and the lack of qualified candidates to fill those vacancies. The findings related to the facilitators and inhibitors of the district’s leadership capacity-building practices fall into one of three themes: preparation pathways and preparing candidates, teacher perceptions, and the push and pull of organizational and individual demands. Expanding on Leadership Pathways Districts throughout the country have developed Leadership Pathways as a systematic approach to cultivating the skills and knowledge of would-be administrators (Turnbull, et al., 69 2013). Responses from this study’s participants advocate the ‘home-grown’ principal preparation training, which facilitated building leadership capital by honing in on the systems that support the objectives and unique characteristics of the district. Julie described previous principal preparation efforts, “When the district hired out the [external] training, it was much easier but lacked the personal investment and passion of someone who truly believes and cares about what happens to these students if we fail.” The superintendent’s vision for the Aspiring Administrator’s Academy was created to recruit, train, and develop leadership candidates within Seaside Unified School District. Based on the premise of transformational leadership theory (Northouse, 2013), the three participants who developed the program were to model the “Seaside Way,” developing the candidates’ knowledge of the requirements of a principal but also the culture of the district and the students they were to serve. Seaside chose to develop their own in-house program over the more traditional university program due to the vast experience and knowledge of the individuals within the district. Leah described her experience: The most important tool in my toolbox -- I have never been anywhere more than 4 years, 1 month, and 18 days. My job for the last 20 years has been to go in get those systems and structures in place and move on and let somebody follow the instructional program. While Brianna and Julie were equally passionate about the importance of leadership training and capacity-building, the researcher felt because Leah remained in a principal position she maintained a sense of energy to ensure incoming principals are well-prepared for the rigors of this position. Leah went on to explain: The importance in creating pathways for leadership is to look early and give them time 70 to learn from the person they are to follow. Otherwise they will spend a year learning and catching up, and it’s hard to lead when you’re playing catch up. That is the purpose of the academy: to have a pool of candidates ready to go in the moment it is clear there will be an opening. With enough time, the candidates can learn from their predecessor. Without a successor candidate in place quickly, the opportunity may be lost. In the future, the district will be looking at developing a preparation program that will include a preliminary administration credential imbedded into the Aspiring Administrator Academy. This will advance their program and possibly attract additional perspective administrators who will not have to go outside the district to find a credentialing program. In reviewing existing models, most rely upon collaboration with a university to bridge the theory and practice gap. Although this was never discussed with the interviewees directly, further research should be done on the possibility of having the theoretical knowledge and credentialing portion of the program done by a university while the district would be responsible for the applied experiences. This practice would embody the district’s motto of a balanced approach that would utilize the expertise of the district’s veteran administrative staff and combine it with the sanctioned credential criterion already in place at a university. Transcending the Negative of Principalship The researcher collected substantial data to showcase the positive attributes of establishing mentors for new and aspiring administrators, however mentors who were not actively involved in leadership training presented a concern. With limited leadership capacity these principals do not have the skills to assist aspiring administrators in gaining new and innovative skills. Principals that have not invested their time acquiring up-to-date leadership practices would not have the skills to prepare their mentees to fill future vacancies (Clayton, et 71 al., 2013). While an incoming administrator recruited from outside the Aspiring Administrator Academy may find success in maintaining the status quo at the school, they would not be moving it forward into the next generation of education. One of the consistent inhibitors the researcher concluded was the challenge of persuading excellent teachers to leave their classrooms to venture into administration positions. Brianna and Leah both talked about the importance of principals as coaches for instruction, as well as administrative skills. Julie found that there were teachers in the district that had administrative credentials but did not want to become administrators. The role of administration is less attractive than it was in the past because of higher accountability, greater job demands, and salary unequal to job responsibilities. All of these impede a teacher’s choice to pursue a principal position (Barton, 2011; Bengtson, et al., 2013; Fink, 2014;Sciarappa & Mason, 2014; Turnbull, 2013). Despite this difficulty, all of the participants stated they felt being tapped by an administrator who told them they could have a greater impact on the district by becoming an administrator would greatly influence their desire to take on greater responsibilities. Mary shared her rational for becoming an administrator, “I challenged myself to the exponential factor where as a teacher I could affect 30 children each year, but as an administrator I could affect hundreds of students.” This was further validated when Judy shared, “What needs to be done is to find out who is not doing this and why.” It is important for all principals to be active in identifying and promoting the potential of the most promising candidates. When principals are not actively doing this, it limits those teachers who have aspirations for leadership and motivation to achieve higher administrative positions. Another barrier the researcher discovered was that the time constraints of a principal position are an inhibiting factor to recruiting individuals into taking on a leadership position. 72 The researcher spoke with three Aspiring Administrator Academy participants who voiced their concern regarding the time commitment required of principals. In response they decided to hold off in pursuing an administrator position until their children were older. When Luis recalled an individual who possessed leadership potential, in describing him she stated, “Ben will be a principal someday, but he is not entirely ready, he has two young sons, 3 and 5.” This sentiment is one example of the push-pull factors involved in striking a balance between family and the demands of principalship. Push and Pull: Overcoming the Obstacles The researcher discovered contradictions in stories told by participants and was challenged to validate Mary’s perception of the presence of a “Good Ol’ Boy’s Club” of favoritism and cronyism. This system created a hierarchical structure she saw as, “Oppressive of new ideas that did not come from the top.” This is in contradiction to the academy’s participants who believed they’re to be a very open and accepting system reaching out to get new people involved in leadership. The researcher found that although district administration is making an effort to bring new people in to the Aspiring Administrator Academy to fill future administration positions, further research needs to be done to explore the effects of these new relationships and whether they lead to hiring people new into administrative positions in the district offices. While there was a clear focus on learning for the students of the Pathways Academies, the researcher found the opportunities were limited to those selected to attend. In a district as large as Seaside, with teachers and promising junior administrators in many positions, it was observed that perhaps due to a lack of exposure, often the same people were chosen to participate in opportunities offered by the district. The recognition of individuals to apply for the Aspiring Administrator Academy allowed for a new unseen group of staff members to gain access to these 73 opportunities, and develop relationships with district administrators. Mary explained the importance of becoming recognizable within the district; when this happens not only does it help the individuals in becoming known but also allows new ideas to be heard. Analysis and Discussion of Research Question Three Various factors facilitate and inhibit the strategies used by the Seaside School District to build leadership capacity. The participants in the study have differing views on several factors such as district administration favoritism, the idea of readiness of a candidate for a principal position, and a principal’s responsibility to lead teachers into administrative positions. This section of the study explained the benefits of developing an in-house principal training program as opposed to the traditional university program. The district intends to incorporate a Preliminary and Secondary Administrative Credential into both the Aspiring and New Administrator Academies. The possibility of partnering with a local university has not yet been decided. The concern in working with a university is that the district wants the core of the program to emphasize addressing the unique needs of Seaside. In analyzing the data there are several facilitating and inhibiting factors but it is clear the Aspiring Administrator Academy is the main driver that facilitates the promising practices for new leaders throughout the district. As long as access to the academy requires a principal’s recognition and referral, this may inhibit some suitable teachers from consideration. While the succession plan for principal leadership has had a successful first year, Brianna has made it clear each year will be followed by reflection to indicate the areas that can be improved. Summary This chapter reviewed the findings based on the data collected for this study. The research questions guided and outlined the perceptions of leadership capacity-building practices 74 in the Seaside Unified School District. The results indicate the ways Seaside develops its future leaders: having a clear vision to grow their own leaders from within a culture of learning, establishing leadership preparation pathways and developing mentoring and socialization opportunities. The summary, conclusion, and implications of this study are presented in the next chapter. 75 CHAPTER FIVE SUMMARY AND IMPLICATIONS OF FINDINGS Introduction This study examined the promising practices of the Seaside Unified School District in building leadership capital. Studies show 10,000 principals will be needed within the next 10 years to fill anticipated openings due to rising retirement and attrition rates (Fink, 2010; Regional Educational Laboratory Technical Brief, 2011). In the state of California, principal retirements average 32.5%, and it is estimated the state will need to replace 3,000 principals by the year 2018 (Fong & Makkonen, 2011; Beteilli, et al., 2011). As the role of principal has evolved, the responsibilities of the principal have grown and there is concern that there will not be enough qualified candidates to fill these vacancies. As a result, efforts to develop succession plans and increase leadership capacity have become significant to attain quality principal candidates. If unprepared, high principal turnover rates will be a cause for concern. Even those positions that are filled, it is likely they will be occupied with new, inexperienced principals (Fuller, E., & Young, M., 2009). These principals will be in need of training and support to gain a foundational understanding in order to navigate the challenges of leadership positions. The vacancy challenge is further complicated by the need for candidates to understand the unique district culture and vision in advancing student achievement to 21 st Century standards. There is currently a movement to develop school leaders by identifying the qualities of an ideal principal that grasps the context in which he or she will be working (Huber, S. G., & West, M., 2002). Training programs need to develop leadership capacity in ways that best support the individual district and the culture of its schools. This research study investigated Seaside Unified 76 School District’s most promising practices in developing leadership capacity and the effect of these practices on perspective principal candidates. Purpose of the Study This study examined how a district is working to build its next generation of principals and leaders. The following research questions guided this inquiry: 1. In what ways does Seaside Unified School District work to build the next generation of leaders? 2. What are the perceptions of Seaside Unified School District’s school and district administrators regarding the influence of those practices? 3. What are the factors that facilitate or inhibit the development and implementation of strategies at Seaside School District to build leadership capacity? Establishing strong leadership within schools is valuable because of the positive effects quality leadership has on student achievement (Goldring, E. et al., 2009; Orphanos & Orr, 2014). The purpose of the study was to identify the promising practices of the district’s leadership academies to build leadership capacity for its next generation of leaders. Stakeholder perceptions of the current system to build leadership capacity were examined, and the factors that facilitate the development of leadership capacity, and the barriers that inhibited this development were explored. Understanding the district’s leadership building practices will inform other districts of successful leadership development practices. Summary and Findings The previous chapters discussed the study’s findings through research questions to uncover promising practices in developing leadership capacity. Building leadership capacity within the district began with the creation of Leadership Pathways Academies. These academies 77 develop the skills, and knowledge of perspective district leaders and prepare them for leadership positions. This study focused on the New and Aspiring Administrator Academies. The Aspiring Administrator Academy is an example of the first leadership pathway to be implemented by the Seaside District in creating a leadership pipeline to principalship. The Seaside Unified School District designed and implemented their own principal training program in order to address the issue of impending principal vacancies. Through these academies emerged a series of systems and supports, as noted by academy attendees, in the forms of mentoring, socialization and relationship building. The enactment of the Aspiring Administrator Academy addressee the process of principal selection and training as instrumental in finding individuals that ‘fit’ the need of the district and school site while still supporting the existing culture of both the district and school. The researcher examined the impact of succession planning as a process of: identification, recruitment, training, and mentorship of new principals in an effort to build leadership capacity for new leaders (Hitt, et al., 2012; Bengtson, 2013; Rothewll, 2011). While there is a significant amount of literature on the importance of developing leadership capacity, studies indicating the positive effects of such programs are limited. Information gathered in the forms of data, observations, and the experiences of those who developed or participated in the district’s Aspiring Administrator Academy provided personal perspectives of the impact of this program. From these perspectives, conclusions were drawn to determine the best strategies for building leadership capacity. The leadership development structures within the Seaside district supported strengthening their human capital of new and aspiring principals. This began with the identification of prospective principals from the pool of teachers at the school sites. This was found to be 78 beneficial in bringing in individuals with potential that previously went unnoticed. This ‘home grown’ approach to the creation of candidates (Turnbull, et al., 2013) helps to eliminate the potential turnover of leaders which is a common cycle for districts with low socioeconomic status and high English learner populations like that of the Seaside Unified School District. By reducing the candidates’ knowledge gap between the theoretical and applied knowledge and the understanding of district culture, district trainers could focus content on the skills and responsibilities of a leadership role to ensure successful transition of leaders. Data revealed that perceptions of the four steps of succession planning described above were largely positive, with some suggestions for improvement such as, “I think we could improve on the assignment of mentors for aspiring administrators” and, “making the process and identification of teachers for leadership roles more well-known at the teacher level.” All of the administrator participants mentioned being tapped by a principal and groomed to take on a leadership position as an important factor in their initial decision to consider a leadership position. Once a principal candidate was selected to apply to the academy, there were some principals who did not continue to work with their candidate. Mentoring was dependent on the motivation of the principal at each site to take on this responsibility, which was voluntary. Due to the pressures and demands experienced by school principals, voluntary duties often went unaddressed and many candidates were without mentors. The implementation of the Leadership Pathways Academies was described as being solely in-house, based on a collaborative model. The district’s intention in creating these academies was to promote from within and utilize the district administrative personnel to evolve the candidate’s skills to fit the requirements and unique needs of a leadership role in this district. It was believed that the development of principal candidates in-house would ensure program 79 success. Due to previous unsuccessful attempts of outsourced principal training, these efforts were well monitored. It was found that development in team structures promotes strength and support by being part of a cooperative group (Hitt, 2013). The Leadership Pathways cohort style promoted a collaborative process to promote the socialization and relationship building that would benefit its candidates when future leadership roles were attained. It established a blended community of novice principals with experienced administrators as an ongoing support in building leadership capacity. This continuous support emphasized the impact of relationship building and the creation of mentorship. While earlier in the study it was mentioned some members of the Aspiring Administrator Academy were without mentors, socialization within this group allowed individuals to develop relationships with district administrators in order to acquire a mentor. These relationships resulted in 11 of the Aspiring Administrator Academy participants moving into leadership positions following the completion of the academy. Each administrator either in charge of the academy or presenting during the academy shared their contact information with academy participants and shared their willingness to be of assistance to the candidates with their future endeavors. With regard to training, the academy participants found the material to be valuable but found the contacts they made to be even more important, enhancing their proficiency of the information being learned and applied. This echoes the study of Sciarappa and Mason (2014) which found that 96% of the participants found the support from their peers to be more helpful than their academic studies. This evidence validates the importance of socialization, but even more impactful is the concentration of individuals from the same district, which allows for support to be more relevant. Additional insight from others in similar circumstances gives new 80 principals a richer perspective of the issues they will deal with, advancing their capabilities to deal with on-the-job experiences as a novice principal. Clarity of vision and culture of learning were, overall, the most impactful promising practices for the Seaside Unified School District. While quality curriculum and preparedness was of importance, building leadership capacity focused on developing a succession plan of candidates that understood the unique needs of this district. It was mentioned in academy meetings that skills and knowledge can be taught, but personal characteristics compatible with the district’s culture could not and are often innate. Some of these qualities included sensitivity toward the conditions of the students and families of the Seaside District, a willingness to work collaboratively with others, and a dedication to invest the time required to advance student achievement. Knowing that the principal’s impact could have a profoundly positive effect on the development of students and their families, it was believed this impact could serve as a motivating factor for principals to devote the time and commitment required to succeed as a principal in Seaside. With the implementation of the Leadership Pathways academies, where candidates were engendered with the culture and vision of the district, provided a sustained level of support for the candidates. Implications for Practice The findings from this study have implications for the field of building leadership capacity with regard to the development of new and aspiring principals. It was not found that one practice in particular emerged as most effective in building leadership capacity. Rather, multiple systems and supports were key in establishing a fruitful succession plan for candidates to be prepared for a leadership position. 81 School district leaders will find that data from the study will be helpful in determining the essential characteristics to identify potential leaders to fill principal vacancies in schools. Establishing a list of trait requirements would fail to take situations concerning school climate and culture into account. Taking a more situational approach, district administrators could use this information to determine the essential leadership qualities necessary to decide on the candidate who is the right ‘fit’ for a leadership position. Understanding the inspirational leadership and culture of learning within the district facilitates conversations involving the cultural needs of the constituency of parents and students. School district leaders may find that discussions regarding these desired characteristics and skills to be beneficial in establishing a vision that reflects the needs of all stakeholders. The participants in the study described the need for district leaders to be more consistent in identifying rising leaders so that the rising leaders can gain access to and build relationships with district administrators, which may facilitate leadership growth. School district leaders may find that increasing their efforts to tap leaders and ‘grow their own’ may increase the numbers and quality of leaders. While this increased responsibility requires principal commitment, the essence of a transformational leader comes from an ability to inspire teachers with leadership potential by developing their skills and guiding them on a path toward leadership. While participants in the study described the benefits of mentoring, it was realized this was not always prevalent. To assist aspiring principals with the challenges present when transitioning into a new role, formal mentoring programs should be instituted to pair teachers interested in taking on leadership positions with qualified mentors to help them develop professional networks and facilitate advancement. District leaders could find this information 82 helpful when engaging in structured conversations of how to support aspiring leaders within the district. Implementing the above recommendations could improve the quality of principal candidates. These practices create a succession plan to establish a pool of quality principal candidates by providing them with training and support systems and preparing them for future leadership roles. Institutions should follow this example and implement systems that support the ‘grow your own’ policy for teacher-development and advancement. The advancement of teachers from within is an investment in those who have already proven their dedication to students. These individuals have an established understanding of the district’s culture and vision, and are committed to these purposes. Recommendations for Future Studies This study explored the strategies used by the Seaside Unified School District to build the next generation of school leaders, the perceptions of these strategies and the factors that inhibit and facilitate leadership growth. This case study examined one district in Southern California through interviews with six participants, observations, and document analysis. While this study provided rich data, study of other districts similar in size would provide further insight into capacity building strategies. The findings from a broader study could expand and possibly reinforce the findings of this study. While this study examined the components of leadership pathways it did not fully examine the connection between the leadership pathways and university training programs. Further research should be done to assess the effectiveness of principal preparation programs, especially the gap between university programs and district-based training. Studying the differences between leadership pathways participants and graduates of university programs could 83 provide insight into the strengths and weaknesses of the district-based programs when compared with preparation done at the university level. Universities and districts both can utilize this information in creating a hybrid program with theory learned at the university and the application experienced at the district setting. Additional areas for future study pertain to institutional and demographic factors. It would be beneficial to conduct further research on whether the unique challenges presented by a high number of socioeconomically disadvantaged and English learner students affect the necessary strategies and supports required for new and aspiring principals. This work would be useful to researchers studying regional perceptions for new principal support. Further potential research should be done to address the general limitations of this study. Upon completion of the Aspiring Administrator Academy, 11 individuals stepped into leadership roles. As such, a qualitative longitudinal study of these individuals is recommended to examine the quality and preparedness of these leaders. This study could provide additional insight on the effectiveness of the strategies used to build leadership capacity in Seaside Unified School District. Conclusion The intent of this study was to discover the ways Seaside Unified School District worked to build its next generation of school and district leaders. The focus of the district on developing a succession plan grounded in the tenets of seeking the best and growing its own, the culture of learning, and having a clear vision advance the efforts to build leadership capacity within the district. 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Journal of Educational Admin, 50(2), 136-158. 92 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 says does X (name of entity) work to build the next generation of school and district leaders? 2) What are the perceptions of stakeholders regarding the influence of the leadership capacity building strategies? 3) What are the factors that facilitate and inhibit X’s (name of entity) strategies for building 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. 93 Appendix B Matrix of Academy Participant Interview Protocol Interview Question Number Interview Question Research Question 1 In what ways does X (school, district, community college, etc.) work to build the next generation of leaders? Research Question 2 What are the perceptions of Y (stakeholders) regarding the influence of those strategies or 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? N/A 1 Tell me briefly about your experience and role as a leader at the school. X 2 What is the mission/vision of your school? X 3 What influenced you to take on a leadership role? X X X 4 What informs your daily leadership practices? X X 5 Your school is identified as having promising practices in leadership succession, how would you articulate those practices? X X X 6 What does your organization succession plan look like? A)How has that been communicated to you? X X X 94 7 How have you been supported by the leadership in your organization? X X X 8 When you think about a transformational (great) leader, what qualities stand out to X 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? X X X 10 What district/ site supports are in place to help develop future leaders? What supports have you received from your district/site in developing leadership capacity? X X X 11 What obstacles have you faced in growing as a leader? X X 12 What forms of formal informal mentoring are available at your site? A) Give me an example. X X 13 What else would you like to share with me? 95 Appendix C Matrix of Administrator Interview Protocol Inte rvie w Que stion Num ber Interview Question Research Question 1 In what ways does X (school, district, community college, etc.) work to build the next generation of leaders? Research Question 2 What are the perceptions of Y (stakeholders) regarding the influence of those strategies or 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? N/A 1 Tell me briefly about your experience and role as a leader at the school. X 2 What is the mission/vision of your school? X 3 What was significant in you becoming an administrator? A) Who was influential in your decision to becoming an administrator? X X 4 What informs your daily leadership practices? X X 96 5 Your school is identified as having promising practices in leadership succession, how would you articulate those practices? X 6 What does a succession plan look like to you? A) And how is that communicated to the different stakeholders? B) And how do they respond? X X X 7 How do you support potential leaders at your school? X 8 When you are thinking about identifying a potential leader, what are you looking for (skills, traits, qualities, etc.)? X 9 Give me an example of a leader you tapped. Tell me about the process from you recognizing him or her, to him or her becoming a leader (principal, etc.) X X 97 10 What opportunities that you provide to potential leaders on your staff do you find most useful in developing their leadership capacity? How are those communicated? X X X 11 How do you address those that aren't ready to be leaders but show an interest in leadership? X X 12 What district/institutio n/school supports are in place to help develop future leaders? What support have you received from your district/institutio n/school in developing leadership capacity? X X 13 What obstacles have you faced in helping to develop leadership capacity in future leaders? x 98 14 What forms of formal and informal mentoring is available at your site? A) How have these mentoring relationships led to leadership succession? X X 15 What are the areas that need the most development/atte ntion before moving them into leadership roles? X 16 Give me an example of how you build upon the strengths of future leaders. X 99 Appendix D Observation Protocol Name of Site: ________________________ Date: ________________________ Type of Observation: ________________________ Participants: _________________________________ Purpose/Focus: ________________________________ Time Started ______________ Time Ended ____________Total Time ______________ Environment Observation Setting/Location • What does the environment look like? • What is the physical set up? • How are people positioned? • What does the agenda look like? (Get copy) • Does the meeting follow the agenda? • How many people are in the meeting? Participant(s) • Attire of participants • Participant engagement • Who’s leading the meeting? • Who sits where? • Are they talking? • Are they making eye contact? • Leader’s practices in interacting with others • People coming late/leaving early • Diversity of the room (gender balance, ethnic balance) 100 Interactions Observation Context • Who’s talking to whom? • What is their relationship? • Roles of the participants? • Topic of interaction/conversation • Where is it taking place? • Length of interaction? • Purpose of interaction? • Planned or unplanned? • Overall Tone

Abstract (if available)

Abstract This study applies the Transformational Leadership Theory as it pertains to the development of leadership capacity and succession planning to acquire quality principal candidates. The purpose of the study was to identify promising practices to inform a broader understanding of leadership development. Four district office administrators and two newly appointed principals participated in this qualitative study. Data collection occurred via six in-person interviews, observations of district academy meetings, as well as collected district and meeting documents used to triangulate the data. Findings from this study indicate the strategies involved in developing leadership capacity as part of an in-house principal pipeline program in the form of leadership academies. The strategies found to contribute to the capacity building of leaders included: recruitment, mentorship, socialization and perceptions of fit. This study begins to identify the methods districts may utilize in developing their own leadership academies to prepare future principals for the responsibilities of a leadership role.

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University of Southern California Dissertations and Theses

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Asset Metadata

Creator Jones, Christineann O. (author)

Core Title Leadership capacity building: promising practices in principal preparation

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 08/01/2016

Defense Date 03/08/2016

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

Tag building capacity,Education,leadership development,leadership pathways,OAI-PMH Harvest,principal leadership

Format application/pdf (imt)

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Stowe, Kathy (committee chair)

Creator Email christineann@mac.com,jonesco@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-288965

Unique identifier UC11280232

Identifier etd-JonesChris-4688.pdf (filename),usctheses-c40-288965 (legacy record id)

Legacy Identifier etd-JonesChris-4688-0.pdf

Dmrecord 288965

Document Type Dissertation

Format application/pdf (imt)

Rights Jones, Christineann O.

Type texts

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

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

Repository Name University of Southern California Digital Library

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