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Selecting the 21st century school principals: preparation, recruitment, and retention strategies

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Selecting the 21st century school principals: preparation, recruitment, and retention strategies

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Content Running head: SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 1
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS: PREPARATION,
RECRUITMENT, AND RETENTION STRATEGIES
by
William R. Avila
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

May 2020
Copyright 2020 William R. Avila
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 2
Dedication
This dissertation is dedicated to my wonderful wife Jamie and our amazing children,
Matthew and Marissa. Words cannot convey my appreciation and love for Jamie. I am grateful
for her love, patience, and support during this difficult season of our lives. I thank her for being
my support system as I went through this doctoral program and throughout my career. I thank
her for her assistance, encouragement, and guidance with the dissertation and defense process.
I am grateful to Matthew for his encouragement and sharing his special words that kept
me positive and moving forward. I thank Marissa for her encouragement, hugs, and helping me
practice for my defense. Both of them are very special; and they should remember that hard
work, dedication, and sacrifice pay off.
I thank my family for their patience over these past 3 years, and I hope to have made them
all very proud. I love you guys!
K-12 PUBLIC SCHOOL DISTRICT PRINCIPALS 3
Acknowledgments
I begin by recognizing my two colleagues: Angela Salazar and Richard Noblett. I have
enjoyed getting to know both of them over the course of the past 3 years as we worked on assign-
ments, projects, and experiencing the dissertation journey together. I will never forget carpool
adventures and our time on the campus. I am glad that we have arrived at this point and will be
graduating from USC with our doctorates. Fight on!
I would also like to thank Dr. Mendoza for his support and encouragement over the last 3
years. I appreciate his checking in and making sure that we stayed on track. I appreciate his
leadership, and I am glad to be part of his Baldwin Park Unified School District (BPUSD) team.
Next, I would like to thank my dissertation chair, Dr. Michael Escalante, for selecting me
to be part of his dissertation group. Dr. Escalante’s leadership, mentorship, wisdom, and
patience are unmatched. I am very appreciative of his guidance to get me to this point.
My dissertation committee was comprised of a fantastic array of individuals: Dr. David
Cash, Dr. Michele Doll, and Dr. Owen Crosby. Their guidance throughout the proposal and
defense processes was invaluable.
Finally, I would like to give special thanks to all of the members of our dissertation team.
They are a wonderful group of educational leaders who will all do great things for the field of
education. I wish them all the best.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 4
Table of Contents
Dedication 2
Acknowledgments 3
List of Tables 7
List of Figures 10
Abstract 11
Chapter One: The Problem 13
Background of the Problem 14
Statement of the Problem 15
Purpose of the Study 16
Research Questions 16
Significance of the Study 16
Assumptions 17
Limitations 18
Delimitations 18
Definition of Terms 19
Organization of Study 22
Chapter Two: Review of the Literature 23
History of the Principalship 24
Principal as Lead Teacher 24
Principal as Manager 25
Principal as Instructional Leader 27
Principal as the Leader of Learners 27
Diversity in the Principalship 28
Gender 28
Ethnicity 30
Preparation for the Principal Position 32
University Training Programs 32
Nonuniversity Training Programs 35
Licensure 37
Recruitment of the Principal 38
Principal Shortage 39
Superintendents’ Perspective 40
Principal Characteristics 42
Recruitment and Selection Process 42
Retention of the Principal 43
Factors that Impact Retention 44
Mentoring 45
Professional Development 46
Leadership Framework 47
Principal Leadership Frame 48
Organizational Leadership Frame 50
Instructional Leadership Frame 53
Conceptual Framework 56
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 5
Chapter Summary 57
Chapter Three: Research Methodology 58
Research Questions Restated 58
Research Design and Method 59
Qualitative Research 59
Why Qualitative Methods 59
Research Team 60
Population and Sample 61
Access and Entry 62
Instrumentation 62
Survey Protocols 63
Interview Protocols 64
Data Collection 65
Surveys 65
Interviews 66
Data Analysis 66
Validity, Reliability, and Trustworthiness 67
Ethical Considerations 69
Chapter Summary 69
Chapter Four: Findings 71
Study Participants 72
School District Profiles 72
Qualitative Interview Participants 73
Quantitative Survey Participants 76
Findings for Research Question 1 77
Experiences From OJT 78
Administrative Experiences 84
Mentors and Professional Network 89
Summary of Results for Research Question 1 91
Findings for Research Question 2 93
Networking and Mentoring 93
Possessing the Desired Qualifications 97
Knowledge of the District 102
Summary of Results for Research Question 2 104
Findings for Research Question 3 107
Mentoring and Professional Networks 108
Possessing Essential Skills 111
Developing Relationships 114
Work–Life Balance 117
Summary of Results for Research Question 3 119
Chapter Summary 120
Chapter Five: Summary, Implications, and Recommendations 122
Purpose of the Study Restated 123
Summary of Findings 124
Research Question 1 124
Research Question 2 125
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 6
Research Question 3 126
Limitations 127
Implications 127
Recommendations for Future Study 130
Conclusion 131
References 133
Appendices
Appendix A: Research Participants’ Invitation E-mail 149
Appendix B: Informed Consent 150
Appendix C: Principal Survey 151
Appendix D: Human Resources Administrator Survey 159
Appendix E: Immediate Supervisor of Principal Survey 163
Appendix F: Superintendent Survey 167
Appendix G: Principal Interview Guide 171
Appendix H: Human Resources Administrator Interview Guide 173
Appendix I: Immediate Supervisor of Principal Interview Guide 175
Appendix J: Superintendent Interview Guide 177
Appendix K: Question Alignment Matrix 179
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 7
List of Tables
Table 1: Summary of Participants Involved in the Qualitative Interviews and Their
Organization/Position 76
Table 2: Summary of Participants in Quantitative Surveys by Organization Position and
Rate of Response 77
Table 3: Responses Indicating That Prior Work Experience Was More Valued Than
University Training Program: Superintendents, Human Resources (HR)
Administrators, and Immediate Supervisors of Principals 82
Table 4: Responses Indicating the Importance of Having Teaching Experience for
Principal Preparation: Superintendents, Human Resources (HR)
Administrators, and Immediate Supervisors of Principals 82
Table 5: Responses Indicating the Importance of Having Teaching Experience for
Principal Preparation: Superintendents, Human Resources (HR)
Administrators, and Immediate Supervisors of Principals 83
Table 6: Responses Indicating That Prior Work Experience Was More Valued Than
University Training Programs: All Principals 84
Table 7: Responses Indicating the Importance of Having Assistant Principal Experience
for Principal Preparation: Superintendents, Human Resources (HR)
Administrators, and Immediate Supervisors of Principals 88
Table 8: Responses Indicating the Importance of Having Assistant Principal Experience
for Principal Preparation: All Principals 88
Table 9: Responses Indicating the Importance of Having a Mentor for Principal
Preparation: Superintendents, Human Resources (HR) Administrators,
and Immediate Supervisors of Principals 90
Table 10: Responses Indicating the Importance of Having a Mentor for Principal
Preparation: All Principals 91
Table 11: Responses Indicating That Informal Networks Assist With Principal
Preparation: Superintendents, Human Resources (HR) Administrators,
and Immediate Supervisors of Principals 92
Table 12: Responses Indicating That Informal Networks Assist With Principal
Preparation: All Principals 92
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 8
Table 13: Responses Indicating That Networking Serves as a Strategy for the Principal
Recruitment Process: Superintendents, Human Resources (HR) Administrators,
and Immediate Supervisors of Principals 96
Table 14: Responses Indicating That Networking Serves as a Strategy for the Principal
Recruitment Process: All Principals 96
Table 15: Responses Indicating That Mentoring Supports the Principal Recruitment
Process: Superintendents, Human Resources (HR) Administrators, and
Immediate Supervisors of Principals 98
Table 16: Responses Indicating That Mentoring Supports the Principal Recruitment
Process: All Principals 98
Table 17: Responses Indicating That Candidates’ Previous Experience Was Important
in the Principal Recruitment Process: Superintendents, Human Resources
(HR) Administrators, and Immediate Supervisors of Principals 100
Table 18: Responses Indicating That Candidates’ Previous Experience Was Important
in the Principal Recruitment Process: All Principals 101
Table 19: Responses Indicating That Having Instructional Experience Was Critical in
the Principal Recruitment Process: Superintendents, Human Resources
(HR) Administrators, and Immediate Supervisors of Principals 103
Table 20: Responses Indicating That Instructional Experience Was Critical in the
Principal Recruitment Process: All Principals 103
Table 21: Responses Indicating That a Candidate’s Understanding of the District Was
Important in the Principal Recruitment Process: Superintendents, Human
Resources (HR) Administrators, and Immediate Supervisors of Principals 105
Table 22: Responses Indicating That a Candidate’s Understanding of the District Was
Important in the Principal Recruitment Process: All Principals 105
Table 23: Responses Indicating That an Internal Candidate Was Important in the Principal
Recruitment Process: Superintendents, Human Resources (HR) Adminis-
trators, and Immediate Supervisors of Principals 106
Table 24: Responses Indicating That Being a District Employee Supported Candidates
With the Principal Recruitment Process: All Principals 106
Table 25: Responses Indicating That Mentoring Supports Principal Retention: Superin-
tendents, Human Resources (HR) Administrators, and Immediate Super-
visors of Principals 110
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 9
Table 26: Responses Indicating That Mentoring Supports Principal Retention: All
Principals 110
Table 27: Responses Indicating That Professional Networks Support Principal Retention:
Superintendents, Human Resources (HR) Administrators, and Immediate
Supervisors of Principals 112
Table 28: Responses Indicating That Professional Networks Support Principal Retention:
All Principals 112
Table 29: Responses Indicating That District Personnel Support Principal Retention:
Superintendents, Human Resources (HR) Administrators, and Immediate
Supervisors of Principals 116
Table 30: Responses Indicating That Relationships With District Personnel Support
Principal Retention: All Principals 116
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 10
List of Figures
Figure 1: The 21 responsibilities for effective leaders 54
Figure 2: Conceptual framework for study 57
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 11
Abstract
The principalship is a complex position that has evolved from its conception in the early 20th
century. Being an effective building manager was once the expectation for school principals; it
was previously thought that principals had to worry only about books, buildings, and buses. The
role of the principal has significantly changed as the demands and challenges of public education
have progressed. There is a critical need for highly qualified principals to fill current and future
vacancies. It is essential for aspiring and current principals to understand how to navigate the
complexities of the position. Future principals require proper training, understanding of recruit-
ment strategies, and essential skills to be retained in the principalship. This study examined the
preparation, recruitment, and retention of California K-12 school principals through interviewing
and surveying superintendents, human resources administrators, immediate supervisors of
principals, and current principals in 37 school districts. The data provided insight into their per-
spectives surrounding the preparation, recruitment, and retention of principals. The findings
noted that on-the-job training, administrative experience, and having mentors and professional
networks support principal preparation. In regard to recruitment, the data revealed that mentors
and professional networks, administrative and instructional leadership experience, and prior
knowledge of the district were important factors for the recruitment process of principals.
Finally, having mentors and professional networks, possessing essential skills, developing posi-
tive relationships, and maintaining a balance between work and personal life supported the
retention of principals. Based on the findings, future research could include an examination of
school districts that prioritize the work–life balance for their school principals and the effects on
student achievement, staff connectiveness, and other school culture indicators. An area for
further examination is comparing districts that have a partnership with a local university versus
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 12
districts that do not have such a partnership and then determining whether new principals are
better prepared to manage the complexities and challenges of the principalship.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 13
CHAPTER ONE: THE PROBLEM
School principals are often called the second most crucial in-school influencer of student
learning after the teacher (Fullan, 2014). Good school principals are essential and are the corner-
stones of good schools; without effective principal leadership, efforts to raise student achieve-
ment cannot succeed (DiPaola & Tschannen-Moran, 2003). Richardson, Watts, Hollis, and
McLeod (2016) found that there is an existing disconnect between what researchers have indi-
cated the job of the principal to be and what school districts have advertised as the need, desired
qualifications, and job requirements for the principal. The principalship is a complex position
that has evolved from its conception in the early 20th century. Being an effective building
manager was once the expectation for school principals; it was previously thought that principals
had to worry only about books, buildings, and buses. Later the principal’s duties evolved to his
or her ability to comply with district-level demands, to address personnel matters, to keep a
balanced budget, to keep hallways safe, and to ensure that the school community was happy.
Today, principals are being held accountable for continuous growth in student achieve-
ment, closing achievement gaps, decreasing dropout rates, and increasing college or workplace
readiness among disadvantaged students (Davis & Linda Darling-Hammond, 2012). During this
period of high-stakes accountability, these expectations placed on principals have increased to
create pressure to improve student outcomes. Fullan (2014) captured the dilemma facing 21st-
century principals:
The principal appears to have the worst of both worlds. The old world is still around,
with expectations that the principal will run a smooth school and be responsive to all;
simultaneously, the new world rains down on schools with disconnected demands,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 14
expecting that at the end of the day the school constantly should be showing better test
results and ideally becoming a learning organization. (p.157)
The role of the principal has significantly changed as the demands and challenges of
public education have progressed. There is a critical need for highly qualified principals to fill
current and future vacancies. Therefore, it is essential for aspiring and current principals to
understand how to navigate the complexities of the position. Future principals require proper
training, understanding of recruitment strategies, and essential skills in order to be retained in the
principalship. This chapter provides information regarding the background of the problem,
followed by the statement of the problem, the purpose of the study, and the three research ques-
tions that will guide the study. The chapter continues with a discussion of the significance of the
study and then proceeds to the limitations, delimitations, and assumptions of the study. It
concludes with a definition of terms and an overview of the organization of the dissertation.
Background of the Problem
The principalship is multifaceted, and many potential candidates do not recognize the
complexity of the position (Baker, Punswick, & Belt, 2010; Kavanaugh, 2005). Most principal
candidates hold the necessary prerequisites but do not have a thorough understanding of the
requirements of the job. Especially for new principals, who face a myriad of challenges stem-
ming from their need to assimilate to the school’s culture, to assessing the environment and
implementing strategies to improve student performance (Fairchild, 2012). The pressures of
accountability systems, expectations placed on principals, low compensation for high demands,
and the excessive amount of time required for the job have led to challenges in retaining success-
ful principals (Norton, 2002). The responsibilities of the principalship have become more chal-
lenging and complex due to decades of mandated reform, rapidly changing demographics,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 15
technological advances, and dwindling financial support for schools (Fullan, 2014; Hoyle &
Wallace, 2005; Marzano, Waters, & McNulty, 2005; Spillane & Lee, 2014).
Although many principals are successful in the position, the pipeline of aspiring princi-
pals with potential for success may be insufficient (Meyer & Feistritzer, 2003; Normore, 2006).
Research has shown that 1 in 5 principals left their school within 2 years and that many school
districts have reported a lack of qualified applicants (Pijanowski, Hewitt, & Brady, 2009). Given
the potential for an insufficient pipeline of principals as well as principals leaving the position,
further consideration must be given to principal preparation, recruitment, and retention. Prepar-
ing teachers to become new administrators requires a long-term investment in time, energy, and
attention in recruiting, selecting, and training (Browne-Ferrigno & Muth, 2008).
Statement of the Problem
The job of principals has become more complex and challenging over time, with the
roles, responsibilities, and expectations continually evolving since the inception of the position in
the mid-1600s (Brubaker & Simon, 1986). Districts must thoughtfully consider the proper prepa-
ration, recruitment strategies, and skill sets for ongoing retention and success in the position of
principal. Preparation programs, such as universities and nonuniversities, have made attempts to
train prospective principals to be recruited and successful in the position but may have fallen
short in their efforts (Barnett, 2004; P. F. Brown, 2006; Davis & Darling-Hammond, 2012; Hess
& Kelly, 2007; Jackson & Kelley, 2002).
Support for current principals, including networking, mentoring, and coaching, have also
contributed to most principals’ ongoing success in the position (P. F. Brown, 2006; Matthews &
Crow, 2003; Service, Dalgic, & Thornton, 2016); however, principal turnover still remains high
(Hull, 2012). Disparities in the recruitment and retention of female principals and principals of
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 16
color also exist and magnify the problem for these subgroups (Hill, Ottem, & DeRoche, 2016;
Hoff, Menard, & Tuell, 2006). These inadequacies signify an overall problem in principal prepa-
ration, recruitment, and retention.
Purpose of the Study
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K-12 school principals. While the most significant direct influence on
student achievement is the teacher, the second most critical influence is the principal (Fullan,
2014). It is important to identify the preparation and supports that principals must have in order
to meet the challenges and complexities of the principalship, as well as the support and retention
efforts that districts must use to keep principals in this crucial role.
Research Questions
The following research questions guided this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, human resources administrators, immediate
supervisors of principals, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
Significance of the Study
This study adds to the body of literature regarding the preparation, recruitment, and reten-
tion of K-12 school principals. The study provides the context of the evolution of the principal-
ship and the leadership skills, experiences, knowledge, and professional qualifications required
for a 21st-century principal. This study should serve to inform multiple stakeholders of the
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 17
qualifications and experiences to support the preparation, selection, and the retention of K-12
principals by providing new research-based data and various perspectives on the principalship.
This study provides useful information for aspiring and current principals, immediate supervisors
of principals, human resource administrators, and superintendents.
The findings in the study should benefit aspiring and current principals on the strategies
in the preparation, skills, and relationships that will support their principalship. This study is also
significant for aspiring and current principals who want to be successful and effective in urban
schools. Aspiring and current principals will examine the important role that the principalship
has in raising student achievement. The study explored and identified best practices and skills
that support the 21st-century principal in leading schools. This study should also inform princi-
pals of strategies to support success and longevity in their positions.
The findings in the study should benefit immediate supervisors of principals, human
resource administrators and superintendents to guide them with having a clear understanding of
what leadership skills effective principals must possess. The findings should provide insights
that will help them to better recruit candidates into the position and to retain principals. The
findings offer skills, qualities, and experiences to build principals’ capacity and evaluate princi-
pals’ performance. The evaluation of a principal is critical in ensuring that those charged with
leading a school exhibit behavior conducive to student learning and achievement (Davis &
Hensley, 1999).
Assumptions
The study worked under several assumptions:
1. That K-12 school principals had a clear understanding of what leadership skills they
must possess in order to be a 21st-century principal;
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 18
2. That superintendents play a vital role in selecting and hiring 21st-century principals;
3. That participants who were interviewed in this study provide accurate and truthful
responses to the survey questions; and
4. That the methods, tools, and procedures used in this study to collect and analyze data
were based on prior research and were therefore valid.
Limitations
The following limitations applied to the study:
1. The study was constrained by sample size; the researchers were unable to sample the
census of California K-12 school principals.
2. Only participants who completed the surveys were included in the study.
3. Participants interviewed were selected because they met the inclusion criteria.
4. The results of the study were limited only to the participants; the study was con-
strained by the time and resources used to collect data, which may have reduced generalizability.
5. The reliability of the survey and interview instruments may have affected the validity
of the study.
Delimitations
One delimitation of this study was that exclusively sampled principals were determined
as successful per their superintendents; principals who were not identified as successful by their
superintendents were not sampled. Participants in the study were all from urban school districts
in the southern California area. Although the researcher collected purposeful sample data, a
delimitation was that the researcher collected only a convenience data sample from California
K-12 principals, immediate supervisors of principals, human resource administrators, and
superintendents.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 19
Definition of Terms
For the purpose of this study, the following terms are defined based on the literature
reviewed:
Accountability: Refers to educational leaders being held responsible for student achieve-
ment results based on testing requirements mandated by federal and state laws.
Achievement: Refers to students meeting performance expectations on standardized tests.
Usually there is some cut-off level where a student is considered proficient or advanced on a set
of academic standards.
Achievement gap: Refers to the gap between the academic outcomes of different groups
of students. It is often used when comparing different racial subgroups, but it can also be used to
compare any group of students to another group based on common characteristics such as
nationality, income levels, and race.
Assessments: Refers to the use of standardized tests to measure student achievement.
Association of California School Administrators (ACSA): The largest umbrella organiza-
tion for school leaders in the United States, serving more than 17,000 California educators
(ACSA, 2019a).
Beginning or novice principal: Refers to a principal who has been in the principalship for
less than 4 years.
Change agent: Refers to a leader who challenges the status quo (Marzano et al., 2005).
Coaching: Refers to a task-oriented, performance-driven relationship with a focus on
increasing an individual’s specific skills.
Colleagues: Refers to peers who work in the same profession and are at the same level in
their job.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 20
Direct supervisor: Refers to a district office administrator who oversees the evaluation
and mentoring of a site principal.
Human resource personnel: Refers to administrators who are working in the human
resources department of a school district and who oversee hiring practices.
Job Description Index: Refers to a job satisfaction questionnaire developed by Bowling
Green State University (Balzer et al., 1997). It has five facets: Work on Present Job, Pay, Oppor-
tunities for Promotion, Supervision, and People at Work.
Job in General: Refers to a scale that provides a rating for overall satisfaction with a job.
It is used in conjunction with the Job Description Index (Balzer et al., 1997).
Job satisfaction: Refers to a general feeling or attitude toward the job (Brayfield, Wells,
& Strate, 1957).
Mentee: Refers to a person who is the “learner” in the mentoring relationship (Kerka,
1998).
Mentor: Refers to an individual who has experience and knowledge and works with
others to develop their skills (Cohen, 1995).
Mentoring: Refers to a relationship in which an experienced person provides guidance
and support to a less experienced person (Haney, 1997).
Opportunities for Promotion: Refers to a subcategory of the Job Description Index
relating to advancement possibilities within the organization (Balzer et al., 1997).
Pay: Refers to a subcategory for the Job Description Index that describes the monetary
compensation for the job.
Preparation program: Refers to a university, professional organization, or embedded
training that supports a principal candidate in obtaining the skills necessary for the principalship.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 21
Principal: Refers to a person whose main responsibility is to serve as the educational and
instructional leader of the school (Brayfield et al., 1957; Waters, Marzano, & McNulty, 2003).
Principal recruitment: Refers to the process or strategies used by aspiring principals to
obtain their first principalship.
Principal retention: Refers to the process or strategies used by a principal or district
personnel to support the retention of the position.
Principalship: Refers to a position of presiding rank, especially the head of an elementary
school, middle school, or high school.
Protégé: Refers to a person who is being mentored.
Purposive sampling: Refers to selecting participants based on specific characteristics.
School district: Refers to a local education agency that operates schools in a local geo-
graphic location.
Successful principals: Refers to principal who is currently employed in his or her position
for 2 or more years (C. Ng & Chiu, 2001; Watson, Hodgins, & Brooks, 2016; Young, Jacobson,
McCarthy, & Pounder, 2015).
Superintendent: Refers to the administrator or manager in change of multiple schools
within a school district.
Supervision: Refers to a subcategory of the Job Description Index that relates to the boss
or manager of the employees (Balzer et al., 1997).
Tapping: The informal process of current administrators identifying and encouraging
teachers with leadership skills to pursue administrative positions.
Work on Present Job or Present Job: Refers to subcategory of the Job Description Index
relating to the requirements and conditions of the job (Balzer et al., 1997).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 22
Organization of Study
This dissertation is organized into five chapters. Chapter One has provided an introduc-
tion to the study, the problem that the study was seeking to understand, the research questions,
the significance of the study, the limitations and delimitations, and the definitions of terms.
Chapter Two provides a review of the relevant literature to this research study. The chapter also
provides theoretical and conceptual frameworks that acted as lenses for the study. Chapter Three
presents the research study’s methodology, a description of the sample and the population, the
instrumentation, and the data collection and analysis procedures that were utilized for the study.
Chapter Four reports the study’s findings and how participants answered the study’s research
questions. Finally, Chapter Five provides a presentation of the study’s conclusions; future
implications; and recommendations for further research relating to 21st-century preparation,
recruitment, and retention of principals.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 23
CHAPTER TWO: REVIEW OF THE LITERATURE
Educational leadership plays a significant role in the improvement of schools across the
nation. School principals serve as the executive officer of school buildings. Davis and Darling-
Hammond (2012) noted that the importance of developing highly effective principals for Califor-
nia schools is a key component in meeting the state’s goals to educate every student. The role of
the principal has expanded significantly in the last few decades as accountability measures from
district and state mandates have increased the responsibilities required for the position (Kafka,
2009). The need for highly qualified principals is essential for school stability and success. The
current condition of education and the demands of the principal position have made the selection
of strong, prepared candidates a critical task. The roles and responsibilities of the principal have
changed as the demands of public education adjust to the needs of the time period.
This chapter provides a context of the relevant literature in the field of K-12 school
principals. The review of literature provides an understanding of existing concepts and findings
relevant to the study of the role of the principal. The first section of the chapter provides an
understanding of the historical context of the principal position and how the position has evolved
to its current state. The second section deals with the gender and cultural diversity related to the
principal’s position. The third and fourth sections discuss the preparation process to become a
principal and the recruitment of principals, respectively. The fifth section provides an under-
standing of the mentoring and coaching of principals. The sixth section deals with the retention
of principals. The final section reviews the theoretical and conceptual frameworks that provide a
foundation on which the research was conducted to examine the role of the principal.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 24
History of the Principalship
The role of the principal has evolved over the course of history, from its early conception
as a lead teacher to its current manifestation as a leader of teachers. This section provides an
overview of the distinct titles that the role of the principal has held during specific periods of
time: principal as a lead-teacher, principal as a manger, principal as an instructional leader, and
principal as the leader of learners.
Principal as Lead Teacher
During the time in American history from 1647 through 1747, there was a large influx of
British immigrants, and a formalized schooling program was designed to help children to assimi-
late to the American culture (Kowalski, 1998). During this time, Massachusetts enacted the first
school law that required a town of 50+ families to have an elementary school, and towns with
100+ families to have a Latin grammar school (Brubaker & Simon, 1986). This expansion in the
population resulted in the creation of more schools, subsequently resulting in the need for
individuals to support the school buildings. Brubaker and Simon (1986) provided a historical
perspective that noted how principal role emerged from that of a lead teacher in a one-room
school house; this position was also referred to as headmaster, rector, preceptor, provost, or
principal person. During the years 1747–1850, the terms used to describe the position were head
teacher and principal-teacher (Brubaker & Simon, 1986). This position was a full-time teacher
who also gave attention to developing routines, performing clerical duties, and providing onsite
supervision (Brubaker & Simon, 1986). As schools grew, the responsibilities of a principal-
teacher also expanded to include managing the complexities of growing, multigrade schools,
acting as supervisor of grades, keeping attendance records, acquiring and distributing supplies
and equipment, scheduling classes and the school day, maintaining the building, communicating
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 25
with adults in the community, and being the intermediary between teachers and the school board
(Brubaker & Simon, 1986). Principal-teachers did not receive any special training; the position
was given to someone who was efficient at performing routine clerical tasks and following the
commands of the school board (Brubaker & Simon, 1986). As the population continued to grow
in communities, so did the needs of schools. This process continued to increase the responsibili-
ties and duties performed by the principal, who was primarily as a manager of the school.
Principal as Manager
During the years 1850–1920, the concept of principal was described as a general man-
ager, an official liaison between the school and central office, and the supervisor of teachers
(Brubaker & Simon, 1986). The principal’s administrative duties consisted of 58.8% performing
clerical tasks, 23.5% organizing the school; 5.9% handling pupil personnel, and 1.8% maintain-
ing the care of the school plant (Brubaker & Simon, 1986). The principal was responsible for
conducting class observations, holding individual conferences with teachers, testing and measur-
ing, suspending students and preventing truancy, assuming the responsibility of hiring teachers,
and involving citizens in expanding curriculum (Pierce, 1935).
During the 1920s, the principal was responsible for supervision and monitoring teachers
in a democratic style, organizing curriculum, helping teachers with effective strategies, observing
teaching, making social contacts, and being actively involved in the community (Kavanaugh,
2005). Kavanaugh (2005) noted that these responsibilities and duties were performed without
any formal training provided to principals. During the 1930s, the principalship began to take a
scientific approach to manage schools as would a business executive. The principal was respon-
sible for administrative tasks; running the school using business principles for budgeting, mainte-
nance, and pupil accounting; and making informed decisions using current research (Kavanaugh,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 26
2005). During this period, students were seen as raw materials and schools as factories, and the
principal was responsible for running these factories efficiently (Knott & Miller, 1987). During
the 1940s, the principal as manager was responsible for preparing youth for productive living and
their role in society, providing supervision, developing cooperative curriculum and instruction
development practices, and facilitating shared decision making with teachers.
During the 1950s, the principal was responsible for the management of the school with
efficiency, task delegation, and organizational purposes. The principal began using empirical
data to support teaching strategies and to build staff capacity (Kavanaugh, 2005). During the
1960s, the principal as manager was expected to use scientific strategies to reach measurable
outcomes and to report to numerous groups with different wants and needs (Kavanaugh, 2005).
The principal was expected to be a powerful bureaucrat with a technical perspective (Kavanaugh,
2005). “Principals were concerned with the application and utilization of knowledge, with
assessment and accountability, and with performance and competence” (K. Brown, 2005).
During the 1970s, the principal as manager was seen as a humanistic community leader. The
principal had to wear many hats, juggle the needs of different stakeholders, develop mutual
respect, help teachers, be a team player rather than the boss, and focus on meaningful learning
(Kavanaugh, 2005). To address the needs of the school, the principal had to manage federally
funded programs related to compensatory education, bilingual education, and education for the
disabled. The principal served as negotiator in matters of union demands and teacher contracts;
he or she became more politically active and engaged in policy making (K. Brown, 2005).
During this period of time, the principal had to address the social problems taking place in
society (e.g., racial tension, substance abuse, teen pregnancy), which required the principal to
provide a wide array of remedies that pulled away from academic leadership (K. Brown, 2005).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 27
As a result of societal issues, the publication of A Nation at Risk (National Commission on
Excellence in Education, 1983) led to a period of extensive school reforms, from a top-down
approach to tightening educational standards, strengthening professional certification require-
ments, and increasing accountability (K. Brown, 2005). These issues led to the transformation of
the principal into an instructional leader.
Principal as Instructional Leader
During the 1980s, the concept of instructional leader emerged. The principal was seen as
a visionary with a mission and a plan—a change agent who solved problems and ensured school
effectiveness. The principal was directly involved in the teaching and learning process; he or she
increased student achievement and provided resources and professional development
(Kavanaugh, 2005). During the 1990s, the principal was seen as the leader of teachers who
developed strong ties between the school and community. According to K. Brown (2005), the
principal’s role reverted back to the image of “leader, servant, organizational architect, social
architect, educator, moral agent, and person in the community” (p. 111). The principal was
expected to be responsive to changing demographics—English language learners, cultural
diversity, children living in poverty, and students with disabilities—and be accountable to state
testing (Kavanaugh, 2005). In order to meet the diverse needs of students, the principal had to be
a transformational leader to effectively work with teachers.
Principal as the Leader of Learners
The principal during the 21st century is viewed as the leader of learners in the age of
accountability. He or she is the facilitator of the learning community, being accountable for
student performance in all subgroups on state tests, monitoring coverage of standards, connecting
instruction to prior knowledge and real-world experiences, and promoting student-centered
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 28
schools (Copland, 2001). The contemporary leader is expected to be a “superprincipal” (Copland,
2001). K. Brown (2005) explained:
In addition to being first-rate instructional leaders, principals are being exhorted to be
highly skilled building managers, outstanding human resource directors, and competent
negotiators. They are expected to be change agents and problem solvers who provide
visionary leadership, moral leadership, and cultural leadership while practicing transfor-
mational leadership, collaborative leadership, servant leadership, and distributive leader-
ship. (p. 29)
As the role of the principal has evolved, research has assisted in defining the essential
skills required to be a principal in the 21st century. A meta-analysis conducted by Marzano et al.
(2005) identified 21 key principal-leadership responsibilities needed to have a positive effect on
student achievement. These responsibilities were listed in order of correlation with student
achievement:
situational awareness; flexibility; discipline; outreach; monitoring/evaluating; culture;
order; resources; knowledge of curriculum, instruction, and assessment; input; change
agent; focus; contingent rewards; intellectual stimulation; communication; ideal/belief;
involvement in curriculum, instruction, and assessment; visibility; optimizer; affirmation;
and relationships. (p. 63)
Diversity in the Principalship
Gender
The position of principal has been dominated mainly by males throughout the course of
history. Watson and Normore (2017) provided a historical perspective on gender imbalance in
educational administration in the United States. Women are underrepresented in administrative
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 29
positions in elementary and secondary schools relative to their participation in the teaching force.
It was also noted that women comprise most of the elementary principal positions and that there
is a decreasing percentage of women in middle schools and even fewer in high schools. The
percentage of female principals increased steadily over the years in both middle and high schools
across all geographic locales (Watson & Normore, 2017). Despite this progress toward more
proportionate employment of women principals, the majority of female middle and high school
principals were in schools in large cities, mid-size cities, and large suburbs (Watson & Normore,
2017).
The lack of female educational leaders is not a result of a lack of formal education. From
2000 to 2009, women outnumbered men in college enrollment; in 2005, women outnumbered
men in every postsecondary degree category: associate, bachelor, master, doctoral, and profes-
sional (Marklein, 2005). In the 2007–2008 school year, the number of women exceeded men
who earned bachelor’s and master’s degrees, and women earned two thirds of all doctorates in
education (Sommers, 2008). Despite outnumbering men in educational leadership preparation
programs, advanced degrees have not resulted in more women becoming principals.
In 2010, the Oklahoma Department of Education (as cited in Kruse & Krumm, 2016)
conducted a study on access factors of females aspiring to become principals at the high school
level. The study revealed that the access factors affecting female first-time principals were
delayed entry due to family obligations, lack of confidence in formal education, lack of mobility,
lack of mentoring, and lack of networking to advance to the next level (Kruse & Krumm, 2016).
In addition, three broad factors that negatively impacted women from advancing in educational
leadership were their lack of insider status, fewer support structures, and the association of
leadership as masculine (Hoff & Mitchell, 2008).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 30
Hoff et al. (2006) examined the underrepresentation of women in leadership roles,
focused on the social and political impediments to women’s advancement, and examined the
extent to which women supported other women. Hoff et al. (2006) suggested the need for a
multipronged approach to correct gender inequities that were contributing to the shortage of
talented female school administrators. They recommended exploring gender issues and patterns
of discrimination as central themes within teacher preparation and educational leadership
courses; making conscious efforts within school districts to recognize and remove barriers that
limit women’s opportunities for access, acculturation, and advancement; providing genuine
support for women within professional associations; and raising the level of advocacy for women
by women (Hoff et al., 2006).
Positive influences that support women in career advancement toward educational leader-
ship included paternal support, peer support, self-esteem and confidence (Cubillo & Brown,
2003). Aspiring female principals should cultivate strong support systems, seek out mentors, and
strengthen their professional networks (Kruse & Krumm, 2016).
Ethnicity
The position of principal has been mainly dominated by White males throughout the
course of history. Data from the U.S. Equal Employment Opportunity Commission (EEOC) was
reviewed for 2002 and 2008 resulting in the identification of 419 multiethnic districts in 2002
and 638 in 2008 (as cited in Kerr, Miller, & Kerr, & Deshommes 2016). Results revealed a
widespread overrepresentation for White, non-Latinos among classroom teachers, assistant
principals, and principals. Kerr et al. (2016) pointed out that
on average Blacks and Latinos are underrepresented among classroom teachers; however,
the underrepresentation of Latinos is nearly double that of Blacks. Latinos are
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 31
underrepresented as assistant principals, principals, and administrators and have made
little progress to increase their percentage over time. (p. 472)
According to the U.S. Census Bureau (2016, as cited in Murakami, Hernandez, Mendez-
Morse, & Byrne-Jimenez, 2016), 39,250,017 people live in California and Hispanics comprise
38.9% of the population. In order to support students in increasingly diverse communities,
teachers and principals of similar backgrounds may be able to address particular students’
achievement gaps. Latinos represent a growing population among students across the nation, the
connection between students and principals becomes of significance, especially in order to
support historically underserved and underprivileged students. Murakami et al. (2016) noted that
the contributions of Latina/o educators and administrators in schools is significant when ac-
knowledging that Latina/o students represent the fastest growing ethnic group in U.S. schools.
Latino principals are able to understand the challenges often associated with Latino students and
their cultural and linguistic differences (Gonzalez, 1998). Tinez-Garcia (2015) noted that there is
a need for all school leaders to value the importance of ethnically representative leader-
ship in school and be willing to mentor the next generation of school principals and
administrators. Latino/a principals and administrators must take a proactive role in
starting organizations and providing networking opportunities in each state with large
Latino/populations. (p. 73)
Barriers that hinder Latino/a administrators from entering into the role of principal
include career doubt, questioning of leadership capacity, experiences with gender discrimination,
and district resistance to change (Fernandez et al., 2015).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 32
Preparation for the Principal Position
Principals, current and past, have been prepared through multiple avenues. These paths
have included an array from university training programs, nonuniversity training programs, and
informal mentoring and support through networking. Principal preparation and support programs
are essential components to the development of future principals. Thomas and Kearney (2010)
highlighted the importance of developing highly effective principals for schools and noted that
no single agency or organization has the capacity to provide the full range and quality of profes-
sional learning required by principals. However, many aspiring principals are not fully aware
that the process of becoming a principal involves both professional training and engaging in a
personal transformation (Browne-Ferrigno & Muth, 2008). Developing effective school princi-
pals requires a collaborative approach between universities and school districts (Browne-
Ferrigno & Muth, 2008). This approach suggests that universities should provide formalized
coursework while school districts provide ongoing professional learning, support, and coaching
(Browne-Ferrigno & Muth, 2008).
University Training Programs
University training programs serve a key role in the preparation and development of
principals to lead schools. According to the literature, university administrative training programs
have emerged out of the growth of the public education system. The first college-level course in
school administration was taught at the University of Michigan in 1879, and more began to
develop in the early 1900s (Murphy, 1994). During this period, formal training for administra-
tion included some basic pedagogy, school management, and the search for the ideal education
(Murphy, 1998). There was not an assigned a course of study that led toward earning a license
(Murphy, 1998).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 33
By the end of World War II, 125 institutions were actively engaged in preparing school
administrators (Silver, 1982). Many states began requiring formal coursework in preparation
programs in educational leadership for administrative positions (Murphy, 1998). The concept of
the principal as the scientific manager emerged, and university-based leadership programs
emphasized managing schools as if they were businesses (Murphy, 1998). The Department of
Education at the University of Chicago formed the National Organization of Elementary School
Principals (NAESP), which stimulated interest and allowed for the opportunity to examine the
principal position (Brubaker & Simon, 1986). Soon after, the organization began publishing
journals highlighting the professional activities of principals. This information provided guid-
ance on where principals should focus their time and attention (Brubaker & Simon, 1986). In
1949, Ralph Tyler, Professor of Education at the University of Chicago, published Basic Princi-
ples of Curriculum and Instruction (Tyler, 1969) which has been referred to the “bible” of cur-
riculum planning and development (Brubaker & Simon, 1986). Brubaker & Simon (1986) noted
that this book served as “a map that promised control, order, and predictability—basic elements
of ‘scientific’ management” (p. 9).
Principal preparation programs play a critical role in preparing future leaders. However, a
major theme in the research is the belief that traditional methods of training school principals are
no longer sufficient to meet the demanding needs of the principalship. Much of the literature
indicates that university leadership programs might not be equipping their charges for this new
role (Hess & Kelly, 2005a). Many principal preparation programs focus primarily on a myriad of
administrative competencies and devote little attention to learning, curriculum, and professional
development (E. Fink & Resnick, 2001). The book by Darling-Hammond, Meyerson, LaPointe,
and Orr (2010) examined eight exemplary pre and inservice principal development programs
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 34
across the United States. The authors noted the inadequate preparation of school leaders and the
variation of principals’ access to high-quality learning opportunities before and during their
administrative career. The role of the principal has changed, and preparation programs are
shifting their focus from creating efficient managers to developing leaders who improve student
achievement (Olson, 2007).
The literature has established links between the principal’s instructional leadership and
student achievement (Marzano, Waters, & McNulty, 2005), and high-performing schools are
headed by principals who act as instructional leaders (Backor & Gordon, 2015). In order to
employ instructional leadership skills and capabilities, principals need effective leadership devel-
opment programs (Backor & Gordon, 2015). It is recommended that traditional principal prepa-
ration programs place a greater emphasis on developing instructional leaders. For this to occur,
faculty members must have expertise in this area (Backor & Gordon, 2015). Young and Brewer
(2008) noted that there are approximately 450–500 university programs across the nation offering
principal leadership preparation programs, including master’s (472 learning institutions), special-
ists’ (162 institutions) and doctoral (472 institutions) degrees. There are efforts to study, revise,
and improve principal preparation and professional development programs and to place a greater
emphasis on hands-on internship experiences, thematically integrated curricula, problem- based
instruction, and closer partnerships with school districts (Darling-Hammond, Meyerson,
LaPointe, & Orr, 2007). In order to prepare principals for the challenges facing 21st-century
schools, some universities are incorporating opportunities for shadowing successful principals—
receiving mentoring, and gaining practical experiences.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 35
Nonuniversity Training Programs
In addition to university training programs, there are many nonuniversity training
programs that prepare principals. Zubnzycki (2013) asserted that a growing number of principal
preparation initiatives are forsaking university classrooms in favor of alternate-route principal
preparation programs. The state of Texas permits organizations other than universities to
develop principal preparation programs that are aligned with state standards but tailored to the
potential leader’s needs (Hess & Kelly, 2007). Professional organizations, district-based
programs, and principal academies are examples of alternative preparation programs that are
being utilized to support aspiring principals.
The ACSA (2019a) is the largest umbrella organization for school leaders in the United
States. The National Association of Secondary School Principals (NASSP; 2019) is the leading
organization for secondary principals and other school leaders across the United States. “NASSP
seeks to transform education through school leadership, recognizing that the fulfillment of each
student’s potential relies on great leaders in every school committed to the success of each
student” (NASSP, 2019, para. 1). The NASSP provides principals with professional, research-
based and peer-tested resources and practical tools to support school leaders (NASSP, 2019). The
California Association of Latino Superintendents and Administrators (CALSA; 2019) is a pro-
fessional association of diverse educational leaders skilled in addressing the needs of Latino/a
students and dedicated to increasing the number of highly effective Latino/a administrators.
Each of these professional organizations can provide preparation for aspiring principals to
increase their knowledge and experience prior to entering the role of principal.
District-based programs serve as an additional pathway for principal preparation. This
type of program provides practical curriculum focused on real-time experiences that are aligned
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 36
with the particular needs of the district (Hess & Kelly, 2005b). In most cases, districts will
partner with an educational group to develop a “grow-your-own” strain and draw candidates from
within the district’s teaching ranks (Hess & Kelly, 2005b). The Urban Leadership Development
Program in Toledo, Ohio, is a partnership with Toledo public schools and the Toledo Association
of Administrative Personnel; classes are held twice a week after the close of school day (Hess &
Kelly, 2005b). District-based programs create a pathway for districts to develop future leaders
within the organization, and the Toledo public schools are an example of an organization that is
investing in their future leaders.
Principal Academies serves as another pathway for principal preparation. The ACSA
(2019b) offers a Principals Academy that is designed
to build the capacity of the next generation of principals to become transformational
leaders who can identify critical paradigm shifts, create a guiding and unifying vision
through inspiration, and execute essential change with site staff. The intensive academy
focus is on developing and refining applied leadership and management skills required of
principals at the elementary, middle grades and high school levels within the context of
local control accountability planning and the Local Control Funding Formula (LCFF).
(paras. 1–2)
The California State Polytechnic University, Pomona (2019), and the Pomona Unified
School District have partnered for 5 years under a federal grant entitled Great Leaders for Great
Schools Academy (GLGSA):
In developing a Community of Leaders, the focus of the Preliminary Administrative
Service Credential program includes a thematically integrated, problem- based curricu-
lum focused on real-world problems and issues and the application of relevant academic
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 37
theories and concepts. The curriculum is designed to leverage the workplace through
fieldwork and a school-wide change initiative project as a key medium for leadership
development by providing learning activities designed to confront students with problems
and their solutions. (para. 1)
Principal preparation is essential for aspiring and new principals, and there are several
program options for individuals to consider. However the research suggests that there is little
evidence that principal academies, district-based programs, or innovative education school
programs are making significant impacts for future leaders (Hess & Kelly, 2005b).
Licensure
The professional standards for administrators began to emerge from various national and
state professional organizations. Many states have adopted or adapted licensure and accredita-
tion policies based on the standards for school administrators developed by the Interstate School
Leaders Licensure Consortium in 1996 and later revised in 2008 (Fry, O’Neill, & Bottoms,
2006). However, not all states have completely aligned their professional standards with princi-
pal preparation programs, licensure requirements, and evaluation systems (Davis, 2010). The
licensure and certification processes are different for each state. In California, the California
Commission on Teacher Credentialing (CCTC; 2018) requires candidates to possess a Prelimi-
nary Administrative Services Credential and a prerequisite teaching credential, per one of the
following:
• A valid California teaching credential along with at least a bachelor’s degree
• A valid California Designated Subjects Teaching Credential, along with at least a
bachelor’s degree
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 38
• A valid California Pupil Personnel Services Credential, Teacher Librarian Services
Credential, Speech-Language Pathology Services Credential, Clinical or Rehabilitative
Services Credential, or a School Nurse Services Credential (Clear or Professional
Clear level only), along with at least a bachelor’s degree and completion of a program
of professional preparation (p. 3)
The Preliminary Administrative Services Credential is valid for 5 years and must then be con-
verted to a Clear Administrative Services Credential. Educational requirements for the Clear
Credential include completing one of the following:
• An individualized program of advanced preparation in cooperation with your
employer and the program sponsor
• A State Board of Education-approved Administrator Training Program
• A Commission-approved alternative preparation program, or equivalent examination
or experience (CCTC, 2018, pp. 1–2)
The next section provides context for principal recruitment, including information
regarding the principal shortage, superintendents’ perspective, principal characteristics, and the
recruitment and selection process.
Recruitment of the Principal
Given the substantial evidence establishing the impact of school leadership on student
outcomes, there is a need to investigate how to recruit and retain administrators. Recruiting and
retaining effective school leaders is essential for student success (Farley-Ripple, Raffel, &
Welch, 2012). The inability to attract candidates to the position of assistant principal or principal
is becoming a growing concern (Educational Research Service, 2000; Pounder & Merrill, 2001;
Shen et al., 2004). It is recommended that school districts establish partnerships with universities
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 39
to develop future administrators and “grow-their-own” candidates and to recruit from within the
organization (Whitaker & Vogel, 2005). District-based administrators are reporting that less than
50% of candidates meet the minimum requirements to take on the principalship (Pijanowski et
al., 2009; Whitaker, 2001) and there is declining interest in the principalship, (Gajda & Militello,
2008; Pijanowski et al., 2009), thus causing concerns to help districts to successfully identify and
recruit quality candidates to lead schools. Pijanowski et al. (2009) and Thomson, Blackmore,
Sachs, and Tregenza (2003) suggested that school districts develop their own internal pipeline of
future leaders through meaningful leadership opportunities to develop the essential skills re-
quired to make a smooth transition into the principalship.
Principal Shortage
The research indicates that a large number of individuals leaving administrative positions
and districts are experiencing challenges in replacing this position with qualified candidates
(Hine, 2013). A report by the Thomas B. Fordham Institute (2003) noted that 40% of the 92,000
public school principals in America are eligible to retire in the next 4 years, and in many districts,
67% would reach retirement age by 2010 (Hine, 2003). Cushing, Kerrins, and Johnstone (2004)
contended that there is no shortage of credential educators in California, but rather not enough
applicants for administrator positions.
Factors that are contributing to the principal shortage include the changing role of the
principal in site management; increased accountability; the tension between management and
leadership; altered relationship with the community; and increased financial, personnel, and site
responsibilities, coupled with pressure to focus on professional matters such as curriculum
(Whitaker, 2003). These pressures in the principalship have left teacher leaders reconsidering
entering into administration (Whitaker, 2003). Enhanced expectations in accountability in
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 40
student achievement remain at the forefront of principal responsibilities. This pressure is
heightened when many states label schools and school districts as “high performing” or “low
performing” via school report cards (Whitaker, 2003).
Furthermore, salary and conditions, lack of role definition, excessive responsibility, lack
of professional development Whitaker, 2003), stress levels, longer work days and years, and high
public expectations (Sandham, 2001) all contribute to reasons that educators are reconsidering
entering into the role of principal. A study conducted by the Montana School Boards Association
(1999, as cited in Whitaker, 2001) indicated a major reason cited by individuals for not pursuing
the principalship was the salary not being commensurate with the responsibilities of the position.
Principal salaries are becoming a point of discussion by more school boards and policymakers
(Whitaker, 2001).
A recent study conducted by the Educational Research Service, the NAESP, and the
NASSP (as cited in Whitaker, 2003) indicated that half of the school districts surveyed reported a
shortage of qualified candidates to fill principal positions at all types of schools (rural, urban,
suburban) and school levels (elementary, middle, high school). Despite studies by individual
states indicating that the supply of individuals who have completed a principal licensure program
exceeds the number of administrative job openings, many of these potential principals are not
applying for principalships (Whitaker & Vogel, 2005). The demands of the principalship, work
overload, and salary issues are influencing candidates from reconsidering pursuing the principal
position.
Superintendents’ Perspective
Superintendents are faced with the challenge of seeking qualified individuals to lead
schools in the district. “A Public Agenda Foundation survey of superintendents found that nearly
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 41
50% are unhappy with the current ability of their principals” (Farkas, Johnson, Duffett, &
Foleno, 2001, p. 11). In the recruitment of principals, superintendents play a key role in the
selection of principals. Cray and Weiler (2011) noted that superintendents should have a wide
range of knowledge that includes an understanding of instructional best practices and functional
use of personnel management strategies.. According to Public Agenda (2001, as cited in
Whitaker, 2003), 40% of superintendents felt their district was facing a shortage, although 61%
of urban superintendents reported an insufficient supply of principal candidates. Hine (2003)
noted that superintendents are more interested in principals who possess strong leadership
attributes rather than management skills. Superintendents desire candidates who can effectively
lead and motivate their colleagues and sustain accountability for results (Hine, 2003). Roza et al.
(2003) acknowledged this difficulty and stated that “superintendents are alarmed about the need
to find good principals because they are worried about student achievement and convinced that
schools need new and better leadership” (p. 40). A survey of 200 Wisconsin superintendents
revealed that “communication,” “culture,” “outreach,” “focus,” and “visibility” were the five
most important criteria used in principal selection (Rammer, 2007).
Pijanowski et al. (2009) recommended critical actions that school districts and superin-
tendents can take to attract candidates to the principalship. The first action is to identify individu-
als with administrative credentials and provide leadership opportunities for them to develop the
skills needed to step into future principal positions. The second action is to develop and maintain
positive relationships with higher education institutions with quality leadership programs that can
provide a source of future candidates. The third action is to hire less experienced candidates who
may require additional preparation but would be further from retirement and thus remain in the
position longer. The final action is supporting principals with reducing the amount of paperwork
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 42
required for the position and providing on-the-job experiences for potential candidates (Pijanow-
ski et al., 2009).
Principal Characteristics
At both the national and state policy levels, principals are being held accountable for the
continuous growth in student achievement, closing achievement gaps, decreasing dropout rates,
and increasing college or workplace readiness among all students (Davis & Darling-Hammond,
2012). Hine (2003) noted that “research over the past two decades has indicated that successful
schools are managed by talented, dynamic and focused administrators who are effective in col-
laborating with students, educators, parents, and community members to achieve shared goals”
(p. 266). School principal are responsible for developing a vision of learning, building a school
culture, promoting positive teaching and learning environments, establishing high expectations
for students and staff, and implementing a instructional program that is conducive for all pupils
(Hine, 2003; Palmer, 2017). Waters, Marzano, and McNulty (2004) identified 21 leadership
responsibilities essential for school leadership that had a positive impact on student achievement.
In Wisconsin, superintendents used these 21 leadership responsibilities to assess candidates
during the principal selection process (Rammer, 2007). Rammer (2007) suggested that superin-
tendents use interviews to assess those traits. Today’s 21st-century principal should be an
effective leader, a lead learner, and a change agent for students and staff they lead (Fullan, 2014).
Recruitment and Selection Process
Effective recruitment and selection of school leaders continue to be one of the more chal-
lenging human resource functions (Pounder & Young, 1996). The definition of selection is
choosing the most suitable applicant for vacancies, while recruitment is attracting suitable appli-
cations so that the most suitable person may be selected for the position (MacBeath, Oduro,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 43
Jacka, & Hobby, 2006). The recruiting process is key to selecting the appropriate candidate to
lead the school.
Ash, Hodge, and Connell (2013) identified 10 steps to effective recruitment and hiring of
principals. During the prescreening process it is critical to (a) identify and train community
committees that understand the needs of schools; (b) identify both the required and preferred
qualifications for the principals; (c) post the vacancies; (d) use networks; (e) keep applications
organized. During screening and interviewing it is critical to (a) conduct initial screening and
prioritize, interview, reference check; and (b) use interview questions that cover the standards.
During follow-up it is necessary to (a) visit the candidates in action, (b) do cabinet screening, and
(c) make selection of cabinet.
In the United Kingdom, the National College for School Leadership designed a seven-
stage process for recruitment, selection, and appointment process for principals (Walker &
Kwan, 2012): (a) preparation, (b) definition, (c) attraction, (d) selection, (e) appointment, (f)
induction, and (g) evaluation (Hay Group, 2006). The next section provides a context for princi-
pal retention, including information regarding factors that impact retention, mentoring and
coaching of principals, and professional development.
Retention of the Principal
There is empirical evidence that demonstrates that principals have an impact on schools,
teachers, and student achievement (Farley-Ripple et al., 2012). Principal retention affects student
achievement, interrupts programs, and creates low teacher morale and the development of school
cultures that become resistant to change. Schools in America experience a new principal every 3
to 4 years, while schools average 2.8 principals in 10 years. The retention of principals has a
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 44
significant impact on schools, which affects teacher retention, teacher quality, and the stability to
improve working conditions (Farley-Ripple et al., 2012).
Fuller and Young (2009) examined principal retention in Texas during the period of 1996
through 2008, and one of their seven findings noted that principal tenure and retention rates
varied across school levels. Elementary schools had the longest tenure and greatest retention
rates, while high schools had the shortest tenure and lowest retention (Fuller & Young, 2009).
Another finding asserted by the researchers was that principal retention rates are heavily influ-
enced by student achievement; the lowest achieving and high-poverty schools have the shortest
tenure (Fuller & Young, 2009). Principal turnover creates a constant revolving door of new
principals who need time and opportunity to hone and develop their skills to become experienced
school leaders (Fuller & Young, 2009).
Factors that Impact Retention
Accountability pressures placed on principals to increase student achievement quickly
and dramatically have significant effects on stress levels (Fuller & Young, 2009). Fuller and
Young (2009) noted that principals felt that they were asked to make immediate gains in student
achievement without the tools and time needed. Furthermore, the complexity and intensity of the
principalship affect principal retention. The role of the principal has increased in complexity,
difficulty, and has become extremely stressful (Fuller & Young, 2009). Schools are becoming
more diverse, and principals are expected to address the needs of all students: “Principals are
now expected to be business managers, instructional leaders, community engagement experts,
data analysts, and even marketers for the school” (Fuller & Young, 2009, p. 18). Principals’ dis-
satisfaction with central office personnel, lack of resources, and lack of mentoring and support
were cited reasons why principals left the principalship (Fuller & Young, 2009).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 45
Mentoring
The retention of principals is a significant concern in schools across the nation; each year
12% of the nation’s 118,400 principals leave the profession, while 6% move to other schools
(U.S. Department of Education, National Center of Education Statistics, 2012). These vacancies
are filled by principals new to the field or new to the school (Sciarappa & Mason, 2014). The
mentoring of principals can be an effective strategy to provide support to new and aspiring prin-
cipals. As the expectations and pressures on the principalship continue to increase, there is a
need to develop and foster meaningful mentoring opportunities to help inexperienced principals
(Daresh, 2004). Aiken (2002) conducted a study of mentor programs for principals that consisted
of 12 highly regarded principals who completed a mentor process. The study identified the
important function that mentors played in helping to demystify to the role of principal when
working collaboratively and reflectively. The mentoring process focuses on the exchange and
transmission of acquired knowledge, with researchers concluding that mentorship and network-
ing promoted greater growth (Daresh, 2004). Elements of effective mentoring programs included
networking opportunities, time for self-reflection, socialization, feedback, encouragement of risk
taking, and reflective practice (Daresh, 2004). Ninety-six percent of current principals reported
that on-the-job experiences and support from peers was far more beneficial than academic studies
(Farkas, Johnson, & Duffett, 2003).
Johnson and Christensen (2014) conducted a study where current and former principals at
all levels were interviewed regarding their experiences and found the greatest strength was being
linked with a mentor relationship. Syed (2015) pointed to the Learning Partners Program in New
York City, which coordinates a mentoring program for principals. The Learning Partners
Program connects veteran principals with two or more principals. Syed found that the program
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 46
could create a systematic method for experienced principals to share best practices and to sustain
a positive learning culture through ongoing support and guidance. Principal mentors play a posi-
tive role in developing and supporting new principals through assisting in developing manage-
ment skills, improving their confidence, and establishing their role as instructional leaders
(Bloom, Castagna, Moir, & Warren, 2005).
Professional Development
In order to support the retention of principals, ongoing professional learning is critical to
build principal capacity and to support the success of the school. Effective school leadership and
management do not come natural to all principals; school principals must undergo professional
learning (Hussin & Al Abri, 2015). P. T. Ng (2015) suggested that training opportunities must be
provided to principals to support their job performance. Darling-Hammond and McLaughlin
(1995) described professional development as the process whereby individuals develop their
understanding and knowledge, and improve their skills and abilities. Professional development
can support principals with being instructional leaders to support teaching and learning in class-
rooms. The Institute for Educational Leadership (2000) asserted that principals play a crucial
role in working with teachers to strengthen their teaching skills.
Salazar (2002) provided an analytical model for professional development needs of
school principals that comprised of 15 domains:
• Setting goals and determining outcomes for the school, teachers, and students
• Designing, implementing, and evaluating the school curriculum
• Building teacher professionalism and skills
• Understanding measurement, evaluation, and assessment of school performance
• Understanding students’ development and learning
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 47
• Acquiring problem-solving skills as a school leader and manager
• Acquiring decision-making skills through sharing with teachers and students
• Acquiring research skills for understanding issues and problems in the school
• Mastery in Information and Communication Technology (ICT) utilization
• Defining core values and beliefs in the school community
• Creating a learning organization for making new changes in the school
• Building team commitment among teachers as professionals
• Building teamwork skills among teachers of different specializations
• Mastering effective communication skills in leadership
• Resolving conflicts, developing good relations and positive school culture (p. 29)
The 15 domains are separated into two categories, the first pertaining to instructional
leadership and the second to transformative leadership (Salazar, 2002). The instructional leader-
ship focuses on curriculum implementation that involves instruction and learning (McEwan,
2002), whereas the transformational leadership focuses on influencing, inspiring, and motivating
teachers and parents to work collaboratively to improve schools (Leithwood & Jantzi, 1999).
Continuous professional learning is critical for principals to develop the essential skills and
knowledge necessary to positively impact schools and support retention in the principalship.
Leadership Framework
Leadership is an essential component for school principals. For Bolman and Deal (2013),
leadership is relational and contextual, which is a different approach from traditional perspective
of leading with position and power. Leadership is about risk-taking, challenging the status quo,
setting new directions, and building new relationships and structures (McGowan & Miller,
2001). Bolman and Deal (2002) identified five key qualities: focus, passion, wisdom, courage,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 48
and integrity—all of which are essential to move the organization forward toward the vision.
Principals as educational leaders have the fundamental obligation to address the needs of students
and work with staff to improve student achievement. A variety of leadership frameworks could
have been utilized around this topic; however for this study, the researcher used the following
three: Fullan’s (2014) The Principal; Bolman and Deal’s (2013) four frames; and School Leader-
ship That Works by Marzano et al. (2005). Leadership is at the core of the principalship, and
these leadership frameworks served as a lens for the researcher in this study.
Principal Leadership Frame
A theoretical lens used to inform the study is Fullan’s (2014) The Principal: Three Keys
to Maximizing Impact. Fullan described how and why the principal’s role must change to maxi-
mize student achievement. Fullan asserted how principals’ responsibilities have significantly
increased over the past 2 decades; principals are expected to “run a smooth school; manage
health, safety, and building; innovate without upsetting anyone; connect with students and teach-
ers; be responsive to parents and the community; answer to their district; and above all, deliver
results” (p. 188). Fullan also described four wrong drivers to create change: accountability,
individualistic solutions, technology, and fragmented strategies that should not be the focus for
change. However, the greatest impact to student achievement relies on the principal being an
instructional leader. If principals are expected to maximize their impact on learning, the princi-
pal’s role must be to reposition as an overall instructional leader (Fullan, 2014). Fullan’s frame-
work focuses on three keys: leading learning, being a district and system player, and becoming a
change agent. The first key, leading learning, focuses on the principal’s role to lead the school’s
teachers in a process of learning to improve teaching practices while learning alongside teachers
about what works and what does not. In this role as a learning leader, the principal must model
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 49
learning opportunities and create “the conditions for all to learn on a continuous basis” (Fullan,
2014, p. 9). Robinson (2014) concluded in a book titled Student-Centered Leadership that five
leadership domains had significant effect sizes, the highest being “leading teacher learning and
development” (p. 86) with an effect size of 0.84. Over the course of history the principal’s role
has evolved, and the 21st-century principal’s critical role is to be the instructional leader.
The second key, district and system player, focuses on principals leading professional
learning communities (PLCs) while supporting their colleagues, which impacts the entire district
(Fullan, 2014). The PLC model is in place to ensure that common practices are implemented
school-wide and within content areas. Implementing the PLC guidelines, protocols, and
processes with consistency and fidelity will assist teachers with effectively utilizing collaborative
time to focus on topics that will have a positive impact on student achievement (DuFour,
DuFour, Eaker, Many, & Mattos, 2016). Research suggests that interdependence and the degree
to which people are working together in a coordinated, focused effort constitute a major determi-
nant of the effectiveness of an organization (DuFour et al., 2016). The third key, change agent,
focuses on the principal’s skills for leading a change in schools. Fullan (2014) referenced
Kirtman’s (2013) book, Leadership and Teams: The Missing Pieces of the Education Reform
Puzzle, which refers to these skills as competencies as follows:
1. Challenge the status quo.
2. Builds trust through clear communications and expectations.
3. Creates a commonly owned plan for success.
4. Focuses on team over self.
5. Has a sense of urgency for sustainable results.
6. Commits to continuous improvement for self.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 50
7. Builds external networks and partnerships. (Kirtman, 2013, p. 6–8)
Fullan asserted that an effective leader develops these seven competencies and uses these skills to
generate measurable instructional improvement.
Fullan and Quinn’s (2016) Coherence provides further guidance for school principals to
utilize for school improvement. Fullan and Quinn asserted there are four drivers that must serve
as the guiding principles and action systems to transform the work of principals to positively
effect change in schools: focusing direction, cultivating collaborative cultures, deepening learn-
ing, and securing accountability. At the center of the framework is leadership; leaders can use
the framework as a roadmap, and the right combination of these four components will improve
student outcomes (Fullan & Quinn, 2016). The findings from Fullan’s (2014) leadership frame-
work should support the findings of this researcher’s study.
Organizational Leadership Frame
The next leadership framework that the researcher incorporated as a lens for this study
was Bolman and Deal’s (2013) Reframing Organizations: Artistry, Choice, and Leadership.
Bolman and Deal (2013) provided a conceptual framework to study organization and to provide
strategies to support leaders trying to effect change in organizations. The authors suggested that
leaders should use a more comprehensive approach to solve the organization’s complex prob-
lems. Bolman and Deal’s (2013) description of leadership is divided into four frames: structural,
human resources, political, and symbolic. Each of these frames places an emphasis on key
concepts to frame a problem and develop an approach to address the problem. The frames serve
as mental models and can be used independently or in combination to solve complex problems in
organizations. School principals face many complex challenges and problems when leading
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 51
schools, and this conceptual framework can be used when attempting to solve a problem that
requires a multiple-lens analysis and solution.
The structural frame focuses on the “how” of change through establishing measurable
goals and objectives, creating systems and procedures, assigning responsibilities, and managing
timelines (Bolman and Deal, 2013). Principals can view the school as an organization that has to
be running effectively and efficiently toward achieving the mission of the school. The structural
frame is based on the following principles:
1. Conceptualize the organization’s goals, policies, and systems;
2. Carefully study existing structures and processes to fully understand how things work
in the organization;
3. Design a new structure in response to changes in goals, technology, and environment;
and
4. Retain things that work and discard those that do not (Bolman and Deal, 2013).
In the structure frame, the principal can establish clear goals, implement strategies to meet the
goals, develop systems and structures to achieve these goals, and ensure the alignment of re-
sources (Bolman & Deal, 2013).
The human resource frame places more emphasis on people’s needs. It focuses on giving
employees the power and opportunity to perform their jobs well while at the same time address-
ing their needs for human contact, personal growth, and job satisfaction (Bolman & Deal, 2013).
The human resource frame is based on the following principles: that organizations exist to serve
human needs rather than the reverse; that “people and organizations need each other” (p. 119)—
organizations require ideas, energy, and talent, whereas people need careers, salaries, and oppor-
tunities; and that a good fit benefits the individual and the organization (Bolman & Deal, 2013).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 52
The human resource frame’s core assumption is viewing the workforce as an investigator rather
than a cost (Bolman & Deal, 2013). Principals should rely on face-to-face relationships rather
than on bureaucratic routines (Elmore, 2000), and the human resource frame can assist principals
with teacher development. Principals have the responsibility to work to increase staff capacity to
improve teaching and learning.
The political frame addresses the problem of individuals and interest groups having
sometimes conflicting (often hidden) agendas, especially at times when budgets are limited and
the organization has to make difficult choices. In the political frame, leaders will see coalition
building, conflict resolution work, and power-base building to support the leader’s initiatives
(Bolman & Deal, 2013). The political frame is based on the following concepts: (a) that organi-
zations are coalitions of diverse individuals and interest groups; (b) that there are enduring dif-
ferences between coalition members in values, beliefs, information, interests, and perceptions;
(c) that important decisions involve allocating resources; and (d) that goals and decisions emerge
from bargaining, negotiation, and jockeying for position among competing stakeholders (Bolman
& Deal, 2013). Bolman & Deal (2013) asserted that political leaders have the ability to view
conflicts as an opportunity to move organizations toward cohesion and integration. The political
frame can be used as a structure for identifying when to engage in conflict based on a set of
priorities that have been established. Principals’ overall effectiveness is directly related to their
political skills and how well they use these skills to influence the organization.
The symbolic frame addresses people’s needs for a sense of purpose and meaning in their
work. It focuses on inspiring people by making the organization’s direction feel significant and
distinctive. It includes creating a motivating vision and recognizing superb performance through
company celebrations (Bolman & Deal, 2013). Symbols express an organization’s culture that
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 53
are interwoven patterns of beliefs, values, practices, and artifacts that define for members who
they are and how they are to do things (Bolman & Deal, 2013). The school’s culture is of high
value and is the adhesive that keeps it together and unites its staff. Principals can engage staff in
the symbolic frame by creating, establishing, and emphasizing symbols for the school. The
ultimate goal for the principal is to be an inspiration (Bolman & Deal, 2003). This process
includes communicating and emphasizing the school’s vision, mission, and core values. Princi-
pals are responsible for shaping the culture of schools from the process in which staff engages
students and parents; to the teaching practices; to the climate that supports collaboration, trust,
and risk taking.
The principal should not simply rely on only one frame but should be able to switch
among frames to better understand and engage the school to address and solve problems. Knowl-
edge of Bolman and Deal’s (2013) four frames will assist the researcher in better understanding
and supporting the findings of this study.
Instructional Leadership Frame
The next leadership framework that the researcher incorporated as a lens for this study
was School Leadership That Works by Marzano et al. (2005). Marzano et al. conducted a meta-
analysis of 70 studies that examined the effects of leadership and student achievement data
measured by standardized, norm-referenced tests or some other objective measure of achieve-
ment. The 70 studies involved 2,894 schools, 1.1 million students, and 14,000 teachers. The
authors found a .25 strength of correlation between instructional leadership and student achieve-
ment. Marzano et al. organized a “plan of action” (p. 78) to guide school leaders in developing
specific behaviors for enhanced student achievement. The researchers categorized behaviors
related to school leadership and identified 21 responsibilities and day-to-day management of a
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 54
school, which are a set of coordinated actions that, when implemented, will result in increasing
student achievement. Figure 1 is a chart of the 21 responsibilities for effective leaders and also
includes a synopsis of each responsibility.
Culture
Develop school culture, shared
beliefs, and norms.
Visibility
Maintain presence in class-
rooms.
Change Agent
Challenge stagnant school prac-
tices.
Order
Establish predictability through
procedures.
Contingent Rewards
Promote high expectations and
praise exemplary staff.
Optimizer
Focus staff on positive aspects
of school and potential future
success.
Discipline
Safeguard staff from distrac-
tions that may disrupt teaching
and learning.
Communication
Develop and foster communi-
cation channels among staff.
Ideals/Beliefs
Guided by well-developed be-
liefs regarding education.
Resources
Ensure that teachers have the
necessary training, support, and
materials.
Outreach
Advocate for school stake-
holders to ensure compliance
with regulations.
Monitor/Evaluate
Establish/evaluate practices and
feedback systems to monitor
learning outcomes.
Involvement in Curriculum,
Instruction, and Assessment
Support teachers with design
and implementation.
Input
Promote staff input in decision
making through procedures.
Flexibility
Honor opinions from staff and
adapt leadership style when
necessary.
Focus
Establish and promote measur-
able school goals.
Affirmation
Celebrate staff and school suc-
cesses and acknowledge defi-
ciencies.
Situational Awareness
Be attentive to daily school op-
erations and proactively address
potential problems.
Knowledge of Curriculum,
Instruction, and Assessment
Maintain awareness of research
on effective teaching practices.
Relationship
Develop and maintain personal
relationships with staff.
Intellectual Stimulation
Use current educational
research practices in school dis-
cussions.
Figure 1. The 21 responsibilities for effective leaders. Based on School Leadership That
Works: From Research to Results, by R. J. Marzano, T. Waters, and B. A. McNulty, 2005,
Alexandria, VA: Association for Supervision and Curriculum Development.
The findings from this leadership framework also acted as a lens for this study. The first
finding in this leadership framework was that leadership matters (Marzano et al., 2005). Marzano
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 55
et al. (2005) noted that there are correlations between instructional leadership and student
achievement and that there are key leadership responsibilities that will lead to this change. The
responsibilities with the highest correlations were situational awareness (.33), intellectual stimu-
lation (.32), change agent (.30), and input (.30). These responsibilities are essential for principal
instructional leadership and for positively impacting student achievement.
The second finding was whether a school is engaged in first-order or second-order change
Marzano et al. (2005) stated that
first-order change is incremental. It can be thought of as the next most obvious step to
take in a school or a district. Second-order change is anything but incremental. It
involves dramatic departures from the expected, both in defining a given problem and in
finding a solution. (p. 66)
The five influential responsibilities to implement first-order change are monitoring/evaluating;
culture; ideals/beliefs; knowledge of curriculum, assessment, and instruction; and involvement in
curriculum, assessment, and instruction (Marzano et al., 2005). School leaders must move to
second-order change, which deeply changes the system in fundamental ways by offering a
dramatic shift in new ways of thinking and acting. Marzano et al. (2005) contended that
leaders need to understand the magnitude of the changes they are attempting to lead, the
predictable reactions to first versus second order change, and how to tailor their leader-
ship practices accordingly if their leadership is to have their intended effect on student
achievement. (p. 7)
Marzano et al. (2005) summarized a plan of action consisting of the following five steps:
1. Develop a strong leadership team.
2. Distribute some responsibilities throughout the leadership team.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 56
3. Select the right work.
4. Identify the order of magnitude implied by the selected work.
5. Match the management style to the order of magnitude of the change. (p. 98)
The 21st-century principal is able to apply the findings from Marzano et al. (2005) to
have a positive impact on student achievement. Knowledge of the work by Marzano et al. will
assist the researcher in better understanding the findings of this study. The leadership frame-
works developed by Fullan (2014), Bolman and Deal (2013), and Marzano et al. will serve as
theoretical lenses for the researcher in the present study.
Conceptual Framework
The researcher adopted the conceptual framework in Figure 2 that illustrates a 21st-
century principal who incorporates the theoretical frameworks in his or her practice. The 21st-
century principal can apply Fullan’s (2014) three keys to maximizing impact in student achieve-
ment, utilizes and shifts approaches to incorporate the four frames of Bolman and Deal (2013),
and apply instructional leadership from School Leadership That Works (Marzano et al., 2005).
The 21st-century principal strategically utilizes Bolman and Deal’s (2003) four frames
with the staff within the school and district settings to address and solve problems. The 21st-
century principal can apply Fullan’s (2014) framework and serve as the leader learner by working
alongside staff to improve the instructional program and be a change agent for schools. The 21st-
century principal also develops and implements instructional strategies from School Leadership
That Works by Marzano et al. (2005). Depending on the situation with which the school is faced,
21st-century principals take action within these three theoretical frameworks to tailor his or her
approach. These theoretical frameworks are critical for 21st-century principals to utilize in the
principalship.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 57
Figure 2. Conceptual framework for study. Based on The Principal: Three Keys
to Maximizing Impact, by M. Fullan, 2014, San Francisco, CA: Jossey-Bass;
Reframing Organizations: Artistry, Choice, and Leadership (5th ed.), by L. G.
Bolman and T. E. Deal, 2013, San Francisco, CA: Jossey-Bass; and School Lead-
ership That Works: From Research to Results, by R. J. Marzano, T. Waters, &
B. A. McNulty, 2005, Alexandria, VA: Association for Supervision and Curricu-
lum Development.
Chapter Summary
This chapter was a review of the literature applicable to this study, which provided a
context for the purpose of this study. The need for highly qualified principals is essential for
schools’ stability and students’ success. The current condition of education and the demands of
the principal position have made the selection of strong, prepared candidates a critical task. The
review of literature provided an understanding of concepts and findings relevant to the study of
the role of the principal. Aspiring principals must consider the required preparation, recruitment,
and retention of principals to ensure individual success in the principalship.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 58
CHAPTER THREE: RESEARCH METHODOLOGY
Chapter Two was a review of the literature that involved the various aspects of principal
preparation, recruitment, and retention. This chapter describes the research methodology that
was used to conduct the study. It includes a description of the research design; the research team;
the population and sample; instrumentation; data collection and analysis; validity, reliability, and
trustworthiness; and ethical considerations.
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K-12 school principals. While the most significant direct influence on
student achievement is the teacher, the second most critical influence is the principal (Fullan,
2014). By engaging in this research, the research team sought to understand and identify prac-
tices used to recruit and retain principals.
Research Questions Restated
Research questions are the component of a study that directly links all elements of the
design together (Maxwell, 2013). The research questions are significant tools that are developed
to shape and provide direction for a study (Agee, 2009). In order to examine this topic, the study
aimed to answer the following questions:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, human resources administrators, immediate
supervisors of principals, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 59
Research Design and Method
Qualitative Research
The intellectual goals of this study have influenced the research design, as the focus was
on understanding, interpreting, and describing how a situation or set of events influences others
(Merriam & Tisdell, 2016). The study was designed to address the research questions through
the utilization of the quantitative research method to obtain feedback from principals, immediate
supervisors, human resource personnel, and superintendents. Using the researcher as the primary
instrument in the data collection, an inductive approach was employed to gather a rich descrip-
tion of the events and actors surveyed, interviewed, and observed (Merriam & Tisdell, 2016).
The study utilized both surveys and interviews of principals, immediate supervisors of
principals, human resources administrators, and superintendents. Surveys and interviews were
utilized to explore how principals prepared for their position, recruitment strategies employed by
both sitting principals and district office personnel, and strategies utilized by principals and
districts to retain principals in their position.
Why Qualitative Methods
Using qualitative methods allowed the researchers to understand how people interpreted
experiences and made sense of the world (Merriam & Tisdell, 2016). The qualitative approach
assisted the researcher in establishing the meaning of the phenomenon and the viewpoints of the
participants. The surveys and interviews provided access to what Merriam and Tisdell (2016)
characterized as the emic or insider’s perspective. Surveys and interviews offer advantages over
other qualitative methods to gain insight from participants’ experiences in that the researcher is
the instrument and his or her eyes and ears are the tools to make sense of what is occurring
(Maxwell, 2013). This study did not employ a mixed-methods approach; however, the use of
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 60
surveys to collect quantitative data was important to support the study’s themes. The experiences
and perceptions provided by principals and district office personnel offered insight to practices to
support the preparation, recruitment, and retention of principals.
Qualitative data were collected through qualitative surveys and interviews. To conduct
the interviews, the researcher incorporated interview protocols tailored to each group that inten-
tionally sought answers to the research questions (Johnson & Christensen, 2014; Maxwell,
2013). These interviews provided insight to the thoughts, beliefs, knowledge, and motivations of
California K-12 public school principals, immediate supervisors of principals, human resources
administrators, and superintendents with regard to principal preparation, recruitment, and reten-
tion (Johnson & Christensen, 2014). The researcher used the data to triangulate the results from
surveys and interviews, along with the literature, to gain knowledge of the different aspects of
principal preparation, recruitment, and retention.
Research Team
The research team for this study was comprised of 12 doctoral students from the Univer-
sity of California’s (USC) Rossier School of Education under the direction of Dr. Michael
Escalante. Dr. Escalante served as the lead researcher for the study. Under his guidance and
instruction, the research team employed a thematic group approach to prepare for the study. In
the winter of 2018, the research team met on a bi-monthly basis to receive guidance and instruc-
tion, to establish research questions, to present relevant literature, and to determine the concep-
tual frameworks to provide structure for the study. In the spring of 2019, the team refined the
focus of the study to further define research questions, designed research protocols that included
developing a survey and interviewing guide to administer to principals, immediate supervisors of
principals, human resource administrators, and superintendents. From this thematic group
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 61
approach, there are necessarily similarities throughout the research process and similarities
among team members’ dissertations; however, the majority of each team member’s study is
individual and distinct.
Population and Sample
Maxwell (2013) contended that the decision about where to conduct research and whom
to include in it is an essential part of a qualitative researcher’s methodology. The purpose of this
study was to examine the preparation, recruitment, and retention of California K-12 school prin-
cipals. In order to fulfill the study’s purpose, the research team focused on the population of
California K-12 principals, immediate supervisors of principals, human resources administrators,
and superintendents from public school districts. The goal of this study was to explore and
understand a particular phenomenon versus generalization to a larger population, and a purpose-
ful sampling approach was utilized for an in-depth study of the problem. Maxwell contended
that in many situations, selection decisions require considerable knowledge of the setting of the
study. The most accurate findings could be indicated by taking a sample of the entire population
of California principals, immediate supervisors, human resources personnel, and superintendents.
However, time and financial constraints limited the research team to collect data from a sample
of the population of these four groups. Through purposeful sampling, the research team ensured
that the respondents were information-rich cases from whom the researchers gained insight to
learn a great deal about the issues that were of central importance to the study (Merriam &
Tisdell, 2016). In order to maintain confidentiality the identity of the participants and school
districts, pseudonyms were used in the study.
During the spring of 2019, the research team, with the guidance of Dr. Escalante, devel-
oped a list of participants and school districts to study. The research team made contact with
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 62
California K-12 public school districts in Los Angeles, Orange, Riverside, and San Bernardino
Counties to identify potential participants. Once the participants were established, the research
team sent out a formal request to participate in study.
Access and Entry
The researcher received approval from the USC Institutional Review Board (IRB; #APP-
19-00787). The IRB uses a process that ensures that a study is completed in an ethical manner
and that the participants have sufficient knowledge of the study prior to participating. The
decision to participate in the study was based on the participants’ free will and the fact that the
benefits of the study to the participant or society outweighed the risks (Glesne, 2011). The
research team contacted superintendents of specific school districts in the selected southern
California counties. The team requested participation of the superintendents of specific school
districts in the selected southern California counties. The research team requested participation
of the superintendent of schools and identified participants who could offer insight for the study
(e.g., principals, immediate supervisors of principals, and human resources administrators). The
researcher sought permission from participants to gain consent for the surveys and qualitative
interviews. The researcher asked permission from participants via a written request to participate
in a survey and interview (see Appendix A). During the interviews with participants, an audio
recording device was used to capture the data. Prior to the interview, the researcher informed
participants of the purpose of the study and requested consent to participate in the study (see
Appendix B).
Instrumentation
The researcher used qualitative instruments to collect data to understand principals’
preparation, recruitment, and retention. The use of surveys and interview protocols provided an
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 63
analytical and meaningful approach to answer the research questions. The research team went
through a collaborative process to design and develop the instrumentation for this study and used
the concepts from the leadership and conceptual frameworks to construct the instruments. How-
ever, the primary instrument for the data collection was the individual researchers, thus allowing
for an inductive and interpretive investigation into the phenomenon being studied (Creswell,
2014). Demographic data were collected through survey items to qualify participants for the
study (Weiss, 1994). In addition, the researcher wanted to gather information about the respon-
dents to determine whether there were any correlations between the demographic information
and the interview responses.
As part of the development process, the research team tested the surveys and interview
protocols to ensure that the instruments were usable and would provide the information necessary
to answer the research questions (L. D. Fink, 2013). The protocols underwent a series of revi-
sions before the final protocols were established. The revisions resulted in asking deeper ques-
tions that elicited richer responses from participants. Data collected from these instruments were
analyzed, compared, and triangulated to identify themes.
Survey Protocols
The surveys for the study were designed to gather data from principals, immediate super-
visors of principals, human resources administrators, and superintendents (see Appendices C, D,
E, and F). The surveys were developed using Qualtrics™, a web-based survey tool available to
all doctoral candidates at USC. Participants completed the surveys through the Qualtrics system.
A 4-point Likert survey was utilized to gather data from participants’ responses. Numerical
values were given to answers whereby 1 = Strongly Disagree, 2 = Disagree, 3 = Agree, and 4 =
Strongly Agree. A numerical value of 0 was included to represent a response for Not Applicable/
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 64
Don’t Know. Data collected from the surveys were analyzed, compared, and connected to the
interview data to identify themes.
Interview Protocols
The interview protocols were designed to gather data from principals, immediate supervi-
sors, human resources administrators, and superintendents (see Appendices G, H, I, and J). The
interview protocols contain standardized, open-ended interview questions to allow the research
team to efficiently elicit the information. Standardized, open-ended questions are beneficial in
that they increase the comparability of responses, reduce interviewer bias, and facilitate organiza-
tion and analysis of the data (Patton, 2002). Each interview protocol was aligned to the research
questions and conceptual frameworks. In Column 1, Questions 1–4 were aligned to Research
Question 1, “How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?” In Column 2, Questions 5–8 were
aligned to Research Question 2, “What are the perceptions of principals, human resources
administrators, immediate supervisors of principals, and superintendents regarding strategies to
recruit successful principal candidates?” In Column 3, Questions 9–12 were aligned to Research
Question 3, “What are the perceived strategies that support the retention of principals?” This
format is replicated for each of the interview protocols for principals, immediate supervisors,
human resources administrators, and superintendents.
The interview protocols allowed for consistency among researchers when gathering data
from participants. The use of an open-ended interview guide reduced variations for the partici-
pants interviewed by the research team (Patton, 2002). Data collected from the interview were
analyzed and compared to the survey data to identify themes.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 65
The interview matrix for principals, immediate supervisors, human resources administra-
tors, and superintendents was developed by the research team for the purpose of staying focused
and guided during the limited amount of time they had with each participant in the sample
(Patton, 2002). The Question Alignment Matrix was developed to demonstrate the alignment
between interview questions and the research questions for the study (see Appendix K). In addi-
tion, the theoretical frameworks were taken into consideration in the development of the Ques-
tion Alignment Matrix. The questions were designed to explore and identify strategies to support
the preparation, recruitment, and retention experiences of K-12 principals.
Data Collection
The data from survey and interview protocols were collected over the summer and fall of
2019 through the administration of surveys and face-to-face interviews. The interviews took
place at school district offices across Los Angeles, Orange, Riverside, and San Bernardino
Counties. According to Creswell (2014), collecting data in the field at the site where participants
experience the issue or problem under study is a major advantage of using qualitative methods in
research. The survey and interview protocols provided for triangulation of data in the study to
reduce the risk of chance associations and systematic biases, thereby allowing for a better assess-
ment of the generalizability and validity of the study (Maxwell, 2013).
Surveys
The use of Qualtrics
™
survey services was used to capture survey data. The surveys
contained key terms and definitions to limit any confusion of terminology (Creswell, 2014).
Once the survey administration was completed, the research team will analyze data to identify
trends and themes.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 66
Interviews
Interviews were conducted in mutually agreed-upon settings, which were at the partici-
pant’s district office or school site office. Making interviews convenient for participants was
important and assisted with developing rapport for the study (Bogdan & Biklen, 2007). Inter-
views were arranged with each participant at a time and location determined to be convenient for
the participant. Each interview was completed within 30–45 minutes. Once permission was
obtained from the participants, the interviews were recorded and field notes transcribed by the
researcher. The records from interviews served as the raw data from which the study’s findings
eventually emerged (Merriam & Tisdell, 2016). After the interviews were conducted, the record-
ings were professionally transcribed to assist with organizing and preparing the data for analysis
(Creswell, 2014).
Data Analysis
Each research team member underwent a process of gathering data from principals,
immediate supervisors of principals, human resource administrators, and superintendents via
surveys and face-to-face interviews. The next step was data analysis, which was the process of
working with the data, organizing interviews and observations, coding, synthesizing, and looking
for patterns (Bogdan & Biklen, 2007). The intent of the surveys and interviews was to collect
data to analyze and answer the research questions. Both forms of data provided different types of
information; however, by combining the two data sources, a stronger understanding of the
research questions was achieved (Creswell, 2014). The data collected from the surveys and
interviews were coded to identify patterns and themes. The research team used open and axial
coding to identify emergent themes from the collected data.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 67
Multiple researchers gathered the data from surveys and interview protocols from differ-
ent school districts. Therefore, it was imperative that a standard process for collection and
analysis be strictly followed to ensure that issues with validity and reliability were minimized
(Merriam & Tisdell, 2016). Creswell’s (2014) six-step model for data analysis and interpretation
was utilized:
1. Organize and prepare data for analysis.
2. Read and reflect on the data to identify emerging patterns.
3. Label and code the data into chunks to create meaning.
4. Utilize the codes to generate themes from the data.
5. Represent the emerging themes into a descriptive narrative.
6. Interpret the data. (p. 197)
Data were analyzed through a side-by-side comparison using the Question Alignment
Matrix (see Appendix K). Emerging findings from data were triangulated between surveys and
interviews, along with sources from the literature review. The research team established an
online database to store instruments and where data were securely kept, organized, and easily
accessible (Merriam & Tisdell, 2016). The research team had access to the database and assisted
with developing the organizational structure.
Validity, Reliability, and Trustworthiness
Validity is a key issue in research design and refers to the correctness or credibility of a
description, conclusion, explanation, interpretation, or account contained within the study
(Maxwell, 2013). A broad type of threat to the validity of a qualitative study is researcher bias
(Maxwell, 2013). In regard to this issue, the researcher was concerned about having preexisting
background knowledge of the principalship. The researcher made a strong effort to be open
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 68
minded when collecting data from surveys and interviews. To acknowledge and address
researcher bias, data were triangulated among surveys, interviews, documents, and an ongoing
review of the literature in order to have multiple sources of data to assist with analysis to under-
stand the phenomenon. The data from these data sources were reviewed to reduce the chance of
systematic biases (Maxwell, 2013).
The research team incorporated multiple approaches to the collection, analysis, and inter-
pretation of data in alignment with those recommended by Creswell (2014). This process
included the following strategies:
1. Member checks with participants to confirm the accuracy of the data
2. Peer debriefing of the data collection process and accuracy of the data
3. Use of discrepant evidence and negative cases that runs counter to the themes of the
data
4. Use of an external auditor to provide an objective assessment of the accuracy of the
data
5. Triangulation of data from qualitative and quantitative research methods
6. Identification and explanation of any researcher bias. (pp. 201–202)
This procedure helped to ensure that the data gathered were a true representation of the
phenomenon rather than the researcher’s opinion. Utilizing triangulation allowed the research
team to collect data from multiple participants with different perspectives. Maxwell (2013)
recommended using this strategy to reduce the risk of personal biases and to confirm emerging
findings. Reliability is achieved when the researcher’s approach is consistent across different
researchers and projects and yields the same results (Creswell, 2014). Finally, an audit trail was
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 69
established from the surveys and interviews through detailed notes and recordings, which
accounted for the methods and procedures used throughout the study (Merriam & Tisdell, 2016).
Ethical Considerations
Merriam and Tisdell (2016) noted that in all research, one has to trust that the study was
carried out with integrity and that it involved the ethical stance of the researcher. All members of
the research team completed the Collaborative Institutional Training Initiative (CITI) training
during the months of January through March of 2019. The training provided the research team
with knowledge of the historical development of human subject protections, ethical issues, and
current regulatory guidelines. Throughout the data collection process, participants were fully
aware that their participation was voluntary and that they had the option to stop participating at
any point of the study (Glesne, 2011). The researcher maintained the integrity of the study and
ensure that the study would cause any physical or emotional harm to the participants. Maxwell
(2013) suggested that consent is an ethical matter and must be considered to protect both partici-
pants and the researcher. Because the data collection and communicated findings might affect
the professional outcomes of the participants, the researcher assured participants that their
responses and identities would remain anonymous. Patton (2002) noted the importance of ethical
considerations when completing data analysis to ensure that participants’ responses are not mis-
stated and/or misrepresented. The researcher and the research team has maintained the integrity
of the study and the privacy of the participants.
Chapter Summary
Chapter Three has provided an overview of the process that the research team used to
guide the study, from the instrumentation employed to the process for gathering data and analyz-
ing the data collected to address the research questions. Creswell (2014) noted that research
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 70
designs are types of inquiry that utilize varying strategies of inquiry. The goal of the study was to
gather data to understand the preparation, recruitment, and retention of California school princi-
pals. The researcher used triangulation to examine the data collected (Maxwell, 2013). Findings
from the triangulation surveys, interview protocols, and literature review are discussed in Chapter
Four.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 71
CHAPTER FOUR: FINDINGS
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of southern California K-12 school principals. This chapter analyzes the data collected
by the researcher and the research group and presents the findings as they related to the research
questions. The researcher presents perspectives from each of the three school districts that par-
ticipated in the research study. Qualitative interviews were conducted in each of the three school
districts; participants were comprised of the superintendent, a human resources administrator, a
direct supervisor of principals, and three principals from schools that varied from elementary to
secondary levels. Surveys were also administered to each individual who participated in the
study. In addition to the qualitative interviews, the 12-person research group collected the survey
data from each of their participating school districts. The survey results were compiled and
analyzed. The qualitative interviews, surveys, and the literature were used to triangulate the data
to identify themes that emerged. Triangulating the data improved the reliability of the themes
(Merriam & Tisdell, 2016). This chapter provides a discussion of the findings related to each of
the three research questions along with identification of emerging themes.
The following research questions guided this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, immediate supervisors of principals, human
resources administrators, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 72
This study was conducted in school districts in southern California with an emphasis on
qualitative interviews from 17 district representatives in three school districts. Participants were
comprised of three superintendents, three human resources personnel, two immediate supervisors
of principals, and nine principals from elementary and secondary school settings. The partici-
pants were interviewed and surveyed to gain their perspectives and insight in relation to the
research questions. The interview guides in Appendices G, H, I, and J provided a format to
administer a structured interview with all participants. Quantitative survey data were collected
by the research group from their respective school districts and used to support the identified
themes. Quantitative survey questions were connected to qualitative interview questions by the
use of the Question Alignment Matrix in Appendix K to support each theme that emerged. The
literature reviewed in Chapter Two was referenced to support themes that were identified from
the qualitative interviews and surveys.
Study Participants
School Districts Profiles
District A was a suburban district in the San Gabriel Valley with an enrollment of approx-
imately 9,000 students in Grades 9 through 12. At the time of this study, District A had five
comprehensive high schools and a continuation high school. The student population consisted of
19.0% classified as English Learners (ELs), 87.1% who qualified for free or reduced-price meals,
and less than 1% percent (0.6%) foster youth. Regarding ethnicity, 77.5% of the students in the
district were Hispanic; 20.1%, Asian; and about 1.3%, White.
District B was a suburban district in the San Gabriel Valley and had an enrollment of
approximately 14,000 students in transitional kindergarten through Grade 12. At the time of this
study, District B had four high schools, three middle or intermediate schools, eight elementary
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 73
schools, and two charter schools. The student population consisted of 10% ELs, 70% socioeco-
nomically disadvantaged, and 12% students with disabilities. The racial-ethnic demographics
were as follows: 75% Hispanics or Latinos, 11% Asians, 5% Whites, 4% Filipinos, 3% African
Americans, and 2% two or more races.
District C was a suburban district in the San Gabriel Valley and had an enrollment of
approximately 14,300. At the time of this study, District C had two comprehensive high schools,
one continuation high school, three middle schools, and nine elementary schools. The district
served about 1,200 students on an Individualized Education Plan (8%) and had 1,750 ELs (12%).
There were roughly 1,460 students on a free or reduced-priced lunch program and 70 foster youth
students. The racial-ethnic demographics were as follows: Asian/Pacific Islanders, 58%; Hispan-
ics/Latinos, 23%; Caucasians/Whites, 7%; Filipinos, 6%; and Blacks/African Americans, 2%.
Qualitative Interview Participants
The researcher gathered qualitative data from 17 participants. Each school district had
between five and six participants. The participants included the superintendent of schools, the
human resources administrator, the immediate supervisor of principals, and three school princi-
pals.
In District A, the superintendent had been in his position for 3 years and also served as
the immediate supervisor of principals. The assistant superintendent of human resources had
been in the position for 2½ years. The three principals were two from a comprehensive high
school and one principal from the continuation high school. The first principal, AA, was a
principal of a comprehensive high school and had been in the position for 5 years. Principal AA
had a nontraditional career pathway to his current principalship, having serving as a teacher, A
Title I liaison, a high school assistant principal, site principal of a charter school, a principal/
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 74
superintendent, and a technology position outside of the K-12 school setting and then returned to
his current high school principal position. Principal AA held a doctoral degree.
The second principal, AB, was the principal of a continuation high school and had been in
the position for 14 years. Principal AB’s career pathway included serving as a substitute teacher,
teacher, counselor, and then in the principal position. The third principal, AC, was the principal
of a comprehensive high school and was in his first year in the position.
Principal AC had a traditional career pathway to his current principalship, having serving
as an instructional aide, teacher, instructional coach, high school assistant principal in three roles
(i.e., discipline, student services, and curriculum instruction) prior to his current principal
position at the time of this study. Principal AC held a doctoral degree.
In District B, the superintendent had been in his position for 5 years. The assistant
superintendent of human resources had been in the position for 10 years. In this district the
assistant superintendent of educational services served as the immediate supervisor of principals
and had been in the position for 3 years. The three principals were one from a Grades 7–12
middle-high school and two from elementary schools settings. The first principal, BA, was a
principal of a middle/high school and had been in the position for 4 years. Principal BA’s career
pathway involved serving as a teacher, high school dean, high school assistant principal, district
director, and then in the principal position. Principal BA held a doctoral degree.
The second principal, BB, was the principal of an elementary school and had been in the
position for 8 years. Principal BB’s career pathway involved serving as a substitute teacher,
teacher, instructional specialist, and then in the principal position.
The third principal, BC, was the principal of an elementary school and had been in the
position for 3 years. Principal BC’s career pathway involved serving as a teacher, curriculum
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 75
specialist, Beginning Teacher Support and Assessment administrator, and assistant principal; she
had served in a principal position prior to her current principal position. Principal BC held a
doctoral degree.
In District C, the superintendent had been in his position for 7 years. The assistant super-
intendent of human resources had been in the position for 3½ years. The assistant superintendent
of educational services served as the immediate supervisor of principals and had been in the
position for 3 years. The three principals were one from a comprehensive high school, one from
a middle school, and one from an elementary school.
The first principal, CA, was the principal of a comprehensive high school and had been in
the position for 4 years. Principal CA’s career pathway included serving as a high school
teacher, a counselor at a university, a grade-level coordinator, a high school instructional dean
and a high school assistant principal before his current principal position. Principal CA held a
doctoral degree.
The second principal, CB, was the principal of a middle school and had been in the
position for 10 years. Principal CB’s career pathway included serving as a teacher, a high school
instructional dean, a high school summer school principal, and an interim principal before
becoming principal in the same school.
The third principal, CC, was the principal of an elementary school and had been in the
position for 4 years. Principal CC’s career pathway included serving as a teacher and an elemen-
tary learning specialist and teacher coach before her current principal position. Table 1 provides
a summary of the participants who were involved in the qualitative interviews.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 76
Table 1
Summary of Participants Involved in the Qualitative Interviews and Their Organi-
zation/Position
Organization Position
District A Superintendent/Immediate Supervisor of Principals
Human Resources Administrator
Principal A, comprehensive high school
Principal B, continuation high school
Principal C, comprehensive high school
District B Superintendent
Human Resources Administrator
Immediate Supervisor of Principals
Principal A, middle/high school
Principal B, elementary school
Principal C, elementary school
District C Superintendent
Human Resources Administrator
Immediate Supervisor of Principals
Principal A, comprehensive high school
Principal B, middle school
Principal C, elementary school
Note. Pseudonyms are used for school districts and participants.
Quantitative Survey Participants
The researcher worked in a team of 12 researchers to gather quantitative survey data from
the superintendent of schools, human resources administrator, the immediate supervisor of prin-
cipals, and school principals. Survey questions were developed, distributed, and analyzed by the
research team. The team of researchers surveyed the groups of superintendents, human resources
administrator, immediate supervisors of principals, and school principals from their respective
school districts. The surveys were shared electronically via email both before the qualitative
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 77
interviews using the Research Participants Invitation Letter (Appendix A) and immediately after
qualitative interviews were conducted. The Qualtrics
™
survey platform was used to both distrib-
ute and collect quantitative data.
The survey was distributed to participants in 36 school districts throughout southern
California. Participants represented a variety of school districts, including unified school dis-
tricts, high school districts, and elementary school districts. A total of 854 surveys were distrib-
uted and 186 were returned, for an overall response rate of 22%. The response rate was 57% for
superintendents, 54% for human resources administrators, 41% for immediate supervisors of
principals, and 16% for principals. Table 2 is a summary of participants involved in the quantita-
tive surveys and their positions.
Table 2
Summary of Participants in Quantitative Surveys by Organization Position and Rate of Response
Immediate
supervisors
Superin- Human of princi-
Surveys tendents resources pals Principals
Number distributed 37 41 68 708
Number completed 21 22 28 115
Response rates (%) 57 54 41 16
Findings for Research Question 1
To understand how training programs and professional experiences prepare principals,
Research Question 1 asked, “How have training programs and professional experiences prepared
principals to manage the complexities and challenges of the principalship?” Principal
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 78
preparation and support programs are essential components of the development of future princi-
pals. Thomas and Kearney (2010) highlighted the importance of developing highly effective
principals for schools and noted that no single agency or organization has the capacity to provide
the full range and quality of professional learning required by principals. Preparation programs
include university training programs, nonuniversity training programs, and informal mentoring
and support through networking.
The principalship is a complex and challenging position that requires highly qualified
principals. The data analysis of this study revealed three themes surrounding principal prepara-
tion:
1. Experience from on-the-job training (OJT) was perceived as a better form of prepara-
tion compared to university preparation programs in preparing principals to manage the complex-
ities and challenges of the principalship;
2. Prior administrative experience prepared principals to manage the complexities and
challenges of the principalship; and
3. Having mentors and professional networks better prepares aspiring principals for the
principalship.
Experiences From OJT
While university programs have a significant role in preparing future principals, the data
collected as part of the research study noted that experience gained from OJT was more effective
form of principal preparation. Much of the literature indicated that university leadership
programs might not be equipping their charges for this new role (Hess & Kelly, 2005a). The
literature further noted that 80% of superintendents and 69% of principals agreed that the typical
university preservice programs were “out of touch with the realities of what it takes to run
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 79
today’s school district” (Farkas et al., 2001, p. 31). The researcher discovered this same percep-
tion from the data: that experienced gained from OJT outweighs university preparation programs.
As noted by Superintendent C, “I don’t want to minimize the importance of a preparation
program. I think what stands out more to me immediately is the people they’ve worked for . . .
and the experiences that they’ve had” (interview, August 20, 2019). The superintendent in
District B commented that “the best thing I’m looking [for] from people is that they have site
experience. . . . Matter of fact, I’ll take somebody with line experience any day over someone that
went to a training program because it’s all theory” (interview, June 21, 2019). This preference
was noted from the qualitative interview data from superintendents, human resources administra-
tors, and immediate supervisors of principals.
A deeper analysis of the interviews indicated why experience was more valued than
university preparation. The data demonstrated the high value placed on on-the-job experiences
by superintendents, human resource administrators, and immediate supervisors of principals. As
part of the qualitative interview process, participants noted that OJT provided practical, hands-on
experience in dealing with the day-to-day aspects of leading a school, including interactions with
students, staff, and parents. A common theme was that OJT was a critical element and served as
a better form of principal preparation. Superintendent B discussed how individuals place
themselves in a position to learn through OJT to prepare for the next position:
Well, I know I’m being redundant, but the proactive steps are to put themselves in the
position to learn the job is important. Because in this district and I’m sure all districts,
you’ve got to be able to answer all those questions. How do you deal with the student–
teacher evaluation? How do you deal with conflicts among staff? How do you deal with
professional learning communities? How do you deal with boosters? How do you deal
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 80
with an angry parent? How do you deal with the union? How do you deal with facilities?
How you deal with the business office? How you deal with HR [human resources]? I
could go on all day long. So putting yourself in a position to have experience in those
areas, even if that’s not on your job description. The real good ones will volunteer or put
themselves in a position that they can at least touch something across the board. (inter-
view, June 21, 2019)
The on-the-job experience supports the development of essential skill sets that are critical
for principal preparation. One immediate supervisor of principals in District B made a similar
comment:
All of them [principals] have been teachers and successful teachers. . . . And were per-
forming pseudo-administrative tasks. They were involved in districtwide initiatives and
very instrumental on committees. . . . And attended and provided PD [professional devel-
opment] to their peers. . . . Serve as admin designee for IEPs [Individual Education
Programs]. . . . They participate in a lot of SST [Student Study Team] meetings. . . . I find
that having these experiences make them a successful principal. (interview, July 24,
2019)
These experiences and OJT provide future principals with a base of knowledge to pull from, once
they are in the principal position. The human resource administrator from District C noted:
I’d say most of our principals have been teachers, and I think that’s really key. Most of
your constituents as a principal, and the work that we do is in the classroom, so teachers
make up that constituency. That’s an important piece for their experience and their track
record. Beyond teaching, I think, is then becoming as good as they can be as a teacher,
become the best teacher that they can be, then moving into experiences that take them out
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 81
of the classroom and allow them to see a bigger picture as well. And that could be any-
thing from a school site council at elementary to leading a club, advising a class, getting
some basic experiences where they’re responsible for budgets, working with other adults,
learning a little bit about how to play politics with other adults as well. A lot of folks are
nervous about dealing with adults. They’re used to dealing with students. They feel very
comfortable there; but when it comes to providing professional development to leading a
counsel or leading a committee on campus with other adults, that’s a new challenge. And
I think if they’ve had that already, that that is part of their required kind of set of experi-
ences leading to a principalship. (interview, August 20, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the
common theme of the importance of prior experience and OJT in aiding principal preparation.
According to the responses from the survey, 100% of superintendents, 90.91% of human
resources administrators, and 82.14% of immediate supervisors of principals strongly agreed or
agreed with the statement, “Prior work experience was more important than university training
experience in preparing principals for their current positions” (Table 3).
However, as noted in Table 4, the percentage decreased for current principals surveyed.
The results which indicated that 76.99% strongly agreed or agreed with the statement, “My prior
work experience was more important than my university training experience in preparing me for
my position as a principal.” Although current principals attributed their principal preparation to
prior work experience, there was a small number (n = 20) who did not agree with the statement.
The lower percentage might be attributed to the lack of knowledge that current principals had in
comparison to superintendents, human resource administrators, and immediate supervisors, who
had a greater understanding of the requirements of the principalship.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 82
Table 3
Responses Indicating That Prior Work Experience Was More Valued Than University Training
Program: Superintendents, Human Resources (HR) Administrators, and Immediate Supervisors
of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Prior experience was more impor-
tant than my university training.
Strongly Agree 13 11 14
Agree 6 9 9
Disagree 0 2 3
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 2
Table 4
Responses Indicating That Prior Work Experience Was More Valued Than Uni-
versity Training Programs: All Principals
Survey item and response categories All principals
My prior work experience was more important than my
university training.
Strongly Agree 53
Agree 34
Disagree 19
Strongly Disagree 1
Don’t Know or Not Applicable 6
An additional indicator from the survey indicated that 95.24% of superintendents, 95.46%
of human resources administrators, and 96.43% of immediate supervisors of principals strongly
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 83
agreed or agreed with the statement, “Having experience as a teacher leader was crucial for
preparing principals for the current positions” (Table 5).
Table 5
Responses Indicating the Importance of Having Teaching Experience for Principal Preparation:
Superintendents, Human Resources (HR) Administrators, and Immediate Supervisors of Princi-
pals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Having experience as a teacher leader
was crucial for preparing principals
for their current position.
Strongly Agree 17 16 23
Agree 3 5 6
Disagree 1 1 0
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 1
The percentage increased for current principals surveyed, as summarized in Table 6.
Results indicated that 98.23% of principals strongly agreed or agreed with the statement, “Having
experience as a teacher leader was a crucial element in preparing me for my position as a princi-
pal.” The work experience gained as a teacher was beneficial and provided principals with prior
teaching knowledge that is critical for the principalship.
The quantitative interviews and survey data reinforced the importance of prior work
experience as important for preparing principals to manage the complexities and challenges of
the principalship. In addition to experiences gained from OJT, having administrative experiences
was an emerging theme.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 84
Table 6
Responses Indicating That Prior Work Experience Was More Valued Than Uni-
versity Training Programs: All Principals
Survey item and response categories All principals
Having experience as a teacher leader was a crucial element
in preparing me for my position as a principal.
Strongly Agree 84
Agree 27
Disagree 2
Strongly Disagree 0
Don’t Know or Not Applicable 0
Administrative Experiences
A common theme of having administrative experience was evident from the qualitative
interviews and surveys. The qualitative interviews noted a common theme that administrative
experience best prepared principals to manage the complexities and challenges of the principal-
ship. The preparation leading up to becoming a principal at the elementary and secondary levels
look different. At the elementary level, the position of assistant principal is not commonly found
in many school districts. However, at the elementary level, these positions may come in the form
of teacher specialist, instructional coach, teacher on special assignment (TOSA), or elementary
learning specialist. These positions provide principals with prior experiences. The immediate
supervisor of principals in District C commented that
if they were elementary principals, most of them went straight from classroom teacher to
becoming a principal. If they’re internal people for our district, it’s elementary teacher,
we have what’s called an ELS, an Elementary Learning Specialist. It’s like a TOSA.
They do not teach, but they’re doing coaching with teachers and so on and so forth. So
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 85
we’ve hired several that have done that for a few years and then became a principal. So
that’s kind of the elementary route. (interview, August 20, 2019)
An example of an elementary principal’s career path came from Principal BB. The career
path provided context to the preparation gained from these past positions that prepared Principal
BB for the principalship. Her career path included the following experiences:
I started as a substitute teacher, became a classroom teacher for 11 years, and then took a
position as an instructional support specialist, also known nowadays as a TOSA type of
position. I was a instructional support specialist for 3 years at a K-5 school and was
highly encouraged by my colleagues that I worked with, and the teachers I supported to go
into being a principal. (interview, August 6, 2019)
At the secondary level, having the assistant principal position is common; therefore,
principal candidates would be expected to have had prior assistant principal experience as part of
the preparation to become a principal. In District A, the superintendent noted that
to become a principal, you have to have an extended knowledge in various aspects. And
to prepare our principals at the high school setting . . . we encourage our principals to get
some experience in the three-tier system. . . . Student activities, student services, and
curriculum and instruction. . . . So having that good sense of that knowledge is significant
because it allows for a principal to take on that leadership role and direct the assistant
principals down the road. (Superintendent A, interview, July 8, 2019)
During the researcher’s interview with Principal AC, the principal emphasized the
importance of having assistant principal experience for principal preparation. Principal AC
served as an example of the career path that was traditional in District A. His career path
included the following steps:
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 86
I’ll give you the career path. I got a job as an instructional aide working under the cate-
gorical programs for English learners. Then, I was granted the opportunity to get my own
classroom working for the [school name removed for confidentially] under the Social
Science Department. Not only was I teaching social science, I was also coaching varsity
football. I then took on an academy coordinator position within our school. After class-
room teacher academy coordinator, I became an equivalent to an instructional coach,
managing the categorical office for our school’s Title I programs. That position itself also
helped me to learn a little bit more on budgets and coordinating staff activities that . . . led
into servicing again the English learners as an instructional coach. I became the assistant
principal officially 10 years ago and here for our district, our initial introduction or the
position was assistant principal for activities. . . . [Activities are being responsible for
student government, student athletics, student discipline—and require you to be] the first
one here and you’re the last one out. After doing that job for 3 years, I then moved up to
the next assistant principal position within our district: student guidance and scheduling.
That became really helpful to me. That’s where I started to learn about master schedule
—not only learning about it, but putting into practice where it was student centered, really
focusing on creating the least conflict for a student to have real access to the master
schedule. Of course, you’re doing discipline. You’re working with guidance counselors
and career center, attendance office, health office. You’re dealing with all those areas of
school operations, leading again adults to serve the needs of kids. Then, became assistant
principal for instruction within my organization again. That fulfills the three levels of
assistant principal readiness—the instruction lens, of course, meeting the state testing
requirements. Teacher collaboration opportunities and workshops and focusing again on
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 87
the school action wide plan that you have through WASC [Western Association of
Schools and Colleges] and school safety plan—a lot of different components through the
instruction lens. Ultimately, each of those jobs that I had—activities, student services,
instruction—it gave me the well-rounded institutional knowledge for my organization to
be able to now have the opportunity to be the actual site school principal. (interview,
August 13, 2019)
Although not all secondary principals followed this path, the data demonstrated that
having prior administrative experience is a prerequisite for seeking a secondary principal posi-
tion. The path to the principalship may vary from candidate to candidate and from district to
district, but having a wide range of administrative experiences better prepares candidates for the
principal position.
In addition to the qualitative interviews, the quantitative survey data supported the
common theme of the importance of administrative experience as being critical to principal
preparation. According to the responses from the survey, 90.47% of superintendents, 100% of
human resources administrators, and 85.72% of immediate supervisors of principals strongly
agreed or agreed with the statement, “Having experience as an assistant principal was crucial for
preparing principals for their current positions” (Table 7).
Regarding current principals surveyed, the data indicated that 83.18% strongly agreed or
agreed with the statement, “Having experience as an assistant principal was a crucial element in
preparing me for my position as a principal” (Table 8). With respect to the importance of admin-
istrative experience, it was evident in the qualitative data and confirmed by the surveys that these
experiences better prepared principals for the principalship.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 88
Table 7
Responses Indicating the Importance of Having Assistant Principal Experience for Principal
Preparation: Superintendents, Human Resources (HR) Administrators, and Immediate Supervi-
sors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Having experience as an assistant
principal was crucial in preparing
principals for their current position.
Strongly Agree 13 16 20
Agree 6 6 4
Disagree 1 0 2
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 1 0 2
Table 8
Responses Indicating the Importance of Having Assistant Principal Experience
for Principal Preparation: All Principals
Survey item and response categories All principals
Having experience as an assistant principal was a crucial
element in preparing me for my position as principal.
Strongly Agree 83
Agree 11
Disagree 2
Strongly Disagree 0
Don’t Know or Not Applicable 17
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 89
Mentors and Professional Networks
Having positive mentoring relationships along with professional networks provides added
support in the preparation of principals. These two factors were additional themes that emerged
from the qualitative interviews and surveys. The literature noted that mentors helped aspiring
principals to build confidence, to be pushed forward, not to make damaging decisions, and to
have a model that they could emulate (Alsbury & Hackmann, 2006; Kowalski, 1998).
A common theme across the interviews was having mentors to support the development
of aspiring principals. During the study, Superintendent A commented, “I also feel that probably
the most important aspect of how to become a better principal, is that you are mentored by a good
principal” (interview, July 8, 2019).
This idea of aspiring principals learning from successful principals was repeated by
Superintendent B: “The best training you can have is having somebody that you work under who
is an excellent leader” (interview, June 21, 2019). Principal CA commented that he was able to
receive support and guidance from mentors when he was aspiring to become a principal and that
this support prepared him to take the next steps in his career. Principal CB noted the positive
impact that mentors had in his preparation for the principalship:
My mentor, who was the principal that I worked for as an instructional dean— phenome-
nal principal—and I learned a ton from him. I’ve been really blessed to have positive
mentors that have done the positions that I’m aspiring to do and that have taken me under
their wing. (interview, August 8, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the
common theme of the importance of mentoring for principal preparation. According to the
responses from the survey, 95.24% of superintendents, 95.46% of human resources
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 90
administrators, and 92.86% of immediate supervisors of principals strongly agreed or agreed with
the statement, “Having a mentor was important in preparing my principals for their passions”
(Table 9).
Table 9
Responses Indicating the Importance of Having a Mentor for Principal Preparation: Superinten-
dents, Human Resources (HR) Administrators, and Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Having a mentor was important in
preparing my principals for their
current positions.
Strongly Agree 11 18 19
Agree 9 3 7
Disagree 0 0 1
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 1 1 1
The percentage increased when principals responded, as 99.11% of principals strongly
agreed or agreed with the statement, “Having mentors was instrumental in preparing me for my
position as a principal” (Table 10). The importance of mentoring for aspiring principals was
evident in the qualitative data and confirmed by the surveys.
Another indicator from the quantitative survey data supported the common theme of the
importance of professional networks supported principal preparation. According to the responses
from the survey, 100% of superintendents, 100% of human resources administrators, and 96.43%
of immediate supervisors of principals strongly agreed or agreed with the statement, “Informal
networks (e.g., professional colleges) were important in preparing principals for their current
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 91
Table 10
Responses Indicating the Importance of Having a Mentor for Principal Prepara-
tion: All Principals
Survey item and response categories All principals
Having mentors was instrumental in preparing me for my
position as a principal.
Strongly Agree 87
Agree 26
Disagree 0
Strongly Disagree 0
Don’t Know or Not Applicable 1
positions” (Table 11). Of the principals surveyed, 99.12% strongly agreed or agreed with the
statement, “Informal networks of support (such as professional colleges) were important in
preparing me for my position as a principal” (Table 12).
Having professional networks of support was a crucial element in preparing principals for
the principalship. The importance of mentors and professional networks was noted from the
qualitative interviews and survey data.
Summary of Results for Research Question 1
The principalship is a complex and challenging one that requires aspiring principals to be
prepared for the position. Results from this study pointed to three common themes from the
qualitative interviews and the quantitative survey data. The first theme that emerged was that
experience from OJT was perceived as better than university preparation programs in preparing
principals. The participants noted that preparation programs were needed for the position but that
prior experience from OJT better prepared them to manage the complexities and challenges of the
principalship. The second theme of administrative experiences was important in principal
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 92
Table 11
Responses Indicating That Informal Networks Assist With Principal Preparation: Superinten-
dents, Human Resources (HR) Administrators, and Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Informal networks (e.g., profes-
sional colleagues) were important
in preparing principals for their
current positions.
Strongly Agree 12 16 19
Agree 9 6 8
Disagree 0 0 0
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 1
Table 12
Responses Indicating That Informal Networks Assist With Principal Preparation:
All Principals
Survey item and response categories All principals
Informal networks of support (such as professional colleagues)
were important in preparing me for my position as a principal.
Strongly Agree 84
Agree 28
Disagree 0
Strongly Disagree 0
Don’t Know or Not Applicable 1
preparation. At the elementary level, experience as a TOSA was considered important while at
the secondary level, being an assistant principal was critical to prepare aspiring principals to
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 93
manage the complexities and challenges of the principalship. The final theme was having
mentors and professional networks better prepared principals for the principalship. Mentors and
professional networks allowed aspiring principals the opportunity to learn from current or former
principals and to provide guidance for the position.
Findings for Research Question 2
Given the substantial evidence establishing the impact of school leadership on student
outcomes, it is critical to understand the recruitment experiences of school district personnel and
current principals. The literature noted that effective recruitment and selection of school leaders
continue to be one of the more challenging human resource functions (Pounder & Young, 1996).
Therefore, to gather insight into this area, Research Question 2 asked, “What are the perceptions
of principals, immediate supervisors of principals, human resources administrators, and superin-
tendents regarding strategies to recruit successful principal candidates?” The analysis from the
data collected through qualitative interviews with and surveys of participants identified the
following themes:
1. Networking and mentoring were strategies used to help candidates with attaining their
principal position;
2. Previous administrative experiences and having been an instructional leader assisted
principals with being recruited to their principal positions; and
3. Prior knowledge of the district was an important factor for recruiting principals to their
position.
Networking and Mentoring
Networking and mentoring were strategies used for recruiting candidates into principal
positions. The qualitative interviews and surveys provided data to support these themes.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 94
Superintendent B commented on the networking factor used when recruiting and hiring principal
candidates in District B:
The networking piece is really important and cream rise to the top. So just because you’re
in a principal’s training program doesn’t mean you got a pathway to the principalship.
You still gotta build relationships and have people who are willing to give you positive
recommendations. (interview, June 21, 2019)
Superintendent B noted how networking could be used as a strategy to build relationships that
can provide candidates with a recommendation for a principal position. Given the potential size
of the principal candidate pool, there could be a range of 50 to 75 applicants depending on the
district. Therefore, the district must go through a screening process to select a qualified candi-
date. That is when networking serves as a strategy to assist candidates to get through the screen-
ing process for a potential interview. The literature noted this practice and referred to it as
tapping. Tapping occurs when district and site administrators identify teacher leaders, provide
them with opportunities to gain experience, and encourage them to apply for principal positions
(Myung, Loeb, & Horng, 2011). Myung et al. (2011) conducted a survey of 312 principals and
583 assistant principals in Florida. Ninety-three percent of the principals and 89% of the assis-
tant principals indicated that they had been encouraged by at least one individual, such as another
teacher, administrator, or parent, to become a principal. This practice was also mentioned by
Immediate Supervisor in District C:
From that standpoint, we all know everybody. And we may reach out to, “Hey William.
Tell me who’s your three upcoming assistant principals that are ready?” “Oh, I’ve got
this guy.” “Great. Can we reach out to him?” And if it’s a good man or woman, we’re
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 95
going to bring them over. So I think that these folks—it’s important to have the network
connections, or those mentors. (interview, August 20, 2019)
The concept of networking was frequently mentioned in the qualitative interviews of
superintendents, human resource administrators, and immediate supervisors of principals.
Another example of networking was from an immediate supervisor from District B:
Especially going to AAA [pseudonym], there’s a very large network . . . and Dr. BBB
[pseudonym], who is a AAA graduate, as you know, has his doctorate—he gets calls all
the time. “Hey, I know this person.” I think there’s a lot of that . . . n some universities,
there’s that system that has been set up that supports these individuals in doing that. It
gets them in the door. (interview, July 24, 2019)
These were examples from district leaders who were responsible for the hiring of princi-
pals, all noting how networking can have a positive impact in the selection of a principal. In
addition to the qualitative interviews, the quantitative survey data supported the common theme
of the importance of networking and mentors to help candidates to be recruited for principal
positions.
According to the responses from the survey, 71.45% of superintendents, 95.46% of
human resources administrators, and 82.15% of immediate supervisors of principals strongly
agreed or agreed with the statement, “Networking with district personnel helps candidates get
recruited into principal positions in my district” (Table 13). Principals’ responses indicated that
69.91% strongly agreed or agreed with the statement, “As an in-district candidate, networking
with district personnel was an important factor in being recruited in my current position as a
principal” (Table 14).
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 96
Table 13
Responses Indicating That Networking Serves as a Strategy for the Principal Recruitment
Process: Superintendents, Human Resources (HR) Administrators, and Immediate Supervisors of
Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Networking with district personnel
helps candidates get recruited into
principal positions in my district.
Strongly Agree 2 7 11
Agree 13 14 12
Disagree 5 1 3
Strongly Disagree 1 0 0
Don’t Know or Not Applicable 0 0 2
Table 14
Responses Indicating That Networking Serves as a Strategy for the Principal
Recruitment Process: All Principals
Survey item and response categories All principals
As an in-district candidate, networking with district
personnel was an important factor in being recruited in my
current position as a principal.
Strongly Agree 46
Agree 33
Disagree 6
Strongly Disagree 1
Don’t Know or Not Applicable 27
Networking served as a positive impact in the recruitment of principals in school districts.
In addition to networking, mentoring was a common strategy noted to support principals with the
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 97
recruitment process. This opinion was evident based on the qualitative and quantitative survey
data. According to the responses from the survey, 80.95% of superintendents, 90.91% of human
resources administrators, and 78.58% of immediate supervisors of principals strongly agreed or
agreed with the statement, “Having a mentor helps candidates get recruited into principal posi-
tions in my district” (Table 15). Principals responses indicated that 77.87% strongly agreed or
agreed with the statement, “Having a mentor was an important factor in being recruited in my
current position as a principal” (Table 16).
Possessing the Desired Qualifications
When recruiting candidates to serve as principals, districts are seeking candidates who
possess certain qualifications. The literature noted that today’s 21st-century principal should be
an effective leader, a lead learner, and a change agent for students and staff they lead (Fullan,
2014). As part of the principal selection process, districts should have a clear understanding of
desired candidate qualifications. Central office personnel prefer principals who have strong
organizational leadership skills. The effective principal has the ability to run the day-to-day oper-
ations of the school, as well as managerial skills with budgets, personnel, and compliance (Parylo
& Zepeda, 2014). The literature noted that central office personnel identified an effective leader
as one who puts an emphasis on teaching and learning. He or she understands that the primary
objective of the principal is to improve student achievement. He or she also understands curricu-
lum, instruction, and assessment and is able to lead a team of educators to enhance the learning of
all students. An effective principal remains a life-long learner, always working to improve his or
her own instructional expertise (Parylo & Zepeda, 2014).
Two qualifications that emerged from the data were previous administrative experience
and experience as an instructional leader—qualifications that were in alignment with the
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 98
Table 15
Responses Indicating That Mentoring Supports the Principal Recruitment Process: Superinten-
dents, Human Resources (HR) Administrators, and Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Having a mentor helps candidates
get recruited into principal positions
in my district.
Strongly Agree 6 11 11
Agree 11 9 11
Disagree 2 1 3
Strongly Disagree 1 0 0
Don’t Know or Not Applicable 1 1 3
Table 16
Responses Indicating That Mentoring Supports the Principal Recruitment Pro-
cess: All Principals
Survey item and response categories All principals
Having a mentor was an important factor in being recruited
in my current position as a principal.
Strongly Agree 55
Agree 33
Disagree 13
Strongly Disagree 3
Don’t Know or Not Applicable 9
literature. These were considered critical factors for recruiting principals. The qualitative data
demonstrated evidence that prior administrative experience was a critical factor for the selection
of a principal. In District C, the immediate supervisor of principals provided an example of a
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 99
practice used by a school district to ensure that there was a strong principal candidate pool from
which to select the most qualified person for the position:
I think when you’re recruiting, and you’re running a principal position, as a district office
staff, you are doing a very, very . . . just trust us. If you just say, “Let’s see who applies.”
I mean, you should let people apply, but there should be always a short list of you going
out and knowing . . . “I think William is a great candidate for this position. I don’t know
if he’s going to get it, but I sure am going to reach out to him and tell him to put his name
in the hat, and go through the process because I think that he can be a potential candidate.
He’s a good fit for us.” So that recruiting part is really important on our end to go out and
find people that we think are going to beat the job. Then from there, it’s based off of
those folks’ experiences. (interview, August 20, 2019)
School principals are often called the second most crucial in-school influencer of student
learning after the teacher (Fullan, 2014). Good school principals are essential and are the corner-
stones of good schools. Without effective principal leadership, efforts to raise student achieve-
ment cannot succeed (DiPaola & Tschannen-Moran, 2003). Therefore, in order to manage the
complexity of the principalship, principal candidates need to possess prior educational experi-
ences.
An additional indicator from the quantitative survey data noted that prior administrative
experience was essential when recruiting candidates for the principal positions. According to the
responses from the survey, 95.24% of superintendents, 100% of human resources administrators,
and 92.85% of immediate supervisors of principals strongly agreed or agreed with the statement,
“Candidates’ previous experience in education is an important factor in recruiting for principal
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 100
positions in my district” (Table 17). Principals’ responses indicated that 97.35% strongly agreed
Table 17
Responses Indicating That Candidates’ Previous Experience Was Important in the Principal
Recruitment Process: Superintendents, Human Resources (HR) Administrators, and Immediate
Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Candidates’ previous experience in
education is an important factor in
recruiting for the principal position
in my district.
Strongly Agree 14 17 16
Agree 6 5 10
Disagree 1 0 1
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 1
or agreed with the statement, “My previous experience in education was an important factor in
being recruited in my current position as a principal” (Table 18).
Prior educational experience was evident in the qualitative data and confirmed by the
surveys. In addition to prior administrative experience, specific experience as an instructional
leader was relevant for the recruitment of principals. Given that the primary responsibility of
schools is to increase student achievement, there should be a focus on teaching and learning. The
literature established links between the principal’s instructional leadership and student achieve-
ment (Marzano et al., 2005), and high-performing schools are headed by principals who act as
instructional leaders (Backor & Gordon, 2015). In order to employ instructional leadership skills
and capabilities, principals need effective leadership development programs (Backor & Gordon,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 101
Table 18
Responses Indicating That Candidates’ Previous Experience Was Important in the
Principal Recruitment Process: All Principals
Survey item and response categories All principals
My previous experience in education was an important factor
in being recruited in my current position as a principal.
Strongly Agree 82
Agree 28
Disagree 1
Strongly Disagree 1
Don’t Know or Not Applicable 1
2015). The literature was reinforced by Superintendent A, who noted the most important factor
that he was seeking in principals was experience as an instructional leader:
The skill level that’s most important to me, and I mentioned this, is their knowledge in
instruction in classroom. Really, the classroom setting. That means from student learn-
ing, from teacher effective strategies, from what the district is doing to enhance student
learning and enforce curriculum and instruction to be on the same page. . . . That’s really
what I think is number one, being that instructional leader. (interview, July 8, 2019)
Instructional leadership is an essential quality that aspiring principals are expected to
possess as they enter the principal position. This belief was supported by research in that a
correlation was found to exist between instructional leadership and the impact on student
achievement. Marzano et al. (2005) found a .25 strength of correlation between instructional
leadership and student achievement. These authors have provided a structure organized as a plan
of action to guide school leaders in developing specific behaviors for enhanced student achieve-
ment. Developing these essential skills and responsibilities will support aspiring principals’
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 102
knowledge to be successful in the recruitment process because districts place a significant
emphasis on principals having served as instructional leaders.
The quantitative survey data noted the importance of instructional leadership experience
for being recruited for the principal position. According to the responses, 100% of superinten-
dents, 100% of human resources administrators, and 92.86% of immediate supervisors of princi-
pals strongly agreed or agreed with the statement, “Having instructional leadership experience is
an important factor in recruiting for principal positions in my district” (Table 19). Principals’
responses indicated that 97.34% strongly agreed or agreed with the statement, “Having instruc-
tional leadership experience was an important factor in being recruited into my position as
principal” (Table 20).
The literature supported that when principals are instructional leaders, it has a positive
impact on student achievement. Possessing instructional leadership experience was essential and
was evident in the qualitative interviews and survey data from participants.
Knowledge of the District
Knowledge of the district and being an employee of the district were themes that emerged
from the data. The data gathered demonstrated that when recruiting candidates, districts gave
preference to candidates with prior knowledge of the district and being a current employee of the
district. Immediate Supervisor C noted:
Number one, that person knows the culture of your district; and number two, if they’re
well respected, that’s an easy sell to the staff. And so just knowing internal people who
are highly qualified is a great recruiting process. And if there’s no one, and we’ve had
that where . . . you guys have probably done the same thing. Some jobs, there’s just
nobody inside that’s the best recruit. So now the challenge is how do you find that best
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 103
Table 19
Responses Indicating That Having Instructional Experience Was Critical in the Principal
Recruitment Process: Superintendents, Human Resources (HR) Administrators, and Immediate
Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Having instructional leadership
experience is an important factor in
recruiting for principal positions in
my district.
Strongly Agree 14 14 21
Agree 7 8 5
Disagree 0 0 1
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 1
Table 20
Responses Indicating That Instructional Experience Was Critical in the Principal
Recruitment Process: All Principals
Survey item and response categories All principals
Having instructional leadership experience was an important
factor in being recruited into my position as a principal.
Strongly Agree 73
Agree 37
Disagree 2
Strongly Disagree 1
Don’t Know or Not Applicable 0
next candidate that’s outside the district that you also got to realize that you’ve got to get
staff to appreciate them, or believe in them? (interview, August 20, 2019)
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 104
The quantitative survey data noted that having an understanding of district goals and
initiatives was important for recruiting candidates for the principal position. According to the
responses from the survey, 85.75% of superintendents, 95.45% of human resources administra-
tors, and 85.72% of immediate supervisors of principals strongly agreed or agreed with the
statement, “Candidates’ level of understanding of district initiatives and goals was an important
factor in being recruited into principal positions in my district” (Table 21). Principals’ responses
indicated that 84.95% strongly agreed or agreed with the statement, “My level of understanding
of district initiatives and goals was an important factor in being recruited in my current position
as a principal” (Table 22).
Having an understanding of district initiatives and goals was an important factor when
considering candidates for the principal position and was evident in the qualitative data and
confirmed by the surveys. In addition to understanding district initiatives, being an employee of
the district helped candidates with getting recruited to principal positions. According to the
responses from the survey, 85.72% of superintendents, 100% of human resources administrators,
and 85.71% of immediate supervisors of principals strongly agreed or agreed with the statement,
“Being an employee of my district helps candidates get recruited into principal positions in my
district” (Table 23). Principals’ responses indicated that 71.68% strongly agreed or agreed with
the statement, “Being an employee of my school district was an important factor in being
recruited in my current position as a principal” (Table 24). Thus, the data demonstrated that
being an employee of the district helped candidates with being recruited for principal positions.
Summary of Results for Research Question 2
The principal position is a complex and challenging one that requires aspiring principals
to be prepared for the position. Results from this study pointed to three common themes from the
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 105
Table 21
Responses Indicating That a Candidate’s Understanding of the District Was Important in the
Principal Recruitment Process: Superintendents, Human Resources (HR) Administrators, and
Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Candidates’ level of understanding
of district initiatives and goals was an
important factor in being recruited into
principal positions in my district.
Strongly Agree 8 6 11
Agree 10 15 13
Disagree 3 1 3
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 1
Table 22
Responses Indicating That a Candidate’s Understanding of the District Was
Important in the Principal Recruitment Process: All Principals
Survey item and response categories All principals
My level of understanding of district initiatives and goals
was an important factor in being recruited into my current
position as a principal.
Strongly Agree 47
Agree 49
Disagree 13
Strongly Disagree 1
Don’t Know or Not Applicable 3
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 106
Table 23
Responses Indicating That an Internal Candidate Was Important in the Principal Recruitment
Process: Superintendents, Human Resources (HR) Administrators, and Immediate Supervisors of
Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Being an employee of my school
district helps candidates to get
recruited into principal positions in
in my district.
Strongly Agree 3 7 14
Agree 15 15 10
Disagree 3 0 2
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 2
Table 24
Responses Indicating That Being a District Employee Supported Candidates With
the Principal Recruitment Process: All Principals
Survey item and response categories All principals
Being an employee of my school district was an important
factor in being recruited in my current position as a principal.
Strongly Agree 54
Agree 27
Disagree 6
Strongly Disagree 2
Don’t Know or Not Applicable 24
qualitative interviews and the quantitative survey data. The first theme was that networking and
mentoring served as strategies used to help candidates with attaining their principal position.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 107
Given the potential size of the principal candidate pool, having mentors and a professional
network can support candidates with a recommendation for consideration for a principal position.
Although mentors and networks can provide a recommendation, candidates also need to have
prior administrative experience. The data revealed a theme of candidates having previous
experiences and particularly experience as an instructional leader. Having this background was
essential for the recruitment for the principalship.
In addition to having these experiences, having prior knowledge of the district was an
important factor in the recruitment of principals. The data gathered demonstrated that when
recruiting candidates for the principalship, districts gave preference to candidates with prior
knowledge of the district and/or current employees of the district. The data reinforced the idea of
internal candidates being given preference in the recruitment process, given that they understand
key district initiatives and have an awareness of the district culture. These three themes were
factors that were noted as being a significant part of the recruitment process for principal candi-
dates.
Findings for Research Question 3
To better understand retention strategies used by districts and principals to retain the
principalship, Research Question 3 asked, “What are the perceived strategies that support the
retention of principals?” The data analysis of this study revealed four common themes that
supported the retention of principals in answer to Research Question 3:
1. Mentoring and professional networking served as strategies to support principal
retention;
2. Principals must possess the essential skills needed for the principal position;
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 108
3. Developing relationships with personnel at all levels in the organization is essential for
principal retention; and
4. Maintaining a work–life balance is also critical for principal retention.
Mentoring and Professional Networks
Mentoring and professional networks were an emerging theme in principal retention. The
research from the literature noted that mentoring of principals can be an effective strategy to
provide support to new and aspiring principals. As the expectations and pressures on the princi-
palship continue to increase, there is a need to develop and foster meaningful mentoring opportu-
nities to help inexperienced principals (Daresh, 2004). Ninety-six percent of current principals
reported that on-the-job experiences and support from peers were far more beneficial than
academic studies (Farkas et al., 2003). The concept of mentoring was demonstrated by the
Immediate Supervisor of Principals in District B by how she assigned an experienced mentor to
new principals to support the day-to-day challenges and principal development:
Two years ago, I had two brand new principals, and they came out of the classroom to
TOSA positions, and they interviewed and got jobs as principals. New, younger, hadn’t
really had those other relationships that you might typically have, so I offered them Joe
Smith [pseudonym], who was a former principal. (interview, July, 24, 2019)
The practice of assigning mentors to serve as coaches was a common practice found in the liter-
ature and was noted by participants in the study.
In addition to the qualitative interviews, the quantitative survey data supported the
common theme of the importance of mentoring for principal retention. According to the
responses from the survey, 100% of superintendents, 95.45% of human resources administrators,
and 96.43% of immediate supervisors of principals strongly agreed or agreed with the statement,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 109
“Having mentor(s) provides principals with processes/strategies that support their success in
retaining their current positions” (Table 25). The percentage slightly decreased in principals’
responses in that 92.04% of principals strongly agreed or agreed with the statement, “Having a
mentor(s) provided me with processes/strategies that currently support my success in retaining
my position as a principal” (Table 26).
The importance of mentoring principals was evident in the qualitative data and confirmed
by the surveys to support the retention of principals. In addition to mentoring, having profes-
sional networks from which to pull knowledge was also supported with respect to principal
retention. Moreover, encouraging principals to develop informal and formal networks with their
peers is an important factor for principal retention. The research from the literature review noted
that principal mentors play a positive role in developing and supporting new principals through
assisting with developing management skills, improving their confidence, and establishing their
role as instructional leaders (Bloom et al., 2005). The literature further noted the role that
professional organizations and networks provide in the forms of networking, mentoring, training,
and services for principals. The Immediate Supervisor of Principals in District B gave another
example:
We’ve always sat there, be like, “Okay, who do I talk to?” And they’re the ones that—
they’re not successful. But those that pick up the phone, those that go to networking
events through ACSA, or they remain in contact with those people that they went through
a program with, or they pick up the phone and say, “Hey, two other principals, can we
meet for breakfast? I want to pick your brain on something.” I think those are the ones
that are the most successful, as well as those that take advantage of opportunities. (inter-
view, July 24, 2019)
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 110
Table 25
Responses Indicating That Mentoring Supports Principal Retention: Superintendents, Human
Resources (HR) Administrators, and Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
Strongly Agree 9 17 19
Agree 12 4 8
Disagree 0 0 0
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 1 1
Table 26
Responses Indicating That Mentoring Supports Principal Retention: All Princi-
pals
Survey item and response categories All principals
Having a mentor(s) provided me with processes/strategies that
currently support my success in retaining my position as a
principal.
Strongly Agree 66
Agree 38
Disagree 4
Strongly Disagree 0
Don’t Know or Not Applicable 5
The concept of professional networking to support principals was supported by the survey
data. An additional indicator from the quantitative survey data was the importance of receiving
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 111
support from professional networks for principal retention. The survey data from the superinten-
dents, human resource administrators, and immediate supervisor of principals indicated that
professional networks were a beneficial support to assist with principal retention.
The results from the principals’ survey were significantly lower, thus indicating that
principals did not consider professional networks as a beneficial support for their retention.
According to the responses from the survey, 71.42% of superintendents, 81.82% of human
resources administrators, and 85.71% of immediate supervisors of principals strongly agreed or
agreed with the statement, “Professional networks (such as NAESP, NASSP, ACSA, university
networks) provide principals with process/strategies that support their success in retaining their
current positions” (Table 27). The percentage decreased substantially in principals’ responses;
39.82% of principals strongly agreed or agreed with the statement, “Professional networks (e.g.,
NAESP, NASSP, ACSA, university networks) provided with processes/strategies that currently
support my success in retaining my position as a principal” (Table 28).
The importance of mentoring for aspiring principals was evident in the qualitative data
and confirmed by the surveys. In addition to mentoring, having informal networks from which to
pull also supported the preparation of principals.
Possessing Essential Skills
Ongoing professional learning is critical to build principal capacity and to support the
success of the school. The literature indicated how effective school leadership and management
do not come natural to all principals; school principals must undergo professional learning
(Hussin & Al Abri, 2015). Possessing the essential skills and knowledge is critical in the reten-
tion of principals. For principals to retain their positions, superintendents look for a variety of
skills including being an instructional leader, being good communicators, having natural
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 112
Table 27
Responses Indicating That Professional Networks Support Principal Retention: Superintendents,
Human Resources (HR) Administrators, and Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
Professional networks provide princi-
cipals with processes/strategies that
support their success in retaining
their current positions.
Strongly Agree 2 1 3
Agree 13 17 21
Disagree 5 3 2
Strongly Disagree 1 0 0
Don’t Know or Not Applicable 0 1 2
Table 28
Responses Indicating That Professional Networks Support Principal Retention:
All Principals
Survey item and response categories All principals
Professional networks provided me with processes/strategies
that currently support my success in retaining my position as
a principal.
Strongly Agree 5
Agree 40
Disagree 40
Strongly Disagree 9
Don’t Know or Not Applicable 19
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 113
leadership skills, ability to develop relationships, interpersonal skills, and knowing how to
navigate the politics associated with being a principal. The following comments are from all
three of the superintendents, who these essential skills. Superintendent A asserted:
The skill level that’s most important to me—and I mentioned this—is their knowledge in
instruction in classroom. Really the classroom setting. That means from student learn-
ing, from teacher effective strategies, from what the district is doing to enhance student
learning and enforce curriculum and instruction. (interview, July 8, 2019)
This quote from Superintendent A was aligned with the prior literature in Chapter 2, given that
the greatest impact to student achievement is based on the principal being an instructional leader.
If principals are expected to maximize their impact on learning, the principal’s role must be to
reposition as an overall instructional leader (Fullan, 2014). Another essential skills that princi-
pals must have was noted by Superintendent B: “We are looking for the natural leaders who are
effective at public speaking, which is a big part of being a principal” (interview, June 21, 2019).
Another essential skill for principals was mentioned by Superintendent C: “I think being able to
work with people is super important. Being able to work in the gray is super important. Under-
standing that politics is part of the job and embracing that, not shying away from it” (interview,
August 20, 2019). In other words, as noted by Superintendent C, principals must see the bigger
picture and understand that decisions are not always black or white. At times principals must
find solutions that may require compromise and understanding the political implications.
Politics are found in all forms of school organizations, and principals must understand
how to navigate the political arena. The literature from Bolman and Deal (2013) noted that in the
political frame, leaders will see coalition building, conflict resolution work, and power base
building to support his or her initiatives. Bolman and Deal (2013) asserted that political leaders
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 114
have the ability to view conflicts as an opportunity to move organizations toward cohesion and
integration. The political frame can be used as a structure for identifying when to engage in
conflict based on a set of priorities that have been established. Principals’ overall effectiveness is
directly related to their political skills and how well they use these skills to influence the organi-
zation.
Developing Relationships
Developing relationships is an essential skill required for principals to retain their posi-
tion. Morever, principals should rely on face-to-face relationships rather than on bureaucratic
routines (Elmore, 2000). The literature from Bolman and Deal (2013) on using the human
resource frame places more emphasis on people’s needs. It focuses on giving employees the
power and opportunity to perform their jobs well while at the same time addressing their needs
for human contact, personal growth, and job satisfaction. The human resource frame can assist
principals with building relationships. According to the immediate supervisor of principals from
District C, “without relationships they are done” (interview, August 20, 2019). He discussed
further that
the relationship piece is huge obviously because they’ve got to know who they’re working
with, and there’s got to be that trust level. The listening and learning part is going to be
huge because if you’re going to try to make changes and you don’t know how your staff
feels about things, or what they value or what they don’t value, then when you go to make
change you’re going to get a hundred different opinions. But if you listen and learn and
understand what they value, then it does one of two things for you. You’re either going to
say, “We’re probably not going to make that change yet” because they feel really strongly
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 115
about that, and “I need more time to work them over or to build that relationship with
them.” (interview, August 20, 2019)
Multiple principals who participated in the interviews noted that developing relationships
are important, especially with the superintendent. An example was provided by Principal A, who
noted that having a relationship with his immediate supervisor and the superintendent was essen-
tial to have a positive working relationship. Principal A also mentioned the importance of devel-
oping a professional relationship with his staff. These are important relationships that he noted
were essential to his retention in the principalship (interview, July 23, 2019). The literature
review supported how principals should rely on face-to-face relationships rather than on bureau-
cratic routines (Elmore, 2000) and how using the human resource frame can assist principals with
teacher development.
In addition to the literature and qualitative interviews, the quantitative survey data sup-
ported the common theme of the importance of developing relationships for principal retention.
According to the responses from the survey, 100% of superintendents, 100% of human resources
administrators, and 96.43% of immediate supervisors of principals strongly agreed or agreed with
the statement, “The relationships principals have with directors, assistant superintendents, and
the superintendent support their success in retaining their current position” (Table 29). The
percentage was consistent in principals’ responses, in that 97.46% of principals strongly agreed
or agreed with the statement, “My relationship with directors, assistant superintendents, and my
superintendent supports my success in retaining my position as a principal” (Table 30).
The importance of developing relationships was evident in the survey results to support
the retention of principals. In addition to developing skills, principals need to have an under-
standing of district goals and priorities.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 116
Table 29
Responses Indicating That District Personnel Support Principal Retention: Superintendents,
Human Resources (HR) Administrators, and Immediate Supervisors of Principals
HR adminis- Immediate super-
Survey item and response categories Superintendents trators visors of principals
The relationship principals have with
with directors, assistant superinten-
dents, and the superintendent support
their success in retaining their current
positions.
Strongly Agree 18 18 20
Agree 3 4 7
Disagree 0 0 0
Strongly Disagree 0 0 0
Don’t Know or Not Applicable 0 0 1
Table 30
Responses Indicating That Relationships With District Personnel Support
Principal Retention: All Principals
Survey item and response categories All principals
My relationship with directors, assistant superintendents, and
my superintendent supports my success in retaining my position
as a principal.
Strongly Agree 69
Agree 40
Disagree 1
Strongly Disagree 0
Don’t Know or Not Applicable 3
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 117
Work–Life Balance
Central office staff providing a supportive environment is a critical component to ensure
that there is a balance in work and life and being able to manage the stress of the principalship
position. As Superintendent C noted, the importance of ensuring that principals have a work–life
balance is critical:
The amount of pressure and public scrutiny and work that it takes to be a good principal, I
think is at an all time high. We got to deal with burnout and stress and things like that as
well. So, preach balance the best I can. Kick them out of the office sometimes. I’m
going to go home. Encourage them to do things with their family. Encourage them to go
to their daughter’s softball game at 3:15 even if that means missing something after
school one day. You got to have that balance as well. (interview, August 20, 2019)
Superintendent C continued:
I think you need to support the principals. I think just being empathetic as a district level
and understanding what they’re going through and helping them understand doesn’t mean
they always get what they want and that—but that just that we care about you, we’re here
for you—is there anything we can do to help you through this situation or what you’re
dealing with, recognizing how much is on their plate. So, I think to help retain them, they
have to feel like they have that connection with their school district and with the superin-
tendent and the district office staff, the “higher ups” in the organization. (interview,
August 20, 2019)
To achieve this balance of support, this expectation must be established by the superinten-
dent of schools. A supportive superintendent is an important factor in the retention of school
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 118
principals. As noted by the immediate supervisor of principals in District C about the impact that
a supportive superintendent can have on principals,
the number one factor, I think, for the retention of our principals is we have an absolutely
supportive and amazing superintendent. And his ability to develop positive relationships
and show support is bar none. I mean, it’s absolutely incredible, and there’s not a princi-
pal, I think, in our district that would speak ill of him, or feel like they’re not being sup-
ported. His mission always to us is that our number one job is to support principals. No
matter what division you go to, that’s our job. (interview, August 20, 2019)
In addition to the qualitative interviews, the quantitative survey data supported the
common theme of the importance of having a balance in work–self–life for principal retention
and that having good mentors helped to ensure this balance. Having mentors can provide guid-
ance and support to current principals to help in managing the challenges, stresses, and complex-
ity of the principalship. Mentors can support principals with finding a work–life balance by
assisting with strategies to manage the demands of the position through establishing priorities,
clear target goals, and delegating responsibilities. District leaders can utilize mentors for princi-
pals to support their retention in the principalship.
According to the responses from the survey, 100% of superintendents, 95.45% of human
resources administrators, and 96.43% of immediate supervisors of principals strongly agreed or
agreed with the statement, “Having mentor(s) provides principals with processes/strategies that
support their success in retaining their current positions.” The percentage increased with princi-
pals’ responses; 92.04% of principals strongly agreed or agreed with the statement, “Having a
mentor(s) provided me with processes/strategies that currently support my success in retaining
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 119
my position as a principal.” The importance of mentoring principals was evident in the qualita-
tive data and confirmed by the surveys to support the retention of principals.
An additional indicator from the quantitative survey data pointed to the importance of
having an appropriate balance with work–self life for principal retention and how receiving
support from professional networks for principal retention helped to ensure that. According to
the responses from the survey, 71.42% of superintendents, 81.82% of human resources adminis-
trators, and 85.71% of immediate supervisors of principals strongly agreed or agreed with the
statement, “Having a mentor was important in retaining my principals in their positions.” The
percentage increased when principals responded to the question, 99.11% of principals strongly
agreed or agreed with the statement, “Having mentors was instrumental in helping me retain my
position by having good work-self-life balance as a principal.” The importance of receiving
support from professional networks for principal retention helps ensure that principals maintain a
good work–self–life balance.
Summary of Results for Research Question 3
Today, principals are being held accountable for continuous growth in student achieve-
ment, closing achievement gaps, decreasing dropout rates, and increasing college or workplace
readiness among disadvantaged students (Davis & Linda Darling-Hammond, 2012). Given the
demands placed on principals, strategies must be identified to support the retention of principals.
The results of the study identified four themes that can support principal retention. The first was
the importance of mentoring and professional networking, which serve as strategies to support
the retention of principals. The second theme was the importance of principals possessing essen-
tial skills critical for the principalship. The third theme was the need for developing relationships
with personnel at all levels in the organization. The final theme was the need to maintain a
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 120
work–life balance to manage the stress and demands of the position. Given the importance of
retaining high-quality principals, these themes serve as strategies for principals and districts to
support principal retention.
Chapter Summary
This chapter examined the emergent themes identified by the researcher in the collected
data to answer the study’s three research questions regarding the preparation, recruitment, and
retention of principals in southern California. The themes were drawn from qualitative inter-
views with 17 participants: three superintendents, three human resources administrators, two
direct supervisors of principals, and nine principals. Survey data were utilized to connect emerg-
ing themes from the qualitative interviews. The research team collected surveys from 37 school
districts in southern California. The participants were superintendents, human resources admin-
istrators, direct supervisors of principals, and principals. In addition, the relevant literature from
Chapter Two was utilized to reinforce themes that emerged from the interviews and surveys.
Three themes were identified related to Research Question 1, about principal preparation:
(a) prior experience and OJT being perceived as better than training programs in preparing
principals, (b) the importance of administrative experiences in preparing principals to manage the
complexities and challenges of the principalship, and (c) having mentors and informal networks
to better prepare aspiring principals for the principalship. Three themes were identified related to
Research Question 2, about principal recruitment: (a) networking and mentoring as strategies
used to help candidates for attaining their principal position, (b) possessing previous experience
and experience as an instructional leader, and (c) prior knowledge of the district being an impor-
tant factor for recruiting principals to their position. Four themes were identified related to
Research Question 3, principal retention: (a) the importance of having mentors and professional
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 121
networks, (b) possessing essential skills, (c) developing relationships, and (c) having a work–life
balance.
This chapter included a discussion on this study’s emergent themes, which answered this
study’s three research questions. The summary, limitations, implications, recommendations for
future study, and the study’s conclusion are presented in Chapter Five.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 122
CHAPTER FIVE: SUMMARY, IMPLICATIONS, AND RECOMMENDATIONS
Good school principals are essential and are the cornerstones of good schools; without
effective principal leadership, efforts to raise student achievement cannot succeed (DiPaola &
Tschannen-Moran, 2003). The principalship is a complex position that has evolved from its
conception in the early 20th century. Principals’ roles have evolved from principal as a lead
teacher to principal as a manager to principal as an instructional leader and to the current state of
principal as the leader of learners.
Today, principals are being held accountable for continuous growth in student achieve-
ment, closing achievement gaps, decreasing dropout rates, and increasing college or workplace
readiness among disadvantaged students (Davis & Linda Darling-Hammond, 2012). During this
period of high-stakes accountability, the expectations placed on principals have increased to
create pressure to improve student outcomes. There is a critical need for highly qualified princi-
pals to fill current and future vacancies, and new principals face a myriad of challenges stemming
from their need to assimilate to the school’s culture, to assessing the environment and imple-
menting strategies to improving student performance (Fairchild, 2012).
Principal preparation is essential for aspiring and new principals, and there are several
program options for individuals to consider. However, the literature suggests that there is little
evidence that principal academies, district-based programs, or innovative education school
programs are making significant impacts on future leaders (Hess & Kelly, 2005b). Recruiting
and retaining effective school leaders is essential for student success (Farley-Ripple et al., 2012).
Given the substantial evidence establishing the impact of school leadership on student outcomes,
there is a need to investigate how to recruit and retain administrators.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 123
Purpose of the Study Restated
The purpose of this qualitative study was to examine the preparation, recruitment, and
retention of California K-12 school principals. While the most significant direct influence on
student achievement is the teacher, the second most critical influence is the principal (Fullan,
2014). It is important to identify the preparation and supports that principals must have in order
to meet the challenges and complexities of the principalship, as well as the support and retention
efforts that districts must use to keep principals in this crucial role. The qualitative interviews
and surveys were designed and aligned with the three research questions of this study:
1. How have training programs and professional experiences prepared principals to
manage the complexities and challenges of the principalship?
2. What are the perceptions of principals, human resources administrators, immediate
supervisors of principals, and superintendents regarding strategies to recruit successful principal
candidates?
3. What are the perceived strategies that support the retention of principals?
The researcher focused on three specific frameworks: (a) Fullan’s (2014) The Principal:
Three Keys to Maximizing Impact, (b) School Leadership That Works by Marzano et al. (2005),
and (c) Bolman and Deal’s (2013) Reframing Organizations with their four frames model of
leadership. Because the principalship is a role that is critical for providing effective leadership,
these leadership frameworks served as a lens for the researcher in this study.
The researcher of this study worked collaboratively with a team of 12 researchers from
the USC’s Rossier School of Education to design the study, research questions, the qualitative
methodology, and the qualitative and quantitative instrumentation. From the qualitative inter-
view data gathered by the researcher along with the survey data gathered by the research team,
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 124
several themes emerged. Three to four emergent themes per research question were identified in
this study. In all there were 10 emergent themes in the study of the principalship.
Summary of Findings
Research Question 1
Research Question 1 asked, “How have training programs and professional experiences
prepared principals to manage the complexities and challenges of the principalship?” Results
from this study pointed to three common themes from the qualitative interviews and the quanti-
tative survey data. The first theme that emerged was that experience from OJT were perceived as
better rather than training programs in preparing principals. The participants noted from qualita-
tive interviews and survey data that training programs were needed for the position; however, the
prior experience from OJT better prepared individuals to manage the complexities and challenges
of the principalship.
The second theme of administrative experiences was important in principal preparation.
At the elementary level, experience as a TOSA was considered important while being assistant
principal at the secondary level was critical to prepare principals to manage the complexities and
challenges of the principalship. Having opportunities to gain knowledge through these experi-
ences was critical and provided foundation knowledge to manage the complexity of the principal-
ship.
The final theme was having mentors and professional networks better prepared principals
for the principalship. Utilizing mentors and professional networks allow aspiring principals the
opportunity to learn from current or former principals. Mentors and informal network can offer
aspiring principals support and guidance to help to prepare them for the next step in their career.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 125
Research Question 2
Research Question 2 asked, “What are the perceptions of principals, human resources
administrators, immediate supervisors of principals, and superintendents regarding strategies to
recruit successful principal candidates?” Results from this study pointed to three common
themes from the qualitative interviews and the quantitative survey data. The principal position is
a complex and challenging one that requires aspiring principals to be prepared for the position.
Results from this study pointed to three common themes from the qualitative interviews and the
quantitative survey data. The first theme noted was that networking and mentoring served as
strategies used to help candidates with attaining their principal position. Given the potential size
of the principal candidate pool, having mentors and a network can support candidates with a
recommendation for consideration of a principal position.
Mentors and professional networks can provide recommendations for interviews during
the recruitment process; however, the interview data indicated that candidates must have prior
experience from OJT as well as prior administrative experience. The data also indicated a theme
that candidates must have experience as an instructional leader. Instructional leadership experi-
ence was a critical factor noted by superintendents, human resources, immediate supervisors of
principals.
Prior knowledge of the district was another important factor for recruiting principals to
their position. The data gathered demonstrated that when recruiting candidates, districts gave
preference to candidates with prior knowledge of the district and/or current employees in the
district. The data reinforced the idea of internal candidates being given preference in the recruit-
ment process, as they understand key district initiatives and are aware of the culture. These three
themes were factors noted as part of the recruitment process for principal candidates.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 126
Research Question 3
Research Question 3 asked, “What are the perceived strategies that support the retention
of principals?” Given the demands placed on principals, strategies must be identified to support
the retention of principals. The results of this study identified four themes that can support the
retention of principals. The first theme that emerged was that the importance of mentoring and
professional networking served as strategies to support the retention of principals. When central
office leaders used mentors to provide coaching with principals to address the day-to-day tasks
and challenges, results indicated that mentors can be tremendously helpful and actually be a
determining factor in the retention of the principal. Furthermore, central office administrators
should encourage principals to seek out and participate in professional networks to receive
ongoing support and professional growth. The practice of assigning mentors to serve as coaches
was a common practice found in the literature and noted by participants in the study.
The second theme was the importance of principals having the essential skills that are
critical for the principalship. Possessing the essential skills and knowledge is essential in the
retention of principals. To retain principals in their positions, superintendents look for a variety
of skills including being an instructional leader, being a good communicator, having natural
leadership skills, having the ability to develop relationships, good interpersonal skills, and
knowing how to navigate the politics associated with being a principal.
The third theme related to the need for developing relationships with personnel at all
levels in the organization. Developing relationships is an essential skill required for principals to
be able to retain their position. Furthermore, principals should rely on face-to-face relationships
rather than on bureaucratic routines (Elmore, 2000). Given that the role of the principal is to lead
the staff, the principal needs to establish relations to assist with moving staff forward. The
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 127
principal will have to establish relationships with internal staff and personnel at the district
office.
The final theme was the need to maintain a work–life balance in order to manage the
stress and demands of the position. Having an appropriate balance in work-self-life is important
for principal retention, and receiving support from professional networks for principal retention
helps ensure that balance. Given the importance of retaining high-quality principals, these
themes serve as strategies for principals and districts to support the retention of principals.
Limitations
While the goals of the study were extensive, the scope was limited to the three school
districts that participated in the qualitative interviews. The survey data gathered by the research
team provided a larger sample size, but the percentage of surveys completed constituted a limited
perspective of school districts in southern California. The results of the study were limited only
to individuals who agreed to participate in the research study. The purposeful sampling was
limited to principals who were identified by their superintendents as good candidates to partici-
pate in the study. Perhaps interviewing all principals in the school districts that participated in
the study would have provided a greater perspective. As a result of the limited sampling of
principals who participated in the study, the findings may not reflect a true representation of all
principals in southern California. Given limited resources and the time frame necessary for the
researcher and the research team to collect the data, the emergent themes reduced the general-
izability of the findings.
Implications
This study contributed to the body of literature regarding the preparation, recruitment, and
retention of K-12 school principals. The study provided a context of the evolution of the princi-
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 128
palship as well as the essential leadership skills, experiences, knowledge, and professional qual-
ifications required by the 21st-century principal. This study should serve as a resource to inform
multiple stakeholders of the qualifications and experiences required by aspiring and current
principals to manage the complexity of the position. The study offers insight from current prac-
titioners in the field of K-12 education and identified themes that serve as strategies for immedi-
ate supervisors of principals, human resource administrators, and superintendents.
Aspiring principals must understand that their training to become a principal begins in
each position that they have held prior to the principalship. Aspiring principals must develop
essential skills through OJT in each of their positions. Therefore, it is critical to learn from and
have success in each position at the deepest level. It was noted in the study that experiences
gained through OJT served as better form of preparation for the principalship. Having opportuni-
ties to serve as an instructional coach or a TOSA at the elementary served as key experiences that
prepared aspiring principals for the principalship. Having experience as an assistant principal
was essential to obtaining a principal position at the secondary level. These prior experiences
serve as critical skill sets that must be developed to help prepare aspiring principals to manage
the complexities and challenges faced by principals. In addition to prior experiences, having
mentors and informal networks served as a support system to assist individuals to develop their
skills. Therefore, having opportunities to learn from and building relationships with successful
principals serve as an aid to support aspiring principals with their preparation. Aspiring princi-
pals should identify mentors and should network with other educational leaders to build their
capacity to develop positive relationships.
Building positive relationships with mentors and other informal networks serves as a
strategy for the principal recruitment process. These relationships are critical and can provide an
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 129
aspiring candidate with a positive recommendation that can be key in the recruitment process as
district leaders are undergoing the screening process for a principal candidate. In addition to
building relationships, prior experience and—most importantly—instructional leadership experi-
ences are essential. Therefore, being proactive and having opportunities to develop these essen-
tial skills are critical for demonstrating one’s knowledge for the recruitment process. District
leaders noted that having prior knowledge of the district was a critical component for the recruit-
ment process. This finding suggests that inside district candidates are preferred options in the
consideration of principal candidates.
Given the importance of the principalship in schools, there must be a commitment from
district personnel along with current principals for continuous professional learning in order to
develop the essential skills to be a successful school leader. These essential skills range from
communication to organization, with the most critical skill being an effective instructional leader.
District officials can establish professional development plans to support principals with develop-
ing the essential skills to be effective leaders. Districts should encourage formal and informal
mentoring relationships for principals and encourage principals to take advantage of professional
networking opportunities to dialogue and receive ongoing support. Principals need to develop
relationships with district administration for the purposes of receiving ongoing mentoring and
support. District administrators must understand that given the complexities and challenges
faced by principals, there must be a work–life balance because this balance is critical to the
retention of principals. Allowing principals the opportunities to manage their personal lives with
the demands of the principalship is a critical expectation to keep principals in a positive state to
lead their schools.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 130
Recommendations for Future Study
Given the importance of principalship and the impact that school principals have on
student achievement, there must be further research on strategies for preparing and retaining
school principals. Based on the themes in this study, the researcher identified the following
research recommendations:
1. One of the emerging themes in the study revealed that OJT was a better form of
principal preparation compared to attending a university training program. The literature sup-
ported the idea of districts collaborating with a local university to establish a principal prepara-
tion program for aspiring principals. An area for further examination is comparing districts that
have a partnership with a local university to districts that do not have such a partnership and
determining whether new principals are better prepared to manage the complexity and challenges
of the principalship. By conducting case studies of these specific school districts, the data from
qualitative interviews and surveys could reveal best practices to support principal preparation.
2. One of the emerging themes in the study revealed the importance of having mentors
and professional networks to support principal retention. An area for further examination is the
types of activities that mentors and professional networks are utilizing that can reveal promising
practices that school district administration can incorporate and utilize with current school
principals. By conducting case studies of organizations that offer mentoring and professional
networking support for school principals, the data from qualitative interviews and surveys could
reveal best practices that school district leaders could incorporate with school current principals.
3. Another emerging theme in the study revealed the importance of work–life balance for
principal retention. An area for further examination is the connection between school districts
that prioritize the work–life balance for their school principals and the effects on student
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 131
achievement, staff connectiveness, and other school culture indicators. By conducting case
studies of several districts that actively employ strategies to support principals with work–life
balance, the data from qualitative interviews and surveys from district administration could
reveal promising practices that school districts could utilize to support principals in balancing the
demands of the position while maintaining a sense of equilibrium in their personal lives.
Conclusion
The K-12 school principal position is complex and challenging and requires the right
strategies for preparation, recruitment, and retention (Kowalski & Brunner, 2011). Schools are
becoming more diverse, and principals are expected to address the needs of all students: “Princi-
pals are now expected to be business managers, instructional leaders, community engagement
experts, data analysts, and even marketers for the school” (Fuller & Young, 2009, p. 18). Princi-
pals’ dissatisfaction with central office personnel, lack of resources, and lack of mentoring and
support were cited reasons why principals left the principalship (Fuller & Young, 2009). Aspir-
ing and current principals must carefully consider their approach as they prepare for and look to
retain their principalship.
The purpose of this study was to examine the preparation, recruitment, and retention of
California K-12 school principals through interviewing and surveying superintendents, human
resources administrators, immediate supervisors of principals and current principals. The data
collected provided insight into participants’ perspectives surrounding the preparation, recruit-
ment, and retention of principals. Given the challenges and complexity related to the principal-
ship, the data revealed several themes that could serve as strategies for aspiring principals to
investigate as they prepare for the principal position. The data also identified factors considered
when recruiting candidates for the principalship along with identified essential skills for current
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 132
principals to support their retention. Thus, this study has informed the reader on strategies for
successful principal preparation.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 133
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SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 149
Appendix A
RESEARCH PARTICIPANTS’ INVITATION E-MAIL
Dear _______________ [stakeholder group role],
I am a doctoral candidate in the Rossier School of Education at the University of Southern
California and a _______________ [role] in the _______________ Unified School District. I
would like to invite you to participate in a research study that will investigate the preparation,
recruitment, and retention of public school principals.
You are asked to participate only if you are currently employed as a [role] in a public school
district. If you agree to participate, you will be asked to complete a survey; the estimated time for
completion is approximately 20 minutes. The University of Southern California’s Institutional
Review Board has approved this research study (IRB #APP-19-00787).
Your participation is completely voluntary. If you decide to participate after reading this email,
you can access the survey via the following link: _______________
I value your input and hope that you will consider participating in this study. Please email me at
_______________ if you have any questions. Thank you in advance for your time.
Sincerely,
USC Doctoral Candidate Researcher
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 150
Appendix B
INFORMED CONSENT
Date: _______________
Dear _______________,
My name is _______________ , and I am a doctoral student at the USC Rossier School of Edu-
cation. I am conducting a research study under the guidance and direction of Dr. Michael F.
Escalante. The purpose of my mixed-methods study is to examine the preparation, recruitment,
and retention of public school principals in southern California. I will interview and survey
superintendents, human resources directors/assistant superintendents, immediate supervisors of
principals, and principals.
You have been invited to participate in a graduate research study that will shed light on the
preparation, recruitment, and retention of public school principals in southern California. The
results of this study will inform multiple stakeholders, including aspiring principals, superinten-
dents, and school boards. It is my hope that this study will serve as a valuable resource.
Your participation is voluntary, and you have the right to withdraw at any time. The information
collected will be kept confidential and anonymous by the researcher and members of the disserta-
tion committee. Data will be presented in a manner that will ensure that no individual or district
can be identified.
If you have any questions or concerns regarding your participation in this study, you may contact
me at _______________ or Dr. Michael F. Escalante at the University of Southern California.
Thank you, in advance, for your time and assistance.
Sincerely,
_______________, Researcher [_______________@usc.edu]
(xxx) xxx-xxxx
Dr. Michael F. Escalante, Dissertation Chair, mescalante@usc.edu
(818) 802-4769
( ) I have read this form and have been given the opportunity to ask questions. I consent to my
participation in the research described above.
Participant’s Signature: __________________________________________________________
Participant’s Printed Name: _______________________________________________________
Date: __________________
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 151
Appendix C
PRINCIPAL SURVEY
The purpose of this qualitative study is to examine the preparation, recruitment, and retention of
California K-12 public school principals. While the most significant direct influence on student
achievement is the teacher, the second most critical influence is the principal (Fullan, 2014). It is
important to identify the preparation and supports that principals must have in order to meet the
challenges and complexities of the principalship, as well as the recruitment strategies and reten-
tion efforts that public school districts must use to find and retain quality personnel in the prin-
cipalship. The goal of this brief, 15-minute survey is to quantify your perceptions on principal
preparation, recruitment, and retention. Your participation in this survey is anonymous. Thank
you for your participation.
Personal Background
1. Gender
Q Male
Q Female
2. Ethnicity (check all that apply)
Q Asia
Q Black
Q Latina/o
Q Native American
Q Pacific Islander
Q White
Q Multiple
Q Other
Q Decline to state
3. Age range:
Q < 30
Q 30-40
Q 41-50
Q 51-60
Q 61+
4. Highest university degree earned:
Q Ed.D.
Q Ph.D.
Q Master’s
Q Bachelor’s
Q Other (please specify) ___________________________________________
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 152
5. What university do you identify with professionally?

6. How many years in the education profession?
Q 1-10
Q 11-20
Q 21-30
Q 30 or more
7. How many years as a principal?
Q 2 years or less
Q 3-5
Q 6-10
Q 11-15
Q 16 or more
8. Did you come from within your current district or outside your current district?
Q Within
Q Outside
9. What type of administrative preparation program did you participate in?
Q University
Q Nonuniversity, please specify: ____________________________________
10. Past experiences (check all that apply):
School site positions:
Q Elementary school teacher
Q Middle school teacher
Q High school teacher
Q Counselor (any level)
Q College/university instructor
Q Teacher on Special Assignment (TOSA)
Q Other ______________________
School site administrator positions:
Q Elementary School Assistant Principal
Q Middle School Assistant Principal
Q High School Assistant Principal
Q Elementary Principal
Q Middle School Principal
Q High School Principal
Q Dean of Students
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 153
District-level positions:
Q Coordinator
Q Specialist
Q Director of Curriculum and Instruction
Q Director of Research and Planning
Q Director of Human Resources
Q Director of Student Support Services
Q Director: Other _________________________________
Experiences other than education:
Q Please specify: ________________________________________
11. Salary Range (approximate):
Q Less than $100,000
Q $100,001-110,000
Q $110,001-120,000
Q $120,001-130,000
Q $130,001-140,000
Q $140,001-150,000
Q $150,001-160,000
Q $160,001-170,000
Q More than $170,001
12. Type of school district:
Q Urban
Q Urban/suburban
Q Suburban
Q Rural
13. District student enrollment:
Q Less than 5,000
Q 5,001-10,000
Q 10,001-20,000
Q 20,001-30,000
Q 30,001-40,000
Q 40,001-50,000
Q 50,001-60,000
Q 60,001-70,000
Q More than 70,000
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 154
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that you took prior to
taking on your first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that are important in
preparing me for my position as a prin-
cipal.
2. My prior work experience was more im-
portant than my university training expe-
rience in preparing me for my position as
a principal.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing me
for my position as a principal.
4. Nonuniversity training programs (such
as the ACSA Principal Academy) were
important in preparing me for my posi-
tion as a principal.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing me
for my position as a principal.
6. Having mentors was instrumental in pre-
paring me for my position as a principal.
7. A professional network of support (such
as CALSA, NASSP, NAESP, ACSA, or
through a university) was important in
preparing me for my position as a princi-
pal.
8. Informal networks of support (such as
professional colleagues) were important
in preparing me for my position as a
principal.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 155
9. Networks with university professors
were important in preparing me for my
position as a principal.
10. Planning my career was important in
preparing me for my position as a princi-
pal.
11. My university training program provided
intentional supports or resources to pre-
pare me for my position as a principal.
12. Having experience as a teacher leader
was a crucial element in preparing me
for my position as a principal.
13. Having experience as an assistant princi-
pal was a crucial element in preparing
me for my position as a principal.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps you took prior to taking
on your first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A
14. As an aspiring principal, district
resources and programs were important
in being recruited into my current posi-
tion as a principal.
15. My university principal preparation pro-
gram was an important factor in being
recruited into my current position as a
principal.
16. My nonuniversity principal preparation
program was an important factor in be-
ing recruited into my current position as
a principal.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 156
17. The nonmonetary incentives offered by
my district were important factors in ap-
plying for the principal position in my
district.
18. The salary and benefits offered by my
district were important factors in apply-
ing for the principal position in my dis-
trict.
19. My previous experience in education
was an important factor in being re-
cruited into my current position as a
principal.
20. My previous experience outside of edu-
cation was an important factor in being
recruited into my current position as a
principal.
21. The reputation of my school district was
an important factor in applying for the
principal position in my district.
22. My level of understanding of district ini-
tiatives and goals was an important fac-
tor in being recruited into my current
position as a principal.
23. As an in-district candidate, networking
with district personnel was an important
factor in being recruited into my current
position as a principal.
24. As an out-of-district candidate, network-
ing with district personnel was an impor-
tant factor in being recruited in my cur-
rent position as a principal.
25. Having a mentor was an important factor
in being recruited in my current position
as a principal.
26. Being an employee of my school district
was an important factor in being re-
cruited into my current position as a
principal.
27. My participation in professional organi-
zations was an important factor in being
recruited into my current position as a
principal.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 157
28. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was an important factor in be-
ing recruited into my current position as
a principal.
29. Having instructional leadership experi-
ence was an important factor in being
recruited into my position as a principal.
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is process/strategy that you used to maintain your current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N./A)
30. My university training program provided
me with processes/strategies that cur-
rently support my success in retaining
my position as a principal.
31. Professional networks (e.g., NAESP,
NASSP, ACSA, university networks)
provided me with processes/strategies
that currently support my success in re-
taining my position as a principal.
32. Having a mentor(s) provided me with
processes/strategies that currently sup-
port my success in retaining my position
as a principal.
33. My relationship with directors, assistant
superintendents, and my superintendent
supports my success in retaining my po-
sition as a principal.
34. My compensation determines my desire
to retain my position as a principal.
35. Having a formal, written strategic plan
supports my success in retaining my po-
sition as a principal.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 158
36. Pressures from accountability measures
affect my desire to retain my position as
a principal.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 159
Appendix D
HUMAN RESOURCE ADMINISTRATOR SURVEY
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took prior to
taking on their first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that are important in pre-
paring principals for their positions.
2. Prior work experience was more impor-
tant than university training experience
in preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (such
as the ACSA Principal Academy) were
important in principals for their current
positions.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing prin-
cipals for their current positions.
6. Having a mentor was important in pre-
paring my principals for their current
positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university)
was important in preparing my principals
for their current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 160
9. Having experience as a teacher leader
was crucial for preparing principals for
their current positions.
10. Having experience as an assistant prin-
cipal was crucial for preparing principals
for their current positions.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took prior to taking
on their first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
11. District resources and recruitment
strategies help candidates to get
recruited into principal positions in my
district.
12. University principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
13. Nontraditional principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
14. The nonmonetary incentives offered by
my district are important factors in can-
didates applying for principal positions
in my district.
15. The salary and benefits offered are im-
portant factors in candidates applying for
principal positions in my district.
16. Candidates’ previous experience in edu-
cation is an important factor in recruiting
for principal positions in my district.
17. Candidates’ previous experience outside
of education is an important factor in
recruiting for principal positions in my
district.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 161
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. Candidates’ level of level of understand-
ing of district initiatives and goals was
an important factor in being recruited
into principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get re-
cruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 162
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
27. University training programs provide
principals with skills/strategies that sup-
port their success in retaining their cur-
rent positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks)
provide principals with processes/strate-
gies that support their success in retain-
ing their current positions.
29. Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
30. The relationships that principals have
with directors, assistant superintendents,
and the superintendent support their suc-
cess in retaining their current positions.
31. Principals’ compensation determines
their desire to continue in their current
positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining
their current positions.
33. Pressures from accountability measures
affect principals’ desires to retain their
current position.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 163
Appendix E
IMMEDIATE SUPERVISOR OF PRINCIPAL SURVEY
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took prior to
taking on their first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that were important in
preparing principals for their positions.
2. Prior work experience was more impor-
tant than university training experience
in preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (e.g.,
the ACSA Principal Academy) were im-
portant in preparing principals for their
current positions.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing prin-
cipals for their current positions.
6. Having a mentor was important in pre-
paring my principals for their current
positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university)
was important in preparing principals for
their current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 164
9. Having experience as a teacher leader
was crucial for preparing principals for
their current positions.
10. Having experience as an assistant prin-
cipal was crucial for preparing principals
for their current positions.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took prior to taking
on their first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
11. District resources and recruitment strate-
gies help candidates to get recruited into
principal positions in my district.
12. University principal preparation
programs help candidates to get recruited
into principal positions in my district.
13. Nontraditional principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
14. The nonmonetary incentives offered by
my district are important factors in can-
didates applying for principal positions
in my district.
15. The salary and benefits offered are im-
portant factors in candidates applying for
principal positions in my district.
16. Candidates’ previous experience in edu-
cation is an important factor in recruiting
for principal positions in my district.
17. Candidates’ previous experience outside
of education is an important factor in
recruiting for principal positions in my
district.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 165
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. A candidate’s level of level of under-
standing of district initiatives and goals
were important factors in being recruited
into principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get re-
cruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 166
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
27. University training programs provide
principals with skills/strategies that sup-
port their success in retaining their cur-
rent positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks)
provide principals with processes/strate-
gies that support their success in retain-
ing their current positions.
29. Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
30. The relationships that principals have
with directors, assistant superintendents,
and the superintendent support their suc-
cess in retaining their current positions.
31. Principals’ compensation determines
their desire to continue in their current
positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining
their current positions.
33. Pressures from accountability measures
affect principals’ desires to retain their
current position.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 167
Appendix F
SUPERINTENDENT SURVEY
Based on your perception of the preparation of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal preparation:
Preparation is defined as the strategies and steps that principals took prior to
taking on their first principal position.
PREPARATION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
1. University programs provided training
and experience that are important in pre-
paring principals for their positions.
2. Prior work experience was more impor-
tant than university training experience
in preparing principals for their current
positions.
3. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) was important in preparing
principals for their current positions.
4. Nonuniversity training programs (e.g.,
the ACSA Principal Academy) were im-
portant in preparing principal for their
current positions.
5. Holding certification and/or licensure
from organizations (such as USC or
ACSA) was important in preparing prin-
cipals for their current positions.
6. Having a mentor was important in pre-
paring my principals for their current
positions.
7. A professional network of support (e.g.,
NASSP, ACSA, or through a university)
was important in preparing my principals
for their current positions.
8. Informal networks (e.g., professional
colleagues) were important in preparing
principals for their current positions.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 168
9. Having experience as a teacher leader
was crucial for preparing principals for
their current positions.
10. Having experience as an assistant prin-
cipal was crucial for preparing principals
for their current positions.
Based on your perception of the recruitment of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal recruitment:
Recruitment is defined as the strategies and steps that principals took prior to taking
on their first principal position.
RECRUITMENT

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
11. District resources and recruitment
strategies help candidates to get re-
cruited into principal positions in my
district.
12. University principal preparation
programs help candidates to get recruited
into principal positions in my district.
13. Nontraditional principal preparation pro-
grams help candidates to get recruited
into principal positions in my district.
14. The nonmonetary incentives offered by
my district are important factors in can-
didates applying for principal positions
in my district.
15. The salary and benefits offered are im-
portant factors in candidates applying for
principal positions in my district.
16. Candidates’ previous experience in edu-
cation is an important factor in recruiting
for principal positions in my district.
17. Candidates’ previous experience outside
of education is an important factor in
recruiting for principal positions in my
district.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 169
18. The reputation of my school district is an
important factor in candidates applying
for principal positions in my district.
19. Candidates’ level of level of understand-
ing of district initiatives and goals is an
important factor in being recruited into
principal positions in my district.
20. Networking with district personnel helps
candidates to get recruited into principal
positions in my district.
21. Having a mentor helps candidates to get
recruited into principal positions in my
district.
22. Being an employee of my school district
helps candidates to get recruited into
principal positions in my district.
23. Candidates’ participation in professional
organizations helps candidates to get
recruited into principal positions in my
district.
24. Holding an advanced degree (e.g., Ed.D.
or Ph.D.) helps candidates to get re-
cruited into principal positions in my
district.
25. Having instructional leadership experi-
ence is an important factor in recruiting
for principal positions in my district.
26. My district is experiencing a shortage of
quality candidates for the principal posi-
tion.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 170
Based on your perception of the retention of principals, rate the following
statements from Strongly Agree to Strongly Disagree.
For the next statements, please use the following definition for principal retention:
Retention is the process/strategy used by principals to maintain their current
principal position.
RETENTION

Statement
Strongly
Agree
(4)
Agree
(3)
Disagree
(2)
Strongly
Disagree
(1)
Don’t Know
or
Not Applicable
(N/A)
27. University training programs provide
principals with skills/strategies that sup-
port their success in retaining their cur-
rent positions.
28. Professional networks (such as NAESP,
NASSP, ACSA, university networks)
provide principals with processes/strate-
gies that support their success in retain-
ing their current positions.
29. Having mentor(s) provides principals
with processes/strategies that support
their success in retaining their current
positions.
30. The relationships that principals have
with directors, assistant superintendents,
and the superintendent support their suc-
cess in retaining their current positions.
31. Principals’ compensation determines
their desire to continue in their current
positions.
32. Having a formal, written strategic plan
supports principals’ success in retaining
their current positions.
33. Pressures from accountability measures
affect principals’ desires to retain their
current position.
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 171
Appendix G
PRINCIPAL INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that I
can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program (e.g. principal’s academy, university program, etc.) did you
attend that prepared you for the principalship?
1a. Which training was most effective? Why?
2. Describe your career path to the principalship.
2a. Which professional experiences leading up to becoming a principal were the most
beneficial? Why?
3. Which professional relationships helped you prepare for the principal position?
3a. Why were they important in your preparation?
4. When did you know that you wanted to be a principal?
4a. What proactive steps did you take to get a position?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 172
Recruitment
5. How did your training program prepare you for the principal recruitment process?
6. What prior experiences did you have that made you the most desirable candidate for princi-
pal?
6a. Is there an experience that you lacked that might have helped you while being
recruited?
7. What qualities or characteristics made you a qualified principal candidate?
8. Did you strategically use professional relationships, such as mentoring or networking, to
attain your position? If so, how?
9. What attracted you to the principalship in your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
10b. How does ongoing training support your retention?
11. What professional relationships support your retention?
11a. Is the relationship formal or informal?
11b. Is it assigned or self-selected?
11c. What strategies do you use with your supervisors to support your retention as a
principal?
12. What factors impact your decision to stay in the principalship?
12a. What factors, if any, would influence you leaving the position?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 173
Appendix H
HUMAN RESOURCES ADMINISTRATOR INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the principal-
ship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships helped your principals to prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?
Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 174
6. What prior experiences did your principals have that made them the most desirable candidate
to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 175
Appendix I
IMMEDIATE SUPERVISOR INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the principal-
ship?
1a. Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships helped your principals to prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?

Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 176
6. What prior experiences did your principals have that made them the most desirable candi-
dates to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 177
Appendix J
SUPERINTENDENT INTERVIEW GUIDE
Interviewer: Date:
Interviewee: Location:
Job Title: Contact Info:
Length of Time in Your Position:
Start Time: End Time:
Introduction
Thank you for taking the time to meet with me today. The purpose of this study is to understand
the preparation, recruitment, and retention of K-12 principals in California public schools.
Your participation in this study is voluntary. The information that you provide today will be kept
confidential, but the data collected will be used for our study. Any identifiable information will
be removed from our study to maintain your confidentiality. You can stop at any time or choose
not to answer a question that you are not comfortable with. Our interview should take about 45
minutes of your time. I would like to record our conversation, in addition to taking notes, so that
I can ensure that I accurately represent your responses. This audio recording will not be shared
with anyone. Are you comfortable with me recording our conversation today?
Your reflection and experiences will be used to help understand how K-12 principals in Cali-
fornia public schools are prepared, recruited and retained. Let’s get started.
Preparation
1. What type of training program did your principals attend to prepare them for the principal-
ship?
1a.Where did they receive the most effective training? Why?
2. Describe your principals’ career paths to the principalship.
2a. Which professional experiences leading up to the principalship were the most
beneficial to your principals? Why?
3. Which professional relationships help your principals prepare for their position?
3a. Why were they important?
4. What proactive steps did your principals take to get their positions?

Recruitment
5. How did principal training programs prepare your principals for the recruitment process?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 178
6. What prior experiences did your principals have that made them the most desirable candi-
dates to be hired?
6a. Are there any experiences they lacked that would have helped them be recruited?
7. What qualities or characteristics do you seek in a principal candidate?
8. How have your principals used professional relationships, such as mentoring or networking,
to attain their positions?
9. What strategies do you use to attract principal candidates to your district?
Retention
10. What skills/strategies does a principal need to be successful?
10a. What does your district do to support the development of those skills/strategies?
11. What professional relationships support the retention of principals?
11a. Are these relationships formal or informal?
11b. Are they assigned or self-selected?
12. What factors have impacted the ongoing retention of your principals?
12a. What factors, if any, influence principals leaving the position?
SELECTING THE 21ST-CENTURY SCHOOL PRINCIPALS 179
Appendix K
QUESTION ALIGNMENT MATRIX
Instrument
RQ1
How have training pro-
grams and professional
experiences prepared
principals to manage
the complexities and
challenges of the
principalship?
RQ2
What are the perceptions
of principals, immediate
supervisors of principals,
human resources
administrators, and
superintendents regard-
ing strategies to recruit
successful principal can-
didates?
RQ3
What are the perceived
strategies that support the
retention of principals?
Principal Survey 1–13 14–29 30–36
Principal Interview
Guide
1–4 5–9 10–12
Human Resources
Administrator
Survey
1–10 11–26 27–33
Human Resources
Administrator In-
terview Guide
1–4 5–9 10–12
Immediate Super-
visor Survey
1–10 11–26 27–33
Immediate Super-
visor Interview
Guide
1–4 5–9 10–12
Superintendent
Survey
1–10 11–26 27–33
Superintendent
Interview Guide
1–4 5–9 10–12

Abstract (if available)

Abstract The principalship is a complex position that has evolved from its conception in the early 20th century. Being an effective building manager was once the expectation for school principals

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Asset Metadata

Creator Avila, William Robert (author)

Core Title Selecting the 21st century school principals: preparation, recruitment, and retention strategies

School Rossier School of Education

Degree Doctor of Education

Degree Program Education (Leadership)

Publication Date 05/14/2020

Defense Date 01/16/2020

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

Tag leadership,OAI-PMH Harvest,preparation,principals,recruiting,retaining,selecting

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Escalante, Michael (committee chair), Cash, David (committee member), Crosby, Owen (committee member), Doll, Michelle (committee member)

Creator Email avilaw@usc.edu,wmavila58@gmail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-309170

Unique identifier UC11663593

Identifier etd-AvilaWilli-8519.pdf (filename),usctheses-c89-309170 (legacy record id)

Legacy Identifier etd-AvilaWilli-8519.pdf

Dmrecord 309170

Document Type Dissertation

Rights Avila, William Robert

Type texts

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

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

Repository Name University of Southern California Digital Library

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