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Building leadership capacity: Practices for preparing the next generation of Catholic school principals

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Content 145

Building Leadership Capacity:
Practices for Preparing the Next Generation of Catholic School Principals
by
Lauren Roberts Casella

A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

August 2018

Copyright 2018 Lauren Roberts Casella

2
Acknowledgements

Thank you to my professional colleagues and role models for their support. First,
thank you to my dissertation committee chairperson, Dr. Kathy Stowe who inspired me to
research the topic of leadership capacity building and for providing the guidance I needed to
complete this work. To my mentor, Dr. Irene Oliver who launched me into my teaching
career and who encouraged me to embark upon this Ed.D program. To Dr. Escalante and Dr.
Malloy, who provided valuable perspectives on organizational leadership practices and
research methods. To my dissertation group members, Brenda, Dan, Kristine, and RJ who
motivated me throughout the dissertation writing process. And to the late Dr. Tony Sabatino
who shared with me his passion and expertise on Catholic school succession planning and
Catholic school principal leadership when I needed it most. I am honored to build upon his
legacy in pursuit of excellence in Catholic education.
Thank you to my family who believed in me and supported me through my Ed.D.
program. To my husband Matt who provided me with endless hours of emotional support
and intellectual conversation in support of my dissertation and Ed.D. program. Thank you,
Matt, for caring for me and our children, Connor, Maren, Gavin, and Emily. Thank you to
my parents, Mike and Maureen, who wholehearted supported this educational endeavor and
who have provided me with a lifetime of exceptional educational opportunities. Thank you to
my sisters, Lindsey and Michelle, who believed in me and encouraged me during these four
years of study. Thank you to my Grandmother Mary Fenton Long, a veteran Catholic
schoolteacher and my spiritual role model. Thank you to my friend Kelly who helped me
build my strength and find my center. Thank you, dear friends, who encouraged me along the
way. I am grateful for this opportunity support the vibrant future of Catholic education.

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Table of Contents

List of Tables ...........................................................................................................6
List of Figures ..........................................................................................................7
Abstract ....................................................................................................................8
Chapter One: Introduction .......................................................................................9
Background of the Problem .......................................................................12
Statement of the Problem ...........................................................................14
Purpose of the Study ..................................................................................16
Research Questions ....................................................................................16
Significance of the Study ...........................................................................17
Limitations, Delimitations, & Assumptions ..............................................18
Glossary of Terms ......................................................................................19
Organization of the Study ..........................................................................19
Chapter Two: Literature Review ...........................................................................21
Defining the Complex Role of Principal ...................................................22
Succession Management ............................................................................27
Succession Management Practices ............................................................35
Succession Management Challenges .........................................................46
Transformational Leadership Theory ........................................................48
Summary ....................................................................................................50
Chapter Three: Methodology .................................................................................52
Research Questions ....................................................................................53
Research Design .........................................................................................53
Sample and Population ..............................................................................54
Overview of the Organization ....................................................................55
Overview of the Participants ......................................................................57
Theoretical Framework ..............................................................................58
Conceptual Framework ..............................................................................59
Data Collection Approach ..........................................................................61
Instrumentation ..........................................................................................63
Data Analysis .............................................................................................63
Ethical Consideration .................................................................................65
Chapter Four: Findings ..........................................................................................66
Overview of Organization ..........................................................................66
Overview of Program ................................................................................68
Overview of Participants ............................................................................70
Findings .....................................................................................................72
Discussion of Research Question One .......................................................94
Research 2 ..................................................................................................96
Discussion of Research Question Two ....................................................102
Summary .................................................................................................104
Chapter Five: Summary and Discussion ..............................................................106
Purpose of the Study ................................................................................108
Research Questions ..................................................................................108
Summary of Findings ...............................................................................108

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Implications for Practice and Policy ........................................................113
Recommendations for Future Studies ......................................................116
References ............................................................................................................119
Appendix A. Participant Recruitment Letter .......................................................138
Appendix B. Administrator Interview Questions ................................................139
Appendix C. Teacher Interview Questions ..........................................................141
Appendix D. Observation Protocol ......................................................................143
Appendix E. Resident Principal Weekly Reflection Journal Format ..................145

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List of Tables

Table 1. Summary of Data Collection Used in the Study ......................................62
Table 2. Participant Description ............................................................................71

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List of Figures

Figure 1. Conceptual Framework, Ed.D Thematic Group 2016 ..........................60
Figure 2. Creswell’s (2014) Model for Qualitative Data Analysis ........................64

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Abstract

This study examined the promising practices employed by the West Coast Diocese that were
perceived to build the leadership capacity of future Catholic school principals. Additionally,
this study sought to ascertain the challenges to building leadership capacity in the principal
residency program. One diocesan program, the principal residency program, served as the
case study for this research. Semi structured interviews, observations, and document analysis
were conducted to explore diocesan leadership capacity building practices. The analysis of
the data suggest that the principal residency program build leadership capacity through its
program alignment with the diocesan mission and vision, the participants engagement in
authentic leadership experience and involvement in a professional learning community with
formal mentorship. Findings showed that navigating the roles and responsibilities of co-
principal model as well as navigating the relationship between pastoral and diocesan
leadership were perceived challenges for the principal residency program. The implications
of these findings for research and practice are discussed.
Keywords: Catholic school leadership, leadership capacity building, succession management

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CHAPTER ONE: INTRODUCTION
Effective school leadership is as an essential ingredient behind students’ academic
success (Marzano, Waters, & McNulty, 2005). Research confirms that student achievement
is directly impacted by leadership practices (Hitt &Tucker, 2016; Supovitz, Sirinides, & May,
2010), and leadership is the second most important contributing factor to student learning and
achievement (Ash, Hodge, & Connell, 2013; Leithwood, Louis, Anderson, & Wahlstrom,
2004). As an example of the power of effective leadership, a study found that increasing
leadership effectiveness by one standard deviation could lead to a 10-percentile point gain in
student achievement (Waters, Marzano, & McNulty, 2003). As the primary leaders in
schools, principals are one of the main drivers behind the academic success of their students.
The work of the school principal is vitally important to student learning and academic
achievement (Waters, Marzano, & McNulty, 2005).
Taking into account the influential impact that principals have on student
achievement, there is a vacancy of principal positions and a lack of successors ready to fill
vacant positions. Research pointed to a crisis in school leadership in the US (Hargreaves, A.,
& Fink, 2011; White, Fong, & Makkonen, 2010). While the Department of Labor and Statics
does not provide a specific number of school principals needed, it projects an employment
growth of six percent for elementary and secondary principals from 2014 to 2024 (Bureau of
Labor Statistics, 2017). In addition to this projected employment growth data, Hargreaves
and Fink (2010) pointed to a pending retirement bulge from baby boomers leaving principal
roles. And although there is not recent published data on pending principal vacancies, White
et al. (2010) projected that in California, the State will need approximately 5,000 new
administrators by the year 2018. In the private school sector, the National Association of

10
Independent Schools (NAIS) projected that 68% of United States independent school heads
plan to retire or change jobs by 2019 (NAIS, 2009). Specifically for the 6,525 Catholic
schools across the US (McDonald & Schultz, 2016), Fitzgerald and Sabatino (2014)
speculated that Catholic school administrative roles may become vacant due to the aging
population of its leaders; 50% of Catholic school administrators have been in their position
for 20 years or more. Literature confirms a need for future principals in both the public and
private school sectors (Fitzgerald & Sabatino, 2014; Hargreaves, A., & Fink, 2010; NAIS,
2009).
While the need for future leaders is increasing, the role of the principalship is
becoming more complex (Doyle & Locke, 2014). Under increasing accountability measures
such as the federal law of Every Student Succeeds Act (ESSA, 1995) and the state-by-state
adoption of Common Core State Standards, the principal role has become all encompassing.
Principals are required to manage instructional, political, managerial, and financial
responsibilities of a school (Goodwin, Cunningham, & Childress, 2003; Seashore-Louis,
Leithwood, Wahlstrom, & Anderson, 2010).
Given the importance of school leaders to student achievement, the strategic
development of future school leaders is gaining importance on a national level. The
reauthorization of the Elementary and Secondary Education Act (ESEA, 1965) entitled Every
Student Succeeds Act of 2015 (ESSA, 2015) has set aside approximately $2.3 billion per
year (2017–2020) to states in formula funding to improve the quality of teachers, principals,
or other school leaders. Under ESSA (2015), states can reserve sub-grants for systems and
structures designed to improve the principal pipeline, such as recruiting, retaining, and
training school leaders. The funding includes improving induction and mentoring for early-

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career principals (ESSA, 2015). School leader succession planning is gaining importance on
a national level.
While succession planning and leadership development is gaining national attention,
research shows that few schools properly plan for the succession of its leadership (Hargraves,
E., 2005) and most districts lack leadership succession planning models (Fink, 2011;
Fitzgerald & Sabatino, 2014). In the Catholic school system, national survey data showed
that over 50% of the superintendents, religious leaders, and board chairs report not having an
existing leadership succession plan in place (Fitzgerald & Sabatino, 2014).
With the absence of a succession plan in place, districts lack a pool of qualified
candidates ready to fill the principalship vacancies (Goodwin & Childress, 2003; Seashore-
Louis et al., 2010). In a study of the recruitment and retention of principals, Doyle and
Locke (2014) surveyed school district leaders who reported that principal candidates were
minimally qualified to fill vacant principal positions. Similarly, the National Association of
Secondary School Principals (NASSP) surveyed school districts that reported a shortage of
qualified principals at all K-12 levels of school (Patton, 2002). Overall, literature confirmed
a lack of qualified principal candidates to fill principal vacancies (Fink & Brayman, 2006;
Hargreaves, A., & Fink, 2010). In Catholic schools, results of a survey showed that one-half
of novice Catholic school principals report they are lacking in necessary theological training
or spiritual knowledge (Schuttloffel, 2003), which is a main component of the role of
Catholic school principal (Ciriello, 1996).
This study focuses on the ways in which districts and diocese construct strong
succession management systems that build teachers’ leadership capacity in order to become
the next generation of effective leaders.

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Background of the Problem

Catholic schools have a distinct mission and organizational structure upon which a
succession management system is built. The primary mission of Catholic education is rooted
in the teaching of the Gospel of Jesus Christ with the intention of forming Christian adults to
be witnesses to their faith. According to the National Congress Catholic Schools for the 21st
Century: Executive Summary, “Catholic schools are called to be exemplary models of
academic excellence and faith development” (Kealey, 1992, p. 21). This mission of Catholic
education is hosted and cultivated by individual Catholic schools that are each defined as a
centralized authority in accordance with Canon Law of the Roman Catholic Church (Vatican,
1983). Each Catholic school operates autonomously under pastoral leadership. The pastor
serves as the site-based leader and head decision maker of the parish school who also hires
the school principal. The Catholic school principal answers directly to the parish pastor and
serves the Catholic Church as the school’s spiritual, educational, and managerial leader
(Ciriello, 1996).
Because of the mission of Catholic education as a spiritual endeavor, the main role of
the Catholic school principal is to serve as the spiritual leader of the school in fulfillment of
the mission of Catholic education. In accordance with the principal serving as spiritual
leader, religious men and women (priests and nuns) held a majority of the principal positions
from the early 1800s to the 1950s and 1960s. In 1950, 90.1% of Catholic staff members
were sisters, brothers, priests, and deacons (McDonald & Schultz, 2016). These religious
Catholic school leaders, as members of the clergy and religious orders, were developed and
supported as spiritual leaders with ongoing spiritual counsel, faith formation through their
progression through seminary, and vocational training with continued spiritual development

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opportunities. Miller (2006) asserted that religious men and women were the backbone of
Catholic education ensuring that the Catholic Identity was sound and robust.
Currently, the pool of these Catholic school religious leaders is dwindling as the
number of religious and clergy are declining in vocation. Since the 1970s, after the Catholic
Church reform movement of Vatican II, membership in religious vocations dropped
dramatically (Miller, 2006). In the United States today, there are fewer than 75,000 of
religious members of whom more than 50% are over 70 years of age (Fitzgerald & Sabatino,
2014). The total number of nuns has fallen from roughly 180,000 in 1965 to about 50,000 in
2014 – a 72% drop in a 50-year time span (Center for Applied Research of the Apostolate,
2017). As a reflection of this decline in religious membership, the number of religious
leaders in Catholic schools has shifted to almost entirely laypersons, non-religious
individuals. Currently, 97% of full time administrators, faculty, and staff are laypersons
(McDonald & Schultz, 2016).
The shift in leadership demographic presents a succession management challenge in
Catholic schools. Due to the decline in religious order membership, an increasing number of
lay administrators are needed to fill principalship roles across the Catholic school systems
(McDonald & Schultz, 2016). As it pertains to succession management and spiritual training,
lay leaders, as instructional, managerial, and spiritual leaders of Catholic schools, are not a
part of the succession processes followed by members of the religious and diocesan
organizational models (Fitzgerald & Sabatino, 2014). Because of this, Sabatino &
Montejano (2012) asserted that a novice Catholic school educator may lack the specific skills
and responsibilities that pertain to leading a spiritual community. According to Schuttloffel

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(2003), one-half of novice Catholic school principals reported they are lacking in necessary
theological training or spiritual knowledge.
Given the unique role of a Catholic school principal as a spiritual, educational, and
managerial leader, a robust succession management plan is vital to the success of Catholic
education. Although succession plans are vital to filling principalship vacancies with
qualified candidates (Hargraves, D. H., 2010), many public and private schools and districts
lack strategic leadership and succession management to fill principal vacancies (Bierly &
Shy, 2013; Fitzgerald & Sabatino, 2016). In a nationwide survey of Catholic school
superintendents, religious leaders, and board chairs, more than half reported they do not have
an existing leadership succession plan in place (Fitzgerald & Sabatino, 2014).
Statement of the Problem
There is a nationwide shortage of qualified and effective principals ready to fill
principal vacancies (Bierly & Shy, 2013), which has direct implications on student
achievement (Hitt & Tucker, 2016). Literature points to an exodus of current principals due
to the retirement of the baby-boom generation leading to principal vacancies (Fink &
Brayman, 2006; Hargreaves, A., & Fink, 2010). Although there is not recently published
data on pending principal vacancies, White et al. (2010) projected that in California, the state
will need approximately 5,000 new administrators by the year 2018. In the private school
sector, the National Association of Independent Schools (NAIS) projected that 68% of
United States independent school heads plan to retire or change jobs by 2019 (NAIS, 2010).
Similarly, for the 6,525 Catholic schools across the US (McDonald & Schultz, 2016),
Fitzgerald and Sabatino (2014) speculated that Catholic school administrative roles may
become vacant due to the aging population of its leaders. In short, literature confirmed a

15
need for future principals in both the public and private school sectors (Fitzgerald & Sabatino,
2014; Hargreaves, A., & Fink, 2010; NAIS, 2009).
In addition to a pending retirement bulge, a high principal turnover rate is also a
contributor to the leadership problem (Béteille, Kalogrides, & Loeb, 2012). In the public
sector, researchers examined principal turnover rates in Miami Dade public schools and
found that principal turnover is frequent; 22% of principals leave their school each year
(Béteille et al., 2012). Likewise, in a study of Catholic school principals in a Midwestern
Catholic diocese, over a three-year period, approximately 31% of the principals in the
diocese left the principalship or moved to a principalship in a different school (Durow &
Brock, 2004). Furthermore, Catholic principal positions have been left vacant at the
beginning of the school year due to a lack of succession management. Schuttloffel (2003)
surveyed Catholic school superintendents of whom 50% reported that at least one of their
schools began the school year without a principal in place (p. 9). Research asserted that a
high principal turnover rate as well as principal vacancy is detrimental to school performance
(Béteille et al., 2012), negatively impacts academic initiatives (Fink and Brayman, 2006),
and can be problematic to schools during turbulent times (Hargreaves, A., & Goodson, 2006).
Given the importance of effective leadership in schools, what remains to be known is
how Catholic schools can build leadership capacity of the laity in order to fill principal
vacancies with prepared candidates. The recruitment and development of faculty and lay
leadership is one of the most important factors for the successful future of a Catholic school
(Heft, 2011). Despite the importance in building the next generation of Catholic school
leaders, there is a gap in research on how Catholic schools can systemically build leadership
capacity for vacant principal positions (Canavan, 2001). Principal leadership matters to the

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academic success of students (Marzano et al., 2005) – and diocese (districts) should maintain
a focus in identifying, developing their leaders, and supporting their continuing growth
(Fitzgerald & Sabatino, 2014).
Purpose of the Study
The purpose of this study is to examine the promising practices that the West Coast
Diocese employs in order to create a pipeline of leaders who are prepared to fill school
principal positions within the diocese. The study will explore practices that recruit, develop,
and support the building of leadership capacity for the next generation of Catholic school
leaders who focus on increasing student learning and achievement. To gain insight on the
promising practices, this study will address the perceptions of the internal stakeholders
regarding the developmental leadership systems and structures at the West Coast Diocese
Department of Catholic Schools (DCS). The research will also address the perceived
challenges that the West Coast diocese faces while building a leadership pipeline for
leadership succession.
Research Questions
In an effort to understand how organizations build leadership capacity of future
leaders, the following research questions were constructed as a collaborative group:
1. What are the perceived practices of the principal residency program that contribute to
building the next generation of leaders?
2. What are the challenges to supporting and maintaining the strategies designed to build
leadership capacity?

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Significance of the Study
This study contributes to the discussion regarding the need for leadership
development in the Catholic school system through the lens of transformational leadership.
As membership in religious communities in the United States is declining (Gibson, 2014),
Catholic diocese need lay teachers and administrators to assume the all-encompassing
leadership positions in Catholic schools (Sabatino & Mantejano, 2012). The pool of
leadership candidates needs to embody the role of instructional, managerial, and spiritual
leader as Catholic educational leadership as defined in Ciriello’s (1996) book entitled
Expectations for the Catholic School Principal. For example, the role of principal as a
spiritual leader expects that the principal ensures quality Catholic religious instruction of
students and provides opportunities for the school community to celebrate faith. As an
educational leader, Catholic leaders are expected to demonstrate an understanding of a
variety of education and pedagogical skills and recognize and accommodate the special
learning needs of children in the inclusive classroom. As a managerial leader, the Catholic
school principal is expected to know and apply the skills of organizational management,
delegation of responsibilities, and communication skills. This study seeks to understand the
practices employed by the West Coast Diocese to prepare the next generation of Catholic
school principals.
The data gathered in this study has the potential to impact the way Catholic diocesan
leaders identify, prepare, and support future Catholic school principals. Currently, dioceses
are loosely organized in a school system that is headed by a superintendent under the Office
of Catholic Schools. There are varying degrees of systems and structures that strategically
support succession planning and principal development (Sabatino & Mantejano, 2012). The

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practices examined in this study could benefit other diocese in the formation of their future
principals.
The significance of this study is to address a lack of research that directly examines
the systems and structures of principal succession (Canavan, 2001). The findings can inform
diocesan leaders of succession planning and management issues as well as systems and
structures that exist within the diocese. As leadership becomes more recognized for its
impact on student achievement and school performance, it is imperative that succession is
managed and planned to ensure sustainability and effectiveness.
Limitations, Delimitations, and Assumptions
The limitations of this study are factors that may influence results but are beyond my
control. The first limitation is a factor of qualitative research; with the researcher as the
primary instrument for collecting and analyzing data (Merriam, 2009), researcher bias may
impact the collection and analysis of data. In an effort to increase validity, triangulation of
data through interviews, observations, and document analysis will be used (Creswell, 2014).
Secondly, the three-month timeframe allotted by the Ed.D dissertation schedule to collect
research is a limitation. Another limitation is this study’s dependence on voluntary
participants. Along those lines, the validity of this study is based upon the authentic, honest,
and reliable response of these voluntary participations during the interview process. In an
effort to increase the reliability of the interview responses, I will be transparent in the
purpose of the study and will employ confidentiality methods in order to make the
participants feel comfortable sharing their experiences. The delimitations of the study are
limitations that are within my control. First, the thematic group collectively and
collaboratively determined the criteria for selecting our individual units of analysis. We

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agreed to select large school sites or organizations with succession management practices
currently in place. Another limitation within my control was the selection of the West Coast
Diocese as my unit of study. I chose this site as a result of network meetings that uncovered
succession management practices are in place. Because of these delimitations, the findings
from this study are limited and may not be generalizable.
Glossary of Terms
a. Leadership capacity – an organizational concept meaning broad-based, skillful
participation in the work of leadership that leads to lasting institutional improvement
(Lambert, 2003)
b. Leadership pipeline – the development of individuals from within an organization for
the purposes of succession planning (Mehrabani & Mohamad, 2011)
c. Succession management – a purposeful effort by leadership to establish protocol and
processes to develop leadership capacity for the purpose of finding and developing
future leaders from within the organization (Fitzgerald & Sabatino, 2014)
d. Laity/lay person – an individual who is not a member of the clergy (Catholic Online,
2017)
h. Diocese/diocesan – the territory or churches/parish schools subject to the jurisdiction
of a bishop (New Advent, 2017)
Organization of the Study
This study sought to explore how the West Coast Diocese DCS strategically built the
leadership capacity of its future school principals. Chapter One provided an overview of the
history of Catholic school education as it relates to the problem of principal vacancies and
the need to develop successors to Catholic school leadership positions. Chapter Two

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includes an overview of the changes to the principalship and a review of research on district
and school-level succession planning and professional learning experiences such as
mentoring and internships. In addition, Chapter Two includes a description of transformation
leadership as the theoretical framework chosen for this study. Chapter Three contains an
outline of the specific methodology and rationale that was used for this case study analysis of
a principal and will contain a conceptual framework for the study, as well. Chapter Four is a
report on the findings of the study as they respond to the research questions advanced in
Chapter One. Chapter Five provides an analysis and synthesis of the findings, the
implications of the results, and proposes suggestions for future research.

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CHAPTER TWO: LITERATURE REVIEW
The topic of principal leadership and principal preparation is important to explore
because leadership is an important factor influencing student learning and achievement
(Marzano et al., 2005; Hitt & Tucker, 2016). The literature review for this study examines
research of the promising practices employed in preparing teachers to assume principal roles
in schools. This study seeks to contribute to the literature focusing on the promising district-
level practices that seek to build a principal pipeline for the future leaders of Catholic schools.
While the role of the school principal is growing in scope and complexity (Rieckhoff, 2014),
research is needed to further understand how to grow teachers’ leadership capacity and build
leadership pipelines in districts and dioceses. Four topics are addressed in the literature
review: (1) the changing role of the principal, (2) succession management practice,
(3) strategies that promote leadership capacity building, and (4) transformation leadership as
the theoretical framework.
This review of research will begin with an exploration of the complex roles and
responsibilities of school principals in the public and Catholic school sectors. The review
will focus on principals’ critical role in the advancement of student learning and achievement
in their schools, and will explore the specific task of serving as a Catholic school principal as
spiritual leader. Next, the review will present studies on succession management and
succession planning strategies employed in business and school systems such as the
recruitment of “high potential” principal candidates, the alignment of district mission to goals
and standards of practice, and of strategies for building leadership capacity. The review will
also present literature on the challenges of succession management. Lastly, the review will

22
present a summary of transformation leadership as the theoretical framework for exploring
the district leaders’ use of practices used to build leadership capacity.
Defining the Complex Role of Principal
The roles and responsibilities of an effective principal encompass a broad range of
knowledge, skills, and beliefs that influence student achievement (Davis, Darling-Hammond,
LaPointe, & Meyerson, 2005; Kirst, Haertel, & Williams, 2005) as defined across a variety
of sectors. The Bureau of Labor Statistics (2015) identified the tasks of a school principal as:
“manage all school operations, including daily school activities. They [principals] coordinate
curricula, oversee teachers and other school staff, and provide a safe and productive learning
environment for students” (What Elementary, Middle, and High School Principals Do).
Other definitions from professional organizations and through educational research broaden
the principal responsibility to include the leading and support of teachers and engaging the
community. The National Association for Elementary School Principals (NAESP, 2001)
suggested principals should lead across six distinct areas, including: (a) leading student and
adult learning; (b) leading diverse communities; (c) leading 21st century learning; (d) leading
continuous improvement; (e) leading use of knowledge and data; and (f) leading parent,
family, and community engagement. Davis et al. (2005) defined the most important aspects
of a school leader’s role as: Developing a deep understanding of how to support teachers;
Managing the curriculum in ways that promote student learning; and Developing the ability
to transform schools into more effective organizations that foster powerful teaching and
learning for all.
Research established that specific principal actions lead to gains in student
achievement. Hitt and Tucker (2016) described the leadership domains of effective school

23
leaders as (a) establishing and conveying the vision, (b) facilitating a high-quality learning
experience for students, (c) building professional capacity, (d) creating a supportive
organization for learning, and (e) connecting with external partners. Kirst et al. (2005) cited
that high student achievement data is associated with principals who lead reform efforts,
manage school improvement, develop a shared vision for the school, and use data to make
instructional decisions. The literature suggested that the role of the principalship demands an
extensive and broad range of educational and managerial skills in pursuit of student
achievement.
Catholic School Principal as Spiritual Leader
The Catholic school principal shares the managerial and educational leadership roles of the
public school administrator while also serving as a spiritual leader (Ciriello, 1996).
Literature pointed to the role of principal as spiritual leader as the foundation of a school’s
mission and purpose (Ciriello, 1994). Earl (2005) emphasized the spiritual aspect of the
Catholic school principalship role: “Spiritual leadership is central to the identity of the
Catholic school. The Catholic school principal must foster both the religious and academic
mission of the Catholic school” (p. 514). The Catholic school principal’s role as the spiritual
leader is an important factor in the vitality of the school. Hobbie, Covey, and Schuttloffel
(2010) explored the relationship between Catholic school identity and school vitality, and
found that teachers who perceive their schools as having a high level of vitality also had a
principal who safeguards the school’s mission, supports the teachers, obtains needed
resources, and seeks information. The teachers in this study also perceived that a school with
“good leadership” had strong Catholic school identity (Hobbie et al., 2010). Research
confirmed the Catholic school principal, as the spiritual leader, is an important factor in the

24
vitality of the school; and thus, the spiritual formation of a future principal is an important
area to foster when developing future Catholic school leaders (Hobbie et al., 2010).
Growing Complexity of the Role of Catholic School Principal
The role of the Catholic school principal has become more complex and demanding.
The multi-faceted role of the Catholic school principal includes duties in four key areas:
Catholic identity, academic excellence, school viability, and general administration (Hunt,
Joseph, & Nuzzi, 2002). Rieckhoff (2014) suggested that the roles and responsibilities of the
Catholic school principal continue to expand with increasing focus on instruction, growing
school enrollment, obtaining resources for scholarships to offset tuition costs, supporting
effective instruction and pedagogy, and serving as the faith leader (Rieckhoff, 2014).
Catholic school principal are challenged to maintain stable enrollment, set a low tuition cost,
and, provide an excellent education that is on par or of higher quality than neighboring public
schools (Ciriello, 1998; Code of Canon Law, Canon 806 #2; Gravissimum Educationis 8 and
9; Shelter, 2006). Likewise, Nuzzi, Holter, and Frabutt (2011) agreed with Rieckhoff in that
the Catholic school principal requires more managerial expertise in human resources,
financial management, development, marketing, enrollment management, and community
relations. Similarly, Bryk, Lee, and Holland (1993) described the Catholic school principal
as financial manager, development and fundraising director, as well as public and alumni
relations facilitator. Literature suggested that the position of a Catholic school principal is
challenging and complex.
In light of the demands on Catholic school principals, Fraser and Brock (2006)
studied Catholic school principal retention in New South Wales, Australia with the purpose
of investigating the factors that contributed to principal job satisfaction and dissatisfaction.

25
The research found that Catholic school principals reported the disincentives to be: a sense of
isolation, stress factors, insufficient remuneration, staff issues, demanding and disgruntled
parents, and unrealistic expectations from employing authorities. A study of the shortage of
Catholic school principals in New South Wales, Australia (d'Arbon, Duignan, Duncan, &
Goodwin, 2001) showed that the challenge of leading a faith-based school community was a
deterrent to seeking a principal’s position because the principal’s personal life, faith
commitment, and religious practices would be scrutinized by Church authorities, the
education system, students, and parents. Other factors that deterred potential candidates to
fill principalship positions included too much red tape and bureaucracy, gender bias,
complexity of the selection process, inadequate salary, and the impact on personal and family
life (d’Arbon et al., 2001). Educational researchers asserted that identifying the disincentives
to the role as Catholic school principal is the first step in recruitment efforts because the
continued presence of the disincentives discourage teachers from aspiring to administrative
positions (Fraser & Brock, 2006).
As the role of the school principal continues to grow in complexity and is less
attractive to future leaders, literature suggested that defining the role with professional
standards can serve as the foundation for building future leaders.
The current challenge in building the next generation of Catholic school leaders is to
align secular leadership standards, such as the ISLLC standards, to include faith-based
leadership competencies (Ciriello, 1994) with an agreed-upon set of principal expectations.
While dioceses across the US currently lack a standard of professional practice for Catholic
school principals (Schuttloffel, 2003), various benchmarks and standards can be applied to
the position. The National Standards and Benchmarks for Effective Elementary and

26
Secondary Schools (NSBECS, Center for Catholic School Effectiveness, 2012) provides a
national articulation of the defining characteristics of K-12 Catholic education that provided
observable and measurable standards defining schools as both academically excellent and
Catholic. For example, the standards addressed four domains: 1) Mission and Catholic
Identity, 2) Governance and Leadership, 3)Academic Excellence, and 4) Operational Vitality
(Center for Catholic School Effectiveness, 2012). On one hand, the Center for Catholic
School Effectiveness (2012) asserted that the NSBECS serves Catholic leaders as a tool for
achieving school improvement efforts and describes effective school functioning. On the
other hand, they are not specific to the skills and responsibilities of the Catholic school
principal. Boyle, Haller, and Hunt (2016) argued that the NSBECS in combination with the
National Policy Board’s 2015 Interstate School Leaders Licensure Consortium Standards
(National Policy Board, 2015) provided more robust leadership standards that include both
the secular and Catholic leadership guidelines.
Loyola University Chicago’s Greely Center for Catholic Education constructed a set
of competencies called the Catholic School Principal Competencies (Boyle, Morten, &
Guerin, 2013), which included skills and competencies of a Catholic school principal that are
linked directly to the NSBECS. The four main categories of the competencies are the same
as the NSBECS standards: (1) Mission and Identity (2) Governance and Leadership
(3) Academic Excellence, and (4) Operational Vitality (Morten & Lawler, 2016). The
Catholic School Principal Competencies specifically articulate the responsibilities of the
Catholic school principal as they pertain to the faith-based mission, but also to differences in
governance, staffing, and funding structures. Morten and Lawler (2016) suggested that early
anecdotal evidence from the graduates showed positive outcomes regarding the principal

27
candidates’ involvement and in various school improvement initiatives including initiating
family literacy events, curriculum review teams, and new marketing strategies. The authors
suggested that the use of the competencies guided the development of the principal
candidates.
Defining the role of principal and using a standards-based job description is an
important piece of building the next generation of Catholic school leaders. As the role of the
Catholic school principal continues to grow in complexity and national Catholic school
principal standards yet to be adopted, dioceses can turn to succession planning systems and
structures to fill principal vacancies with ready and qualified candidates. The next section
outlines succession management as a system for securing the next generation of Catholic
school leaders.
Succession Management

Strategic planning for a change in leadership is an important aspect of the success of
an organization (Collins, 2001; Hargreaves, E., 2005). Collins (2001) researched successful
businesses and found that building a pipeline of future talent sustains the growth of an
organization, especially during times of a change in leadership. Likewise, in schools,
effective school leaders intentionally plan for the inevitable change in school leadership.
Although most school districts do not have formal succession management systems for
school leadership (Myung, Loeb, & Horng, 2011), school organizations are investing more
time and resources toward the development of a reservoir of “high potential” candidates
(Fink, 2011). Fink (2011) described a practice called “grow your own” to build a reservoir of
high quality candidates ready to fill principal vacancies. “Grow your own” programs mean
that districts employ an internal leadership development approach to build leadership

28
capacity in filling vacancies. This section will present literature on the need for succession
management and the components of succession management.
The Case for Succession Management
Organizational research supports succession planning as a systematic way to grow
leadership talent from within an organization (Collins, 2001; McKee & Froelich, 2016).
Succession planning can ensure the continuity of leadership by “cultivating talent from
within the organization through planned development activities” (Rothwell, 2010, p. 12).
Collins (2001) argued that hiring internal candidates is particularly important when an
organization is successful and stable. One advantage to using an internal candidate is that he
or she knows and understands the organizational culture, policies, procedures, and
expectations (Collins, 2001). Notably, Collins observed that only 5% of his “great company”
CEOs were external hires, whereas 30% of his comparison company CEOs were outsiders
(who averaged half the tenure of the great company’s CEOs).
In another study of organizational succession management, McKee and Froelich
(2016) explored factors that influenced executive succession planning in nonprofit and
cooperative organizations in order to address the approaching surge of executive retirements
that has spiked interest in succession planning throughout the nonprofit sector (McKee &
Froelich, 2016). The survey results of non-profit employees showed that 50% of respondents
favored internal candidates for leadership positions (14% of the respondents preferring an
equally qualified external candidate). The authors asserted that given the preference for
internal candidates, it appears to be important to employ specific efforts toward employee
development. The survey results also revealed that developing and communicating a career
path within the organization was positively related to succession planning. The survey

29
results indicated that with a succession plan in place, employees rated high marks on
motivation and job satisfaction. In this case, the succession plan and management reaped
positive outcomes.
Research in school settings also pointed to positive outcomes when districts employ a
succession planning and management strategy. In a study of independent school succession
planning, Mason (2015) asserted that fostering a culture that embraces succession planning
can build a deeper reservoir of potential leaders, increase motivation for employees and
prospective leaders, and provide professional and personal development throughout the
school system. Research by Charan, Drotter, and Noel (2011) also found that morale
increases and performance improves for all faculty and staff members when there is a clear
and intentional approach to succession planning. Likewise, Barker (2006) conducted a
historical case study to explore the transition of three successive heads of school and how the
change in leadership contributed to the transformation of a UK elementary school. The
researcher conducted interviews with various stakeholders from within the organization
(principal, parents, students, and support staff) while also tracing student achievement data.
The results showed that the school’s student achievement data continued to rise with each
subsequent change in leadership. Barker (2006) asserted that an organization’s smooth
leadership transition was important to the continued student achievement success. Research
pointed to succession management as an important component to the sustainable success of a
school (Russell & Sabina, 2014; Zepeda, Bengtson, and Parylo, 2012).
Given the importance of succession management practices in schools, literature cited
that a lack of succession management in schools which may lead to negative results that
impact student achievement (Fink & Brayman, 2006). Districts lacking a succession plan do

30
not have a pool of qualified candidates who are ready to fill principals positions (Goodwin et
al., 2003; Seashore-Louis et al., 2010). For example, Peters (2011) studied two new
principals coming to the principal role with the necessary credentials for the position, but
without mentorship or leadership development training. The two principals experienced
undo stress and turmoil in their roles, which then led to principal turnover. Peters’ analysis
concluded that effective succession planning should ensure that aspiring leaders not only
have the credentials to become principals, but also professional support and development to
enter the role with confidence.
In another study, Fink and Brayman (2006) examined three schools and found that the
two schools without succession management plans had new principals that lacked the
contextual knowledge and skills and struggled to maintain the schools growth. The third
school in the study did have a succession management plan in place and sustained growth
through the transition. Thus, if school districts are focused on sustainable growth and
continued improvements through changes in leadership, a succession plan can support such a
goal (Fink & Brayman, 2006).
Characteristics of Succession Management
Educational research identifies characteristics effective succession planning and
management through a multipronged approach to building future leaders from within an
organization. Hargreaves and Fink (2006) researched school succession management in
Canadian schools. The research yielded the following six characteristics of strong succession
plans: (1) are prepared long before the leader’s anticipated departure or even from the onset
of their appointment; (2) give other people proper time to prepare; (3) are incorporated in all
school improvement plans; (4) are the responsibility of many rather than the prerogative of

31
lone leaders who tend to want to clone themselves; (5) are based on a clear diagnosis of the
school’s existing stage of development and future needs for improvement; and (6) are
transparently linked to clearly defined leadership standards and competencies that are needed
for the next phase of improvement (pp. 71-72).
In another study of succession planning systems, Russell and Sabina (2014) examined
programs and practices in six districts aimed at recruiting, developing, and placing school
principals. The research yielded the following findings. First, each district had a plan of
selecting “high-potential” candidates. Second, each district had varying degrees of
developing leadership candidates through internships and other field experiences. Lastly, the
districts also employed a range of strategies to support principal induction, including
professional development sessions, learning communities, and school-based mentors or
coaching. Overall, the findings were that the intentional succession planning enabled the
focal districts to develop a pool of high-potential administrative candidates and meet their
needs for high-quality principals.
In a third study, Zepeda et al. (2012) directly examined the experiences and practices
of principal succession in a cross-case analysis of four Georgia school districts’ succession
management and planning strategies. Commonalities of succession planning emerged from
their research. One critical component of the system was the development of aspiring leaders
was identified through hosting a formal leadership academy for prospective principals.
Mentoring was an essential practice of the succession plan. Another component of the
principal succession plan was that stakeholders valued the collaboration with outside partners
in building the leadership capacity of future leaders. For example, district leaders taught in
the university principal preparation programs and the district also worked in conjunction with

32
Georgia Leadership for School Improvement. This research highlighted a multipronged
systematic approach with the use of the following structures: talent identification,
mentorships, and outside collaboration to succession planning and management at the district
level.
Catholic School Succession Planning and Management
The recruitment, formation, and retention of Catholic school leaders is one of the top
challenges facing Catholic schools in the 21
st
century (Grace & O’Keefe, 2007); yet most
schools and dioceses do not have a succession plan in place (Fitzgerald & Sabatino, 2014).
In a national survey of Catholic school superintendents, religious leaders, and board chairs,
more than half reported that they do not have an existing leadership succession plan in place
(Fitzgerald & Sabatino, 2014). The lack of succession planning and management attributed
to many problems in Catholic schools. Durow and Brock (2004) reported that Catholic
school principals are leaving their positions due to a lack of career advancement
opportunities. Durow and Brock asserted that an absence of leadership opportunities pose a
“significant threat to the retention of the most gifted leaders in any diocese” (p. 202).
Similarly, Schuttloffel (2003) highlighted several issues stemming from a lack of succession
management in Catholic schools. First, half of the dioceses surveyed had at least one school
without a principal in place at the beginning of the academic year citing a lack of qualified
principal candidates to fill the role. Second, 71% of new Catholic principals completed their
graduate work in a secular educational administration program without training in the role of
principal as a spiritual leader (over half of the principals reportedly lacked theological and
spiritual formation). Given the issues that arise without a succession plan in place, Catholic
diocese might consider the strategic development of future diocesan principals.

33
While most Catholic school dioceses nation-wide reported not having a succession
plan in place (Fitzgerald & Sabatino, 2014), literature provided three examples of Catholic
school succession planning and management practices. First, Canavan (2001) outlined a
succession management structure employed by the Archdiocese of Sydney in order to
building a principal pipeline for Catholic school leaders. Canavan presented a 12-step
process toward building leadership capacity which included: establishing criteria and
competencies for the various positions that will need to be filled and identifying future
leaders through a variety of assessment strategies. Canavan also highlighted two
professional development programs targeting future leaders, namely: “Preparation for
Principals” and “Developing Leadership Skills for Middle Managers in Catholic Schools.”
Additionally, appointed principals in the Archdiocese of Sydney were offered support in their
positions with regular visits from their regional consultant and participant in “Leading the
Catholic School Community.” Furthermore, Canavan cited that the Archdiocese of Sydney
identified future leaders through a series of surveys of current principals and teachers. The
results of the programs were cited as successful as some of the graduates submitted
successful principal applications.
In the second study on Catholic school succession management, Clark (2015)
examined the leadership development practices and administrative succession plans
employed at three Catholic secondary schools in a doctoral dissertation study. Clark
interviewed teachers, midlevel administrators, and top-level administrators on the topic of
succession management and building leadership capacity and reported the following findings.
First, school leaders reported that articulating the identity and mission of the Catholic
religious order was an important component to the succession management plan. Another

34
finding was that mentoring was employed by the top and middle administrators to build the
leadership capacity of teachers interested in administrative roles. A third finding was the
building of self-efficacy of teachers who have been tapped teachers to pursue administrative
roles. This study outlined a variety of dioceses’ succession planning strategies in order to
create a sustainable principal pipeline (Clark, 2015).
A third example of succession management outlined a rationale for succession
planning as well as a guide in Catholic schools; Fitzgerald and Sabatino (2014) provided a
rationale for succession planning as well as a planning guide for Catholic schools and school
boards in order to plan for leadership vacancies in Catholic schools. First, the authors
defined succession management as a purposeful effort by the school’s leadership to establish
a protocol and process to respond to one of three possible scenarios: emergency replacement
of the leader, planned replacement of the leader, and the development of leadership capacity
for the purpose of finding and educating future leaders from within the school (Fitzgerald &
Sabatino, 2014). The handbook presented three steps in preparation for succession planning.
The first step suggested that leadership establishes a clear vision, mission, and learning
outcomes for the school community, which is in line with Hargreaves, A., and Fink’s (2006)
research on identification of needs and organizational goals. Secondly, the handbook
suggested that the succession planning be a part of the school’s strategic plan. Lastly, the
handbook recommended that leadership take inventory of the organizational readiness for a
leadership transition. Fink (2011) suggested that succession planning, such as the handbook
presented by Fitzgerald and Sabatino (2014), is a more narrowed approach to leadership
transition than succession management practices which encompass a holistic approach

35
towards building the leadership capacity of the entire organization in order to create a
reservoir of high potential individuals.
Thus, succession management in Catholic education is a critical system needed for
the sustainability and overall success of Catholic schools (Grace & O’Keefe, 2007). As a
result. dioceses might consider employing effective succession management systems to build
a reservoir of leadership and build the leadership capacity within Catholic schools. The next
section outlines the distinct practices of succession management
Succession Management Practices
Succession management practices can be defined as the policies, programs, rules, and
procedures (DuFour & Fullan, 2013) that build a succession management system. This
section will discuss literature around four themes of succession management: alignment to
goals and standards, identification of talent, building leadership capacity, and partnership
with outside entities.
Alignment of Succession Plan to Goals and Standards
One important component in succession management is the identification and
alignment of practices to organizational goals and standards. Research suggested the
succession management should be aligned to standards of practice and organization goals
(Davis-Schmidt & Bottoms, 2011; Hargreaves, A., & Fink, 2006). Literature suggested that
future leaders should be systemically developed with a focus on a specific set of professional
standards of practice (Zepeda, 2017a). In the public sector, the Interstate School Leaders
Licensure Consortium (ISLLC, 2008) created Standards for School Leaders in 1996 (revised
in 2008), which set standards for the leadership practice in schools (Murphy, 2015). These
standards spell out the actions that educational leaders can take in order to foster a caring

36
environment so that all students can achieve high academic success (Murphy, 2015).
Defining the specific knowledge, skills, and abilities of the principalship gives clarity to the
goals and intent of principal preparation and the building of future principals’ leadership
capacity (Zepeda, 2017a). The Principal Pipeline Initiative funded by The Wallace
Foundation (2012) noted that the six districts in the study actively used leadership standards
to help align their principal preparation programs, hiring criteria, and on-the-job evaluation
rubrics with district priorities for school leadership. The report cited that use of the principal
standards brought coherence to district actions and provided a common language for
discussing school leadership (Anderson & Turnbull, 2016). Furthermore, districts took early
steps to align their hiring procedures and candidate assessments with district standards and
competencies for principals during the identification of talent process. Likewise, research on
effective and innovative principal preparation programs by Darling-Hammond, LaPointe,
Meyerson, Orr, & Cohen (2007) noted that one common feature of effective preparation
programs was the comprehensive, coherent curriculum aligned to state and professional
standards.
Building Leadership Capacity with National Standards of Practice
The Interstate School Leaders Licensure Consortium (ISLLC, 2008) Standards have
become the foundation for building the leadership capacity of future principals in preparation
programs across the nation (Murphy, 2015). Forty-five states have laws and regulations that
incorporate the ISCLLC Standards for School Leaders into core understandings and actions
in the domain of school administration (McCarthy, Shelton, Murphy, 2014). In a study
exploring school succession management practices (Zepeda, 2017a), research found that the
ISLLC Standards not only served as a guide for the professional development curriculum, but

37
also were used to screen aspiring leaders for principal positions. In addition, there was
evidence that curriculum, instruction, and assessments were considered as critical knowledge
for principals to obtain and develop (Zepeda, 2017a). Similarly, Darling-Hammond et al.
(2007) found that innovative programs, which were better at preparing future leaders, had
coherent curriculums that were aligned with national standards, particularly the ISLLC
Standards. The ISLLC Standards represent consensual agreement across all the professional
associations, grounded the practice of principal leadership in standards of practice, guided
field experiences and internships, and provided a foundation for principal preparation
programs (Darling-Hammond et al., 2007; Murphy, 2015; Zepeda, 2017a).
Identification of Talent as Succession Management Practice

In conjunction with the goals and standards of practice that a district or school has
solidified, the next step in succession management is the identification and recruitment of
future principals (Schmidt-Davis & Bottoms, 2011). Districts and dioceses can glean
identification and recruitment practices from principal preparation programs that employ
various screening strategies for acceptance into preparation programs (Schmidt-Davis &
Bottoms, 2011). For example, research on effective and innovative principal preparation
programs by Darling-Hammond et al. (2007) suggested a targeted recruitment and selection
that proactively brings expert teachers with leadership potential into the principalship. Select
principal preparation programs demonstrate a robust identification of future leaders through
various types of screening processes. For example, The Principal Fellows program in Boston
uses written essays, observed activities, and intensive interviews to narrow a field down from
100 applicants to 8 to 12 Fellows each year (Archibald, 2008). Literature described various
district practices that identify and recruit high potential future leaders. Anderson and

38
Turnbull (2016) reported on the recent findings from The Wallace Foundation’s (2012) work
on the Principal Pipeline Initiative in the area of the identification of talent. Following the
districts’ solidification of the standards of practice for principals, the districts then aligned
their hiring procedures and candidate assessments with district standards and competencies
for principals (Anderson & Turnbull, 2016). The report cited that by 2015, the study’s six
districts were using multiple stages of scrutiny and assessment to develop a future pool of
high-quality candidates to fill principal vacancies as they arose. The districts also required
aspiring candidates to engage in practical demonstrations of their skills (Anderson &
Turnbull, 2016). Districts can employ similar recruitment and screening strategies to those
of preparation programs and other districts in order to grow the reservoir of high potential
candidates.
Russell and Sabina’s (2014) research on succession planning cited that casting
invitations to high potential leadership candidates to attend exploratory leadership programs
is another way to introduce, screen, and identify high potential leadership candidates.
Russell and Sabina noted that district leaders and principals selected teachers who “went
above and beyond” their job description and were willing to take on leadership roles.
Another district example of talent identification focused on potential leadership candidates’
performance during a formal leadership academy and then selected individuals to apply to
the internship program (Russell & Sabina, 2014). Literature suggested that the district’s
identification of future principals should be based upon specific leadership competencies and
screening tools (Russell & Sabina, 2014).
While research indicated that most districts do not have a formal recruitment process
in place (Grunow, Horng, & Loeb, 2010), some districts used an informal identification

39
process known as “tapping” (Lortie, 2009). Research indicated that principals used the
practice of tapping to encourage teachers to pursue administrative roles. In a survey of
teachers, assistant principals, and principals in Miami Dade County, Myung, Loeb, and
Horng (2011) found that 9% of the teachers in the sample reported being tapped by their
principal, and of the current principals in the survey, 72% were tapped by a former principal
while 52% of assistant principals were tapped by a former principal. The authors asserted
that tapping may causally influence teachers’ interest in the principalship and suggested that
districts encourage tapping as one of the first steps in succession planning. Notably, Myung
et al. (2011) suggested that districts explicitly define the competencies that make for an
effective school leader as well as how those competencies can be identified early in teachers.
Research indicated that districts would benefit from explicitly training principals to tap
teachers with attributes that are aligned with effective school leadership practices (Lortie,
2009; Myung et. al., 2011). After teachers have been recruited to consider and pursue
leadership roles, districts can employ strategies towards building the leadership capacity of
those individuals.
Building Leadership Capacity in Succession Management Planning

After the identification and recruitment of potential leadership comes the intentional
building of teachers’ leadership capacity. Research suggested that building leadership
capacity of teachers through succession management practices has a positive impact on
student achievement (Hitt & Tucker, 2016; Leithwood & Louis, 2012). Effective succession
management strategies build teachers’ leadership capacity resulting in higher student
achievement. Leithwood and Louis (2012) emphasized that effective school leaders develop
teachers’ leadership capacity as a core leadership practice in pursuit of student achievement.

40
Hitt and Tucker (2016) presented a leadership framework that includes building professional
leadership capacity as an effective leadership domain. Furthermore, Danielson (2007)
asserted principals who contribute to the development of teacher leadership also contribute to
the success of the entire school community. This section will outline literature that supports
effective practices in how school leaders can build teachers’ leadership capacity.
A foundation of adult learning theory. Understanding adult learning theory can
guide district and diocesan leaders to employ effective systems and strategies to build the
leadership capacity of teachers. A growing body of research-based evidence asserted that
certain leadership practices and dispositions result in improved outcomes for students
(Leithwood, Day, Sammons, Harris, & Hopkins, 2006; Leithwood & Jantzi, 1999).
Literature pointed to leadership as a professional skill that can be learned (Bennis &
Goldsmith, 2003; Bolman & Deal, (2003); Lampert, 1998). Bennis and Goldsmith (2003)
asserted that leadership can be learned at any stage of life, and asserted that their book on
building leadership skills “is an argument for adult learning” (Preface, p. xxi). As school
systems aim to build leadership capacity of future principals, literature on adult learning
practices are important to consider. Mezirow (1991) defined the goal of adult learning in the
following way:
The goal of adult education is to help adult learners become more critically reflective,
participate more fully and freely in rational discourse and action, and advance
developmentally by moving towards meaning perspectives that are more inclusive,
discriminating, permeable, and integrative of experience. (p. 224)
Literature pointed to authentic professional learning as a strategy for acquiring professional
knowledge. Authentic professional learning is effective when it continues over the long term

41
and is best situated with a community that supports learning (Darling-Hammond, 1997). In
this way, dioceses and districts can consider fostering adult learning by understanding the
research behind professional development and effective adult learning strategies.
Trivette, Dunst, Hamby, and O’Herin (2009) explored the effectiveness of four adult
learning methods (accelerated learning, coaching, guided design, and just-in-time training) in
a synthesis of 79 empirical studies on training. The analysis found that training opportunities
are likely to be most effective if they include multiple learning experiences, large doses of
learner self-assessment of their experiences, and instructor-facilitated learner assessment of
his or her learning against some set of standards or criteria. Furthermore, the common
elements that are most effective in adult learning methods are active learner participation in
the learning process (Trivette et al., 2009). The most effective training is likely to include
learner experiences and opportunities in each of the three main components of adult learning
(planning, application, and deep understanding). This research suggested that strategies used
to build leadership capacity should include a variety of experiences with real leadership
situations as well as ample time for feedback and reflection (Trivette et al., 2009). Similarly,
Webster Wright (2009) argued for continuous professional learning (CPL) to include learner
metacognition and a diverse range of activities such as traditional PD programs, interactions
with work colleagues, experiences outside of work, and a variety of other authentic work-
related experiences. Literature on adult learning theory can provide a foundation upon which
to create district programs and practice in order to build individuals’ leadership capacity.
Mentoring and coaching as an effective practice. Literature pointed to mentoring
and coaching as key strategies in building the leadership capacity of future leaders. In
research on effective and innovative principal preparation programs, a common structure was

42
social and professional support in cohorts with expert mentoring and advising (Darling-
Hammond et al., 2007). In a study of succession management practices, Russell and Sabina
(2014) noted that all of the surveyed principals reported to be the product of district
succession-planning programs had one official mentor or coach, if not more, during their
early years in the principalship. Other research pointed to the practice of mentoring as
having a positive impact on the leadership development of both the mentee and the mentor
(Clayton, Sanzo, & Myran, 2013). Districts can consider mentoring as a succession
management practice to build leadership capacity.
Effective mentoring requires the careful matching of mentor and mentee, mentoring
that is aligned to standards or coursework, and mentoring that is based upon experiences
(Clayton et al., 2013). Clayton et al. (2013) conducted a qualitative study that explored the
mentoring relationship between veteran school leaders and aspiring leaders in a district. The
study of eight mentor/mentee relationships reported several key findings about mentorship.
One finding was importance on the careful paring of the mentor and mentee with
consideration of differing communication styles, job responsibilities, and personal past
experiences with mentoring. Another important consideration was the mentor and mentee
overall commitment to the mentoring process (Clayton et al., 2013). Furthermore, in this
study, veteran leaders reported to have benefited from the use of the Leadership Performance
Planning Worksheet (LPPW) as a tool to guide their conversations about leadership strengths
and weaknesses and provided a framework for the work of principal (Clayton et al., 2013).
The researchers also presented the finding that the time pressure of accountability was
lessened when mentor/mentee pairs focused their mutual work on meaningful and sustainable
projects related to strategic plan goals and to improving student achievement. Mentors

43
reported saying the discussions with mentees about their coursework could assist them in
their own practice (Clayton et al., 2013). Lastly, it was important for the university and the
mentor program to be in collaboration on current district goals so there is a true connection
between course work and school-based practical experiences. A successful mentorship
program requires alignment, thoughtful pairing of candidates and veterans, and standards to
help focus the mentor relationship around common goals.
In another study, Zepeda, Bengtson, and Parylo (2012) explored succession
management in four Georgia school districts, and found that mentorship was a critical
component of leadership capacity building. District leaders and aspiring principals identified
mentorship was a critical component of planning and management of succession. Also, a key
finding was that mentoring was an important practice through the succession process; and the
collaborative practice between the district and outside organizations was valued as important.
Furthermore, Fink and Brayman (2006) asserted that creating and sustaining considerable
support systems such as mentorship for new principals should be a priority for school
districts because mentorship can support new principals in gaining the essential contextual
knowledge.
As a continuation of the practice of mentoring, literature pointed to professional
coaching as an effective support practice for building leadership capacity. Wise and
Hammack (2011) surveyed over 160 California principals in order to develop an instrument
to assess and improve the effectiveness of coaching for school leaders. The principals
reported their coaches were helpful in their performance as leaders in pursuit of student
achievement. The results also indicated that participants perceived that the use of the
coaching competencies positively affected the implementation of best practices. Coaching,

44
in addition to mentoring, can be used as a practice for the continued support of building
leadership capacity of principals.
Internship as a program for building leadership capacity. Literature asserted that
the internship is an essential leadership capacity building structure and is consistently
identified as the most valuable part of a leadership capacity building program for future
principals (Militello, Gajda, & Bowers, 2009; Russell & Sabina, 2014). As research on adult
learning theory suggested, the development of a high-potential pool should occur through
challenging and authentic work experiences as opposed to traditional seminars and
coursework (Leithwood et al., 2006; Leithwood & Jantzi, 1999). Darling-Hammond et al.
(2007) noted that one common feature of effective preparation programs was well-designed,
intensive, and supervised internships under the coaching of expert veterans.
Literature suggested that the internship is the most valuable component of building a
leadership capacity structure (Militello et al., 2009; Russell & Sabina, 2014). Russell and
Sabina (2014) examined six districts’ succession management practices. They found that the
internship experience was highly beneficial to the future principals and the current principals.
The principals identified the internship as an essential component of their development and
district leaders identified the internship as an essential component of their succession
management plan (Russell & Sabina, 2014). One Midwest district offered a carefully
designed full-time administrative internship. Interns were assigned to two different schools
(half year each) to “have exposure to various building climates and cultures, different
management styles, and gain knowledge of strengths of building administrators” (Russell &
Sabina, 2014, p. 616). The internship was organized around a set of “field experiences” that
the district believed were “critical that interns acquire the skills needed to lead a building”

45
(Russell & Sabina, 2014, p. 616). Kentucky’s Principal Preparation Program (2014) aimed
to identify which field experiences were the most valuable learning tools in leadership
training. Current principals in the study identified the most valuable field experiences to be
those involving practical, hands-on principal responsibilities. This research found clear
support for augmenting use of two particular types of field experiences: (1) Budget and
Finance and (2) Site-Based Decision Making. In a statewide survey of school principals in
Massachusetts, the internship was identified as more useful than coursework (Militello et al.,
2009). In another study of 54 universities in six states, Murphy, Moorman, & McCarthy
(2008) asserted that the internship grounds theory, integrates learning, and allows for
experience with leadership practice. In another study, Perez, Uline, Johnson, James-Ward, &
Basom (2011) conducted a qualitative study that followed seven students enrolled in a
master’s-level preparation program, interviewing them at three points in time to explore how
their understanding of their responsibilities changed over time. The participants indicated
that the internship helped to expose the instructional duties of an administrator and changed
their perceptions about the principal as manager. The research confirmed that the internship
is an important part of building future principals’ leadership capacity as a part of a succession
management system.
Partnering with outside entities as a succession management practice. In addition
to the various ways of building leadership capacity, another practice of a succession
management plan is the district partnerships with universities and other outside entities is an
important component to district succession management practices. Orr, King, & LaPointe
(2010) identified the characteristics of successful University-District Partnerships as the
following: a shared vision of what effective school leadership looks like, with district leaders

46
articulating and university leaders understanding what districts are looking for in a leader; a
free exchange of ideas, with both sides learning from the other; clearly defined roles and
expectations for the selection and preparation of candidates; and formal partnership
agreements that are grounded on common understandings of the benefits for both partners,
justifying their commitment of time and resources (Orr et al., 2010). Zepeda et al.’s (2012)
case study results found that the partnership between the Georgia public school system and
outside organizations were positions in building the leadership capacity of the future leaders.
The three smaller systems in the study were involved in collaborative relationships with the
Georgia Leadership Institute for School Improvement. The authors asserted that through
these relationships, the districts were able to participate in leadership development programs
that involved both aspiring and existing principals.
Succession Management Challenges
Literature presented several possible challenges when implementing succession
management systems. Russell and Sabina (2014) cited the challenge of maintaining the
appropriate supply of aspiring leaders to not have too many leaders in the pipeline waiting
for a select number of administrative roles and then seek positions in other districts. Another
noted challenge was balancing the pool of principal candidates between internal and external
candidates to not over saturate a district with internal candidates (Russell & Sabina, 2014).
An additional challenge in the larger districts was maintaining the succession activities and
management in connection with the other district programs to not become a silo of district
programming (Russell & Sabina, 2014). Finally, the study reported that the internship model
was a challenge to sustain due to the significant financial responsibility of the program. Fink
and Brayman (2006) outlined several challenges to implementing a succession management

47
plan. In one of the districts, financial strains and budget cuts eliminated four of the six
mentor positions in the district of 26 schools. Another reported challenge was the rapid
turnover of principals switching schools or leaving the profession. This research presented
financial and organizational management challenges to the succession management plan
(Russell & Sabina, 2014).
Literature suggested several challenges specific to mentoring as a succession
management structure. The Wallace Foundation’s (2012) Principal Pipeline Initiative results
indicated district leaders who provided on-the-job leadership experiences as part of
pre-service preparation for principals struggled to mobilize enough sites and mentors
(Anderson & Turnbull, 2016). Clayton et al. (2013) suggested that time is a challenge in
organizing a mentoring program and asserted mentoring programs need to realistically
address the time pressures of accountability. Mentoring as a vital collaborative relationship
as a leadership capacity building tool requires allocated time and funding in order to be
successful (Anderson & Turnbull, 2016; Clayton et al., 2013).
While specific practices in succession management such as mentoring and tapping
present challenges, broad issues involving the complex role of the principal present
challenges to succession management. Durow and Brock (2004) explored the retention and
attrition of Catholic school principals and reported that principal attrition was due to conflict
with pastors, secondary school presidents/heads of schools, and governing bodies were a
significant cause for principals leaving the principalship. The unique roles and
responsibilities of the Catholic school principal regarding issues of spiritual leadership and
school governance should inform diocesan leadership capacity building strategies as a part of
the succession management system.

48
On a broad scale, challenges in the implementation and support of succession
management practices are influenced by societal factors such as time and place, supply and
demand, and shifts in school governance (Fink, 2011). In the Catholic schools, declining
enrollment, higher tuition costs, changing demographics of leadership, the consolidation of
parishes, and a more diverse student enrollment (Rieckhoff, 2014), can impact succession
management practices. Given these challenges, organizational priority and adequate funding
for leadership development programs may not be a financial priority.
Transformational Leadership Theory
The theoretical frame that will be used for this study is transformational leadership
theory, a well-established framework in the field of educational leadership (Northouse, 2010).
Transformational leadership theory views the purpose of leadership as motivating followers
to work towards altruistic goals instead of immediate self-interest (Burns, 1978). The theory
focused on behaviors of leaders and emphasis that leadership skills can be learned and
practiced successfully, regardless of a person’s innate leadership abilities (Northouse, 2013).
Kouzes and Posner (2008) emphasized specific behaviors of transformational leaders as the
following: model the way, inspire a shared vision, challenge the process, enable others to act,
and encourage the heart. Following are broader descriptions of Kouzes and Posner’s work.
Model the Way
This practice requires leaders to be clear about their personal values and how their
personal philosophy influences their decision-making. Exceptional leaders are reliable and
follow through on their promises (Northouse, 2010). Modeling the way means that
transformational leaders lead by their example. Leading by example is also considered
visible management (Kouzer & Posner, 2002). Modeling the way means that a leader has

49
consistency between their messages and their behaviors, which fosters creditability (Kouzes
& Posner, 1995, 2002).
Inspire a Shared Vision
Effective leaders rally others around an idea or mission for an organization in a
compelling way (Northouse, 2010). Leaders who inspire a shared vision listen to the goals
and dreams of others and create a shared goal for a group to rally around. The shared vision
set by the leader can guide people’s behavior towards a common goal.
Challenge the Process
Leaders who challenge the process question the status quo and seek alternative
methods as a way to foster innovation and creativity. By challenging the process,
transformational leaders are willing to take risks and learn from their mistakes along the way
(Kouzes & Posner, 1995, 2002)
Enable Others to Act

Enabling others to act means that a transformation leader practices distributed leaders
and delegation of responsibility and tasks. An effective leader fosters ownership of projects
and supports the decisions that others make (Northouse, 2010). By enabling others to act, a
leader promotes collaboration and teamwork and also values differing points of view
(Northouse, 2010).
Encourage the Heart
Leaders encourage the heart by fostering and maintaining relationships with and
among members of their team by celebrating accomplishments, rewarding good work, and
appreciating individual member contributions to the team (Northouse, 2010).

50
The Kouzes and Posner’s (1995, 2002) model of transformational leadership is an
approach that leaders can use in order to reach organizational goals, both academic and
mission driven. Research indicated that the use of transformational leadership practices has a
small but significant, positive direct effects on student achievement (Sun & Leithwood,
2012). Literature also supported that framework of transformational leadership is an
appropriate lens to study Catholic school leaders. Ciriello (1994) stated that the
characteristics of a transformational leadership style are an appropriate “fit” for a Catholic
school principal who preserves the integrity of a Catholic school mission. Ciriello (1996)
asserted that transformational leaderships’ emphasis on moral and servant leadership
(Sergiovanni, 1992), is in line with the organizational traditions and goals of Catholic school
leaders. Furthermore, with the publication of National Standards and Benchmarks for
Effective Catholic and Secondary Schools, there is a focus on the need for leaders to develop
the whole Catholic school community (Schuttloffell, 2016) which connects to
transformational leadership practice of collectively working towards a goal. Thus,
transformational leadership theory is an appropriate rhetorical framework to explore how
district leaders employ practices in order to build teachers’ leadership capacity to prepare the
next generation of Catholic school leaders.
Summary
Literature supported succession planning and leadership capacity building efforts as
important practices in educational organizations. With the role of the Catholic school
principal growing in scope and complexity (Rieckhoff, 2014), research is needed to further
understand how to develop spiritual, instructional, and managerial leaders as a part of a
comprehensive succession management plan. A fundamental concept of succession

51
management centers is the goal of creating a reservoir of high-quality leaders within the
organization, rather than filling a principal pipeline. Literature asserted that schools and
districts should actively prepare for changes in leadership with a holistic approach to building
leadership capacity from within the organization. Practices of succession management
include: defining the mission and goals of an organization, identifying and recruiting high
potential teachers, employing leadership capacity building practices, and supporting leaders
with ongoing professional learning opportunities. Building leadership capacity, informed by
adult learning theory, includes experiential learning opportunities and mentorship and
coaching programs, aligned with organizational goals and standards.
The purpose of this study is to explore promising practices in how educational
organizations, specifically Catholic school systems, develop the next generation of principals
through succession management practices. It is the intent of this study to contribute to the
body of knowledge in Catholic school succession management and the building of a reservoir
of high quality leaders as principal candidates.

52
CHAPTER THREE: METHODOLOGY
Effective leadership has a significant impact on student achievement (Hitt & Tucker,
2016; Marzano et al., 2005). Thus, it is worthwhile for school districts to strategically plan
for principal vacancies, both expected and unexpected, to ensure a smooth transition of
leadership. In the Catholic school system, the leadership demographic has significantly
shifted from priests and nuns to lay school principals (McDonald & Schultz, 2016) and the
role of the Catholic school principal is growing in complexity. Thus, it is important for
districts to focus on developing Catholic school teachers to assume the multi-faced role of a
Catholic school principal as a spiritual, educational, and managerial leader of a school. The
purpose of this study is to examine the promising practices in succession management
employed by the West Coast Diocese using transformational leadership as the theoretical
framework. Kouzes and Posner (2002) presented five transformational leadership practices
associated with building leadership capacity: modeling the way, inspiring a shared vision,
challenging the process, enabling others to act, and encouraging the heart. The results of this
study will contribute to the understanding of how the diocese can best address the issue of
preparing lay men and women for the complex role of the principalship in order to lead
schools towards high student achievement outcomes.
This chapter will outline the research design, the data collection, and analysis to be
used in this study. The first section will explain the qualitative case study methodology as an
appropriate approach for studying a phenomenon within a bounded system (Merriam, 2009).
Next, the conceptual and the theoretical framework will be established. Additionally, the
approach to collecting data, the instrumentation, and analysis of the data will be presented.
Finally, the chapter will close with an explanation of the ethical considerations of this study.

53
Research Questions
In an effort to gain insight into successful leadership capacity building practices for
schools, this study seeks responses to the following research questions:
1. What are the perceived practices of the principal residency program that contribute to
building the next generation of leaders?
2. What are the challenges to supporting and maintaining the strategies designed to build
leadership capacity?
Research Design
A qualitative case study approach is the most appropriate research method to
exploring the promising practices that the West Coast Diocese employs in order to create a
pipeline of leaders. A case study method allows for an in-depth, rich understanding of a
phenomenon (Merriam, 2009). Thus, in an effort to seek meaning and gain a greater
understanding of the complexity of building leadership capacity and succession management
practices in the Diocese, I will conduct a qualitative case study research approach (Creswell,
2009). The structure of this qualitative research will follow Creswell’s (2009) model of
studying a phenomenon in a natural setting and from the participants’ perspective. By
employing a qualitative case study approach, rich data will be collected and in-depth
descriptions of individuals’ experiences in building leadership capacity within the diocese
will be gathered (Gall, Gall, & Borg, 2007). The goal of this qualitative case study approach
is to understand the participants’ meanings of the practices employed in order to build
leadership capacity (Merriam & Tisdell, 2016). In this study, the bounded system, as the unit
of analysis, is the West Coast Diocese (Merriam & Tisdell, 2016). I explored the promising
practices of succession management through a variety of sources: interviews, observations,

54
and document analysis. The rich data collected present a holistic view of the phenomenon of
succession management at the West Coast Diocese.
To ensure consistency and reliability, Merriam and Tisdell (2016) suggested
triangulation of data. Multiple sources of data were examined through the use of interviews,
observations, and document analysis. Interviews will allow for rich data collection on the
perceived practices used to develop leadership capacity. Observations allowed for
information to be collected that may not have been shared during the interview process. The
analysis of documents allowed for the data to be triangulated and contributed to validity of
the study (Creswell, 2014).
Sample and Population
The unit of analysis for this case study is a diocese that employs practices perceived
to build leadership capacity as a part of a succession management plan. Purposeful sampling
was used to identify the unit of study. Merriam and Tisdell (2016) asserted that purposeful
sampling begins with a determination of criteria and explains why the criterion is important.
As determined by the dissertation thematic group, our units of study were required to have
the following criteria: (a) an identifiable system of succession management with identifiable
structures in place to build leadership capacity; and (b) a large district to show more than one
aspect of the succession management plan in place in order to see each phase of a succession
management plan, identification of talent, recruitment, training and mentorship, and support
of new leaders. A purposeful, convenience sample process was used to select the diocesan
superintendent, the director of leadership formation, and eight assistant superintendents.
These identified leaders will provide in-depth experiential knowledge of the leadership
capacity building practices at the diocese. Snowball sampling (Merriam, 2009) was used to

55
identify other administrators and teachers who are currently or were formerly a part of the
diocesan leadership capacity building programs.
Overview of the Organization
The unit of study for this research is one of the three largest dioceses in the United
States. The diocese serves over 250 schools and just under 80,000 students (McDonald &
Schultz, 2016) in Southern California with approximately 200 elementary and middle schools
and approximately 50 high schools. The West Coast Diocese spans a large area in Southern
California of over 8,500 square miles. One-third of the West Coast Diocese families live
below the poverty line according to the Catholic Educational Fund data from 2001. In the
West Coast Diocese, nearly 70% of the families reported being from ethnic minority
households. Approximately 47% of students attending schools in the West Coast Diocese
reported being LatinX and 23% of students from other ethnic minority backgrounds.
The West Coast Diocese has a Department of Catholic Education, which includes a
superintendent of schools, eight assistant superintendents, and an associate superintendent of
leadership, growth, and innovation. In the area of succession management practices, the West
Coast Diocese hosts two specific programs. First, the Future Leaders Program is an aspiring
principals’ program for teachers in the diocese. The program hosts two voluntary
professional development meetings per school year for teachers in their first, second, and
third years of teaching. The professional development meetings present the roles and
responsibilities of a Catholic school principal to interested teachers and present teacher
leadership opportunities throughout the district. In the 2016-2017 school year,
approximately 70 teachers attended the Future Leaders Program. The second program which
is the unit of analysis for this study is the, Principal Residency Program. The Principal

56
Residency Program is a one-year principal training program with the goal of building the
leadership capacity of future Catholic school principals. The website describes the program
as the following:
. . . resident principals work together in a cohort to develop knowledge and skills of
the Archdiocesan leadership competencies in Faith, Excellence and Stewardship
under the guidance of the [Resident principals] Director. The mentor principal
coaches the resident principal in all areas of the Archdiocesan framework at the
school site. The [Resident principals] Program Director works with each resident
principal to design an individual learning path around the Archdiocesan pillars and
facilitates with the mentor principal authentic field experiences based on
competencies in each pillar. (Resident Principals, n.d., para. 1)

Selected veteran principals called “mentor principals” mentor and coach the resident
principal in all areas of the diocesan mission and frameworks at the school site. The Program
Director works with each resident principal to design learning experiences that are specific to
the needs of their learning site as authentic leadership practice. This program began during
the 2016-2017 school year with a cohort of five principals in residency along with five
principals to serve as mentors. The second cohort began in July 2017 with another five
resident principals. The published criteria for application of participants states:
• Practicing Catholic with Basic Catechist Certificate
• Minimum 5 years teaching experience, at least 2 of those years in a Catholic school
• Earned Master’s degree AND California Credential (teaching and/or administrative)
• Commit to 4 years of service to the West Coast Diocese (1 residency year, and three
years as principal of an Archdiocesan school that meets program requirements)
starting July 1.
• Commit to ongoing formation as a WCD resident principal.
The Program is fully grant funded and provides a residency salary and benefits to the
resident principal of approx. $55,000 for the residency year depending on qualifications.
Benefit package is the same for the residency principal as any principal in the West Coast
Diocese. The stipend to the master principal is $5,000 also provided by The Geary
Foundation. Because the intent of this study is to examine promising practices in building

57
leadership capacity through succession management systems, this site is an appropriate unit
of study. The West Coast Diocese is large in size and currently supports leadership capacity
building practices as a part of a succession plan.
Overview of the Participants

The initial participants of this study, the Superintendent, Director of Leadership
Formation, and the Director of the Principal Residency Program were identified through
introductory interviews. For confidentiality, pseudonyms are used for all of the studies’
participants. The Department of Catholic Education at the West Coast Diocese is headed by
the Superintendent of Schools, Jack Brassington, Ed.D. He has served in this position since
July of 2009. Prior to that, he was the principal at two Catholic school locations in California.
While interviewing him as a potential candidate to study, Dr. Brassington shared an overview
of the succession management and leadership capacity building programs that are
coordinated and managed through the Department of Catholic Schools. He described the
systems of leadership capacity building that he oversees as superintendent. Dr. Brassington
referred me to speak to the Associate Superintendent, Michelle Smith, Ph.D.
Dr. Smith currently serves the West Coast Diocese as Associate Superintendent. She
also works as a consultant for a large national consulting firm and has served as a teacher,
principal, diocesan administrator, and consultant in parochial and private Catholic education
for 20 years. In my exploratory interview with Dr. Smith, she spoke of programs and
practices employed by the diocese that involved succession management and building
teachers’ leadership capacity; namely, Future Leaders Program, a teacher recruitment and
identification of talent pipeline, and the Principal Residency Program, the diocese one-year
principal in-residency program intended to build the leadership capacity of future Catholic

58
school principals, which she oversees. Dr. Smith referred me to Maureen Long who is the
Director of the Principal Residency Program.
Maureen Long serves at the director of the program. During my interview with Long,
she described her role as director of the Principal Residency Program and explained the
yearlong leadership curriculum that she designed for the principal residency program. She
described the recruitment and selection process for the program as well as the support she
provides during the residency program. After I interview Dr. Brassington, Dr. Smith, and Ms.
Long, I then used snowball sampling to interview resident and master principals within the
program.
Theoretical Framework
The theoretical frame that was used for this study was transformational leadership
theory, a well-established framework in the field of educational leadership (Northouse, 2010).
Transformational leadership theory views the purpose of leadership as motivating followers
to work towards altruistic goals instead of immediate self-interest (Burns, 1978). This study
examined the leadership practices employed by diocesan leaders with the organizational goal
of building a principal pipeline as a part of the diocesan succession management plan. The
theory focuses on behaviors of leaders and emphasizes that leadership skills can be learned
and practiced successfully, regardless of a person’s innate leadership abilities (Northouse,
2013). Because transformational leadership develops people and motivates them to achieve
common goals, transformational leadership theory is an appropriate lens through which to
examine the promising practices utilized by the diocesan leaders in creating a succession plan
and building organizational and individual leadership capacity. Kouzes and Posner (2008)
presented five specific behaviors of transformational leaders as: (1) model the way,

59
(2) inspire a shared vision, (3) challenge the process, (4) enable others to act, and
(5) encourage the heart. The practices align with the strategies used to build a succession
management plan at the site level.
Conceptual Framework
The conceptual framework, designed by the thematic group, was based upon
emerging themes from the review of the literature (see Figure 1). Transformational
Leadership theoretical framework guided the creation of this conceptual framework on
building a principal pipeline in schools and districts by increasing both individual and
organizational leadership capacity. First, the encompassing circle refers to the ongoing
transformational leadership practices of the organization according to Kouzes and Posner
(2002). Through the lens of transformational leadership, the organization’s leadership serves
as the actor in beginning the process of building leadership capacity with an organization. In
this study, the superintendent and the diocesan leadership sets the mission and vision for
process of building leadership capacity. The diagram shows the next step to include an
assessment of the organizational and societal challenges that will impact the plan for building
leadership capacity. Once the challenges are considered, the leadership’s capacity building
practices are sorted into three categories, identification and recruitment of potential leaders,
the development of individuals’ leadership capacity, and the ongoing support of school
leaders. The framework acknowledges the challenges that will be present within a given
organization as leadership capacity building practices are implemented, managed, and
sustained at the site level. The framework proposes an increased leadership capacity for both
the individuals and the organization as a whole as a result of the identification, development,
and support of future leaders using transformational leadership practices. The increased

60
leadership capacity feeds back into the organizational leadership’s plan of identifying,
developing, and supporting the next generation of leadership within the organization. The
figure suggests that the lens of transformation leadership surrounds each step of the
leadership capacity building process.

Figure 1: Conceptual Framework, Ed.D Thematic Group 2016

61
Data Collection Approach
The primary unit of study is the West Coast Diocese and its promising practices in
succession management and building leadership capacity. Data about the diocese’s
promising practices were collected through the following measures: semi-structured
interviews with probing questions, site observations, and document analysis.
The data-collection approach included the use of semi-structured interview questions
that ask open-ended questions to understand the participants’ perspectives of the
phenomenon succession planning efforts (Creswell, 2009). The goal was to ask participants
questions about their perceptions of the practice in place regarding the leadership capacity
building practices of the West Coast Diocese. All participants were provided a letter
informing them of the purpose of the study and the role they would play in providing data for
the research (see Appendix A). The interviews were be approximately 45 minutes in length,
will be recorded with the permission of each participant, and was transcribed using
Rev.com® transcription software. The questions in the interview protocols addressed the
study’s two research questions and were developed in collaboration with the thematic
dissertation group (see Appendices B and C). In advance of the interviews, all protocols
were piloted to ensure that questions were appropriate and understandable and that the
responses addressed the research questions (Creswell, 2014).
For this study, face-to-face interviews were conducted with the following subjects:
(1) Superintendent; (2) Director of Leadership Formation; (3) Assistant Superintendent;
(4) Director of Principal Residency Program; (5) Principals formerly in the principal
preparation program; (5) Principals in the residency program; (6) Mentor principals; and
(7) Classroom teachers who are in the principal pipeline. The purpose of my interviews was

62
to gather the rich perceptions of many individuals at various positions within the succession
management plan.
For the site observations, I attended professional development meetings as a part of
the principal residency program. The purpose of my observations was to collect data from
professional development and training programs.
A variety of internal and external diocesan documents were reviewed. In addition,
online literature about the principal residency program, principal month-by-month tasks, and
reflection journals were reviewed as a part of this study’s document analysis. The purpose of
document analysis was to examine the written articulation of the leadership capacity building
plan. The analysis of documents allows for a triangulation of data which will increase the
validity of the study (Creswell, 2014). Table 1 summarizes the data collection used to
address each research question.

Table 1
Summary of Data Collection Used in the Study
Research Question Interviews Documents Observation

What are the perceived
practices of the principal
residency program that
contribute to building the
next generation of
leaders?

X

X

X
What are the challenges
to supporting and
maintaining the strategies
designed to build
leadership capacity?

X

X

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Instrumentation

Semi-structured interviews were the instrumentation used in this study. Merriam and
Tisdell (2016) presented semi-structured interviews as an appropriate instrument for
collecting qualitative data. The purpose of the interviews were to better understand the
perspectives of the individuals in regards to the districts’ leadership capacity building
strategies as well as the participants’ experiences which are a part of the leadership pipeline.
This semi-structured interview approach uses a set of questions as a guide but allows the
researcher to seek clarification (Noonan, 2013). In this way, the interview allowed for rich
and in-depth explanations of the individuals’ experiences and beliefs about the practices of
building leadership capacity at the West Coast Diocese. Appendices B and C outline the
protocol questions that were used for each group being interviewed.
Observations were conducted using an observation protocol developed by the
thematic dissertation group (see Appendix D). The observations served as a tool to gather
information about the two principal pipeline programs and served to triangulate the data and
contribute to the studies reliability (Creswell, 2010; Merriam, 2009).
Lastly, document analysis further added to the qualitative case study analysis
approach by providing a more holistic view of the practices employed in the succession plan.
Documents provided data that triangulated interview responses and observational data.
Data Analysis
The data analysis follows Creswell’s (2014) Model for Qualitative Data Analysis for
Qualitative Research referred to as a priori theoretical orientation. This is a logical deductive
approach to analyzing qualitative data. This approach encourages the grouping of responses
based on common themes (Creswell, 2013). Figure 2 was created by the thematic

64
dissertation group 2017. Figure 2 depicts Creswell’s (2014) six step model for qualitative
data analysis adapted by Ed.D thematic group 2017.

Note: Adapted from Creswell, (2014) by the thematic group in 2017
Figure 2: Creswell’s (2014) Model for Qualitative Data Analysis

As shown in Figure 2, the first step is preparing the collected data for analysis which
includes interview transcriptions by Rev.com® as well as extended notetaking. The next step
involves reviewing the transcripts, document analysis notes, and observational data to look
for patterns and emerging themes. The coding process began by chunking the information
into general categories and then solidifying the themes. Step five serves to determine how
the themes would be represented in the qualitative narrative and finally, step six leads to data
interpretation that make meaning of the findings and results. As Creswell (2013) suggested,

65
this process sough to recognize common themes and cultural regularities instead of seeking
meaning through individual sources of data.
Ethical Consideration
There are ethical considerations to articulate prior to beginning my research. Prior to
collecting data, the thematic group submitted the IRB application to received IRB approval
as outlined by the University of Southern California Institutional Review Board.
Confidentiality and informed consent was ensured prior to beginning research
(Creswell, 2013). Confidentiality was safeguarded by securing record keeping and by the
use of pseudonyms for people, places, and organizations. During the interview process, the
research methodology and purpose of the study was explained to each interviewee prior to
the interviews and participants were reminded that their participation was voluntary and that
they could stop participating at anytime. With participants’ prior consent, each of the
interviews were recorded with a digital recorder. After each interview was transcribed, each
participant was be provided the opportunity to review the transcript and notes from the
interview in a process known as member checking (Creswell, 2014). To provide
confidentiality, the recording will be destroyed after the study is completed. Participants
were also given my contact information as well as my dissertation chairperson’s information
should any questions or concerns arise.

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CHAPTER FOUR: FINDINGS
This study aimed to explore the promising practices used to build the leadership
capacity of future Catholic school principals. The findings of this study sought to offer
insight for educational organizations that seek to prepare the next generation of leaders
within their district or diocese. This chapter includes a description of the participants of the
case study and a report on the findings. The following research questions that served to
frame the study:
1. What are the perceived practices of the principal residency program that contribute to
building the next generation of leaders?
2. What are the challenges to supporting and maintaining the strategies designed to build
leadership capacity?
Overview of Organization
The West Coast Diocese serves over 260 schools and approximately 80,000 students
enrolled in its parochial schools. One-third of the West Coast Diocesan families live below
the poverty line (Catholic Educational Fund, 2014). In the West Coast Diocese, nearly 70%
of the families reported being from ethnic minority households. Approximately 47% of
students attending schools in the West Coast Diocese reported being Latina/o and 23% of
students from other ethnic minority backgrounds (Catholic Educational Fund, 2014).
West Coast Diocese Department of Catholic Schools and the local pastors work
together to recruit, select, and appoint, high quality school leadership at each school. While
pastors are responsible for the hiring and firing of their parish school principal, the diocesan
Department of Catholic Schools (DCS) serves the parish schools and the pastors as an
overarching support and “systemness” structure to this principal appointment process. The

67
West Coast Diocese Department of Catholic Schools offers support and resources to pastors
and principal selection committees by providing processes for the recruitment, selection, and
hiring of new elementary school principals. Within the diocese, there are approximately 25 -
30 principalship openings for the 218 elementary schools per year. In 2016’s hiring pool,
290 applicants applied through the West Coast Diocese Department of Catholic Schools for
26 principalship positions. Twenty-five principals were hired through the DCS process. In
addition to principal recruitment and hiring support, the Department of Catholic Schools
facilitates the onboarding and continuing professional learning of new principals. While
each church pastor is ultimately accountable for his parish school and is responsible for the
hiring and firing of their school principal, the Department of Catholic Schools provides
systems and structures to the leadership pipeline.
The organizational mission of the Department of Catholic Schools (DSC) has three
pillars or frameworks that drive the efforts of the Department of Catholic Schools: Faith
Formation, Academic Excellence, and Stewardship. The stated vision of the West Coast
Diocese Department of Catholic schools is: Leaders establish a collaborative culture of
growth to ensure vibrant Catholic schools for present and future generations. Superintendent
Brassington stated that leadership is a crucial component to the growth of the organization:
“Leadership is the most important thing in our schools. We’ve got to invest time, energy,
effort, everything into the recruitment, development, nurturing, retaining effective leaders for
our schools” (interview). The mission of the organization is that of continuous growth and
strong leadership.

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Overview of Program
The unit of analysis for this case study was a principal residency program that is in
place in the West Coast Diocese Department of Catholic Schools to prepare future leaders to
serve as principals in diocesan elementary schools.
The vision of the program is for each resident principal to actualize the West Coast
Diocese vision “for growth at the their school site by establishing a collaborative culture to
ensure vibrant Catholic schools for present and future generations” according to the
description (onwardleaders, n.d., para. 2). The main goal of the program is for resident
principals to gain hands-on experience in the principalship role with the mentorship and
guided learning experiences. The program outcome is that resident principals are hired by
pastors and then serve as full-time principal within the diocese for at least a three-year term.
The program provides a residency salary of approximately $55,000 and benefits to the
principal-in-training as well as a $5,000 stipend for the Mentor principal. The residency
program is run by a full time program director and an assistant director. The program
continues its support of program graduates during their first year serving as a new principal,
with continued supports scheduled for the following two years. The principal residency
program is fully grant funded by an individual family foundation, The Geary Foundation.
The program began during the 2016-2017 school year when the program director
tapped 10 individuals to apply for the program. Five resident principals were selected to join
Cohort 1 including five Mentor principals. These five Cohort 1 resident principals are serving
their first year as principal during the 2017-2018 school year. The residency program
continued in the 2017-2018 school year with 21 applicants. Again five resident principals

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and five mentor principals formed Cohort 2. For the recruitment and selection of Cohort 3,
25 potential resident principals applied to the program.
The principal residency program was selected for this study because of its promising
practices in building the leadership capacity of future diocesan leaders such as participants in
an internship program as well as a professional learning community. During the 12-month
internship program, principals-in-training to serve a school as a co-principal along side a
Mentor principal while participating in all aspects of the principalship as an educational,
managerial, and spiritual leader of a school community. For example, the resident principal
serves in a variety of leadership roles such as leading an accreditation team, observing and
leading faculty and staff members, analyzing budgets and preparing financial data, leading
diocesan-wide professional learning experiences and engaging with key stakeholders such as
parents and pastors.
Another promising practice is the establishment of the professional learning
community for the principals-in-training. Under the guidance of a program director, the
resident principals engage in book studies, reflection journals, action research projects and
other group field experiences as a part of their participation in the principal residency
program.
The residency program seeks potential candidates who show interest in leadership
roles and have shown previous leadership acumen during their teaching and leadership
appointments such as director of campus ministry, vice principal, athletic director, founder of
a preschool program, and diocesan instructional coach.

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Overview of Participants
Fourteen participants were interviewed and/or observed in order to gather data that
would inform the answers to the research questions in this study of the diocesan principal
residency program. The Department of Catholic Schools leadership team of Superintendent
Brassington and Associate Superintendent Smith were interviewed in order to gain their
perspective on the program’s purpose and function within the diocesan vision. Maureen
Long, the program director was interviewed and observed to seek her insight on the
development of the program’s curriculum and structure as it pertains to building leadership
capacity of the future principals. Three graduates of the principal residency program were
interviewed during their first year as a full-time principal. These three graduates were
interviewed to gather their perspective on their capacity building learning experiences during
the program. Three Mentor principals were interviewed in order to gain the perspective of
how the mentorship process was carried out at each of their respective school sites.
Additionally, six current resident principals were observed during a cohort seminar day in
order to gain insight on the teaching and learning strategies within the professional learning
community (PLC) setting. Another observation showed a meeting between a resident
principal, a Mentor principal, and Maureen Long as a way to witness the leadership capacity
building practices of the program director and the Mentor principal. In addition to interviews
and observations, artifacts informing the research questions were collected including
reflection log, curriculum maps, and principal job descriptions, and online and print
published documents about the diocese and the program. To ensure confidentiality, all
participants and places in this study are referred to using pseudonyms. Table 2 provides a
brief overview and description of the participants in this study.

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Table 2
Participant Description
Name

Title Unique Characteristics
Jack Brassington Superintendent

• Senior Director and Superintendent
of Catholic Schools
• Oversees nearly 270 Catholic schools
• Former Catholic high school
principal within the diocese
Michelle Smith Associate Superintendent

• Former Catholic high school
principal
• National leadership consultant for
Catholic Diocese

Maureen Long Director,
Principal Residency
Program

• 36 years serving in Catholic schools
• Former elementary school principal
Erika Ayon Mentor Principal,
Cohort 1 and 2

• 14 years teacher at school site
• 10 years as principal
• Graduate of current school

Veronica
Santana
Mentor Principal, Cohort 1

• M.A. in Education
• 6 years teaching at school site
• 10 years as principal
• Graduate of current school

Lisa Doyle Mentor Principal, Cohort 1

• 18 years as Diocesan principal
• 4th year at current school

Daniel Loftus 1st year Elementary
Principal

• Resident Principal, Cohort 1
• Former Vice Principal

Julie Contreras 1st year Elementary
Principal

• Resident Principal, Cohort 1
• Former District Reading Coach
• Former University Lecturer

Maribel Sanchez 1st year Elementary
Principal

• Resident Principal, Cohort 1
• Former Dean of Curriculum
• Former Testing Site Director

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Findings
Research Question 1: Practices in Building Leadership Capacity
The first research question sought to explore the perceived practices employed by the
principal residency program in order to build the leadership capacity of the teachers learning
to become principals. During the data collection process, four main practices emerged as
strategies to build leadership capacity. First, the program engaged resident principals in a
collective mission and vision for the diocese. Secondly, the principals-in-training
participated in a year-long internship that included a multitude of hands-on leadership
practice under mentorship. Thirdly, leadership capacity takes place within a professional
learning community. Lastly, the program included an ongoing support and mentorship
program to help build leadership capacity of future principals.
Engagement with Organizational Mission and Vision
One of the most important leadership development practices used within the resident
program is the intentional and systematic program engagement with the diocesan vision and
mission. First, Superintendent Brassington established a clear, established vision for the
diocese: Leaders establish a collaborative culture of growth to ensure vibrant Catholic
schools for present and future generations. More specifically, the mission of growth was
broken down into pillars that encompass the efforts of all Catholic schools within the
diocese; Faith, Excellence, Stewardship. The pillar of faith includes the religious and
spiritual formation of the community; Excellence includes the academic growth and
achievement of students and all efforts that support teaching and learning; The pillar of
stewardship includes the fiduciary practices of a school including enrollment, scholarships,
and philanthropic efforts. Mentor principal Erika Ayon described the continuous growth and

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three pillars saying, “it’s awesome to see that we’re all on the same page - that we’re all
working for a common goal.”
Program and experiences’ alignment to mission. This mission and vision of
continuous growth informs the leadership capacity building practices of the principal
residency program. Associate Superintendent Smith explained that the coursework and
leadership experiences of the program are organized by the pillars of faith, excellence, and
stewardship: “the alignment of all work within our programs is critical and must be
collaborative.” Smith continued on to explain the importance of alignment of the program to
the diocesan mission, “Whatever Maureen designed had to be according to the same
language of faith, stewardship, and excellence.” The program’s website reiterates this
alignment, Each Resident principal actualizes the Archdiocesan vision for growth at the their
school site by establishing a collaborative culture to ensure vibrant Catholic schools for
present and future generations.
Program Director Maureen reiterated the importance of program alignment to the
mission and vision of continuous growth in faith, excellence, and stewardship. She explained
that as director, one important program goal was to engage and connect her resident
principals to the diocesan vision:
Exploring deeply how this vision of growth in faith, excellence and stewardship will
be influenced by our own personal values informs all of our work together.
Uncovering our own assumptions about learning, faith development and stewardship
through both research and experience remains the constant work of the lead learner.
In this quote, Maureen solidified her beliefs that the future principals need to reflect and
engage with the shared mission.

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The small group coursework, internship experiences, and learning benchmarks were
aligned according to the pillars of faith, excellence, and stewardship. During a PLC
discussion with the resident principals on the topic of school finances, Program Director
Maureen explained to the resident principals: “You have to constantly be asking yourself, “Is
this working? Is this aligned to the mission and vision? And if your vision isn’t aligned to
the Archdiocese, then the larger church, maybe you ought to revise your mission.”
This quote illustrated how reflection action was used as a leadership capacity building
strategy. Another example of leadership capacity building practice is the assignment where
resident principals created a two-minute video stating their teaching and leadership
philosophies align with the diocese’ continuous vision for growth. The vision of the program
is aligned to the larger diocesan vision stating: The Vision for the program is for each
Resident principal to actualize the Archdiocesan vision for growth at the their school site by
establishing a collaborative culture to ensure vibrant Catholic schools for present and future
generations.
As a leadership capacity building practice, the weekly reflection and interactive
journal required resident principals to reflect on their weekly leadership experiences by
coding them according to faith, excellence, and stewardship. Document analysis of the
program summary align to these activities stating:
In order to understand the larger mission of Department of Catholic Schools and the
(West Coast Diocese), the residents are emerged in the mission and vision of the
system. The residents participate in facilitating adult learning through the New
Teacher Training (TIPP), the Excellence Team professional development, participate
as a cohort as a WCEA/WASC Visiting Committee, and attend the Deanery
Professional Learning Communities with their mentor principals. (“Resident
Principals”, n.d., para. 3)

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Several quotes from resident principals illustrated how the mission informed their learning
experiences. First, Maribel explained the importance of clarifying a leadership vision in her
journal stating,
Leaders must have a clear vision, established process and expectations and have goals
for school growth. Our growth goals are going to be goals centered around faith,
excellence and stewardship and all decisions would need to be analyzed as them
contributed to or hindering student growth and success.
In this quote, Maribel demonstrated her understanding that a principal should articulate and
lead from a clear mission. Likewise, resident principal Julie reflected on her experience as a
practice supporting the mission of the diocese after she participated in meeting with a family
regarding their overdue tuition payments:
Stewardship. Might be the hard part of the job, but it is one of the most important.
The school needs to be financially sound in order to operate. Quality teachers are not
possible without a school that can provide equitable salaries. These can be paid only
by running a financially sound school.
In this instance, resident principal Julie connected her experience of tuition collection
to the pillar of stewardship and also demonstrated her understanding that a principal is a
managerial leader of a school. Similarly, resident principal Maribel explained how her
experience at a regional principals meeting aligned to the diocesan mission and vision:
This meeting touched upon excellence and stewardship. In the meeting we learned
about marketing tools and how to use standardized test data to drive instruction . . . I
really enjoyed being a part of a community of principals who seemed to be truly

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devoted to their mission . . . . I am so eager to be a part of a group that is this
dedicated.
This quote demonstrated Maribel’s ability to connect the topics of standardized test
data and marketing tools to the pillars of excellence and stewardship, respectively.
Additionally, her quote highlighted her eagerness to participate in a collective effort with
other principals to work towards continuous improvement. Notably, this reflection entry also
illustrated one of Associate Superintendent Smith’s leadership capacity building goals: “the
principals in the program have to know they are a part of system.” Maribel identified current
principals as witnesses who she perceived as committed to continuous growth in faith,
excellence, and stewardship.
All interviewed participants described a consistent message of the continuous growth
in the areas of faith, excellence, and stewardship. In this way, the program goals as well as
individual principal’s mission and visions aligned with this message. As a practice of
transformation leadership, the Superintendent has inspired a shared vision that was
articulated by program leaders, Mentor principals, and resident principals. As new leaders
within the diocese, graduates of the residency program articulated the collective mission and
described their goals around the vision set forth by the Superintendent and Associate
Superintendent. This was an important practice of building leadership capacity –
understanding and continuously reflecting on the mission of the diocese.
Internship as a Professional Learning Experience
Another theme that emerged from the findings as a promising practice in leadership
capacity building was the participation in an internship as a professional learning experience.
In line with literature on building leadership capacity, professionals learning from experience

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and that learning is continuous through active engagement in practice. Professional learning
requires a cyclic and iterative approach. The main leadership capacity building practice of
the resident principals was participating with authentic tasks of the principalship.
Brassington explained the importance of hands-on leadership roles for the development of
future principals:
I recognize that you can take all of the classes, read all of the books, look at
everything, but nothing prepares you for leadership more than doing, being in a
school culture, being in a school community, and actually having to lead.
In this quote, Brassington’s comments about the authentic engagement in leadership
situations is in line with literature that explained that professional learning is active, situated,
social, and constructed (Putnam & Borko, 2000).
Co-principal approach. In order to create this hands-on, authentic leadership
experience, the principal residency program’s internship component was based upon a
collaborative leadership structure. The practice of an internship program was the main
leadership capacity building strategy to grow the next generation of Catholic school
principals.
The principal-in-training and the Mentor principal both hold the title of principal on-
campus as “co-principals.” Program director Maureen explained that a key reason for the
co-principal title is for the resident principal to have access to all school business “from
human resources to finances.” Maureen further described the leadership capacity building
model:
The co-principal model allows for the resident to be viewed as a lead learner rather
than as an assistant principal or vice-principal, which historically has included

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classroom duties and delegated tasks from the principal. As a co-principal, all
shareholders view the resident as a partner in the role of lead learner. This provides
access for the resident to observe, participate, or even facilitate conversations that
require the ability to unpack emotionally charged situations that arise during the
school year with faculty and staff, students and parents.
The model of co-principal allows the resident principal access to experience the many roles
and responsibilities of a principal while working alongside a mentor. The program asks the
mentor to be transparent and inclusive of the intern principal, or resident principal. Mentor
principal Lisa Doyle explained her understanding of her role within the co-principal model:
Opening up and letting her [resident principal] see of it from the beginning to end,
every little piece that goes on. And the chance to be hands-on and handle stuff on her
own with a safety next in the background.
In describing the co-principal model, Lisa pointed to the relationship as that of a
supportive role model who is willing to allow her resident principal to take ownership of
tasks and projects. Likewise, Mentor principal Erika Ayon described the importance of the
co-principal model in this way: “I think the opportunity to share the role [principalship] with
someone and learn it in baby steps rather than just being thrown in the hot seat, that is huge.”
From the perspective of the learner, resident principal Maribel says, “I think its valuable to
see things and to learn, whether its by doing, by seeing, by being engaged in what is going on
at a site from the principal’s perspective.”
Within the co-principal model, each resident and Mentor principal spoke about their
daily communication as an on-going, shared, to-do list while navigating a shared
responsibility. Mentor principal Lisa explained, “I had a desk there, and she literally had the

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desk right beside me. We share space all day long, and it was just that constant conversation
of everything that was going on.”
Similarly, Veronica noted that she and her resident principal had “a lot of
conversations” in their shared office space with two desks. Veronica’s Resident Principal
Julie said, “She made me feel like I was a real part of the school. Everything that she did,
from budgeting, making decisions, hosting meetings, I was a part of. She sough my input.”
A common theme reported from resident principals was the importance of having
“access” to the daily tasks of the principal and the ability to be a collaborative partner in
running the school. The resident principals reported that they found value in the shadowing
experiences of the program where they were able to watch and have access to many
principalship tasks such as talking with parents, addressing building concerns, meeting with
the pastor, completing financial reports. The collaborative co-principal leadership model was
perceived as an important capacity building practice within the program.
Gradual release of responsibility. Another important component of the program
was the way in which the Mentor principals invited their resident principals to gradually
assume responsibility for principal roles. Gradual release of responsibility (Pearson &
Gallagher, 1983) involves a progression from explicit instruction to guided practice, which
incrementally set up learners to become independent at the task. In this case, principals-in-
training experienced a progression from observation of leadership tasks, to guided practice
with mentor support, to independent practice. Within the program, resident principals were
asked to journal their leadership experiences according to participation level as being
“observed, participated, or facilitated.” The data illustrated this instructional strategy as
gradual release of responsibility

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Observation. First, through the observation of Mentor principals, the resident and
master principals described observation as the first step in building leadership capacity.
Mentor Principal Teresa explained her early days with her resident principal were spent,
“walking her through everything that we do on a daily basis from the reports we have to put
together, the curriculum pieces that we have to work on.” Similarly resident principal Kevin
shared, “At first, it was me kind of sitting in his office, observing. Seeing how he talks to
parents. He would walk me though Quickbooks and things like that, and he was really open
in a really great way.”
Similarly, Maribel explained her early observation experience,
Sometimes it was as simple as sitting in on a difficult conversation with a parent, or a
difficult conversation with a staff member, and I was just an observer. I knew what
the conversation was going to be about, but I was not going to be engaged in the
conversation. It was seeing the principal leading it and learning about word choice
and how that conversation was addressed. Those were really valuable experiences,
being able to be present in the meetings and conversations that take place throughout
the year.”
Julie explained how her Mentor principal modeled her response to a principal task.

She [Mentor principal] would say, “Okay, I just got this email from a parent. This is
how I’m going to handle it.” When someone would come in to meet with her, I was
always a part of those meetings. I was basically with her all of the time.
In these quotes, the principals-in-training spoke of the value in observing and being present
for the daily tasks of a principal. In line with the practice of modeling, the expert or Mentor
principal demonstrated a task explicitly while the resident principals’ experience and build

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a conceptual model of the task at hand. Resident principals consistently reported that the
observations and shadowing of their Mentor principals in action was a helpful experience in
building their leadership capacity and learning about the roles of a Catholic school principal.
Guided practice. Another practice in building the leadership capacity of future
principals was using guided practice to foster leadership development. In guided practice,
resident principals were given support in the form of scaffolding and differentiated
instruction throughout the leadership development process. Mentor Principal Veronica
explained how she used reflection and open-ended questions to guide her resident principal:
I’d always start with a question like, “How do you think you did,” or given a scenario,
if there was a concern with a teacher, I would say, “How do you think we should
approach it?” Let her provide suggestions, and then if I felt that it was appropriate,
then we would go forward with that, or if I had another other suggestions or advice, I
would offer them.
This quote described the way in which the Mentor guided the learner through a
decision-making process. The data showed that guided practiced was perceived to be an
important step in building the leadership capacity of the learner.
Mentor principal Lisa Doyle described how she guided her resident principal Sarah
through the role of principal in a supervisory role. After the unexpected departure of their
second grade teacher and a quick hire of new teacher, Lisa and Sarah were faced with the
decision on whether to continue to provide support to this teacher who was struggling or to
let her go. Mentor principal Lisa explained the situation from her perspective on how she
and Sarah “talked through the process” over the course of several months.

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We needed to walk through it all, and even to some extent let her guide the process. I
probably would’ve cut the teacher earlier . . . I felt it was important to give Sarah the time as
principal. I probably let the decision go a little longer until she came alongside me, and saw
what I was seeing. We were counseling and working with the teacher on an almost daily
basis, but I didn’t make a move until Sarah said, “You know what? We just can’t do this
anymore.” It was like, okay, all right, now we’ll move forward, because I wasn’t willing to
make that decision without her.
This quote demonstrates Lisa’s intentional and mindful strategy of guided practice.
The guided practice strategy of allowing the resident principal to make decisions alongside or
with the support of the Mentor principal was also mentioned as an intentional practice by the
other Mentor principals. While from the mentor’s perspective, the guided practice was an
intentional strategy, Sarah summarized the situation as more of a collaborative decision. In
her journal, Sarah wrote:
It was important to consider each of the pillars when making this decision as it would
affect all shareholders in the process . . . . The students were the primary concern
when we were supporting this teacher . . . . Even with the supports, we decided that
the placement was not a good fit. From observations, meetings, and documentation,
we believed that to benefit the students and provide the appropriate rigor they needed
to improve and advance this year, the teacher would not be able to continue . . . This
is the part of being an administrator that may be extremely challenging, although
necessary at times.
This quote illuminated several leader thought processes in considering the students as
the focus of the decision as well as a mention of the diocesan pillars. In this quote, Sarah’s

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understanding of the role as principal to maintain a focus on student learning in line with the
pillar of academic excellence. Also, the quote highlighted the mission of the diocese in terms
of the awareness of the multifaceted decision-making process that aligned with the pillars of
faith, excellence, and stewardship.
Independent practice. In addition to observation and guided practice, the internship
also included authentic opportunities to take the lead role of principal as practice in building
leadership capacity. Julie explained that as the months went on, she and her Mentor principal,
“divided and conquered” and she started taking ownership of parent meetings, agendas,
student activities. Daniel mentioned, “As the year went on, I felt more comfortable, and I
think he [Mentor principal] also felt more comfortable saying, “Can you do this for me?”
Daniel went on to explain that leading campus tours and taking on supervisory roles:
I was able to get in the classrooms each day and do informal observations, give
feedback, look at lesson plans. These were things I’d never really done even as a vice
principal because I was teaching all of the time. Those things were really valuable to
me.
This quote highlighted Daniel’s perceived value in his independent practice serving in a
supervisory role. Resident principal Julie explained,
as the months went on and I became more comfortable, we kind of delegated. For
instance, payroll. She did it the first couple of times, I watched her, and then we
rotated every other payroll. There’d be times where I was responsible for payroll, and
I would do it. She would watch, and “Okay, you’re doing fine.”
Mentor principal Veronica explained the progression of gradual release of responsibility in
this scenario.

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She would observe me first and how I would do it. And then later on when she was
comfortable, she would lead in the conferences. And then again, after awhile, she
didn’t rely on me to be there at all. She was, just have the conference.
Mentor Principal Erika explained that she gave her resident principal the task of
owning the rollout of an online gradebook portal; asked her to own the project. “Sure
enough, she took care of that portion of the faculty meeting. She introduced it, she did all of
the backend work to be able to become the expert for the faculty. Mentor principal Erika
explained that after her resident principal’s demonstration of competency, she became
accustomed to saying, “Take this. Take the lead. Run with this.”
Lisa explained that unexpected circumstances lead her resident principal to assume
full leadership responsibilities in her absence during a situation involving Child Protective
Services. In her quote, she explained how this situation built her leadership capacity as a
decision maker:
I think it was good that I was gone. She had to deal with all of the powers that be
downtown, and it was tough. She had to deal with parents. She had to deal with the
pastor, and she had to keep everybody calm and walk through the situation and deal
with the police. If I had been there, she probably would have deferred to me, so the
fact that I was away and she had to deal with it.
Lisa went on to say that she had the support from the program director and the
assistant superintendent, but, “she had to really do it.”
Another way that the resident principals had independent leadership practice was
assuming their role as principal of their future campus during the last months of the residency
program. This experience was possible because three of the residents were hired for their

85
principalship in the early spring and were able to begin the transition process as principal of
their school for the 2017-2018 school year under the program guidance. One resident
principal recounted her contract meetings with her faculty at her new school site where she
would be principal:
I met with all teachers. He [outgoing principal] was in the room with me, but I was
able to do all the talking. I led the conversations and included an addendum for
teachers laying out professional expectations, setting the dates for teachers to mark in
their calendars now. Being able to have these conversations will hopefully set the
tone for the school year in the fall.
The authentic leadership experiences within the year-long resident program were
perceived by both resident and Mentor principals to be vitally important to building the
leadership capacity of the future principals. The program structured learner experience to
include instructional scaffolding as a part of a graduate release of responsibility within a
relationship of a Mentor principal.
Another important leadership capacity building practice was the intern principal
participation in their small group professional learning community. Within the small group
of five resident principals, led by program director Maureen Long, the future principals
processed, reflected, and engaged in learning about leadership and the roles of a Catholic
school principal.
Participating in a Professional Learning Community (PLC)
An important component of building the leadership capacity of the future principals
was their participation in a professional learning community. Literature defined professional
learning communities as a group of individuals, held accountable by professional standards,

86
who are committed to continuous improvement with a collaborative setting (Louis,
Leithwood, Wahlstrom, & Anderson, 2010; Stoll, Bolam, McMahon, Wallace, & Thomas,
2006; ). The West Coast Diocese Department of Catholic Schools used professional learning
communities (PLCs) as an organizational model for communication and collaboration. The
data showed that building the program within a professional learning community was an
important perceived strategy in preparing the future leaders of the diocese. Maureen
explained: “It’s through my modeling in the cohort, what it means to be a professional
learning community, so they can take that experience to their campus.” Responses from
Superintendent Brassington, Association Superintendent Smith, and Program Director
Maureen stated the importance of the future principals learning the professional learning
community model through their experience working within a professional learning
community.
The PLC structure was established to host multiple touch points for collaboration
including in-person seminar days, site visits, diocesan professional development days, and
online learning tasks. During monthly seminar days, the five resident principals met to
engage in learning activities aligned in the three pillars of faith formation, academic,
excellence, and stewardship. During an observed seminar, five resident principals began
their day by sitting at a round table together and sharing updates about their personal lives,
their campus’ initiatives, and their overall feelings about their new role as a principal. While
listening to the resident principals’ updates, Director Long offered encouragement about
challenges they were facing and also encouraged members to share about the positive
outcomes of their efforts. In this way, the seminar days were observed to be focused on
learning leadership skills and also about building a sense of camaraderie and community

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building. The literature on building well-disciplined PLC groups included the celebration of
achievements (Kanold, 2011).
Learning problem solving skills. As a part of the professional learning community
time, resident principals also engaged in scenarios and learning about practice problem
solving as a school manager within the collaborative group setting of the PLC. Julie
explained her experience in her PLC seminar days as a practice in problem solving as a
school principal:
A lot of hands-on stuff, like we would get scenarios, like, “This happened at a school.
What’s your plan of action? What are you doing to do first? How are you going to
find information?” A lot of case study activities were it was like… A lot of that was
practical stuff. Then, we had a situation at St. Xavier where a student brought a gun
to school. It’s like, “How do you handle that?” A lot of basically, experience
handling these unique situations that you pretty much have to go through to know
what to do.
The resident principals described the seminar days as constructive and collective
problem-solving sessions. Resident principal Karina explained the benefits of her experience
within the cohort PLC on seminar days. She said,
I think that [seminar days] was part of the program that was most beneficial because
it allowed us to learn from five different schools. So, you’re not only experiencing
the day-to-day at your school, but then we come back, and we’re debriefing, we’re
sharing challenges, we’re problem solving things going on at each site. “How would
you handle this if you were in the shoes of that principal?” Learning from different

88
situations that came up at each site and us collaborating on different approaches with
the support of Maureen.
During group observations of the PLC seminar days, the resident principals shared
their own problem-solving strategies, learned about each other’s challenges and solutions,
and also received guidance and feedback from Program Director Long in light of her
leadership experience.
Learning Catholic school finance. On a PLC seminar day for Cohort 2, the five
resident principals sat a large round table to engage in conversations on the pillar of
stewardship. When explaining the importance of learning the role of principal as financial
manger of a school, Maureen explained, “These [financial issues] are the things that can take
away from the real work of school which is student achievement and teacher growth.”
Additionally, Resident principals cited the role of principal as financial manger as an area
where they needed most preparation. Maribel explained, “One of our big anxieties as a
cohort was the finances, the stewardship portion.” Literature supported this aspect of the
Catholic school principal role as a challenge for new principals due to their lack of
experience in fiscal leadership practices.
The principal residency program builds the fiduciary leadership capacity of the intern
principals through case study analysis and reflective discussion. First, resident principals
study the financial operating systems of their school site through the use of QuickBooks,
tuition management programs such as FACTS, SMART, payroll, and HR the management.
On an individual level, resident principals complete an in-depth audit of their school’s
finances by taking inventory of tuition management plans, fee structures, payroll, cash flow,
and basic accounting practices. During an observation of Maureen meeting with a resident

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principal, the two compared the monthly activity that included tuition, donations, parish
support funds, monthly bills, and health insurance and other operating costs such as monthly
bills and utilities against the budget.
Resident principals built their leadership capacity as financial leaders in a group
setting during seminar cohort days, future principals shared their campuses stewardship
models and participated in critical analysis of each model including practices in tuition
negotiation using a standard financial equation. During seminar days, Maribel described
Maureen’s teaching strategy of asking questions such as, “Were you able to establish a
tuition management system at your school site? Describe what that looks like for your
school? Would you say it’s fully implemented? Why?” Maribel explained that being able to
articulate answers to these questions made her “feel more comfortable in the area of
stewardship.” Similarly, during an observed seminar on stewardship and finances, one
resident principal asked, “How do you shift the culture away from punitive fees (for late
tuition payments)?” Maureen responded, “You must be clear and transparent with your the
tuition collection. And it has to be in line with the diocesan mission of growth.” This was
one example of how resident principals explored stewardship tasks of the principal in
alignment with the diocesan vision. Within the PLC model, principals-in-training co-
constructed solutions to the financial challenges that impact Catholic school principals. The
program also used book studies to support in building leadership capacity. In these ways,
Director Long provided an in-depth and step-by-step look in the stewardship role of a
principal.
Connecting theory to practice. Another strategy to build leadership capacity was
through the completion of coursework requirements such as book studies. The PLC group

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read texts such as: Five Disciplines of PLC Leaders by Kanold, The Art of Coaching Teams
by Elena Aguilar (2016), Cultures Built to Last by Richard DuFour and Michael Fullan
(2012), and Teach like a Champion: 49 Techniques that put students on the path to college by
Doug Lemov (2010). During an interview, Daniel pointed to a row of books on his office
shelf and said the books from his residency program have been “really helpful” and that he
has referenced them during his first months as a principal. Similarly, Maribel explained, “It
was not only the dialogue, the discussion, the problem solving together, but then it was also
using the content we were reading in our book studies. Really engaging in our continued
learning as leaders”
Julie explained,
A lot of how I articulate why I’m doing things with my faculty or last night at our
back to school night I had a parent meeting for back to school. A lot of the verbiage
and how I was able to articulate our mission and what we’re doing comes from that
study piece….
She continued, “It changed my view on . . . Not only what good leadership is, but how you
get to that point, how to create that culture in your school.
In this quote, Julie asserted a clear connection between the theories of effective
leadership and the implementation of leadership strategies that can be applied to a school
setting. The book studies served as an exploration of leadership theory and the internship
provided the connection to practice.
Reflective journals. During the residency program, the principals-in-training used
reflective practice as a way to build their leadership capacity. By using the reflection log
journals, Maureen used this communication tool through Google classroom to mentor the

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resident principals. Resident principals were required to connect to a Google classroom in
order to log weekly leadership experiences, provided reflections from their experiences, and
state their ongoing research. In one resident principal log, Maribel stated, “I want to continue
to learn about managing difficult conversations. How to facilitate conversations when a
teacher is disrespected. Approaches to coach teachers in their own difficult conversations
with parents. For example, if a teacher disrespects a parent?”
Within the Google reflection document, Maureen responded to Maribel’s reflection
and inquiry with resources and general support:
Maribel – This is a terrific resource – take a read – it does sound like you handled it
well. I think you could be of great assistance to the teacher by role playing how this
went – you could be her – and come up with strategies where she doesn’t get
defensive – there is no winning here, right? (Whitaker & Fiore, 2016)
The reflective journals served as both a personal reflection tool and also a
communication tool between the resident principal and the mentor. The reflective journal
provided a personalized and individualized tool for mentorship.
Support and mentorship. Within the professional learning community, mentorship
was perceived to be an important leadership capacity building strategy. The principal
residency program consisted of five resident principals, five Mentor principals, and one
program director; this program provided a formal structure of support for future principals.
Resident principal Maribel explained that the cohort model was in line with the vision of the
diocese about a collaborative culture of growth. She stated,
Going off that vision of the diocese, you have a group that you’re able to collaborate
with, that you feel comfortable with so that it doesn’t become this taunting, “I’m in

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my own bubble, and I can only manage these issues by myself,” because a lot of
times, I think it does take us being open and sharing our issues and problem solving
together so that we are better serving our communities and being there for our sites.
Formal mentorship. The principal residency program provided mentorship to
principals in training as a way to build leadership capacity. The program established two
avenues of mentorship, master principal and resident principal and resident principal to
program director.
The Mentor principals also provided in-the-moment mentorship after the resident
principals have completed the internship and are serving in their first years as principal.
Daniel explained that during his first year of his principalship he texted his Mentor principal
this year for advice on hiring a teacher.
Even now, I’ll text him [Mentor principal]. We were looking for a part time teacher
and I just texted him. I’m like, “My gut is telling me not to hire any of these people
because I just don’t think that they’re a good fit for the job, but we also still have a
space and school has started. What would you do?” and he’s like, “You always wait
for the best person. If you’re not comfortable with it, wait.” I think little advice like
that has been really helpful.
The Mentor principals spoke of their commitment to continued support of the new
principals. Mentor Principal Lisa reiterated the message of on-going support as a Mentor.
She [resident principal] knows that she can pick up the phone at any moment and call
or that I can be at her school in a heartbeat if I need to or she can come here for the
day if she needs that.

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As an ongoing support system, the residency program continued its support of the
formal residency principals with several touch points throughout their first year as principal
such as online conference meetings every month as a way to facilitate collaboration between
the new principals and site visits of each other’s campuses. During the second year of
operation, Cohort 1 principals hosted site visits for Cohort 2 principals during their residency.
In this way, the future principal is connected to a ” mentor and a mentor as a master principal
or that of an expert level mentor. Learning theory supports the effectiveness of having a role
model that is close to one’s ability and experience level as well as a mentor who operates at
an expert level mentorship.
Cohort support. In addition to the formal support and the Mentor principal support,
the fellow cohort members offer informed support during their first year as principal.
Resident Maribel explained her thoughts on the ongoing cohort support,
Having that group of individuals that are there to support you, that are there to
problem solve, to discuss challenges, to share successes, to shoot over a text saying,
“This just happened. What do I do?” Someone that you can rely on. I think that
helps you continue to grow, and knowing that you’re not tackling everything by
yourself.
Daniel reiterated this notion of camaraderie and explained that he frequently texts his
cohort members to ask advice on how to handle a situation. Likewise, Julie said that her
cohort “constantly checks on me and they’ve stressed that you need to prioritize, and that
there will always be a list.”

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A predominant theme from the data showed that resident principals found value in the
mentorship from their cohort members. Through formalized and continuing mentorship and
support, the program sought to build leadership capacity building.

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Discussion of Research Question One
Four emergent themes from research question one highlighted the practice that the
West Coast Diocese used to build leadership capacity in future Catholic school leaders,
engagement with mission and vision, an internship as a professional learning experience,
participation in a professional learning community, and a formalized mentorship program.
The findings from the data aligned with three transformation leadership theories (Kouzes &
Posner, 2008). First, throughout the principal residency program, principals were
intentionally and purposefully engaged with the mission and vision of growth for the diocese.
Secondly, through the internship program resident principals had authentic practice within
the role of the principalship. Third, within the PLC and during the internship program, the
program models the way through the mentorship of Maureen and the master principal.
First, the principal residency program encouraged engagement with and alignment to
the mission of the West Coast Diocese Department of Catholic Schools. As literature
suggested, an important component of leadership development and succession planning was
the alignment of learning the organizational mission and vision (Fink & Brayman 2006). In
this way the West Coast Diocese Department of Catholic Schools set a vision for growth and
provided many opportunities for future principals to engage with this vision through written
exercises, self-reflection, and through authentic leadership experiences that aligned to the
mission. Also, this reflective practice is in line with the contemplative practice of reflection
for Catholic school leaders (Schuttloffel, 2016).
Second, the principal residency program employed the leadership capacity building
strategy of enabling future leaders to act within the internship program. The residences’
leadership experience was situated and authentic within the role as co-principal through

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gradual release of responsibility. As Anast-May, Buckner, and Geer (2011) asserted, a way
to improve principal preparation programs is to provide authentic practice in multiple and
varied opportunities in an administrative role.
Thirdly, the principal residency program established a professional learning
community that provided a collaborative structure for journaling; practice with problem
solving skills, and to learn Catholic school finance within a collaborative setting. The
reflective journals encouraged the principals-in-training to capture and make meaning out of
their experience. In line with transformational learning, Mezirow (1991) asserted that the
philosophy of adult education includes “helping learners to be self-guided, self-reflective,
and rational and helping to establish communities of discourse in which these qualities are
honored and fostered (p. 224). This way, future principals were engaged in a reflective
community as a way to develop leadership skills.
Lastly, for model the way, the program established a formal mentoring program that
built positive relationships. Mentoring has been shown to be effective in building leadership
capacity for pre-service administrators (Darling-Hammond et al., 2007) as well as mentoring
programs in support of current administrators (Silver, Lochmiller, Copland, & Tripps, 2009).
The resident principals experienced formal mentoring both during and after their residency
program experience. The resident principals articulated the knowledge, advice, and the
ongoing support they received from their Mentor principal as well as their program director.
The principal residency program provided two formal avenues of mentorship, from the
master level co-principals and from program director Maureen Long.

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The principal residency program in the West Coast Diocese Department of Catholic
Schools used practices that are grounded in current research and transformation leadership
theory.
Research Question 2

The second research question sought to identify the challenges to supporting and
maintaining leadership capacity building strategies within the principal residency program.
First, a challenge to sustaining the principal residency program was clarifying the roles and
expectation within the co-principal model. Resident and master principals explained
challenges in navigating their job sharing responsibilities. The second challenge in
sustaining the principal residency program was creating and maintaining a working
relationship with school pastors in the areas of hiring and evaluating school principals. The
third challenge in sustaining the residency program was the future planning for leadership
and continued financial support.
Clarifying Co-Principal Model
One theme that emerged as a challenge to building leadership capacity with the
residency program was navigating the roles and responsibilities of the co-principal model.
Historically, one principal serves as the leader of the campus and in charge of all aspects the
academic, managerial, and faith leader of the school. In this study, resident and master
principals served as co-principals who were tasked with sharing the academic, managerial,
and spiritual leader. The challenge was that both resident and master principal worked
through the nuances of the mentorship/co-principalship model. For example, resident
principal Daniel explained that during his year in the program, he and his Mentor principal

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were, “kind of figuring it out.” Similarly, resident principal Maribel reiterated early
challenges she experienced while learning leadership skills as an intern principal:
I think at the beginning we both struggled with that open communication as to, “What
do you expect me to do? I’m here to learn, but I’m also here to help and support . . . I
didn’t feel like I was being given the opportunity to learn and lead as much. I
expected it was going to happen on day one.
Master principal Lisa explained the challenge of establishing lines of communication
between herself, her resident principal, and her faculty. “People would say something to me
but not copy it to Sarah.” Lisa continued,
The faculty recognized that she was the equivalent of me, and like I said, I think
that’s what caused some of the communication struggles. There was a little tension
as we tried to get everybody, look, if you say it to me, you’ve got to copy it to Sarah.
If you said it to the office manager, you’ve got to make sure that Sarah and I both get
a copy, that kind of working throughout that communications loop.
In this example, confusion on roles of the co-principalship brought confusion to the role. A
common theme was among the participants was explaining the challenge of determining how
the intern principal would learn side-by-side with the master principal.
Each pair of resident and master principal explained varying strategies they used to
manage the challenge of job sharing. One master principal explained that she and her
resident principal took sole responsibility for different grade levels in the building to create
clear supervisory roles. Maribel described her experience as “mostly observing” her master
principal with access to some aspects of the role as principals. Mentor Principal Veronica
explained her perspective on program challenges regarding her role as a Mentor principal,

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I feel like had we had more meetings, I think the expectations would’ve been a lot
more clear in terms of what you should be doing to help grow. But I think having
more frequent check-ins with master principals and resident principals together, that
might help strengthen what those expectations are.
In this quote, Veronica described the challenge in navigating the role of Mentor principal
within the co-principal model. Thus, one of the challenges is working in collaboration with
both Mentor and resident principals to clarify the working relationship of co-principal on
each campus site.
Operating with Diocesan and Pastoral Leadership
A challenge to sustain the principal residency program was the operation of the
program with two collaborating entities, the diocesan Department of Catholic Schools and
individual school pastors within the West Coast Diocese. As discussed in Chapter 2, both
entities, the Department of Catholic Schools and the individual Church pastors at the over
200 schools, work within a partnership to recruit, develop, hire, and grow the next generation
of principals within the diocese. Within these roles, the pastor assumes oversight and
supervision responsibility of principal hiring and supervision along with the pastor’s selected
principal search committee. A challenge is to ensure that individual pastors trust in the
effectiveness of the principal residency program .
Hiring of program graduates. One of the potential challenges in the programs’
sustainability was the career path of the program’s graduates. As mentioned in Chapter
Three, the West Coast Diocese seeks to fill the approximately 30 open principalship positions
each school year. Each pastor has autonomy of the hiring process. Associate Superintendent
Smith described the situation as “kind of a gamble” in the sense that program graduates are

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not guaranteed a principal position within the diocese. Though all principal residency
program graduates were hired for principalship positions for the 2017-2018 school year, it is
not a guarantee of placement. While the principal residents commit to serving as a principal
within the diocese for three years at a school serving a minimum of 40% students qualifying
for free and reduced lunch, there is no guarantee of placement. However, because of the role
of pastor as main decision maker in hiring and firing principals, this is not a guaranteed,
contracted timeframe. Smith explained, “Resident principals commit to serving for three
years in the diocese as a principal; however, job placement within the diocese is not
guaranteed because pastors are in change of individual school site hiring.” Thus, this presents
a potential long-term sustainability issue. Without pastors offering hiring agreements to
program graduates to lead their campus, the program’s purpose to prepare future principals to
lead Catholic elementary schools will cease to exist.
Establishing program credibility. As a result of this relationship, one of the
challenges to supporting this new principal residency program was building and maintaining
a trustworthy and working relationship between the pastors and the principal residency
program. Superintendent Brassington explained this relationship is an ongoing challenge of
the principal residency program: “earning credibility with the pastors so they trust that we
know what we are doing in terms of the recruitment, training of new principals.” He
continued to describe this challenge this way, “[pastors] are wiling to buy into, not a loss of
control because they’re still the pastor, but some level of insight and overseeing from us
[Department of Catholic Schools] because they want this high quality individual at their
school.”

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Brassington continued to explain that a challenge was to run a “high quality program”
to build the leadership capacity of future principals. By preparing high-quality candidates
within the principal residency program, the DCS is likely to foster a positive partnership with
the pastors in hiring the diocesan program graduates. The challenge for maintaining the
principal residency program is establishing the trust and buy-in of each hiring pastor to fill
his vacant principal position with a graduate of the principal residency program.
Planning for the future. Succession planning and continued funding were cited as
challenges to sustaining the principal residency program. First, regarding a principal
residency succession plan, Smith explained a challenge to maintaining the program overtime,
There has to be a succession plan in place. Because her [Program director Maureen
Long’s] leadership is critical and her style of leadership is critical to the success of
the program. . . Whoever comes in has got to . . . come through the ranks and has to
get somehow trained up by her. There has to be, if not a succession plan, a
phenomenal transition in order for the program to continue.
Currently, there is not a formal succession plan in place for the director of the resident
program. While the program is in its second year of operation, the growth and sustainability
of the program is a potential challenge in the future. Currently, Program director Maureen
Long has an assistant director that began during the 2017-2018 school year.
Secondly, another potential challenge to the long-term sustainability model of this is
the continued funding. The principal residency program relies on 100% of its funding from a
private family organization: The Geary Foundation. Foundation members collaborated with
Brassington, Smith, and Program director Maureen Long during the initial planning stages of
the program and continue to meet with the leadership team on a monthly basis in a

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collaborative role. The financial responsibilities of the program include, according to the
program website, $5,000 to the master principals for their mentorship role, approximately
$55,000 salary and benefits for the five resident principals, as well as a salary for the
program director and administrative assistant. Brassington explained the challenge of
maintaining the support of building the next generation of Catholic school leaders, “We can’t
do this through our [Department of Catholic Schools] office. We have to get this funding
because this funding is the key. So we are obviously dependent upon this funding.” Thus,
the sustainability of the principal residency program is contingent on the continued
philanthropic partnership of The Geary Foundation.
Third, a potential challenge to the sustainability of the program is the ability of the
program to attract a qualified number of candidates to voluntarily participate in the diocese
principal residency program. The principal residency program is not approved by the
California Commission on Teacher Credentialing and does not award a Preliminary
Administrative Services Credential to successful program graduates. As the website stated:
“The Resident Program is not affiliated with any university and residents do not receive a
Masters or credential upon completion.” Thus, a potential challenge in the sustainability of
the program is to ensure qualified candidates to apply for a position as a resident principal
without the opportunity to earn an administrative services credential.
Secondly, a challenge to the sustainability of the program is to attract a qualified
number of candidates without a guarantee of job placement. Upon the completion of this
program, principal candidates are not guaranteed a principal position within the diocese due
to the autonomous leadership structure built into the history of parochial Catholic schools.
Because of these factors, is it important to consider future candidates' motivation to apply for

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the residency program, which may be a potential challenge in the sustainability of the
principal residency program.
Discussion of Research Question Two
There are several challenges to building the leadership capacity of future principals
within the West Coast Diocese Department of Catholic Schools principal residency program.
Research validated the following challenges: clarifying the co-principal model, selecting
effective mentors to serve the program as master principals, operating with the diocesan and
pastoral leadership, and future planning of leadership and funding.
The first challenge of clarifying the roles between the Mentor and master principal as
co-principals is in line with research on studies of a co-principal leadership model. In a study
surveying over 100 co-principals from across the county, challenges were cited as
communication issues, defining responsibilities, and presenting a “united front” on decision
stakeholders (Eckman, 2007). In a similar way, the Mentor principal and intern principal
experienced similar challenges of two full-time principals leading a school. Because very
little research has revealed practices in a co-principal model as a professional internship
model, these findings are unique.
Second, the challenges found in operating a large diocesan program with a
partnership with pastoral leadership is an authentic and genuine challenge that is not highly
researched in Catholic school districts. In this way, it is a unique challenge for this principal
leadership preparation program to exist within this unique relationship. However, the
challenge of evaluating principals based upon a principal’s evaluation and school
performance standards is not unique to Catholic educational leadership. In study of
evaluation practices of public school principals, Cantano and Stronge (2007) highlighted the

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challenges of evaluating a school principal’s performance given the changing complexity of
the principal’s role along with the changing standards for academic achievement as measured
by standardized tests.
Third, succession planning is a challenge for any organization (Collins, 2001; Fink,
2011) as well as continued and sustainable funding. While the principal residency program
sought to address the succession planning of diocesan principals, the program itself also
required a succession management plan to achieve sustainability. Literature supported
succession management as a challenge to sustaining continued growth (Fink, 2011; Fink &
Brayman, 2006). Similarly, in the area of Catholic school financial sustainability, as tuition-
based institutions, Catholic schools have experienced decline in enrollments in all regions of
the county (17.6% since 2006) (McDonald & Schultz, 2016). Private philanthropy has
enabled families from low-income households to pay for the “ever-rising tuition costs”
(McDonald & Schultz, 2016, p. 1). Thus, the challenges for sustaining the residency
program over time are congruent to the challenges that Catholic schools face nationwide.
Summary

This chapter presented an exploration of the study’s findings by research questions.
The findings identified the clear strategies used in the principal residency program: alignment
to diocesan mission and vision, authentic professional learning experiences, participation in a
PLC, and support and mentorship. The results indicated program challenges are to clarify the
distinct roles within the co-principal/internship model, navigating between the collaborative
diocesan and pastoral leadership, and future planning involving leadership succession and
continued funding. It is important to consider the implications of these findings. To that end,

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Chapter Five includes the implications of these results and offer suggestions for future
research in the area of building leadership capacity.

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CHAPTER FIVE: SUMMARY AND DISCUSSION

Leadership is a critical factor in determining the success of an organization (Bass,
2008; Collins, 2001; Leithwood et al., 2010). Educational leadership is vitally important to
students’ academic achievement in schools, and studies suggest a growing need for the
development and continued support of high-quality school administrators (Hargreaves &
Fink, 2010). There is a demand for quality leaders to fill principal vacancies in both public
and Catholic school settings due to a retirement bulge of baby boomers (Fink & Brayman,
2006; Fitzgerald and Sabatino, 2014; Hargreaves & Fink, 2010). In Catholic education, there
is a need for high quality leaders due to the demographic shift away from clergy serving as
principals to now lay members running Catholic schools. Currently, 97.2% of Catholic
school leaders are laypersons (McDonald & Schultz, 2016) that may lack the theological
training and spiritual knowledge that pertain to leading a spiritual community (Sabatino &
Montejano, 2012; Schottloffel, 2003). In a study of novice Catholic school principals, one-
half reported that they lacked necessary theological training or spiritual knowledge
(Schottloffel, 2003). Given the importance of preparing Catholic school leaders to assume
the complex role of principal, research showed that few schools properly plan for the
succession of its leadership (Hargreaves, E., 2005) and most districts lack leadership
succession planning models (Fink, 2011; Fitzgerald & Sabatino, 2014). In the Catholic
school system, national survey data showed that over 50% of the superintendents, religious
leaders, and board chairs reported not having an existing leadership succession plan in place
(Fitzgerald & Sabatino, 2014). Thus, the problem is filling Catholic school principal
vacancies with prepared Catholic school principals who will serve as a faith, academic, and
managerial leader.

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Literature pointed to the importance of intentional succession planning in order to fill
vacant principal roles (DeAngelis & O’Connor, 2012; Fink, 2001; Fink 2011). Numerous
sources called for intentional leadership succession planning as a means to develop a
reservoir of high-quality principal candidates (DeAngelis & O’Connor, 2012; Fink, 2011).
In a church document entitled Renewing Our Commitment to Catholic Elementary and
Secondary Schools in the Third Millennium, the American bishops asserted,
We must provide a sufficient number of programs of the highest quality to recruit and
prepare our future diocesan and local school administrators and teachers so that they
are knowledgeable in matters of our faith, are professionally prepared, and are
committed to the Church. (United States Conference of Catholic Bishops, USCCB,
2005, p. 10).
The preparation and continued development of future Catholic schools leaders is vital to
developing the catholicity of our schools (USCCB, 2005).
Given the importance of effective leadership in schools and a call for the intentional
development of future Catholic school leaders, what remains to be known is how dioceses
can build leadership capacity of their teachers in order to fill principal vacancies? While the
recruitment and development of faculty and lay leadership is one of the most important
factors for the successful future of a Catholic school (Heft, 2011), there is a gap in research
on how Catholic schools can systemically build leadership capacity and grow a reservoir of
future leaders to assume vacant principal positions (Canavan, 2001). Principal leadership
matters to the academic success of students (Marzano, Waters, & McNulty, 2005) – and
dioceses should maintain a focus in identifying, developing their leaders, and supporting their
continuing growth (Fitzgerald & Sabatino, 2014).

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Purpose of the Study
The purpose of this study was to examine the promising practices that the West Coast
Diocese employs in order to create a pipeline of leaders who are prepared to fill school
principal positions within the diocese. The study explored practices that develop and support
the building of leadership capacity for the next generation of Catholic school leaders. To
gain insight on the promising practices, this study addressed the perceptions of the internal
stakeholders regarding the developmental leadership systems and structures at the West
Coast Diocese. The research also addressed the perceived challenges that the West Coast
diocese faced while building a leadership capacity to prepare the next generation of leaders.
The purpose of this study was to contribute to the body of research on the promising
practices that some school principals employ to build leadership capacity in teachers who
will go on to be the next generation of school principals.
Research Questions
In an effort to understand how organizations build leadership capacity of future
leaders, the following research questions were constructed as a collaborative group:
1. What are the perceived practices of the principal residency program that contribute to
building the next generation of leaders?
2. What are the challenges to supporting and maintaining the strategies designed to build
leadership capacity?
Summary of the Findings

Findings revealed that the West Coast Diocese Department of Catholic Schools
(DCS) systematically and structurally built the leadership capacity of future leaders with the
intent of preparing them to assume principalship roles within the diocese. The DCS

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emphasized the importance of leadership building within the diocese and developed and
implemented a program designed to specifically prepare future Catholic elementary school
principals through a principal residency program. The leadership development program was
closely aligned with the organizational mission and vision and included a year-long
internship experience with formal mentoring, participation in a professional learning
community, and the support of a small cohort.
One of the most important leadership development practices used within the resident
program was the intentional and systematic program engagement with the diocesan vision
and mission. Superintendent Brassington’s leadership vision: Leaders establish a
collaborative culture of growth to ensure vibrant Catholic schools for present and future
generations, was reported from almost all of the study participants. This collective mission
and vision of continuous growth set the standard for operating goals in the areas of academic
excellence, faith formation, and stewardship. Throughout the program, resident principals
reflected upon their practice as a resident principal and continuously aligned their actions and
decisions to the goals of the diocese. Throughout the data collection process, the alignment
of people and programs to this vision was paramount.
Another theme that emerged from the findings as a promising practice in leadership
capacity building was the participation in an internship as a professional learning experience.
Participants most often referenced the co-principal leadership opportunity as their most
valuable learning experience. During the internship experience, the master principals and
resident principals perceived the gradual release of responsibility as an effective leadership
capacity building strategy. Specifically, the co-principal model lead by the master principal
allowed intern principals authentic leadership practice in managing a budget, hiring and

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dismissing faculty members, serving as a an instructional leader, and building cooperative
relationships with stakeholders. The authentic leadership experiences within the year-long
resident program were perceived by both resident and mentor principals to be vitally
important to building the leadership capacity of the future principals.
Another perceived leadership capacity building practice was the intern principals’
participation in a small group professional learning community (PLC). Within the small
group of five resident principals, lead by Program Director Long, the future principals
processed, reflected, and engaged in learning about leadership and the roles of a Catholic
school principal. The PLC provided the future principals with an informal and structured
setting in which to critically reflect on their personal leadership experiences and to engage in
collaborative, inquiry-based problem solving practices. During the professional learning
community seminar days, the resident principals studied leadership theory through book
studies, learned school financial practices through hands-on budget analysis, and engaged in
problem-solving scenarios. The resident principals reported that the seminar days within this
PLC was beneficial to solidifying their beliefs and decision-making skills as Catholic school
leaders. The resident principals perceived the PLC structure to build camaraderie and
facilitate a supportive and collaborative network of peers.
The professional learning community fostered an on-going support system for the
future Catholic school leaders, which was perceived as an important leadership capacity
building practice. During the year-long program, the intern principals noted that they relied
on their peers for personal and professional support through their shared experience as co-
principals. The data revealed that the cohort model was not only a support system during the
program, but continued during the resident principals first year in a solo principal position.

111
The program graduates reported to have sought advice from their cohort members about
decision regarding financial and managerial task. Another supportive aspect of the principal
residency program was the continued support of Program Director Long and the master
principals who gave advice on teacher hiring and school safety issues during their first
months as new principals in the diocese. The practice of continued support and mentorship
served as an important leadership capacity building strategy within the residency program.
The foundation of this residency program was understood within the conceptual
framework of three transformational leadership practices that provide a theoretical
framework for this study. Though not an explicit study finding, the data pointed to the
leaders of the DCS as employing transformation leadership qualities as a way to structure
their succession management practices. The residency program used the transformational
leadership practices of modeling the way, inspiring a shared vision, and enabling others to act
which built the leadership capacity for future Catholic school principals. Through the three
transformational leadership practices, the West Coast Diocese, the DSC was deliberate in
employing strategies to build the leadership capacity of future Catholic school principals.
The program aligned to the transformational leadership practice of establishing a
shared mission and vision that transcends all program elements. Superintendent Brassington,
along with Associate Superintendent Smith, established a clear, articulated mission and
vision for all diocesan schools and programs. That data showed that all of the stakeholders
throughout the program aligned their own mission and vision to that of the West Coast
Diocese (DCS). By modeling the way, the Program Director Long and the mentor principals
were found to be assured and confident of their own values and set personal examples for
how to lead in accordance with one’s beliefs about teaching and learning. Additionally, the

112
models reportedly followed through on their school goals and commitments during the
program experience; thus, modeling the way and leading by example. Lastly, the program
employed transformational leadership by enabling the principals-in-training to act. Resident
principals were encouraged to take on leadership roles and assume ownership for important
principal tasks. Transformation leadership practices were perceived to be effective in
building the leadership capacity within the DSC’s principal residency program.
This study found challenges to building leadership capacity within the principal
residency program. A reported challenge was navigating the co-principal model in terms of
establishing clear communication practices and delineating roles and responsibilities of the
resident and mentor principal. However, despite this challenge, the residents perceived great
value in the authentic practice, mentoring, and skill building in their internship and reported
the internship as their most valuable leadership preparation experience. Second, a
sustainability challenge was maintaining a positive and collaborative working relationship
with the pastors in terms of hiring program graduates and also providing evaluative feedback
on the program during the graduates’ performance first years in the principal position. Even
though the job placement of the former resident principals might pose a challenge in future
years, all cohort 1 principals were hired and are serving in their first year as principals.
Two areas of the programs’ future planning posed potential challenges. First, as the
program is in its second year of operation with cohort 2, one future challenge is the
succession plan for a program director of the principal residency program. The
Superintendent and Associate Superintendent both reported that the current success of the
program is due to the leadership of program director Maureen Long and that a plan should be
considered to develop her successor. Secondly, a challenge to the sustainability of the

113
program is the continued funding by The Geary Foundation who currently serves as financial
and collaborative partners of the principal residency program. In its second year of operation,
these sustainability challenges have the potential to be addressed.
The perceived practices to building leadership capacity of future leaders were through
continuous engagement with a clear mission and vision, participation in a 12-month
internship program and a professional learning community, and a formal support and
mentorship program. Overall, resident principals currently serving as principals reported
feeling confident in their ability to lead and prepared for the role as a result of their time in
the residency program. Resident principals as well as the master principals reported that the
program improved their leadership capacity building skills and that the program was
beneficial to the school community and attributed this to the co-principal model with two
leaders working towards the goal of student achievement and faith formation. The resident
principals reported feeling confident about their role as principals even while mentioning the
overwhelming nature of the position.
Implications for Practice and Policy

The findings from this study have implications for the field of leadership capacity
building within dioceses as well as within college and university leadership preparation
programs. The findings revealed that several practices were perceived to be effective in
building leadership capacity for future principals. Diocesan leaders as well as university
leaders may find the results of this study helpful in determining ways to prepare future
Catholic school principals.

114
Diocesan Leaders
Recommendations from this study might include the creation of a formal diocesan
succession management plan and the implementation of a structured process for building
leadership capacity of Catholic school teachers at each school site. In addition to
introductory leadership programs that may be in place, diocesan leaders may also consider
creating a more formal, long-term internship program, similar to the West Coast Diocese,
that includes hands-on leadership experience and one-on-one mentoring on a school site. A
diocesan internship program might consider bringing candidates who already hold
administrative degrees or credentials as the findings suggest that resident principals receive
specific experiential learning as it pertains to the mission and vision of the diocese that can
build upon the theory-based university preparation programs. As an alternative to seeking
candidates who already hold administrative credentials, the principal residency program may
consider operating as a California commission or state approved program to award
administrative services credential to program graduates. By operating a state approve
leadership program, diocese may address the potential sustainability challenge of attracting
future candidates as program graduates. Dioceses that are looking to create long-term
sustainable growth might consider integrating a formal internship program and a formalized
succession management plan to build teacher leadership capacity and prepare future Catholic
school principals.
Another recommendation for diocesan leaders to consider is the formation of a more
formal mentorship program between 1st year principals and veteran principals. This study
suggests that a strong mentorship program can support the leadership capacity building of
leaders who are learning the unique and complex role of a Catholic school principal. This

115
type of program, similar to the one in the study, might include site visits to each other’s
campuses, collaboration on academic goals, and support for the new principal in school
finance and other managerial tasks.
University Principal Preparation Programs
The findings presented from this study provide implications of practice for university
and college leadership preparation programs. This study suggests that authentic leadership
experience is a perceived practice in building leadership capacity. Thus, university
preparation programs may consider adding a long-term internship component to their
coursework and program requirements. As research suggested, internships and field
experience are recognized as critical to future principal’s professional learning (Orr &
Barber, 2006). The findings from this study suggests that a situated, long-term leadership
practice with mentor support provides an opportunity for future principals to see, to observe
and take ownership of faculty supervision tasks, budget and financial tasks, and building
positive relationships with pastors and other community stakeholders. Similar to teacher
preparation programs that require consistent engagement with schools throughout the
program, leadership preparation programs might consider a long-term internship component.
Diocese and University Programs
Diocesan and university programs both seek to build the leadership capacity of future
school leaders. A recommendation for future practice is the development of a robust
partnership between diocesan and university Catholic school principal preparation. In this
study, a diocesan department of Catholic schools operated as a separate entity from the local
Catholic university partner. The recommendation for a collaborative approach to leadership
capacity building is in line with the United States Conference of Catholic Bishops’ Renewing

116
Our Commitment to Catholic Elementary and Secondary Schools in the Third Millennium
(2005) in which the American Bishops urged diocese and Catholic institutions of higher
education to play a larger role in this effort and to work together with diocesan leaders. In
line with research on principal preparation programs, Newman (1999) asserted that many
administrative preparation programs fail to partner with local schools and expertise as a
learning resource for future principals. Because of potential challenges in sustained funding
for this study’s principal preparation program, the partnership can potentially capitalize on
the areas of expertise from both institutions, the gradate level course work and earning a
credential from the university along with the intensive and structured field work placement
and internship experience from the diocese. As an example of this recommendation, Cook
and Durow (2008) described the collaborate work of the Creighton University faculty and the
Archdiocese of Omaha and Catholic school leaders in the creation of crafting a leadership
framework and designing a professional development scheme that resulted in a set of
graduate courses leading to a Catholic School Leadership certificate. An implication for
practice could be a program that connects the theory-based university preparation programs
that culminate with a state approved administrative credential with a formalized internship or
residency program supported by the diocese. This study is in line with these findings
suggesting that a strong university–archdiocesan partnership could strengthen capacity
building efforts in preparing the next generation of Catholic school leaders.
Recommendations for Future Studies

This study illustrated the leadership capacity building practices employed in a
diocesan principal preparation program. This section outlines recommendations for future
study.

117
A recommendation for future study is to examine the participants of the principal
preparation program in a longitudinal study. The participants in the study were interviewed
during their first three months as principal and shortly after they had completed their
principal preparation program. Future studies of this first cohort after their first three years
of leadership may shed light on their success in the role of principal as defined by the
diocesan metric and the church pastor. An examination of these program graduates would be
important because it may shed light on the outcomes of their leadership experience within the
program. A future study might examine metrics from the program graduates’ schools such as
student enrollment numbers, student achievement data, financial health of the school, and a
climate survey. During a longitudinal study of these leaders, a more robust understanding of
the program graduates’ leadership skills could be explored.
Along the lines of leadership capacity building metrics and studying program
outcomes, there was not a clear assessment of leadership skills and acumen of these
principals at the beginning of the program. Future research could employ a pre and post
assessment of leadership skills for future leaders to complete. Results of a pre and post
leadership assessment may shed light on the effectiveness of the program in terms of building
leadership capacity.
Finally, it would be instructive to conduct research that compares the diocesan
principals who matriculated through this diocesan leadership preparation program against
principals who completed university leadership preparation programs according to a variety
of measures. The recommended future study would be a comparative analysis of those
principals’ leadership skills and/or perceived leadership success in terms of school metrics
data. In this regard, it would be beneficial to examine the skills that build leadership capacity

118
within the principal residency program and those that future leaders learn in a traditional
university administrative preparation program. This comparative study would shed light on
the specific leadership capacity practices of both university and diocesan programs that
correlate to positive school performance results, and thus inform all stakeholders in ways to
more effectively build the next generation of Catholic school educators.

119
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Appendix A
Participant Recruitment Letter

DATE:

Dear Participant,

You have been selected to participate in this study due to your experiences with leadership
capacity building strategies in your school or district. As a participant in this study, your
contribution will assist those interested in implementing or expanding leadership capacity
building strategies in the educational settings in which they work.

The aim of this study is to explore how your district identifies, cultivates, and supports future
district leaders as a part of a succession management plan. The following research questions
are posed in an effort to gain insight into successful leadership capacity building strategies:

1. What are the perceived practices of the principal residency program that contribute to
building the next generation of leaders?

2. What are the challenges to supporting and maintaining the strategies designed to build
leadership capacity?

Identifying strategies that schools and districts use to successfully build the next generation
of education leaders may provide a guide for other districts to follow. Exploring the
perceptions of stakeholders regarding the leadership capacity building strategies may
improve the content, execution and reach of such programs. Finally, the identification of
facilitators and inhibitors of the strategies may help others recognize catalysts and pitfalls for
their current or future leadership capacity building efforts.

Your participation in this study should take approximately a few hours of your time over a
period of six weeks and will consist of the following activities:

• One to three interviews lasting 45 – 60 minutes in length
• One or more observations of you in your work setting

If you have any questions please feel free to contact my dissertation committee chair,
Dr. Kathy Stowe. She can be reached at KStowe@rossier.usc.edu. If you have any questions
or concerns regarding your rights as a subject in this study, you may contact the IRB
Compliance Office at the University of Southern California.

Thank you for your willingness to participate in this study.

With gratitude,
Lauren Casella

139
Appendix B
Administrator Interview Questions

The following questions framed each of the semi-structured interviews:

1. Tell me briefly about your experience and role as a leader at the school.
2. Describe the mission of this organization?
3. Tell me about the culture of leadership in this district?
4. Describe how you came to be an administrator? Were you interested in leadership or
were you encouraged by someone else to pursue administration?
5. What leadership standards or benchmarks guide the identification and formation of
future principals in your district?
6. How does your organization identify and recruit the next generation of leaders?
7. Your school is identified as having promising practices in leadership succession, how
would you articulate those practices?
8. What leadership development opportunities or experiences do you find most useful in
developing leadership capacity?
9. What are the areas that need the most development/attention before moving teachers
into leadership roles?
10. What forms of formal and informal mentoring is available at your site?
11. A) How have these mentoring relationships led to leadership succession?
12. What resources are accessible for developing future leaders in your district?
13. What obstacles have you faced in in implementing and sustaining your leadership
development program?

140
14. In your option, how can this district more effectively develop future principals?
15. As we finish the interview, to help me fully capture your experience with building
leadership capacity, is there anything else you would like to share that you feel is
important?

141
Appendix C
Teacher Interview Questions

The following questions framed each of the semi-structured interviews:

1. Tell me briefly about your experience and role at this site.
2. Describe the mission of this organization?
3. Tell me about the culture of leadership in this district?
4. What influenced you to take on a leadership role?
5. What leadership standards or benchmarks does your district use to define an effective
leader within your organization?
6. Your school is identified as having promising practices in leadership succession, how
are those practices communicated to you?
7. What does your site/organization succession plan look like?
A) How has that been communicated to you?
B) What has been your response?
8. How have you been supported by the leadership at your site/organization?
9. What leadership opportunities have been offered to you?
A) How did you benefit from these opportunities?
B) How were these opportunities communicated to you?
10. What district/institution/school supports are in place to help develop future leaders?
A) What support have you received from your district/institution/school in
developing leadership capacity?
11. What obstacles have you faced in growing as a leader?
12. What forms of formal and informal mentoring are available at your site?
A) Can you give me an example?

142
13. In your opinion, how can the district better prepare the next generation of leaders?
14. What else would you like to share with us about your experience as a leader?

143
Appendix D
Observation Protocol

Name of Site: ________________________ Date__________________________
Type of Observation: ________________________
Participants: _________________________________
Purpose/Focus: ________________________________
Time Started ______________ Time Ended ____________ Total Time ______________

Environment
Observation

Observer’s Notes
Setting/Location
• What does the environment look
• like?
• What is the physical set up?
• How are people positioned?
• What does the agenda look like?
• Does the meeting follow the
• agenda?
• How many people are in the
• meeting?

Participant(s)
• Attire of participants
• Participant engagement
• Who is leading the meeting?
• Who sits where?
• Are they talking?
• Are they making eye contact?
• What are the leader’s practices in
• interacting with others?
• People coming late/leaving early
• Diversity of the room (gender balance, ethnic
balance)

144

Observation

Observer’s Notes
Context
Who is talking to whom?
• What is their relationship?
• What are the roles of the participants?
• What is the topic of the interaction?
• Where is the interaction taking place?
• What is the length of the interaction?
• What is the purpose of the interaction?
• Is the interaction planned or unplanned?

Overall Tone
What is the tone of the interaction?

145
Appendix E
Resident Principal Weekly Reflection Journal Format

Name Leadership
Pillar

Participation
Level

Description
of
Experience
Connection
to the Pillars
Connection
to Student
Learning
Reflection
on My
Learning
What research
questions
resulted from my
learning
experience and
what steps will I
take to deepen
my learning in
this area?
Director
Feedback
and Support
Statement

-Faith
-Excellence
-Stewardship

-Facilitated
-Observed
-Participated

-Field
-Must Do
-Duty

(Description)

(Description)

(Director)
148
144

Abstract (if available)

Abstract This study examined the promising practices employed by the West Coast Diocese that were perceived to build the leadership capacity of future Catholic school principals. Additionally, this study sought to ascertain the challenges to building leadership capacity in the principal residency program. One diocesan program, the principal residency program, served as the case study for this research. Semi structured interviews, observations, and document analysis were conducted to explore diocesan leadership capacity building practices. The analysis of the data suggest that the principal residency program build leadership capacity through its program alignment with the diocesan mission and vision, the participants engagement in authentic leadership experience and involvement in a professional learning community with formal mentorship. Findings showed that navigating the roles and responsibilities of co-principal model as well as navigating the relationship between pastoral and diocesan leadership were perceived challenges for the principal residency program. The implications of these findings for research and practice are discussed.

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Asset Metadata

Creator Casella, Lauren Roberts (author)

Core Title Building leadership capacity: Practices for preparing the next generation of Catholic school principals

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 07/30/2018

Defense Date 03/22/2018

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

Tag Catholic school leadership,leadership capacity building,OAI-PMH Harvest,principal preparation,professional learning,succession management

Format application/pdf (imt)

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Stowe, Kathy (committee chair), Escalante, Michael (committee member), Malloy, Courtney (committee member)

Creator Email Casella.Lauren@gmail.com,Lauren.Casella@lmu.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-42163

Unique identifier UC11671451

Identifier etd-CasellaLau-6573.pdf (filename),usctheses-c89-42163 (legacy record id)

Legacy Identifier etd-CasellaLau-6573.pdf

Dmrecord 42163

Document Type Dissertation

Format application/pdf (imt)

Rights Casella, Lauren Roberts

Type texts

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

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

Repository Name University of Southern California Digital Library

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