University of Southern California Dissertations and Theses

Middle school principals’ impact on effective professional learning communities in public schools in California

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Middle school principals’ impact on effective professional learning communities in public schools in California

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Content MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

1

Middle school principals’ impact on effective
professional learning communities in public schools in California
by
Krystal Vazquez

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 2019

Copyright 2019 Krystal Vazquez

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Preface
Some of the chapters of this dissertation were coauthored and have been identified as
such. While jointly authored dissertations are not the norm of most doctoral programs, a
collaborative effort is reflective of real-world practices. To meet their objective of developing
highly skilled practitioners equipped to take on real-world challenges, the USC Graduate School
and the USC Rossier School of Education have permitted our inquiry team to carry out this
shared venture.
This dissertation is part of a collaborative project with one other doctoral candidate,
Charlene Shimada. We, 2 doctoral students, researched the principal’s impact on professional
learning communities. However, the process for analyzing the data was too large for a single
dissertation. As a result, the 2 dissertations produced by our inquiry team collectively address
professional learning communities, but each one focuses on different levels, elementary or
middle school (see Shimada, 2019).

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Abstract
Elementary and Middle School students attending public schools in Southern California
are not meeting State Standards. Data shows there is a significant achievement gap with English
Language Arts and Math expectations. Schools that have effective Professional Learning
Communities (PLCs) are addressing and closing these gaps.
PLCs are a process that calls for adults learning together to improve student
learning. Principals are the most important factor in implementing and sustaining effective
PLCs. Principals lead structural and cultural change, build capacity in their teachers and PLC
teams, cultivate positive relationships, and create a collaborative culture.
The mixed-method research done for this study identifies the attributes of successful
PLCs and the skills needed by the principals who lead them. The research findings are intended
for all principals working with PLCs but has specific implications for elementary and middle
school principals.

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Table of Contents
Chapter 1: Overview of the Study ................................................................................... 7
Introduction .............................................................................................................. 7
Background of the Problem ....................................................................................... 8
Statement of the Problem .......................................................................................... 9
Purpose of the Study ................................................................................................. 9
Research Questions ................................................................................................. 10
Importance of the Study .......................................................................................... 10
Limitations .............................................................................................................. 11
Delimitations........................................................................................................... 11
Definition of Terms ................................................................................................. 11
Summary................................................................................................................. 12
Chapter 2: Literature ..................................................................................................... 13
History of PLCs ...................................................................................................... 14
Characteristics of Effective PLCs ............................................................................ 16
The Role of the Principal in Successful PLCs .......................................................... 19
The Role of the Principal as Educational Leader ..................................................... 21
The Significance of Relationships in PLCs .............................................................. 25
Summary................................................................................................................. 29
Chapter 3: Methodology ............................................................................................... 30
Research Questions ................................................................................................. 31
Method of Study ..................................................................................................... 31
Sample and Population ............................................................................................ 33
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Instrumentation ....................................................................................................... 35
Validity and Reliability ........................................................................................... 37
Data Collection ....................................................................................................... 37
Data Analysis .......................................................................................................... 39
Summary................................................................................................................. 41
Chapter 4: Findings ....................................................................................................... 43
Overview and Purpose of Study .............................................................................. 43
Participating Stakeholders ....................................................................................... 45
Findings and Results ............................................................................................... 48
Research Question #1 .............................................................................................. 49
Research Question #2 .............................................................................................. 57
Research Question #3 .............................................................................................. 68
Research Question #4 .............................................................................................. 78
Summary................................................................................................................. 87
Chapter 5: Conclusions ................................................................................................. 88
Overview and Purpose of the Study ......................................................................... 88
Research Questions ................................................................................................. 89
Summary of Findings .............................................................................................. 91
Implications for Practice ......................................................................................... 98
Future Research .....................................................................................................101
Summary................................................................................................................102
References ...................................................................................................................104
Figures .........................................................................................................................111
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Appendix A: 21 Principal Leadership Responsibilities .................................................113
Appendix B: Solution Tree Criteria for Selection of a PLC Effective School ...............115
Appendix C: PLC Teacher Survey ...............................................................................118
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Chapter 1: Overview of the Study
Introduction
“The fundamental purpose of the school is to ensure that all students learn at high levels”
(DuFour & Fullan, 2013, p. 7); the future success of students will depend to a great extent on
how effective educators are in achieving that fundamental purpose” (DuFour & Fullan, 2013.
Therefore, educators must embrace this purpose and show their commitment to it. Schools
cannot achieve this fundamental purpose if educators are working in isolation. Collaborating
with other educators empowers them to make decisions and support and learn from each other
(DuFour & Fullan, 2013). Educators must work in a Professional Learning Community (PLC)
model with a shared vision, a focus on learning, a commitment to continuous improvement, and
a focus on results. In order to create this collaborative culture of learning, structures have to be
in place. “Learning doesn’t happen without leadership” (Institute of Educational Leadership,
2000, p. 2). There are many different leaders involved in the PLC process, including teachers
and administrators. However, this study will focus on the elementary and middle school
principals in California public school settings and examine their role in creating a cultural change
conducive to collaboration to achieve the school’s fundamental purpose.
In 2008, research by University of Florida researchers highlighted the significance and
impact of PLCs at many schools across the United States. “A review of 11 studies by University
of Florida researchers, published in 2008, found measurable, positive impacts on teaching
practice as well as student learning, as evidenced by performance on standardized tests”
(Mathewson, 2016, para. 4). In many schools studied, student proficiency increased by 25% on
state tests. They have also shown a steady improvement over several years. Staff at those
schools claimed “Our school really has changed . . . the culture has changed here and I think it
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has a lot to do with this collaboration” (Mathewson, 2016, para. 16). The data from the study
showed that PLCs have a positive impact on not only student achievement, but also school
culture. For this reason, analyzing the role of the principal in leading effective PLCs is of great
importance. The data collected in this study can serve as a guide to schools who are beginning to
implement PLCs.
Changing culture in systemic ways is at the heart of any successful, large-scale reform
(DuFour & Fullan, 2013). Although literature supports the idea that the principal is the main
catalyst for leading effective change, one person cannot do it alone (DuFour & Fullan, 2013;
Fullan, 2002). It is imperative that leadership capacity is built in and from the group and the
group begins to work as professional learning communities (PLCs). Lambert (2003) referred to
the importance of building leadership capacity in the school staff. According to Fullan (2002),
the focus should be on the principals and how they use specific leadership skills and strategies to
create, sustain, assess, and maintain effective PLCs. This study will look at the principal
leadership through the PLC process that resulted in high levels of achievement for all students.
Background of the Problem
The purpose of a PLC is to focus on student learning. When teachers come together with
a common goal, analyze data, share best practices, and create action plans for students, learning
improves (Solution Tree, 2018). Research and data from the California Department of Education
(2017) showed more than half of 3rd-5th grade students in California are not meeting grade level
proficiencies on the Smarter Balanced Assessment (SBA). There are not enough students in Los
Angeles County meeting or exceeding California State Standards. Los Angeles County of
Education (LACOE) data showed ELA and math results have not significantly improved over
the past 3 school years (Ed-Data Education Data Partnership, 2018). Only 50% of 3rd-5th grade
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students are meeting or exceeding ELA standards. This means that the other half of the students
in LA County are NOT meeting the standards. This alarming data is the same across all of
California.
LACOE data revealed instructional improvement is needed. The purpose of a PLC is to
improve the capacity of teacher instruction which leads to improvement in student learning.
DuFour and Eaker (1998) proposed the best strategy used for school improvement and its
sustainability is a functioning professional learning community made up of all school personnel.
Principals need to learn the skills and strategies to lead effective PLCs. But, learning and
passing on skills and strategies are not as easy as it seems. PLCs are a different way to organize
and lead school sites; different means change, and change is never easy. When addressing
challenges and problems of change there is always an emotional component to the issue. When
almost half of the students in California are not meeting the standards in ELA and math
according to the SBA, there is an urgent need for educational reform.
Statement of the Problem
Smarter Balanced Assessment data reflected that there is a significant achievement gap in
ELA and math. As a result, many schools have decided to adopt the PLC model to improve
learning in an effort to close the achievement gap. This study will focus on the principal because
principal leadership and participation are essential to establishing school-wide PLCs (Hirsh &
Hord, 2008).
Purpose of the Study
This study explored how elementary and middle school principals of public schools in
California impact a culture conducive to professional learning communities (PLC). It focused on
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the role of the elementary and middle school principal in ensuring that PLCs work productively
and result in effective instruction in public schools in California.
Research Questions
The following research questions will guide this study:
1. How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
2. What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
3. How do elementary and middle school principals impact the success of school PLCs?
4. How do elementary and middle school principals evaluate the progress and success of
PLCs?
Importance of the Study
This study can be used like a playbook for public, elementary and middle school
principals in California to lead their PLCs. By utilizing data, research, and observations this
study provides information for principals to use with their PLCs and their teachers.
Accountability as defined by Burke (2004) is “willingness to be responsible for your actions or
inactions” (p. 4). Accountability for actions and inactions also exudes strong emotions. It also
includes understanding the data; using the data to develop instructional goals, benchmarks, plans,
and assessments; providing quality instruction that is motivating, engaging, differentiated, and
scaffolded; then, returning back to the PLC to analyze the instruction, learning, and data.

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Limitations
This study acknowledges the following limitations:
1. Participants’ perspective may also lead to inaccurate responses due to personal
experiences and the truthfulness of information provided may be questionable.
2. Due to the small sample size, data collected may or may not be generalizable to schools
outside of California.
Delimitations
The researchers recognize the following delimitations:
1. Interviews were limited to a small number of elementary principals who have
successfully implemented the PLC model at their schools.
2. Data collection was limited to southern California urban public schools who are in the
process of or have successfully implemented PLCs at their schools.
Definition of Terms
1. Collaborative Team- “A group of individuals who share common beliefs and work
towards common goals” (Collaboration, n.d., Collaborative Teams, para. 2).
2. Formative Assessments- A variety of methods that educators use to evaluate student
progress and learning needs that will guide learning targets for future lessons.
3. Goal- An observable and measurable objective to be achieved within a specific
timeframe.
4. Professional Learning Community (PLC)- “composed of collaborative teams whose
members work interdependently to achieve common goals linked to the purpose of
learning for all” (DuFour, DuFour, Eaker, & Many, 2006, p. 3).

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Summary
This research study analyzed the role of the principal in leading effective PLCs in
elementary and middle public schools in southern California. Data showed that PLCs can lead to
a significant improvement in student achievement and the culture of a school. Schools are in
need of an educational reform to close the achievement gap in ELA and math according to the
SBA. Chapter 2 will provide literature to clearly define effective PLCs, their impact on schools,
and the characteristics of principals that lead them.

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Chapter 2: Literature
The 2017 Smarter Balanced Assessment results showed that about 55% of 3rd-5th grade
students in California are not meeting the standards in English Language Arts and about 60% are
not meeting the standards in mathematics (CDE, 2017). This alarming data has brought up huge
concerns in elementary schools. Rigor in the classroom has significantly increased with the
implementation of Common Core and the Smarter Balanced Assessment. The new standards
have forced teachers to change their teaching practices to promote critical thinking skills,
problem solving, higher levels of student discourse, and evidence-based learning. In 2015, more
than 30,000 teachers in the United States took an online survey regarding their profession
(Walker, 2016). The results appeared in The Washington Post showed that the majority of the
teachers reported they were experiencing high levels of stress and were “particularly anxious
about having to carry out a steady stream of new initiatives, such as implementing curricula and
testing related to the Common Core State Standards” (Walker, 2016, p. 1). The shift of teachers
and students as learners has brought the need of creating a collaborative school culture. Now
more than ever, teachers are beginning to see the imperative need to work collaboratively rather
than in isolation to make the new initiatives and standards less overwhelming. School districts
have started a more rigorous implementation of Professional Learning Communities (PLCs) to
increase teacher collaboration with student learning in mind. Chapter 2 includes an exploration
of the history of PLCs beginning in 1960s, their evolution over the years, and the responsibilities
and roles of the principals who lead effective PLCs. Also, the importance of positive
relationships to create a culture of change and learning that will facilitate collaboration through
PLCs was explored.

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History of PLCs

Professional Learning Communities (PLCs) have existed for over 50 years. They first
emerged in the 1960s in an attempt to introduce the concept of collaborative, rather than isolated,
teaching. The release of A Nation at Risk in 1983, served as a catalyst for school improvement
initiatives (Archer, 2012). This report stated that “educational institutions had lost sight of the
basic purposes of schooling, and of high expectations and disciplined effort needed to attain
them” (Archer, 2012, p. 5). Although PLCs emerged in the 1960s, a more in-depth research
began in the late 1980s due to the need to reform the educational system (Solution Tree, 2018).
During the late 1980s and early ‘90s, a small number of schools stood out as reaching
considerable success in raising student achievement. Researchers and educators became
interested in how these schools were having so much success (Archer, 2012). Susan Rosenholtz
(as cited in ALLTHINGSPLC, 2019b) conducted one of the studies during this time. One of the
findings demonstrated that “learning-enriched schools” were characterized by collaborative
environment where teachers had shared goals and focused on student achievement
(ALLTHINGSPLC, 2019b). The concepts of focusing on goals, teaching practices, data
analysis, and higher levels of teacher commitment are still true today. However, a key concept
that was missing from this research was the culture and relationship building. A few years later,
in 1993, Judith Warren Little and Milbrey McLaughlin (as cited in ALLThingsPLC, 2019b)
conducted further research, which “concluded the most effective schools . . . as strong PLCs”
(History About PLC, para. 3). Furthermore, they created a list of PLC characteristics which
included the importance of culture, collegial relations, and accountability. McLaughlin reported,
“We are closer to the truth about school improvement than ever before” (AllThingsPLC, 2019b,
History of PLC, para. 4). This was such a significant breakthrough in school reform.
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A new concept that emerged in 1995 was that a successful PLC was characterized by a
focus on student learning, not just teaching practices. This is a common misconception today.
Many people believe PLCs are about the teachers and what they are doing, but PLCs should
actually focus on student learning by analyzing data and creating intervention plans to address
their needs. In 1998, the publication of Professional Learning Communities at Work
TM
: Best
Practices for Enhancing Student Achievement by Richard DuFour and Robert Eaker had a
significant impact in the school system. This book had similar conclusions as the other research,
but a few years later, 3 main ideas emerged. The first idea was to ensure that the school has “the
fundamental purpose . . . to ensure high levels of learning for all students” (ALLThingsPLC,
2019, History of PLC, para. 15). The focus here is again on student learning. Teachers are no
longer asking if a concept was taught, but rather if it was learned. The second idea was it is no
longer possible for teachers to achieve this “fundamental purpose by working in
isolation”(ALLThingsPLC, 2019b, History of PLC, para. 16). This was the same conclusion that
researchers found over 50 years ago. Not only should teachers work collaboratively, but also
take collective responsibility for student learning. Another major idea was the use of data to
assess student learning and drive instruction.
In 2002, the No Child Left Behind Act (NCLB) was passed, which stated that schools
must show improvement in student achievement on standardized tests until all of them reach
proficiency (Archer, 2012). Among many stipulations, NCLB created a greater role for the
national government in education. In the subsequent years, there were many other attempts at
educational reform. Michael Fullan (2002) stated that the nation had steadily lost ground to
other countries, which meant that the strategies were all wrong (Archer, 2012). The expectations
in schools today are much different than they were when the initial concept of a PLC emerged.
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However, even then, educators were interested in concepts such as collaboration, relationships,
student learning, and self-reflection. As a result, educators today must find a way to bring about
change in order to produce results (Archer, 2012). Implementing PLCs has been thought of as an
option to school reform. Although many schools believe they have Professional Learning
Communities, Michael Fullan (n.d.) believed that many of them are emerged in superficial
activities, which may have little effect on student achievement. He stated that “the term has
traveled faster than the concept” (as cited in ALLThingsPLC, 2019b, para. 14). It is important to
learn about the history of PLCs to understand their evolution, purpose, and continuous
improvement.
Characteristics of Effective PLCs
Dufour and Marzano (2012) stated,
It is difficult to implement a substantive process in any organization when people have a
deep understanding of the process and its implications for specific action; it is impossible
to do so when there is ambiguity or only a superficial understanding of what must be
done. (p. 4)
One of the first steps in creating a collaborative culture is to have a clear understanding of
the PLC process. It is not a program; it is a process. It is not a program to be purchased; it is a
process to be pursued but never quite perfected (Dufour & Marzano, 2012). Often times, people
think of PLCs as a quick fix that has been proven to be effective, so they adopt it as a program
solution (DuFour & Fullan, 2013). However, if it is treated like a program, it becomes “the latest
innovation” that will eventually be replaced by another initiative that comes along. PLCs are
about people, practices, and process. People should see PLCs as just “the way we do work
around here” (DuFour & Fullan, 2013, p. 26). When this is the mindset, then a fundamental
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change in culture has occurred. “PLCs have to be treated as a change in culture if they are to
have a strong and lasting impact, not only in schools, but in the system as a whole” (DuFour &
Fullan, 2013, p. 16).
High-performing (effective) PLCs also have 6 characteristics which include having a
mission, vision, shared values, and goals (DuFour & Fullan, 2013). This means that everyone
has a collective purpose and clear direction about how they are going to accomplish their goals
while focusing on student learning. Along with this focus, teachers need to look at data
collaboratively to measure student progress. Data analysis goes beyond sharing opinions,
personal anecdotes, or referencing past precedents. “They should engage in exactly what the
PLC process calls for: learning together” (DuFour & Fullan, 2013, p. 27). Together is the key to
everything that should be done in a PLC. Teachers must study the curriculum to identify specific
skills students need to learn and together make decisions about assessments and pacing guides.
Teachers individually can still make decisions about instructional strategies that they believe
would work the best for their students. However, together teachers should analyze evidence of
student learning and develop a plan on how to meet the needs of all students. Therefore, the
purpose of the PLC process is to “engage the entire staff in an ongoing, collaborative, process of
collective inquiry and action research to achieve better results for their students” (Brown, 2017,
p. 2). “The expansion of PLCs is indicative of the increased emphasis on teacher collaboration
as the means of powerful professional development, which is increasingly collaborative, data-
driven, and peer facilitated, all with a focus on classroom practice” (Brown, 2017, p. 6).
Luis Cruz (2017) stated that there are 3 guiding principles when working on the PLC
implementation process: hope is not a strategy, don’t blame the kids, and it is about student
learning. These 3 principles essentially translate to a significant component of PLCs: data.
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Without evidence of student learning (assessments), teachers are not able to create an
improvement plan. They can’t just teach content and hope students are learning. When
analyzing data and discussing possible intervention strategies, it becomes easier to stop blaming
students for what they can’t do or for their behavior. This is the cultural shift that was mentioned
earlier where teachers are focusing on learning. “It is imperative to note that the emphasis
placed on student learning in a PLC does not diminish the importance of teaching” (Dufour &
Marzano, 2012, p. 1). The PLC process is actually intended to help educators become more
skillful in teaching because there is a direct correlation between high levels of learning and
teaching practices. Prior to teachers creating assessments to use as evidence of student learning,
they must identify the essential standards for their grade level. These “essential standards do not
represent all you are going to teach. They represent the minimum a student must learn to reach
high levels of learning” (Mattos, 2017, p. 334). Once these are agreed upon by the PLC, then it
is easier to plan instruction and create assessments. It also brings coherence and accountability.
Mike Mattos (2017) identified 2 fundamental assumptions: not all students learn the same
way and not all students learn at the same speed. For this reason, he suggested that effective
PLCs use a Common Assessment Team Protocol when analyzing data. Some questions on this
protocol include identifying specific students that did not meet the targeted essential standard,
instructional practices that were the most effective, patterns in common student mistakes, any
improvements needed to the assessment, and intervention and enrichment opportunities. Doing
this keeps the team focused and creates a culture of shared responsibility. “Overall, studies show
that when teachers are given the time and tools to collaborate they become lifelong learners, their
instructional practice improves, and they are ultimately able to increase student achievement far
beyond what any of them could accomplish alone” (Dufour & Marzano, 2012, p. 3).
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The Role of the Principal in Successful PLCs
The success of PLC work begins with the principal who knows how to handle the
challenge of change (DuFour & Fullan, 2013) and manage transitions for people who may or
may not be ready to change (Bridges & Bridges, 2016). The challenges of change include
structural and cultural change; cultural change being much more difficult and structural change
can be mandated or adopted like increasing graduation requirements or buying a new language
arts curriculum.
Cultural change is much more difficult and very different than structural change because
it cannot be mandated or put into a program (Alvy & Robbins, 1998). Cultural change is life-
altering; changing one’s expectations, habits, lifestyles, and beliefs. This cultural change begins
with the principal having moral leadership: knowing the principles of right and wrong. The
principal makes a purposeful, honorable choice to have good behavior (Alvy & Robbins, 1998).
Yet, the definition of a true leader goes beyond having morals and character to model for others.
According to Collins (2005), “True leadership only exists if people follow when they have the
freedom not to” (p. 13). Collins continued that there is no leader when there is no choice.
Leaders create opportunities for others to follow them. Being a leader also does not mean you
are leading alone. Reeves (2006) asserted that leadership cannot be done alone. To improve the
site, especially the culture of the site, the principal will also concentrate on improving their own
strengths and the strengths of those they lead. By increasing the capacity of one’s team, a good
leader will provide opportunities for diverse opinions, ideas, and actions. “Capacity-building
principals align their actions to the belief that everyone has the right, responsibility and
capability to work as a leader” (Lambert, 2003, p. 43). Lambert (2003) continued by stating,
“principals should be clear about their own core values and confident in their own capacity to
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work well with others by influencing, facilitating, guiding, and mentoring. They need to resist
using authority to tell and command” (p. 44). This is where the similarities between PLCs and
building leadership capacity complement one another. There is a cyclical effect of building
leadership capacity of the PLC and increasing PLC effectiveness which in turn builds more
leadership capacity making PLCs more successful. Kezar (2002) concluded that scholars are
“advocating” for more systemic participatory and collaborative site leadership. Stated earlier,
this is a premise of a professional learning community (PLC).
DuFour and Fullan (2013) continued that the traditional schooling practices that have
lasted for more than a century in our country is being significantly changed. School leaders are
no longer just the site managers but multifaceted leaders of an organization that requires skills
with instruction, therapy, management, data acquisition/analysis, relationship building, and
more. PLC work is “a heuristic process of trial and error” (DuFour & Fullan, 2013, p. 37) where
principals and their teams learn for themselves what works in order to meet their goals. This
type of cultural change can cause conflict because of the complexities and vulnerabilities
involved with failing. But, this is when the principal plays the important role of leading
everyone through the PLC process. Even though there is no magic formula for successful PLC
work; there are clear, proven ideas for the process.
One of the major premises of the PLC process is transitioning from traditional, isolated
teaching and caring just about your students to a shared, collaborative, collective culture focused
on learning and improvement for all. Managing transitions like this and making the most of
change requires a leader who understands the “human side of organizational change” (Bridges &
Bridges, 2016, p. 5). Stated earlier, cultural change is difficult and the psychological transitions
that happen during this change are more stressful. Bridges and Bridges (2016) maintained that
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transitions are successful when there is a purpose, plan, and everyone has a part to play.
Principals need to ensure their stakeholders have a purpose, plan, and parts to play for their site’s
success. Bridges and Bridges continued to expand on the “human side” of organizational life by
explaining the life cycle of an organization: dreaming the dream, launching the venture; and
getting organized, making it, becoming an institution, closing in, and dying. As with the nature
of life, death is also a part of the organization. Bridges and Bridges stated there can be an after-
life to organizational death or an alternative life where the organization re-dreams and
repurposes themselves. This is where the principal continues to lead and inspire with a growth
mindset where we can be better today than we were yesterday and better tomorrow than today
(Dweck, 2016). This gives hope to the organization and keeps a growth mindset for change,
failure, renewal, and recommitment.
DuFour and Fullan (2013) emphasized that this leadership and systemic PLC work
cannot stop at each site, but PLC needs to be adopted as a district (the total community) to ensure
maximum success for the district as well as each site. “When a school or district functions as a
PLC, educators within the organization embrace high levels of learning for ALL students as both
the reason the organization exists and the fundamental responsibility of those who work within
it” (DuFour et al., 2010, p. 3).
The Role of the Principal as Educational Leader
Fullan (1991, 2001) argued just as principals have the responsibility to enact cultural
change on campus by creating a collaborative community, strengthening membership capacity,
and cultivating positive relationships principals also have the moral purpose and responsibility to
ensure that student learning occurs every day at their sites. There should be no compromise or
personal goal above the site’s educational change. Through the PLC process, the principal
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continues to strengthen capacity for the staff by providing a collaborative atmosphere free of
judgement and full of taking risks. Dweck’s (2016) growth mindset encourages principals and
staff to take these risks by comparing a fixed mindset to a growth mindset from a 2012
interview:
In a fixed mindset students believe their basic abilities, their intelligence, their talents, are
just fixed traits. They have a certain amount and that’s that, and then their goal becomes
to look smart all the time and never look dumb.
In a growth mindset, students understand that their talents and abilities can be
developed through effort, good teaching and persistence. They don’t necessarily think
everyone’s the same or anyone can be Einstein, but they believe everyone can get smarter
if they work at it. (Dweck as cited in Morehead, 2012, question 4)

The principal reinforces the site’s purpose, constantly communicates goals, celebrates
accomplishments big and small, and plays a role in monitoring and re-evaluating goals based on
accomplishments. Ultimately the principal is also responsible for keeping all the working pieces
of the PLC running and keeping the vision and mission of the organization coherent and clear.
The school organization and site have big pieces and little pieces that are important to different
members of the community at different times. The principal provides coherence by providing a
picture or as much of the picture like from the cover of the puzzle box so that staff and PLCs can
see where their puzzle pieces fit in the big picture we call school. Clarity comes from the
constant, clearly articulated, and well understood communication shared by and with the
principal with all stakeholders.
“Schools need transformational leaders at every level. These leaders are determined to
lead people to better behavior. They do not stop at criticizing current behavior. Rather, they use
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their resources and influence to help people improve” (Muhammad & Hollie, 2012, p. 58).
Muhammad and Hollie (2012) listed how transformational leaders support their staff in 4 ways:
communication, relationships, support, and accountability (see Appendix B). In this chapter
there is an emphasis on relationships and the continuous mention of communication and support.
Muhammad and Hollie also focused on accountability. Leaders establish a system for
expectations, accountability, and performance that are “. . . clear and fair” (p. 61). Just as each
teacher would provide the skills, knowledge, and support for a student to demonstrate their
learning; “. . . no good leader would expect results from those he or she leads without first giving
them the proper resources and support” (p. 60). As the educational leader of the site and its
PLCs, the principal provides the support for the PLCs to be successful. The principals of
effective PLCs consistently communicate with clarity their beliefs and values. They serve as
role models and live these beliefs and values. Yet, principals are not the sole leaders of PLCs.
Principals facilitate PLC meetings where the staff share their core values, create rules, implement
new plans, and make decisions collectively (DuFour & Eaker, 1998). Fullan (2011a) concurred
that principals motivate the masses, collaborate with teams to completion, and learn alongside
staff confidently. Principals are nurturing an environment to build “intellectual capital.”
Principals should create a “no fault” problem solving environment where critical thinking is
encouraged. Isolation of the principal or staff will stifle creativity and innovation. School sites
are helping to produce “social capital.” Staff and students who have the skills and ability to
bring to our world of great diversity true citizenship: showing character in action - civility,
compassion, fairness, trust, collaboration, engagement, and respectable evaluations. In 2011,
Carrie Leana of the University of Pittsburgh studied 130 New York City elementary schools and
measured 3 things: human capital, an individual’s qualities and competencies; social capital, an
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individual’s trust and collaborative engagement to focus on learning and student achievement;
and, student math achievement from September to June to indicate the impact of the teacher.
Leana’s research found that schools with high social capital demonstrated positive outcomes.
Schools with strong human and social capital did even better. Dramatically, schools with low
human capital amongst their teachers but higher social capital also showed better outcomes than
those with lower social capital. According to the study, social capital is of utmost importance
and principals need to learn to leverage it. Leana’s work is evidence that positive teachers, staff
and PLCs rub off on others and engages others to be better.
Fullan (2011a) continued to explain that the principal needs to understand the impact of
their work, be deliberate in action and be able to sustain simplexity – the simplicity of
complexity or how something simple can be so complex. The principal and then in turn, the
PLCs will be able to generate enough energy and passion for others to engage and participate.
Fullan (2011a) implored that the future success of the site is based on the best practices agreed
upon by the PLC. And, when a goal is met, and/or a best practice is agreed upon, the principal
should lead the PLCs to draw a conclusion from this success, develop curriculum from its
conclusion, and move on to create a new theory to collaborate and improve upon. Principals
need to instill the value of the teacher and the teaching profession throughout the school
community. A way to show the value of teaching is to work with students as a teacher would; be
in the classroom and teach, again. Finally, Fullan (2011b) implored principals to contribute to
external organizations outside of the school site. This is powerful networking for learning,
sharing, collaborating and expanding the relationships needed for student learning.
The Significance of Relationships in PLCs
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Many school and district administrators initiate the implementation of PLCs while
overlooking the shifts necessary to move from a culture of isolation to a culture that promotes a
true collaborative learning organization (Pirtle & Tobia, 2014). Evidence shows that there is a
strong correlation between relational trust in a school and student achievement. Trust is part of
building relationships that will create a culture that embraces change and growth. School leaders
must model and maintain trusting relationships where teachers feel safe to have professional
conversations to reflect openly about their teaching. The authors of the article Implementing
Effective Professional Learning Communities suggest that when principals attend PLCs, they
should be there as participants and observers to let the teachers lead the meeting (Pirtle & Tobia,
2014). In addition, principals should also be supportive and not criticize teachers while they are
discussing student data. Relationships and trust must be established early on in the PLC
implementation process so that teachers realize that they can share challenges without fear of
criticism or judgement.
James Comer believed that “No significant learning occurs without a significant
relationship” (Payne, 2008). This is not only true with students, but also with teachers. The
ultimate goal is changing the culture of learning for both adults and students so that engagement
and betterment is a way of life in schools (Fullan, 1991). When this culture of learning is
established at a school, everyone is willing to try new things because everyone is learning.
There is no pressure of doing things the wrong way or fear of a negative outcome. This is the
environment that is best conducive to learning. Sustained improvements in schools will not
occur without changes in the quality of learning experiences on the part of those who run the
schools (Fullan, 1991).
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Several researchers have created PLC models with distinct characteristics that would
address school reform and student achievement. Shirley Hord’s (2004) model is very similar to
Dufour and Eaker’s (1988) model, which focus on the cultural shift that must occur if schools
intend to become learning communities. Hord’s model emphasizes on “reflective dialogue as a
vehicle for collective learning” (Blankenship & Ruona, 2012). She believes that when there is a
supportive culture, collective learning and shared practices will take place. One of the 5
dimensions she included as part of the PLC process is having supportive and shared leadership.
This is essential to create a culture of trust and positive relationships. The principal is no longer
seen as the only leader of the school. Instead, he or she empowers others to be leaders and
creates these change agents throughout the campus.
Empathy is having genuine concern and understand how something is affecting someone
but moving forward. “I don’t have to experience it for it to be legitimate to you. I have to
validate you” (Anthony Muhammad, PLC Solution Tree Conference, 2017). Empathy is part of
creating a collaborative culture where PLC members feel acknowledged and safe. This helps
build relationships because it brings everyone to a mutual understanding of respect, even when
some may be resistant to change. Anthony Muhammad believes that PLC members should be
“tender with one another” because parting with the “old” ways of doing things may cause
anxiety for some people. He recommends that the school culture is one of “learning together”
where people always assume positive intentions. There are 4 critical behaviors that a
transformational leader should have to create an environment conducive to PLCs. The behaviors
are communication, building trust, support/capacity building, and accountability. All these
behaviors come down to one thing: relationships. When the school leader provides clear and
consistent messages, this builds trust and credibility. Without trust, positive relationships can’t
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happen. When the leader is bringing on change, there has to be support provided, which makes
teachers feel confident and safe. There must also be accountability from both the leader and the
teachers to ensure that everyone is doing their part. Holding people accountable for something is
a lot easier when a relationship of trust has been established. “Structural change is not supported
by cultural change will eventually be overwhelmed by the culture, for it is in the culture that any
organization finds meaning and stability” (Schlechty, 2001). Creating a cultural change that is
conducive to PLCs starts with building relationships and trust. Without focusing on the
significance of relationships, effective PLCs cannot take place.
Marzano et al. (2005) synthesizes the work of the principal well when working with their
PLCs and creating a purposeful community. Of the 21 responsibilities (Appendix A) that the
school leadership team must cultivate, 9 are the sole responsibility of the principal. Marzano et
al. believe that effective principals all practice: being an optimizer; using affirmation; valuing
idea/beliefs; being visible; providing for input, having situational awareness, utilizing
communication, building and protecting culture; and, cultivating and maximizing relationships.
The role of optimizer and affirmation is to instill collective efficacy, where everyone feels
emboldened to take on challenging work knowing that they have the skills and knowledge to
solve a problem or create a solution. The principal must inspire the team to think outside of the
box with new and disruptive innovations (Christensen, 2017) in a “no fault” problem-solving
atmosphere mentioned earlier. The principal/optimizer needs to be the driving force behind
major initiatives with inspiration, motivation and celebrations. The principal is there to let the
stakeholders know that goals are just beyond their grasp; but, with creativity, innovation,
resources, and input of knowledge the goal is attainable. Here is where the principal sets the
emotional tone of the organization, the culture, and the overall “feel” of the school site, in and
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out of the classrooms. This emotional tone is not just one of “feeling good.” The tone is one of
aspiration. The principal is there to provide affirmation after the staff has gone through the
process of reaching their goal or not. The principal celebrates success and the work of the “try”
as well as acknowledges the failures and missteps. The acknowledgement of failures and
missing the mark is important because there was work done and there has to be time to reflect on
that work to improve upon it for the work that still needs to be one. The heart of affirmation is
the transparent, truthful account of the school’s successes and failures. Each should be
systematically recognized and celebrated among students, staff, families, and community. The
belief that the staff and the school community are one cohesive group should continuously be
communicated. DuFour and Eaker (1998) found that teachers believe they can make a difference
with their students in their classrooms. Marzano et al. (2005) asserted that this is where the
principal’s job of promoting collective efficacy is most important. This collective efficacy needs
to be evidence based using student achievement scores and success rates. This helps to
legitimately recognize staff and students who are making substantial change in learning. And,
vice versa, fairly evaluate and critique when substantial learning is not gained. Even when a
principal is effective, PLCs are doing their jobs, and students are learning and achieving, there is
still more to learn. Supporting Fullan’s (2017) current research that principals need not just be
instructional leaders but learning leaders as well. This current research solidifies and validates
what Lambert asserted in 2003:
When we learn together as a community toward a shared purpose, we are creating an
environment in which we feel congruence and worth. Inherent to this view is the
belief that all humans are capable of leadership, which complements our conviction
that all children can learn. (p. 4)
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Summary
PLCs have been around since the 1960s. The concept of working in isolation is a thing of
the past. Throughout the years, there has been a significant shift in standards, curriculum, and
teaching pedagogy. Student achievement results have shown a deficiency in current practices,
which has created a greater need for teachers to work collaboratively. Literature highlighted the
importance of focusing on relationship building and culture to create successful PLCs DuFour &
Fullan, 2013; Fullan, 2011a). Schools should have a culture of learning, where teachers and
students are learning, and people strive for continuous improvement. A common theme in the
literature was also the role of the principal in leading the PLC movement at their school sites
(Fullan, 2017; Fullan & Stiegelbauer, 1991). Chapter 3 includes the data collection methodology
that focuses on the principal’s impact on PLCs, best practices and strategies that principal’s use
in leading this movement, and their method of evaluating the effectiveness of a PLC.

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Chapter 3: Methodology
As indicated in Chapter 2, research and data showed that more than half of 3rd-5th grade
students are not meeting the standards in ELA or math in California according to the 2017
Smarter Balanced Assessment (SBA) results. This data and the implementation of Common
Core State Standards have caused teachers to change their teaching practices in an attempt to
improve student learning. Teacher surveys conducted across the United States show that this
alarming data along with the increase in rigor with the Common Core State Standards are
causing high levels of stress for teachers (Walker, 2016). Schools facing the achievement gap
shown in the SBA have recognized the need for educational reform as a priority. One of the
processes that many school districts are implementing are Professional Learning Communities.
Effective PLCs create a culture of learning and collaboration to ensure that all students are
achieving at high levels (Solution Tree, 2018).
This study explored how elementary and middle school principals in California impact a
culture conducive to effective professional learning communities (PLCs). It focused on the role
of the elementary and middle school principal in ensuring that PLCs work productively resulting
in effective instruction and increase in student learning. Data was collected through surveys,
interviews, and school assessment results from the California Department of Education website.
Chapter 3 is a presentation of the theoretical and conceptual frameworks including the general
research design, a description of how the qualitative and quantitative techniques were utilized to
incorporate a mixed-methods approach and the instruments used for data collection. Further, an
explanation of how K-12 districts, elementary/middle schools, and individual respondents were
selected to participate in this study.
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Research Questions
The following research questions will guide this study:
1. How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
2. What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
3. How do elementary and middle school principals impact the success of school PLCs?
4. How do elementary and middle school principals evaluate the progress and success of
PLCs?
Method of Study
This study used a mixed-methods approach combining quantitative and qualitative data.
A combination of the strengths of both open-ended and close-ended data can form a stronger
understanding of the research problem and help overcome the limitations of each (Creswell,
2014, p. 6).
The design used in this study was convergent parallel mixed methods. In this approach,
researchers collect both types of data, analyze them separately, and then compare the results to
see if the findings confirm or disconfirm each other (Merriam & Tisdell, 2016). The research
design used for this study was constructivism where the researchers seek to understand the
impact of the elementary and middle school principals on and with their PLCs and develop their
own particular meanings that correspond to other principals own experiences (Creswell, 2014).
The qualitative study included a grounded theory approach. This theory was introduced by
Glaser and Strauss in 1967 (as cited in Creswell, 2014) to support qualitative research. It is the
collection of data that is then analyzed systematically which leads to the development of theories
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(Creswell, 2014). Interviews were conducted based on the research questions. Interview
statements, answers, and narratives were coded – ways to group ideas together; concepts –
grouping codes together in a defined way; and categorized – a broad way to bring concepts
together forming themes and generalizations that support a theory (Creswell, 2014).
Survey research explains trends or features of large groups (Creswell, 2014). The
quantitative study done for this research tested the theories by examining the relationship among
variables. These variables can be measured so that numbered data can be analyzed using
statistical procedures. The variable that was measured for this study was the teacher’s surveys
using a Likert scale. The responses to Likert scale items focus on the respondent’s level of
agreement or disagreement on a symmetric 1-5 scale for a series of statements. The range of the
scale captures the intensity and magnitude of the participating teacher’s agreement. The study
quantified the surveys by adding the sum of survey responses over the full range of the scale
assuming the distances between each item are equal. Converging entails integrating knowledge,
expertise, and experiences from different sources to enrich the study. “Collecting both
quantitative and qualitative data provides data of student achievement and teacher reaction that
builds evidence and supports the principals’ reflective response to their success” (Creswell,
2014, p. 133-134). Survey responses were used convergently with the qualitative data collected
from interviews. A mixed-method design is preferred because qualitative methods are used to
find the depth of understanding as to the reasons for success or failure of a practice like PLCs
while quantitative methods identify common patterns in the data, confirm the breadth of the
study, and predict potential success of practice implementation resulting from the study
(Palinkas, 2015).

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Sample and Population
The sample population for this study was composed of former and current principals of
PLC model schools as identified by Solution Tree and teachers of those schools. The sample for
the qualitative portion of the study was purposeful and unique. Purposeful samplings are
information-rich, where a great deal of information can be learned for the study. Purposeful
sampling begins with determining the selection criteria for the respondents. The criteria needs to
have importance to the study. A unique sample is a common, purposeful sample and reflects
criteria specific to what the study is looking for. For this study, the criteria for the qualitative
and quantitative unique sampling included former or current principals with experience in
leading effective PLCs and teachers of PLC model schools. 3 of the respondents, currently
leading professional development, who were interviewed are former principals who have led
effective PLCs evidenced by student achievement. The second set of respondents included 1
elementary and 1 middle school principal who serve at schools in California that meet the
Solution Tree criterion for a model PLC school. Solution Tree is a company who has been
leading the Professional Learning Communities at Work process since 1998 after the first
publication by Richard DuFour and Robert Eaker. This company created the AllThingsPLC
website to support schools and educators in this process by providing resources and an avenue
for networking. Solution Tree has collaborated with K-12 schools around the world for more
than 20 years to increase student achievement and staff collaboration by offering professional
development through resources, events, and tools for both teachers and administrators. Solution
Tree is world renowned with presenters and collaborators that are also world-renowned like Lee
Canter, classroom management guru; Robert Marzano, research to curriculum and practice
specialist; Doug Reeves, leader for organizational leadership; Javier Vaca, reading recovery
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specialist; and Michael Fullan known for educational reform. In addition, the majority of
Solution Tree’s presenters and collaborators have PhDs or EdDs in education, are professors at
national universities, superintendents across the country, and have been public school principals
implementing and succeeding with PLCs.
Because Solution Tree acquires the most effective teachers and administrators based on
student achievement and success to work for them, there is hardly any hard, relevant research
that contradicts or suppresses Solution Tree’s effectiveness with PLCs. The only “literature” that
questions Solution Tree’s PLC success are 2 online blogs. CURMUDGUCATION: Joy and Pain
in PLC-land posted as a blog by Peter Green on July 14, 2014 spoke about Peter’s first time
attending a PLC Conference hosted by Solution Tree. Peter cannot find any fault with the
totality of Solution Tree’s PLC movement. He does offer that Rick and Rebecca DuFour, co-
founders of Solution Tree, “just” used the best of different education programs, mixed them all
together, book-ended them with the moral imperative to do what’s best for kids and had a “tight”
show for the masses. Patch.com is an online news service for Orange County in which there was
an opinion section written in a question and answer format with a local educator regarding
Solution Tree and PLCs. Even though very skeptical about PLCs, Jan Fisher is learning that
PLCs are the most effective way to work as an educational group to ensure student academic
achievement and success.
The following is an overview of the criteria that Solution Tree uses in order for a school
to be recognized as a Model PLC School:
● Demonstrate a commitment to PLC concepts.
● Implement those concepts for at least 3 years.
● Present clear evidence of improved student learning.
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● Explain the culture, practices, and structures of the school or district, and submit it for
consideration to the PLC Review Committee using our online submission process.
● Update school or district information on the site each year to show your data
continues to meet the criteria of the PLC at Work process. (ALLTHINGSPLC, 2019c,
Overview for Recognition as a Model PLC)
Appendix C shows in greater detail what Solution Tree looks for under each category.
The respondents for the quantitative part of this study included a total of 50 current teachers
working in the schools identified through Solution Tree as Model PLC School. For this study,
we will only focus on elementary and middle public schools in California.
One of the sampling problems the researchers came across was that in California, there
are only 12 identified PLC model schools and only 10 are elementary or middle schools.
Although the number is not large, in this case quality is what the study was focused on. Another
challenge is distance of all the schools, which made interviewing principals more difficult. The
former teachers, current professional development presenters, travel the country providing
insights and knowledge at various conferences. This created a small barrier in scheduling their
interviews because their limited availability. However, both current researchers attended the
Solution Tree PLC conference in Long Beach in October, where they presented at various
sessions throughout the days. Since we were local for a few days, this created a great
opportunity for networking.
Instrumentation
This mixed-methods study addressed how elementary and middle school principals
impact an environment conducive to professional learning communities. It focused on the role
of the principal in ensuring that PLCs work productively and result in effective instruction and
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

36
increased student learning in public elementary and middle schools in California. A convergent
mixed-methods design was used; it is a type of design in which qualitative and quantitative data
are collected in parallel, analyzed separately, and then merged. In this study, principal
interviews and teacher surveys at schools meeting the Solution Tree’s criteria as an exemplary
PLC school were examined to test the combination of theories: DuFour and Fullan’s (2013) A
Roadmap for Going Big with PLCs (Introduction, p. 11) with Fullan’s (2002) principal as the
Change Leaders. It was predicted that when principals focus on school culture and utilize the
practices and strategies brought forth by DuFour and Fullan, this leads to successful PLCs.
Figure 1 is a combination of both frameworks.
In Cultures Built to Last, where DuFour and Fullan (2013) presented this roadmap, they
thought about “PLCs as cultural change, are exciting for people and can get results in fairly short
order” (p. 3). DuFour and Fullan also believed this creates a positive energy that attracts people.
Fullan (2002) described principals as change leaders. The principal’s values and beliefs are at
the top of the graphic. Fullan (2002) believed in order to start the change process, a principal
must have a moral purpose because this will lead all actions with the right intentions of making a
difference in the entire school community. Principals should also believe that change cannot be
managed; it can be understood and led. One of the key components is to build relationships.
This is a common factor to every successful change initiative. Principals should also create
knowledge by building capacity and shared leadership, which will strengthen the change. Fullan
(2002) also talked about coherence making, where effective leaders tolerate enough ambiguity,
but attacks incoherence when it is a function of prolonged confusion. These 5 components are
encircled by enthusiasm, hope, and energy which should not only describe the principal in order
to make change happen, but also spread these feelings to teachers, students, parents, and the
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community. The principal will then begin to share best practices and strategies to facilitate the
PLC process which leads to teacher commitment, trust, and willingness to collaborate without
being afraid of failure or reprimand. When these 2 areas are established, evaluating progress and
success of PLCs will be evident by a positive school culture and ALL students learning at high
levels.
Validity and Reliability
Ensuring validity and reliability in research involves conducting the investigation in an
ethical manner. Ethical practices are important in establishing the trustworthiness of your study
(Merriam & Tisdell, 2016). It is important to be explicit about the researcher’s roles and not
have any biases. For this reason, all interviewees will be asked the same questions, only
differentiated by elementary schools or middle schools. Since the researchers have some
knowledge about the interviewees’ professional history, experiences, and influence in the PLC
world, data will be analyzed and compared to find common themes, not accomplishments of a
specific person.
Data Collection
Data was collected by interviewing 2 Solution Tree PLC presenters, 2 elementary and 2
middle school principals of PLC model schools, and by surveying 50 teachers from those
schools. Just as the respondents and sampling were specifically chosen for this study, the
instruments, which include surveys and interviews, were also precisely selected. The mixed-
methods research utilized quantitative and qualitative research to quantify the breadth of the
study and provide patterns that led to affirmation or non-affirmation of the theory. The
qualitative instrument used was interview with 6 open-ended questions asked of current and
former elementary and middle school principals who led successful PLCs. These 6 questions
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revolved around Fullan’s (2002) change leader theory, moral purpose, understanding change,
relationship building, knowledge creation and sharing, and coherence making and DuFour and
Fullan’s (2013) Roadmap to Going Big revolved around leading implementation, best practices
and strategies, impact on success, and evaluating, progress, and success.
It was important to this study that the researchers and respondents share a common goal
of making elementary and middle school PLCs better. 3 Solution Tree professional development
presenters, former principals, were interviewed during Solution Tree’s conference in October
2018. These former principals, now presenters, were specifically chosen by Solution Tree
because of their experiences leading successful PLCs during their tenure as site leaders. 1
elementary and 1 middle school principal identified through Solution Tree’s model PLCs
criterion were interviewed. The length of tenure for these current principals does not impact the
study because Fullan’s (2002) and DuFour and Fullan’s (2013) framework is meant for any and
all principals, new and veteran. The interviews were held with the 2 researchers and the
respondent. The respondents gave researchers permission to record the interview. One of the
researchers asked the questions and engage the respondent while the other researcher took notes.
Post-interview included transcribing the recording and notes to create the interview manuscript.
The answers were be cross-coded and will be discussed further in Chapter 4.
A Likert survey with 32 statements around Fullan’s (2002) change leader theory: moral
purpose, understanding change, relationship building, knowledge creation and sharing, and
coherence making, as well as DuFour and Fullan’s (2013) Roadmap to Going Big leading
implementation, best practices and strategies, impact on success, and evaluating, progress, and
success were emailed as a Google Form to 40 teachers worked in the schools where the 2 current
principals interviewed. This ensured that the quantitative data was relational to the qualitative
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data. Current principals were asked to pass the Google survey (Google Forms) via email to their
teachers to help the researchers collect as much data as possible. Respondents completed
surveys online with a computer, laptop, pad, or smartphone. Researchers added a statement
regarding confidentiality to the survey so that teachers felt comfortable answering truthfully
without fear their responses would be shared with their principals. Completed surveys populated
the researchers’ Google Excel spreadsheet where the researchers manipulated the data for
analysis.
Solution Tree professional development presenters, names of current principals, teachers,
and school sites will remain anonymous. They were simply identified as being an elementary or
middle school in California. Respondents were not given any incentive to complete the survey
or participate in an interview. Respondents were encouraged to participate by engaging their
moral fortitude to increase student learning by collectively improving PLCs through an effective
principal.
Data Analysis
This mixed-methods study utilized quantitative and qualitative data. The statistical
method used to correlate this data is known as the correlational research method (Gay, Mills,
& Airasian, 2006). Specifically, the form is the product-moment correlation, otherwise
known as the Pearson r coefficient. “The purpose of a correlational study may be to
determine relationships between variables (relationship studies) or to use these relationships
to make predictions (prediction studies)” (Gay et al., 2006, p. 191). Determining the
correlation between variables does not mean one caused the other. However, higher
correlations between variables could predict strong relationships between variables. A mean,
a calculated central value, was determined from the survey data collected from teachers of
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each school site. This mean was interpreted utilizing the following DuFour and Fullan’s
(2013) categories: leading implementation, best practice and strategies, impact on success,
and evaluation of progress and success. A mean between 1 and 5 indicated teachers’
agreement from strongly disagree to strongly agree with the effectiveness of principals and
their respective PLCs. These results were compared with the qualitative data collected from
the current school principals’ interviews. The interviews done for this study as the
qualitative research were coded, categorized, and extrapolated to fit the themes postulated for
this study from the theoretical frameworks of DuFour and Fullan (2013) and Fullan (2002).
The data for this study was simultaneously collected, analyzed, and interpreted.
The question, “How are elementary and middle principals in California public schools
leading the implementation of PLCs?” was answered through the interviews with the current
principals. Principals shared the various ways they are leading PLCs on their campuses.
Teacher surveys from each section were validated through agreement or disagreement of the
principals’ implementation. The interviews with former principals were also used to validate
the effectiveness of the current principals. The question, “What are the best practices and
strategies that elementary middle school principals are utilizing in leading effective PLCs?”
was answered through interviews with current principals and validated with extremities of the
their teachers’ surveys. The question, “How do elementary middle school principals impact
the success of school PLCs?” was answered through interviews with current principals and
validated through agreement or disagreement by the surveys taken by their site teachers.
Figure 2 separately organized the qualitative and quantitative data. Qualitatively, the
researchers utilized the table to help code and segregate the interview responses. The
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relationship between the qualitative responses of the principals and quantitative mean
responses of their teachers were easier to visualize utilizing the table.
The question, “How do elementary middle school principals evaluate the progress and
success of PLCs?” was answered through interviews with current and former principals.
Current principals discussed the process they used to evaluate the progress and success of their
PLCs. However, historically, when a person is in the middle of an event or situation they
sometimes cannot see situations as they really are while we were in the midst of them — You
can’t see the forest for the trees. In short, we lose our perspective when we are too heavily
invested in a particular situation, approach, organization, etc. So, this study’s researchers used
the interviews of former successful, effective principals to provide the lost perspective of
current principals and teachers working their PLCs.
Summary
The relationship between effective elementary and middle school principals and
successful school PLCs was studied using a mixed-methods approach. Current principals of
California elementary and middle public schools described by Solution Tree as model PLC
schools were interviewed to establish DuFour and Fullan’s (2013) big picture roadmap and
Fullan’s (2002) change leadership theories stating the importance of effective principals leading
effective PLCs to collect qualitative data. Current teachers at the schools in this research were
surveyed to understand their agreement with the effectiveness of their principal based on the
same theories to collect quantitative data. Finally, the interviews done with the former principals
and now professional developers affirmed and validated data interpretation and the quality of
work done at the current school sites. The correlation between qualitative and quantitative
research in this mixed-methods research was able to confirm theories DuFour and Fullan (2013)
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

42
and Fullan (2002) set forth while providing more proof for principals to apply these theories in
their leadership. Chapter 4 provides an analysis of the data collected through interviews and
surveys by finding common themes. The analysis also compared and contrasted the data from
middle schools and elementary schools.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

43
Chapter 4: Findings
Overview and Purpose of Study
The purpose of this study was to determine the most effective impact of elementary and
middle school principals on student learning and achievement using Solution Tree’s PLC Model
(Solution Tree, 2018). The study focused on elementary and middle school principals’ impact on
Professional Learning Communities (PLCs) in southern California public schools. According to
the California Department of Education (2017), more than half of 3rd-5th grade students are not
meeting the standards of ELA or Math in California according to the 2017 Smarter Balanced
Assessment (SBA) results. Schools facing the achievement gap shown in the SBA have
recognized the need for educational reform as a priority. One of the processes that many school
districts are implementing are Professional Learning Communities. Effective PLCs create a
culture of learning and collaboration to ensure that all students are achieving at high levels
(Solution Tree, 2018).
In this study, principal interviews and teacher surveys at schools meeting the Solution
Tree’s criteria as an exemplary PLC school will be examined to test the combination of 2
theories: DuFour and Fullan’s Culture Built to Last (2013) with Fullan’s (2002) The Change
Leader. According to these theories, when principals focus on school culture and utilize the
practices and strategies brought forth by DuFour and Fullan, this leads to successful PLCs.
Figure A is a combination of both frameworks.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

44

Source: Adapted from Fullan (2002)
Figure A. The Principal’s Role in Leading Effective PLCs

In Cultures Built to Last, DuFour and Fullan (2013) presented this roadmap and thought
about PLCs as cultural change. DuFour and Fullan stated that,
On the other hand, PLCs as cultural change are exciting for people and can get initial
results in fairly short order. They unleash energy and draw in the vast majority of people
who begin to make fundamental changes never before thought possible. (p. 3)
Fullan (2002) described principals as change leaders. The principal’s values and beliefs are
displayed at the top of the graphic in Figure A. Fullan believed in order to start the change
process, a principal must have a moral purpose because this will lead all actions with the right
intentions of making a difference in the entire school community. Principals should also believe
that change cannot be managed; it can be understood and led. One of the key components is to
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

45
build relationships. This is a common factor to every successful change initiative. Fullan (2002)
also believed principals should also create knowledge by building capacity and shared
leadership, which will strengthen the change. Fullan also talked about coherence making, where
effective leaders tolerate enough ambiguity, but attacks incoherence when it is a function of
prolonged confusion. These 5 components are encircled by enthusiasm, hope, and energy, which
should not only describe the principal in order to make change happen, but also spread these
feelings to teachers, students, parents, and the community (Fullan, 2002). The principal will then
begin to share best practices and strategies to facilitate the PLC process, which leads to teacher
commitment, trust, and willingness to collaborate without being afraid of failure or reprimand.
When these 2 areas are established, evaluating progress and success of PLCs will be evident by a
positive school culture and ALL students learning at high levels (DuFour & Fullan, 2013; Fullan,
2002).
Research Questions
Based on DuFour and Fullan’s Cultures Built to Last (2012) and the framework created
by the researchers, the following research questions were used to guide this study:
1. How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
2. What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
3. How do elementary and middle school principals impact the success of school PLCs?
4. How do elementary and middle school principals evaluate the progress and success of
PLCs?

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

46
Participating Stakeholders
This study focused on public elementary and middle school principals in California and
their impact a culture conducive to effective professional learning communities (PLCs). It
focused on the role of the elementary and middle school principal in ensuring that PLCs work
productively resulting in effective instruction and increase in student learning. Data was
collected through surveys, interviews, and school assessment results from the California
Department of Education (2017). K-12 districts, elementary/middle schools, and individual
respondents were selected to participate in this study based on their exemplar status with
Solution Tree and their work with exemplar PLCs. Solution Tree is a private, for profit
company, created in 1998 by Richard DuFour and Robert Eacker. Both gentlemen have had
successful careers in education. Richard DuFour is an acclaimed educator, former principal, and
researcher. Robert Eacker has been a dean of education and a researcher. Together they
authored Professional Learning Communities at Work (1998). This resource was embraced by
practitioners because it provided specific, practical, how-to information about transforming
schools into results-oriented professional learning communities. Meeting the 21st century needs
of using technology on a global scale, Solution Tree also runs the All Things PLC website to
support K-12 schools around the world to increase student achievement and staff collaboration
by offering professional development.
Here is an overview of Solution Tree’s exemplar status as explained Chapter 3:
● Demonstrate a commitment to PLC concepts.
● Implement those concepts for at least 3 years.
● Present clear evidence of improved student learning.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

47
● Explain the culture, practices, and structures of the school or district, and submit it for
consideration to the PLC Review Committee using our online submission process.
● Update school or district information on the site each year to show your data continues to
meet the criteria of the PLC at Work process. (AllThingsPLC, 2019, Overview for
Recognition as a Model PLC, para. 2)
The researchers were able to interview 3 Solution Tree presenters, 2 of whom were
administrators when their sites received exemplar status with Solution Tree. Presenters A, B,
and C, have at least 20 years of experience in California public schools: elementary, middle, high
school. Presenter B was principal at a middle school in southern California when it became a
Solution Tree exemplar PLC school. This middle school has sustained exemplar status.
Presenter C was superintendent of a district in southern California that was recognized as a
Solution Tree exemplar PLC district. This district and many of its schools have also sustained
current exemplar status. The researchers interviewed the presenters during a Solution Tree
Conference held in Long Beach, CA in September 2018. Each of the interviews lasted 20-30
minutes and done individually. Neither of the presenters needed or wanted the research
questions frontloaded; each answered the research questions eloquently and with conviction for
student learning and student success.
The 2 elementary and middle school principals interviewed currently lead public school
sites in California that are also recognized by Solution Tree as exemplar PLC schools. The
middle school principal has 17 years of experience as a principal at that level. The elementary
principal has 4 years of experience at the elementary level. The superintendents and principals
of each of the school’s were asked permission to interview the principals and survey the teachers
of each site. Superintendents, principals, and teachers were front-loaded with the dissertation
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

48
focus, research questions, interview questions, and teacher surveys. Both principals were
interviewed for 20-30 minutes via recorded phone conversation. The answers received were
straightforward and to the point. After the interview, each principal was given a Google Forms
link to share with their teachers. Teachers were asked to voluntarily take this anonymous Likert
scaled survey (see Appendix C). In all, there were 14 elementary respondents and 26 middle
school respondents to the anonymous teacher survey. Following are the findings and results of 5
interviews and 40 anonymous teacher surveys.
Findings and Results
The Theoretical Framework used for this dissertation is based on the following literature
and roadmap for going big with PLCs: Fullan’s The Change Leader (2002); and, DuFour and
Fullan’s, Cultures Built to Last (2013). Along with the literature, interviews and surveys
highlighted significant practices and strategies effective elementary and middle school principals
in a public setting need to impact their PLCs for ultimate student learning and success. The
following practices have been categorized into 5 major themes: Moral Purpose; Understanding
Change; Relationship Building; Knowledge, Creation, and Sharing; and Coherence Making.
Fullan’s The Change Leader (2002) helped define the 5 best practices. Moral Purpose is about
having a sense of purpose to “make a difference;” using strategies and resources (including
human) to tackle problems; being held accountable by debatable and measurable indicators of
success; and, be able to ignite the intrinsic commitment of others to forge their own moral
purpose (Fullan, 2002). Understanding Change begins with understanding the messiness of
transformation. Relationship Building is about building capacity within the organization in order
to get better results of the organization (Fullan, 2002). Principals can use the following
strategies to improve or better their relationships: setting clear standards, expecting the best,
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

49
paying attention, personalizing recognition, telling the story; celebrating together, and setting the
example. Fullan also believed that Knowledge, Creation, and Sharing is a practice to create
collaborative culture where the giving and receiving of knowledge is a responsibility and must be
reinforced through opportunities and incentives. This practice builds the capacity of the PLC
making them better learners and teachers. Coherence Making is what happens when you set up
conditions and processes that create new patterns for the relationship and improved actions
emerge. These new dynamics will then represent greater coherence. A cycle emerges because
the greater coherence will ripen the condition to create new patterns for improved actions to
emerge again. The research will be used to determine the most dominant and important of best
practices and strategies for principals to have for PLC effectiveness; PLC effectiveness is
determined by student growth and achievement identified by goals set by individual PLCs.
Wrapping these effective practices are the fundamental personality traits principals need to
ensure this PLC work is done and done well: Enthusiasm, Hope, and Energy (Fullan, 2002).
Research Question #1
How are elementary and middle school principals in California public schools leading
the implementation of PLCs?
Moral Purpose
One of the values and beliefs that DuFour and Fullan (2013) presented in Cultures Built
to Last was Moral Purpose. It was Fullan and DuFour’s belief that if a principal has a moral
purpose, this leads to teacher commitment, trust, and willingness to collaborate. Moral Purpose
defined by Marzano, Waters, and McNutlty (2005) in School Leadership That Works and
explored through this study is the foundation for PLC implementation and success. Members
coming together as a PLC need basic foundations practices that keep the group together on its
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

50
mission following its vision (Marzano et al., 2005). The PLC has commitment to the Moral
Purpose. Together the PLC shares the same Moral Purpose – all students can learn at high levels
and achieve success. In an interview, Solution Tree Presenter B emphatically stated that Moral
Purpose cannot be learned; but, is in the nature of the person. Researchers found that all
interviewees agreed to the nature and importance of Moral Purpose. Both elementary and
middle school teachers strongly agreed with Moral Purpose as a cornerstone for principals to
implement effective PLCs by scoring 4.5 and 4.7 out of 5 Likert scale. The theoretical
framework used for this dissertation proposed that principals’ values and beliefs like enthusiasm,
hope, and energy would help sway and convince the PLC to share in the same Moral Purpose of
the PLC.

How are elementary and middle school principals in California public schools leading the implementation of
PLCs?
Moral Purpose Elementary Principal A:
● Not just doing what’s in a book, manual, or rote
● We all Fail; don’t get mad if something doesn’t work; let’s work on trying to prove it can work
- data, samples, observations
● The group pushes the group; if teachers don’t fit, let them go

Middle School Principal B:
● Lead your staff to creating their vision of the school, where the vision of the school is going,
and their daily mission
● The mission statement is a deciding piece, that even though we've had it for the past 15 years, it
really has to define what we do everyday for students

Presenter B:
● We are the lead learners and the lead people- every kid is our kid.
● I left (Pioneer Middle School) but the leadership team remained and they knew why we were
doing the work.
● So mission- we have agreed upon why we are here and it needs to be we are here to ensure that
all kids are learning at high levels. All and ensure are the key words. Not most. And to ensure,
not give the opportunity, not my job to teach kids to learn. We are going to assume
responsibility for student success. If you can’t get the critical mass to agree to that then they
won’t buy into the PLC process.
● Once you agree that your mission is learning, all the things you are going to ask people to
commit to make sense.
● Let’s get a vision of the school that we want to be. Values, how do we have to act to get there?
What are the collective commitments we are going to make to each other as adults with our
actions and our behavior? And finally our goals. We are not going to be there overnight, so
what is our first baby step to be able to get there.
Figure B: Research Question 1- Moral Purpose Interview Data
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS 49
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

50
How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 1-10.
Moral Purpose- The principal has a moral
imperative to do what is best for students and their
learning, and provides fiscal and personnel
resources for professional development.
Elementary School Teachers’ Average
Response:
4.7 (Strongly Agree)

Middle School Teachers’ Average
Response:
4.5 (Strongly Agree)
Figure C: Research Question 1- Moral Purpose Survey Data

Understanding Change
According to the interview and survey data from all participants, Understanding Change
is an important practice for principals to implement effective PLCs; but, it is not vital like Moral
Purpose. Principals who Understand Change understand the psychological and emotion affect to
the people of their organization. Principals implementing effective PLCs also Understand
Change as supplying resources for teachers to provide the best learning possible that ensure
academic achievement and success (DuFour & Fullan, 2013). As stated in the theoretical
framework, the effective principal will need to use his/her enthusiasm, energy and hope to
initiate and maintain this cultural and organizational change. Presenter B also understood that
change does not happen with 1 person in a silo. Middle School Principal B acknowledged
needing a support system. The researchers found that this support system Understanding Change
helps to effect change. The survey data showed that elementary and middle school teachers
agree with the relevance and importance of Understanding Change. The value for elementary
teachers agreement is 4.4 out of 5 on the Likert scale and 4.3 out of 5 for middle school teachers.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

51
Through their research, DuFour and Fullan (2013) and DuFour and Marzano (2012) all agreed
that Understanding Change plays a vital role when principals are implementing and expecting
change through the PLC process.

How are elementary and middle school principals in California public schools leading
the implementation of PLCs?
Understanding
Change
Middle School Principal B:
● You can't just do it randomly or pick up a book and implement it. You
really need a support system

Presenter B:
● The research is abundantly clear, a single person cannot transform an
organization.
● Specifically I mean this is within the PLC process what you want is to
form that leadership team.
● The leadership team is going to function like a team within a
professional learning community. We’re going to be the lead learners.
If you are not a team unless you have common goals in which you
share and hold each other accountable then we as a leadership team are
going to set some goals.
Figure D: Research Question 1- Understanding Change Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

52
How are elementary and middle school principals in California public schools leading
the implementation of PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 1-10.
Understanding Change- The principal
demonstrates a growth mindset and understands the
effects of change with people.
Elementary School Teachers’
Average Response:
4.4 (Agree)

Middle School Average Teachers’
Response:
4.3 (Agree)
Figure E: Research Question 1- Understanding Change Survey Data

Relationship Building
Relationship Building is important to effective PLCs and principals need to be master this
process (DuFour & Fullan, 2013). Trust, contribution, and collaboration are ways to build
successful relationships that in turn strengthens the effectiveness of the PLC and PLC process
(DuFour & Fullan, 2013). Elementary and middle school teacher survey data has a somewhat
strong agreement to the importance of principals Building Relationships. Elementary teachers
have greater agreement with this practice at 4.6 out of 5 strongly agreeing with the importance of
Relationship Building. Middle school teachers agree with the importance of this practice with
4.1 of 5 using the Likert scale. Presenter C and the Elementary Principal A interviewed agree
that building relationships is essential. Principals need to participate in the PLC work and
process and then be humble enough to ask and accept the help of teachers and the PLCs. DuFour
and Fullan (2013) explained that this symbiotic relationship gives value to Relationship
Building.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

53
How are elementary and middle school principals in California public schools leading
the implementation of PLCs?
Relationship
Building
Elementary Principal A:
● Sitting in PLCs and being part of the team

Presenter C:
● To be an effective leader you have to be willing to contribute and coach
● Leaders need to humble themselves and ask for help

Figure F: Research Question 1- Relationship Building Interview Data

How are elementary and middle school principals in California public schools leading
the implementation of PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 1-10.
Relationship Building- The principal is trusted by
the staff, students, and parents, and has created a
culture of respect for taking risks in a “no fault”
environment.
Elementary School Teachers’ Average
Response:
4.6 (Strongly Agree)

Middle School Teachers’ Average
Response:
4.1 (Agree)
Figure G: Research Question 1- Relationship Building Survey Data

Knowledge Creation and Sharing Assuming this is an okay change
Presenter A shared a few words from his mentor, Rick DuFour, a PLC guru: “The key to
improving learning for students is job-embedded learning for the adults.” Knowledge Creation
and Sharing is an important practice of effective principals because it is the primary way for
PLCs to build their professional capacity. Principals need to know how to create opportunities
for the creation and sharing of knowledge. An important resource for Knowledge Creation and
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

54
Sharing within the PLC is the group of people who plan and make initial decisions. There are
different names for this group: Guiding Coalition, Instructional Leadership Team, or PLC
Leaders. With hope and enthusiasm, effective principals work with the team that decides the
professional development needed by the PLC and provides the resources to attain the learning.
The data collected showed that principals leading effective PLCs are active members of the PLC
who work and learn with the PLC (DuFour & Fullan, 2013). Presenter B asserted that the team
decides what is the right work and work as if they are doing it right. These essential practices are
spelled out in the research by DuFour, DuFour, Eaker, and Many (2010). Teacher surveys
strongly agreed (4.5) with the importance of Knowledge Creation and Sharing as PLC work and
part of the PLC process. Both elementary and middle school teachers scored this importance of
this principal’s practice at 4.5 out of 5. They demonstrated the value of Knowledge Creation and
Sharing.

How are elementary and middle school principals in California public schools leading the implementation of
PLCs?
Knowledge
Creation and
Sharing
Elementary Principal A:
● In order to lead a PLC you have to be an active member in your PLCs
● Getting agendas, looking at minutes, providing feedback
● Providing teachers with questions that guide and talking through those things with them
● You are a person that analyzes data with them and learns alongside them

Middle School Principal B:
● All Things PLC, that we’re a member of, that is what has given me the resources and the
training and collaboration to implement the steps for becoming a strong PLC.

Presenter B:
● If department chairs or grade level leaders are on the leadership team, they are going back and
leading the process with their teams, they can bring back products as evidence that their teams
are doing the right work and then the leadership team support each team because each team is
going to be in different places and some teams might need some extra time and support.

Presenter A:
● Create a Guiding Coalition- A team of teachers at the school who are going to work with
Administration to begin first learning together what this whole PLC process entails and as they
begin to learn what this PLC process entails they are going to make the transition to okay how
do we begin to educate our faculty and staff about this work
● Rick DuFour would always say that the key to improve learning for students is job-embedded
learning for the adults.
Figure H: Research Question 1- Knowledge Creation and Sharing Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS 55
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

56
How are elementary and middle school principals in California public schools leading
the implementation of PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 1-10.
Knowledge Creation and Sharing- There is a
culture of learning at school and schedules promote
collective learning and shared practice.
Elementary School Teachers’ Average
Response:
4.5 (Strongly Agree)

Middle School Teachers’ Average
Response:
4.5 (Strongly Agree)
Figure I: Research Question 1- Knowledge Creation and Sharing Survey Data

Coherence Making
During the implementation phase of PLCs, Coherence Making is important for teachers
to have a voice in the PLC process and creating the vision (DuFour & Fullan, 2013). Teachers
strongly agreed that Coherence Making matters to the success of the PLC with a Likert scale for
both elementary and middle school respectively being 4.5 of 5 and 4.6 of 5. The PLC process of
building norms is step 1 of Coherence Making as a team is important during this PLC
implementation phase (DuFour & Fullan, 2013). Norms are important to perpetuate the trust
between the team members. Presenter C thought it imperative that principals need to be
enthusiastic and hopeful about this part of the process, but let the teachers do the work of this
process. DuFour and Fullan (2013) and DuFour et al. (2010) emphasized building, referencing,
reinforcing, and revisiting norms as an important conduit for PLC work.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

57

How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
Coherence
Making
Presenter C:
● You’re going to build capacity collectively
● It’s the administrator’s job to help set up the collaborative teams and give
them the background knowledge necessary
● Having a guiding coalition (ILT) to bring teacher voices to the table
● Together build your norms

Figure J: Research Question 1- Coherence Making Interview Data

How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 1-10.
Coherence Making- The staff shares visions for
school improvement that focus on student learning.
Elementary School Teachers’ Average
Response:
4.5 (Strongly Agree)

Middle School Teachers’ Average
Response:
4.6 (Strongly Agree)
Figure K: Research Question 1- Coherence Making Survey Data

Research Question #2
What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Moral Purpose
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

58
Teachers’ survey responses show they do not feel as strongly about Moral Purpose being
the best practice after implementation and during the PLC process with a Likert scale of 5;
elementary teachers scored 4.1 and middle school as 4.2. DuFour and Fullan (2013) felt more
strongly about Moral Purpose for leading effective PLCs than teachers. DuFour and Fullan
agreed that having the innate reverence that all students can learn at the highest levels is the
cornerstone for effective leadership throughout the PLC success. The researchers found that
interviewees agreed that Moral Purpose is a best practice for principals striving for effective
PLCs. According to the Middle School Principal B, principals need to know what PLCs should
be doing and understand the fundamentals of PLCs. Presenter A asserted, “There shall be non-
negotiables that principals help create and enforce to ensure all students are receiving the best
teaching for the best learning.” Presenter A also stated that these non-negotiables are:
Guaranteed and viable curriculum, essential standards, formative and summative assessments,
and, an RTI process to ensure students are learning or exceeding their learning. Elementary
Principal A expected minutes from PLC meetings rather than setting agendas so teachers can
share their own Moral Purpose for the work they do rather than checking a compliance list.
Presenter C concurred that having Moral Purpose will push the PLC to seek outcomes.
Outcomes are the evidence of an individual’s moral purpose.

What are the best practices and strategies that elementary and middle school principals are utilizing in leading
effective PLCs?
Moral Purpose Elementary Principal A:
● Minutes rather than a fake filler agenda

Middle School Principal B:
● Have an understanding of the fundamental purpose and know what a professional learning
community should be doing.

Presenter A:
Establish 5 types that we call non-negotiables (Guaranteed and viable curriculum, essential
standards, formative and summative assessments, RTI process) So those 5 non-negotiables must be
at the core of everything you do.

Presenter C:
● The conversations need to focus on what kids do
● What are the essentials we need to focus on?
● Best Practices discussion is the most powerful because it can be supported by good outcomes
● The reflective conversation has to be linking strategies to evidenced based outcomes

Figure L: Research Question 2- Moral Purpose Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS 59
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

60
What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 11-18.
Moral Purpose- The principal takes the role of an
active participant in a PLC.
Elementary School Teachers’ Average
Response:
4.1 (Agree)

Middle School Teachers’ Average
Response:
4.2 (Agree)
Figure M: Research Question 2- Moral Purpose Survey Data

Understanding Change
Understanding Change is an essential strategy for leading effective PLCs (DuFour &
Fullan, 2013). According to Presenter A, everyone, especially teachers, should be on a PLC
team. This is an organizational change that is easy for a principal to implement. However,
researches DuFour et al. (2010) acknowledged that cultural change of teachers working together
on PLC teams, sharing data, and questioning each other’s practices is hard Bridges and Bridges
(2016) acknowledged the emotional struggles that people have towards change.
DuFour and Fullan (2013) addressed these changes towards PLCs as learning to do things
differently, collaboratively, using data with a purpose. As Presenter B shared, principals need to
be leaders and lead learners. They need to sit and learn best practices alongside the PLC teams
and teachers. Presenter B continued, that principals do not need to know everything. But, they
need to know where the PLCs are going and what are they doing that is researched based and
data correct. Finally, Elementary Principal A looked at change more pragmatically. Principals
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS

61
should encourage change to stay relevant and not get into a rut. Change could be difficult; but,
having the moral purpose and coherence, reflecting, and revamping will keep things fresh.

What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Understanding
Change
Elementary Principal A:
● Going back to PLC basics each year, revamping, refreshing not be in a
rut
● Making things relevant because things change

Presenter B:
● One is you need to be a lead learner so I am going to lead best practice
but I am not studying best practice myself.
● I am not saying that as a leader you should have every answer, but at
least a relative glimpse of where I think the right things are going and
research and evidence to support that too.

Presenter A:
● We're going to have to make sure that everybody on our campus who
is, especially a teacher, is on a team.
Figure N: Research Question 2- Understanding Change Interview Data

Relationship Building
One of the best practices and strategies that elementary and middle school principals
utilized in leading effective PLCs noted by researchers, interviews with experts, and survey of
practicing teachers was Relationship Building. It was found that Elementary Principal A builds
relationships with PLCs having expectations for teachers and having constant back-and-forth
conversations about these expectations. Principals build relationships with teachers in PLCs and
resource teachers by meeting with resource teachers and providing these resources to the PLCs
(DuFour & Fullan, 2013). Presenter B, a current presenter and former middle school principal,
concurred with the survey. Presenter B believed that relationships are vital for student success
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62
and that teachers should be building their relationships with each other in their PLCs while
principals should do the same. When principals create a PLC, they are practicing what they are
preaching.
For this study, Relationship Building is looked at through the lens of celebrating
improvement and achievement of PLCs (DuFour & Fullan, 2013). At this point, elementary
teachers agreed with this assertion with a Likert Score of 4.3 out of 5. Relationship Building in
this manner seemed to matter more to middle school teachers with a Likert Score of 4.7 out of 5.
Marzano et al. (2005) listed the top 21 responsibilities of principals and their correlation with
student success. Number 1 on the list is Affirmation, where the principal recognizes and
celebrates accomplishments and acknowledges failures.

What are the best practices and strategies that elementary and middle school principals are utilizing in leading
effective PLCs?
Relationship
Building
Elementary Principal A:
● Working with a team of resource teachers
● Giving PLCs expectations
● Having conversations back and forth around these expectations

Presenter B:
● 4 or 5 of us principals, said we need to practice what we preach. If the district principals
meetings are not going to function that way, we’ll set up our own meetings and we formed- at
the time I was a middle school principal- so 5 of us middle school principals, we said we are
going to function as a professional learning community. We are going to meet twice a month.
We are going to set smart goals. We are going to believe that every middle school kid is our
kid. We chose some smart goals in the area of reading, focusing on reading across every
school, every kid.
● When I met with the leadership team, at Pioneer, I was not meeting with people with my same
job. If I want to improve my skills in my job, well I can’t walk to the math department chair
and be like how would you do this as a principal? That’s not their job!

Figure O: Research Question 2- Relationship Building Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCS 63
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 64
What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 11-18.
Relationship Building- Outstanding improvement
and achievement is recognized and celebrated
regularly in our school.
Elementary School Teachers’ Average
Response:
4.3 (Agree)

Middle School Teachers’ Average
Response:
4.7 (Strongly Agree)
Figure P: Research Question 2- Relationship Building Survey Data

Knowledge Creation and Sharing
DuFour and Fullan (2013) introduced another best practice principals need to utilize in
order to lead effective PLCs is to facilitate opportunities for staff to seek knowledge, skills and
strategies, and apply this new learning to their work; leadership is promoted and nurtured among
staff. Both elementary and middle school teachers agreed with this assertion: the Likert scale 4.2
and 4.1 of 5. This data predicted that Knowledge Creation and Sharing is not a priority for a
principal through the lens of the teachers. However, the researchers found that both elementary
and middle school principals interviewed agreed that a priority for a principal leading effective
PLCs is to be well trained. A well-trained principal knows the PLC foundation revolves around
4 questions: What do we want students to learn? How will we know they’ve learned it? What
will we do if they didn’t learn it? What will we do if they did learn it? (DuFour and Eaker,
1998). Elementary Principal A called it the “PLC Continuum of Knowledge – plan, do, study,
act, and start all over again.” The principal’s job is to ask questions like: How did they do an
assessment? What questions did they have? What questions do we have? These questions will
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 65
drive active and passive feedback between principal and teachers. The Middle School
Principal B summarized Knowledge Creation and Sharing best, “I think the most important
factor is that you need to be very well trained.”

What are the best practices and strategies that elementary and middle school
principals are utilizing in leading effective PLCs?
Knowledge
Creation and
Sharing
Elementary Principal A:
● Active and passive feedback is important
● Asking questions like: How did they do an assessment? What
questions did they have? What questions do we have?
● Plan, Do, Study, Act and start all over again (PLC continuum of
knowledge)

Middle School Principal B:
● I think the most important factor is that you need to be very well
trained
● It's through Solution Tree; everything that I am talking to you about
is always through Solution Tree.

Presenter C:
● Analyze data and ask each other, “How did you teach that?” reflected
by outcomes
● This is what I did, here’s what I got, and what I didn’t think about

Figure P: Research Question 2- Knowledge Creation and Sharing Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 66
What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 11-18.
Knowledge Creation and Sharing- The principal
facilitates opportunities for staff to seek knowledge,
skills and strategies, and apply this new learning to
their work; leadership is promoted and nurtured
among staff.
Elementary School Teacher Average
Response:
4.2 (Agree)

Middle School Teacher Average
Response:
4.1 (Agree)
Figure Q: Research Question 2- Knowledge Creation and Sharing Survey Data

Coherence Making
DuFour and Fullan (2013) asserted that communication builds clarity and clarity brings
coherence. Decision-making takes place through shared leadership and communication.
Policies and programs are aligned to the school’s vision. Stakeholders are actively involved in
creating high expectations that serve to increase student achievement. Communication systems
promote a flow of information across school community and with stakeholders (DuFour &
Fullan, 2013). Again, through the survey using the Likert scale of 1 being strongly disagree to 5
being strongly agree, elementary and middle school teachers have the least agreement with this
being the best practice/strategy a principal needs to utilize with scores of 3.4 and 4.0
respectively. Elementary Principal A used communication to make coherence by giving
feedback weekly to PLCs. The Elementary Principal A stated, “Re-centering ourselves makes a
big difference.” This re-centering comes from the feedback (communication) that builds clarity.
Middle School Principal B stated, “There's a rubric that we follow on Professional Learning
Communities, that we’re continuing, and we look at all those different elements within the PLC
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 67
process that we need to hold ourselves accountable to.” This rubric builds coherence in and
amongst the PLCs because it is an accountability factor. Presenter C was emphatic that PLCs
have a shared commitment that focuses on essential points and through effective collaboration
that strategizes to make students successful. Presenter C emphasized, “We have clarity about
what kids are expected to learn.”

What are the best practices and strategies that elementary and middle school
principals are utilizing in leading effective PLCs?
Coherence
Making
Elementary Principal A:
● Using my resource teachers to help give PLCs feedback on a weekly
basis
● Using our lens to give feedback to their conversations
● Re-centering ourselves makes a big difference

Middle School Principal B:
● There's a rubric that we follow on Professional Learning
Communities, that we’re continuing, and we look at all those
different elements within the PLC process that we need to hold
ourselves accountable to.

Presenter C:
● This is not shared planning this is effective collaboration
● Focus on essential points then talk about strategy
● Here we have a shared commitment
● WE have clarity about what kids are expected to learn

Figure R: Research Question 2- Coherence Making Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 68
What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 11-18.
Coherence Making - Decision-making takes place
through shared leadership and communication.
Policies and programs are aligned to the school’s
vision. Stakeholders are actively involved in
creating high expectations that serve to increase
student achievement. Communication systems
promote a flow of information across school
community and with stakeholders.
Elementary School Teachers’ Average
Response:
3.4 (Neither)

Middle School Teachers’ Average
Response:
4 (Agree)
Figure S: Research Question 2- Coherence Making Survey Data

Research Question #3
How do elementary and middle school principals impact the success of school PLCs?
Moral Purpose
One of the values and beliefs that Fullan and DuFour presented in Cultures Built to Last
(2013), was Moral Purpose. It is their belief that if a principal has a moral purpose, this leads to
teacher commitment, trust, and willingness to collaborate. This belief was also evident in both
the Elementary A and Middle School Principal B’s interviews, and Presenter C’s interview. As
Presenter C stated, “. . . reflective conversation should be about getting better for the kids.” If
this is the commitment that staff members have, then there is a culture of trust at the school site.
Elementary Principal A described that, “if there is not a collective commitment and belief to do
what is best for students and the betterment of the school, then there is just a culture of
compliance, not trust.” Teachers might be turning agendas in along with data and common
assessments; but without a moral purpose, the school will not move forward. This is why Middle
School Principal A believed that starting with the mission, vision, and values is essential.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 69
Middle School Principal A stated, “teachers need to have ownership of this and understand what
their commitment to kids is.” Although both principals stated the importance of their role in
facilitating moral purpose to create the culture of trust conducive to PLCs, the staff surveys were
not as high in this area. Both elementary and middle school staff members’ average response
was approximately 4 (agree). Figure U reflects this data on the Likert scale.

How do elementary and middle school principals impact the success of school PLCs?
Moral Purpose Elementary Principal A:
● Trust in each other; in the absence of trust is compliance
● What is best for student achievement and the betterment of the school
● Being an active part of and a catalyst for the PLC group

Middle School Principal B:
● Once you have your mission, your vision, you've identified your values
and your commitments, I think that's where you have to be really
specific about what your commitments are
● what is our commitment to serving our kids

Presenter C:
● The only thing that the reflective conversation should be about is
getting better for the kids and what are their outcomes

Figure T: Research Question 3- Moral Purpose Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 70
How do elementary and middle school principals impact the success of school PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 19-26.
Moral Purpose- Stakeholders assume shared
responsibility and accountability for student
learning. Decisions are made in alignment with the
school’s values and vision. School goals focus on
student learning beyond test scores and grades.
Elementary School Teacher Average
Response:
4.3 (Agree)

Middle School Teacher Average
Response:
4.1 (Agree)
Figure U: Research Question 3- Moral Purpose Survey Data

Understanding Change
Michael Fullan (2011) stated that a principal is not just an instructional leader, but the
most important person in leading a culture of change. He explained that emphasis on the
principal as an instructional leader has been a significant first step in increasing student learning,
but it has not created lasting reforms. Fullan believed that it is essential for leaders to understand
the change process to have a positive impact on culture of the school. Elementary Principal A
discussed the significance of trust during the interview. When teachers don’t trust the principal,
they are compliant; but don’t get anything out of the PLC process because they don’t understand
the why or the purpose of what they are doing. When this happens, the principal is not having a
positive impact on change because they are instructional leaders, but not a change leader.
Presenter A believed that the principal is the person that can “either make or break the PLC
process” because of the influence he or she can have at a school. Presenter A discussed the
importance of having an effective principal who understands leadership and the PLC work. It is
a cultural change that leads to positive outcomes such as an increase in student achievement and
more collaboration amongst the staff (DuFour & Fullan, 2013). Presenter A also believed that
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 71
the impact of the principal in understanding this cultural change is so significant that he has
never visited a high-performing professional learning community that did not have a highly
effective principal. Figure W shows elementary and middle school staff responses on the
importance of embedding change into the culture of their school. Both survey averages result in
staff “agreeing” this idea with scores of 4.0 and 4.2, respectively. Interview and survey results
align with Fullan’s idea of the impact of a leader in a culture of change to create more
sustainable reform.

How do elementary and middle school principals impact the success of school PLCs?
Understanding
Change
Elementary Principal A:
● If teachers don’t have trust for each other and the principal, they will do
things to do things.
● You won’t get anything for yourself if you just do what is required

Middle School Principal B:
● Every time a group starts to become relaxed and they don’t go over
their group norms everyday or every meeting and they're not holding
each other accountable, all of a sudden things start happening- conflicts
start happening.

Presenter C:
● We don’t monitor, we coach
● Monitoring compliance does not build capacity

Presenter A:
● The principal is the person let me put it bluntly that can either make or
break the PLC process. The principal has authority to do certain things
obviously along the lines ethics and also the contract that has been
negotiated by the district, but I've never visited a high-performing
professional learning community that did not have a highly effective
principal.
● The principal has a lot of authority that can either strongly support this
process or strongly not support this process right
● Without an effective principal, without a principal that understands this
work, without a principal that understands the leadership and this work,
this work doesn't flourish throughout a school.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 72
Figure V: Research Question 3- Understanding Change Interview Data
How do elementary and middle school principals impact the success of school PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 19-26.
Understanding Change- School staff and
stakeholders exhibit a sustained and unified effort to
embed change into the culture of the school.
Elementary School Teacher Average
Response:
4.2 (Agree)

Middle School Teacher Average
Response:
4 (Agree)
Figure W: Research Question 3- Understanding Change Survey Data

Relationship Building
Relationships are key to a successful change (DuFour & Fullan, 2013). It is the
principal’s responsibility to facilitate opportunities for building relationships at the school site.
They should be seen as “relationship builders” (DuFour & Fullan, 2013). Fullan (2002)
discussed research conducted by Hay Management Consultants in 2000, which found that the
most difficult skill set for business and educational leaders was developing relationships and
team building. As mentioned earlier, one of the things that the principal should do, not only in
understanding change, but also to develop relationships is building trust. Elementary Principal A
stated that PLC teams need to trust the principal to feel comfortable enough to share when they
need help or when something is not working. Principals build this trust by being more
transparent and setting the example. Presenter C stated that principals need to “provide
psychological safety to function as a team ensuring that this (PLC process) is not an evaluative
process.” When the principal sets these conditions conducive to fostering relationships with one
another, he or she has a greater impact on the success of PLCs. Staff surveys reflected the
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 73
significance of establishing collegial relationships to reflect the commitment to school
improvement. Both elementary and middle school staff averaged 4.3 (agree) in this area, which
supports Fullan’s belief that it is not just a matter of boosting achievement scores for a year, but
actually laying the foundation for years ahead. “Building relationships is the resource that keeps
on giving” (DuFour & Fullan, 2013).

How do elementary and middle school principals impact the success of school PLCs?
Relationship
Building
Elementary Principal A:
● Pushing yourself to be more transparent as a leaders
● Model transparency for PLC members
● PLC teams trusting that it’s ok if they need something or something is
not going right
● Don’t micromanage

Presenter C:
● The principal needs to be very knowledgeable
● Principals need to have strong connections
● Provide psychological safety to function as a team ensuring this is not
an evaluative process

Figure X: Research Question 3- Relationship Building Interview Data

How do elementary and middle school principals impact the success of school PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 19-26.
Relationship Building- Collegial relationships exist
among staff that reflect commitment to school
improvement efforts.
Elementary School Teachers’
Average Response:
4.3 (Agree)

Middle School Teachers’ Average
Response:
4.3 (Agree)
Figure Y: Research Question 3- Relationship Building Survey Data
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 74
Knowledge Creation and Sharing
One of the key principles that principals must understand in order to have a stronger
impact is that “information only becomes knowledge through a social process” (DuFour &
Fullan, 2013). This is why relationships and PLCs are essential as stated by Fullan (2002).
Fullan also believed that it is important to not only endorse continuous learning, but also
encouraging the sharing of it. This will lead to continuous growth for all. Fullan (2002)
described that the knowledge society and the moral purpose go hand in hand. The moral purpose
will not go very far without knowledge, but without a moral purpose, knowledge will not sustain
itself. This is in alignment with what Elementary Principal A stated about letting PLCs feel
ownership about what they are doing. “The principal should not be the only one sharing
knowledge. As long as PLCs are doing the right work with the right intentions, they will need
each other and encourage learning for the entire team” (Elementary Principal A). Presenter C
agreed with the idea of the principal guiding the team into reflective conversations that include
knowledge sharing and the creation of ideas to support one another. Elementary and middle
school teacher surveys averaged “agree” when looking at the importance of school staff and
stakeholders learning together and applying new knowledge to solve problems. Fullan believed
that when principals are modeling this type of work by being the lead learner, they will have a
stronger impact on the success of the school.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 75
How do elementary and middle school principals impact the success of school PLCs?
Knowledge
Creation and
Sharing
Elementary Principal A:
● We want them to own everything they do in their PLCs - their data
sheets, the way they do things, the way they talk about things, that’s all
them, that’s their group. They create that as long as they are doing it
around the right work.

Presenter C:
● Principal connections that effectively guide the team into reflective
conversations about current reality and next steps

Figure Z: Research Question 3- Knowledge Creation and Sharing Interview Data

How do elementary and middle school principals impact the success of school PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 19-26.
Knowledge Creation and Sharing- A collaborative
process exists for developing a shared vision among
staff. School staff and stakeholders learn together
and apply new knowledge to solve problems.
Elementary School Teachers’
Average Response:
4.4 (Agree)

Middle School Teachers’ Average
Response:
4.1 (Agree)
Figure AA: Research Question 3- Knowledge Creation and Sharing Survey Data

Coherence Making
One of the mistakes that many principals, who are not adapted to leading in a culture of
change, make is to take on too many projects and innovations (DuFour & Fullan, 2013). This
does not lead to a positive impact on the school because it generates overload and fragmentation.
Therefore, effective leaders must work on connectedness or coherence-making (Fullan, 2011).
Both the elementary and middle school principals discussed creating a structured process to get
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 76
PLCs to move forward for student achievement and to improve the school. Middle School
Principal B focused on the role of the principal in facilitating continuous discussions around
goals, norms, vision, mission, fundamental purpose, and school-wide alignment. At Middle
Principal B’s school, all PLCs are designed the same regardless of the subject or department.
There are also non-negotiable practices to ensure that everyone is following the same structure.
This aligned with idea of “focusing on student learning as an integrator . . . that can further the
thinking and vision of the school” (Fullan, 2002, p. 8). The principal as a leader of cultural
change wants to achieve alignment and have a vision of the future that will lead to a positive
impact not only on the staff, but also student achievement. Both elementary and middle school
teacher surveys averaged “agree” when responding to the significance of establishing shared
values to guide decisions about teaching and learning. Shared values lead to coherence making
and move the school forward towards the same goal.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 77

How do elementary and middle school principals impact the success of school PLCs?
Coherence
Making
Elementary Principal A:
● Getting PLCs to move forward for student achievement and the
betterment of the school

Middle School Principal B:
● And then, we establish goals every year, our smart goals.
● Every single professional learning community is designed the same,
meaning that they have to have their norms, established norms, and
always
● It really is a structured process and it really has to be followed strictly;
those are those non-negotiable practices that DuFour had talked about.
● Every single meeting on the agenda we have template that we’ve all
agreed on using and then we have a Google team drive so every
Department and PLC they post their agendas, their group norms, their
smart goals, and all the data along the way, they post that so that
everybody has

Figure BB: Research Question 3- Coherence Making Interview Data

How do elementary and middle school principals impact the success of school PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 19-26.
Coherence Making- Shared values support norms
of behavior that guide decisions about teaching and
learning.
Elementary School Teacher’s
Average Response:
4.1 (Agree)

Middle School Teachers’ Average
Response:
4.3 (Agree)
Figure CC: Research Question 3- Coherence Making Survey Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 78
Research Question #4
How do elementary and middle school principals evaluate the progress and success of
PLCs?
Moral Purpose
Moral purpose is the goal of making a difference in the lives of students and it plays a
significant role in transforming and sustaining the system change (DuFour & Fullan, 2013). The
goal of the principal is to get all stakeholders to have a moral purpose and a sense of urgency to
help students be successful (DuFour and Fullan, 2013). DuFour and Fullan (2013) believed that
teachers should not just participate in the PLC process for the accountability. They should be
active members of their PLC because they have the commitment to do what is best for students.
Elementary Principal A emphasized the idea that the group needs to push the group. When
members of a PLC are dependent on each other, they will move the entire team forward because
they are doing the work for the right reasons. This is an indicator that the PLC is being
successful. DuFour and Fullan (2013) also addressed the fact that principals should have the
moral purpose to not just be concerned about his or her students, but also the success of students
in the other schools in the district. Sustained improvement of schools is not possible unless the
whole system is moving forward. “This commitment to social environment is precisely what the
best principals must have” (Fullan, 2002, p. 4). Presenter C focused on this idea in his interview.
Presenter C shared an experience as the Superintendent of a district in southern California where
Principal Summits were created to ensure that principals shared expectations, goals, and data.
Presenter C explained that the goal was for principals to know students and their data in the
entire district. Presenter C believed that this really unified them as an instructional leadership
team because they shared the same moral purpose and it added a form of accountability to ensure
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 79
that all schools were headed in the right direction. It also led to collaboration among principals
so that they could truly function as a PLC. Elementary and middle school teacher survey
responses averaged “agree” to the idea that the school needed to be transparent with data to all
stakeholders. This is easily done if teachers believe in the moral purpose of the school where the
focus is on learning. Being transparent with data is also an indicator of a successful PLC
(DuFour & Fullan, 2013).

How do elementary and middle school principals evaluate the progress and success of
PLCs?
Moral Purpose Elementary Principal A:
● We all fail; don’t get mad if something doesn’t work; let’s work on
trying to prove it, what can work - data, samples, observations
● The group pushes the group; if new teachers don’t fit, let them go

Presenter C:
● Principal summons in June to share expectations for next year: target
growth, EL numbers, your demands, terms of strength, and
collaborative culture
● Principal Summit - Beginning of school year, principals need to know
their kids and their data

Figure DD: Research Question 4- Moral Purpose Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 80
How do elementary and middle school principals evaluate the progress and success
of PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 27-32.
Moral Purpose- The school is transparent with data
to all stakeholders.
Elementary School Teacher’s
Average Response:
4.2 (Agree)

Middle School Teacher’s Average
Response:
4.1 (Agree)
Figure EE: Research Question 4- Moral Purpose Survey Data

Understanding Change
Principals must ensure that people throughout the system understand the reasons behind
the initiatives and why it is important (DuFour & Fullan, 2013). The researcher found that this is
in alignment with what Elementary Principal A shared about ensuring that teachers understand
why they are moving forward. It is difficult to make progress if there is not a clear
understanding of the moral purpose. “The change required is in the culture of what people value
and how they work together to accomplish it” (Fullan, 2002, p. 6). It is essential to let your staff
know that the first months of trying something new will be bumpy. The principal is there to
support PLCs in the process, not criticize every bump on the road. Elementary Principal A stated
that because sometimes you don’t see the positive outcomes of small changes right away, people
get discouraged. This is why celebrating small accomplishments along the way is so important.
Both the elementary and the middle school teacher surveys averaged “agree” with the statement
that the principal acknowledges weaknesses and failures to collectively brainstorm with the staff
ways to improve PLCs and student learning. When there is a culture of trust, these honest
conversations become easier (DuFour & Fullan, 2013).
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 81
How do elementary and middle school principals evaluate the progress and success of
PLCs?
Understanding
Change
Elementary Principal A:
● Because sometimes small incremental changes you don’t see right
away
● Ensure they understand they are moving forward for a reason
● If you get frustrated, don’t confront the proof

Presenter C:
● It’s important that the summit is open and transparent
● DuFour and Marzano attended the summits and were impressed with
the power of the summit

Figure FF: Research Question 4- Understanding Change Interview Data

How do elementary and middle school principals evaluate the progress and success of
PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 27-32.
Understanding Change- The principal
acknowledges weaknesses and failures to
collectively brainstorm with the staff ways to
improve PLCs and student learning.
Elementary School Teacher Average
Response:
4 (Agree)

Middle School Teacher Average
Response:
4.2 (Agree)
Figure GG: Research Question 4- Understanding Change Survey Data

Relationship Building
Teachers need to trust the PLC process and feel comfortable in an environment where it
is okay to not have a perfect outcome every time. The principal’s role in evaluating PLCs is not
to punish or criticize teachers. The purpose of monitoring and evaluating PLCs is to provide
support and additional help to teams that may be struggling a little more than others. The focus
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 82
is on students and how everyone can work together to become better as a team to help students
be successful (DuFour & Fullan, 2013). Presenter C talked about having honest conversations
about student data and teacher reflection on lessons. This is easier to do when relationships have
been created with the entire staff and administration. Middle School Principal B used
observations of relationships and collaboration to determine the effectiveness of a PLC. Middle
School Principal B believed that if team members rely on each other and they can’t do their work
without each other, then the PLC is working. DuFour and Fullan (2013) emphasized the
importance of celebrating small wins and recognizing efforts and risk taking. This is in
alignment with what both the elementary and middle school teachers’ surveys reflected. The
average response was “agree,” in agreement with the statement that the principal shares
responsibility and rewards innovative actions. When evaluating PLCs, there has to be a
relationship established so that it doesn’t feel like a negative process. Part of progress
monitoring of a PLC is focusing on moving forward and celebrating the small wins (DuFour &
Fullan, 2013).

How do elementary and middle school principals evaluate the progress and success of
PLCs?
Relationship
Building
Middle School Principal A:
● One of them is about relationships and collaboration.
● All those elements I talked to you about- norms, goals, agendas, they're
focusing on learning. You have a happy team. People like working
together, they like coming to work, and when they're happy, the kids are
going to be happy.
● PLC is working and that’s if they rely on each other, that they rely on
one another, they can't do their work without each other.

Presenter C:
● Having clear expectations and honest conversations
Figure HH: Research Question 4- Relationship Building Interview Data
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 83
How do elementary and middle school principals evaluate the progress and success of
PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 27-32.
Relationship Building- The principal shares
responsibility and rewards for innovative actions.
Elementary School Teacher Average
Response:
4.1 (Agree)

Middle School Teacher Average
Response:
4.4 (Agree)
Figure I: Research Question 4- Relationship Building Survey Data

Knowledge Creation and Sharing
Principals should engage in dialogue, not monologue, and create two-way discussions
throughout the change process (DuFour & Fullan, 2013). Elementary Principal A stated he/she
“evaluated the progress and success of PLCs through team conversations and engaging them in
this dialogue.” Elementary Principal A observed the way team members present their
information and have conversations with other support staff. Middle School Principal B
discussed looking at data and having conversations about struggling students every 3 weeks.
Presenter A also mentioned data, but emphasized the importance of the Superintendent holding
principals accountable for knowing their PLCs. This means knowing which stage all the PLCs at
their schools are at, knowing what is interfering with their ability to move forward, and what
supports are in place to help each team. This ties in with the belief that leaders must identify and
remove the obstacles that are stopping people from making progress (DuFour & Fullan, 2013).
Both the elementary and middle school surveys averaged “agree” in response to the statement
regarding staff using data/evidence to inform decisions about teaching practices as a means of
evaluating the progress of a PLC.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 84
How do elementary and middle school principals evaluate the progress and success of
PLCs?
Knowledge
Creation and
Sharing
Elementary Principal A:
● Through their data
● Through their conversations
● Through the way that they’re presenting all this information as a group,
when they are calling out to the right stakeholders; they ask the RSP
teacher for help, ask the psychologist
● Are they going through the 4 questions every time they talk and are they
using that to drive their instruction.
● Is student achievement being affected?

Middle School Principal B:
● I always run a grade check every 3 to 4 weeks just to see how the
students are doing; to see how many D or F kids we have. And then,
we always meet about those students every 3 weeks.

Presenter C:
● Present your data, disaggregate the information: what is your growth,
your gaps, needs and 1-year and 5-year plan.

Presenter A:
● They begin to observe their data, keep track of their data, see if the data
is telling us that as a result of implementing this process, we’re
beginning to see more evidence of learning right
● show me some kind of graphic organizer if you will some kind of visual
of how every teacher’s on a team that's number 1.
● I'd want principals to tell me okay your 3rd grade team, tell me about
your 3rd grade team.
● If analyzing data is what they need, how are you as a principal
supporting that process so that they don't stay indefinitely at a stage 4? I
would want every principal to be able to tell me where every team is at
and what they're doing so that the next year when I visit, they’re no
longer at that stage.
● they’ve got to spend more time watching teams and determining is this
team collaborating effectively or do they need support? That's what I
would look for in principals.

Figure JJ: Research Question 4- Knowledge Creation and Sharing Interview Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 85
How do elementary and middle school principals evaluate the progress and success of
PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 27-32.
Knowledge Creation and Sharing- Staff uses
data/evidence to inform decisions about teaching
practices.
Elementary School Teacher Average
Response:
4.4 (Agree)

Middle School Teacher Average
Response:
4.3 (Agree)
Figure KK: Research Question 4- Knowledge Creation and Sharing Survey Data

Coherence Making
DuFour and Fullan (2013) discussed the too tight and too loose dilemma. They believed
that in order to facilitate the process of cultural change, leaders must find the right balance of
both.
Direction, coordination or accountability for teachers help to guide their collective
capacity so that all of our students can learn at higher levels. While teachers need a
certain degree of autonomy, systems must be balanced in order to develop consistency
with their purpose, priorities and strategies. (DuFour & Fullan, 2013, p. 38).
Elementary Principal A shared, “he or she looks at data as an accountability piece, but
also allows PLCs to have the autonomy to drive themselves through the process.” The
elementary and middle school survey data averaged “agree” in response to the statement
regarding the principal creating or using PLC indicators as a rubric to measure the success of
teams. Although they both averaged “agreed,” the elementary average was lower with 3.5 where
the middle school average was 4.4. This also reflected an agreement with the accountability
piece mentioned by DuFour and Fullan (2013).
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 86

How do elementary and middle school principals evaluate the progress and success of
PLCs?
Coherence
Making
Elementary Principal A:
● I’m looking a lot at multiple measures
● I look at student achievement
● PLCs are driving themselves based this many kids are getting it; this
subgroup is not understanding it, we need to do this, change this; that’s
when they’re going through the process correctly
● Are my hard, hard, numbers making sense? Are we growing on the big
standards?

Figure LL: Research Question 4- Coherence Making Interview Data

How do elementary and middle school principals evaluate the progress and success of
PLCs?
Survey answers are based on a Likert scale of 1 (strongly disagree) to 5 (strongly agree).
The results reflect an average of staff responses on survey statements 27-32.
Coherence Making- Teachers, parents, and
community understand the school’s vision and
mission. The principal creates and/or uses PLC
indicators as a rubric to determine if teams are
meeting criterion of success.
Elementary School Teacher’s
Average Response:
3.5 (Agree)

Middle School Teacher’s Average
Response:
4.4 (Agree)
Figure MM: Research Question 4- Coherence Making Survey Data

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 87
Summary
The correlation between the qualitative and quantitative data in this mixed-methods study
confirmed the theories of DuFour and Fullan (2013) and Fullan (2002), while providing specific
actions for principals to apply these theories in their leadership. Through this correlational study,
the researchers were able to prioritize DuFour and Fullan’s list of principals’ best practices and
strategies such as moral purpose, understanding change, and building relationships, that lead to
effective PLCs based on the teachers’ Likert scale along with commonalities of the interviewees.
The data collected from surveys and interviews was categorized into 5 major themes: moral
purpose, understanding change, relationship building, knowledge creation and sharing, and
coherence making. There weren’t any significant discrepancies between teacher surveys and
principal interviews. Chapter 5 incudes an examination of the data analysis and themes to
address implications for practice. It also includes a comparison and contrast of the data from the
elementary and middle school surveys and interviews to highlight significant best practices in
leading effective PLCs at each level.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 88
Chapter 5: Conclusions
Overview and Purpose of Study
In 2017, the California Department of Education published the results of the Smarter
Balanced Assessment (SBA), the state standardized test taken by all public school students
grades 3-11. Regretfully, more than half of the 3rd-5th grade students in California did not meet
the proficiency level of the English Language Arts (ELA) or Math standards. As public school
educators and administrators in California, we should be appalled by these results and find any
means to rectify this situation.
The purpose of this study was to determine the most effective practices of elementary and
middle school principals for student learning and achievement using Solution Tree’s PLC Model
(Solution Tree, 2018). Effective PLCs create a culture of learning and collaboration to ensure
that all students are achieving at highest levels (Solution Tree, 2018). This study focused on
elementary and middle school principals’ impact on Professional Learning Communities (PLCs)
in California public schools.
In this study, principal interviews and teacher surveys were examined to test the
combination of 2 theories: DuFour and Fullan’s Culture Built to Last (2013) with Fullan’s (2002)
The Change Leader. According to these theories, when principals focus on school culture and
utilize the practices and strategies brought forth by DuFour and Fullan, successful PLCs emerge.
In Cultures Built to Last, DuFour and Fullan (2013) presented PLCs as cultural change:
“Two things are true about cultural change: it is absolutely doable, but it is also undeniably
difficult” (p. 2) Fullan (2002) described principals as change leaders: “Our hypothetical Cultural
Change Principal would behave differently than most principals, even instructionally focused
ones. Yes, CCP would make it clear that student learning was paramount, and would monitor it
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 89
explicitly with all teachers” (p. 5). Fullan believed in order to start the change process, a
principal must have a moral purpose because this will lead all actions with the right intentions of
making a difference in the entire school community. Another key component is to build
relationships. This is a common factor to every successful change initiative. Fullan (2002) also
believed principals should create knowledge by building capacity and shared leadership, which
will strengthen the change:
Learning in the setting where you work, or learning in context, is the learning with the
greatest payoff because it is more specific (literally applied to the situation) and because
it is social (thereby developing shared and collective knowledge and commitments).
(p. 11)
Fullan (2002) also talked about coherence making, where effective leaders allow enough
flexibility while having non-negotiables that all must follow. The principal will then begin to
share best practices and strategies to facilitate the PLC process, which leads to teacher
commitment, trust, and willingness to collaborate without being afraid of failure or reprimand.
When these 2 areas are established, evaluating progress and success of PLCs will be evident by a
positive school culture and ALL students learning at high levels (DuFour & Fullan, 2013; Fullan,
2002).
Research Questions
Based on DuFour and Fullan’s Cultures Built to Last (2013) and the framework created
by the researchers, the following research questions were used to guide this study:
1. How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 90
2. What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
3. How do elementary and middle school principals impact the success of school PLCs?
4. How do elementary and middle school principals evaluate the progress and success of
PLCs?
The researchers were able to interview 3 Solution Tree presenters, 2 of whom were
administrators when their sites received exemplar status with Solution Tree. Presenters A, B,
and C have at least 20 years of experience in California public schools: elementary, middle, and
or high school. Presenter B was principal at a middle school in southern California when it
became a Solution Tree exemplar PLC school. This middle school has sustained exemplar
status. Presenter C was superintendent of a district in southern California that was recognized as
a Solution Tree exemplar PLC district. This district and many of its schools have also sustained
current exemplar status.
The 2 elementary and middle school principals interviewed currently lead public school
sites in California that are also recognized by Solution Tree as exemplar PLC schools. The
middle school principal had 17 years of experience as a principal at their sites. Teachers were
asked to voluntarily take an anonymous Likert scaled survey (see Appendix C). In all, there
were 14 elementary respondents and 26 middle school respondents to the anonymous teacher
survey. Following are the summary of findings and the implications asserted from these
findings.

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 91
Summary of Findings
Research Question #1
How are elementary and middle school principals in California public schools leading the
implementation of PLCs?
In his Framework for Leadership, Michael Fullan (2002) described 5 components that
principals should follow to be effective leaders in a culture of change. The 5 components are:
moral purpose, understanding change, relationship building, knowledge, and coherence making.
As the researchers analyzed the data, they noticed a common theme that was highlighted through
the principal interviews. The 5 leadership components Fullan (2002) described are
interdependent and cyclical. They are also specific to the various stages of the PLC process. For
example, when beginning the implementation of PLCs at a school, Fullan (2002) began with
moral purpose. DuFour and Fullan (2013) used the words moral imperative and “practicality
ethic” as synonyms to moral purpose. They believed that this is the “why” of everyone’s work.
Presenter B described his/her experience when he/she left his/her most recent experience at the
last school he/she was principal. Presenter B said, “I left, but the leadership team remained and
they knew why we were doing the work.” This is what DuFour and Fullan (2013) called a
systemic change. This type of change is done when there is a cultural change and people know
the “why,” or moral purpose of the work they do. Moral purpose had the highest elementary
teacher survey average with “strongly agree” (4.7).
“But moral purpose and good intentions are not enough” (DuFour & Fullan, 2013. p. 66).
After moral purpose is understanding change. “Moral purpose without an understanding of the
change process is moral martyrdom” (Fullan, 2002, p. 5). Both components are interdependent
and essential to lead effective PLCs. One of the major findings in understanding change is that
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 92
no single person should lead it alone. Presenter B stated that, “the research is abundantly clear, a
single person cannot transform an organization.” Middle School Principal B shared a similar
belief when he/she stated that “you can’t just do it [PLC] randomly or pick up a book and
implement it. You really need a support system.” Both the elementary and middle school
teacher survey results showed an average of 4.35, which means that they agreed with the
importance of a principal understanding the change process.
Fullan (2002) recognized the importance of building relationships in conjunction to moral
purpose and understanding change. “A cultural change principal works on the full range of
emotional intelligence domains, especially self-management of emotions, and empathy toward
diverse others” (Fullan, 2002, p. 8). Part of understanding change is having empathy towards
others to understand what others are feeling as this change is happening. Elementary Principal A
believed that relationships are built when principals are sitting in PLCs and are part of the team.
This is aligned to what Presenter C stated, “to be an effective leader, you have to be willing to
contribute and coach. Leaders need to humble themselves and ask for help.” The elementary
teacher survey reflected the importance of building relationships when implementing PLCs with
an average of 4.6, which means strongly agree.
Moral purpose, understanding change, and relationship building are the 3 components
that DuFour and Fullan (2013) believed creates a systemic change because they address a change
in the culture of the school. These 3 components set the stage to implement PLCs effectively.
Elementary Principal A and Middle School Principal B agreed that once a school has identified
their vision, values, and commitments that drives the rest of the work. Presenter B stated that
“once you agree that your mission is learning, all the things you are going to ask people to
commit to make sense.” This sets the culture conducive to PLCs. Although these 3 components
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 93
are essential to implement PLCs effectively, Elementary Principal A believed that principals
must revisit these components frequently. This is why Fullan (2002) described the components
as a cycle. There is truly not an end to this process.
Research Question #2
What are the best practices and strategies that elementary and middle school principals
are utilizing in leading effective PLCs?
Research question #1 focused more on the “why” for PLCs. Once people know why they
are doing the work, then it is time to move to the “what.” This is where best practices and
strategies that center around knowledge, creation and sharing, and coherence making come into
place. Middle School Principal B believed that “the most important factor is that you need to be
very well trained.” For this reason, at his/her school, everything they do is through Solution
Tree. This is where the knowledge about PLCs comes from. Presenter B believed that the
principals
need to be a lead learner so I am going to lead best practice, but I am not studying best
practice myself. I am not saying that as a leader you should have every answer, but at
least a relative glimpse of where I think the right things are going and research and
evidence to support that too.
The second part is sharing. Presenter C strongly believed that analyzing data together is
important. He/she encouraged conversations around data and sharing teaching strategies. Fullan
(2002) stated that knowledge creation and sharing is essential to effective leadership. He also
stated that “there are several deep insights here. One is that information only becomes
knowledge through a social process. This is why relationships and professional learning
communities are essential” (Fullan, 2002, p. 7). Fullan also stressed the importance of not only
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 94
building knowledge, but sharing it so that others can build knowledge too. Knowledge creation
and sharing need the 3 “why” components mentioned earlier: moral purpose, understanding
change, and relationship building. “It is easy to see why moral purpose will not go very far
without knowledge, but I am also saying that the knowledge society literally will not sustain
itself without moral qualities” (Fullan, 2002, p. 8). The elementary and middle school teacher
survey averaged “agree” with the importance of knowledge creations and sharing.
“Effective leaders must always work on connectedness or coherence-making” (Fullan,
2002, p. 8). Elementary Principal A believed that coherence making is done through specific
feedback to PLCs on a weekly basis. He/she believed this aligns everyone to view things
through the same lens. Middle school Principal B stressed the importance of following the
Solution Tree PLC rubric to hold everyone accountable for the different elements within the PLC
process. Presenter C believed that conversations should focus on essential points and strategies.
He/she also believed that people need to have “clarity about what kids are expected to learn.”
Although Elementary Principal A and Middle School Principal B viewed coherence making as
significant, the elementary teacher survey averaged 3.4. This means that elementary teachers
neither disagreed or agreed with this. The middle school teacher survey averaged slightly higher
with 4, which means that they agreed. Moral purpose, understanding change, relationship
building, and knowledge creation and sharing,
help forge coherence through the checks and balances embedded in their interaction.
Leaders with deep moral purpose provide guidance, but they can also have blinders if
their ideas are not challenged through the dynamics of change, the give and take of
relationships, and the ideas generated by new knowledge. (Fullan, 2002, p. 9).
Research Question #3
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 95
How do elementary and middle school principals impact the success of school PLCs?
When principals are held accountable, they have a greater impact on the success of their
schools especially utilizing the PLC process. A case in point is Presenter C’s experience with
his/her former district. The District began holding principal institutes where each site was
responsible for collecting and sharing specific data with their colleagues. Many principals rose
to the occasion and found the benefit of collaborating as a PLC with their peers. Those
principals who could not persevere through the process resigned or retired their positions. This
one act of forming principal PLCs made a huge impact for this district because it made principals
have first-hand experience of the process that they were asking of from their staff. Principals
Summits also addressed the 4 PLC questions for the district level. Presenter B emphasized, “It’s
important that the summit is open and transparent.” Presenter B also added that Rick DuFour
and Robert Marzano attended the summits and were impressed with the power of the summit.
DuFour and Fullan (2013) agreed, “Teachers and principals must also use this evidence of
student learning to inform individual and collective professional practice and to fuel continuous
improvement” (p. 15).
Presenter B had a similar experience with accountability. This time principals held
themselves accountable for student learning. As principal of a middle school in southern
California, he/she was looking for colleagues with whom to collaborate. After finding a few
people, together they set up their calendars to ensure they would meet. Presenter B shared,
4 or 5 of us principals, said we need to practice what we preach. If the district principal
meetings are not going to function that way, we’ll set up our own meetings and we
formed – at the time I was a middle school principal – so 5 of us middle school
principals, we said we are going to function as a professional learning community. We
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 96
are going to meet twice a month. We are going to set smart goals. We are going to
believe that every middle school kid is our kid. We chose some smart goals in the area of
reading, focusing on reading across every school, every kid.
These grass roots principal PLCs exemplify the 5 components asserted as principals’ best
practices and strategies. The school district and the middle school principals held a moral
purpose that they needed to do better for their students; and, they needed to be role models for
their teachers. These principals understood the change needed to become better leaders and
improve learning. Principals in Presenter B’s district went as far as leaving the profession
because they could not handle the change. Presenter C’s cohort brought themselves together and
made themselves build this relationship for the greater good of their students. Knowledge
creation was something each Presenter and their respective groups worked on. They knew their
goal of student success but they had to teach and learn for themselves the PLC process. And
then, they established goals every year, smart goals.
The elementary and middle school teachers surveyed both agreed with a Likert Scale
score of 4.3 that collegial relationships existed among staff that reflect commitment to school
improvement efforts. DuFour (2002) explained the importance of relationships and the
principal’s role with them: “. . . I found that the single factor common to successful change is
that relationships improve. If relationships improve, things get better” (p. 7). Principals again
lead the charge for change: “Thus leaders must be consummate relationship builders with diverse
people and groups — especially with people different than themselves” (Fullan, 2002, p. 7)
Middle school Principal B shared the coherency that is made during their PLCs. In order
to build this coherency, Principal B’s PLCs had non-negotiables. According to DuFour and
Fullan (2013), coherency begins with understanding the process of cultural change–how much
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 97
autonomy should the individuals have and how much shall be mandated? And then, we establish
goals every year, our smart goals. Middle School Principal B went on to say,
Every single professional learning community is designed the same. It really is a
structured process and it really has to be followed strictly; those are those non-negotiable
practices that DuFour had talked about. Every single meeting on the agenda we have
templates that we’ve all agreed on using and then we have a Google team drive so every
Department and PLC they post their agendas, their group norms, their smart goals, and all
the data along the way, they post that so that everybody has access.
DuFour and Fullan (2013) created the Tight/Loose dilemma.
How should leaders engage people in the complex process of cultural change? Should
they be right – assertive, issuing top down directives that mandate change? Or should
they be loose – merely encouraging people to engage in the change process, but leaving
participation optional? The challenge at all levels of the system is to navigate this
apparent dichotomy and find the appropriate balance between tight and loose, between
assertiveness and autonomy. If we know anything about change, it is that ordering
people to change doesn’t work, nor does leaving them alone. (DuFour & Fullan, 2013,
p. 33)
As Presenter A shared,
The principal is the person, let me put it bluntly, that can either make or break the PLC
process. The principal has authority to do certain things obviously along the lines of
ethics and also the contract that has been negotiated by the district. But I've never visited
a high-performing professional learning community that did not have a highly effective
principal. The principal has a lot of authority that can either strongly support this process
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 98
or strongly not support this process, right? Without an effective principal, without a
principal that understands this work, without a principal that understands the leadership
and this work, this work doesn't flourish throughout a school.”
Research Question #4
How do elementary and middle school principals evaluate the progress and success of
PLCs?
Principals evaluate the progress and success of PLCs through the relationships they
observe in the PLCs. Elementary Principal A found that their PLCs were successful when their
team members relied on each other, “When they can’t do their work without each other.”
Principal A continued to say that “the group pushes the group.”
According to DuFour and Fullan (2013), “Engaging in meaningful two-way dialogue
throughout the change process” (p. 19) is key to the progress and success of the PLC.
Elementary Principal A stated he/she “evaluated the progress and success of PLCs through team
conversations and engaging them in this dialogue.” Middle School Principal B discussed
looking at data and having conversations about struggling students every 3 weeks. Fullan (2002)
continued to assert that, “Building relationships is the resource that keeps on giving” (p. 7).
Implications for Practice
The more that large scale, sustainable educational reform becomes the agenda, the more
that leadership becomes the key.
In this article I will argue that the principal as instructional leader has been a valuable,
but too narrow a solution. Instead, the instructional focus must be embedded in a more
comprehensive and fundamental set of characteristics which I call “the principal as leader
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 99
in a culture of change.” I will also argue that to achieve the latter we must address the
even deeper matter of “leadership and sustainability.” (Fullan 2002, p. 1)
Elementary School Implications
Elementary School Principal A utilized all 5 components of Fullan’s (2002) Leadership
Components. Emphasis is placed on principals building trust and relationships with people.
“First it’s got to be people, because the adults on your campus are going to make the decision to
be a collaborative team every single day” (Elementary School Principal A) Elementary Principal
A continued to say, “But you have to continue to build, I think, as the leader constant change
with trust and relationships and culture so that the staff sees that this is working, it is a good
process, not in isolation, not doing things by myself.” This idea of building relationships is key
to PLC work. Trust is essential to the core of the change process and instrumental in the success
of the organizations (DuFour & Fullan, 2013). It’s important that PLC success is not going to
come from a book or template, but, from what the people on the site do together as a system.
Elementary Principal A continued to say,
Step back and take a look at trust and relationships and the interactions of the staff and
the people and if they all want that common goal and everybody is working towards that,
then it’s time to start PLCs and to go deeper.
Elementary teachers surveyed mirrored what Elementary Principal A shared with a Likert
Scale score of 4.6 of 5 (strongly agreed), Relationship Building scored second highest of Fullan’s
(2002) components. Moral Purpose was seen as the most important of the components according
to the middle and elementary teachers’ survey with a Likert score of 4.7 of 5 (strongly agreed).
The Moral Purpose shared by Elementary Principal A is “that common goal.” According to
DuFour and Fullan (2013), that goal is high levels of student learning.
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 100
Middle School Implications
Middle School Principal B focused the leadership implications on “understanding
change.” He/she stated that a “PLC is a professional learning community, so one of the most
important things as a principal is that you need to learn with your staff. You can’t come in and
know it all.” This is what Fullan (2002) referred to as a leader in a culture of change. “So when
you start out, you really need to go to all the trainings with them, sit down with them as a team,
as a leadership team” (Middle School Principal B). This goes hand in hand with building
relationships with the staff through the lens of understanding change. Middle School Principal B
believed that it is very important that everyone grows together. The middle school teacher
survey reflected that the highest average with 4.7 (strongly agreed) was relationship building. As
mentioned earlier, this is one of the components that sets the culture that leads to effective PLCs.
Similarities
Both Elementary Principal A and teachers and Middle School Principal B and teachers
through surveys or interviews viewed moral purpose, understanding change, and relationship
building as the top 3 components. The elementary and middle school teacher surveys reflected
that the lowest average was in the area of coherence making. Both surveys scored low in
agreement with the statements that decision making takes place through shared leadership and
communication, policies and programs are aligned to the school’s vision, stakeholders are
actively involved in creating high expectations that serve to increase student achievement, and
communication systems promote a flow of information across school community and with
stakeholders.
Differences
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 101
Middle School Principal B emphasized an understanding change, while Elementary
Principal A emphasized trust and building relationships. However, the middle school teacher
survey averaged “strongly agreed” in this area, while the elementary teacher survey averaged
“agreed.” Middle school teachers strongly agreed with the statement about recognizing and
celebrating outstanding improvement and achievement regularly at school.
Another difference observed was Elementary Principal A answered Research Questions
1-3 with statements related to Relationship Building. This emphasized the importance of
Relationship Building in (1) Leading Implementation, (2) Best Practices and Strategies, and
(3) Principal Impact on Success. However, he/she did not focus on Relationship Building when
answering Research Question #4 regarding Evaluating Progress and Success of PLCs. Whereas,
Middle School Principal B did not answer Research Questions #1-3 around Relationship
Building. He/she only emphasized Relationship Building for Question #4 regarding Evaluating
Progress and Success of PLCs. Researchers concluded that Relationship Building is viewed as a
process at the elementary level and as an evaluation tool at the middle school level. For
example, at the elementary level, relationship building is viewed as the principal sitting in PLCs
as a member of the team, having conversations around expectations, being a transparent leader to
build trust, and not micromanaging. At the middle school level, Middle School Principal B
viewed relationship building as a tool to determine if PLCs are effective. He/she observed the
relationships of team members. When they are relying on each other and can’t do the work
without one another, then he/she knows the PLC is effective.
Future Research
As a result of the research and findings presented, there are 2 ideas that the researchers
have identified for future studies. One idea for future research is to conduct a case study of a
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 102
school where the principal is using the data and recommendations presented in this research
paper and implement them with fidelity to see the level of impact on professional learning
communities at his/her school site. Fullan (2002) believed “that the principal of the future has to
be much more attuned to the big picture, and much more sophisticated at conceptual thinking,
and transforming the organization through people and teams.” Fullan also argued that the
principal is much more than an instructional leader and, therefore, must follow the 5 leadership
components he addresses: moral purpose, understanding change, coherence making, relationship
building, and knowledge. Conducting a case study on a principal beginning to implement PLCs
at his/her school site while adhering to Fullan’s (2002) leadership components would be valuable
to prove or disprove his theory.
Another idea is to examine the District’s role in the PLC process more in depth. Instead
of interviewing principals, the researchers would interview superintendents of districts with
model PLC schools and survey the principals of those schools. This data would be used to
determine the role of the school district in leading effective PLCs at their schools. By
conducting this research, districts who are attempting to implement PLCs district wide, would be
able to use it as a guideline to get started. “In effect, we are suggesting that being a systemic
PLC means that there is a change in the culture of the district. School and district leaders partner
to alter how they relate to each other” (DuFour and Fullan, 2013, p. 60). This would strengthen
the support system for PLCs to function effectively.
Summary

Being a public school principal in California is hard. There are so many books and
videos that give so much advice on how to successfully lead a school site and ensure students are
learning at high levels. What the researchers have found is that PLCs are very successful with
MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 103
providing a system and process for students learning at high levels and collaborative school
cultures. With so much to do, principals and school administrators would benefit from this
research because they could successfully implement or lead effective PLCs using the 5
definitive, successful strategies and practices shared by Fullan (2002), validated and defined by
DuFour and Fullan (2013). Presenter A described PLCs as the science of “our profession.”
He/she believed that if educators are not working as a professional learning community, it is
equivalent to malpractice. He/she also stated that educators have a moral obligation to do what
is best for students, not what is convenient for adults. This research showed that the principal
role is essential for the success of PLCs. “Without a strong leader who is not just an
instructional leader, but also a leader in a culture of change, PLCs will not flourish” (Presenter
A).

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 104
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MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 111
Figures

Figure 1. The Principal’s Role in Leading Effective PLCs

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 112

Respondent:

Leading
Implementation

Best Practices
and Strategies

Impact On
Success
Evaluating
Progress and
Success
Interview Q. 1 Interview Q. 2 Interview Q. 3 Interview Q. 4
Survey Q. 1-10 Survey Q. 11-18 Survey Q. 19-
26
Survey Q. 27-
32
Moral Purpose
Understanding
Change

Relationship
Building

Knowledge
Creation &
Sharing

Coherence
Making

Figure 2: Research Question Data Table

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 113
Appendix A: 21 Principal Leadership Responsibilities

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 114

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 115
Appendix B: Solution Tree Criteria for selection of a PLC Effective School

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 116

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 117

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 118
Appendix C: PLC Teacher Survey

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 119

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 120

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 121

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 122

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 123

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 124

MIDDLE SCHOOL PRINCIPALS’ IMPACT ON PLCs 125

Abstract (if available)

Abstract Elementary and Middle School students attending public schools in Southern California are not meeting State Standards. Data shows there is a significant achievement gap with English Language Arts and Math expectations. Schools that have effective Professional Learning Communities (PLCs) are addressing and closing these gaps. PLCs are a process that calls for adults learning together to improve student learning. Principals are the most important factor in implementing and sustaining effective PLCs. Principals lead structural and cultural change, build capacity in their teachers and PLC teams, cultivate positive relationships, and create a collaborative culture. The mixed-method research done for this study identifies the attributes of successful PLCs and the skills needed by the principals who lead them. The research findings are intended for all principals working with PLCs but has specific implications for elementary and middle school principals.

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Creator Vazquez, Krystal Guadalupe (author)

Core Title Middle school principals’ impact on effective professional learning communities in public schools in California

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 07/25/2019

Defense Date 04/01/2019

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

Tag collaboration,middle school,OAI-PMH Harvest,professional learning communities

Format application/pdf (imt)

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Advisor Castruita, Rudy (committee chair), Cash, David (committee member), Garcia, John Jr. (committee member)

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Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-191079

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