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Building leadership capacity from the top: how superintendents empower principals to lead schools

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Building Leadership Capacity From the Top:
How Superintendents Empower Principals to Lead Schools

Melissa Marie Garcia

Rossier School of Education
University of Southern California
A dissertation submitted to the faculty
in partial fulfillment of the requirements for the degree of
Doctor of Education

May 2023

© Copyright by Melissa Marie Garcia 2023
All Rights Reserved

The Committee for Melissa Marie Garcia certifies the approval of this Dissertation

Charles Hinman
Christina M. Kishimoto
Gregory Franklin, Committee Chair

Rossier School of Education
University of Southern California
2023

iv
Abstract
School leadership matters as it plays a vital role in improving student outcomes as well as
impacting the efficiency, motivation, and quality of the school environment. This qualitative
study sought to identify the skills that superintendents perceived as being the most vital for a
school principal, the professional development opportunities that were provided to develop and
refine these skills, and components needed to encourage and develop future administrators. This
dissertation was part of a thematic study, where superintendents’ perspectives from five medium
sized K–12 Southern California public-school districts were analyzed and then compared to
superintendents’ perspectives from five small sized Southern California public-school districts to
identify common themes. Culture and climate, instructional leadership, and strategic
management were collectively the top three most valued skill sets. Coaching and mentoring,
principal networking, and group professional development opportunities were all common
practices that supported the capacity building of principals in each district. Formalized
succession planning, tapping of future administrators within the district, and implementing
diverse recruitment strategies were components identified by superintendents as necessary in
building a successful principal pipeline. New and experienced superintendents can benefit from
the expansion of knowledge on best professional development practices for principals. This
study would also serve to inform teacher preparation and administration certification programs,
as well as prospective administrators seeking principalships on the skills needed for future
administrative employment. Lastly, the research findings from this study will contribute valuable
information to the field of education on leadership capacity building.

v
Dedication
To my light, hope, inspiration and heavenly Father, Jesus Christ, who first and foremost, I must
express my appreciation and gratitude. You opened the right doors, connected me with the right
people, and whose timing is always perfect. You have protected me, blessed me, and never left
my side. To you I am eternally grateful.

To my husband Keith, you have stood beside me throughout my educational journey and career
aspirations, never wavering, and always seeing the bigger picture. This final achievement has
been all consuming these past three years but your understanding, patience, and words of
encouragement to stay strong and power through have sustained me to the finish line.

To my two babies, Stephanie and Daniel, your hugs and cheers are what has kept me striving to
always do more. Everything I achieve, we achieve together, as you have and will always be the
force that never allows me to give up.

To my mother, Lucy Jacquez, who has instilled in me from the beginning the importance of an
academic degree. For all of your pushing, praising, and support you now have three daughters
with doctorate degrees serving as a testimony to all that you have instilled in us.

To my sister Dr. Jessica Jacquez, you are an amazing sister. Thank you for your optimism and
confidence, your love and support for all of life’s appointments throughout our lives.

vi
To my grandparents Lucy and Jesse Logan, I still see your beautiful faces and feel your presence.
I know how proud you would have been to see me walk across the stage. How I wish you were
here to see it. Thank you for always believing in me and never doubting just how far I could go.

To my mother-in-law, Barbara Garcia, who was always there to take care of the kids so that I
could pursue a career and my educational aspirations, without you this achievement would not
have been possible. I know that you would have been the person cheering loudest at my
graduation. You are and will forever be missed.

vii
Acknowledgments
I would like to acknowledge the encouragement and support of those individuals who
were an integral part of my doctoral journey. It was your guidance, wisdom, and leadership that
became the inspiration for this dissertation and the fuel that drove me to the finish line. To my
dissertation chair, Dr. Gregory Franklin, your invaluable expertise on leadership, being a thought
partner throughout the process, and your support in connecting me to phenomenal leaders has
made an impact on my growth as an educator. To Dr. Hinman, who planted the seed to pursue
becoming a Trojan and encouraged, mentored, and guided my path throughout the doctoral
process, you continue to leave a lasting impact on myself and those around you and I look
forward to many incredible things to come. To Dr. Kishimoto, your feedback and advice
supported my level of commitment throughout the process and motivated me to hold myself to
the highest standard possible. I could not have been blessed with a more esteemed team than the
three of you.
To all of the superintendents who graciously gave of their time to share their experiences
and instill vital knowledge that contributed to the success of this study: you helped support my
personal and professional growth, and I am truly grateful to all of you. To my USC COVID-19
cohorts, both online and in person, thank you for making this experience truly memorable.
Watching our families grow, celebrating promotions and meaningful moments, have sustained
me throughout the past three years. I will miss you but look forward to watching us all take on
the world.
To my dissertation partner Veronica Perez, thank you for being there through it all. I
could not have asked for a better teammate. You have made this journey truly enjoyable, and I
cannot wait to see the amazing things that I know you will do.

viii
Table of Contents
Abstract .......................................................................................................................................... iv
Dedication ....................................................................................................................................... v
Acknowledgments ......................................................................................................................... vii
List of Tables ................................................................................................................................... x
List of Figures ................................................................................................................................ xi
Chapter One: Overview of the Study .............................................................................................. 1
Background of the Problem ................................................................................................. 2
Statement of the Problem .................................................................................................... 4
Purpose of the Study ........................................................................................................... 5
Research Questions ............................................................................................................. 5
Significance of the Study .................................................................................................... 6
Limitations and Delimitations of the Study ........................................................................ 6
Definitions of Terms ........................................................................................................... 7
Organization of the Study ................................................................................................. 10
Chapter Two: Review of the Literature ......................................................................................... 11
History of Public-School Principals .................................................................................. 11
Superintendents and Leadership Development ................................................................. 20
“Good” Professional Development ................................................................................... 23
Principal Pipelines ............................................................................................................. 28
Easton’s Model and Human Resources Theoretical Framework ...................................... 31
Chapter Three: Methodology ........................................................................................................ 36
Purpose of Study ............................................................................................................... 37
Research Questions ........................................................................................................... 37
Sample and Population ...................................................................................................... 38

ix
Instrumentation .................................................................................................................. 39
Summary ........................................................................................................................... 44
Chapter Four: Findings .................................................................................................................. 45
Overview and Organization .............................................................................................. 45
Demographics of Participants ........................................................................................... 48
Qualitative Methods Approach ......................................................................................... 51
Presentation of Findings .................................................................................................... 52
Research Question 1 Findings ........................................................................................... 52
Research Question 2 Findings ........................................................................................... 67
Research Question 3 Findings ........................................................................................... 76
Comparative Data .............................................................................................................. 85
Research Question 1 Findings ........................................................................................... 89
Research Question 2 Findings ........................................................................................... 92
Research Question 3 Findings ........................................................................................... 94
Summary ........................................................................................................................... 94
Chapter Five: Summary ................................................................................................................ 96
Summary of Findings ........................................................................................................ 97
Limitations ...................................................................................................................... 104
Implications ..................................................................................................................... 104
Future Research ............................................................................................................... 106
References ................................................................................................................................... 108
Appendix A: Superintendent Pre-survey ..................................................................................... 133
Appendix B: Superintendent Interview Protocol ........................................................................ 139

x
List of Tables
Table 1: Participating Medium Sized District Demographic ........................................................ 49
Table 2: Superintendent Top Five Skills from the Medium District Superintendent Survey ..... 555
Table 3: Superintendent Medium District Survey Responses on Culture and Climate
Competencies ................................................................................................................................ 58
Table 4: Superintendent Medium District Survey Responses on Strategic Management of
Personnel Resources ...................................................................................................................... 60
Table 5: Superintendent Medium District Survey Responses on Instructional Leadership .......... 62
Table 6: Superintendent Medium District Survey Responses on Communication ....................... 64
Table 7: Superintendent Medium District Survey Responses on Facilitating Collaboration and
Professional Learning Communities ............................................................................................. 66
Table 8: Responses to Questions 7‒8 From the Medium District Superintendent Survey ........... 70
Table 9: Superintendent Interview Responses on the Types of Programs, Practices, and/or
Professional Development Opportunities Provided to Principals in the Last Year ...................... 71
Table 10: Responses to Questions 7‒8 From the Medium District Superintendent Survey ......... 76
Table 11: Superintendent Medium District Superintendent Survey Interview Responses on
Critical Components Needed to Encourage and Develop Future Administrators ........................ 78
Table 12: Responses to Questions 9‒10 From the Medium District Superintendent Survey ....... 84
Table 13: Participating District Demographic .............................................................................. 86
Table 14: Participants of Study ..................................................................................................... 88
Table 15: Superintendent Top Five Skills From the Small District Superintendent Survey ........ 92
Table 16: Responses to Questions 9‒10 From the Small and Medium District Superintendent
Survey ............................................................................................................................................ 94
Table 17: Themes for Research Question 1 .................................................................................. 99
Table 18: Themes for Research Question 2 ................................................................................ 100
Table 19: Themes for Research Question 3 ................................................................................ 104

xi
List of Figures
Figure 1: Conceptual Framework .................................................................................................. 33
Figure 2: Types of Programs, Practices, and/or Professional Development Opportunities
Provided to Principals in the Last Year For Medium Districts ..................................................... 69
Figure 3: Superintendent Ethnicity ............................................... Error! Bookmark not defined.
Figure 4: Superintendent Gender and Age .................................................................................... 87
Figure 5: Types of Programs, Practices, and/or Professional Development Opportunities
Provided to Principals in the Last Year Small and Medium Districts .......................................... 93

1

Chapter One: Overview of the Study
A 2004 report from The Wallace Foundation summarized the research findings of
Leithwood et al. (2004), which examined the relationship between school leadership and student
achievement and other outcomes. The report confirmed what many school leaders have
instinctively known for decades: “Leadership is second only to classroom instruction among all
school-related factors that contribute to what students learn at school” (Leithwood et al., 2004, p.
5). According to the National Center for Educational Statistics (NCES, 2017), elementary school
teachers impact approximately 16 students per year, a number that is also the average elementary
classroom population. An elementary school principal, on the other hand, impacts approximately
528 students, the average population of an elementary school. Therefore, the influence that a
principal could potentially have on a campus population has a greater statistical reach than any
single teacher. These findings suggest that investments in the professional development of school
principals are a significant way to affect student achievement. Therefore, according to Honig and
Rainey (2020), a primary focus of district office supervisors should be building leadership
capacity among their site principals.
According to Grissom et al. (2021), there is an urgency for superintendents to focus their
attention on building leadership capacity among their school leaders:
Foremost, our results on the importance of principals’ effects suggest the need for
renewed attention to strategies for cultivating, selecting, preparing, and supporting a
high-quality principal workforce. The payoffs to successful strategies appear very large
for student learning and for other important outcomes, such as student attendance and
teacher turnover. (p. xvii)
2

The impact of increasing a principal’s effectiveness by one standard deviation evident by
the average gains in math of 0.13 standard deviations and 0.09 standard deviations in reading per
pupil. In addition, research shows that a good principal is key to recruiting and retaining high
quality teachers, which, among school related factors, has the greatest impact on student
achievement and was estimated to have two to three times the effect of other school influences
(Grissom, 2021; Opper, 2019; The Wallace Foundation, 2011).
Although principals are tasked with the challenges of adhering to their daily
administrative duties, many find they do not have the time, knowledge, or skills necessary to be
effective instructional site leaders (Townsend & MacBeath, 2011). Districts also face time
constraints when attempting to meet the challenge of building leadership capacity amongst their
school leaders, who attain principalships with varying degrees of knowledge and preparedness to
lead (Louis et al. 2010). District leaders find it difficult to focus on training and encouraging
principals because of mounting pressures to manage multiple accountability demands dictated by
a current policy environment (Townsend & MacBeath, 2011).
Background of the Problem
School leadership matters, and it is the critical component for the success of our schools,
teachers, and students. Research shows that approximately 60% of a school’s impact on student
achievement could be linked to the combination of both effective teachers and effective school
principals (New Leaders for New Schools, 2009). While a teacher has a direct impact on student
learning, a principal’s impact is more indirect as their responsibility pertains to creating a
campus culture that is conducive to learning as well as impacting teacher retention and
effectiveness (Grissom, 2021; Leithwood, 1994). According to The Wallace Foundation Report
(2009), “Effective leadership is vital to the success of a school. Research and practice confirm
3

that there is a slim chance of creating and sustaining high-quality learning environments without
a skilled and committed leader to help shape teaching and learning” (p. 1). It can take as long as
5 to 10 years for a principal to make a significant impact on its campus (The Wallace
Foundation, 2013) and schools with low student achievement in particular need stable, consistent
leadership for initiatives to take effect (Edwards et al., 2018; Pendola & Fuller, 2018).
Principal turnover often has a ripple effect as it is linked to increased rates of teacher
turnover, as well as contributions towards creating a culture with a lack of commitment, shared
purpose, and resistance to change (Fink & Brayman, 2006). Student academic performances in
math and English decline the year the principal leaves the school, taking an average of 3 years
for the next leader to begin to close the gap (Beteille et al., 2011). These challenges that new
administrators are often faced with upon entering the profession contribute to the vicious cycle of
leadership turnover. Eighteen percent of school principals will leave their position after their first
year; however the rate increases to 21% in low income, low-achieving, or high racial/ethnic
minority schools (Levin et al., 2019).
Data from two consecutive surveys from The National Association of Secondary School
Principals (NASSP) released in 2021 and 2022 revealed that 40% of school principals planned to
leave the profession within a few years (Superville, 2023). Nationally, approximately one in five
schools replaces a principal every year (Harbatkin & Henry, 2019). “District officials and
policymakers have to figure out how to make the job more attractive to would-be principals,
including by offering incentives, providing additional in-school supports, and rethinking the role
schools and school leaders play in communities” (Superville, 2023, p. 1). The NASSP partnered
with The Learning Policy Institute to conduct a year-long study which focused on principal
attrition rates and found that school leaders leave the principalship due to five main factors:
4

inadequate preparation and professional development, poor working conditions, insufficient
salaries, lack of decision-making authority, and ineffective accountability policies (Levin et al.,
2019). For the purpose of this study, principal preparation and professional development
opportunities were the primary focus. By focusing on the essential skills that successful
principals need, the tools that best support the growth of these skills and building systems within
districts to cultivate these skills in future leaders early on in their careers, we begin to revamp our
current systems and mitigate the negative effects of principal turnover.
Statement of the Problem
According to The Wallace Foundation (2013), principal longevity plays an important role
in student achievement. Implementing a plan that improves teaching and learning campus wide
and formulating the policies and practices that can sustain school wide initiatives takes an
average of 5 to 7 years (Louis, 2010). Perhaps not coincidentally, principals with an average of 5
to 7 years of experience demonstrated higher rates of teacher retention and were more skilled at
hiring the right teacher candidate (Superville, 2022). According to Dhuey & Smith (2014),
principal effectiveness increases as experience and expertise increase; however, only one in five
principals remains in that position after a 5-year span and approximately 50% by the end of year
3 (School Leaders Network, 2014; Superville, 2022). These alarming statistics, coupled with the
significant impact that principal effectiveness and longevity have on student achievement, call
for school districts to create systemic changes in order to focus on building leadership capacity
(Grissom et al., 2021; Levin et al., 2019; The Wallace Foundation 2013).

5

Purpose of the Study
The purpose of this study is to examine 10 superintendents’ perspectives regarding skills
they deemed essential for effective principals, the methods they utilized to build the capacity of
these skills in their principals, and the components they believed were essential in building
principal pipelines. I focused on five medium-sized districts serving more than 22,500 students.
However, this study was part of a thematic dissertation that compared these five medium-sized
urban public-school districts to five small-sized urban public-school districts to determine any
similarities and/or differences in district-initiated leadership training processes that may be
related to the size of the organization. This study focuses on the superintendents’ actions that
support effective programs and practices designed to enhance the leadership skills that they find
desirable in school principals. Bolman and Deal’s (2017) human resources framework, coupled
with Easton’s (1965) political systems framework were the lenses I used to view and understand
data gathered via surveys and interviews.
Research Questions
1. What specific skill sets do superintendents intentionally foster to develop the
leadership capacity, confidence, and expertise of their principals?
2. What programs, practices, and professional development opportunities are provided
by district leaders to principals?
3. What do superintendents feel are components needed to encourage and develop future
administrators?
This study explores the formal and informal job-embedded practices that superintendents
intentionally foster to build capacity amongst their school leaders. It examines the formal and
informal learning opportunities that superintendents provide as a means to develop their school
6

leaders and prepare them to make an impact on the student academic growth on their campuses.
To that end, a survey was administered, and interviews were conducted to understand the formal
and informal learning opportunities that superintendents intentionally foster for principals.
Significance of the Study
The study sought to uncover the current leadership development opportunities provided
by California public-school superintendents for the professional growth of their school principals
and the skills they perceived as being the most critical for the success as a school leader. In
addition, this study sought to discover the critical components of a principal pipeline as
perceived by selected superintendents. New and experienced superintendents could benefit from
new post pandemic research that delineates best professional development practices for
principals that significantly impact teaching pedagogy. In addition, this study would benefit
districts that desire to develop principal pipelines in an effort to mitigate insufficient pools of
internal principal candidates. The research findings from this study will contribute valuable
information to the field of education on leadership capacity building and principal pipelines.
Limitations and Delimitations of the Study
This study included the following limitations:
1. Items in the survey were pre-tested for verification on one subject in Spring of 2022,
but due to time restrictions, experts were not consulted in its creation.
2. The limited time frame restricted the study to a pre-survey and an in-person interview
for each participant.
3. Snowball sampling may have limited the distribution of the sampling, thus
introducing the possibility of sampling bias.

7

This study included the following delimitations:
1. This qualitative study did not aim to be generalizable; rather, it strove to obtain
insight into the understandings and experiences of a small group of 10 Southern
California public-school superintendents.
2. The small sample size made the quantitative data collected susceptible to Type I and
Type II errors.
Definitions of Terms
Book club is a model of professional development that provides members opportunities to
examine their knowledge, beliefs and professional practices as they read about alternative
perspectives and personally connect with text in a supportive context (George, 2002).
Climate is the attitude, mood, and morale of the organization (National Association of
Elementary School Principals, 2008).
Coaching is the practice of providing guidance and support in a thought-provoking and
creative process to individuals, inspiring them to achieve their goals and reach their full potential
(Bloom et al., 2005; International Coaching Federation, 2023; Sheridan & Johnson, 2023).
Communication is the process of reciprocation, conveying information from one person
to another. However, it is only when the intended message is received, accurately interpreted,
accepted, and acknowledged by the receiver through a response or feedback can the
communication be considered effective (Ezenwafor, 2013).
Conference is a professional development opportunity for leaders to increase their
knowledge of the latest innovative, research-based strategies, common practices, and ideas that
expand their personal and professional skill sets (Tingly, 2023).
8

Culture is the common set of expectations/rules that members in the organization
conform to in order to assimilate (The National Association of Elementary School Principals,
2008).
Fit is the match between the values of the school-organization and the candidate’s
educational philosophy, presence, and embodiment of community values and methods of
operation (Baltzell and Dentler, 1983; Walker & Kwan, 2012;).
Instructional leader is a model of school leadership that entails a principal who actively
collaborates with teachers to cultivate high quality instruction practices that are critical to student
learning and achievement (Brolund, 2016; Kolbe & Strunk, 2012).
Instructional rounds were adapted to education from the field of medicine, involving a
network of educators working together to identify and solve issues focused on the improvement
of teaching and learning (City et al., 2009).
Job-embedded professional development is a continuous, ongoing process of professional
learning, application, and inquiry-based work draw from the professional knowledge that exists
in their own school and among their colleagues that is integrated into the workday with the intent
of building the capacity (Croft et al., 2010; Wei et al., 2009).
Mentoring is when someone shares knowledge, skills and/or experience, to help other
persons manage their own learning in order to develop their skills and improve their performance
and growth (Metros & Yang, 2006; Sheridan & Johnson, 2021).
Peer observations are a professional development strategy that involves peer partnerships
engaging in continual authentic professional development opportunities that facilitate increased
learning for both individuals (Shortland, 2004).
9

Principal is the chief instructional leader who has full authority and is responsible and
accountable for every aspect of the school (Kafka, 2009).
Principal networks consist of a group of administrators organized for purposes related to
learning, inquiry, support, or school improvement (Niesz, 2007).
Principal pipelines are a district-wide systematic continuum strategy used to attract,
prepare, develop, and retain an ongoing pool of effective school leaders (Gates et al., 2020).
Professional development is the set of knowledge and skill-building activities that raise
the capacity of teachers and administrators to respond to external demands and to engage in the
improvement of practice and performance (Elmore, 2002).
Professional learning communities are a facilitated collaboration of committed educators
that utilizes a systematic data-driven approach, driving the Professional Learning Communities
(PLC) cycles of collective inquiry and action research to increase the PLC’s effectiveness
(Grissom et al., 2021).
Site visits involve a brief physical walkthrough of a campus conducted for purposes of
observation, evaluation, and collection of data (AdLit, 2023; Workplace Testing, 2018).
According to Downey et al. (2004, p. ix), an effective site visit observation concludes with “an
adult-to-adult model of discourse that involves professional conversation about practice.”
Skill is the capacity to do something successfully as a result of acquired information or
training (Huse, 2010).
Strategic management skills consist primarily of the strategic management of tangible
resources such as planning, organizing, structuring, managing budgets/resource allocations, data
usage, and hiring, placing, and retaining personnel (Anderson et al., 2010).
Superintendent is the school district’s educational leader and acting chief executive
10

officer, who functions as a symbolic figure and represents the educational interests of the
community (Powers & Constance, 2019).
The California Professional Standards for Education Leaders define California’s
expectations for school administrators and are based on six, broad, evidence-based leadership
categories: shared vision, instructional leadership, management and learning environment, family
and community engagement, ethics and integrity, and external context and policy (Commission
on Teacher Credentialing, 2014).
Workshops are an educational professional development experience designed to be
hands-on, providing participants with practical skills and techniques that they are able to apply in
a safe supportive environment (Center for Community Health and Development, 2023).
Organization of the Study
“Building Leadership Capacity from the Top: How Superintendents Empower Principals
to Lead Schools” is organized into five chapters. Chapter 1 outlines the study and includes the
background and statement of the problem and the purpose and significance of this research
study. Research questions, limitations, delimitations and definitions of key terms, intended to
guide both myself and the reader are also included in Chapter 1. Chapter 2 presents a literature
review of the five essential skills of a school administrator. This review explores a variety of
programs, practices, and professional development opportunities, including the principal pipeline
continuum. Chapter 3 describes the methodologies selected for this research study: sample and
population selection, interview questions, data collection, and data analysis. Chapter 4 is a report
of the research findings. Chapter 5 summarizes findings, implications for practice, conclusions
and recommendations. References and appendices were included in the conclusion to this
research study.
11

Chapter Two: Review of the Literature
The majority of school principals in high-need schools are inexperienced and therefore
ill-equipped to positively affect teaching pedagogy, creating a detrimental impact on the
development of teachers and students (Grissom et al., 2021). It is important to study this issue
because the impact that principals have on students’ learning is only second to that of their
classroom teacher (Leithwood et al., 2004). Principal leadership matters, and according to
Grissom et al. (2021), “It is difficult to envision an investment with a higher ceiling on its
potential return than a successful effort to improve principal leadership” (p. 14).
A synthesis and critical evaluation of literature salient to this dissertation will first review
the history of the position of principal in American public-schools and the evolving
qualifications for those who hold the position. Next, focus turn to the work of several educational
researchers and how they highlight the five essential skills that effective principals should
possess. Then, there will be an examination of the district superintendent’s position, spotlighting
the history of the superintendent’s role, initially as teacher-scholar then developing into today’s
leader developer, focused on principal leadership capacity-building. Following, this section will
compile a list of effective leadership professional development and components of principal
pipelines. Finally, this chapter will conclude with a tentative theory combining Bolman and
Deal’s (2017) human resources framework with Easton’s (1965) political systems framework.
History of Public-School Principals
The first schools in America were unregulated, multi-age, single room classes that
focused primarily on teaching students rote memorization skills by utilizing books such as the
Bible, dictionary, and McGuffy readers that were readily available to them (Rousmaniere, 2013).
In-class learning was primarily accessible for the privileged White male (Lisa, 2020). Many
12

children were excluded from attending school based on income, race, gender, and geographic
location (Kober, 2020). Less than half of American students attended elementary school, and far
less attended advanced programs labeled grammar and high school. The Boston Latin School,
the first public-school in America, became accessible on April 23, 1635, to the male heirs of the
ruling class. A year later the first college, Harvard University, was established (Lisa, 2020).
The initial management responsibilities of American schools rested on the shoulders of
The New England Puritans of the Massachusetts Bay Colony who elected or appointed citizens
in 1647. These elected representatives were tasked with the responsibility of handling school
affairs. In 1721 the Boston selectmen, prominent citizens who were “selected” to conduct the
business of the town, nominated a permanent citizens’ committee to assist in the affairs of the
school (Illinois Association of School Board, 2014; Massachusetts Municipal Association,
2020). In 1826 Massachusetts enacted a law that required each town to elect a separate school
committee, or school board, to act as the governing body for public-schools. Teachers, who were
selected based on their background, moral character, and political status, had to follow school
board regulations and expectations. They documented enrollment, maintained facilities,
disciplined students, and taught the curriculum that was approved by the local community. In
1847 their added responsibilities included ringing the bell for recess, suspending students for
inappropriate language and forbidding students from leaving campus without permission. Early
school principals shared the responsibilities of both a classroom teacher and school administrator
combined. They held the professional title of preceptor, schoolmaster, head teacher, or principal
(Rousmaniere, 2013).
Qualifications to become a school principal varied by state; however, the prerequisite to
the principalship was previous classroom teaching experience. The first principals were teachers
13

with the longest tenure, a teacher who was willing to take on the position, or a teacher who was
favored most by the school board. Women dominated the principalship in American public
elementary schools with over two-thirds holding these administrative positions; however, male
administrators primarily held secondary principal positions which had additional personnel
support, were higher paying, and whose position was often seen as more distinguished which
afforded them more opportunities for advancement in their careers (Rousmaniere, 2007). African
American principals worked specifically in racially segregated schools in the South. They served
as liaisons between the school and families, were role models, well-respected by the community,
and held local authority. There were no legal guidelines, professional support, or list of official
job responsibilities for administrators. In 1906, Ellwood P. Cubberley, an education
administration doctoral graduate, recommended that every state establish an administrative
certificate for aspiring administrators. From 1923‒1934, 27 states created an administrative
certification, a step toward acknowledging that school administrators play a different role in
education than teachers and require a focus on the knowledge and skills school leaders must
possess in order to lead schools effectively (Rousmaniere, 2007).
In the mid-19th century, due to increased organizational demands, the school principal’s
role changed from part time teacher and part time manager to full time supervisor overseeing the
new graded school logistics where students were separated by age and achievement, organizing
the various courses of study, discipline, and operations of the school site (Rousmaniere, 2007).
By the end of the 19th century, the school principal position was recognized in most large cities
as a position of power, prestige, and influence as overseeing adults and being responsible for
their professional growth added to the credibility of administrators (Kafka, 2009). Additional
duties included giving and enforcing orders; directing, advising and instructing teachers;
14

supervising and evaluating custodians; categorizing students; disciplining students and enforcing
structures that protected their overall health and character. They were well respected by parents
who often sought their advice and respected them as figures of authority. In 1884, the principal’s
impact was considered so great that the Chicago district superintendent, John Dore, defined the
school principal as: “the prime factor in the success of an individual school . . . and no amount of
itinerant supervision can supply his place” (as cited in Pierce, 1935, p. 39). According to Kafka
(2009), nearly 40 years later, Henry Gerling, the superintendent of the St. Louis schools, made a
similar declaration regarding school principals:
The principal is regarded as the executive head of his school. He stands in the line of
authority, and every element of local school control is exercised through him. Corollary
to this fact the principal is the responsible agent in the school for all phases of
management and instruction. It is the business of the principal to secure the best possible
educational results and to do this with the utmost efficiency. (p. 321)
Characteristics of Effective Principals
“Wanted: A miracle worker who can do more with less, pacify rival groups, endure
chronic second guessing, tolerate low levels of support, process large volumes of paper and work
double shifts (75 nights a year). He or she will have carte blanche to innovate, but cannot spend
much money, replace any personnel, or upset any constituency” (Evans, 1995).
School leadership is second only to teaching, as principals have the ability to create,
support, and sustain school climates that focus on learning and student achievement schoolwide
(Louis et al., 2010). An effective principal is one who can create the conditions necessary for a
school to thrive and is the very core of leadership influence on their campus (The Wallace
Foundation, 2013). Research has recognized that the key ingredient in school performance is a
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skilled and committed instructional administrative leader as they have the ability to impact
students outcomes such as student academic achievement, graduation and attendance rates
(Darling-Hammond et al., 2022; Krasnoff, 2015). According to Bennis and Thomas (2002),
“The skills required to conquer adversity and emerge stronger and more committed than ever are
the same ones that make for extraordinary leaders” (p. 2). Many leading educational experts have
published work detailing the essential skills school leaders should possess in order to lead their
schools effectively. This section reviewed the work of many of these experts and highlighted the
essential skills primarily derived from a twenty-year systematic synthesis of research
commissioned by the Wallace Foundation, involving more than 22,000 principals. The Wallace
Foundation has published over 70 reports and projects in over 24 states focusing on educational
leadership. This study encompassed the following essential leadership skills:
• building a positive culture and climate
• strategic management
• instructional leadership
• communication
• professional learning communities
Culture and Climate
School culture (personality) is the common set of expectations/rules that members in the
organization conform to in order to assimilate while school climate (attitude) is the attitude,
mood, and morale of the organization (National Association of Elementary School Principals,
2008). In order to change the culture of the school, effective leaders must first identify and build
upon the organizational traditions rather than trying to compete with them (Reeves, 2006). This
is achieved through the efforts of bringing together staff, students, and the school community to
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adopt a mindset of high expectations that are results driven and both reflective and responsive to
the needs of every student (Organization for Economic Cooperation and Development, 2009).
Effective educational leaders cultivate an inclusive, caring, and supportive school community
that engages in meaningful, reciprocal, and mutually beneficial ways to promote student
academic success and well-being (National Policy Board for Educational Administration, 2015).
School leaders who have strong emotional and social intelligence competencies understand the
value of strategically creating a positive campus culture and climate and investing in human
capital. Principals must make it a priority to learn about each of their staff’s expertise, needs, and
dispositions (Grissom et al., 2021). Possessing the soft skills necessary for creating a nurturing,
safe, and inclusive environment is strongly associated with the school’s academic performance
and increased teacher efficacy, autonomy, and retention (Adams, 2013; Moye et al., 2005).
Strategic Management
With the role of principalship steadily evolving, there is one constant skill that all school
principals must possess in order to effectively manage their school site and that is strong
strategic management skills (Grissom, 2021). Strategic management skills, although broad,
consist primarily of the strategic management of tangible resources, such as planning,
organizing, structuring, managing budgets/resource allocations, data usage, and hiring, placing,
and retaining personnel (Anderson et al., 2010). In addition, school leaders who possess strong
strategic management skills are able to utilize their resources to effectively achieve their
intended outcome (Finnigan, 2012; Lorton et al. 2013). The daily decisions that principals make
truly matter and affect the people within the organization. School leaders need to possess the
skills that allow them to weigh out all of their options, think outside the box, strategize, and
prioritize all students, while keeping them at the center of every decision (Garcia, 2019).
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Research has shown that a principals’ successful execution of skills labeled as strategic
management were linked to student achievement, teacher satisfaction, and other positive school
outcomes (Grissom & Loeb, 2011; Horng et al., 2010).
Instructional Leadership
According to The National Policy Board for Educational Administration (2015), effective
school leaders develop, advocate, and enact a schosolwide mission, vision, and set of core values
that reflect the school’s fundamental belief of providing a high-quality education that supports
the academic success of each and every student. According to Brolund (2016), “Instructional
leadership is a model of school leadership in which a principal works alongside teachers to
provide support and guidance in establishing best practices in teaching” (p. 1). Effective
instructional leaders understand that it is their responsibility to create the conditions necessary to
cultivate and support high quality instruction campus wide. According to Dufour (2002), the
principal must possess the knowledge and skills to be an instructional resource provider to
teachers. By having current knowledge and expertise on the curriculum, instruction, and
assessments that improve student learning, principals are able to effectively observe and evaluate
teachers in a productive manner (City et al. 2009; Johnson et al., 2011). In addition, principals
must have a deep understanding of human learning of both children and adults as it is their
responsibility to observe, provide feedback, coach, motivate, and evaluate classroom instruction
(Grissom et al., 2021; Jenkins, 2009). Being able to recognize the characteristics of high-quality
instructional practices enables principals to be proactive in cultivating high-quality teaching,
which is critical to student learning and achievement (Kolbe & Strunk, 2012). School leaders
must also play a part in “orchestrating professional learning” (Grissom, 2021, p. 54) by
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providing essential and relevant professional development that is systematically sustained over
time in order to effectively build teacher capacity (Turnbull et al., 2021).
Communication
Communication is the process of reciprocation, conveying information from one person
to another; however, it is only when the intended message is received, accurately interpreted,
accepted, and acknowledged by the receiver through a response or feedback can it be considered
effective (Ezenwafor, 2013). The ability to communicate effectively in an organization is an
essential skill that all leaders must develop. Effective leaders utilize effective communication to
build relationships with others, inspire, listen, and create alignment across the organization
(Geldart, 2023). Successful principals understand the importance of communicating and
implementing strategies such as open-door policies, weekly staff and community newsletters,
monthly staff and parent meetings, daily emails, staff and student recognition, and engaging in
daily constructive and meaningful conversations with all stakeholders (Hollingworth et al.,
2018). Good communication is a core leadership skill as it allows the leader to motivate, inspire,
empower, share feedback and information, relay expectations, and build a cohesive team (Gallo,
2022). How one communicates is just as important as what one communicates and is a skill that
is vital to the success of both the individual and the organization. Successful leaders have good
communication skills and hone these skills at every chance they get (Wiskup, 2009). “How a
principal communicates their vision and expectations around high quality instruction and
personnel, school climate, collaborative practices, and transparency in allocation of school
resources is a critical skill that is essential” (Grissom, 2021, p. 56).

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Professional Learning Communities
Effective leaders facilitate collaboration through a systematic data-driven approach,
which utilizes the PLC cycles of collective inquiry and action research to increase their team’s
effectiveness (Grissom et al., 2021). Professional Learning Communities consist of committed
educators who understand the importance of working together to determine best practices for
both teaching and learning to achieve better results. As a team, they engage in collaborative
processes of measuring their effectiveness by continually assessing their impact on student
learning (DuFour et al., 2004). “The framework of a professional learning community is
inextricably linked to the effective integration of standards, assessment, and accountability . . .
with the fundamental principles and values that drive collaboration and mutual accountability”
(Reeves, 2005, pp. 47–48). Principals can support teacher teams in creating norms, setting
expectations, modeling and supporting opportunities for systematic data-driven collaborative
decision-making that will increase the team’s effectiveness and improve instruction and student
outcomes (Anderson et al., 2010; Saunders et al., 2009).
Many educational experts have researched successful school leadership characteristics
and behaviors and created their own lists of what they deem to be the essential skill sets that an
effective leader must possess in order to make an impact on the school and the community in
which they lead. It is the superintendent, however, who sets the tone and ultimately holds their
school leaders accountable for what they perceive to be the critical qualities that effective leaders
must encompass. With the growing demands and expectations on school leaders it is critical to
know the answers to the following three questions:
1. What specific skill sets do superintendents intentionally foster to develop the
leadership capacity, confidence, and expertise of their principals?
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2. What programs, practices, and professional development opportunities are provided
by district leaders to principals?
3. What do superintendents feel are components needed to encourage and develop future
administrators?
Superintendents and Leadership Development
The roles and responsibility of the superintendent dates back to 1865, where a school
superintendent’s primary role was that of teacher-scholar (Kowalski, 2010). Primarily male and
considered lead educators as many were authors of published journals, from 1865‒1910,
superintendents were responsible for overseeing classroom instruction and uniformity of
curriculum in an effort to assimilate students into American culture. As early as 1890, the role of
a superintendent as the teacher-scholar was summarized such that:
It must be made his recognized duty to train teachers and inspire them with high ideals; to
revise the course of study when new light shows that improvement is possible; to see that
pupils and teachers are supplied with needed appliances for the best possible work; to
devise rational methods of promoting pupils. (Kowalski, 2005, p. 38)
In 1910, the Industrial Revolution impacted the role of the superintendent. Emphasis was
placed on their role as a business manager who was authoritative and task oriented as being
responsible for budget development and administration, standardization of operation, personnel
management, and facility management (Kowalski, 2005). In 1930, the Great Depression
transformed a superintendent’s role to that of a statesman/politician who worked to gain the
support of policymakers, employees, and the community to support the district’s initiatives. In
the mid-1950s due to demographic changes caused by World War II, the superintendent’s new
role was that of an applied social scientist who was sensitive to the social and political changes
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that were occurring. With the Information Age emerging and the rise of accountability measures
sparked by The National Commission on Excellence in Education’s report, A Nation at Risk,
superintendents’ shifted their focus towards preparing their students to compete in a global
society. In addition, there was a push towards collaboration; school personnel were no longer
encouraged to work in isolation but rather superintendents were encouraged to work
collaboratively with principals, teachers, parents, and the community.
Today, the superintendents’ roles have increased dramatically, not only assuming their
previous role as teacher-scholar, business manager, politician, social scientist, and forward-
thinking collaborator, but tackling a plethora of additional roles amidst a post-pandemic reality.
Sandra Sherwood, Superintendent of Herkimer-Fulton-Hamilton-Otsego BOCES (Boards of
Cooperative Educational Services), commented, “The role has shifted more to being a ringmaster
… where you’re just constantly juggling day-to-day needs as well as trying to oversee the
instructional leadership that’s at the heart of the mission and vision of every school district”
(Capullo, 2021, p. 1).
According to the Council of Chief State School Officers (2015), the Model Principal
Supervisor Professional Standards 2015 are based on the following theory of action:
If principal supervisors shift from focusing on compliance to shaping principals’
instructional leadership capabilities, and if they are provided with the right training,
support and number of principals to supervise, then the instructional leadership capacity
of the principals with whom they work will improve and result in effective instruction
and the highest levels of student learning and achievement. (p. 3)
Second only to teaching on factors impacting student achievement, the school principal
and their ability to effectively lead their schools is not something that superintendents can afford
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to ignore. In fact, overseeing school principals should be a priority of superintendents and their
primary focus should be on improving their capacity to lead.
Most superintendents were former principals who understand the demands of the position
and possess the experience and knowledge to strengthen principals’ instructional leadership
capabilities (Council of Chief State School Officers, 2015). It is a shift away from compliance to
an emphasis on relationships, knowledge sharing, and coaching. It is about ensuring that the
work that principals’ do is aligned with the vision of the school district. It is about valuing the
position and committing to the growth of the individual. It is about modeling, coaching, and
sharing best practices that in turn, principals’ will establish at their own sites.
Syed (2015) believed that the quality of schools district wide can be improved through
improving the recruitment, training, evaluation, and development of school leaders. Following
the Every Student Succeeds Act (ESSA), all states have created plans that focus on improving
leadership development (Darling-Hammond et al., 2022). Despite these plans, few principals
reported having access to job-embedded research based learning opportunities, coaching or
mentoring. Although principals across the country report wanting additional professional
development opportunities many times, they often experience obstacles, such as time and
funding, that prevent them from accessing these much-needed skill building trainings. Principals
who work in high-poverty schools with higher concentrations of students of color report having
the least access to these opportunities of professional growth. Without access to high quality
“good” professional development opportunities, principal quality and rapid principal turnover
rates will continue to exist contributing to effective principal disparities as novice, inexperienced,
and ineffective leaders continue to fill leadership positions in schools with large numbers of low
income, low-achieving, or racial/ethnic minority students (Bartanen et al., 2019).
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“Good” Professional Development
Principals play a significant role in school outcomes and districts who make it a priority
to invest in growing their leadership skills may very well yield the greatest school improvement
per dollar invested (Grissom et al., 2021; Leithwood et al., 2004). Gümüs and Bellibas (2020)
found a positive correlation between principals’ participation in professional development and
their leadership practices. For the purposes of this study, professional development refers to the
“set of knowledge- and skill-building activities that raise the capacity of teachers and
administrators to respond to external demands and to engage in improvement of practice and
performance” (Elmore, 2002, p. 7). The following is a list of professional development
opportunities that were provided by many of the school districts in this thematic study.
Book Clubs
Professional book clubs are one model of professional development that provides
members opportunities to examine their knowledge, beliefs and professional practices as they
read about alternative perspectives and personally connect with text in a supportive context
(George, 2002). Book Clubs enable participants to dig deeper into a specific topic over time,
allowing individuals to test out ideas, relate to others, shifting their thinking often resulting in
paradigm shifts (Spencer, 2020). Research indicates that book clubs serve as an effective form of
professional development as participants reported improved changes in their professional
practice, increased confidence in defending research based effective practices to colleagues, and
a stronger collaborative connection with the participants in the group (Burbank, et al., 2010; Dail
et al., 2009; Gardiner et al., 2013).
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Coaching
Leadership coaching is one professional development strategy that districts utilize to
build principal capacity (Rhodes, 2012; Rhodes & Fletcher, 2013). It is a form of professional
support that seeks to support “significant personal, professional, and institutional growth through
a process that unfolds over time” (Bloom et al., 2005, p. 10). In a recent National Study of school
leaders in the United States, approximately 50% reported receiving leadership coaching and
stated that it had a positive impact on their leadership practices (Wise & Cavazos, 2017).
Coaches who model effective instructional leadership behaviors support growth in a principal’s
capacity to lead instructionally, which significantly impacts student learning outcomes (Gallucci
et al., 2010; Honig, 2012). The Council of Chief State School Officers (2015) recommends that
“Principal supervisors coach and support individual principals and engage in effective
professional learning strategies to help principals grow as instructional leaders” (p. 16).
Conferences
A conference is a professional development opportunity for leaders to increase their
learning of the latest innovative research-based strategies, common practices, and ideas that
expand their personal and professional skill set (Tingly, 2023). Conferences are brief and provide
opportunities for individuals to have access to the latest research presented by the leading
educational experts delivering impactful information in the field of education (Goddard, 2019).
Instructional Rounds
Instructional rounds are a professional development practice involving a network of
educators working together to identify and solve issues focused on the improvement of teaching
and learning (Harvard Graduate School of Education, 2023; City et al., 2009). In Instructional
Rounds the network focuses on what is happening, examining how the system contributed to
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those effects and then concludes with a collaborative effort to move towards achieving the results
the group aspires to achieve. City et al. (2009) emphasized the importance of shared
accountability through effective instructional rounds as the data on student performance informs
the teacher on the effectiveness of their professional practice and whether the professional
development provided to them adequately addressed any issues of student achievement.
Research shows that instructional rounds have had a profound impact on the groups’ sense of
collective trust, self-efficacy, and a positive impact on the school’s culture (Ellis et al., 2015;
Mansfield & Thompson, 2017; Teitel, 2013).
Mentoring
A mentorship involves someone sharing their knowledge, skills and/or experience, to
help another to manage their own learning in order to develop their skills and improve their
performance and growth (Metros & Yang, 2006; Sheridan & Johnson, 2023). At least thirty
states have required some form of teacher mentoring as it has been a proven support of teacher
retention and quality suggesting that having a seasoned mentor has a profound impact on an
educator’s capacity to lead (Smith et al., 2004). “Investing in high-quality mentoring is an
effective way for districts to secure a ready supply of capable school leaders who know from the
start how to implement school reform strategies” (Gray et al., 2007, p. 16). In a 5-year study
conducted by Gartner and Capital Analytics (2006) examining the impact of mentoring in the
workplace found that employees who are mentored were five times more likely to be promoted,
had a 23% higher rate of retention, and a 14% higher rate of feeling valued at their workplace
than those who were not mentored.
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Peer Observations
Peer observations are a professional development strategy that involves peer partnerships
engaging in continual authentic professional development opportunities that facilitates increased
learning for both individuals (Shortland, 2004). Peer observations are a scheduled structured
practice where colleagues collaborate to refine and improve their skill set (Department of
Education and Training Melbourne, 2018). It involves professionals planning opportunities to
observe each other in their professional setting, providing focused constructive feedback that
builds self-awareness and evokes change in an individual's professional practice (Australian
Institute for Teaching and School Leadership, 2017). According to Klingelhutz (2017),
professionals who engage in peer observations noted the benefits of providing an opportunity to
critically reflect as it supported the development of an increased sense of self-awareness,
strengthened their collaboration with their peers, and was an effective form of professional
development.
Principal Network
Principal networks consist of a group of administrators organized for purposes related to
learning, inquiry, support, or school improvement (Niesz, 2007). These networks collaborate
around increasing leadership capacity which ultimately affects student achievement. According
to Teaching Degree (2023), “Networking bolsters professional and personal development, and
successful networkers connect with colleagues, mentor figures, and experts from diverse
occupational backgrounds to develop relationships that also function as professional support
systems” (p. 1). Research strongly supports the use of networking amongst principals as it
increases collegial relationships, reduces isolation, and positively builds the capacity of
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administrators to effectively lead (Drago-Severson, 2012; Fahey, 2011; Fenwick & Pierce, 2002;
Swaffield, 2004).
Site-Visits
A site visit involves a brief physical walkthrough of a campus conducted for purposes of
observation, evaluation, and collection of data and is followed by “an adult-to-adult model of
discourse that involves professional conversation about practice” (Downey et al., 2004, p. ix; see
also, AdLit, 2023; Workplace Testing, 2018). Research supports the impact that walkthroughs
have on student achievement as it may provide informal, evaluative and non-evaluative measures
for collecting valuable information that “can paint a picture to inform improvement efforts”
(Jane, 2007, p. 1; see also, Bloom, 2007; Brown & Coley, 2011; David, 2007; Stephens, 2011).
Workshops
A workshop is an educational professional development experience designed to be hands-
on, providing participants with practical skills and techniques that they are able to apply in a safe
supportive environment (Center for Community Health and Development, 2023). According to
Willgerodt et al. (2020), “workshops were instrumental in providing structure and opportunity
for participants to learn skills, expand perspectives, and change behavior to improve team
outcomes” (p. 1). According to Smart (2022), workshops are effective because they provide
hands-on learning experiences which help participants retain the information that was delivered.
Educational workshops involve the attendance of like-minded individuals that focus on building
capacity in a specific area of need and have become one of the most common forms of
professional development (Connolly & Millar, 2006).
According to Elmore (2002), investing in principals “skill and knowledge” through good
professional development “is the imperative” for superintendents to bridge the gap between
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standards and achievement. Good professional development is often job-embedded, relevant,
promotes active learning and builds coherence (Quick et al., 2009). It is systematic and
continuous, with follow-up activities and hands-on experiences to increase capacity building and
build confidence and expertise in participants (Tate, 2009). Successful principals’ effectiveness
is developed over time through a series of learning experiences, on the job exposure, and applied
practice with continual self-reflection. Districts can cultivate the essential leadership skills that
they desire in their school leaders by providing good professional development opportunities or
an even more effective practice would be the adoption and implementation of a principal pipeline
(Gates, 2020).
Principal Pipelines
Principal pipelines are a districtwide systematic continuum strategy used to attract,
prepare, develop, and retain an ongoing pool of effective school leaders (Gates, 2020). In
conclusion to a seven-year RAND study on principal pipelines, Gates (2020) acknowledged:
“We found no other comprehensive district-wide initiatives with demonstrated positive effects of
this magnitude” (p. 21). The study revealed that students demonstrate higher academic
achievement when their school leader is highly qualified and supported by their district’s
standards, policies, and practices. Principals in districts where the pipeline had been established
for a longer duration demonstrated a greater positive outcome for students when compared to
districts without a pipeline or just beginning to implement one. Students scored on average
4.94% higher in reading in comparison to similar schools, while students in districts with a
principal pipeline program in place for 3 years or longer scored an average of 6.22% higher in
reading and 2.87% higher in math (Chenoweth, 2019). In addition, new administrators were
7.8% more likely to remain in their position for at least 3 years in comparison to similar districts,
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having a profound effect on the students, staff, families, and community that they serve (Gates et
al., 2020).
According to a research report by The RAND Corporation and Policy Studies Associates,
there are 4 main components of a principal pipeline. The first component is the adoption of well-
articulated leadership standards that define the essential skills and behaviors a successful
principal school possesses (Gates et al., 2020). Leadership Standards were first published in 1996
by The Council of Chief State School Officers and revised in collaboration with representatives
from the California School Leadership Academy at WestEd, the Association of California
School Administrators, the Commission on Teacher Credentialing (Commission), the California
Department of Education (CDE), California public and private universities, and county offices of
education to align with California’s expectations for school administrators (Commission on
Teacher Credentialing, 2014; The National Policy Board for Educational Administration, 2015).
The California Professional Standards for Education Leaders (CPSEL) focus on 6 broad
evidence-based leadership categories: shared vision, instructional leadership, management and
learning environment, family and community engagement, ethics and integrity, and policy.
According to the Commission on Teacher Credentialing (2014): “The CPSEL serves as broadly
supported leadership criteria that are a critical component of a coherent system of leadership
development and support that ensures excellent education leaders throughout California” (p. 3).
The second component of a successful principal pipeline was providing high quality pre-
service principal preparation certification through the partnership between the school district and
higher-level institutions to promising administrative candidates. These partnerships were
essential as they supported programs that integrated the district’s vision and needs that were
essential to supporting the students that they served (Gates et. al, 2020). Some educational
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leadership programs have found success in partnering with districts and housing the program on
their campuses for student convenience, having district leaders participate in the program as a
professor or guest speaker presenting real site issues that then become part of the curriculum, and
(Kottkamp, 2003). It also provided an opportunity for both district administrators to scout for
potential candidates and for participants in the program to be “tapped” (Basom et al., 2004).
The third component of a successful principal pipeline is the selective hiring process
coupled with principal placement based on “fit” (Gates et. al, 2020). Fit is defined as a match
between the values of the school-organization and the candidate’s educational philosophy,
presence, and embodiment of community values and methods of operation (Baltzell & Dentler,
1983; Walker & Kwan, 2012). According to Elmore and Burney (2000): “In the field of
education, choosing an effective principal is one of the most significant decisions that a
superintendent or school board can make, as school leadership can propel a district forward in
meeting its goals” (p. 1). Researchers and practitioners suggest that districts focus their attention
and resources on building the capacity of their hiring committee in order to make an informed
decision about selecting an effective principal that meets the needs and expectations of the
organization (Clifford, 2010).
The fourth critical component of a successful principal pipeline are job embedded
supports such as leadership mentoring and coaching and effective performance evaluations
(Gates, 2020). According to The Wallace Foundation (2009), evaluations should be based on
formative measures and provide a comprehensive principal performance review process that
identifies areas of strength and needs in order to identify professional learning opportunities for
growth and measures the progression of the individual as they continue to improve and reach
their goals. Job-embedded support for administrators such as coaching and mentoring, drawn
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from the professional knowledge that exists amongst colleagues, is a continuous, ongoing
process of professional learning that builds the capacity of principals (Croft et al., 2010; Wei et
al., 2009). Effective professional development should begin with an analysis of the school
administrator’s skills based on an effective performance evaluation with formative evidence of
an individual’s performance where learning goals can be developed and job-embedded
professional development opportunities can be provided (Croft et al., 2010).
Easton’s Model and Human Resources Theoretical Framework
The conceptual framework utilized in this study combines Easton’s Political Systems
Framework with Bolman and Deal’s Human Resources Frame. David Easton developed the
political systems framework to encourage a holistic approach to understanding the human
tendency toward equilibrium between interdependent elements (Mohamed, 2021). School
districts are a complex system with many moving parts working together to educate children.
Reaching a state of equilibrium has been a challenge for many reasons, however a superintendent
is in a position that requires constant monitoring of groups within the system, seeking supports
for administrators to actively engage with key players for the most effective outcome. The
addition of Bolman and Deal’s (2017) human resources frame enhances Easton’s Political
systems framework, in its use for this study, because of its focus on aligning the needs of
individuals within an organization by engaging people’s talent and energy while meeting goals.
Although the primary audience for Bolman and Deal’s four-frame model are managers and
leaders it is also applicable to the work of practitioner scholars in education (Bolman & Deal,
2017). Many authors highlight the need for a skilled and motivated workforce to achieve success
(Cascio & Boudreau, 2008; Lawler, 1996; Lawler & Worley, 2006; Pfeffer, 2007; Waterman et
al., 1994). A superintendent must invest the time and resources needed to develop a team of
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committed and talented employees as their role includes recruiting, developing personnel, and
implementing effective evaluation structures.
Figure 1 shows the conceptual framework utilized in this study which modifies Easton’s
Political systems framework by combining the stresses, demands, and supports and categorizing
them collectively as inputs. In Easton’s original framework the stresses influenced the inputs and
the inputs consisted of the demands and supports. In addition “school systems as a political
system” was replaced with the superintendent and principal. Although this is an oversimplified
version of what makes a school system, for the purposes of this study those two parties were this
thematic dissertation’s focus. Maxwell (2013) stated that conceptual frameworks both
illuminates some areas and leave others in darkness. A deeper and more nuanced understanding
of a superintendent’s influence on their administration is possible because of this conceptual
framework’s focus on the superintendent and principal. It is also important to note that the
conceptual framework utilized in this study has the stresses and supports impacting both the
superintendent and the principals, as they have replaced the “school systems as a political
system.” This conceptual framework, as it is written, assumes the superintendent influences the
principal relying on tools and techniques that can be understood utilizing the human resources
frame. The principal then acts using the information or tools provided to implement practices and
policies. A feedback loop is then created as information is reported back to the superintendent in
the form of outcomes or new needs.

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Figure 1
Conceptual Framework

Note. Adapted from “A Systems Analysis of Political Life” (p. 32) by David Easton, 1965,
Chicago: University of Chicago Press.

Certainly, all four frames of Bolman and Deal are valuable, but the human resources
frame was most applicable due to this thematic study’s focus on the skills and empowerment of
the principal. Merriam and Tisdell (2016) shared that the conceptual framework both reveals and
conceals meaning and understanding. The use of the human resources frame addresses how
administrators empower principals while meeting their needs as people and the needs of the
organization. According to Bolman and Deal (2017), the basic human resources strategies after
having hired staff are: keeping them, investing in them, empowering them, and promoting
diversity. Thus, the human resources frame is the best tool to understand how superintendents
make sense of their role in addressing the improvement of their leadership capacity.
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Today’s schools are facing insurmountable internal and external pressures and stresses of
epic proportions. According to Ujifusa (2022):
The nation’s K–12 schools aren’t strangers to culture wars and concerns about oversight.
But new disputes about transparency in curriculum and the role of the general public in
what schools do every day have been supercharged by prominent politicians, the
pandemic, divisions about race, and other factors. (p. 1)
Now more than ever schools desperately need school leaders who are able to react to
these stresses and demands and in turn, these school leaders need a superintendent who is able to
mentor, guide and build their capacity to lead their schools through these uncharted territories.
School principals need superintendents to support them in finding solutions to these new
complex and multifaceted challenges facing public education today. In addition, schools deserve
leaders with the knowledge, expertise and skills to effectively utilize the financial support that
the government provided through the Elementary and Secondary School Emergency Relief and
Governor’s Emergency Education Relief Fund. According to Davis (2022), this additional
emergency financial assistance is “meant to provide districts with a broad approach to reducing
learning loss caused by the pandemic, increasing administrative capacity, and prioritizing social
and emotional wellness among students, educators, and families” (p. 1).
According to Fullan (2001), a more experienced superintendent will have a system of
pressure and support to lead school administrators to an intended goal. The combination of
Easton’s political systems framework and Bolman and Deal’s human resources frame allow for
such a system of pressure and support to be interpreted and understood. This study includes a
theoretical framework to interpret the data collected from superintendents on the skill
development of effective principals. The study sought to uncover the current leadership
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development opportunities provided by superintendents for the professional growth of their
school leaders and the skills they perceived as being the most critical for the success as a school
leader. New and experienced superintendents can benefit from the expansion of knowledge on
best professional development practices for principals that significantly impact teaching
pedagogy. The research findings from this study will contribute valuable information to the field
of education on leadership capacity building.

36

Chapter Three: Methodology
According to The Wallace Foundation (2013), “The principal remains the central source
of leadership influence” (p. 6). School improvement does not happen overnight therefore
ensuring that a principal remains at their school site is critical for a school’s success. It can take
as long as 5 to 10 years for a principal to make a significant impact on its campus, however, only
one in five principals remains in their position after a 5-year span (School Leaders Network,
2014; The Wallace Foundation, 2013). Student academic performances in math and English
decline the year the principal leaves the school, taking an average of 3 years for the new leader to
close the gap (Beteille et al., 2011). For new eager administrators entering the field, eighteen
percent will leave their position after their first year; however the rate increased to twenty-one
percent in high poverty schools (Levin et al., 2019).
According to The National Association of Secondary Principals and Learning Policy the
reasons for principal attrition rate is often due to five main factors: Inadequate preparation and
professional development, poor working conditions, insufficient salaries, lack of decision-
making authority and ineffective accountability policies (Levin et al., 2019). According to Louis
et al. (2010), there are three factors that were most influential on principal capacity building:
• a district-wide focus on student achievement and instruction
• job-embedded professional development for teachers
• investment in both school and district level instructional leadership and district
personnel policies
Therefore, putting district wide systems in place that focus on hiring high-quality instructional
teacher leaders who can potentially become part of the principal pool and providing them with
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leadership opportunities that prepared them to lead highly effective schools should be a priority
for all districts.
In order to increase principal longevity and competency for improved student learning
outcomes in current school principals, superintendents must first focus on building leadership
capacity through systematic professional development (Institute for Educational Leadership,
2000). Research is needed to determine what skills leaders should possess and what leadership
capacity building experiences can support the development of these skills. By examining the
effectiveness of five small and five medium urban school district’s principal professional
development skill building practices, this study seeks to identify best practices that can be
utilized to assist districts in increasing the number of effective principals to lead their school
sites.
Purpose of Study
The purpose of this study is to examine the beliefs of ten superintendents to determine the
skills they deem essential for effective principals and the methods they utilize to build the
capacity of these skills in their principals. This study explores the formal and informal job-
embedded practices that superintendents intentionally foster to build capacity amongst their
school leaders. It examines the formal and informal learning opportunities that superintendents
provide as a means to develop their school leaders and prepare them to make an impact on the
student academic growth on their campuses. In addition, this study seeks to explore the
perspective of these ten superintendents on creating systems that support the development of
future leaders through principal pipelines.
Research Questions
The following research questions were used to guide the study:
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1. What specific skill sets do superintendents intentionally foster to develop the
leadership capacity, confidence, and expertise of their principals?
2. What programs, practices, and professional development opportunities are provided
by superintendents to principals?
3. What do superintendents feel are components needed to encourage and develop future
administrators?
Sample and Population
To conduct this study, me and my dissertation partner used a purposeful, convenience
sample process to select superintendents from five small-sized urban public-school districts and
five medium-sized urban school districts. The selection process was based on location and my
accessibility to the participants as they were all within a 50-mile radius to my location of
residence (Lochmiller & Lester, 2017). Participants in this study were currently serving as
superintendents in a California public-school during the 2022‒2023 school year. After collecting
data from all 10 participants, me and my dissertation partner split the participants in half, each
focusing on either the small or medium sized districts. The five school districts that were located
in small-sized urban areas enrolled no more than 22,500 students. The five school districts that
were located in medium-sized urban areas enrolled more than 22,500 students.
For this study, two major research tools, an online survey and an in-person interview
were used. The methodology first included quantitative data collection from online surveys
utilizing both open-and-closed-ended questions, followed by a qualitative approach that utilized
data from open-ended interview questions to assist in the interpretation and explanation of the
quantitative data. The online survey was an effective quantitative research tool for gathering
basic information about each superintendent’s programs, practices, and the professional
39

development opportunities provided to their principals. These results supported the development
of the interview questions, as they were a means to asking clarifying questions that gained a
better understanding of each participant’s experience and expertise toward building leadership
capacity (Robinson & Firth Leonard, 2019).
Instrumentation
Quantitative Instrument
The quantitative portion of the research was conducted using an online survey to gather
the initial data that informed the qualitative portion of the study. A survey is an instrument used
in data collection to capture information that is not readily available (Robinson & Firth Leonard,
2019). The survey had 12 questions created from four question types (See Appendix A). The
questions in the survey focused on all three research questions. Part I of the survey focused on
the superintendent’s demographics and past professional experiences. Part II of the survey
focused on research questions number one, Part III focused on RQ2, and Part IV focused on
research RQ3. The questions in Part I and Part III were closed- ended questions. The questions in
Part II of the survey were open-ended questions. The questions in Part IV utilized a 5-point
Likert scale ranging from 1 (strongly disagree) to 5 (strongly agree) to measure the attitudes of
superintendents toward the alignment of the skills they determined are essential for principals
and the programs, practices, and professional development they provide to build capacity in
these skills. Considering the time constraints of a superintendent, the survey was intentionally
brief and easy to navigate, taking approximately ten minutes to complete and designed to
mitigate survey fatigue or nonresponses (Robinson & Firth, 2019).
The first research question asked, “What specific skill sets do superintendents intentionally
foster to develop the leadership capacity, confidence, and expertise of their principals?” It looked
40

at specific skills superintendents intentionally foster to develop the leadership capacity,
confidence, and expertise of their principals. This is addressed directly in Question 5 of the
survey as each participant must list their top five skills. Question 8 links these skills to the
administrator’s evaluation and Questions 11–12 asks the participants if they currently
evaluate their principals on their strengths and weaknesses in these identified skills. Participants
elaborate more in depth on this question during the interview in Question 3 and indirectly in
Questions 4–5.
The second research question asked, “What programs, practices, and professional
development opportunities are provided by district leaders to principals?” It delved into the
programs, practices and professional development opportunities provided by the district leaders
to their principals. This is addressed directly in Question 6 of the survey as participants identify
the various types of professional development opportunities offered by “checking all that apply.”
In addition, their view on coaching and mentoring is addressed in Question 8 as well as whether
or not their district provides the appropriate opportunities to support their administrator’s
capacity is addressed in Question 10. This question is addressed in more depth during the
interview in Questions 8–13.
The third research question asked, “What do superintendents feel are components needed to
encourage and develop future administrators?” It focused on the components needed to develop
future administrators. This is indirectly addressed in Questions 6–12. Questions 6,
9, and 10 focus on current opportunities that the participants utilize to build capacity. Questions
7, 8, 11, and 12 looks at their evaluation systems and supports of evaluating skills and providing
supports that foster growth for improvement. This question is addressed in more depth in
Questions 8–16. The scenarios at the end of the survey address both Research Questions 2–3.
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This study will use a tentative theory combining Bolman and Deal’s (2017) human
resources framework with Easton’s (1953) political systems framework. These frameworks will
be used as the lens to understand the data gathered via surveys, interviews, and artifacts. As
shown in Figure 1, I argued that a systems approach to education with a human resources frame
model can be used to interpret how effective superintendents develop the skills needed in a
principal to effectively lead. According to Bolman and Deal (2017), investment of time and
resources communicates a belief in the employee’s talent and perseverance. This relationship
produces feelings of shared success and decreases turnover. Superintendents must strategically
work with their cabinet team members to utilize their areas of expertise in order to effectively
build the capacity of their principals with a focus on the principals’ needs as people, thus the
human resources frame. Easton’s (1953) political systems framework allowed me to consider
how principals implement school policies and programs and return with outcomes and new needs
to their superintendents, creating a feedback loop.
Qualitative Instrument
Robinson and Firth Leonard’s (2019) checklist for quality question design was utilized in
designing an effective survey instrument that provided a useful and relevant dataset with a
respondent-centered survey aligned to the research questions. The data collected from the initial
survey was used to design the questions for the qualitative interview. In-depth interviews were
conducted to provide the qualitative data needed in understanding the phenomenon under study
(Merriam & Tisdell, 2016). The qualitative portion of the research was conducted through face-
to-face, open-ended, semi-structured interviews (see Appendix B), approximately 90 minutes in
duration. The face-to-face interview allowed superintendents to elaborate in detail on the current
programs, practices, and professional development opportunities that they provide through their
42

district to foster and develop the leadership capacity, confidence, and expertise of their
principals. Superintendents’ interview responses provided important data for this study as its
purpose was to find out what specific skill sets these superintendents determined were vital to the
success of their principals, what intentional programs, practices, and professional development
opportunities were provided to foster these skills, and from their perspective, what impact have
these opportunities had on their principals to lead their schools effectively. Prior to its use in this
study, the interview protocol was field tested on one California K–12 public-school
superintendent in the Spring of 2022. This superintendent was not included in the study.
Data Collection
This study collected data using two types of methods: surveys and semi-structured
interviews. Quantitative data was collected from surveys that were accessible to twelve
superintendents from both small and medium sized urban public-school districts. Qualitative data
was gathered from ten in person interviews following the completion of their quantitative survey.
A cover letter preceded the survey and utilized Cialdini (2007) six principles of persuasion for
writing compelling invitations: reciprocity, authority, commitment, liking, scarcity and social
proof (see Appendix A). Participants in the study were notified that their survey responses would
be kept confidential, only the study team would have access to the information collected, and
that study data would be stored in a password protected computer and destroyed after 5 years.
Due to scheduling conflicts, one participant completed the survey but was unable to complete the
study in its entirety.
All participants confirmed their participation online through the completion of the
quantitative online portion and a consent form. I modified the interview protocol slightly to
reflect each superintendent’s responses on the quantitative survey and to allow for follow-up
43

questions. The timeline for conducting the survey followed by the interview included extensions
and scheduled reminders as superintendents are extremely busy all year round (Robinson & Firth
Leonard, 2019). The superintendents being interviewed were each asked a month in advance
what day and time would be convenient for them as well as location so as to maximize their
comfort level. According to Patton (2002), the purpose of an interview is to “record as fully and
fairly as possible that particular interviewees perspective” (p. 380).
Superintendents in this study granted me permission to utilize an iphone recording of the
interview as well as take notes during the interview. I then transcribed the interviews, coded
them by themes and categories, and reviewed them with Nvivo assistance. NVivo is a qualitative
analysis software that allowed me to upload each recording which was then transcribed into text
by the program. I then created “buckets” that answered each research question and placed quotes
from each interviewee into the buckets. The buckets were then analyzed and compared to the
other participants to discover tendencies, themes, and derive conclusions.
Data Analysis
An analysis of the data from surveys and interviews was conducted using Creswell’s six
steps for data analysis. Creswell (2013) identifies six steps in evaluating and interpreting data to
publish research findings that can be used to reinforce what is currently believed, establish gaps,
introduce a new way or expand interpretation of the findings. The first step requires the
researcher to organize and prepare the data for analysis through transcribing interviews. The next
step involves examining the data to gain an overall interpretation of the meaning of the surveys,
interviews, and artifacts. Next is the coding of data, where data is chunked into categories. Step 4
is the coding process that takes these categories and develops themes and descriptions for
44

analysis. Step 5 determines how these themes will represent the qualitative narrative and the final
step leads to the interpretation of the findings.
The qualitative data collected from the surveys were analyzed using descriptive statistics
to identify significant trends and correlations. The raw data from the survey were ordered and
examined by computing the mode to provide me with an accurate and relevant score for
describing the data set and measuring the variability between participants. Finally, I considered
the relationship between the qualitative data and the quantitative statistical findings, providing a
strong understanding of the research study results. According to Merriam and Tisdell (2016), “all
research is concerned with producing valid and reliable knowledge in an ethical manner” (p.
237). Throughout the study there was careful consideration in the way in which the data was
collected, analyzed, and interpreted as well as how the findings of the study were presented.
Summary
This study collected data using two types of methods: one survey and one semi-structured
interview from each of the participants. The data analysis of this study collected from ten
superintendents in both small and medium sized urban public-schools in California was guided
by the 3 research questions: What specific skill sets do superintendents intentionally foster to
develop the leadership capacity, confidence, and expertise of their principals? What programs,
practices, and professional development opportunities are provided by district leaders to
principals? What do superintendents feel are components needed to encourage and develop
future administrators? These findings will be presented in Chapter 4, with a discussion of the
findings in Chapter 5.

45

Chapter Four: Findings
This study was designed to examine the perceptions and practices of Southern California
urban public-school superintendents on leadership capacity building, specifically the skills they
perceived as being essential for principals leading urban public-schools. In addition, the methods
districts utilize to build the capacity of these skills in their current administration as well as
pathways for future administrative candidates. This chapter presents the findings from an
analysis of the data collected using a qualitative study design to answer the following research
questions:
1. What specific skill sets do superintendents intentionally foster to develop the
leadership capacity, confidence, and expertise of their principals?
2. What programs, practices, and professional development opportunities are provided
by district leaders to principals?
3. What do superintendents feel are components needed to encourage and develop future
administrators?
Overview and Organization
This study examines the perceptions of Southern California urban public-school
superintendents on leadership capacity building and explores the formal and informal job-
embedded practices that they intentionally foster to build capacity amongst their school
principals. According to the Wallace Foundation (2013), “Effective leadership is vital to the
success of a school. Research and practice confirm that there is a slim chance of creating and
sustaining high-quality learning environments without a skilled and committed leader to help
shape teaching and learning.” Although research shows that it takes approximately 5 years for a
principal to make a significant impact on their school campus, statistically only one in five
46

principals actually remain in their position after a 5-year span (School Leaders Network, 2014;
The Wallace Foundation, 2013). Principals often leave their school sites due to five main factors,
the first of which is inadequate preparation and professional development (Levin et al., 2019).
Effective organizations know each of their team members and provide specific and
intentional learning opportunities that increase the capacity of their people by developing the
knowledge, skills, and attitudes that build and impact a culture of learning at their school sites
(Flanary, 2011). Fullan (2006) defined capacity building as a policy, set of strategies, or actions
intended to increase the efficacy of a group to improve achievement, increase resources, and
boost motivation individually and collectively. As Fullan (2010) claimed,
Individual capacity building is part of the development, but at the end of the day only
capacity building counts if you want whole-system reform. The pressure and support of
two-way partnerships across and within each of the 3 levels of schools and communities,
districts and states are required. Coordination, focus, easy access to best ideas, the press
of collaborative competition, and ultimately win-win outcomes are the drivers. There is
simply and flatly no other way to get whole-system reform. (p. 15).
The Wallace Foundation conducted a 5-year study on educational leadership and its
impact on student achievement. The results of this study were published in Leithwood and
Louis’s (2012) book, titled Linking Leadership to Student Learning, and found that impactful
leaders contribute to the organization in four areas: setting directions, developing people,
redesigning the organization, and improving the instructional program (Leithwood & Louis,
2012). Research has recognized that the key ingredient in school performance is a skilled and
committed instructional administrative leader as they have the ability to impact student outcomes
47

such as student academic achievement, graduation and attendance rates (Darling-Hammond et
al., 2022; Krasnoff, 2015).
Many superintendents were former principals who understand the demands of the
position and possess the experience and skillset to build principals’ instructional leadership
capabilities (Council of Chief State School Officers, 2015). Superintendents must rely on their
principals to support their instructional vision and missions and possess the skills to implement
them successfully (Marzano & Waters, 2009). School leadership skills can be strengthened by
improving the recruitment, training, evaluation, and development of school leaders (Syed, 2015).
According to Fullan (2001), a more experienced superintendent will have a system of pressure
and support to lead school administrators to an intended goal.
This study and its findings are intended to add to existing research on leadership capacity
building and principal pipelines. In addition, it serves to inform multiple stakeholders: current
and aspiring superintendents as well as cabinet level administrators responsible for the
cultivation and development of leadership skills in their current and future administrators;
aspiring administrators who seek to fill a principal position and desire to possess the skills
necessary to lead a school; universities responsible for the training and development of current
and aspiring administrative candidates enrolled in their administrative services credential
programs and administrative masters and doctoral programs.
This chapter begins with an overview of participant demographics, description of the
qualitative methods approach, an analysis of the findings of the 3 research questions for medium
sized districts, a comparative analysis of both the small and medium sized districts, and a
summary of the findings.

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Demographics of Participants
The participants in this study were all current superintendents from five medium sized K–
12 unified school districts in Southern California. The medium size criteria was determined by
the number of students in each district. Districts classified as medium served more than 22,500
students. Table 1 displays the participating district demographics.
The survey was sent to 12 superintendents, 11 of which completed the form and
consented to an in-person face-to-face interview. Of the 11, 10 scheduled interviews and
participated in the study to its completion. However, for the purpose of this study, this researcher
focused on the five (n = 5) medium sized districts serving more than 22,500 students.
The study involved 100% (n = 5) of its participants working in K–12 urban unified
school districts. Three participants (60%, n = 3) identified as female and the remaining two
(40%, n = 2) as male. A majority (80%, n = 4) of the participants were between the ages of 50
and 59 with one participant being younger (20%) at 40 to 49 years of age at the time of the study.
Of the five participants more than half (60%, n = 3) identified as Caucasian and two (40%) as
Latino or Hispanic.

49

Table 1
Participating Medium Sized District Demographic
District name No. of principals No. of students District size
District 6 28 22,761 Medium
District 7 35 24,954 Medium
District 8 66 40,124 Medium
District 9 54 44,271 Medium
District 10 84 69,413 Medium

Note. Medium sized districts ranged from 28 to 84 principals serving 22,761–69,413 students
at the time of the study.

The following information was gathered from the qualitative survey and presents a brief
background of each medium sized district participant included in the study:
Superintendent F was a superintendent of a K–12 district serving approximately 22,761
with a minority enrollment of 80% and 28% of its students considered economically-
disadvantaged (U.S. News and World Report, 2023). Superintendent F had a traditional career
pathway to the superintendency, serving as a middle school teacher, middle school assistant
principal, high school principal, director of curriculum and instruction, assistant superintendent
of curriculum and instruction, and local district superintendent. Superintendent F was a
college/university professor and earned their doctorate degree.
Superintendent G was a superintendent of a K–12 district serving approximately 24,954
students with a minority enrollment of 60% and 18% of its population considered economically-
disadvantaged (U.S. News and World Report, 2023). Superintendent G had a traditional career
pathway to the superintendency, serving as an elementary school teacher, elementary school
50

assistant principal, director of curriculum and instruction, deputy superintendent, and local
district superintendent. Superintendent G was a college/university professor and earned their
doctorate degree.
Superintendent H was a superintendent of a K–12 district serving approximately 40, 124
students with a minority enrollment of 90% and 47.3% of its population considered
economically-disadvantaged (U.S. News and World Report, 2023). Superintendent H had a
traditional career pathway to the superintendency, serving as an elementary school teacher, high
school teacher, teacher on special assignment, elementary school assistant principal, middle
school assistant principal, elementary principal, coordinator, director of curriculum and
instruction, assistant superintendent, and local district superintendent. Superintendent H was a
college/university professor and earned their doctorate degree.
Superintendent J was a superintendent of a K–12 district serving approximately 44, 271
students with a minority enrollment of 100% and 60.5% of its population considered
economically disadvantaged (U.S. News and World Report, 2023). Superintendent J had a
traditional career pathway to the superintendency, serving as a middle school teacher, high
school teacher, middle school assistant principal, high school assistant principal, high school
principal, director of human resources, assistant superintendent of human resources, and local
district superintendent. Superintendent J was a college/university professor.
Superintendent K was a superintendent of a K–12 district serving approximately 69,413
students with a minority enrollment of 90% and 44.1% of its population considered
economically-disadvantaged (U.S. News and World Report, 2023). Superintendent K had a
traditional career pathway to the superintendency, serving as an elementary school teacher,
teacher on special assignment, elementary principal, assistant superintendent, and deputy
51

superintendent. Superintendent K was a college/university professor and earned their doctorate
degree.
Qualitative Methods Approach
In order to gain a deeper understanding of the perceptions and practices of Southern
California urban public-school superintendents on leadership capacity building, this study
utilized a qualitative methods approach (Merriam & Tisdell, 2016). Qualitative data was
compiled from superintendents’ responses to open-ended interview questions to assist in the
interpretation and explanation of the quantitative data. In order to identify patterns in the
qualitative data, a constant comparative method of data analysis was utilized (Merriam &
Tisdell, 2016). Quantitative data was also analyzed for trends. Although this study is not mixed-
methods one, I incorporated quantitative data from a survey that provided information on which
of the top five skills superintendents believe school leaders should possess, what programs,
practices, and professional development opportunities they currently provide to school
principals, and what do they feel are the components needed to encourage and develop future
administrators.
Questions on the survey were utilized to gather demographic information from each of
the participants as well as data on their perspective on one or more of the 3 research questions. In
total, there were twelve (n = 12) questions on the online survey, half (n = 6) of which were 5-
point Likert scale survey questions with response choices that ranged from 1 (strongly disagree)
to 5 (strongly agree). The survey included one checkbox multi-select answer question with the
option to add to an “other” fillable personalized response that was aligned to RQ2, and one open
ended response which was aligned to RQ1, listing the top five skills superintendents perceive as
being essential for school principals. The online survey was an effective quantitative research
52

tool, and the results supported the development of the interview questions as they were a means
to asking clarifying questions that gained a better understanding of each participant’s experience
and expertise on leadership capacity building (Robinson & Firth Leonard, 2019).
Me and my dissertation partner worked as a team to gather both the qualitative interview
and quantitative survey data. The survey questions were developed, issued to participants
(n = 12), and then analyzed by the team of two researchers. The participants who completed the
study in its entirety (n = 10) were then divided equally amongst the two researchers based on the
number of students each participant served in their respective districts. One researcher focused
their study on participants of small sized districts serving 22,500 students (n = 5) or less and this
research study focused on participants of medium sized districts serving over 22,500 students
(n = 5).
Presentation of Findings
The presentation of findings, are separated into three separate sections, each focused on
answering one of the three research questions in the study. Tables are included in each section
with quantitative data from the online survey. Qualitative data in the form of quotes from each of
the participants is also included in pertinent sections. This dissertation is one half of a larger
thematic dissertation and focuses on the five medium sized districts participating in the study.
The findings of those medium sized districts are then compared to the findings of the five smaller
districts and the overall findings of the 10 combined districts in the comparison section of this
chapter. The final section in this chapter includes a summary of the findings.
Research Question 1 Findings
The study’s RQ1 focused on the top five skills superintendents perceive as being the most
vital to the principalship. These are the skills they focus on developing and refining in order to
53

build their school leader’s capacity, confidence, and expertise. Research supports five essential
leadership skills: instructional leadership, building a productive culture and climate, facilitating
collaboration and professional learning communities, strategic management of personnel
resources, and communication. These categories were derived from a combination of many
experts that highlight essential leadership skills in their research along with a systematic
synthesis of two decades of research commissioned by the Wallace Foundation (Grissom et al.,
2021). The classification process of the five essential skills utilized the following definitions:
Culture and climate was defined as building a positive culture and climate requires a
principal to develop relationships on trust, facilitate regular collaboration, and inspire continuous
improvement and optimism (Adams 2013; Brown & Wynn, 2007; Grissom, 2021; Hanford &
Leithwood 2013; Hollingworth et al., 2018; Jacobson et al., 2007; Khalifa, 2012; Louis et al.,
2016; Moye et al., 2005; Price, 2015; Tschannen-Moran 2001). Strategic management was
defined as a leader with strong managerial skills and thinks strategically, effectively allocates
resources, can hire and retain good teachers, and is organized (Anderson et al., 2010; Bloom et
al., 2015; Finnigan, 2012; Grissom, 2021; Grissom, & Lobe 2011; Horng et al., 2010; Lorton et
al., 2013; Sebastian et al., 2018).
A skilled instructional leader was defined as one who conducts effective teacher
observations and evaluations, provides forward moving feedback and coaching, and utilizes data
to drive instructional programs toward student success (City et al., 2009; Grissom, 2021;
Grissom & Loeb, 2017; Johnson et al., 2011; May & Supovitz, 2011).
Communication skills were defined as including making oneself available to others,
varied methods of disseminating information, recognition of others, a willingness to have
difficult conversations, and listening (Grissom, 2021; Gordon & Louis 2009; Hollingworth et al.,
54

2018; Jacobson et al., 2005; Price, 2012). Lastly, the ability to foster a productive PLC included
the ability to create a space with co-equal parties collaborating towards an alignment with a
focus on learning for all students with shared resources, responsibilities, and accountability
(DeFour et al., 2004).
Principal leadership matters and according to Grissom et al. (2021), “it is difficult to
envision an investment with a higher ceiling on its potential return than a successful effort to
improve principal leadership.” Identifying the essential skills that school leaders need to navigate
successfully in the principalship role from former principals who are currently sitting
superintendents is critical. The data analysis of this study revealed five common themes on the
top five skills superintendents perceive as being the most vital to the principalship:
• Superintendents in this study perceived the soft skills necessary in building a positive
culture and climate was the most important leadership skill.
• Superintendents in this study perceived strategic management, the ability to run a
school and make good decisions, was as the second most essential leadership skill.
• Superintendents in this study perceived instructional leadership, supporting the
development of teaching and learning, as the third most important skill and was also
viewed as being a prerequisite and part of the principal pipeline.
• Superintendents in this study perceived communication skills (speaking, listening,
observing, empathizing, conveying, receiving, disseminating, and dignified dialogue)
as the fourth most essential leadership skill.
• Superintendents in this study did not perceived professional learning communities,
fostering collaborative cycles of inquiry focused on student learning, as their top five
essential leadership skills for principals.
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Table 2 illustrates which of these five skill categories each superintendent values most
based on the frequency with which each was used. For example, the top five skills listed by
Superintendent G were “a spark, ability to connect with staff and community, and compassion”
and were classified under culture and climate (n = 3), “instructional leadership” which was
classified under instructional leadership (n = 1), and “organization” which was classified under
strategic management (n = 1).
The use of both quantitative data from the initial survey and qualitative data from the in-
person interviews were utilized to gain a better understanding of what superintendents perceived
as being the top five most desired leadership skills and what they focused on cultivating this past
academic school year.

Table 2
Superintendent Top Five Skills From the Medium District Superintendent Survey
Skill Communication Culture
and climate
Instructional
leadership
Strategic
management
PLC
N % N % N % n % n %
Overall (N = 25) 2 0.08 10 0.4 6 0.24 7 0.28 0 0.0
Sup. F (n = 5) 1 0.2 2 0.4 0 0.0 2 0.4 0 0.0
Sup. G (n = 5) 0 0.0 3 0.6 1 0.2 1 0.2 0 0.0
Sup. H (n = 5) 0 0.0 1 0.2 2 0.4 2 0.4 0 0.0
Sup. J (n = 5) 0 0.0 1 0.2 2 0.4 2 0.4 0 0.0
Sup. K (n = 5) 1 0.2 3 0.6 1 0.2 0 0.0 0 0.0

Note. N = 25 (n = 5 responses from each of the five medium sized district superintendents).
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Culture and Climate
The qualitative interview data analysis was consistent with the results from the
quantitative survey data which revealed that all participants identified the soft skills associated
with building the culture and climate of a school site as the most important skill school principals
need to master. All five participants (n = 5; 100%) talked about the importance of culture and
climate competencies in the interview as listed in Table 3. While 10 of the total 25 responses
(n = 10/25; 40%) on the online survey (a list of five skills for each of the five participants) listed
culture and climate competencies as one of their top five skills necessary for school leaders.
Culture and climate competencies consist of the “ability of a person to effectively interact, work,
and develop meaningful relationships with people of various cultural backgrounds” (Guzman et
al., 2016). The interview responses in Table 2 indicate that relationships matter most and are an
essential skill set that superintendents intentionally foster in the development of the leadership
capacity, confidence, and expertise of their principals. According to Achor (2018), “Great things
in business are never done by one person. They’re done by a team of people … No matter how
brilliant your mind or strategy, if you’re playing a solo game, you’ll always lose out to a team”
(p. 30). Principals are directly responsible for setting the tone on campus, greatly affecting the
climate and culture of a school site. School climate may be difficult for some school principals if
they do not possess the skills to effectively manage the expectations of the various stakeholders
(Shoho & Barnett, 2010).
Responses from all of the participants (n = 5; 100%) indicated that the soft skills required
in building an effective school climate and culture were a top priority. Two of the five
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participants (n = 2; 40%) shared that in their experience, principals who cannot effectively build
relationships with their stakeholders are often let go by the organization:
Superintendent H: “Honestly, I think the downfall of most principals that I’ve seen is not
being able to build relationships more than anything else.”
Superintendent K: “Generally, a principal that is not fit for the job is one who cannot
build effective professional relationships.”
Throughout the qualitative interview process with the five participants, there was a clear
and common theme that emerged, possessing the essential soft skills needed in building a
positive culture and climate based on trust, collaboration, inspiration and optimism was
perceived by the superintendent participants as being the most indispensable skill.

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Table 3
Superintendent Medium District Survey Responses on Culture and Climate Competencies
Participant Quote
Superintendent F “The first thing I would say is are you a good and kind human being?
That has to start there. Do you have the core belief that you treat
everyone well, even when they’re coming at you, and that your primary
goal is to change the lives of children through adults … I look hard at
the soft skills because I think they matter the most … start with that
core of you believe in all kids, you believe in teamwork, you believe in
high expectations.”
Superintendent G “We’ve got to hit the instruction, which is important too, but I think we
need to connect with people first.”
Superintendent H “Honestly, I think the downfall of most principals that I’ve seen is not
being able to build relationships more than anything else.”
Superintendent J “There are good managers and then there are good leaders and so my
challenge is identifying those managers and turning them into good
leaders … I want leadership skills. How do you teach someone about
being a student of learning? I don’t want to have to do that. I want them
to come in already understanding what a student of learning is, a
strategic thinker, an advocate for change. You know, these are
conceptual capacities that individuals possess at certain levels that
reflect effective leaders.”
Superintendent K “Generally, a principal that is not fit for the job is one who cannot build
effective professional relationships. Those who cannot build effective
professional relationships and have trouble with their work with
teachers or classified staff, [which] is where I have seen the greatest
degree of problem. Over time, a number of principals that demoted
back into the position of teacher or frankly left the district to do
something else, and almost all of them were because they could not
hold professional relationships in a way that allowed them to get to the
really important work of teaching and learning and building collective
efficacy in the building and working with a team that had important
work to do on behalf of students.”

Note. Responses from all five participants related to the importance of culture and climate
competencies in principals.

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Strategic Management
Although this common theme of culture and climate soft skill competencies were ranked
as the top skill amongst superintendents, strategic management of personnel resources was also
considered an essential skill according to participants. Strategic management of personnel and
resources are the skills needed to manage an intricate organization. These managerial skills
consist of but are not limited to knowledge in strategic thinking, resource allocation, developing
a safe school environment, maintaining budgets and resources, hiring and retaining personnel
(Grissom et al., 2021).
Responses from four out of the five participants (n = 4; 80%) on the online quantitative
survey indicated that managerial skills were one of the top five skills needed to successfully lead
a school. All five participants (n = 5; 100%) shared in their qualitative interviews the need to be
able to run a school, to balance time and resources effectively, build systems, and possess
effective problem-solving skills (Table 4). While seven of the total 25 responses (n = 7/25; 40%)
on the online survey (a list of five skills for each of the five participants) listed managerial
competencies as one of their top five skills necessary for school leaders. Superintendent J shared
that technical skills can be learned over time so that is why soft skills for this participant ranked
above it:
Superintendent J: “So I look hard at the soft skills because I think they matter the most.
Technical skill experiences you can build over time.”
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Table 4
Superintendent Medium District Survey Responses on Strategic Management of Personnel
Resources
Participant Quote
Superintendent
F
“You really only have two resources as a principal, you have time, and
you have money. … Do you say that reading matters and, if so, why is
only four thousand dollars of your budget going to reading? It’s not
aligned. So, you know, those two pieces matter a lot and they're the
only real tangible things that you have.”

“And then, a lot of it too is judgment. So, we’re all in situations
constantly. And do you use your judgment to work your way through a
problem or are you a reactive person?”

“I look hard at the soft skills because I think they matter the most.
Technical skill experience, you can build those as time goes.”
Superintendent G “We have to have a narrow focus on what we’re doing.”
Superintendent H “They need to be able to run a school. … they need to be able to balance,
to have the skillset to understand how to do the various functions of
being a principal.”
Superintendent J “In reality, there are good managers and then there are good leaders. And
so, my challenge is identifying those managers and turning them into
good leaders.”

“I look at the decision-making process. … So, what we look for are
principals that solve problems before they become problems.”
Superintendent K “I thought a lot about doing the best that I could do in the job that I was
in, building systems that would be there long after I was in any one job
… I believe in being really clear with expectations, and so one of the
ways that we have done that is instead of just having like general
performance expectations for principals, as deputy, I was part of
building our foundation of having a principal handbook that describes
the processes and protocols.”

Note. Responses from all five participants related to the importance of strategic management of
personnel resources competencies in principals.

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Instructional Leadership
According to Brezicha et al. (2014), effective principals provide their staff with
individualized support that addresses their followers’ needs and concerns while encouraging
them to reflect critically on their professional values and beliefs, increasing their staffs’
motivation while strengthening their collective cohesion. Principals must lead by example and
possess the skills that exemplify instructional leadership. According to Hattie (2012), principals
who engage in instructional leadership “have their major focus on creating a learning climate
free of disruption, a system of clear teaching objectives, and high teacher expectations for
teachers and students” (p. 83).
All five participants (n = 5; 100%) shared in their qualitative interviews the need to be a
lead learner, spending time in classrooms, and building teacher capacity (Table 5). Qualitative
responses indicated that four out of the five participants (n = 4; 80%) listed it as one of their top
five skills however collectively only six of the total 25 responses (n = 6/25; 24%) on the online
survey (a list of five skills for each of the five participants) included instructional leadership
skills as their top five, ranking it third but very closely behind strategic management skills as one
of their top five skill sets needed to successfully lead a school.

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Table 5
Superintendent Medium District Survey Responses on Instructional Leadership

Participant Quote
Superintendent
F
“I think your best opportunity to have a strong principal comes back to
first, were they a strong teacher? I think it’s hard because there’s a lot
of teaching work that they do, right? If you don’t understand how
people learn, especially adults, the job just got harder.”
Superintendent G “At least three times a year I go to every single site and my purpose is,
number one, to spend a lot of time with the principal, who is my closest
connection to the kids, right? Walking the classrooms and asking them,
‘What are you looking for? What are you working on? Am I seeing it?
Can I tell if this principal is in the classroom a lot?’”
Superintendent H “So, building capacity and leadership in others is to quote Michael Fullan
in like a push-pull. I think you have to have people generate ideas and
have them be part of the process, but you also have to give feedback
and you also have to give guidance as they’re going. And so, if you’re
only pushing or you’re only pulling, then you’re missing an opportunity
to kind of direct the movement.”
Superintendent J “I want leadership skills. How do you teach someone about being a
student of learning? I don’t want to have to do that. I want them to
come in already understanding what a student of learning is, a strategic
thinker, an advocate for change.”
Superintendent K “And so, I got my credential and actually went from a teacher to a
principal in one move. And so, it was good in a way because I loved
teaching and so I used a lot of my teaching skills in being a principal.
Coaching teachers but also teaching alongside teachers. … So, you have
to build relationships as an administrator. You have to show that you
know something about teaching that comes in different forms. You
might be building relationships around planning with a teacher … And
so, this year, when principal supervisors are in schools, a lot of their
focus is on time spent in classrooms alongside a principal and then
crafting that effective feedback that brings in issues of equity in the
classroom.”

Note. Responses from all five participants related to the importance of instructional leadership
competencies in principals.

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Communication
Clear and effective communication is the foundation of leadership as it allows school
leaders to articulate their vision and mission to their stakeholders (Bass, 1985; Drucker, 1999;
Gilley, 2005; Howkins, 2001). Interpersonal communication is the foundation upon which we
create and maintain relationships with others (Reed & Spicer, 2003). According to Morreale and
Pearson (2008), communication is a “key factor that influences how individuals are perceived
and the quality of their relationships with others” (p. 230).
Responses from two out of the five participants (n = 2; 40%) on the online quantitative
survey indicated that communication skills were one of their top five skills needed to
successfully lead a school. While only two of the total 25 responses (n = 2/25; 8%) on the online
survey (a list of five skills for each of the five participants) listed communication skills as one of
their top five skills necessary for school leaders. All participants included communication as an
essential skill especially when talking about their site goals, communicating to staff and
community, expectations, and having critical conversations Table 6).

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Table 6
Superintendent Medium District Survey Responses on Communication

Participant Quote
Superintendent F “The way that principals talk about their staff and the goals that they’re
working on and that there’s evidence. And when you say you're doing
that, when we go to the classroom, it’s visible, we can see it.”
Superintendent G “First graders like surprises, superintendents don’t. So, you know just
really laying out what we expect and again, coming back to what we are
about and that’s what you need to be at your site.”
Superintendent H “It’s about the feedback. It’s about the clear standards and it’s also about
not making it personal. Crucial conversations and crucial
confrontations.”
Superintendent J “So, each principal is given a presentation that has this outline, this
journey of alignment that they give their school sites and their parents
through their Back-to-School night and through parent meetings, but
also staff meetings at the school site. And then we use the power of
social media.” “I look for people … that think differently than us …
pushing back, challenging my thinking … being bold enough and
courageous enough to say, I’ll do whatever you ask me to do but I don’t
think that’s the right way to approach it.”
Superintendent K “Communication is kind of a wrap-around of a lot of things that we do,
and it is one of the principal domains in their evaluation document.”

Note. Responses from all five participants related to the importance of communication skill
competencies in principals.

Professional Learning Communities
According to DuFour (2004), PLCs consist of six core components which are student
learning and experiences, collaborative teams, collective inquiry, action orientation, continuous
improvement and results orientation. Effective PLCs are consistently occurring on a regular basis
and focus on student data that informs teaching. Common assessments are a key ingredient as
teachers collaborate on data collected from their mastery standard assessments. Creating lessons
with built in scaffolding ensures equitable outcomes for all students (Archie, 2022).
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None (n = 0) of the participants in the study included professional learning communities
as their top five skills on their online survey; however during the qualitative interviews all
participants (n = 5; 100%) touched on data conversations taking place within their district, a key
component of PLCs so this skill may not be viewed as a need if teachers on special assignment
(TOSAs), coaches, teacher leaders, or other school personnel are leading these data driven
collaboration meetings (see Table 7).

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Table 7
Superintendent Medium District Survey Responses on Facilitating Collaboration and
Professional Learning Communities
Participant Quote
Superintendent F “It’s hard to lead when you turn around and no one’s following you. So, I
look for things like, are people moving with you? … You can feel when
there’s a momentum, you can feel that there’s an energy to it … it’s the
way that we feel things and you’ve been in classrooms to know that
teachers have such a leverage with the kids and they’re with them
lockstep, in their routines, structures, all the things that they built.
Principals have very similar things when they walk. When they walk
into the room, do the teachers light up? Are they happy to see you? Do
they even know that you are there?”

“It starts with trust and then you work through conflict and then you get
commitment and accountability and at the end its results. So, you can’t
have conflict if you don’t have trust, for each one’s important to move
to the next step. So, we started with that frame … Whatever it is, CGI,
at the elementary level, balanced literacy, so forth, then you can get to
the idea of, I take personal accountability and team accountability, and
then the final thing is you have commitment toward results.”
Superintendent G “So, right now, we’re going through these full data chat cycles with each
leadership team specifically in regard to our subgroups and really
identifying the areas that need to be addressed and then putting in a
specific action plan. And so, there’s a whole cycle of work that’s now
cyclical every six to eight weeks that we do with our leadership teams.”
Superintendent H “It’s not just about evaluations but how are you working with your staff?
… And so, the staff actually has the opportunity to not just talk about
how things are for students but also talk about how things are for them.”

“Once somebody is kind of established as the principal, the thing that we
look for is what does the data say about their school? … We have
protocols, and we walk the principals through looking at their
qualitative survey data from their students, from parents and from staff,
and then make their action steps and their goals based on what they’re
hearing back.”
Superintendent J

“Schools that participated in improving science processes, they would
take the principals to these trainings to be lead learners and to be able to
train the staff’s grade level walkthroughs and then take in grade level
assessment data and then have conversations with their staff in order to
work on the improvement science process. What’s working? What’s not
working? Identifying the current grade level content standards, how
they’re going to measure them, provide time for teachers or grade level
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Participant Quote
teams to review the data and then make the necessary adjustments, send
them back and then implement, and then months later come back. And
so, principals were sent to trainees to facilitate that process.”
Superintendent K “We’ll have our first K–12 meeting of this year that they’re integrating
the domains and dimensions of the teaching and learning domains and
dimensions with effective practices, equity centered. And so, they’ll
bring these two things together there, we’ll be talking about teaching
tomorrow around time tracker and how do you create time and space for
instructional leadership?”

Note. Responses from all five participants related to the importance of professional learning
community competencies in principals.

Research Question 2 Findings
Following Every Student Succeeds Act (ESSA), all states are required to create plans that
focus on improving leadership development (Darling-Hammond et al., 2022). Despite these
plans, few principals reported having access to job-embedded research-based learning
opportunities, coaching, or mentoring. Although principals across the country report wanting
more professional development, many experience obstacles that prevent them from accessing
these learning opportunities. Principals who work in high-poverty schools with higher
concentrations of students of color report having the least access to these opportunities of
professional growth. Gümüş and Bellibaş (2020) found a positive correlation between principals’
participation in professional development and their leadership capacity.
In order to better understand principals’ access to capacity building opportunities within
their districts, RQ2 asked the following: “What programs, practices, and professional
development opportunities are provided by district leaders to principals?” Results from this study
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recognized common themes that answered RQ2, and I was able to identify three themes and one
sub-theme that answered RQ2:
1. Providing a coach to a principal was perceived by participants as being an essential
practice for capacity building.
2. Principal networking was provided by all participants’ districts.
3. Group professional development was provided by all participants’ districts. Book
clubs/studies are a frequent type of group professional development opportunity
provided by most participants.
Figure 2 illustrates that in all five participants’ districts (n = 5) coaching, mentoring,
principal networks inside the district, group professional development, conferences, and site
visits were accessible to principals. Four of the five participants’ (n = 4) districts provide
instructional rounds, workshops, and collaboration with other sites. Three of the five
participants’ (n = 3) districts provide individual professional development, book clubs, job
embedded training, and external training. Two of the five participants’ (n = 2) districts provide
peer observations and principal networks with other districts.

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Figure 2
Types of Programs, Practices, and/or Professional Development Opportunities Provided to
Principals in the Last Year for Medium Districts

The use of both quantitative data from the survey and qualitative data from the in-person
interviews were utilized to gain a better understanding of what superintendents perceived as
being the most effective of these opportunities on skill development in principals.
Table 8 illustrates that all participants valued coaching as 100% (n = 5) of the participants
indicated that principals had access to coaching/mentoring opportunities (see Figure 3). Of the
five participants, four of them (n = 4; 80%) strongly agreed that this was an essential capacity
building support for school leaders, with one participant (n = 1; 20%) indicating that they only
“agreed” that it was essential.

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Table 8
Responses to Questions 7 From the Medium District Superintendent Survey

Question scale Strongly
disagree
(1)
Disagree
(2)
Neither
agree nor
disagree
(3)
Agree
(4)
Strongly
agree
(5)
n % n % n % n % n %
7. Coaching/Mentoring
is essential to
building one’s
capacity. (N = 5)
0 0.0 0 0.0 0 0.0 1 0.2 4 0.8

Note. Responses from all five participants utilizing a 5-point Likert scale ranging from 1
(strongly disagree) to 5 (strongly agree) to measure all five participants (N = 5) opinion of the
importance of coaching/mentoring on building leadership capacity.

Coaching Opportunities
Coaching is seen as collaborative work between two professionals that fosters collective
efficacy by engaging an individual in personal growth through open ended questioning and
reflection (Lancia, 2020). Coaching was found to be an effective method of fostering a strong
growth mindset and building the performance skills of administrators, however only 23% of
elementary school leaders reported that their district provided coaching or mentor support (Baker
& An, 2019; Levin et al., 2020). In addition, coaching was found to be most effective when the
coach’s role was separate from the principal’s evaluator:
The coach-principal relationship needs to be cemented in trust to be successful. And to do
so, districts must ensure that principals know that there will be no ramifications for what
they discuss with their coaches because the coaches have no role in their evaluations.
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Regular meetings at the start of the program also help to forge trust, Sheppard said.
(Superville, 2021)
Table 9 supports the data in Figure 1, which showed that all five participants provide
their principals with a coach. Qualitative data from the interviews of all five participants further
explained why participants valued coaching and two of the five participants stressed the
importance of the coach not being the principal’s evaluator:
Superintendent F: “Someone outside of our system to talk through things with.”
Superintendent G: “they need support that’s not being evaluative that they can really just
ask questions and have honest answers without the fear that it’s going to be included in
my evaluation.”

Table 9
Superintendent Interview Responses on the types of Programs, Practices, and/or Professional
Development Opportunities Provided to Principals in the Last Year
Participant Quote
Superintendent F “We will be starting, are you curious about being an administrator series
… a learning series for all new administrators … it’s a PD group that
we’re building on people who are already principals and we’re
investing in the potential that they want another job; it’s a higher level
group … there have always been books that are running through this
system for the past several years and a really unique thing is that
whatever books they give leaders they offer to every single employee
… book clubs, every leader reads that book and we use it as a frame for
the work we’re trying to do that year. Board members are on
walkthroughs, key cabinet members are on walkthroughs … our middle
schools just went through a round of instructional rounds … elementary
principals meet every week … secondary principals meet every other
week … hire an external coach; someone outside of our system to talk
through things with.
Superintendent G “We have a leadership academy. We have 15 certificated and 15 classified
who apply. We do different books that we meet with monthly … we’re
going through these full data chat cycle with each leadership. We do a
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Participant Quote
lot of professional development through our leadership academy…we
meet with our principals monthly and we’ve been really focusing on
this work around opening doors. Our principals need a coach, they need
support that’s not being evaluative that they can really just ask
questions and have honest answers with the fear that it’s going to be
included in my evaluation.
Superintendent H “We have a master’s program with San Diego State University where our
own teachers get their masters in educational administration and its
taught by our administration and that way, we can see them, and they
can be doing their work in the context of the district … all of the
principals have principal coaches, and they have their evaluator. Peer
observations, so you would be part of going out and visiting other
principals. We have instructional rounds. They also have something
they call study groups, and they pick specific topics to work on. Happy
hours where they come in the afternoon and they consult, self-select to
come talk about topics. We’re doing the book study. We have a four-
part series lunch and learn.”
Superintendent J “We have the Spartan administrator academy that we have internally …
we have them participate in the book club conversations … provide an
executive coach.”
Superintendent K “We have what we now call our equity leadership talent development
pipeline. We have fourteen certificated programs that start with teacher
leaders and then take everyone through induction as a central office
administrator … Teacher leaders are getting cultivated by the district
office in a strategic way … Blended coaching is one of the fundamental
aspects of coaching … Having a curriculum that anticipates the next
role that someone will be in and having an opportunity. We have a
doctoral program … I brought the program in because I value doctoral
work, it advances personal careers, it opens up windows into all
different aspects of education and it’s also a way to cultivate effective
practitioners in a new community … working with the leadership
academy at New York right now doing some equity center leadership
development work with our principals … they have 4 to 6 hours a
month with their principal supervisor.”

Note. All five participants talked about their district’s programs, practices and/or professional
development opportunities that they each provided to their principals in the past year.
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Principal Networking
Principal networking was provided by all participants’ districts in the study. According to
the National Association of Secondary Principals (2022), leadership networks are collaborative
spaces where educational leaders come together to share their personal stories and current
educational initiatives to connect with other school leaders on both a personal and professional
level. A network is vital to the success of a school leader as it serves as a support system.
According to Intrator and Scribner (2008), collaborative networks are designed to support,
sustain, and provide ongoing support and helps support principals’ in staying focused as well as
provide continual professional development. All five (n = 5; 100%) participants stated on the
online survey that they provided inside district principal networking. They also talked about
these opportunities on an ongoing basis in their one-on-one interviews:
Superintendent F: “There’s opportunities for them to also just have practical
conversations about the work that they’re facing each and every day.”
Superintendent G: “We meet with our principals monthly and we’ve been really focusing
on this work around opening doors.”
Superintendent H: “You would be part of going out and visiting other principals”
Superintendent J: “We have our principal meetings.”
Superintendent K: “And then four times a year, we bring all of our principals together. …
they interact with principals across levels.”
Group Professional Development
Group professional development was provided by all participants’ districts in the study.
According to Darling-Hammond et al. (2017), high-quality professional development
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opportunities involve creating job-embedded professional learning spaces where colleagues can
share ideas and best practices. Participants in the study talked about the group professional
development opportunities currently occurring in their district:
Superintendent F: “It’s a PD group that we’re building on people who are already
principals and we’re investing in the potential that they want another job.”
Superintendent G: “We do a ton of development in-house.”
Superintendent H: “They pick specific topics to work on happy hours where they come in
the afternoon and they consult, self-select to come talk about topics.”
Superintendent J: “We’re using [consultants] to help our principals…And so building
their capacity to be reflective and collaborative leaders not only with their teachers, but with their
students and with the community.”
Superintendent K: “Working with the leadership academy at New York right now doing
some equity center leadership development work with our principals.”
Book Clubs
When elaborating on the details of inside district group professional development
opportunities, participants consistently referred to book clubs. Book clubs consist of a group of
people who meet regularly and have discussions focused on topics or assigned readings. They
are one of the easiest professional developments to implement and often are very impactful.
“Book clubs have the power to inspire both individual and institutional transformation” (Landry
et al., 2022). They shift the focus from top-down lectures and workshops to an active participant
discussion where group members apply their knowledge and connections to the book in order to
have a deeper understanding of the content (Porath, 2018). Research on the benefits of
participating in a book club include increased interest in reading, self-reflection, deeper
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connections with the group participants, and willingness to support needed changes in
educational practices. Four out of the five (n = 4, 80%) participants talked about book clubs as a
form of professional development:
Superintendent F: “A learning organization that reads... Seven hundred people took us up
on the book. … Book clubs, every leader reads that book, and we use it as a frame for the work
we’re trying to do that year.”
Superintendent G: “We’ve done a bunch of different books; we meet with them
monthly.”
Superintendent H: “We read books all the time. So, I am always reading a book and
sharing with them … right now we’re doing the book study.”
Superintendent J: “And so through the cover of a book we were able to have some pretty
vulnerable conversations.”
See Table 10.

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Table 10
Responses to Questions 7‒8 From the Medium District Superintendent Survey

Question scale Strongly
disagree
(1)
Disagree
(2)
Neither
agree nor
disagree
(3)
Agree
(4)
Strongly
agree
(5)
N % n % N % N % n %
8. The opportunities
provided for
principals in my
district effectively
build their
capacity to lead
schools. (N = 5)
0 0.0 0 0.0 0 0.0 2 0.4 3 0.6

Note. 60% (n = 3) of the participants “strongly agree” that the opportunities that their district
provides effectively supports capacity building in their administrators while 40% (n = 2) only
“agree,” indicating that two of the participants feel that more opportunities can be provided to
build the capacity of their district leaders.

Research Question 3 Findings
In order to better understand the expert participants’ perspective on what they perceive as
being the critical components of attracting, developing, and retaining administrators in their
district, RQ3 asked, “What do superintendents feel are components needed to encourage and
develop future administrators?” I was able to identify five themes that answered RQ3:
1. Being tapped is one of the strategies that participants utilize to build capacity and
confidence amongst aspiring administrators.
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2. Becoming an instructional coach, teacher on special assignment, and/or teacher leader
offered valuable opportunities for growth that were essential to becoming an
administrator.
3. Providing opportunities and experiences, outside of a potential candidate’s typical job
duties, is a critical capacity building component for future administrators.
4. Leadership academies provide professional development opportunities to support
current, potential, and future principals.
5. Superintendents utilize data as a baseline for evaluating skills and to inform their
district on creating systematic processes of skill development.
Table 11 lists all of the participant’s interview responses pertaining to what they perceive
as being the critical components needed to encourage and develop future administrators. There
were four themes that were discovered throughout the interview process. The first theme
involved “tapping” a potential candidate. All (n = 5; 100%) of the participants talked about
“tapping” as being one of the strategies that they utilize to build capacity and confidence
amongst aspiring administrators. Participants also shared their personal experiences of being
tapped throughout their career. In addition, (n = 4; 80%) the majority of the participants talked
about the position of instructional coach, teacher on special assignment, and/or teacher leader as
offering individuals valuable opportunities for growth that were essential to becoming an
administrator. Another valuable capacity building opportunity for aspiring administrators was
providing opportunities and experiences outside of a potential candidate’s typical job duties, as
reported by all participants (n = 5, 100%). Lastly, a fourth theme focused on the evaluation
component of a potential candidate’s abilities to inform a systematic process of skill
development.
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Table 11
Superintendent Medium District Superintendent Survey Interview Responses on Critical
Components Needed to Encourage and Develop Future Administrators
Participant Quote
Superintendent F “I look for investing in people. … systems need to be well
articulated…let me put you in moments where you probably don’t
belong. … I don’t change your behavior, your thought patterns in three
or four moments, I change them over a long period of time … I think
your best opportunity to have a strong principal comes back to first
were you a strong teacher … then organically chat them up, like do
you ever think about going into admin…have coffee with them. I see
some really good things that you’re doing, I think you should really
consider. It all starts with good teachers; if you can get some out of
classroom experiences, that’s great. And then building the systems that
allow us to invest on them through learning series … And it’s one of
our primary goals is whenever you’re ready for that next job, we’ve
done the work with you so that you’re ready. I think you owe that to
people who are giving you everything they have. And so I say, if you
give us everything you have, this is what you’ll get in return.”
Superintendent G “One thing I believe in strongly is the power of the tap. When someone
else sees something in you that you maybe didn’t see in yourself, all of
a sudden, you see your worth in a different way … So really getting to
know my staff and then knowing their strengths…I watch what
everybody is doing … every time I go to the person, I ask them to
apply for the job and it doesn’t mean you’re going to get the job, but I
think you’re special enough to do it and that has been super successful
…we talk about different pathways within our school district to try
and build your bench because that’s the most critical thing.”
Superintendent H “You have to be very thoughtful about diversity. Pay attention to who we
are hiring as teachers and even as subs … we need to make sure we
are tapping on people of color…We call it succession planning … we
want to make sure that multiple people are tapping them and we’re
keeping track … I think the biggest challenge in most districts is that
they don’t know their people; it’s very hard to build capacity if you
don’t know your people, especially the pipeline prior.”

“I do a thank you note thing where every cabinet member once a month
gives me a list of someone; could be classified, certificated; and then I
write them a thank you note that says so and so told me you were
doing that so then that person gets credit and then they’re happy that
they told me. Opportunities to demonstrate leadership and then
conversations about what are your next steps.”
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Participant Quote
Superintendent J “Providing opportunities and an environment for people to feel
vulnerable enough to ask questions or to learn and grow. Intentionally
put them in situations to see if they’re going to shine … the mindset is
the biggest obstacle to overcome and the ability to develop the
strategic foresight that we need as individuals is leaders who really
understand the change that needs to be made and if we’re operating
with our blinders on and just operating day to day then we’re not
planning for the future … It’s about the ability to adapt to a changing
environment and embrace it.”
Superintendent K “I believe in building internal capacity. We really develop our staff
internally…continual expansion of sphere of influence and leadership
responsibilities … finding ways to provide more experiences earlier in
their career. Teacher leaders are getting cultivated by the district office
in a strategic way and then also feeding into the equity leadership
talent development program. Having a curriculum that anticipates the
next role that someone will be in and having an opportunity. All the
blocks of our program that exposes participants to, aspects of the work
that they wouldn’t get exposed to in their day-to-day job; allowing
program participants to experience some stretch goals and stretch
projects … shift their thinking from the way they might think as a
classroom teacher or an assistant principal or their next role. … They
want quiet recognition, they want opportunities to grow … I do a lot
of personal note writing that is really just to say what good work folks
are up to; I use my twitter feed to really showcase the work.”

“Not getting too isolated in the way that we do it around here and it’s one
of the reasons why we’d like to have people from the outside. Making
sure there’s enough diversity of thought in groups.”

Note. All medium sized district participants interviewed shared their opinion on critical
components they feel are needed to encourage and develop future administrators.

Tapping
‘Tapping’ is the selection of an individual for a role, position, opportunity, or purpose
(The American Heritage Dictionary, 2005). Tichy (2014) recommended that organizations
carefully choose potential leaders at the right stage of their professional development and then
create a plan to cultivate and strengthen their skills. Being tapped is one of the strategies that
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participants utilized to build capacity and confidence amongst aspiring administrators.
Superintendent G, talked about how tapping builds a person’s self-efficacy:
Superintendent G: “One thing I believe in strongly is the power of the tap.”
Tapping Personal Experiences
Qualified teachers and administrators are vital to the success of a school district and with
over 80% of a district’s budget being spent on human capital, the focus should be on cultivating
the talent within the organization (Hanover Research, 2014). Participants’ responded to their own
personal experiences of being “tapped” at some point in their career. All participants (n = 5;
100%) were promoted to a leadership position by an individual in their organization:
Superintendent F: “and then she pushed me into the assistant superintendent of
educational services.”
Superintendent G: “I’ve gotten a call saying we believe that you should apply … we’d
like you to come and work for us.”
Superintendent H: “I got asked to be the coordinator … I was asked to go to the district.”
Superintendent J: “And so from there, more of the same thing happened because I was
from the community, people knew me, tapped me.”
Superintendent K: “I left the classroom at the encouragement of a couple of central office
people that just said, you know it seems like you have leadership skills … I was tapped.”
Instructional Leadership Positions
Throughout the qualitative interview process, there was a clear and common theme
centered around strong instructional leadership as a vital skill for both teachers and
administrators. Participants stressed the importance of a strong teacher who advances to the
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status of TOSA, coach, or lead teacher position that offered valuable opportunities for growth
and were essential to becoming an administrator:
Superintendent F shared, “The teacher on special assignment pipeline because they’re
great teachers, they know our practices.”
Superintendent G shared, “We have instructional coaches at every single site … it has
been a great pipeline for us … a whole number of our coaches have ended up as principals in the
last six years.”
Superintendent H shared, “We really have a trajectory that usually goes like this, teacher
on special assignment. … Then they go out as an AP … then to principal.”
Superintendent K shared, “Teacher leaders are getting cultivated by the district office in a
strategic way and then also feeding into the equity leadership talent development program.”
Opportunities and Experiences
The best means of preparing an individual for a new role is through hands-on
experiences. On the job training provides opportunities and experiences that are directly
transferable to a future position. Engaging people in activities that stretch their capabilities
enables them to build their capacity and feel more competent in a new role (Hanover Research,
2014). All of the participants in the study (n = 5; 100%) acknowledged the importance of
providing opportunities and experiences outside of a potential candidate’s typical job duties as a
critical capacity building component for future administrators:
Superintendent F: “I look for investing in people … systems need to be well articulated
and it’s one of our primary goals is whenever you’re ready for that next job, we’ve done the
work with you so that you’re ready. I think you owe that to people who are giving you
everything they have.”
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Superintendent G: “We talk about different pathways within our school district to try and
build your bench because that’s the most critical thing.”
Superintendent H: “Opportunities to demonstrate leadership and then conversations about
what are your next steps.”
Superintendent J: “Providing opportunities and an environment for people to feel
vulnerable enough to ask questions or to learn and grow. Intentionally put them in situations to
see if they’re going to shine.”
Superintendent K: “I believe in building internal capacity. We really develop our staff
internally.”
Leadership Academies
A leadership academy is a formal professional development program that is focused on
building knowledge, skills, specialized practices and increasing the leadership capacity of
administrators to lead schools (State Support Network, 2020). Leadership academies require
continuous opportunities for practice, feedback, and refinement, the content needs to be focused
on the professional standards for administrators, and customized to the participants needs. Its
purpose should be to induct new principals, identify future leaders, and create a network.
Leadership academies can be supported through a partnership with local institutions of higher
education, and other professional organizations (State Support Network, 2020).
All participants (n = 5; 100%) have some type of leadership academy that supports their
employees. Four (n = 4; 80%) out of the five participants talked about leadership academies
either beginning or well-established programs in their district that provided professional
development opportunities to support potential principal participants. Two out of the five
participants (n = 2; 40%) talked about the partnerships they had with local universities:
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Superintendent H: “We have a master’s program with San Diego State University where
our own teachers get their masters in educational administration and it’s taught by our
administration.”
Superintendent K: “We have a doctoral program. … It advances personal careers. It
opens up windows into all different aspects of education and it’s also a way to cultivate effective
practitioners in a new community.”
Skill Gaps and Growth
Skill gaps are the deficiencies in lack of skills when comparing an employee’s actual
performance to their optimal performance (Andriotis, 2017). The organization’s goal is to fill
these gaps by providing support that directly addresses the employee’s needs. Gathering data on
skill gaps is an important tool that can be utilized by organizations to inform their continuous
improvement programs that focus on capacity building. The right data is essential in improving
pipeline quality as it informs policy and practice as well as teacher program effectiveness and
ultimately student learning” (Data Quality Campaign, 2017).
Table 12 shows that only one (n = 1, 20%) of the five participants “strongly agreed” with
the statement that data is utilized on an annual basis to measure the areas of growth for each
principal and three of the five participants (n = 3, 60%) “agree”. One participant (n = 1, 20%)
“disagreed” with the statement indicating that data is not utilized to measure growth in
principals.

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Table 12
Responses to Questions 9‒10 from the Medium District Superintendent Survey

Question scale Strongly
disagree
(1)
Disagree
(2)
Neither agree
nor disagree
(3)
Agree
(4)
Strongly
agree
(5)
N % n % n % n % n %
9. Data is utilized on an
annual basis to
measure the areas of
growth for each
principal. (N = 5)
0 0.0 1 0.2 0 0.0 3 0.6 1 0.2
10. Data is utilized on an
annual basis to
measure the areas of
need for each
principal. (N = 5)
0 0.0 1 0.2 0 0.0 3 0.6 1 0.2

Note. Participants utilized a 5-point Likert type scale to determine if data was utilized to measure
a principal’s skill growth.

Similar results were reported by participants when asked if data was utilized on an annual
basis to measure the areas of need for each principal. One (n = 1, 20%) of the five participants
“strongly agreed” with the statement and three of the five participants (n = 3, 60%) “agree.” One
participant (n = 1, 20%) “disagreed” with the statement indicating that data is not utilized to
measure the areas of need for their principals.
Eighty percent of participants (n = 4) currently evaluate the areas of need and growth of
principals on an annual basis. Eighty percent (n = 4) of the participants shared how they
measured principal’s skills based on their evaluation models:
Superintendent F: “They build their evaluation not only on the expectations but on board
goals that have been planned for the year.”
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Superintendent H: “Our principals’ evaluations are aligned with our district goals.”
Superintendent J: “[We] use the Missiles Framework for school leaders. We had to
redesign the evaluation instrument based on the initial standards and part of the expectations of
principals.”
Superintendent K: “There’s a version of the rubric for principals to use with their
principal supervisor that defines the seven areas of practice that the research shows and we
believe this makes principals successful in the school.”
Comparative Data
This study was replicated in smaller sized districts in Southern California with average
daily attendance (ADA) averaging 22,500 students or less. The smaller districts served, in total,
approximately 70,857 students while the medium sized districts served over twice the size, with
ADA totaling 201,523. This study had an 83% (n = 10) overall response rate when taking the
survey and interview into consideration. Of the 10 participants, 80% (n = 8) were unified school
district superintendents, 10% (n = 1) were elementary school district superintendents, and 10%
(n = 1) were high school district superintendents.
Table 13 lists the demographic information for all 10 participants included in this section
of Chapter 4 There were 10 districts in total with participants who oversaw anywhere from five
to 84 principals. The number of students varied from 3,448 to 69,413 and were categorized as
attending small or medium schools, based on the number of students they served. Researcher 1
focused their study on the smaller of the 10 and Researcher 2 focused on the larger student
populations.

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Table 13
Participating District Demographic
District name No. of principals No. of students District size
District 1 5 3,448 Small
District 2 7 13,372 Small
District 3 24 15, 612 Small
District 4 28 16,209 Small
District 5 21 22,216 Small
District 6 28 22,761 Medium
District 7 35 24,954 Medium
District 8 66 40,124 Medium
District 9 54 44,271 Medium
District 10 84 69,413 Medium

Figure 3 represents the demographic data gathered from the survey for superintendent
ethnicity. Of the 10 participants half (50%, n = 5) identified as Caucasian, (40%, n = 4) as Latino
or Hispanic, and one (10%, n = 1) as African American.

Figure 3
Superintendent Ethnicity

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Figure 4 identifies the participants’ gender and age at the time of the study. Four
participants (40%) identified as female and the remaining six (60%) as male. A majority (70%, n
= 7) of the participants were aged 50‒59 with one participant (10%) being older at 60+ years of
age and two (20%) younger, from 40‒49 years of age.

Figure 4
Superintendent Gender and Age

Self-identified gender of participants Age of participants

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Table 14 shows the types of districts included in the study which were eight unified
school districts, one high school district, and one elementary school district. The survey was sent
to 12 superintendents, 11 of which completed the online questionnaire and consented to an
interview. Of the 11, 10 scheduled interviews and participated in the study to completion.

Table 14
Participants of Study
District type No. invited
to participate
No. participated
to completion
% participated
in study
Overall 12 10 0.833
Unified school district 9 8 0.80
Elementary district 1 1 0.10
High school district 2 1 0.10

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Research Question 1 Findings
The study’s RQ1 asked, “What specific skill sets do superintendents intentionally foster
to develop the leadership capacity, confidence, and expertise of their principals?” Question 5, on
the online survey, asked each participant to list the five skills they perceived principals needed.
The definition of a skill, according to Huse (2010), is the ability and capacity to carry out a
function as a result of acquiring information or training. Each participant listed the five skills
they perceived as being the most critical for a principalship. In total there were 50 responses
from the entire group. The co-researchers placed each of these 50 skills into one of five
categories: communication, culture and climate, instructional leadership, strategic management,
and professional learning communities. These five categories were derived from multiple
respected authors of research studies focused on leadership—most notably, two decades of
research conducted by Grissom et al. (2021) commissioned by the Wallace Foundation.
Question 5 on the online survey asked the participants to list “What are the top five skills
needed to be a principal.” Of the 10 participants in the study, all of them (n = 10, 100%) listed
culture and climate competency behaviors as at least one of the five skills they perceived were
essential skills that principals should possess. Three of the participants included two of their five
choices as culture and climate competency behaviors, three included three, and one participant’s
list of five desired skills all fell under the umbrella of culture and climate competency behaviors.
In total, 42% of the five skills listed by all 10 of the participants (n = 21/50, 42%) fell under the
definition of culture and climate. Both small and medium sized district participants agreed that
the most important skills were related to culture and climate. This claim was supported in
participant’s one on one interview as Question Number 3 asked: “In your survey you listed
_______ skills. In the past year, which skills did you focus on?” All 10 participants (n = 10,
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100%) responded with at least one or more culture and climate competency behaviors as one of
their five most essential skills for school leaders.
Instructional leadership scored slightly higher than strategic management as eight of the
10 participants (n = 8) included instructional leadership as at least one of their five skill choices
and seven of the 10 participants (n = 7) included at least one skill that fell under the strategic
management category. Collectively, 22% (n=11/50) of the participants’ five listed skills included
instructional leadership skills and 22% (n=11/50) of the participants’ five listed skills included
strategic management skills. When comparing small and medium sized districts side by side,
four out of five (n = 4; 80%) small sized district participants included at least one of their five
skills as instructional leadership while the same was true for medium sized districts (n = 4; 80%).
While three out of five (n = 3; 60%) small sized district participants included at least one of their
five skills as strategic management while medium sized districts’ rate for strategic management
was slightly higher at four out of five (n = 4; 80%). According to the data, instructional
leadership skills (n = 11; 22%) were listed more frequently amongst medium sized districts (n =
6; 12%) than amongst small sized districts (n = 5; 10%). This was also true for strategic
management skills as medium sized districts listed them more frequently (n = 7; 14%) than small
sized districts (n = 4; 8%).
Communication skills were favored more by smaller sized district participants than by
medium sized district participants as three of the five (n = 3; 60%) listed at least one of their five
skills under the communication umbrella in comparison with only two (n = 2; 40%) of the five
medium sized district participants including it in their list. Collectively, only 12% of the
participants’ top five skills included communication (n = 6/50; 12%). When comparing small and
medium sized districts side by side, 16% of small districts total of 25 listed skills were
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communication skills in comparison to only 8% by medium sized district participants. According
to the data, communication skills were listed twice as frequently amongst smaller sized districts
than by medium sized districts.
According to DuFour and Reeves (2016), genuine professional learning communities
must encompass five criteria: educators must work together, they must collaborate to develop
curriculum that supports all learners equitably, relevant assessments must be tied to the
curriculum, the results from these common assessments must inform teaching practices, and
opportunities that take place during the school day must be provided to struggling students. For
the purposes of this research study, the co-researchers utilized the criteria for categorizing a
participant’s response as a PLC if they included language that supported creating a space with
co-equal parties collaborating towards an alignment with a focus on learning for all students with
shared resources, responsibilities, and accountability (DeFour et al., 2004). Only one (n = 1,
10%) participant in this study, who came from the small sized district, listed “collaboration” as
one of their top five skills (n = 1/50; 2%). See Table 15.

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Table 15
Superintendent Top Five Skills from the Small District Superintendent Survey

Skill Communication Culture
and
climate
Instructional
leadership
Strategic
management
PLC
n % n % n % n % N %
Overall (N = 50) 6 0.12 21 0.42 11 0.22 11 0.22 1 0.02
Sup. A (N = 5) 1 0.2 1 0.2 2 0.4 1 0.2 0 0.0
Sup. B (N = 5) 0 0.0 5 1.0 0 0.0 0 0.0 0 0.0
Sup. C (N = 5) 2 0.4 1 0.2 1 0.2 0 0.0 1 0.2
Sup. D (N = 5) 1 0.2 2 0.4 1 0.2 1 0.2 0 0.0
Sup. E (N = 5) 0 0.0 2 0.4 1 0.2 2 0.4 0 0.0
Sup. F (N = 5) 1 0.2 2 0.4 0 0.0 2 0.4 0 0.0
Sup. G (N = 5) 0 0.0 3 0.6 1 0.2 1 0.2 0 0.0
Sup. H (N = 5) 0 0.0 1 0.2 2 0.4 2 0.4 0 0.0
Sup. J (N = 5) 0 0.0 1 0.2 2 0.4 2 0.4 0 0.0
Sup. K (N = 5) 1 0.2 3 0.6 1 0.2 0 0.0 0 0.0

Research Question 2 Findings
The study’s second research question asked, “What programs, practices, and professional
development opportunities are provided by district leaders to principals?” According to Figure 5,
collectively (n = 10, 100%), all districts provide coaching, principal networks (inside district),
and group professional development. A close second were mentoring, site visits, and
collaboration with other sites (n = 9, 90%). The least amount of support provided was peer
observations (n = 3, 30%) and external training (n = 4, 40%). When comparing the 15 listed
opportunities by size of district, more medium sized districts provided external training,
workshops, conferences, and engaged in instructional rounds and peer observations.
Collaboration with other sites and mentoring were opportunities that were found more frequently
in the smaller sized districts.

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Figure 5
Types of Programs, Practices, and/or Professional Development Opportunities Provided to
Principals in the Last Year Small and Medium Districts

Table 16 provides a summary of the response rates for Survey Items 9 and 10. When
asked if data was utilized on an annual basis to measure the areas of growth for each principal,
70% of the respondents (n = 7) agree or strongly agree that this is a professional practice within
their district. As a whole, districts were less likely to utilize data on an annual basis to measure
the areas of need for each principal, with only half of the respondents (n = 5, 50%) agreeing or
strongly agreeing with this statement. Medium sized districts were more likely to use data on an
annual basis to measure areas of both growth and need with all but one participant indicating that
this is a common practice (n = 8, 80%).

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Table 16
Responses to Questions 9‒10 from the Small and Medium District Superintendent Survey

Question scale Strongly
disagree
(1)
Disagree
(2)
Neither
agree nor
disagree
(3)
Agree
(4)
Strongly
agree
(5)
n % N % N % n % n %
9. Data is utilized on an
annual basis to measure
the areas of growth for
each principal. (N = 5)
0 0.0 1 0.1 2 0.2 4 .4 3 0.3
10. Data is utilized on an
annual basis to measure
the areas of need for each
principal. (N = 5)
0 0.0 1 0.1 4 0.4 3 .3 2 0.2

Research Question 3 Findings
Research Question 3 asked, “What do superintendents feel are components needed to
encourage and develop future administrators?” Me and my dissertation partner gathered data
from an analysis of qualitative Interview Questions Number 12, which asked participants, “What
do you think are the critical components of a successful principal pipeline?” The themes that
emerged for both the small and medium sized districts were leadership academies/programs,
stretch opportunities, and tapping.
Smaller districts included initiative takers while medium sized districts included
instructional coaching and skill evaluation as components needed to encourage and develop
future administrators.
Summary
This chapter examined the formal and informal learning opportunities that
superintendents provide as a means to develop their school leaders and prepare them to make an
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impact on the student academic growth on their campuses. The emergent themes that were
identified answered the three research questions on building capacity. Data analysis from the
online quantitative survey as well as qualitative data from face-to-face interviews were also
presented. The results will provide insight into the perceptions and practices of current California
urban superintendents. The comparative analysis section of this chapter compared this study’s
findings to that of smaller districts. The intention of this research study is to provide an analysis
of the current best practices of capacity building provided by superintendents. Chapter 5 provides
a summary, limitations, implications, recommendations for future study, and the study’s
conclusion.

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Chapter Five: Summary
This chapter presents the findings from an analysis of the data collected using a
qualitative study design. This design was intended to examine superintendents’ perspectives on
effective capacity building that enhances the skills they find desirable in school principals.
Bolman and Deal’s (2017) human resources framework coupled with Easton’s (1953) political
systems framework will be used as the theoretical framework that guides this study.
This research study was designed and conducted by a team of two researchers. The team
disseminated and examined one quantitative survey as well as conducted one-on-one in person
interviews from a total of 10 participants to gather qualitative data collaboratively. The
qualitative and quantitative instruments utilized in this study were designed to align and answer
the study’s three research questions:
1. What specific skill sets do superintendents intentionally foster to develop the
leadership capacity, confidence, and expertise of their principals?
2. What programs, practices, and professional development opportunities are provided
by district leaders to principals?
3. What do superintendents feel are components needed to encourage and develop future
administrators?
This chapter presents a discussion of the findings for each research question and provides
a summary, limitations, implications, recommendations for future study, and the study’s
conclusion.

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Summary of Findings
The data analysis of this study produced five common themes on the top five skills
superintendents perceive as being the most vital to the principalship. First, building a positive
culture and climate by possessing the soft skills necessary to build effective professional
relationships was perceived as the most important skill. This supports the research that
relationship skills are vital in creating and maintaining a positive climate and culture of caring
and trust (Jacobson et al., 2007). In addition, principals who are effective culture and climate
builders retain their teachers at a higher rate than those that lack these skills (Brown & Wynn,
2007).
Next, collectively as a group both instructional leadership skills and strategic
management were equally important according to the participants in the study. When separated
by size however, the smaller district participants valued instructional leadership over strategic
management while medium sized districts valued strategic management over instructional
leadership, but this was only distinguished by one participant’s selection of their top 5 skills.
According to research, instructional leadership is the most essential skill for school
leaders. According to McCormick (2022), “Effective principals must often build a body of
knowledge that supports professional growth for themselves and their teachers” (p. 1). Principals
are expected to be the instructional leaders at their school sites and according to Hattie (2008),
instructional leaders make learning a priority and have high expectations for teachers and
students. However, schools need leaders who know how to create systems that protect
instructional and collaboration time, think strategically, effectively allocates resources, can hire
and retain good teachers, and are organized (Anderson et al., 2010; Bloom et al., 2015; Finnigan,
2012; Grissom, 2021; Grissom & Lobe, 2011; Horng et al., 2010; Lorton et al., 2013; Sebastian
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et al., 2018). Therefore, experts would agree that you cannot have one without the other.
Principals must possess both the skills to impact learning in the classroom as well as the skills to
manage making learning a priority. “The number one reason that strategic efforts don’t succeed
is flawed execution” (McLaurin, 2021).
Ranked third on the list of five categories for essential leadership skills by the
participants in the study was communication. Although this skill ranked lower than the other
skills, according to participants, it is an essential skill that is utilized in supporting the work that
leaders do. Communication skills are critical in leadership as they are used to inform, motivate
and lead people on a daily basis (Friedman, 2011). Leaders spend 70%‒90% of their time
communicating with their teams (Luthra, 2015). Possessing good communication skills enables
leaders to effectively communicate their expectations, develop a better understanding, and
inspire others to follow (Barrett, 2006; Frese et al., 2003). As Barrett (2006) claimed, “Through
effective communication, leaders lead. Good communication skills enable, foster, and create the
understanding and trust necessary to encourage others to follow a leader” (p. 2).
The skill set that fosters and establishes strong, data-driven PLCs were not listed by any
of the participants in the study. According to Leithwood and Jantzi (2008), PLCs are closely
connected to other leadership qualities such as strong school culture and instructional leadership.
Lyman (2008) also associated strong PLCs with strategic management skills because they
require scheduling and budget expertise in order to thrive. This could be one explanation as to
why this study’s participants did not list this in their top five.

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Research Question 1 asked what skill sets do superintendents intentionally foster to
develop the leadership capacity, confidence, and expertise of their principals. Table 17 lists the
top skills that both medium sized districts and small sized districts collectively agree as their top
skills. Both medium and small sized districts listed culture and climate, instructional leadership,
communication and strategic management in their top five list. For both medium and small sized
districts, culture and climate skill set was ranked as their top skill collectively. Differences for
their remaining top 5 skills are displayed, ranked, and listed by importance. All but PLCs
(professional learning communities) were listed by both medium and small sized districts.

Table 17
Themes for Research Question 1

Research question Themes medium districts Themes small districts
RQ1: What specific skill sets
do superintendents
intentionally foster to
develop the leadership
capacity, confidence, and
expertise of their
principals?
Culture and climate
Strategic management
Instructional leadership
Communication
Professional learning
communities
Culture and climate
Instructional leadership
Communication
Strategic management

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The data analysis of this study produced three common themes on the programs,
practices, and professional development opportunities provided by district leaders to principals.
According to the qualitative data from the survey response by all ten superintendent participants,
coaching, inside principal networking, and group professional development were opportunities
that all of the participants (n = 10; 100%) currently offered. Qualitative data from the in-person
interviews support this data.
Table 18 lists the themes that were discovered as the participants were each asked, “What
programs, practices, and professional development opportunities are provided by district leaders
to principals? Both medium and small sized districts listed coaching and mentoring, principal
networking and collaboration, and professional development as their top three opportunities that
were provided to their principals to support capacity building.

Table 18
Themes for Research Question 2

Research question Themes medium districts Themes small districts
RQ2: What programs, practices,
and professional development
opportunities are provided by
district leaders to principals?
Coaching/mentoring
Principal networking
Group PD
Coaching/mentoring
Principal
networking/collaboration
Professional development
(PD)

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Superintendent E: “And the thought behind that was that, you know, if Tiger Woods can
have a golf coach, if Pete Sampras can have a tennis coach, then why shouldn’t the principal be
able to have a thought partner and an independent coach as well?”
Coaching/mentoring was one means of professional development opportunities provided
by all district participants (n = 10; 100%). It supports the research which finds coaching to be an
effective method of fostering a strong growth mindset and building the performance skills of
administrators (Baker & An, 2019; Levin et al., 2020). However, coaching was found to be most
effective when the coach’s role was separate from the principal’s evaluator (Superville, 2021).
All medium sized districts made the distinction between the evaluator and the coach, in fact none
of the participants in the medium sized districts were the evaluator of their principals. This was
not the case for most of the participants in the small sized districts (n=3, 60%), in fact the
smallest ones with a total ADA of less than 16,000 reported:
Superintendent A: “So I do evaluations of the principal. I just don’t give feedback. I give
you a written evaluation.”
Superintendent B: “So the first thing I did was make sure that I’m evaluating every one of
our principals.”
Superintendent C: “Unfortunately, in a smaller district, you don’t often have a set
coaching position. And for me, a lot of times I have a dual role, you know, a coach evaluator.”
Principal networking/collaboration was one means of professional development
opportunities provided by all district participants (n = 10; 100%). It supports the research that
recognizes the importance of networking as a vital system of support that contributes to the
success of a school leader. Principal networking and collaboration supports, sustains, and
provides ongoing support and continual professional development to everyone involved (Intrator
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& Scribner, 2008). Some participants shared their thoughts on the value that they placed on
supportive peer to peer Principal Networking/Collaboration opportunities:
Superintendent E: “We worked really hard to make all of our principals’ meetings
meaningful and engaging, meaning that there is an instructional piece, there is a leadership piece
and there’s lots of collaboration opportunities built in to sit down and talk with their colleagues.”
Superintendent F: “There’s opportunities for them to also just have practical
conversations about the work that they’re facing each and every day. So that’s problem solving
the things that you’re bothered about.”
Group Professional Development opportunities were provided by all district participants
(n = 10; 100%). Learning opportunities in which colleagues meet together, during the day, to
share best practices and provide feedback is essential in building capacity (Darling-Hammond et
al., 2017). All participants acknowledged the importance of building capacity internally, so many
utilize their own district employees to provide group professional development.
The data analysis of this study produced three common themes amongst both medium
and small sized district participants. First, tapping is one of the strategies that participants utilize
to build capacity and confidence amongst aspiring administrators. This theme was confirmed by
research that recommends that organizations carefully choose potential leaders at the right stage
of their professional development and then create a plan to cultivate and strengthen their skills
(Tichy, 2014). A common sub theme amongst all of the medium sized participants was that
100% (n = 5) of them had mentioned being “tapped” throughout their career, while only three (n
= 3, 60%) of the small district participants shared their personal experiences of being “tapped” in
the interview.
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Second, stretch opportunities that provide experiences outside of a potential candidate’s
typical job duties, is a critical capacity building component for future administrators as reported
by all participants (n = 10, 100%). This theme was confirmed by research that states that the best
means of preparing an individual for a new role is through hands-on, on the job training that are
directly transferable to a new position. Hanover Research (2014) confirmed that people feel more
confident in a new role when they have had prior experiences engaging in activities that stretch
their capabilities.
Lastly, leadership academies provide professional development opportunities to support
current, potential, and future principals according to all 10 participants in the study (n = 10,
100%). This theme was confirmed by supporting research that recognizes its purpose in
inducting new principals, identifying future leaders, and creating networks (State Support
Network, 2020). Leadership academies provide formal professional development focused on
building knowledge, skills, specialized practices and increasing the leadership capacity of
administrators to lead schools.
Table 19 lists the responses of the study’s participants to the question, “What do
superintendents feel are components needed to encourage and develop future administrators?”
Both medium and small sized districts perceive tapping and stretch opportunities as critical
components in district administrator capacity building programs. Instructional coaches and
teachers on special assignment both support the instructional rigor of teachers and were both
listed by medium and small sized districts as essential components in administrative pipelines. In
most districts, superintendent participants talked about the coaching or TOSA position being a
prerequisite to an administrative position.
104

Table 19
Themes for Research Question 3

Research question Themes medium districts Themes small districts
RQ3: What do superintendents
feel are components needed to
encourage and develop future
administrators?
Tapping
Instructional coach
Stretch opportunities
Leadership academies
Skill evaluation
Administrative programs
Stretch opportunities
Tapping
TOSAs

Note. All 10 participants in the study listed components needed to build leadership capacity in
future administrators.

Limitations
The data collection design of this study was limited to the top five skills that research
suggests effective principals should possess; however other research suggests additional skills
that this study did not include. A second limitation was that the participants in the study were
chosen based on their geographic location and therefore this study is not generalizable. A third
limitation was that all interviewed and surveyed superintendents were in California. The findings
of the study may not be applicable to building leadership capacity, confidence, and expertise of
principals in other areas of the country. A fourth limitation is that this study occurred over a short
period of time due to time restraints on data collection. Lastly, the validity of this study was
dependent upon the reliability of the survey instruments and the qualitative nature of this study
opens itself to potential researcher bias.
Implications
This study contributes to the body of literature on building leadership capacity with
regard to the development of new and aspiring principals. The findings in this study did not point
105

to one particular skill, professional development opportunity, or component that was more
effective than the other on building leadership capacity. Rather, both the qualitative and
quantitative data from ten superintendent participants reveal multiple overlapping skills,
opportunities, and components each dependent on the other in order to effectively prepare
candidates for leadership positions.
District administrators could utilize the information in this study along with the
conceptual framework that was utilized to take a closer look at potential candidates when
matching skills to a specific school site. The conceptual framework utilized in this study
modifies Easton’s political systems framework by combining the stresses, demands, and supports
and categorizing them collectively as inputs. The inputs in this case are the expectations of all of
the various stakeholders for each school site (students, families, teachers, support staff,
community, etc.). Their expectations, needs, wants and demands are the stresses that influence
the type of leader each school requires in order to run effectively. For example, responses from
all of the participants (n = 5; 100%) indicated that soft skills were a top priority and two of the
five participants (n = 10; 40%) shared that in their experience, principals who cannot effectively
build relationships with their stakeholders are often let go by the organization. The human
resource frame utilized in the conceptual framework focuses on “fit” of an organization, more
specifically, finding and retaining employees with the skills and attitudes to do the work
(Bolman & Deal, 2017). According to Bolman and Deal (2017), “Interpersonal skills and
emotional intelligence are vital because personal relationships are a central element of daily life”
(p. 166). The downfall of many important initiatives in education fail because people are unable
to navigate the social challenges of change. School district leaders may find this framework
106

valuable when discussing the desired characteristics and skills to effectively meet the needs of all
of the stakeholders for each specific school site prior to hiring.
Future Research
This study explored the programs, practices, and professional development opportunities
that superintendents’ provided administrators in order to build the leadership skills they
perceived as the most essential to lead their schools.
Recommendations for future research include the following:
1. Replicate the study to include a larger number of superintendents from different states
in the United States over a longer period of time.
2. Explore the selection process of participants to include district leaders who oversee
the evaluation of principals.
3. Include data from the district’s principals’ evaluations over a period of time,
demonstrating significant growth and include the programs, practices, and
professional development opportunities that were provided to these individuals.
4. Include principals’ perspectives on which programs, practices, and professional
development opportunities were most effective.
Conclusion
As the demands from stakeholders increase on their expectations of school leaders,
districts are tasked with hiring teachers who may potentially become future school
administrators. This requires districts to be strategic in the way that they hire, train, retain, and
build the capacity of each individual in the organization to best serve the needs of their diverse
student populations. In addition, it will require districts to examine their current hiring practices
to identify strategies to advance equitable policies and practices to better reflect the diversity of
107

the students that they serve. School leadership matters but the selection and cultivation of leaders
begins early in a potential candidate’s career.
This study added to the existing body of research that focuses on leadership capacity
building. The findings from this study of ten superintendents from small and medium sized
districts provides superintendents with insight on essential leadership skills and the opportunities
that districts provide in building their skillset. This study provides a framework to guide
superintendents in the selection process of principals, effectively matching their skill sets with
the expectations of the stakeholders and the needs of the students, teachers, and community they
serve. This study also serves to inform teacher preparation and administration certification
programs on the skills that they need to focus on enhancing to prepare their candidates for future
employment. Lastly, this study serves to inform prospective administrators seeking
principalships, on the skills that distinct superintendents are currently seeking from potential
candidates.

108

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Appendix A: Superintendent Pre-survey
This is a confidential message, intended solely for the person to whom it is addressed. If
you receive this message in error, please forward it to the correct person, or email it back to me.
Thank you.
Dear (superintendent’s name),
Thank you for your commitment to participate. I am requesting that you please take a few
minutes and fill out this google form survey. As part of my doctoral dissertation process, I am
conducting a study on how a superintendent develops the leadership capacity, confidence, and
expertise of their principals. I am talking to multiple superintendents to learn more about this. All
information will be handled in a confidential manner. No information will be reported using your
name or in connection with your specific school district.
Informed Consent Form
I give my consent for my participation in the research project: “Building Leadership
Capacity From The Top: How superintendents empower principals to lead schools.” I understand
that the person responsible for this research project is Melissa Garcia, Doctoral Student, Rossier
School of Education, University of Southern California, available at (323) 240-5797.
1. Your participation will involve responding to a set of survey (10 minutes) and
interview (1 hour) questions:
2. There are no anticipated adverse risks from your participation.
3. There are no anticipated benefits from your participation.
4. Your participation is voluntary.
5. You may terminate your participate at any time.
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The risks are explained to you as follows: there are no anticipated risks with participation
in this study. It is further explained to you that the total duration of your participation in this
survey will not exceed ten (10) minutes; and that all data associated with this study will remain
in strictest confidence. By completing this survey, you are consenting to participate in this study.
Thank you for your participation.
Survey Items
Please select your response by checking the appropriate box(s) or writing on the lines
provided.
1. Superintendent Gender:
• Male
• Female
• Prefer to describe (please describe below)
• Prefer not to say
2. Superintendent Age:
• 30 – 39
• 40 – 49
• 50 – 59
• 60+
3. Superintendent Ethnicity
• Caucasian
• African American
• Latino or Hispanic
• Native American
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• Native Hawaiian or Pacific Islander
• Prefer not to say
4. Past experiences (check all that apply)
School Site positions:
• elementary school teacher
• middle School teacher
• high School teacher
• counselor (any level)
• college/university instructor
• teacher on Special Assignment (TOSA)
• Other ___________________
School site administrator positions:
• elementary school assistant principal
• middle school assistant principal
• high school assistant principal
• elementary principal
• middle school principal
• high school principal
• dean of students
District level positions:
• coordinator
• specialist
• director of curriculum and instruction
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• director of research and planning
• director of human resources
• director of student support services
• director: Other ___________________
• assistant superintendent of curriculum and instruction
• assistant superintendent of human resources
• assistant superintendent of business/ chief business officer (CBO)
• assistant superintendent: other _________________
• deputy superintendent
• local district superintendent
• chief of staff
• other: ___________________
• other than education
• please specify: _____________________
5. What do you believe are the top 5 skills needed to be a principal?
6. What types of programs, practices, and/or professional development opportunities
have you provided to your principals in the last year? (Check all that apply):
• coaching
• mentoring
• peer observations
• instructional rounds
• site visits
• principal networks (inside district)
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• principal networks (with other districts)
• group professional development
• individual professional development
• conferences
• workshops
• book clubs
• collaboration with other sites
• job embedded training
• external training
• other: _______________
To what extent do you agree or disagree with each of the following statements? Please
select one answer per row by circling the appropriate number: 1 (strongly disagree) to 5
(strongly agree).
7. The principal evaluation process identifies the skills a principal needs to improve.
8. If a principal has a skill they need to improve, the district has a plan to support that
principal.
9. Coaching/mentoring is essential to building one’s capacity.
10. The opportunities provided for principals in my district effectively build their
capacity to lead schools.
11. Data is utilized on an annual basis to measure the areas of growth for each principal.
12. Data is utilized on an annual basis to measure the areas of need for each principal.
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Closing
If you have any questions or concerns regarding your participation in this study, you may
contact me at mgarcia2@usc.edu. Thank you for your time and contribution to this study.

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Appendix B: Superintendent Interview Protocol
Thank you for agreeing to participate in my study. I appreciate the time you have set
aside to meet with me and answer my questions. As I mentioned in my email, the interview
should take about an hour, does that still work for you?
Before we begin, I would like to review with you this study, the overview which I
provided in the Study Information Sheet and answer any questions you might have about your
participation in this interview. I am a student at USC and conducting a study on how a
superintendent develops the leadership capacity, confidence, and expertise of their principals. I
am talking to multiple superintendents to learn more about this.
I want to assure you that I am here as a researcher. What this means is that my questions
are not evaluative. I will not be making judgements of your performance. My goal is to
understand your perspective.
As stated in the Study Information Sheet I provided you previously, this interview is
confidential. This means that your name will not be shared with anyone outside of the research
team. No information will be reported using your name or in connection with your specific
school district. The data for this study will be compiled into a report and while I do plan on using
some of what you say as direct quotes, none of this data will be directly attributed to you. I will
use a pseudonym to protect your anonymity and will try my best to de-identify any of the data I
gather from you. I am happy to provide you with a copy of my final paper if you are interested.
As stated in the Study Information Sheet, I will keep the data in a password protected
computer and all data will be destroyed after 3 years.
Do you have any questions about anything I just said or about the study in general before
we get started? I will be recording our interview so that I can accurately capture what you share
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with me. The recording is solely for my purposes to best capture your perspectives and will not
be shared with anyone outside the research team. May I have your permission to record this
interview?
Setting the stage:
1. Please tell me about your path to become a superintendent.
• How did you become interested in the field of education?
• What roles or positions have you held?
• How long have you held your different roles until this point?
Which role do you perceive as being the most demanding? What skills did you need to
refine or develop in order to be successful in this new position?
Heart of the interview:
Thank you. I’d like to ask you about your leadership philosophy.
1. Tell me about your personal philosophy/belief about leadership capacity building.
2. In your survey you listed ____________ skills. In the past year which skills did you
focus on?
3. How was this determined?
Thank you. I’d like to continue by asking about building strong leadership in your
district.
4. What steps do you take to communicate your expectations to principals?
5. After having hired a principal, what do you look for in evaluating where they are at in
terms of their leadership ability? And then potential?
6. How do you know the difference between a principal that “is not there yet” vs a
principal that is “not a good fit”?
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7. Think about a time, if any, when you witnessed more than average growth in an
administrator. What actions did you take to contribute to that growth?
8. What specific actions do you take to develop the capacity of principals to become the
leaders that you want for your schools?
9. What specific actions do you take to develop assistant principals, coaches, and
teacher leaders to become future principals?
Thank you. I’d like to continue by asking about professional learning opportunities.
10. What do you look for when evaluating a “good” program or training for your district
administrators?
11. In your survey response you mentioned ________________ professional learning
opportunities related to leadership capacity building?
• When did this occur?
• How often?
• Who participated?
• How did you hear about this professional learning opportunity?
• What were some of the reasons you chose this professional development?
12. What do you think are the critical components of a successful principal pipeline?
13. What do you think are some of the challenges of providing capacity building
opportunities for school leaders in your organization?
14. What changes if any do you feel should be implemented in your organization in order
to focus more on leadership capacity building?
Thank you. I would like to conclude this interview with two scenarios. Please address the
following utilizing your leadership capacity building philosophy.
142

15. Scenario 1: Principal A of X High School, consistently demonstrates his commitment
to continuous improvement, takes initiative, and is an indispensable member of his
school team. What actions would you take to continue to develop his leadership skills
to lead his school effectively?
16. Scenario 2: Principal B of Y High School is disorganized, highly impulsive, and
never on time. He is disorganized because he will never say no to doing good, and
there is too much good to be done. He is impulsive because he needs to act swiftly
and seize opportunities that might otherwise pass him by. When he’s not on time, it’s
probably because he is doing a home visit for a student who has missed too many
days of school. As much as he cares about education, he cares about lives more. What
actions would you take to continue to develop his leadership skills to lead his school
effectively?
Closing question:
I want to ensure that I understand your experiences and expertise on the development of
current and future leaders and their capacity to lead successfully at their school sites. I would like
to provide you with an opportunity to share anything you feel is important about building
leadership capacity internally that I have not asked.

Abstract (if available)

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Asset Metadata

Creator Garcia, Melissa Marie (author)

Core Title Building leadership capacity from the top: how superintendents empower principals to lead schools

School Rossier School of Education

Degree Doctor of Education

Degree Program Educational Leadership

Degree Conferral Date 2023-05

Publication Date 05/31/2023

Defense Date 03/27/2023

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

Tag building capacity,leadership,OAI-PMH Harvest,principal pipelines,principals,superintendents

Format theses (aat)

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Franklin, Gregory (committee chair), Hinman, Charles (committee member), Kishimoto, Christina (committee member)

Creator Email kmsgarcia55@gmail.com,mgarcia2@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-oUC113141751

Unique identifier UC113141751

Identifier etd-GarciaMeli-11905.pdf (filename)

Legacy Identifier etd-GarciaMeli-11905

Document Type Dissertation

Format theses (aat)

Rights Garcia, Melissa Marie

Internet Media Type application/pdf

Type texts

Source 20230601-usctheses-batch-1050 (batch), University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

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