University of Southern California Dissertations and Theses

Sustaining quality leadership at prep academy charter schools: promising practices for leadership development in public schools

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Sustaining quality leadership at prep academy charter schools: promising practices for leadership development in public schools

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Content Running head: SUSTAINING QUALITY LEADERSHIP AT PREP ACADEMY 1

Sustaining Quality Leadership at Prep Academy Charter Schools: Promising Practices for
Leadership Development in Public Schools

by

Brenda D. Lopez

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 Brenda D. Lopez

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 2
Acknowledgments
Thank you to all who supported and participated in this study, especially the PACS
assistant principal who connected me to every leader in this study. Your commitment to paying
it forward is invaluable and I am blessed to know you. To the faculty at USC, thank you for
leading the way—especially my dissertation chair, Dr. Kathy Stowe; thank you for your patience
and feedback. To my dissertation committee, Dr. Michael Escalante and Dr. Courtney Malloy,
thank you for your guidance and perspective throughout this process. To my dissertation group
members, especially to Lauren for her personal guidance as a mother, educator, and leader—as
well as Dan—for always being brave and asking questions and praying for us to finish strong.
To my administration team, office staff, students, and families, I would like to thank you for
encouraging me daily. And, to Dr. Robin Gordon, Alfredo Rubalcava, and Kelly Hourigan,
thank you for serving as my lifetime mentors and modeling the way.
I would like to acknowledge Miguel Olivares, the father of my children, for challenging
me to take a leap into this educational journey—for always offering the outside, non-educator,
common-sense perspective, and for caring for our babies, Miguel and Nicole. To my parents,
Amparo and Luis Lopez, your sacrifices have been instrumental to my success. To my siblings,
Louie, Christian, Eric, Tania, and Daniel, thank you for continuously asking when it would be
over. It is over. And, most importantly, to the village that helped see me through this
rollercoaster—all of my friends and extended family who helped parent my children so that I
could write, especially my children’s babysitter, Maria Bueno.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 3
Table of Contents

List of Tables 6

List of Figures 7

Abstract 8

Chapter One: Introduction 9
Introduction of the Problem 9
Background of the Problem 12
Statement of the Problem 14
Purpose of the Study 15
Research Questions 16
Significance of the Study 16
Limitations and Delimitations 17
Definitions 18
Organization of the Study 18

Chapter Two: Literature Review 20
Historical Overview of the Principalship 21
School Reform 22
Changing Role of the School Leader 23
Qualified Leaders Wanted 24
Principal Turnover 25
Turnover and Student Outcomes 26
Turnover in Charter Schools 27
Practices Utilized to Develop School Leaders 28
Internal Principal Pipeline 29
Mentoring/Coaching 30
Leadership Training 32
Practices for Succession Planning 33
Policies 34
Allocated Resources 35
Theoretical Framework 36
Model the Way 36
Inspire a Shared Vision 37
Challenge the Process 37
Enable Others to Act 38
Encourage the Heart 38
Summary 39

Chapter Three: Methodology 40
Research Questions 41
Research Design 41
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 4
Sample and Population 42
Overview of the Organization 43
Conceptual Framework 44
Instrumentation 46
Data Collection 48
Data Analysis 49
Ethical Consideration 51

Chapter Four: Results 53
Overview of the Participants 53
Findings 57
Research Question 1: Perceived Practices for Building Leadership Capacity 57
Focus on the Vision 57
Hiring well 58
Restructuring for purpose 60
Leadership philosophy 61
Culture of Growth 62
Goal setting 63
Feedback 64
Commitment to coaching and mentoring 67
Cohort as a professional learning community 69
Resources 70
Discussion of Research Question 1 72
Research Question 2: Challenges to Supporting and Maintaining Practices 74
Money 75
Time 76
Commitment to the program 76
Return on investment 77
Reality of workload 78
Human Resources 80
Selection process 81
Strain on current personnel 84
Discussion of Research Question 2 86
Summary 88

Chapter Five: Summary and Discussion 90
Purpose of the Study 90
Summary of the Findings 91
Implications for Practice and Policy 95
Principals 95
Charter Management Organizations 96
The Leadership Pipeline 98
Recommendations for Future Studies 98

References 101

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 5
Appendix A Participant Recruitment Letter 111
Appendix B: CMO Leader Interview Questions 112
Appendix C: Administrator Interview Questions (Former RAP Participants) 114
Appendix D: Current RAP Participant Interview Questions 116
Appendix E: Observation Protocol 118

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 6
List of Tables
Table 1: Summary of Data Collection used in the Study 50
Table 2: Participant Demographics 55

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 7
List of Figures
Figure 1: Conceptual Framework 45
Figure 2: Creswell’s Model for Qualitative Data Analysis 51

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 8
Abstract
This study addressed the problem many educational institutions face in creating a sustainable
approach to identifying, developing, and supporting quality school leaders to address growing
vacancies in school leadership. The purpose of this study was to understand the practices one
charter management organization (CMO) created through their resident administrator program.
The five practices of transformational leadership were used to examine the purposeful ways in
which the organization’s leadership worked to build the next generation of quality school
leaders. Data were gathered through interviews, observations, and document analysis. Ten
participants were interviewed: three organizational leaders, three principals, one assistant
principal, and three resident administrator program participants. Interviews and observations
were conducted at the participants’ school sites as well as the CMO’s home office. Three themes
emerged as promising practices: (a) the program’s alignment to the organization’s vision, (b) a
culture of growth and collaboration, and (c) experiential learning opportunities for program
participants. Challenges to supporting and maintaining promising practices for building
leadership capacity were money, time, and human resources. Implications of the study included
the following: (a) the value of principals serving as mentors in leadership development
programs; (b) CMOs’ support through an allotment of financial and non-financial resources
toward school leadership development programs; and (c) developing a clear path and
expectations for the principalship, especially for external applicants entering the organization.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 9
CHAPTER ONE: INTRODUCTION
Introduction of the Problem
Quality leadership is among the most valuable assets to any organization in both the
private and public sectors (Collins, 2001; Northouse, 2007). For example, school leaders are
considered “second only to classroom teaching as an influence on pupil learning” (Leithwood,
Harris, & Hopkins, 2008, p. 27 ). Other studies have suggested that principals have a more
impactful effect on student achievement than teachers, as their role relates to hiring practices,
working conditions, and acquiring social resources for the school (Hanselman, Grigg, Bruch, &
Gamoran, 2016). Quality leaders often influence their followers to attain a common goal.
Student success is typically dependent on individuals learning to become great school leaders.
Northouse (2007) believed that leadership is a quality that can be developed and taught to an
individual.
Lack of quality school leadership is a growing problem and it negatively impacts
stakeholders (Branch, Hanushek, & Rivkin, 2013; Grissom, Loeb, & Master, 2013; Miller,
2013). Goldring and Taie (2014) found that of the 114,330 principals who originally participated
in their study, more than 20% had left their previous school site either due to retirement, transfer
to another school, or leaving the profession altogether. The aforementioned findings are further
substantiated by the Bureau of Labor Statistics (2015), which projected the employment of
school principals to grow 6% nationwide between the years 2014 and 2024. The lack of quality
principals especially impacts schools that are already hard to staff, such as schools with low
socioeconomic status and large minority populations in urban settings. Employees of these
schools are among the first to feel the impact of losing a quality leader (Béteille, Kalogrides, &
Loeb, 2012; Burkhauser, 2016). Hard-to-staff schools tend to be located in urban, high poverty,
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 10
low academically performing areas, which are usually most in need of a stable and supportive
school culture (Béteille et al., 2012; Burkhauser, 2016; Miller, 2013). Charter schools serve
these hard-to-staff communities and are facing the demand to open more schools and need
qualified staff to lead these schools (Torres, 2016). As the call for quality school leaders
increases, the principalship becomes more complex, especially with expanding accountability
measures like No Child Left Behind (Cotton, 2003; Goodwin, Cunningham, & Eagle, 2005).
The creation of the No Child Left Behind Act of 2001 ushered in a new era of accountability for
schools (Goodwin et al., 2005). Principals were entrusted with managing a school while
ensuring test scores were on the rise (Cotton, 2003). The emphasis was then placed on looking
at the school in a more holistic way instead of focusing entirely on test scores. The Every Child
Succeeds Act (ESSA; U.S. Department of Education, n.d.) replaced No Child Left Behind and
incorporated accountability measures that allowed for more local decisions, alleviating the hard
punishments for not meeting academic standards imposed by the government (The Understood
Team, 2017). Although it promotes autonomy on a local level for principals, the ESSA
continues to illustrate the changing trends in education policy that influence the role of the
principal. The accountability measures utilized—and the resulting expectations placed on
principals—lead potential principal applicants to turn down the growing demand. Hargreaves
and Fink (2012) discussed the supply-and-demand relationship for building leadership capacity.
They noted that the demands set for principals impact the supply of future leaders willing to take
on school leadership positions. Some of the reasons cited for not applying to school leadership
roles were as follows: lack of compensation, unrealistic accountability standards, and lack of
leadership development (Hargreaves & Fink, 2012).
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 11
Principals matter to a school’s development in that they have a profound impact on
student achievement and serve as facilitators for positive change through effective instructional
leadership (Hargreaves & Fink, 2012; Leithwood, 2011; Marzano, Waters, & McNulty, 2005;
Miller, 2013).
Districts and school organizations are facing the dilemma globally of how to recruit,
develop, and sustain quality leaders, knowing that the role is not appealing to some who hold
administrative credentials (DeAngelis & O’Connor, 2012). In an effort to promote quality
leadership development, the ESSA set aside funding that endorses the value of developing school
leadership (Herman et al., 2016). Along with the allotted $2.3 billion in funding, schools also
have access to government programs and grants that promote strategies to develop school leaders
from identification to retention and training (McGuinn, 2012). The priority for developing
quality leaders extends internationally, as the United Kingdom developed a national leadership
college to identify potential leaders and place them on the track to becoming quality leaders
(Hargreaves & Fink, 2012). Domestically, some top-performing charter management
organizations (CMOs) have developed their internal pools of school leaders to help with the
transition from teacher to principal. Furthermore, succession planning has been adopted by
traditional public schools (TPSs) and CMOs. This strategy helps schools identify, recruit, and
retain qualified leaders. Although succession planning can render positive outcomes for
developing school leaders (Sciarappa & Mason, 2014; Zepeda, Bengston, & Parylo, 2012), not
all schools are adopting these promising practices. According to Campbell (2010), in study of
400 charter leaders surveyed across six states, only 53% of schools had a succession plan in
place. The attrition of school leaders is hardly ever planned; thus, having a plan in place can
support a smoother transition for new principals (Hargreaves & Fink, 2012).
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 12
Background of the Problem
Charter public schools were established as publicly funded, nonsectarian, independently
managed schools for families seeking an alternative choice for public education for their children
(Kena et al., 2016). The creation of the charter school option came at a time when parents,
administrators, and policy makers were not satisfied with the quality of education children were
receiving from the traditional educational institutions. Stakeholders were asking for change and
in 1991 that change came in the form of charter schools when Minnesota passed the first law
allowing for the establishment of charter schools.
In its infancy there were innovators such as Ray Budde and Albert Shanker, who
supported empowering educators to lead quality schools. Political leaders like democratic
Governor Rudy Perpich put considerable thought into carefully designing programs that would
not lend room for segregation, as some southern states had done in the past with school choice
efforts (Nathan, 1996). The charter school movement was supported by the concept that too
much bureaucracy leads to an ineffective learning environment that does not place students as
the priority. The purpose of the charter school movement was not just to open more schools, but
also to focus on quality instruction in public schools and to place the decisions of what that
quality would look like in the hands of the stakeholders.
Charter schools are unique because they provide more autonomy for school leaders to
develop a school vision, curriculum, and hiring practices. Charter schools were created as a
source for promoting autonomy for school leaders, thus giving them more freedom to lead and
promote student achievement without barriers (Kena et al., 2016). Although the findings on
academic success of charter schools over TPSs is mixed, the demand is clear; overall, public
charter school enrollment increased from 0.8 million to 2.5 million between the school years of
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 13
2003 and 2014 (Kena et al., 2016). This demand accompanies the need to build more charter
schools while at the same time being able to fill the positions with quality leaders.
Despite abundant research supporting the importance of quality leaders in schools, there
is limited development for future generations of leaders as well as a lack of succession planning
in place to support new principals. As the demand for charter schools continues to grow, a
succession plan can assist with the identification, development, and retention of quality school
leaders for the organization (Zepeda et al., 2012).
Some organizations that have not developed succession plans rely on hire-and-hope
practices; these practices are not adequate nor are they a sustainable method to build a pool of
qualified leaders (Schmidt-Davis & Bottoms, 2011). Hire-and-hope practices refer to filling a
vacancy with an available candidate and hoping the candidate is successful in his or her new role
as school leader. According to Schmidt-Davis and Bottoms (2011), these practices often have
more damaging impacts on student achievement than turnover alone. In examining private
sector leadership, Bower (2007) and Collins (2001) both found that internal successors exceeded
outcomes compared to external hires. This information lends to the value of developing
programs that can promote the home-grown approach—developing leaders within the existing
organization. CMOs depend on the home-grown model because their turnover often leads to
high-stake consequences when losing a leader (Campbell, 2010). Many responsibilities that
charter leaders undertake have added pressure because leaders have to advocate for their school
in political climates that are often unwelcoming to the organization. When charter leaders leave,
they take this added knowledge and expertise with them that a new principal might have to
develop from the beginning.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 14
Unlike TPSs, charter schools can face a greater cost for not having a succession plan in
place when a school leader departs from the organization. Charter organizations that fail to meet
academic expectations set by their authorizers face closure (Ni, Sun, & Rorrer, 2015). As charter
school enrollment continues to increase, there is a need to find or develop leaders that are able to
lead these schools in a sustainable manner (Kena et al., 2016).
Statement of the Problem
The need for quality leadership is invaluable to any organization, especially in the
educational setting where students and staff pay the cost for inadequate leadership (Branch et al.,
2013; Collins, 2001; Miller, 2013). In other words, students and staff are direct stakeholders that
are negatively impacted by an inadequate leader, as demonstrated by the results of poor test
scores, lack of facility resources, and low academic expectations. The demand for filling
leadership vacancies at CMOs and TPSs is not a question of quantity but quality (Campbell
2010; Myung, Loeb, & Horng, 2011; Schmidt-Davis & Bottoms, 2011). The expectations for
principals in leading schools has transformed, with a higher emphasis placed on student
achievement and legislative accountability measures (Day, Gu, & Sammons, 2016; Fink, 2011;
Zepeda et al., 2012). The position has become so demanding that educators who hold the
certification to move into school leadership roles would rather not take on the added
responsibilities and diminished rewards (Fink, 2011). Due to a lack of succession or
development plans for school leaders in many school organizations, there is a growing need to
fill vacant principal positions with quality school leaders (Fink 2011; Zepeda et al., 2012).
Sun and Ni (2016) described how professional characteristics are very different for TPS
principals than charter school principals. This can lead to a problem regarding measuring
qualifications when hiring charter school principals, as they tend to have less school leadership
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 15
experience, are not required to hold an administrative credential, and often are recruited from
non-educational sectors. Chadwick and Kowal (2011) found that some organizations import
school leaders outside of CMOs as a way to meet the need for hiring charter school leadership as
schools continue to open. Critics believe that the model of CMOs is growing at such a pace that
it likely will not be effectively implemented as new schools continue to open (Stetson, 2013).
A succession plan that can facilitate the selection of a qualified leader is vital to the
success of a school (Fink & Brayman, 2006; Herman et al., 2017; Ni et al., 2015; Stetson, 2013;
Zepeda et al., 2012). Chadwick and Kowal (2011) highlighted the various programs that some
CMOs have implemented to try and accommodate the growing need for school leaders by
focusing on the grow-your-own model, which businesses in the private sector often utilize when
developing leaders internally (Collins, 2001). Whether developed internally or selected
externally, the school leader must be a proper fit for the CMOs because the stakes are much
higher at these schools than TPSs in regard to demographics, location, and political climate (Ni
et al., 2015; Stetson, 2013).
Purpose of the Study
The purpose of this study was to understand the perceived practices that contribute to
building the next generation of leaders at Prep Academy Charter School. As the research
suggested, effective succession planning is one way that schools can prepare to deal with high
principal turnover rates (Campbell, 2010; Lee, 2015; Russell & Sabina, 2014; Schmidt-David &
Bottoms, 2011). The demand for filling the vacancies goes beyond simply selecting a candidate
to fill the principal vacancy; what is needed is a quality leader (Schmidt & Bottoms, 2011).
Despite the work of some CMOs to develop internal leaders, there is still a growing number of
charter schools that have no plan in place to address attrition (Campbell, 2010; Torres, 2016).
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 16
Furthermore, the vision and mission of every charter school is unique to the organization, and
this creates an added barrier when developing leaders with capable skills to implement that
vision (Campbell, 2010).
Along with understanding the perceived practices in place, this study also sought to
discover the challenges associated with supporting and maintaining these practices over time in
order to build leadership capacity. This is of particular importance because as many charter
schools continue to expand, there is a need to cultivate sites that promote high student
achievement.
Research Questions

This study was guided by two research questions, which aimed to further understanding
on promising practices for charter schools to recruit, build, and sustain leadership capacity. The
research questions were constructed collaboratively by five members of a University of Southern
California Ed.D. Thematic Dissertation Group, which sought to further understand the nature of
leadership succession in education.
1. What are the perceived practices that contribute to building the next generation of
leaders at Prep Academy Charter Schools (PACS)?
2. What are the challenges to supporting and maintaining the practices designed to build
leadership capacity?
Significance of the Study
Quality leadership is invaluable to an organization. There is a fundamental need to
understand how leadership should be cultivated and sustained in order for the organization to
succeed. This study aimed to increase understanding of the current systems and structures at
PACS that contribute to building the next generation of leaders. While much literature exists on
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 17
the critical role of school leaders in student achievement, there is a growing need to understand
how the current strategies used by educational organizations look in actual school settings. It is
also important to understand how these practices are sustained over time. Although some
literature exists on the leadership development practices used by CMOs, it tends to be limited to
a very small population of charter schools (Campbell, 2010; Torres, 2016).
This study is significant for local, federal, and state agencies in that it will aim to identify
ways to continue to hold schools and leaders accountable while at the same time developing
programs that will support quality leadership succession. CMOs can also use the findings to
understand how their specific organizational needs can be met through the development of
structured systems that promote quality leadership. School principals can benefit from this study
by learning ways to advocate for potential succession models or leadership development
programs that do not exist at their schools. This study can also serve as a way to evaluate their
existing leadership program. Ultimately, this study is significant in that it will contribute to the
literature on leadership capacity building for both TPSs and charter schools, which should
positively impact student achievement.
Limitations and Delimitations
This study is limited to one CMO. Participants’ observations regarding the practices
utilized by the CMO to develop the next generation of leaders are not generalizable. Moreover,
the validity of this study was dependent on the reliability of the participants based on self
reporting. The timeframe for collecting data for this study was limited to a 3-month period, as
set by the Education program at the University of Southern California. Data collection was not
longitudinal, restricting ongoing investigation. Finally, researcher bias was a limitation; data
collection was subject to the primary investigator’s interpretations.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 18
Delimitations refer to the aspects that were within the control of the researcher.
Collaboratively with the thematic group, preselected criteria were chosen for the unit of analysis.
The group decided to select an educational organization based on successful leadership for a
minimum of 3 years at the same school. Student academic success was based on data provided
by both the district and the state. Additionally, the CMO had to demonstrate that it was
purposefully looking to improve leadership capacity building at the school by utilizing practices
supported by the literature.
Definitions
There are several terms that were relevant to this investigation. For the purposes of this
study, the following terms were defined by the Thematic Dissertation Group:
1. Charter management organizations (CMOs): Networks of charter schools overseen
by a home office (Farrell, Nayfack, Smith, & Wohlstetter, 2014).
2. Leadership capacity: An organizational concept meaning broad-based, skillful
participation in the work of leadership that leads to lasting institutional improvement
(Lambert, 2005).
3. Leadership pipeline: The development of individuals from within an organization for
the purposes of succession planning (Mehrabani & Mohamad, 2011).
4. 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).
Organization of the Study
This study was designed as an approach for understanding the systems and structures that
are perceived to contribute to building the next generation of leaders as well as the challenges to
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 19
supporting and maintaining these systems over time. Chapter 1 introduced an overview of the
problem with principal turnover, the need to develop quality leaders, and succession plans used
as a source for addressing this need. Chapter 2 includes an overview of the literature as it
pertains to the role of the principal, from its development to current trends for both TPSs and
CMOs regarding turnover and succession planning. This chapter also includes a description of
the theoretical framework chosen for this study. The methodology used for this study and the
conceptual framework are discussed in Chapter 3. Chapter 4 includes the findings for this study
corresponding to each of the research questions presented in Chapter 1. Chapter 5 includes a
summary, conclusion, and discussion of the implications of this study.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 20
CHAPTER TWO: LITERATURE REVIEW
Quality leadership takes time and resources to develop. According to Schmidt-Davis and
Bottoms (2011), the responsibility of developing a leader should not be limited to a single
school, district, or governmental agency; rather, each should take on their share of responsibility
in developing a school leader. A quality leader can have a substantial impact on student
achievement (Miller, 2013). Marzano et al. (2005) illustrated the impact of quality leaders on the
educational system. Their meta-analysis synthesized research on school leadership spanning 35
years, finding a significant correlation (r = .25) between leadership behavior in the school and
the average academic achievement of students (Marzano et al., 2005). Given the positive
relationship between school leadership and academic achievement, there is a need to develop
quality leaders to benefit students, staff, and the school.
Understanding characteristics that contribute to a succession plan for a school leader is
vital. This literature review provides some key practices that contribute to the development of
school leaders. Ideally, principal succession would occur with notice and in a timely manner, but
with the retirement of baby boomers and increased turnover, the need to fill vacancies with
quality leaders is becoming more apparent (Goldring & Taie, 2014). Fink (2011) discussed how
succession for school leaders is usually unplanned. Vacancies in leadership positions are a
problem, and in most schools, they are usually coupled with the absence of a succession plan
(Mascall & Leithwood, 2010). Fink described a succession plan as an investment by school
authorities to fill the leadership pipeline as opposed to a cost, as they were once viewed.
Succession management can be an effective process for selecting a school leader; not having a
plan in place, by contrast, can result in the selection of an unqualified leader. As studies have
found, the negative effect of an unqualified leader on a school can be as detrimental—or even
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 21
more so—than the initial departure of the school leader (Grissom et al., 2013; Hays, 2013;
Miller, 2013).
The focus of this literature review is to understand promising practices that TPSs and
CMOs utilize to develop next-generation school leaders. This review begins with a historical
overview of the principalship and how the demands for accountability measures have evolved
over time. Principal turnover and attrition, and the growing need to fill vacancies with qualified
leaders, will then be described. This review of the research will illustrate how leadership
turnover impacts student achievement as well as how school leader departure exists in charter
schools. Promising practices utilized as part of leadership succession planning will be outlined.
Lastly, the literature review will introduce and explain transformational leadership as the
theoretical framework that will serve as a guide for this study.
Historical Overview of the Principalship
According to Kafka (2009), the principal has been at the center of public criticism for
public education reform. In the evolution of the job responsibilities assigned to the principal,
student achievement and the need for school improvement have taken priority (Lattuca, 2012).
Hallinger (1992) explained how the role of the principal has evolved based on the historical
period. In the 1960s and 1970s, principals were responsible for schools as managers. In the
1980s, principals were expected to continue leading as building managers but also place more
focus on instructional leadership, which was consistent with school reforms that emphasized
instruction and educational programs (Hallinger, 1992). Subsequently, educational reports
headed by U.S. government agencies focused on areas of educational improvement.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 22
School Reform
Among the published reports was A Nation at Risk (U.S. Department of Education, 1983)
conducted by the National Commission on Excellence in Education. A Nation at Risk was
credited with having policy makers and families take aim at supporting school reform. The
report illustrated problems with the educational system in the United States. Statistics in the
report indicated that 23 million American adults were functionally illiterate; among 17-year-olds,
nearly 40% could not draw inferences from written material and only one third could solve a
mathematics problem requiring several steps. The recommendations that surfaced in this report
placed a large emphasis on accountability, especially for principals and superintendents. There
was also a greater emphasis on training for teachers and increased salaries for educators.
Although, an emphasis was placed on other components that contribute to educational reform,
such as funding, resources, and educational structures, one component that was overlooked in the
report was the support educational leaders should receive as they implement school reform.
In 1991, as a shift in educational reform and accountability was taking place nationwide,
Minnesota became the first state to allow for the establishment of charter schools (Kena et al.,
2016). This new type of public school ushered in a distinct approach to school leadership.
Charter school principals would still have to deal with all the responsibilities of TPS principals,
with the exception that they would now have more autonomy to make decisions, offering more
opportunities to promote student achievement without added barriers (Kena et al., 2016).
Increased autonomy was one of the recommendations suggested in the A Nation at Risk report
(U.S. Department of Education, 1983). Increased leadership autonomy was a game changer for
principals. The demand for charter schools has increased as charter school enrollment has
gained momentum—from 0.8 million in 2004 to 2.5 million in 2014 (Kena et al., 2016). As
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 23
CMOs scrambled to fill the demand for new charter schools, demand also created the problem of
finding good, qualified leaders (Torres, 2014).
It is important to take into account how the role of educational leaders has evolved over
time based on federal, state, and local policies, which have increasingly placed responsibilities
on school leaders to be accountable to all stakeholders. Despite this continuously evolving role
and added pressure for educational leaders, schools have not developed proactive approaches to
address succession planning. It is critical to address the succession of school leadership because
schools face significant consequences when losing a quality leader.
Changing Role of the School Leader
The role of the school leader has evolved since its inception in the 19th century. The
responsibilities of the school leader have become increasingly more complex (Goodwin et al.,
2005; Spillane & Lee, 2014; West, Peck, & Reitzug, 2010). Initially, principals were expected to
serve as managers of the school building (Goodwin et al., 2005). They were in charge of making
sure schedules were created, facilities were maintained, and ensuring payroll was completed on
time. Further, during historical periods such as the Great Depression, schools were seen as a
place for students to receive fundamental resources such as hot meals and health examinations
(Goodwin et al., 2005). West et al. (2010) described the evolving role of the urban school
principal, which now includes extensive responsibilities far beyond a managerial role, adding
numerous stressors to the position. Leaders often have limited control, lack personal and
professional time, and have to respond to increased academic accountability measures. The
added stress of school outcomes for principals is detrimental to morale, as they are aware that
school performance is tied to their name as the leader of the school. Though leaders can
recognize barriers impeding student and staff performance, they have limited control over certain
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 24
factors such as the academic progress of incoming students or access to community resources.
Increasing responsibilities are as much of a problem for novice leaders as they are for
experienced leaders, and principals continuously struggle to balance their job duties.
Spillane and Lee (2014) described the difficult transition novice principals experience in
their first months as school leaders. The biggest challenge for novice principals is understanding
that they carry the ultimate responsibilities of the schools, and this can be daunting because they
rarely have the opportunity to learn about the everyday work associated with the specific school
(Spillane & Lee, 2014). The shift from manager to instructional leader is one that requires
principals to take and apply the theoretical knowledge of the position to a more socialized
approach, which can help them to navigate the complex responsibilities of the principalship.
Lattuca (2012) discussed the importance of school leaders using their social knowledge rather
than only their theoretical knowledge as they transition into the role of school leader. Factual
knowledge is the knowledge that principals typically learn within a training program, while
social knowledge refers to the day-to-day, hands-on experience learned through various
interactions with stakeholders (Lattuca, 2012). Principals often enter their new position with
limited social knowledge to navigate their job responsibilities.
Qualified Leaders Wanted
As the need for quality school leaders increases, so does the importance of understanding
why there are growing vacancies and how to address them. Aside from turnover, another
problem with the low pool of qualified leaders is the reluctance of certified candidates to apply
for vacancies. Teachers are the usual candidates that make up the pool of possible future leaders,
but as the role of the principal continues to evolve with added pressure, teachers are more
reluctant to leave the classroom to assume these additional responsibilities (West et al., 2010).
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 25
The following section will illustrate the growing concern of principal turnover, the impact on
student outcomes, and how turnover manifests at the charter school level.
Principal Turnover
The rapid turnover of principals is a problem that is affecting schools nationwide.
According to the School Leaders Network (2014), 50% of new principals are not retained after
their third year of leading a school and this is across the grade span. Of the principals that leave,
some transition to a different school site while others leave the educational system altogether.
Schmidt-Davis and Bottoms (2011) found that 20% of the nation’s 90,000 public schools
principals leave their job with a 3-year timeframe, leaving more than 18,000 schools with a new
principal each fall. Fink and Brayman (2006) discussed the increasing departure of school
principals either due to retirement (i.e., as the baby boom generation gets older) or dissatisfaction
with the position. The need to find qualified school leaders has led districts to reach into their
almost-empty reservoirs of qualified candidates (Fink, 2011). Béteille et al. (2012) stated that
principals are not leaving schools because of poor academic performance at school sites; instead,
they are leaving when vacancies become available at easier-to-staff schools. Of the principals
that were sampled, 22% left their position at Miami Dade County Public Schools for another
school site (Béteille et al., 2012). The schools that are gaining principals are usually located in
communities that are more socioeconomically advantaged. These school sites can recruit more
qualified successors not only because of their social capital but also because of their ability to
offer higher compensation (Béteille et al, 2012).
Although the literature is limited regarding how compensation plays a role in retaining
quality leaders, some studies have found that pay is a contributing factor to turnover, especially
when all aspects of the job description are taken into consideration. Papa (2007) described how
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 26
some principals who face very challenging working conditions without sufficient compensation
do not remain at a school site for very long; additionally, the discrepancy in pay makes it even
more difficult to attract and retain a highly qualified replacement. In this same study, Papa
explained that principals are more likely to move to schools with higher salaries, fewer students,
and lower percentages of non-White students. Tran (2016) discussed how the principal shortage
could be a result of dissatisfaction with pay, suggesting that a well-designed pay policy could
contribute to effectively retaining principals. An operative educational leader is a vital source of
school stability, and frequent shifting of leadership creates uncertainty, negatively impacting
stakeholders—especially students (Zepeda et al., 2012). The cost-benefit of retaining effective
leaders must be analyzed, including the tradeoffs districts and CMOs are sacrificing by not
addressing the causes of principal turnover.
Turnover and Student Outcomes
Leithwood et al. (2008) discussed the claims about school leadership described in
previous research. School leadership matters: After classroom instruction, leaders are the second
most influential factor impacting student performance (Leithwood et al., 2008). Although some
scholars would argue that school leaders impact student success only indirectly, the impact is
nonetheless significant. Miller (2013) found that student test scores were substantially lower at
schools with new principals. Principals, as instructional leaders, select the curriculum, manage
teaching staff, and support the school vision for academic expectations. In the transition period
of a departing principal, Miller found that there is a downturn in student performance from which
it may take up to 5 years to recover. Principal turnover is also more common at low-performing
schools with higher numbers of students who receive free or reduced lunch, higher numbers of
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 27
English-language learners, and higher proportions of minority students (Burkhauser, 2016;
Miller, 2013).
Principals also have an impact on the team of teachers they lead. Teacher turnover is as
prevalent as school leader turnover and just like school leader turnover, is higher in communities
that need the most support for diverse learners (Loeb, Darling-Hammond, & Luczak, 2005).
Among the reasons why teachers have selected to remain at a school is the strength of the school
leadership. The relationship of teachers to the principal may contribute to retention of quality
staff, specifically in hard-to-staff schools (Torres, 2014). High-quality leaders set and reach
high-quality outcomes for students and the school culture, including teacher retention (Day et al.,
2016). At a school site where principals are struggling as new leaders to establish their role as
leaders, there is less time for them to support or mentor staff, especially new staff. Principal
turnover is usually more prevalent in schools with a higher rate of new, inexperienced teachers,
and this generates a problem for creating an atmosphere of stability and detracts from building
leadership capacity within the school (Chadwick & Kowal, 2011). School leaders serve as a
catalyst for change, but with rapid turnover and unplanned succession, potential for constructive
and sustainable change is diminished and must begin anew as a different leader enters the school
site (Tran, 2016).
Turnover in Charter Schools
Principal succession is not just a growing problem in TPSs, but has increasingly become
problematic for charter schools and CMOs. Sun and Ni (2016) found that for the 20.6% of TPS
principals who left their schools, 28.7% of charter school principals left, illustrating an 8.1% gap
in principal turnover rates between TPS and charter schools. The results of a study analyzing
principal turnover in Utah public schools found that charter school principals had significantly
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 28
lower odds of moving to another school than TPS principals; instead, charter school principals
often left the profession all together (Ni et al., 2015). Teachers also have higher turnover rates in
charter schools, many referring to the working conditions as a contributing factor; teachers often
mention school leadership as having an influence on their decision to leave (Stuit & Smith,
2012).
The autonomy charter schools lend to school leaders can create a problem when a new
leader steps into the role of principal, as there are varying characteristics of a charter school
leader compared to a TPS principal. For instance, Ni et al. (2015) found that there is a loss of
institutional memory and inconsistencies when there is principal turnover at a charter school.
Charter school leaders are often selected as a best match for the school they will lead, as each
campus has their own specific vision that aligns with the CMO (Gawlik, 2015). The leadership
of four Boston charter public high schools depicts the consequences—either positive or
negative—of the departure of a leader on a school site; one of the schools, for instance, faced
closure by the State Board of Education as a result of a poor-quality school leader (Hays, 2013).
The increase in principal turnover, attrition, and lack of quality leaders has districts and schools
scrambling to find a solution to the problem and to develop planned systems for succession.
Practices Utilized to Develop School Leaders
In an effort to combat frequent turnover and attrition rates for school leaders, some
schools have created practices for succession planning. The practices that should be in place for
effective succession planning include an internal principal pipeline, mentoring/coaching, and
training for principals. These practices have been established as strategies to recruit and retain
effective school leaders. Feldon (2006) explained that the development of an expert takes
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 29
focused practice for at least a 10-year period. In order for principals to build their experience,
they must be exposed to focused practice as leaders.
Internal Principal Pipeline
DeAngelis and O’Connor (2012) found that 30% of eligible respondents in their study
were lost at each stage of the administrator hiring process—from application, to job offer, to job
acceptance. This information depicts an imbalance between the supply and demand of future
school leaders that drop out of the principal pipeline. Some CMOs like Green Dot, Knowledge
is Power Program, and Alliance have created their own programs to try and create a grow-your-
own model for school leadership (Chadwick & Kowal, 2011). The first step in creating a
succession plan, as suggested by the literature, is identifying talent. The conceptual framework
for succession planning illustrated by the Southern Regional Education Board (Schmidt-Davis &
Bottoms, 2011) starts with talent identification and suggests that it begin at the moment a teacher
is hired. The qualities of a teacher candidate should not solely benefit the classroom, but also the
entire school organization.
According to Myung et al. (2011), one approach to talent identification is tapping. Of the
teachers, principals, and assistant principals surveyed, results showed that 9% of teachers
reported being tapped by their current principal; 72% of the current principals and 52% of
assistant principals reported being tapped by their former principals (Myung et al., 2011). The
systematic identification of talent can be developed by the organization, district, or school site
(Russell & Sabina, 2014). Browne-Ferrigno and Muth (2004) depicted the story of a principal
who remembered that her recruitment began when she was initially hired as a teacher by her
principal. The leader described being courted by her principal and then she was given
opportunities to develop as a part of the leadership team when she was asked to participate in
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 30
specific professional development opportunities or give her insight into school discipline
situations (Browne-Ferrigno & Muth, 2004).
Some schools with internal pipeline programs are also aware that they should not
completely close their doors to outside candidates, as this would also discount new talent.
Russell and Sabina (2014) described the fine balance that must be maintained in developing a
surplus of aspiring leaders, as this can create restless candidates who may pursue positions in
other districts. This fine balance may also help to explain DeAngelis and O’Connor’s (2012)
findings regarding the departure of prospective school leaders from the principal pipeline. In
order to deter prospective leaders from assuming that the aspiring leaders program was an
automatic pathway to school administration, expectations needed to be clear that it the program
was more of a selection and sorting process (Russell & Sabina, 2014). From a private sector
perspective, Conger and Fulmer (2008) discussed how a succession model should not start at the
top but rather in the middle by identifying talent and developing them with leadership
opportunities.
Mentoring/Coaching
Among the various studies regarding leadership induction, the most influential strategy to
introduce a novice principal to the role of school leader is mentoring and coaching. Particularly,
in a 3-year study conducted to evaluate an induction program for novice principals, leadership
coaching was utilized as a constructive way to support new school leaders (Lochmiller, 2014).
Lochmiller (2014) found that in the 3-year process, there was an evolution of the coaching
dynamic between coach and trainee based on the needs of the principal and his or her growing
development as leader. The coaching approach started as an instructional process and then
transitioned to a facilitative process; in the second year of the program, principals had more
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 31
background knowledge to approach a concern in their school in a reflective manner, and the
coach facilitated the thought process. The approach of leadership coaching in this study was not
meant to demonstrate coaching as a solution to all novice principals’ problems but rather as a
tool for leadership development that could help a new principal transition into his or her role as
school leader, which ultimately led to successful practices and positively influenced the school
and organization (Lochmiller, 2014).
Mentoring is a supportive system that can benefit novice principals as well as more
experienced principals. Parylo, Zepeda, and Bengtson (2012) described the value of principal
mentoring as a process that is significant in principal identification, socialization, development,
and retention. The 16 participants of the Georgia case study provided insight into the five major
themes influenced by mentoring. Mentoring was influential as a tool for recruitment,
socialization, support, professional development, and reciprocal learning, and it was beneficial
for all involved (Marzano et al., 2012). Ultimately, as Marzano et al. (2012) found in their study,
the goal of mentoring was to support and create some guidance for sitting principals and to help
grow future leaders inside the school system. Due to half of most new principals turning over in
their third year (School Leaders Network, 2014), it is a promising finding by Marzano et al. that
the principals from four districts believed that mentoring was the best socializing strategy to help
less experienced leaders.
Sciarappa and Mason (2014) examined the perceived efficacy of a U.S.-based national
principal mentor training program and found that 80% of the respondents recommended that one
way to improve the mentoring program was to make sure new principals received mentoring.
Instead of complaining about the program or wanting to modify the mentoring program, these
principal participants agreed it was a vital source for all principals, especially novice principals.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 32
Of the principals participating in the mentoring program, 72% responded that they were enjoying
their principalship and overall, the mentoring opportunity was viewed positively (Sciarappa &
Mason, 2014). The impact of mentoring on the supply of possible school leaders was also
promising, as administrators reported that encouragement from a professional colleague played
an important role in their decision to apply for an administration position (DeAngelis &
O’Connor, 2012).
According to Schmidt-Davis and Bottoms (2011), up to 80% of what principals learn
about the job is on the job. Mentoring and coaching are essential for on-the-job or in-action
learning, and they have an immediate effect that does not exist in a contained environment.
Mascall and Leithwood (2010) encouraged districts to keep their principals for a minimum of 4
years (if possible 5–7 years), as this is the time that it would take to create a sustainable school
culture. Fink and Brayman (2006) recommended that districts bring back funding that once
supported mentoring between more experienced principals and newer principals. Mentoring is a
system that can help establish the support for principals to forgo turnover and develop their
leadership in a more supportive manner.
Leadership Training
A critical component of tapping is developing leaders through a structured training
program. In a survey conducted following a principal preparation program in Kentucky, the
principals identified the most valuable field experiences were those involving practical, hands-
on, typical principal responsibilities (Dodson, 2014). Dodson (2014) stated in particular, the
findings support increasing exposure in two field experiences, one in budget and finance and the
other on site-based decision making. Amagoh (2009) suggested that leadership development
should be comprehensive and integrated into the organizational culture in order to produce
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 33
leaders who can adapt to challenges within an organizational setting. The importance of
developing an effective leadership development culture is one of the most active strategies for
attracting and retaining talent both in the private and public sector (Amagoh, 2009). Amagoh
also warned that leadership development should not be confined to a single leadership training
but a process that is ongoing.
Backor and Gordon (2015) used in-depth interviews to examine the perceptions of
university scholars, practicing principals, and teacher leaders regarding how university
preparation programs should prepare instructional leaders. Participants referred to the
importance of training provided at the school site. They suggested field experiences and an
induction process for principals to gain valuable hands-on experience in particular school
settings. One complaint from a teacher leader was that in university programs, there is a
disconnect between theory and practice; thus, creating opportunities for hands-on practice to
connect the two would be beneficial to principals. Although there was no agreement regarding
who should take responsibility for induction support, respondents agreed that it was vital for
principals to get the support as they transition to a new school site, especially within the first year
(Backor & Gordon, 2015).
Practices for Succession Planning
In an attempt to alleviate growing vacancies for quality leaders, succession planning has
emerged as a promising practice. Because the problem of filling vacancies is a matter of quality,
developing leaders is a responsibility that is not limited to school sites; districts and states also
play a vital role in making succession planning a priority (Myung et al., 2011; Schmidt-Davis &
Bottoms, 2011). A variety of structures can be used to develop leaders; for instance, better
planning is a visible solution because it can alleviate the reactionary mentality of filling a critical
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 34
position among organizational leadershipSchmidt-Davis & Bottoms, 2011). Succession
structures can take the role of state, district, or school policies; allocated resources; and
partnerships with university preparation programs.
Policies
An important strategy a school leader can adopt is to align his or her vision for the
success of students with that of the school (Klar & Brewer, 2013). This should be a
collaborative effort, not solely a forced action by the school site. A principal in Sciarappa and
Mason’s (2014) study explained how districts need to limit parental control in policy governing
the school; principals should be allowed to develop this vision collaboratively with stakeholders.
Not allowing the principal to develop this shared vision, which should be particular to a school
site, gives the impression that the principal is a position that is replaceable and unimportant to
the school (Sciarappa & Mason, 2014). The mandates from outside governing bodies led Fink
and Brayman (2006) to describe leaders as functionaries; that is, leaders serve in a role in order
to meet a particular function.
CMOs described the barriers created by state and federal policies, which hinder access to
talent who do not carry a highly qualified label, leading to an even lower pool of potential
candidates from which to select for vacant positions (Chadwick & Kowal, 2011). Some
teachers, for instance, may be quality leaders for the organization, but if they lack the credentials
required by the state or federal government, schools cannot tap them as potential candidates.
Some CMOs have tried to address this problem by creating their own credentialing programs,
but not all have the funding to embark upon such an innovative practice (Chadwick & Kowal,
2011).
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 35
In a study described by Hargreaves and Fink (2011) that reflected successful leadership
practices in Finland, there was criticism over how the Anglo-Saxon country’s school leadership
spent time dealing with governmental initiatives coming from the top. The ability for Finnish
school leaders to focus on the school system allowed them to practice learning, teaching, and
cooperation in order to better develop their practice as leaders (Hargreaves & Fink, 2011). The
time spent on acquiring practice as school leaders is something that principals in the United
States would find to be a luxury.
Allocated Resources
A well-structured succession plan, according to Browne-Ferrigno and Muth (2004), is
dependent on time, energy, and attention. Time is a resource that conflicts with the
responsibilities assigned to a school leader. A principal is expected to meet the needs of the
school as well as develop their own leadership skills while balancing the reality that there is no
time for reflective practice (Fink & Brayman, 2006). Some CMOs have developed programs to
help support the challenging role of the principal, but not all CMOs or charter organizations are
fortunate enough to start or even sustain such endeavors (Chadwick & Kowal, 2011).
The concept of allocating resources is one that is also important to setting up systems for
succession that are sustainable. For example, despite the positive impact of mentoring and
coaching programs for developing leaders, if funding is not available, they are likely to be
eliminated (Fink & Brayman, 2006). The deployment of additional funding is an area that can be
supported at the federal and state level, much like the Obama administration promoted when
establishing the Race to the Top competitive grant program (McGuinn, 2012). Nonetheless,
school organizations are capable of allotting resources that could promote the continued
development of school leaders, which would not be restricted by time or money. In order to
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 36
create a supportive environment for its leaders, the Knowledge is Power Program has started
working on structures that make the job of a school leader more manageable, even if it means
cutting into the leader’s autonomy (Chadwick & Kowal, 2011).
Theoretical Framework
The theoretical framework for this study was transformational leadership (Northouse,
2007). Throughout the literature, there were links to the underlying aim of this theory: building a
relationship between leader and follower (Northouse, 2007). According to Kouzes and Posner
(2006), transformational leadership theory incorporates five practices of exemplary leadership:
(a) model the way, (b) inspire a shared vision, (c) challenge the process, (d) enable others to act,
and (e) encourage the heart (Northouse, 2007). This study focused on all five of these practices.
Marzano et al. (2005) described transformational leadership as focused on change and interaction
between the leader and followers, allowing for the production of results that exceed expectations.
Model the Way
In modeling the way, transformational leaders need to be very reflective regarding their
own values and philosophy (Northouse, 2007). Leaders act as leaders, they make commitments
and stick to them, and they set an example for those around them. Leaders continuously develop
as they find their own voice and express it to others (Northouse, 2007). As some school systems
have recognized, principals need to have more autonomy in order for school-based reform to be
effective (Papa, 2007). Leaders can use this autonomy to model leadership to stakeholders and
influence change in a positive direction for staff. This autonomy can also be used in selecting
staff to add value to the team, as the leader sets expectations for how he or she will interact with
stakeholders and affirm common values.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 37
The process leaders must go through to develop professionally and personally is not one
that can be done alone. As stated earlier, principal mentoring is a key component for principal
identification, socialization, development, and retention (Zepeda et al., 2012). Through the
mentor/mentee interaction, principals have the opportunity to discuss ideas for reform in schools
as well as get feedback on how they could have responded to an incident differently. A
leadership mentoring program is ultimately a form of professional development that allows for
on-the-job growth. This study sought to understand how school leaders modeled the way for
future leaders and what systems and structures were in place or played a role in developing
future leaders at the school site.
Inspire a Shared Vision
The difference between an effective leader is the difference between telling and showing.
As a school leader, there are many stakeholders looking for guidance and in order to be guided,
there must be a clear vision of where everyone is headed. Transformative leaders ensure that
everyone at the school feels they play a role in carrying out the overarching vision. As Hitt and
Tucker (2016) discussed, setting a vision is critical but should not be done alone; stakeholder
buy-in is equally important to add value and sustain the vision and goal. An effective leader
recognizes the importance of working as a team and emphasizes the key component of sharing
the vision. As leaders inspire a shared vision, they must listen to the stakeholders who will
benefit from a well-developed goal.
Challenge the Process
Transformational leaders encourage change and take risks. If there is an instance of
failure, they celebrate it as one step closer to success. Stephen Covey, known for his book The 7
Habits of Highly Successful People, shared the habit of sharpening the saw, which refers to
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 38
learning from mistakes and developing skills to make sure they do not happen again (Marzano et
al., 2005). Transformational leaders encourage questioning the status quo and support staff to
correct their mistakes on their own without waiting to be told how they should be corrected.
Enable Others to Act
Transformative leaders play a significant role in creating an environment where people
feel empowered to continuously grow and contribute to their community (Northouse, 2007).
Effective leaders have a relationship with their staff that promotes trust, respect, and
collaboration. Effective school leaders encourage others to act in the best interest of the school
and they support the decisions that are made. Effective leaders have an expectation that if the
staff member is not successful in the choice that was made, it is not a complete failure because it
will contribute to the learning process for the individual as well as the organization. This
interaction allows leaders to be effective at working with people with an innovative approach.
School leaders are vital to the continued development of staff and must find a productive balance
that supports growth without stifling creative and professional development.
Encourage the Heart
Leaders are looked to for guidance and encouragement. How leaders take on that
responsibility determines how followers respond to the ongoing guidance. Teaching is by far
one of the most challenging jobs, and staff need motivation and encouragement to get through
the challenges associated with being classroom leaders. Transformational leaders accept the role
of listening to others and developing them as team members. Transformational leaders make
people feel valued and part of a greater goal. As quality leaders need mentors to develop
personally and professionally, transformational leaders act as mentors and coaches to their staff,
cheering them on to victory. The victories are acknowledged, celebrated, and appreciated.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 39
Summary
The literature contributed to this study in that it described the changing role of the school
leader and described the reasons that contribute to principal turnover for both TPSs as well as
charter schools. The literature detailed a brief history of the evolution of the role of principal and
federal and state political trends that have contributed to the increased accountability measures
placed on schools and school leaders. High-quality school leaders play an essential role in the
structure of a school site and ultimately contribute to student achievement (Day et al., 2016;
Miller, 2013). The purpose of this literature review was to understand how innovative and
effective practices are currently being used at school sites to promote successful succession
planning.
The literature was broken down into the practices that play a role in the development of
effective school leaders. Throughout the literature, there was a fundamental understanding that
strategies do not work in isolation from one another. For example, in discussing the system of
mentoring/coaching novice and experienced leaders, the importance of creating structures that
allow for resources and financial support emerged as critical to ensure the effectiveness and
sustainability of programs. The literature review concluded with the theoretical framework that
guided this study. This study sought to uncover the systems and structures at the specific school
site that contribute to effective succession and development of school leadership.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 40
CHAPTER THREE: METHODOLOGY
This study was designed around an administrator preparation program developed by a
CMO. The program is a yearlong residency program developed to help build leadership capacity
for participants. The importance of creating quality school leaders internally rests on the ability
of this program to support participants in developing skills as future school leaders. The
influence a leader has on an organization can determine environmental factors that contribute to
student achievement (Marzano et al., 2005). Additionally, turnover, attrition, and retirement of
school leaders are creating a substantial need for quality leaders to succeed outgoing principals
(Miller, 2013; Zepeda et al., 2012). This qualitative case study aimed to look at ways of filling
vacancies as well as understand promising practices for succession planning. School leaders
have both a direct and indirect impact on student achievement (Hanselman et al., 2016;
Leithwood et al., 2008). Principals, in particular, matter to the development of a school
environment that best supports student success (Hitt & Tucker, 2016). The purpose of this study
was to examine perceived practices that build leadership capacity as well as understand the
challenges associated with supporting and maintaining leadership development.
This chapter will outline the research design of the study, the data collection methods,
and analysis of the data. Subsequently, an overview of the participants will be provided. The
first section explains the structure of this study as a qualitative case study. Next, the theoretical
framework and conceptual framework will be explained. The data collection procedures and
instrumentation will be described. Finally, this chapter will conclude with ethical considerations
for this study.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 41
Research Questions
In an effort to gain insight into successful leadership capacity development at the specific
charter school, the following study sought to answer the following research questions:
1. What are the perceived practices that contribute to building the next generation of
leaders at PACS?
2. What are the challenges to supporting and maintaining the practices designed to build
leadership capacity?
Research Design
A qualitative case study approach was used to examine the phenomenon of building
quality leadership at Prep Academy Charter School. In order to collect rich descriptive data in a
qualitative case study, “The researcher acts as the primary instrument of data collection and
analysis” (Merriam & Tisdell, 2016, p. 37). According to Merriam and Tisdell (2016), “A
qualitative case study is an in-depth description and analysis of a bounded system” (p. 37).
Merriam and Tisdell further added that if the phenomenon a researcher is interested in studying
is not intrinsically bounded, it is not a case. In the case of this qualitative case study, it is bound
by the fixed number of participants that can be interviewed as well as a fixed time for
observations (Merriam & Tisdell, 2016). Creswell (2014) further described qualitative research
as an approach to exploring and understanding the experiences of individuals and groups
experiencing a particular problem. For this case study, senior leadership (i.e., principals who
were alumni of the program or current participants in the program) participated in the study.
A qualitative approach was appropriate for this case study because it allowed for the
collection of rich data in the field of study. For this qualitative case study, data were collected in
a natural setting; this allowed for face-to-face interactions over a 3-month period at specific
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 42
school sites with participants. As the researcher, I collected the data and used questions to
interview the participants, as detailed in the interview protocols created with the Thematic
Dissertation Group. A key component to being the sole data collector is to gather multiple
sources of data, specifically through the use of interviews, observations, and document analysis.
Another characteristic of qualitative data collection that was essential for this case study was
having a holistic account of leadership development at Prep Academy Charter School.
Sample and Population
This study examined the perceived practices used by the CMO, as they pertain to the
resident administrator program, to build leadership capacity at the organization. A purposeful,
convenience sample was used in this study. Purposeful sampling was selected as a method for
the researcher to gain the most valuable insight into the focus area and thus select a sample from
which the most could be learned (Merriam & Tisdell, 2016). Criterion-based selection allowed
for the identification of participants based on characteristics relevant to this study (Merriam &
Tisdell, 2016). Purposeful sampling allows the researcher to narrow the focus on the people and
sites that will best contribute to a data rich collection process. Convenience sampling was also
used in this study as there were limitations with time, money, and location; convenience
sampling was not the only method of selection because as a sole method, it can negatively
impact credibility (Merriam & Tisdell, 2016). Snowball sampling was also used as a way to gain
access to quality participants for this study. Participants selected early in the process were asked
if they would refer other interested participants to the study. Using this method of sampling, as
more people are referred, the snowball continues to get bigger (Merriam & Tisdell, 2016).
The four aspects of purposeful selection of participants as discussed by Creswell (2014)
are to explain the importance of selecting the setting, the actors, the events, and the process that
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 43
will take place for the study. The setting for this case study was various charter managed school
sites as well as the home office located in a highly populated area of southern California. The
actors were the chief academic officer, the director of professional development, area
superintendent and director of the program, three principals, a vice principal, and participants in
the program. The criteria for the selection of the educational organization was determined by the
thematic group; as part of the criteria, the organization needed to have practices in place to build
leadership capacity. The following were additional criteria used for selecting the organization:
1. Leaders who used practices to build leadership capacity among teachers.
2. School leaders who had a record of past performance in leadership development with
teachers aimed at encouraging them into administration.
As part of the identification process, a recruitment letter was sent out requesting
participation in the study (see Appendix A). The letter included information stating the purpose,
commitment, and expectations of the study. This letter was approved by the Institutional Review
Board (IRB). Once it was approved, it was shared with the chief academic officer principal and
school staff. The staff at Prep Academy Charter School were asked to commit to a 45-minute
interview. The request letter outlined the researcher’s access to observation locations and
process for analysis of documents related to the school site.
Overview of the Organization
PACS is a non-profit educational organization that operates primarily in Los Angeles,
California. It operates 20 public schools in the greater area of southern California. The
organization has grown from its initial start of just one school to now servicing 11,000 students
in the country, including nine charter high schools and eight schools outside the state of
California. Each school that was founded in California promotes the mindset of true grit. The
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 44
organization boasts about high accountability standards for a college-ready environment beyond
the classroom. Students are expected to graduate college-ready, and test scores as well as
graduation rates are higher than the neighboring schools. PACS was founded in the late 1990s as
a response to the poor performing schools in Los Angeles and the lack of quality education
students from urban, low-socio-economic communities were receiving.
PACS is acknowledged as the leader of turnaround schools, and it made the decision to
take on this challenge when they realized the schools they were opening were still not servicing
the majority of the student population in the surrounding areas. In Los Angeles, the students
served are similar in terms of demographics to students served in traditional districts. PACS
serves a wide grade span, from middle to high school. The vision of the organization is to close
the achievement gap in the most underserved communities.
Key participants from the organization, such as the principal, leadership team members,
and program participants were purposefully selected in order to assess leadership capacity and
development resources and practices within the program. Additionally, as part of the snowball
sampling process, the researcher relied on the leadership team members and the administration
team to refer people they felt would be able to speak to the capacity for leadership building in the
program. The researcher reached out to participants via request letter and e-mail.
Conceptual Framework
The conceptual framework was designed by the thematic group, and at the forefront was
the theoretical framework for this study, transformational leadership. The theoretical framework
influenced the development of the conceptual framework, taking into consideration the five
practices that structure the theory. The conceptual framework was based on emerging themes
from the review of the literature. First, the encompassing circle refers to the ongoing
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 45
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 CMO’s home office set the mission and vision for the process of building leadership
capacity. Figure 1 shows the next step, which includes an assessment of the organizational and
societal challenges that impact the plan for building leadership capacity. Once the challenges are
considered, the leadership’s capacity-building practices are sorted into three categories: (a)
identification and recruitment of potential leaders, (b) development of individual leadership
capacity, and (c) ongoing support for school leaders.

Figure 1. Conceptual framework.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 46
The framework acknowledges the challenges that will be present within a given
organization as the succession plan is implemented, managed, and sustained at the site level.
The framework proposes that leadership capacity will increase for individuals in the pipeline as a
result of the process of identification, development, and support. Thus, the result of these efforts
is the building of a reservoir of highly qualified leaders who have developed through and also
embody transformational leadership practices. Increased leadership capacity feeds back into the
organization’s plan to identify, develop, and support 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.
Instrumentation
The instruments used to collect rich data for this study included semi-structured
interviews, observations, and organizational documents. Semi-structured interviews helped to
further understanding regarding how building leadership capacity looked within the program
according to the participants. Semi-structured interviews allowed for some flexibility regarding
how the researcher conducted the interviews. According to Merriam and Tisdell (2016), the
protocol for the interview allows the researcher to respond to the “emergent world view of the
respondent” (p. 111). In using this semi-structured approach, the researcher was able to ask
follow-up probing questions that provided more clarity as the interview progressed. Patton
(2002) emphasized that the purpose of interviewing is to find out from participants information
that cannot be directly observed. The process of interviewing relies on being a good listener, and
although the interview was treated more as a conversation due to the semi-structured approach,
there was a clear purpose for the conversation. Bogdan and Biklen (2007) shared that in the
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 47
interview process, the researcher must treat the interviewee as an expert in their field and
encourage them to share their own ideas and observations.
Observations were used as a method to collect data surrounding the opportunities for
leadership development as well as the relationship between the principal and future leaders. The
settings for these observations emerged from the conversations with participants. Merriam and
Tisdell (2016) discussed the contrast between everyday observations and researcher
observations. Compared to an average everyday observer, a trained observer utilizes a
systematic method of observation to collect data (Patton, 2002). Because the participants for this
study included subordinates to the school leadership, the use of observations allowed for
firsthand perspectives which participants might otherwise not have been willing to discuss in an
interview (Merriam & Tisdell, 2016). The protocols for the interviews and observations are
included in Appendices B, C, and D.
Lastly, document analysis was used as a tool to compare the collected data from the two
other instruments of data collection. Merriam and Tisdell (2016) described documents and
artifacts as ready-made data that are accessible and do not intrude on the natural setting as
interviews or observations might. In this study, the researcher examined public and personal
records pertaining to building leadership capacity at the school site. These records included
professional development calendars, meetings agendas, job descriptions, and the staff handbook.
The researcher also reviewed online documents that informed the practices of leadership
development in the organization. In using document analysis as an instrument, it was important
to determine the authenticity and accuracy of written documents (Merriam & Tisdell, 2016). The
procedure for determining authenticity and accuracy was part of the research process.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 48
Discussions with the principal and participants helped in understanding how documents were
utilized in the organization.
Data Collection
Data were collected using the three instruments discussed above: semi-structured
interviews, observations, and document analysis. The use of three instruments allowed for
triangulation of the data. The semi-structured interviews were held with the (a) three home
office leaders, (b) three principals, (c) an assistant principal, and (d) three current resident
administrators in the leadership or principal pipeline.
The researcher utilized a person-to-person interview format to elicit information from
interviewees in the form of a conversation (Merriam & Tisdell, 2016). Participants were each
interviewed for approximately 45 minutes in a location that was comfortable for them with
minimal distractions. The participants selected for the study had insight into the practices
utilized by the program to build leadership capacity. Interviewing the chief academic officer,
director of the Resident Administrators Program (RAP) program, and director of professional
development shed light on the recruitment process used by the organization to identify quality
leaders. Interviews were recorded with participants’ permission and transcribed using Rev
transcription software. Participants’ identities were kept confidential; pseudonyms were used for
each participant as well as the organization.
The observations were very selective and involved weighing the value of the observation,
as informed by participant input. The researcher attended professional development
opportunities related to leadership development. Observations were used as a way to understand
the culture behind leadership development at the schools. The researcher observed a training
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 49
session led by the director of the program to understand the dynamic between the director and
program participants.
Document analysis involved examining documents that had the following information:
mentoring program description, job description requirements, hiring process, and recruitment or
marketing process for program participants. Maxwell (2013) stated that triangulation involves
using different methods to check for consistency, reducing the risk that conclusions drawn from
the study reflect only one specific method. The importance of having more than one method to
collect data lends to the importance of understanding the phenomenon from more than one
perspective. Table 1 summarizes the data collection methods.
Data Analysis
The structure for data analysis was based on Creswell’s (2014) model for qualitative data
analysis for qualitative research. The model is broken down into six steps, beginning with
organizing and preparing the project data for analysis. This step involves looking over the data
collected and getting a good sense of what was collected by organizing transcriptions, sorting
field notes, and clearing up any observer comments. Step 2 consists of examining all collected
data for topical themes. A priori codes can be handy as they are usually developed before the
research has begun; as Harding (2013) shared, “These codes are created to reflect categories that
are already of interest” (p. 82). Step 3 begins the coding process by organizing data into general
themes. Coding involves analyzing the data in a way that allows for it to speak to the researcher
and have specific words represent what is being shared in the data. During this process, the
researcher used a qualitative codebook to keep codes in order and to explain their meaning. This
also helped with Step 4, which involved extending the coding process to identify emerging
categories.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 50
Table 1
Summary of Data Collection used in the Study
Research
Question

Interviews

Documents

Observation
RQ1: What are the
perceived
practices that
contribute to
building the next
generation of
leaders at Prep
Academy Charter
School?

Director of
Professional
Development
Chief Academic
Officer
Director of the RAP
program
Principals - 3
Vice principal- 1
3 current resident
administrators in
leadership
pipeline
Documents
containing the
description or
information related to
the resident
administrator
program, mentoring
program description,
job description,
recruitment or
marketing process for
principals
Training session led
by the director or the
RAP program

A one-on-one
coaching session
between the director
of RAP and mentor
principal with a RAP
participant as it
relates to leadership
development

Professional
development or
training to build
leadership capacity

RQ2: What are the
challenges to
supporting and
maintaining the
strategies
designed to build
leadership
capacity?
Director of
Professional
Development
Principals - 3
Vice principal - 1
3 current resident
administrators in
leadership
pipeline
Documents
containing the
description or
information related to
the resident
administrator
program, mentoring
program description,
job description,
recruitment or
marketing process for
principals
Training session led
by the director or the
RAP program

A one-on-one
coaching session
between the director
of RAP and mentor
principal with a RAP
participant as it
relates to leadership
development

Professional
development or
training to build
leadership capacity
Note. RAP = Resident Administrators Program.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 51
Step 5 involved developing a narrative to represent the discovered themes. This process
involves reflecting on the research questions and funneling the responses to each question. The
final step was to interpret the data and make meaning. After all the data had been analyzed, this
step requires that the researcher to reflect back on previous findings related to the topic and
compare results from the study to previous research. This is also where the theoretical lens was
applied regarding the topic (Creswell, 2014). Figure 2 was created by the Thematic Dissertation
Group of 2018 as a depiction of Creswell’s (2014) model for qualitative data analysis.

Figure 2. Creswell’s model for qualitative data analysis.

Ethical Consideration
Prior to beginning the project, the Thematic Dissertation Group collaborated on the IRB
application and submitted it to the University of Southern California. Along with submitting the
IRB application, each group member had to complete the Collaborative Institutional Training

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 52
Initiative program due to the nature of conducting research with human subjects. Participation in
study was voluntary and each participant’s identity was kept confidential using a pseudonym; a
pseudonym was also used for the school site. Participants were recruited using a letter that stated
the nature of the study and the purpose. The letter was also used to garner informed consent,
which ensured that participants understood the expectations of the study and their right to
withdraw at any time. The researcher followed the university procedures for ethical conduct as
outlined by the IRB.
Another ethical dilemma concerned the dissemination of findings (Merriam & Tisdell,
2016). With the understanding that the primary instrument for data collection in qualitative
research is the researcher, it is critical for the researcher to examine his or her biases prior to
commencing the study. In working with the Thematic Dissertation Group, the researcher was
able to express her concerns, examine her biases, and challenge herself to become more aware
her influence throughout this qualitative case study. The researcher aimed to present the findings
in a clear manner, without excluding data that might have contradicted her own views.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 53
CHAPTER FOUR: RESULTS
The purpose of this study was to identify perceived practices that contributed to building
the next generation of leaders at PACS. Specifically, the focus was on understanding how the
PACS program supported the identification, development, and retention of future leaders. This
study aimed to provide insight to CMOs to assist in building leadership capacity among teachers,
ultimately expanding the pool of candidates for next-generation principals. CMOs may use
findings from this study to inform the development of programs for future leaders. This chapter
includes a description of the participants in this case study and a report of the findings. Findings
will be reported for each of the research questions:
1. What are the perceived practices that contributed to building the next generation of
leaders at PACS?
2. What are the challenges to supporting and maintaining the practices designed to build
leadership capacity?
Overview of the Participants
The unit of analysis for this study was the RAP. Ten participants were interviewed for
the study: three members of the organization’s leadership team, three principals, an assistant
principal, and three RAP participants. The organization’s leadership team provided insight into
the vision of the program and the rationale for selecting various resources that contributed to
building leadership capacity. Their insight also contributed to understanding how such structures
evolved in the program over time and how they informed professional development throughout
the organization. Interviewing the three principals and an assistant principal helped to
understand how the program influenced the development of these leaders. Two of the three
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 54
principals interviewed were part of RAP (previously known as the Resident Principals Program),
which focused on their development as incoming principals.
At the time of this investigation, there were six participants in RAP, three of whom were
interviewed as part of this study. The observations conducted for this study included the
following: (a) one training seminar for the resident administrators, (b) a one-on-one resident
administrator coaching session between a resident and the program director, and (c) a
professional development session for resident administrators (required once per month). In
addition to interviews and observations, documents related to the research questions were
collected from participants. In order to ensure confidentiality, participants, places, and programs
in this study will be referred to using pseudonyms. Table 2 provides a brief overview of the
participants in this study.
Overview of the Program
The RAP was designed to give participants the experience of a year in the life of an
administrator without the title or full responsibilities of an administrator position. Through four
school site rotations, residents learned from different school contexts, including middle schools,
high schools, transformation, independent and possibly a startup site. They observed different
school leaders and leadership teams. As the Program Director, Araceli Katalan expressed, “They
learn about different ways to approach practically the same kind of situation, but from different
leadership styles.”
Every week participants met with their cohort group and with the director of the program.
During these meetings, participants shared concerns or/and collaborated on topics of discussion,
and assignments were given to the group. These meetings helped ensure academic
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 55
accountability as the program is accredited, leading to a preliminary administrator’s credential
for participants that do not already possess one.
Table 2
Participant Demographics
Name Title
Entry level within
PACS
Years with the
organization Additional details
Tania Arevalo Chief Academic Officer Teacher 16 Started career outside of
the CMO in a school
district outside of the Los
Angeles district

Araceli Katalan Director of RAP and
area Superintendent
Assistant Principal 12 Started career outside of
the CMO in the
surrounding school
district of Los Angeles

Miguel Holbrook Director of Professional
Development

Teacher 14 Started career outside of
the CMO in a district in
the surrounding Los
Angeles area

Nicole Preciado Principal Resident Principal 11 Started career outside of
the CMO in a district
outside of Los Angeles
County

Whitney Smith Principal Teacher 13 Started career with the
CMO as a classroom
teacher

Erica Daniel Principal Resident
Administrator
4 Started career outside of
the CMO and was an
administrator at another
charter organization
before applying to RAP

Roberto Garcia Assistant Principal Teacher 4 Started career outside of
the CMO and had
experience with another
charter organization as a
classroom teacher

Cristina Escobedo Current RA Teacher 6 Started career with the
CMO as a classroom
teacher

Tiffany Adams Current RA Current RA 1 Started career outside of
the CMO in the
surrounding school
district of Los Angeles
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 56

Madison Cruz Current RA Current RA 1 Started career outside of
the CMO and had
experience with another
charter organization as a
classroom teacher
Note. CMO = charter management organization; RA = resident administrator.
Participants were responsible for completing specific projects assigned to their school
site. Throughout the rotations, participants, the administration team, and the director of the
program met for coaching sessions, where data-based feedback was provided to participants.
Participants shadowed the school administration team and built a connection to the school and
school community.
The RAP at PACS was selected for this study because it was identified as a promising
and innovative program for building leadership capacity. Internal and external applicants were
encouraged to undergo the rigorous selection process. The application process is first advertised
internally throughout the organization. Administrators were encouraged to identify potential
school leaders and encourage them to apply. External applicants were encouraged to apply by
colleagues or were recruited to apply through promotional avenues.
PACS created this program with the ideology that developing a quality school leader
takes time and requires a network of support. It is important to note that the program started in
2007 and was restructured in 2014 after the organization decided to develop school leaders as
assistant principals rather than transition teachers directly to principal positions. Originally, RAP
was designed to mold administrators into quality principals. This aim shifted once the demand
for school principals decreased. Creating a supply of entry-level administrators became priority.
PACS demonstrated a need to develop leaders in every capacity of instruction, not only as school
leaders. Its focus was to grow leaders throughout the organization with the understanding that
this development would benefit the most important stakeholders—the students. PACS
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 57
emphasized a growth mindset in all of its professional development programs, and RAP is no
exception.
Findings
Research Question 1: Perceived Practices for Building Leadership Capacity
The practices PACS put in place for preparing to build the leadership capacity of future
principals were reflected in RAP. This program was an investment in future school leaders for
the organization, similar to Fink’s (2011) suggestion that succession plans be viewed as an
investment rather than cost for an organization. Tania Arevalo, the Chief Academic Officer,
described the program as an opportunity to grow leaders in the organization. Participants were
selected to ensure there was a return on the organization’s investment within a 1-year timespan.
Through the qualitative data collection process, two main themes emerged related to the first
research question. First, the program aligned to the central mission and vision of the
organization, which was evident in observations, document analysis, and interviews. Second, a
culture of growth and collaboration was promoted throughout the organization and aligned to
opportunities provided to participants in the RAP. In addition, the yearlong residence program
allowed participants to reflect on their hands-on experiences as well as refine their skills as
leaders.
Focus on the Vision
The mission of the organization was to provide a quality education and prepare students
for leadership as college-ready, lifelong learners. In order to facilitate this vision, the
organization focused on creating a program that developed participants as leaders in the
classroom, as part of a committee, or as administrators. Classroom teachers can broaden their
impact if they are provided with opportunities to lead and experiences to add to their professional
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 58
portfolios. This commitment to building leaders began with quality instructors and instruction.
As part of the document analysis, a video highlighted the ripple effect that occurs when
instructors continue to grow professionally (i.e., broaden their impact). RAP participants learned
soft and hard leadership skills by coaching teachers using a framework. This was evident during
one of the observations. In discussing the main outcomes of the resident program, Araceli
shared the following:
I think it’s, you know, the hard skills of being a leader—meaning how to coach teachers,
how to be able to run a school, the operations piece, but most importantly, it’s the soft
skills of becoming a leader. I guess really, that’s what it’s about. Leadership, like I said
before, it’s leadership versus management. Anyone can manage. Anybody can actually
look at the budget and make a decision. But, how do you actually be leader, who is going
to involve their teachers and their staff in decision making.
The development Araceli spoke of is what the program is intended to do in order to help novice
leaders transition into quality leaders. The identification of potential candidates begins during
the hiring process.
Hiring well. Of the many structures and practices the program follows, the selection
process of the participants was the most rigorous. As shared through documents, the application
process is broken down into six steps, clearly outlined on a timeline with a description and
rationale for each step. The description includes the time required to complete a step, the
location where the step will be completed, instructions to follow during the process, and the
timeframe for feedback. In analyzing the application, it was evident that the process is
particularly involved. Participants felt a sense of pride in completing this process. One RAP
participant, Madison, chuckled when discussing the application process, stating that it was
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 59
“intense.” When asked how early the conversation regarding interest in leadership should
happen, Araceli responded as follows:
Right away. I think that that’s really important. When you are hiring, you ask, “What is
your trajectory?” . . . Because then I know as a leader . . . am I going to go ahead? How
am I going to guide them?
As the organization filters candidates for the program, it must keep in mind, as Tania Arevalo,
Chief Academic Officer, stated, “You’re creating a bench of people that are ready to go in and
lead schools.”
The hiring process begins almost a year in advance and allows for qualified candidates
like Nicole Preciado to be selected as school leaders. She shared that throughout her experience
as a teacher and then as an administrator, she pushed herself to be the best and take on
challenges. She spoke about how she was “headhunted” and the reason she ultimately came to
the organization was because she would be the principal of a turnaround school. What sparked
her interested was knowing that she would be able to mold the culture of the school and make it
successful. This is an example of how the organization not only hired well but also aligned
people’s personalities with their purpose in the organization. Partnerships were intentional in the
sense that the organization evaluated applicants’ strengths and how they contributed to their
development as quality leaders.
The program tended to attract applicants who were looking for something that previous
sites had not offered. Erica Daniel described her reason for applying to RAP:
As the founding administrator for my previous organization, I felt like I was thrown into
the role, but I wasn’t engaged in as much professional development. And, so that’s really
what I was looking for—to be able to grow in coaching, particularly so I can be the best
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 60
coach I can for the teachers when it comes to their instruction, and I just wanted to be
able to know how to be a better, effective leader, and the RAP program really offered all
of those pieces. And, so that’s why I applied.
Erica’s response connected the mission of the school to its dedication to developing quality
educators. Quality teachers were the backbone of the organization and developing strong leaders
to lead them was essential to sustaining the organization.
Restructuring for purpose. The RAP program was ultimately restructured in order to
create consistency and align outcomes to the California Administrator Performance
Expectations. The shift took place because the organization’s administrator model changed—
increasing from one assistant principal to two—contributing to the need to develop
administrators over the need to develop principals. The structure of RAP is very intentional,
with practice supported by theory. One document revealed that there was a RAP advisory board
created to provide feedback and input regarding program updates.
RAP is structured in a way that focused on developing the school leader through
reflection. After meeting as a cohort, participants spent the rest of the week at their sites
shadowing administrators and working on specific projects assigned for the campus. Tiffany
shared the following:
It’s the weekly check-ins with your mentor or principal—because I know other programs
where it’s like you just go and shadow a principal for a while, and there is just like little
interactions. But, we religiously have to sit down with our principal—once a week, at the
same time every week. And, there is a specific protocol of what we go over.
Once a month, participants attended a professional development meeting, which was
designed as a workshop series allowing participants to choose their area of professional
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 61
development. All of the participants in the study referred to at least one of these professional
development sessions. All assistant principals and RAP participants attended the monthly
professional development sessions. The morning portion of the session focused on school-wide
systems, such as areas for growth regarding curriculum development. The second half of the day
included smaller breakout sessions to target participants’ individual interests.
The structure of these sessions was consistent with the vision of the organization in that
they promoted autonomy among participants and also emphasized the importance of
collaboration. Tiffany Adams shared the following:
It’s just really refreshing because I know that I can go to any school. I’m gonna hear the
same vision from every single administrator, from every single teacher. I’m gonna be
able to see all the different programs exactly the same from one school to the next school,
and everybody has—like I said—just everybody comes with the same mindset.
Tiffany shared that she came from a district where there was a vision, but it was not
communicated well, and the experience gained by participants at different schools pertaining to
the vision was not the same.
Leadership philosophy. In describing their philosophy of leadership, all respondents
spoke about servant leadership and serving the stakeholders. The values established by the
organization through its vision and mission allowed the RAP to facilitate the growth of leaders or
future leaders. The leadership skills participants developed in the program allow them to
contribute to their community, promoting their own values as well as those of the organization.
Values were reinforced through professional development and leadership opportunities, as
described in the following section.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 62
Selecting participants who were “philosophically aligned,” as Miguel mentioned during
an interview, allowed the organization to mold individuals to meet the needs of the organization.
Participants had a growth mindset and looked for opportunities to grow and learn as well as take
risks to gain experience as leaders. Thus, participants’ values ultimately promoted the growth of
the organizational culture.
Madison Cruz initially felt she was losing touch with where public education was headed
and needed to seek something that would ground her to her values of making a difference in the
lives of people who needed the most help. Her friend recruited her to apply for RAP, though she
was initially hesitant, partially deterred by the application process. When she was approached by
a principal who shared her vision for the school she leads, she said this was a determining factor.
Madison said, “Literally that conversation with the principal opened up my mind.” The principal
who inspired Madison worked at a transformation school. Madison shared how the principal’s
vision and values influenced her to become a part of RAP. Stakeholders at the organization were
also encouraged to find what motivated them to grow in terms of their impact and to align with
the vision of the organization.
Culture of Growth
PACS understands that investing in their leaders is an investment in their schools and
stakeholders. PACS hires with the understanding that in order for people to develop,
opportunities must be provided to expand their growth. This is offered through opportunities
such as selecting one’s professional development experiences as well as through professional
learning communities. Collaboration among colleagues was encouraged, as evidenced by the
format of professional development programs, the structure of instructional teams, as well as the
use of the cohort model. Various committees, teachers, and school leaders can participate
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 63
throughout the school year, as demonstrated by documents outlining leadership opportunities and
roles. Resident administrators selected areas of improvement during monthly coaching sessions
with their mentor, promoting growth based on their own level of motivation. This is explained in
the following section.
Goal setting. During monthly meetings with the RAP director, participants reviewed
their progress toward goals, reflected on their practice, and planned ahead for the remainder of
the semester. Participants had the ability to select what they wanted to work on during their
rotation at a specific school site. In observing a coaching session, the director discussed how the
participant needed to make sure she was including evidence in the tracker tool. The participant
admitted to not doing a good job at inputting information, even though she was working on it.
The director then provided feedback about how she could better structure her time, suggesting
that she plan backwards when planning events or coaching sessions with teachers. Tiffany
shared, “That’s been really helpful. What she does with that one is—it’s not about her picking
what she thinks we need to work on—we actually set our own agenda.” The manner in which
the director had participants select their goals also served as an opportunity for her to model
goal-setting and coaching. Cristina discussed how coaching would look like once she became an
administrator:
There’s a script, and you would have done an observation, but you don’t immediately
jump to the, “Let me show you what you did wrong.” But, it’s more like, “What are your
goals this year in class? What did you notice X, Y, Z?” And, so I think the coaching
starts to evolve.
This take on what coaching would look like was also observed during the one-on-one coaching
session between the director and a RAP participant. The session was structured as a dialogue
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between the mentor and program participant, and it focused on a specific outcome at the
conclusion of the session.
Schunk, Meece, and Pintrich (2014) discussed two important factors that reinforce the
importance of goal-setting by the learner. When learners set their own goals, they are more
likely to experience a sense of self-efficacy for goal attainment and will also likely be more
motivated to pursue a goal. Additionally, the instructor highlighted that learners can typically
better monitor their progress toward goals if they set them themselves.
Feedback. The relationship between mentor and participant in RAP was reinforced by
the trust that was built through ongoing feedback. As observed in the data, RAP participants
genuinely believed that the feedback they received was part of a cycle to help them improve as
school leaders. Participants trusted feedback from their mentors because it was typically
supported with data, not biased opinions. The feedback provided was directly linked to the tasks
performed by the participant and was used as a basis for improvement. Feedback was thus
intentional, providing numerous opportunities for growth among participants.
Opportunities for intentional feedback were embedded throughout the program.
Participants were also given opportunities to share feedback right from the beginning of the
interview process and throughout the program. Feedback came in the form of specific tips for
development. When observing the one-on-one coaching session, for example, Araceli, asked the
RAP participant how the evidence of her work was documented. The resident discussed the
importance of using the online tracker to show her work progress and to keep up with deadlines.
Madison expressed, “They gave me some really good feedback. I was like, ‘Wow! If
this is what they’re doing in an interview, it’s gonna be amazing if that’s what I get in the
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program.’” The feedback provided throughout the program challenged participants to reflect on
their practice. In describing the feedback she received after her presentation, Madison said,
They’re not going to be able to say anything about it. It’s the same with a teacher; even
when the teachers are on point, there’s still ways they can get better. They found those
ways. It was a good PD [professional development] that I led, but they made me think
even how I could hit those subgroups. . . . They pushed me like that.
Participants understood that though participation in the yearlong program was met with a
big learning curve, it was ultimately an opportunity that most administrators do not receive.
Knowing this, participants were open to suggestions for improvement, even if they did not
process them well at first. One example of this was when a participant shared at the weekly
cohort meeting that she was sat down by three administrators, who provided feedback regarding
her demeanor when tasks were assigned. They explained to her that every time they gave her
assignment, they thought that she was really overwhelmed. She shared that she was in a state of
disbelief and took it really hard because she did not see where that was coming from, adding that
she was open to suggestions but was just dumbfounded. As she was getting ready to go to work
the next day and looked in the mirror, she realized she was a mouth breather, but never
connected it to how others might perceive her. She shared her experience:
It really prompted me, and I’m like, “How am I sitting at all of these meetings? Am I
leaning forward? What’s the tilt of my head?” So, I just started to like comb through all
the[se] things because these people don’t know me for anything, right? Like, they aren’t
looking at my resume. The teachers don’t have anything, so I was just really aware of
something that I’ve never thought of could then be perceived a completely different way,
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and so, like, just working on closing my damn mouth. I know body language is
important.
As a school leader, this example of feedback on body language is a skill that this participant
learned as a result of the feedback she received during her rotation. Some administrators may
never come across this type of feedback because who would have the courage as a teacher or
fellow administrator to share that their principal is a mouth breather or looks overwhelmed when
tasked with an assignment.
Cristina shared that throughout the program, she reflected on her practice with
developing a networking mentality. Before the program, she only interacted with people at her
school site and although she believed she had done a great job at that, it was not until she stepped
into a new opportunity to interact with others that she understood the value of building a
professional network. The process of reflection followed by specific feedback contributed to this
participant’s development as a school leader. Thinking long term was a skill that participants
could use when providing feedback or coaching their own staff. Erica shared how this was a
skill she felt fortunate to develop through RAP because it was something that had not developed
at her previous organization.
The ability to reflect on one’s practice is something administrators—and specifically
principals—rarely have the time to do in a typical workday. Learning through reflection happens
internally, and it is also guided by coaches and mentorship. This type of learning is supported by
social cognitive theory. Schunk et al. (2014) discussed how social cognitive theory focuses on
how people acquire knowledge, rules, skills, strategies, beliefs, and emotions through their
interactions with and observations of others. The importance of coaching and mentoring for
building leaders will be discussed in the following section.
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Commitment to coaching and mentoring. Mentoring and coaching highlight the
importance of connecting to participants in multiple ways—beyond providing feedback or
evaluations. Through triangulation of data, it was identified that mentoring and coaching were
used interchangeably when meeting with staff members to strengthen their methods of
instruction. Coaching is the process of developing staff in an organization; mentoring is the
relationship that is built through coaching. In RAP, the relationship between coach and
participant was invaluable, fostering trust and enabling growth. In describing the coaching
process, Araceli said, “Iron fist with a soul behind it.” Although, participants had to follow a
specific rubric in RAP, coaching served as an opportunity to reflect on their progress more
globally. It represented an opportunity for the coach to leverage the mentor relationship to
identify specific areas in which the participant needed to grow in order to continue to develop as
a quality leader.
PACS valued coaching and made it a priority in the program. Miguel Holbrook shared,
“We actually expanded that team this year, because we need them [local area superintendents] to
have less schools so that they can commit more time at the school’s coaching.” Whitney Smith
expressed her struggle with coaching as a principal who had not completed RAP: “Some of the
teachers who didn’t want to build those relationships [with students]—I just didn’t know how to
coach them at that point to get them there and not be so punitive.” In one of the observed
sessions, Araceli actually facilitated a mock coaching session with a resident and roleplayed
what it might sound like to receive feedback from the resident administrator. Araceli kept
modifying the scenario so that the resident would be pushed to answer the “what-if questions,”
like what if the teacher is not receptive to the feedback and how to proceed. Tiffany had the
following to say about coaching and the director of the program:
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She’ll coach us on whatever we feel that we need at the time. It’s always positive. I’ve
never felt like she’s upset with me, even though I’ve screwed up—literally. I have. She
never makes me feel like that. She always makes me feel like this is a learning and
tomorrow is a new day. And, let’s just get passed what we need to do, so that if it
happens again, we’ll know how to do it differently.
Coaching was one of the major outcomes—a hard skill—learning through the program. The
director of RAP expressed that coaching was essential to developing staff: “I always say, ‘Just
coach until you turn blue, and then keep coaching.’”
The ability to coach and mentor was a unique experience for participants in the program.
The program was designed for participants to learn from a variety of leadership styles in
different school structures. For example, the different grade levels (i.e., middle school to high
school) and different histories (i.e., start-up vs. turnaround schools) contributed to range of
experiences. Resident administrators’ experiences varied from location to location, ultimately
contributing to the learning process and helping to build their leadership capacity.
Every campus under the PACS umbrella had its own unique school culture. The
participants learned by observing these nuances. For instance, Araceli shared, “As much as they
talk about it, they have to go see it as well.” During their time at each site, participants were
required to complete projects. Participants learned about each school’s student population,
challenges, and priorities. For example, one of the participants was tasked with promoting
student enrollment for incoming ninth graders from the neighboring middle schools because
many incoming students were not aware of their high school options—or the process for
applying—despite being located right next door. The hard skills learned through the program—
coaching teachers, running a school, and prioritizing daily needs—were observed through this
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experience. These skills were not learned in isolation; rather, participants had several
opportunities to share their experiences with their cohort members.
Cohort as a professional learning community. The structure of the program as a
cohort was intentional and served as an opportunity to guide participants and support them as a
team. The cohort shared the characteristics of a personalized learning community. According to
Stoll, Bolam, McMahon, Wallace, and Thomas (2006), a professional learning community
possesses the following characteristics: shared values/vision, collective responsibility, reflective
professional inquiry, and collaborative group as well as individual learning. Tania Arevalo
explained this as being one of the strengths of the program:
The balance of not just being research and school work, but also having the kind of in-
action part 4 days a week, I think is really important. I think the cohort experience is also
really important. You can go to a university credential program and you’re gonna have
people from a wide variety of experiences and you get that in our program too, but the
fact that you’re cohorted through the experiential piece, is something that you’re not
gonna get out of university, and I think that brings a lot of value to the program.
The professional learning community was specifically designed to create a supportive network.
In observing the group during one of their seminars, the feeling of collegiality was evident in
discussions and collaboration. When one participant shared a story about a failure with
communication, other participants helped by asking reflective questions about how the issue
could have been addressed. The director also added her experience and guided the participant on
clarifying directives with the participant’s leadership team.
According to Schunk et al. (2014), peer models are important for learners to develop a
greater sense of self-efficacy. The opportunity to learn from peers was maximized in the cohort
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setting. Cristina discussed how the process of learning through doing was not a lonely process:
“And, when I do make mistakes, being there to pick up the pieces. But, it’s a collaborative pick
up the pieces, where I’m learning and understanding why something was wrong.” The
collaborative balance promoted by the cohort model allowed participants to learn and apply their
knowledge. As the group progressed through their rotations, they had the opportunity to share
their experiences from the various sites, adding a multitude of perspectives to their evolving
viewpoints. The ability to use the yearlong program to teach external hires about the
organization’s culture was also beneficial because leadership levels varied—from novice to
expert—among members of the cohort. As external hires, participants had two tasks to master:
(a) learning how to be effective administrators, and (b) learning aspects specific to the PACS
model. It was not clear if the partnering of internal and external hires was intentional, but it
nonetheless helped external participants to tap into internal participants’ experiences with the
organization.
Resources. There is a multitude of resources available for administrators within the
organization and throughout the Resident Administrators Program. As observed during one of
the RA seminars, the participants got to learn and understand how to navigate these resources in
particular the online tracker for establishing classroom observation timelines. When asked what
resources were available for developing school leaders, Tiffany Adams responded, “What isn’t.”
She then proceeded to list all the resources, from a phone number to access data or get
technological support to monthly professional development seminars. Once a month,
professional development meetings were designed to allow for collaboration from different
administrative team sites.
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A resource all the current participants mentioned was the director of the program. She
was a resource because of her experience throughout her career, her wealth of knowledge, and
her personal coaching style. One participant referred to her as “mentor-mom coach.” The
director of the program developed the program when it evolved so she knows the history of its
development as well as the need for it. Although she as a resource could not be duplicated, her
position and the ability to align her personality to the role had a very valuable significance.
During the three observations and throughout our interactions in this study, Araceli demonstrated
a very charismatic and loving way of leading. When she entered the room during one of the
observed professional development meetings, some participants called her name out and stood to
hug her as she made her way around the room greeting people. One comment made by this
observer was that this interaction between her and the professional development participants was
reminiscent of a family gathering, when a favorite family member walks in and all the relatives
jump up to greet her or him.
Along with the human resources, professional development, and technological support,
the reading selections for the program helped to build participants’ knowledge base. They
served as an opportunity for participants to reflect on the styles of leadership they would have
liked to develop. The director of the program shared that through the program, participants read
approximately 30 books. Among the coursework requirements are texts like What Great
Principals Do Differently by Whitaker and Coaching for Performance by Whitmore. A book
that the organization selected to read was Culturally Responsive Teaching and The Brain by
Hammond; resident administrators must also read this text and be prepared to reflect and share
during the monthly professional development seminars. The feeling gathered from the RAP
participants interviewed was that these resources provided a support, and as Tiffany shared,
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“You don’t have to feel like you’re doing it alone.” During the interviews, the alum principals
and assistant principal referenced the required readings as a resource as well. The readings
served as reference material when participants needed to reflect on their practice.
The opportunities for growth, whether through professional interactions or the resources,
provides an avenue for participants to learn theory and apply it through hands-on experiences. In
analyzing professional development documents from the organization, the mission to have the
educators, administrators, and all professional administrators take on “layers of professional
experience” was central to growth in order to expand the impact of the organization. The
organization valued growth as key to being ahead of the curve and continuing to be creative and
innovative in their approach to developing leaders throughout the organization.
Discussion of Research Question 1
The data identified the practices of having (a) a program aligned with the organization’s
central mission and vision, (b) a culture of growth and collaboration, and (c) experiential
learning opportunities and reflection through a professional learning community—all of which
contributed to building the next generation of leaders at PACS. Focusing on a central vision
allowed the organization to build consistency among its leaders, helping to promote working
toward a common goal. Results from this study aligned with the transformational practices that
formed the theoretical lens for building leadership capacity (Kouzes & Posner, 2008). PACS
built an organizational culture that inspired a shared vision, modeled the way, and enabled others
to act. Leaders also embodied the practices of encouraging the heart and supporting participants
in challenging the process.
Through document analysis, observations, and interviews, the shared vision of PACS was
evident in professional development meetings and resources. School leaders were encouraged to
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take ownership of the vision at their school site through shared values. Participants appreciated
the transparent expectation regarding the value of a focused vision. Klar and Brewer (2013)
found that an important strategy a school leader can adopt is to align his or her vision for the
success of the students and the school. Fink and Brayman (2006) illustrated the importance of
leaders developing a shared vision particular to their site.
As observed through the coaching process, the director and mentor principals utilized the
time they worked with participants to help them strengthen their leadership skills and find their
own style and voice as school leaders. This practice aligned with modeling the way for
participants to lead through their own coaching sessions with teachers as well as professional
development sessions. Northouse (2007) explained that in modeling the way, transformational
leaders need to be very reflective in their own values and philosophy. The director of the
program was intentional in her interactions with participants and school leaders, ultimately
understanding that she made a lasting impact on others.
As the program leaders shared their experiences, they also inspired others to act in
decision making. The projects assigned during the program were one way the participants were
encouraged to plan and achieve specific goals under the guidance of their mentors, but they were
given the freedom to achieve their goals leveraging the connections they built. The cognitive
and affective benefits the participants shared as a cohort were supported by literature (Barnett,
Basom, Yerkes, & Norris, 2000; Browne-Farrigno & Muth, 2003; Scribner & Donaldson, 2001).
When encouraging the heart, leaders played an essential role in how participants
continued to look for guidance. The way a leader responds to a situation will often determine if
the follower will continue to look for continuing guidance. According to Kouzes and Posner
(2002), transformational leaders make people feel valued and part of a greater goal. The greater
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goal in the case of the CMO was to contribute to the stakeholders. The data collected supported
a philosophical stance of acculturation toward personnel. Through observations, the language
that was used for discussing how things were done within the organization was very particular to
the organization. The video shared by chief academic officer promoted the vision of the
organization that growth and development begin with quality instructors and instruction.
The practices RAP facilitated in building leadership capacity among participants were
consistent with transformational leadership theory and were supported by current research. RAP
encouraged leaders to take ownership of their learning while simultaneously learning from their
mentors. It helped participants to develop skills that enabled them to act in a manner that
constructively impacted other staff. The approach used by the RAP director and mentors—and
that was inherent to the curriculum—included developing quality critical-thinking leaders who
embodied the organization’s vision.
Research Question 2: Challenges to Supporting and Maintaining Practices
The purpose of the second research question was to understand the challenges that may
arise when supporting and maintaining promising practices for building leadership capacity at
PACS. The common challenges that emerged in the study were money, time, and human
resources. Financing RAP required a half to a million-dollar investment, depending on how
many participants were accepted. Time reflects the short amount of turnaround the program has
in preparing future administrators and the workload they must undertake during the 1-year
program. The challenges of human resources referred to selecting human capital to participate in
helping to grow future leaders as well as selecting participants for the program.
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Money
Exact figures were not shared regarding funding for the program, but the common
consensus was that it took about a half to a million dollars to run the program. This included
paying the salaries of the resident administrators as well as benefits. The cost of the program
also covered all the materials and cost of having a director oversee the program. Funding was a
constant challenge for the program. Tania expressed, “It is probably a half a million investment
a year in all the Grow Your Impact opportunities, between stipends and sub days, and training
and materials.” The Grow Your Impact initiative focused on professional development activities
for resident administrators as well as skills-building for school leaders. Tania added, “Grant
funding can help, but it doesn’t last forever.”
The challenge with money is that it can impede the number of participants the program
can accept each year. Over the years, the cohort number has gotten smaller and smaller; this
year, the program budgeted for eight participants and ultimately committed to six. Nicole shared
that she would have liked to see the number of RAP participants increase. According to her, the
chief academic officer could have more effectively developed future leaders through the RAP
program by increasing utilization: “Open more spaces, I think. Six is not enough for a district
this big. I think they need to find more money to be able to do this for our leaders.” During the
study, there were a number of vacant positions for assistant principals at sites visited by the
researcher.
The challenge the program faced with not having a reliable source of funding is difficult
to address because it can limit sustainability. The program fulfills a valuable need to build future
leaders and funding has been allocated through the following school year. There is no
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indication, however, of how the organization would fund the program if it were to lose access to
the grant it currently receives.
Time
Time was a challenge that surfaced through three distinct themes. The first theme was
the commitment participants must make to participate in the yearlong program. Participants had
a challenging time balancing home and work life, and there was no clear solution for addressing
this through the program. Second, in the short 1-year timespan of the program, participants must
effectively learn all of the structures of the organization that will contribute to their transition to
full-time administrators. Lastly, the abundance of resources provided by the organization were
useful; many participants stated that the greatest resource by far was participating in the monthly
professional development meetings with other administrators. The drawback of professional
development meetings was that they took staff away from their school sites. Additionally,
principals, who already had a full list of responsibilities, had to find the time to support and
mentor the resident administrators on their campuses.
Commitment to the program. As many respondents shared, this program was a very
unique experience that few schools offered. One of the most important commitments
participants made to the program was time. The program was designed to have quarterly
rotations with a heavy workload that mimicked a university credentialing program with the
responsibilities of an administrator. All three participants shared that the workload was at times
overwhelming, and they struggled to balance home and work life. Tiffany reflected on her
experience:
It’s hard work. It’s a lot of hard work. It’s a lot of sucking it up. It’s a lot of putting up,
everything is fine. . . . You can be putting out fires left and right, but a leader has to
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maintain that composure at all times. It’s hard work. It’s not an 8:00 to 2:00 job—8:00
to 3:00 job.
Participants felt a sense of anxiety trying to navigate the responsibilities as residents and
assuming full-time administrator roles the following year. Roberto shared, “Being part of a
progressive organization that is always on the cutting edge of everything and anything puts a lot
of pressure on you to be constantly learning.” Madison shared,
It’s hard because you’re learning things you’ve never done before. You’re stepping
into—every day I do something I’ve never done before. That’s really daunting. I always
think to myself, “Man, when will I get to the point when I’m doing things I’ve ever done
before?”
When sharing the importance of building leadership capacity, Nicole Preciado discussed
how one’s drive must align with the purpose of working with children:
If you’re going to be a great leader, you have to really want to be here. You have to want
to work with kids. You have to want to work with kids. You have to want this. Because
if this is something that you just come to every day for a paycheck, you’re not going to be
successful. You have to love the job, you have to love education, you have to love and
want to make a difference in the world because these kids, they’re our future, and if we
don’t train them right and we don’t teach them well, that’s just what’s going to happen.
The program allowed participants to see if they were the right fit for the organization and its
stakeholders. The challenge for the participant was finding out all of this information while
continuing to learn to become a full-time administrator.
Return on investment. One particular challenge was that the program had limited time
to determine if selected participants were ready for the upcoming schoolyear. Tania expressed,
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“One specific challenge of the residency program is you have a year to get that person ready.
Otherwise, you will not have a return on your investment.” During one observation, Araceli was
meeting with a resident to review her Quarter 1 evaluation as well as her projects and tasks.
Although the resident had completed an assigned task, Araceli did not see evidence of it in the
tracker. Thus, Araceli stressed the importance of backwards planning and managing time. The
resident was allowed to express why she had not included evidence, and Araceli then took time
to guide the resident through the tracker and discuss expectations regarding her input.
During observations of Araceli working with residents, it was evident that Araceli
continuously connected what residents were learning with how it would come into play the
following school year. She also pulled from her own experiences as an administrator. The
organization faces a lot of pressure and takes on considerable commitments in order to train its
residents. The resident seminar observation provided insight into the many platforms that exist
for teacher support and evaluation. The seminar also consisted of a historical background that
informed the residents of how the resources had been developed.
There is no guarantee that the structure of the program will determine the success of an
administrator. During the interviews, all of the participants agreed that the program did not
determine an administrator’s success as a future principal. They concurred that the success of
the individual was dependent on the individual. Nonetheless, participants were confident that the
program did a thorough enough job of making sure they gained insight and resources to develop
as quality leaders.
Reality of workload. PACS had clear and high expectations for what it asked of its
participants. As one resident administrator shared during an observation, “It is almost
overwhelming.” The balance between home and work life was something that was discussed,
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but there was no way to teach it in the program; it just needed to be experienced. As Nicole
Preciado shared, “You know, it’s hard. Because new leaders leave, because there’s so much to
do—I mean, all these just little things. It’s overwhelming. So, the buck stops with the
principal.” As a resident, participants were expected to track all of their progress in order to
inform feedback. The progress tracker consisted of a quarterly breakdown of meetings that took
place over the course of the program. The tracker was structured based on California
Administrator Performance Expectations, containing four evaluation domains.
The director explained the importance of understanding the workload associated with the
tracker to residents during their onboard training. The tracker also reminded residents that as
administrators, they would be required to use tools to evaluate their progress. The two largest
domains in the tracker were Instructional Leadership and People Management. This is a
reflection of the areas the principals discussed as taking the most time to work on with staff.
Whitney Smith shared, “PACS really believes in instructional leaders, but that’s the main hat that
all school leaders actually wear.” As she reflected on the workload, Whitney expressed, “I think
that’s the biggest difference between my job and them, and just the feeling of the buck stops with
you. Every decision you make, you kind of have to think about the consequences of them.”
As novice residents navigated the responsibilities of an administrator, there was still
much to be learned. The challenge for PACS was having their residents experience the key
domains to be developed as leaders without overwhelming them. Erica Daniel shared,
When I look at and speaking with my current resident administrators, I know one thing
that is a pain point is just the workload. Because they are right now acting as
administrators at their school sites, so they have those responsibilities in addition to all
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the homework, and their reading, and the assignments that they need to do for the RAP
program.
Reflecting on the work of administrators, Christina shared,
It’s a job that requires a lot of—where the idea of delayed gratification is very present.
It’s a position where you’re seldom going to be recognized for some of the things that are
positive on campus, but will probably always be called out on the things that are not
working on campus. And, so I think I’ve been able to see a team that is really doing their
best to give voice to their teachers and provide what their teachers are asking for in terms
of follow through. I think that’s one of the biggest things I’ve learned.
Christina’s experiences highlight the battle of being a leader in a climate that will not
always support one’s decisions. For Christina and other residents, exposure to this atmosphere
helped them to understand that administrators face challenges beyond deadlines and budget
concerns. It helped them to mentally prepare and identify appropriate resources for support.
PACS appears to be trying to find a balance between providing adequate support and resources
and exposing residents to realities of serving as school leaders.
Human Resources
Running a successful program involved a lot of moving parts. The director of the
program relied on finding qualified participants through the rigorous application process. The
process was challenging for applicants—often more so for external than internal applicants.
Once participants were selected for the program, they had to rely on having qualified staff within
the organization to support their development as candidates. It is a challenge to make sure that
participants and staff are appropriately vetted. Human resource challenges included (a) having
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contact through the selection process, (b) strain on current personnel, and (c) completion of the
program based on the needs of the organization.
Selection process. The program selection process was thorough in terms of finding
qualified applicants for the program. The rigorous process, although highlighted as a promising
practice, at times also created additional obstacles for external hires due to the organization’s
specific expectations for school leaders. According to the director of the program,
We have a rigorous selection process—a hiring process that involves a video interview—
to see if you’re actually culturally fit for the organization. Then, you have to go ahead
and provide a data assignment to see if you can actually use data to improve a particular
area in leadership for a school site—what have you. Then, they have to be instructional
leaders. They have to know how to coach teachers. We go through that. They have to
present professional development and that in itself has been quite challenging, especially
for external candidates, because professional development is different—you know—in
different places. That in itself has been a challenge to get qualified individuals for the
program.
External candidates often had a more challenging time aligning to the expectations of the
organization due to their previous professional development. During an observation, Araceli
shared that it can be especially difficult for an external principal to come in and be successful at
the organization, which is why the program shifted from preparing principals to first preparing
administrators. Although the pool of candidates is open to internal and external hires, the
rigorous demands of the organization may inadvertently filter the pool to predominantly internal
candidates.
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Principal Daniel expressed, “It’s hard, especially within our organization, because we
operate at such high levels. Finding qualified candidates externally is a challenge.” She added
that of the positions that were filled, only internal promotions were made, despite the fact that
there were plenty of external candidates:
We speak a different language; we do things differently. The things that are asked of
leaders in this organization is very high compared to probably bigger districts. And, so
finding qualified external candidates to immediately just step into an AP, principal, or
area superintendent role—I know it has been a challenge at our organization. So, it really
is growing leaders from within, but then again—that again leaves more open spots as
people step up.
The challenge illustrated by Erica speaks volumes to the specific needs of a CMO and how
organizations must structure their leadership programs to meet their internal needs.
Tapping into the internal pipeline puts a strain on staff that already have so much on their
plate in terms of responsibility. Tania shared, “That’s where programs like RAP come [from]—
where you try and grow your own people, but then you have trouble filling classrooms.”
Selecting candidates for the program internally may create other problems, as Principal Smith
shared: “If you consistently have people who are leaving the classroom to go into the program,
then, there’s an impact or a glide on the teaching quality in general. . . . That creates a huge pit
when your star teachers leave.”
One of the goals in finding talented school leaders is making sure the pool of candidates
is diverse. Tania discussed an area of growth for the organization when identifying and hiring
school leaders:
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 83
I think being really transparent is how do we continue to bring in [someone]—not just
[in] the RA program, [but] in our teaching and in our administrator ranks—diverse—a
diverse pool of candidates. By diverse, I mean age, and gender, and ethnicity, and
experience. I think looking at all of those things is something that’s important.
The challenge for external hires applying to the program is if their prior experiences as
diverse leaders align with the needs of the organization. The focus remains on the development
piece of the program and participants not arriving with all the experience as a leader. Similar to
Araceli, Miguel shared that this was one of the reasons the program was updated—to develop
leaders before they entered as principals.
The vetting process may still need some refining in order to promote a more diverse pool
of qualified candidates. Roberto shared,
I don’t think we do a good job of holding leaders accountable that are not ready to lead. I
think there’s still a sense of people get[ting] promoted because of the way that they speak
in interviews, and how they present themselves—versus the way that they connect with
children and the community.
A challenge of the selection process was finding a balance between meeting the standards and
expectations of the organization while also keeping in mind all the qualities a potential school
leader has to offer.
The external hires who did well were generally those who were able to adapt their prior
knowledge to the needs of the organization. Two examples were Nicole Preciado, who had more
than 10 years of experience at her organization and was excelling as a principal at one of the
largest turnaround schools in the organization and surrounding district, and Erica Daniel. Erica
entered the organization as a RAP participant, continued her development as an assistant
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 84
principal, and was in her first year as principal at her own site at the time of the study. The
cohort of RAP participants consisted of three external hires, all of whom shared the challenge of
learning to become administrators while also navigating the culture of the organization.
Strain on current personnel. Fostering trust between current personnel and participants
is vital to establishing effective mentoring and coaching. Principals who wish to be mentors
must also go through a selection process. Araceli, the director of the program, shared that human
resources can be the biggest challenge to sustaining the program:
I think that selecting the right mentor, making sure that the residents get everything that
they need—because I want to make sure that I pair them with somebody who’s going to
go ahead and be able to provide what they actually need. Sometimes, maybe that leader
doesn’t have the capacity because of whatever is going on at their school site. That really
is one of the challenges, once we already have the candidates.
It can be challenging for mentors to assume the added responsibilities of supporting
resident administrators. As Nicole shared, “You can’t just say, ‘Hey, let’s meet.’ Uh-uh! You
have to prepare for every single meeting so that it goes well, otherwise it’s just talk.” In order to
be an effective mentor, it is critical to be able to allocate resources—especially time—in order
balance work and home life. Roberto shared,
Being part of a progressive organization that is always on the cutting edge of everything
and anything puts a lot of pressure on you to be constantly learning—which is a very
good thing, but at the same time, we’re not given enough time to process these things.
There’s a big assumption that we all work at home, and we work hard at home.
Both Madison and Roberto expressed that an area of growth for the CMO would be to
find ways to support specific sites based on their individual needs. Madison discussed how
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 85
providing differentiated support to specific sites is key to sustaining the program: “I think that,
from my personal perspective, there needs to be a differentiated approach to the supports
provided to school leaders.” The needs of the specific school site may also impact the rotation of
program participants. Principal Daniel shared the following:
I think what tends to happen . . . because you do want to be able to go through the
rotations with the fidelity. But, I think—just—it depends on school need. Like, for
example, at my school site because I don’t have an assistant principal, I need more
support, and so I have two resident administrators. And, what that means is that there’s
other schools potentially who don’t get one. In order for it to maintain consistency, I get
to keep one of my RAs for an entire semester, so she doesn’t rotate for—she has fewer
rotations than other RAs.
Aware of this inconsistency with placement, Erica and other principals made it a point to
expose their resident administrators to a variety of opportunities, so the participants could get the
most out of their experiences in the school setting. This is where the quality of human resources
plays a vital role in building leadership capacity for future leaders.
In an effort to combat the issue of additional responsibilities for personnel who support
developing school leaders, the organization offered various stipends for mentoring and coaching.
According to Tania, the organization was unique in that it considered teachers to be key to
success but also held that building quality staff starts at the top:
I think there is a unique focus on supporting administrators that you don’t always see in
other schools. A lot of schools focus heavily on teacher professional development, which
we do as well, but I do think that PACS has a focus on developing the leaders to then
better develop the teachers.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 86
It was an ongoing balancing act to provide support to resident administrators without
overwhelming personnel.
Discussion of Research Question 2
Three themes emerged as impeding factors to building leadership capacity through the
RAP: money, time, and human resources. These themes were consistent with the literature.
Literature has demonstrated that districts are facing difficulties funding programs and staff to
support leadership development. Fink and Brayman (2006) recommended that districts bring
back the funding that once supported mentoring between experienced and novice principals.
Nonetheless, PACS did support its program and considered it an investment in building future
quality leaders. It was also recognized that funding may not be sustainable; thus, it is critical to
find new sources of funding—an ongoing challenge for PACS.
The time demands of RAP impacted three distinct areas. The first was the required
commitment to the program by participants. Amagoh (2009) suggested that leadership
development be comprehensive and integrated into the organizational culture in order to produce
leaders who can adapt to challenges within an organizational setting. This is something that
RAP was certainly implementing, but the demands of the program took a toll on participants.
External hires had the added stress of having to learn all of the responsibilities of being an
administrator while also learning the unique aspects of being a PACS employee. One participant
even stated that it was like speaking a different language.
Along with time constraints, the length of the program was also challenging. As the chief
academic officer stated, it is difficult to ensure a return on investment in a 1-year timespan.
While managing the expectations of learning the content, completing tasks, and connecting with
each school site, participants also had to learn the work–life balance of being an administrator.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 87
As indicated in the literature, one of the factors influencing principal turnover and the lack of
interest in applying to principal preparation programs is the workload, especially in CMOs. Ni et
al. (2015) found that of the principals who left their position, the majority often left the
profession altogether. PACS home office staff understood the challenges associated with
balancing home and work life. During their interviews, Miguel, Tania, and Araceli shared their
own perspectives on the challenges administrators typically face. They used their intuition and
experience to find resources to help support administrators and diminish the workload whenever
possible.
Although the demands of an administrator can be daunting, participants found utility
value in seeking leadership development through RAP. Utility value refers to the usefulness of a
task in relation to individuals’ future goals (Schunk et al., 2014). The school leaders and future
school leaders all shared their reasons for working in education and expressed their growth
through the process of becoming school leaders. School leaders understood that as they
developed through the program, they continued to improve their craft, ultimately benefitting the
stakeholders. Their commitment to growing as leaders overshadowed the sacrifices they made
for the program.
The challenge of human capital was twofold in building capacity among school leaders.
The first challenge was the selection process; PACS has a detailed application process for the
RAP. This alone cannot ensure that selected participants will ultimately be successful in their
role as school leaders and in the organization. Selecting internal candidates creates a vacancy in
the classroom for a quality teacher, and the challenge then becomes how to build quality leaders
without leaving vacancies for quality teachers.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 88
Another finding of this study was that the participants selected for the program were
supposed to rotate to the intended four school sites, but some had been placed at specific sites to
fill a specific need. Tiffany, for instance, was placed at a site due to a vacancy for an assistant
principal position; because she had a credential, she was able to fill this space. Alumni of the
RAP program also shared that their untimely departure from the program was a result of a
vacancy being open and they were given the opportunity to fill that role. This challenge created
inaccurate evaluation statistics, as not all participants were receiving the same impact from the
program. This problem also creates a challenge that ties back to the selection process. If the
program selected a specific number of participants for the program, but half of the participants
left before completing the year, how might this have impacted their development as quality
leaders? Farrell et al. (2012) shared that CMOs in their study described the importance of
training and empowering new leaders and making sure they have leaders in waiting to begin the
training program. Exiting leaders before they have completed their training or not providing
supplemental training for participants who do not get to rotate school sites creates a gap in
learning that may ultimately impact their ability to lead.
Summary
In this chapter, the findings of the study for each research question were examined. This
chapter described and outlined the practices that PACS used in RAP to develop future school
leaders by building their leadership capacity. This study identified promising practices for
increasing the leadership capacity of the RAP participants, detailing both contributing and
challenging factors to their development as future school leaders.
PACS has a clear vision for developing its leaders through RAP. The structure of the
program allowed participants to learn through the process of observing aspects of leading a
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 89
school. Participants engaged in unique experiential learning opportunities—making decisions,
completing projects specific school sites, and implementing plans. Participants developed a
supportive bond with the director of RAP and also had numerous interactions with PACS staff.
The program promoted a culture of growth, instilling in participants the importance of
continuously developing as leaders within their organization. The hands-on approach helped
participants to gain leadership experience and refine their skills in order to be successful as they
transitioned to full-time administrator positions.
This study also identified challenges to supporting and maintaining practices designed to
build leadership capacity. Money was a challenge because the program depended on grants that
were largely difficult to sustain; that is, the funding does not last. Another challenge was time
restraints such as participants’ time commitment to the program, the balance of home and work
life, the realities of the workload, and the return on the investment for the organization. Lastly,
human resources were a challenge, in particular selecting qualified and diverse candidates from a
limited pool of applicants.

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 90
CHAPTER FIVE: SUMMARY AND DISCUSSION
Quality leadership is among the most valuable assets for any organization (Collin, 2011;
Leithwood et al., 2008; Marzano et al., 2005). In the education sector, school leaders are among
two of the most critical factors to a student’s academic achievement—second only to the
classroom teacher (Leithwood et al., 2008). Gaps in quality leadership can have a lasting
impact—positive or negative—on students, staff, and the overall culture of the school, depending
on the leader (Branch et al., 2013; Grissom et al., 2013; Miller, 2013). The growing vacancies of
quality school leaders are becoming a national crisis as school leaders continue to retire and few
candidates are qualified to take their place (Goldring & Taie, 2014). As a result of the increasing
challenge to recruit high-quality leaders, some educational organizations have focused on
developing promising practices for building leadership capacity internally. This chapter will
summarize of one CMO’s approach to targeting the recruitment, development, and retention of
high-quality leaders. The implications of the findings will be discussed and recommendations
will be made for future research.
Purpose of the Study
Research supports the need to promote the growth of high-quality leaders in the learning
environment. Principal preparation and training is a critical concern across states and is being
addressed on a national level (Kearney, 2010; Turnball et al., 2013). The purpose of this study
was to examine the practices of CMOs to build next-generation school leaders. It also aimed to
examine the challenges to supporting and maintaining these practices. The following research
questions guided this study:
1. What are the perceived practices that contribute to building the next generation of
leaders at PACS?
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 91
2. What are the challenges to supporting and maintaining the practices designed to build
leadership capacity?
Summary of the Findings
The findings revealed that PACS built a structured program, RAP, to foster the leadership
capacity of future school leaders. Participants in RAP were thoroughly vetted through the hiring
process to ensure that they held philosophical ideals that aligned with the organization’s vision.
The program acculturated school leaders to PACS’s values and approach to leadership. Through
the program, PACS committed to providing every school site with a qualified leader to positively
impact the development of stakeholders. As the home office participants in this study shared, it
PACS made a commitment to “getting it right.” Here, it referred to building future leaders
through a cohort structure, mentorship opportunities, and hands-on experiential learning.
Further, participants in the program learned through participation in professional development
trainings and by shadowing various leadership teams and learning from their leadership styles.
Throughout the process, participants received authentic feedback, which contributed to their
ongoing development. Participants were also required to take time to reflect on their ongoing
practice, serving as an opportunity for accountability for their learning. The structure of RAP
was influenced by the five transformational leadership practices, which also served as a
theoretical framework for this study.
PACS developed RAP with the transformational leadership practices of modeling the
way, inspiring a shared vision, challenging the process, enabling others to act, and encouraging
the heart. RAP built leadership capacity in teacher candidates who were poised to become the
next generation of school administrators. The organization’s leaders modeled the way for
participants while serving as mentors and coaches. Alumni of the program expressed their
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 92
devout connection to Araceli, the director of the program, referring to her as a role model and
mentor. They appreciated the attention she gave them as they encountered obstacles in the
learning process. The modeling that was conducted was supported by the mentoring structure of
the program. Participants were able to meet individually with their mentors and coaching
sessions allowed them to reflect on their growth and continued development. Various studies
have supported the use of effective coaching/mentoring as a constructive way to support the
development of novice school leaders (Lochmiller, 2014; Marzano et al., 2005; Parylo et al.,
2012). PACS emphasized the importance of building a relationship with leaders that promoted
trust. Throughout the process, participants aligned their purpose with that of the organization,
inspiring a shared vision.
The second transformational practice used to build leadership capacity was inspiring a
shared vision for school leadership. Participants and mentors believed in servant leadership and
held their stakeholders in high regard. They believed in meeting the needs of their students
academically and socially, primarily by working with the teachers who interacted with them on a
daily basis. Participants’ ability to collaborate with school leaders from a variety of school sites
helped them to gain perspective on how the organization’s values and vision were applied to a
variety of student populations. The monthly professional development opportunities with school
staff also targeted specific ways of promoting a shared vision—focusing on healthy school
surveys, restorative justice approaches, and coaching models. As participants learned what an
inspired vision looked like at the organizational level, they also worked on what it meant to
challenge the process as a resident administrator.
Resident administrators challenged the process in that they were a part of a program that
worked intentionally to build leadership capacity internally with the organization. In a 1-year
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 93
timespan, participants needed to learn the critical aspects of leading a school within the PACS
organization. As participants embraced the learning process, they stepped outside of their
comfort zones, stretching their capacity. The feedback they received was internalized and
applied to an action plan in order put theory into practice. Although novice leaders in the
program experienced a hands-on approach to leadership under the guidance of a mentor leader,
this alone did not guarantee that they would succeed in their quest to become quality school
leaders. Some participants shared failures in their experiences, though they nonetheless found
them to be authentic. They took risks, and although they were not always successful in their
approach, they ultimately learned from their mistakes and kept moving forward. The
organization encouraged participants not be afraid and to learn by experience, contributing to a
culture that enabled others to act—the fourth transformational practice.
In an attempt to help participants to feel empowered to act, RAP relied on its cohort
model. Cohort models are an innovative approach used by many educational leadership
programs (Barnett et al., 2000). Participants found the cohort model to have many benefits,
namely promoting meaningful learning based on focused direction and support from advisors
and supervisors (Barnett et al., 2000). Participants found that the group helped them to trust and
feel supported, enabling them to act similarly toward their colleagues. They were encouraged to
make choices based on the systems they learned throughout the program. They could also take
the information they learned in theory as a group and apply it to their practice. Ultimately, this
approach allowed PACS leaders and mentors to encourage the heart.
By encouraging the heart, mentors and directors of RAP helped participants to succeed in
their goal of becoming quality school leaders. Participants received considerable attention,
fostering their development as leaders through authentic feedback and interactions with school
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 94
leaders. The projects they completed during the program allowed them to plan an approach and
execute it. Participants felt successful as they completed projects they were assigned. The
performance and attributional feedback they received also helped them to adjust to different
tasks. The encouragement participants received from the director throughout the program helped
them to feel empowered to make their own choices and feel supported in those choices.
Participants were shown appreciation for their contributions to the cohort seminar and
throughout the program.
One tool the organization used to inform participants was books. One book that
contributed to most of the models used throughout the organization was Leverage Leadership by
Paul Bambrick-Santoyo (2012). This book embodies the five transformational leadership
practices (Kouzes and Posner, 2012), highlighting that the model of transformational leadership
is not about personality but rather about practice. Bambrick-Santoyo expressed the value of
applying a structured approach to leadership as a prescriptive model rather than leaning on the
myths that have eluded developing effective school leaders. PACS applied this approach to RAP
in order to maximize the development of quality leaders.
This study found that the structure of RAP was supported by PACS’s vision to build
leaders at all levels, not solely at the administrator level. The organization valued the growth of
its staff as professionals in the field. The building of leaders begins in the classroom, and
developed leaders have the capacity to impact others. This is what some might envision as a
ripple effect. Factors that inhibited leadership capacity building in RAP were time, money, and
human resources. Despite these challenges, the organization continued to develop ways to
adjust, promoting a growth mindset and tapping into the utility value of developing quality
school leaders.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 95
The discussion around the program reinforced the importance of the unique opportunity
for participants to have a year of experience learning within a cohort model. Both current and
former participants discussed the value of (a) learning from a director who had the experience of
leading a school, and (b) the opportunities for guided practice at different school sites. PACS
principals attributed their success to the program and its various components; most importantly,
they discussed how the time allowed for the learning curve was invaluable. Former participants
encouraged potential school leaders to apply to the program, as it would help them to gain an
understanding of theory and practical hands-on experience
Implications for Practice and Policy
The findings from this study showed that the structured approach to developing future
school leaders helped the organization to hone in on the qualities they wanted their leaders to
embody at their respective school sites. Through guided practice under the leadership of a
program director, participants embraced learning and felt empowered to take actions that
benefitted stakeholders. The implications for practice and policy discussed in this chapter are
targeted to school principals, CMOs, and traditional school districts. These three groups can
utilize the findings from this study to better prepare future principals through administrator
programs.
Principals
The findings of this case study suggested that principals served as valuable participants in
the leadership development program. Their ability to serve as mentors and models for novice
school leaders helped to identify, develop, and support future leaders. Principals can continue to
the growth of future leaders by providing them with a variety of opportunities to serve as leaders
within their school site and throughout the organization. The organization in this case study
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 96
highly encouraged staff to expand their impact on the profession and the organization.
Participants who were not selected to be a part of the resident administrator cohort and continued
to become classroom teachers, learned from mentors—most often their principals—who guided
their development outside of RAP.
Former RAP participants shared how they would advise people who were not selected for
the program and how they continued to develop as leaders. Due to the small cohort size of the
program, the possibility of not being chosen as a participant was a reality; leadership teams
discussed the importance of encouraging those not selected so that they would not get
disillusioned with wanting to become future school leaders. DeAngelis and O’Connor (2012)
discussed how eligible school leaders are lost at each stage of the administrator hiring process.
This illustrates the important role principals play as a supportive net to catch potential school
leaders who may otherwise get lost in the process. Some school leaders might advise potential
candidates to keep building their practice and develop the skills needed to become school
leaders. Also, former participants shared that simply participating in the program did not
guarantee success as a school leader; it only provided the tools. Potential school leaders must,
therefore, not become derailed from pursuing their goal.
Principals play a fundamental role as mentors for tapping future school leaders; they also
provide professional support should candidates not make it to the final selection. By
incorporating transformational leadership practices, principals can help to build leadership
capacity among future administrators.
Charter Management Organizations
One key policy implication from this study was the need to provision both financial and
non-financial resources to help identify, develop, and support school leaders. RAP required a
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 97
half to a million-dollar investment for only six participants. Although helpful, increased funding
alone is not sufficient to contribute to the development of quality school leaders. Non-financial
resources like time, mentorship, and shared knowledge must all be viewed as commodities that
can be used to benefit learners and the organization’s stakeholders.
CMOs have a unique culture that develops internally and relies on staff working together
toward a common vision throughout their professional development. A sustainable leadership
pipeline is vital to the growth of the organization. The knowledge and resources charter school
employees carry are very specific to the organization and school site. As Ni et al. (2015) stated,
the loss of institutional memory and resources is highly influenced by principal turnover. To
develop a more sustainable pipeline of school leaders, CMOs should aim to finance structured
programs that focus on the development of future leaders.
Developing a program that fits the CMO’s model is highly dependent on the resources
allocated for professional development. As this case study illustrated, the resources provided to
a program are not limited to theory. Practical resources such as technological support and human
capital are valuable to developing future leaders with a hands-on approach. Throughout the
study, participants shared the various supports they were provided as they progressed through the
program. RAP was structured based on various university-level programs, which focused on a
balance between theory and practice.
The time required to support this program was ever-growing, and CMOs have a
responsibility to find how they can develop a program that will not place a strain on their current
resources. As emphasized in this study, it is important to consider human capital in designing a
program because swapping one quality teacher for a quality administrator can leave a vacancy in
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 98
the classroom. It is important to have a sustainable leadership program to build qualified school
leaders, but there is a fine balance when looking for qualified candidates internally.
The Leadership Pipeline
This study found that perceptions of the leadership pipeline influenced individuals’
decision to pursue a leadership position. Developing a clear path regarding how teachers can
become principals can better inform candidates—especially external candidate—of the
expectations for school leadership. This study focused on a program that developed school
leaders as assistant principals, with the understanding that they would eventually become
principals. A lot can happen on the journey from assistant principal to principal. There is no
clear pathway across educational organizations, which may leave some candidates wondering
how to continue through the process of becoming a principal.
Turnover and lack of leadership development opportunities are not limited to CMOs.
Some participants discussed how the leadership ladder was especially limited in their previous
districts. One participant, in particular, stated that she had exhausted her opportunities for
leadership development in her previous district and felt she could not advance under the
administrator at the time. This key insight was important regarding the retention of leaders at
schools. Another participant stated that she was ready to leave the school setting altogether, a
finding also represented in the literature (DeAngelis & O’Connor, 2012). To address issues with
retention, districts can aim to adopt a cohort model in programs designed to foster leadership
capacity.
Recommendations for Future Studies
This case study helped to identify promising practices of one CMO to build next-
generation school leaders. Though data collection and analysis in this case study were thorough,
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 99
additional questions emerged that are worth noting. This section outlines three recommendations
for future investigations.
First, though this case study provided insight into successful practices for the
development and retention of quality school leaders, it was limited to one organization. A cross-
case analysis of other school leadership development programs at various CMOs would help to
identify other promising practices. Understanding the different components used by other
organizations may also help to build a program that encompasses the most beneficial
components; further, it may inform ways of addressing challenges.
The second recommendation is to conduct a longitudinal study including data from a
specific cohort, tracing their trajectory to the principalship. As this study was finalized, there
was only one principal serving in the organization who had completed the program since it was
restructured and under the direction of the new director. It was challenging to compare the
experiences of previous participants to this one principal because their experiences were not the
same regarding the structure of the program. Participants in the same cohort could be followed
to better understand how their development was influenced by the program.
A final recommendation would be to conduct a comparative study examining
development among cohort participants versus non-participants who started working as
administrators the same year. A common factor that emerged in this study was inconsistent
completion times among participants. Many former participants shared that they had not
completed the program or knew of others who had not completed it. They did not elaborate on
how this may or may not have played a role in their development, as this was not the focus of
this study. Two participants, in particular, shared how if they had to do it over again, they would
have continued with RAP instead of leaving to begin a full-time administrator position.
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 100
Understanding the extent to which leaving the program influences leadership capacity could help
to strengthen the program for future leaders.

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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
school 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 that contribute to building the next generation of
leaders at Prep Academy Charter Schools (PACS)?

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

Identifying practices that schools and districts use to successfully build the next generation of
educational 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,
Brenda D. Lopez

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 112
Appendix B
CMO Leader Interview Questions

The following questions framed the semi-structured interview:

1. What is your philosophy on leadership?
2. Tell me briefly about your role as a leader with PACS
A. i.e., A day in the life
3. What is your role in developing future leaders at PACS?
4. Complete the following sentence: A quality school leader is . . .
5. Describe the mission/vision of PACS.
6. Tell me about the culture of leadership capacity building at PACS.
7. What is the process for developing a school leader/ Principal at PACS? (A–Z process)
8. What resources are accessible for developing future leaders within the organization?
A. What are some challenges associated with sustaining these resources?
B. What informs the selection of resources for professional growth?
9. What opportunities that you provide to potential leaders at your school do you find most
useful in developing their leadership capacity?
A. Give an example of how one of these opportunities effectively developed a leader.
10. Give me an example of a leader you identified. Tell me about the process from you
recognizing him or her, to him or her becoming a leader (e.g., principal, etc.)
11. Who are the stakeholders that are taken into account when selecting a school leader?
12. What does a succession plan look like for school principals?
A. How is that communicated to different stakeholders?
13. PACS is identified as having innovative practices in developing school leaders
specifically with the Resident Administrators Program, how would you describe this
program?
14. How does your organization identify and recruit potential participants in the resident
administrators’ program? Describe the selection process from A to Z.
15. From your understanding, explain the need for the resident administrators’ program for
developing a school leader?
A. What are the strengths of the resident administrator’s program?
B. What are some areas of growth, if any?
16. From your understanding, what should be the main learner outcomes of the Resident
Administrators Program?
17. What leadership standards or benchmarks guide the identification and formation of future
administrators at PACS?
18. After completing RAP, what process do participants follow to be placed at a school as
principals?
19. Can you explain the role of mentorship in building the leadership capacity of future
principals?
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 113
A. Describe your role as a mentor principal.
20. What leadership development opportunities or experiences do you believe are most
effective in preparing new principals?
21. How is the success of a principal determined within the organization?
A. What data is used to validate his/her success?
B. In the case of a struggling principal, how is he or she supported to overcome
obstacles?
22. For new principals, what supports are in place during his/her first years as a principal?
A. What supports are available for returning principals?
23. Can you describe the structure of RAP when you were a participant?
24. As a former participant of RAP, how did it play a role in your development as a
Principal? (i.e., leadership skills)
25. From your perspective, what experiences or knowledge helped prepare you for your
current role as principal?
26. What are some areas RAP did not prepare you as a principal, if at all?
A. How did you adapt?
B. Describe a specific obstacle.
27. In your opinion, does the likelihood of completing the RAP program determine a
principal’s success at a school site?
28. If you could change or enhance an aspect of the principal residency program, what would
it be? Can you tell me more about that?
29. What would you say are some challenges with finding/ developing and retaining quality
school leaders/ principals?
30. In your opinion, how can the CMO more effectively develop future principals?
31. In your opinion, how can the CMO continue to effectively retain quality leaders?
32. In order to capture a better understanding of RAP, what are some suggested spaces,
meetings or trainings I should observe?
33. Is there a question, you feel I should have asked during this interview?
34. 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?

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 114
Appendix C
Administrator Interview Questions (Former RAP Participants)

The following questions framed the semi-structured interview:

1. What is your philosophy on leadership?
2. What was your path to becoming a principal at PACS?
A. Who was influential in your decision to become a principal at PACS?
3. Tell me briefly about your role as a leader with PACS
B. A day in the life . . .
C. What is your role in developing future leaders at PACS?
4. How do you build a school culture?
5. What do you value?
A. What keeps you here?
6. Describe the mission/vision of PACS.
A. What informs the vision of a school site?
7. Tell me about the culture of leadership capacity building at PACS.
8. What is the process for developing a school leader/ Principal at PACS? (A–Z process)
9. What resources are accessible for developing future leaders within the organization?
A. What are some challenges associated with sustaining these resources?
B. What informs the selection of resources for professional growth?
10. What opportunities that you provide to potential leaders at your school do you find most
useful in developing their leadership capacity?
A. Give an example of how one of these opportunities effectively developed a leader.
11. Give me an example of a leader you identified. Tell me about the process from you
recognizing him or her, to him or her becoming a leader (e.g., principal, etc.)
12. Who are the stakeholders that are taken into account when selecting a school leader?
13. What does a succession plan look like for school principals?
A. How is that communicated to different stakeholders?
14. PACS is identified as having innovative practices in developing school leaders
specifically with the Resident Administrators Program, how would you describe this
program?
15. How does your organization identify and recruit potential participants in the resident
administrators’ program? Describe the selection process from A to Z.
16. From your understanding, explain the need for the resident administrators’ program for
developing a school leader?
A. What are the strengths of the resident administrator’s program?
B. What are some areas of growth, if any?
17. From your understanding, what should be the main learner outcomes of the Resident
Administrator Program?
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 115
18. What leadership standards or benchmarks guide the identification and formation of future
administrators at PACS?
19. After completing RAP, what process do participants follow to be placed at a school as
principals?
20. Can you explain the role of mentorship in building the leadership capacity of future
principals?
A. Describe your role as a mentor principal (If applicable).
21. What leadership development opportunities or experiences do you believe are most
effective in preparing new principals?
A. How is the success of a principal determined within the organization?
B. What data is used to validate his/her success?
C. In the case of a struggling principal, how is he or she supported to overcome
obstacles?
22. For new principals, what supports are in place during his/her first years as a principal?
A. What supports are available for returning principals?
23. Can you describe the structure of RAP when you were a participant?
24. As a former participant of RAP, how did it play a role in your development as a
Principal? (i.e., leadership skills)
25. From your perspective, what experiences or knowledge gained through the program
helped prepare you for your current role as principal?
26. What are some areas RAP did not prepare you as a principal, if at all?
A. How did you adapt?
B. Describe a specific obstacle.
27. In your opinion, does the likelihood of completing the RAP program determine a
principal’s success at a school site?
28. If you could change or enhance an aspect of the resident administrator’s program, what
would it be? Can you tell me more about that?
29. What would you say are some challenges with finding/ developing and retaining quality
school leaders/principals?
30. In your opinion, how can the CMO more effectively develop future principals?
31. In your opinion, how can the CMO continue to effectively retain quality leaders?
32. In order to capture a better understanding of RAP, what are some suggested spaces,
meetings or trainings I should observe?
33. Is there a question, you feel I should have asked during this interview?
34. 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?

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 116
Appendix D
Current RAP Participant Interview Questions

The following questions framed the semi-structured interview:
1. What is your philosophy on leadership?
2. Tell me about your path towards becoming a school leader through the organization.
A. Who was influential in your decision to become a school leader at Prep Academy
Charter Schools?
3. Describe the mission/ vision of PACs.
4. Who are the stakeholders that are taken into account when selecting a school leader?
5. PACs has been identified as having innovative practices in developing school leaders
specifically with the Resident Administrators Program, how would you describe this
program?
6. What made you apply for the RAP program?
A. Was anyone influential in your decision to apply for RAP
7. Tell me about your experience thus far as a RAP participant.
A. A day in the life . . . ups, downs
B. Can you provide a specific example of something useful you have learned as a
Resident Administrator? Describe how it was learned (i.e. observation, reading,
coaching, etc.)
8. What does coaching look like in the program as a participant?
A. As a future school leader how it will it look?
B. How are expectations communicated?
9. As a RAP participant, how does mentorship look like throughout the program?
A. How has it shaped your development, if at all?
10. Can you explain the role of mentorship in building the leadership capacity of future
principals?
11. Thus far, as a RAP participant, what have you learned about being a school
administrator?
A. About being a principal
B. Feelings that come up through the process
12. What resources are provided to you as a RAP participant?
A. Which have you found most useful in developing your leadership capacity?
13. What about the program has been challenging thus far?
A. What about the application process?
14. What have been the benefits of participating in RAP thus far?
15. Based on other interviews, some instances of a position offered to be an administrator
today and leave RAP, would you take it?
16. How does the organization identify future school leaders? (Tell me about the culture of
leadership capacity building at PACS.)
SUSTAINABLE LEADERSHIP AT PREP ACADEMY 117
17. Within the organization, is the path to becoming a school principal evident? (from
classroom teacher to school principal)
18. What opportunities that you provide do you find most useful in developing their
leadership capacity?
A. Give an example of how one of these opportunities effectively developed a leader.
19. What is the need for having a Resident Administrators Program?
20. In your opinion, will completing RAP determine your success as a school administrator?
21. What is the biggest take away from the program thus far?
22. From your experience so far, in your opinion, how can the CMO continue to effectively
retain quality leaders?
23. What do you value that keeps you in education?
A. As a school leader . . .
24. If you could change or enhance an aspect of the principal residency program, what would
it be? Can you tell me more about that?
25. In your opinion, how can the CMO continue to effectively retain quality leaders?
26. In order to capture a better understanding of RAP, what are some suggested spaces,
meetings or trainings I should observe?
27. Is there a question, you feel I should have asked during this interview?
28. 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?

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 118
Appendix E
Observation Protocol

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)

SUSTAINABLE LEADERSHIP AT PREP ACADEMY 119

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?
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Abstract (if available)

Abstract This study addressed the problem many educational institutions face in creating a sustainable approach to identifying, developing, and supporting quality school leaders to address growing vacancies in school leadership. The purpose of this study was to understand the practices one charter management organization (CMO) created through their resident administrator program. The five practices of transformational leadership were used to examine the purposeful ways in which the organization’s leadership worked to build the next generation of quality school leaders. Data were gathered through interviews, observations, and document analysis. Ten participants were interviewed: three organizational leaders, three principals, one assistant principal, and three resident administrator program participants. Interviews and observations were conducted at the participants’ school sites as well as the CMO’s home office. Three themes emerged as promising practices: (a) the program’s alignment to the organization’s vision, (b) a culture of growth and collaboration, and (c) experiential learning opportunities for program participants. Challenges to supporting and maintaining promising practices for building leadership capacity were money, time, and human resources. Implications of the study included the following: (a) the value of principals serving as mentors in leadership development programs

Linked assets

University of Southern California Dissertations and Theses

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Asset Metadata

Creator Lopez, Brenda Denise (author)

Core Title Sustaining quality leadership at prep academy charter schools: promising practices for leadership development in public schools

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 07/19/2018

Defense Date 03/22/2018

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

Tag Administration,capacity building,career ladder,leadership,leadership development,mentor,OAI-PMH Harvest,pipeline,principalship,school leader,sustainable,transformational leadership

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 brenlope@gmail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-20686

Unique identifier UC11671530

Identifier etd-LopezBrend-6425.pdf (filename),usctheses-c89-20686 (legacy record id)

Legacy Identifier etd-LopezBrend-6425.pdf

Dmrecord 20686

Document Type Dissertation

Format application/pdf (imt)

Rights Lopez, Brenda Denise

Type texts

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

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

Repository Name University of Southern California Digital Library

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